Monthly Report to Congress

October 2015

November 10, 2015

Troubled Asset Relief Program

U.S. Department of the Treasury
Table of Contents

Section Page Number Legislative Requirement 1

Program Updates 1 EESA §105(a)(1)

Capital Purchase Program 1

Community Development Capital Initiative 2

Making Home Affordable 3

Hardest Hit Fund 4

Lifetime Costs 5

CPP & CDCI Institutions 6 Additional Information

Administrative Obligations and Expenditures 8 EESA §105(a)(2)

Agreements under TARP 9 EESA §105(a)(3)(A)

Insurance Contracts 14 EESA §105(a)(3)(B)

Transactions Report 15 EESA §105(a)(3)(C,D,G)

Investment Programs 15

Home Affordable Modification Program 60

Projected Costs and Liabilities 120 EESA §105(a)(3)(E)

Programmatic Operating Expenses 121 EESA §105(a)(3)(F)

Description of Vehicles Established 122 EESA §105(a)(3)(H)

HAMP Application Activity by Servicer 123 Dodd-Frank §1483(b)

1 EESA (Emergency Economic Stabilization Act of 2008); Dodd-Frank (Dodd-Frank Wall Street Reform and Consumer 

Protection Act).
Capital Purchase Program (CPP)

CPP Snapshot

Total Institutions Funded 707 Total CPP Proceeds1 $226.6 billion

Full Repayments 260

SBLF Repayments 137

CDCI Conversions 28

Sold Investments 38

Auctioned Investments 190

In Bankruptcy/Receivership 32

Merged Institutions 4

Total Remaining Institutions 18

Partial Repayments 0

Currently in Common2 2

October 2015 Activity

Institution Date Additional Information Amount

Repurchases & Sales $2,455,328 

Capital Commerce Bancorp, Inc. 10/2/2015 Sold $2,455,328 

Warrant Repurchases & Sales $0 

None

Monthly Dividends $4,633 

Top 10 Remaining CPP Institutions

Institution Location Amount Outstanding 

(millions)

1 First BanCorp3 San Juan, PR $124.97 

2 OneFinancial Corporation Little Rock, AR $17.30 

3 Liberty Shares, Inc. Hinesville, GA $17.28 

4 Broadway Financial Corporation4 Los Angeles, CA $15.00 

5 Tidelands Bancshares, Inc. Mount Pleasant, SC $14.45 

6 HCSB Financial Corporation Loris, SC $12.90 

7 OneUnited Bank Boston, MA $12.06 

8 Cecil Bancorp, Inc. Elkton, MD $11.56 

9 Harbor Bankshares Corporation Baltimore, MD $6.80 

10 Citizens Commerce Bancshares, Inc. Versailles, KY $6.30 

1

2

3

4

On August 22, 2013, Treasury exchanged its preferred stock in Broadway Financial Corporation (Broadway) for 10,146 shares of common stock 

equivalent representing 50% of the liquidation preference of the preferred stock, plus 100% of previously accrued and unpaid dividends on the 

preferred stock. On December 5, 2013, Treasury's 10,146 shares of common stock equivalent in Broadway converted to 10,146,000 shares of 

common stock.

Repayments: Actual collections as of October 31, 2015, including (i) $2.21 billion in CPP investments refinanced under the Small Business 

Lending Fund (SBLF), a program created by Congress outside of TARP under which certain CPP institutions were allowed to repay TARP funds by 

borrowing under that program, and (ii) $0.36 billion in exchanges of CPP investments into the Community Development Capital Initiative (CDCI), as 

permitted under the terms of that program. Auctions: Includes net proceeds from all auctions of CPP preferred and note securities where cash has 

settled with OFS as of October 31, 2015. Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.

Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.

Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First BanCorp fulfilled the 

conversion conditions and Treasury's MCP was converted into 32,941,797 shares of common stock. Treasury sold 12,000,000 of such shares on 

August 16, 2013. Treasury sold a further 1,261,356 shares on September 13, 2013 following the exercise by the underwriters of their overallotment option. On December 5, 2014, Treasury completed its first pre-defined written trading plan for the sale of 4,388,888 shares of common 

stock. On March 6, 2015, Treasury completed its second pre-defined written trading plan for the sale of 5,000,000 shares of common stock.

$196.51 

$3.04 $19.02 $8.07 

 $-

 $50

 $100

 $150

 $200

Repayments Auctions Total

Dividends,

Interest &

Other Income

Warrant

Income

1
Community Development Capital Initiative (CDCI)

CDCI Snapshot

Total Institutions Funded 84

Full Repayments 21

In Bankruptcy/Receivership 1

Merged Institutions 1

Total Remaining Institutions 61

Partial Repayments 5

Currently in Common 1

October 2015 Activity

Institution Date Additional Information Amount

Repurchases $14,000 

Fidelis Federal Credit Union 10/14/2015 Full Repurchase $14,000 

Monthly Dividends $46 

Top 10 Remaining CDCI Institutions

Institution Location Amount Outstanding 

(millions)

1 BancPlus Corporation Ridgeland, MS $80.91 

2 Community Bancshares of Mississippi, Inc. Brandon, MS $54.60 

3 Southern Bancorp, Inc. Arkadelphia, AR $33.80 

4 Security Federal Corporation Aiken, SC $22.00 

5 Carver Bancorp, Inc1 New York, NY $18.98 

6 The First Bancshares, Inc. Hattiesburg, MS $17.12 

7 First American International Corp. Brooklyn, NY $17.00 

8 State Capital Corporation Greenwood, MS $15.75 

9 Guaranty Capital Corporation Belzoni, MS $14.00 

10 Citizens Bancshares Corporation Atlanta, GA $11.84 

1

On October 28, 2011, Treasury completed the exchange of all Carver Bancorp, Inc. (Carver) preferred stock held by Treasury for 

2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 

June 29, 2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

2
Making Home Affordable (MHA)

Program Update1

HAMP Activity through September 2015

All Trials Started 2,369,176 

 Tier 1 2,210,782 

 Tier 2 158,394 

Trials Reported Since Last Report 7,956 

Active Trials 30,515 

All Permanent Modifications Started 1,542,043 

 Tier 1 1,409,972 

 Tier 2 132,071 

Permanent Modifications Reported Since Last Report 9,525 

Active Permanent Modifications 985,384 

Median Savings $ (481.41)

Other MHA Program Activity through September 2015

Program-to-Date Reported Since 

Prior Period

FHA and RD-HAMP Permanent Modifications Started 100,678 4,227

2MP Modifications Started 152,442 421

HAFA Transactions Completed 389,959 4,914

UP Forbearance Plans Started (through August 2015) 44,405 198

1

2

In total2, approximately 2.5 million homeowner assistance actions have taken place under MHA programs. These 

include permanent first and second lien mortgage modifications, completed short sales and deeds-in-lieu of 

foreclosure, and unemployment forbearance plans. 

Trial 

Modifications

Permanent 

Modifications

For more information about Treasury’s housing programs, please visit: http://www.treasury.gov/initiatives/financial-stability/TARPPrograms/housing/Pages/default.aspx. 

Program Total Includes: Government Sponsored Enterprise (GSE) and Non-GSE HAMP permanent modifications; FHA- and RD-HAMP 

modification; and GSE Standard Modifications since October 2011 under the GSEs’ Servicer Alignment Initiative as reported by the GSEs to 

Treasury. HAFA Transactions Completed in the ‘Other MHA Programs’ table includes both GSE and Non-GSE HAFA transactions completed, 

including those completed by the GSEs since the GSEs jointly streamlined their short sale and deed-in-lieu of foreclosure programs in November 

2012. The GSE Standard HAFA program is closely aligned with Treasury’s MHA HAFA program.

As of October 31, 2015, $22.1 billion of MHA funds has been committed for existing MHA transactions. Of this 

amount, $12.6 billion has been disbursed and $9.5 billion is committed for the payment of future financial incentives. 

The committed and disbursed funds do not include funds needed for future MHA transactions.

3
Hardest Hit Fund (HHF)

Program Changes in October

AL

KY

MI

NV

Funds Drawn Down in October

State Amount (millions)

None

Total Drawn to Date $ 5,729 

Funds Drawn as of October 31, 2015

State (% Cap Disbursed)

Alabama received approval to expand eligiblity under its Hardest Hit for Alabama's Unemployed 

Homeowners program and to add a lien extinguishment provision to its Loan Modification Assistance 

program.

Kentucky received approval to introduce a new Down Payment Assistance program, which will provide 

down payment assistance to qualified borrowers purchasing homes in targeted areas that continue to 

demonstrate housing market distress. 

Michigan received approval to reallocate funds from its Unemployment Mortgage Subsidy and Loan 

Rescue programs into its Blight Elimination Program.

Nevada received approval to expand eligibility under its Principal Reduction Program and Second 

Mortgage Reduction Program.

$47,000,000

$174,571,919

$1,467,490,000

$18,234,860

$626,250,000

$193,983,000

$395,000,000

$146,563,760

$124,500,000

$440,847,220

$76,638,832

$437,980,000

$270,513,704

$112,049,869

$520,168,583

$220,042,786

$79,351,573

$187,500,000

$190,315,593

$0.00 $1,000,000,000.00 $2,000,000,000.00

Alabama (28.9%)

Arizona (65.2%)

California (74.3%)

Washington D.C. (88.1%)

Florida (59.2%)

Georgia (57.2%)

Illinois (88.6%)

Indiana (66.1%)

Kentucky (83.6%)

Michigan (88.4%)

Mississippi (75.2%)

North Carolina (90.7%)

New Jersey (90%)

Nevada (57.7%)

Ohio (91.2%)

Oregon (100%)

Rhode Island (100%)

South Carolina (63.5%)

Tennessee (87.6%)

Paid to Date (Amount Shown)

Remaining Allocation

4
Lifetime Costs

Program Update

Programs as of October 31, 2015 (dollar amounts in billions)

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 $ 0.12 $ (10.22) $ 

Banks with assets less than $10 billion4 $ 14.57 $ 14.57 $ 0.83 0.14 $ 

Total 204.89 $ 204.89 $ 0.26 $ (16.27) $ 

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

Asset Guarantee Program (AGP)5 $ 0.00 5.00 $ - $ (4.00) $ 

Community Development Capital Initiative (CDCI) 0.57 $ 0.57 $ 0.45 $ 0.09 $ 

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity 6.25 $ 6.25 $ - $ (3.06) $ 

Debt $ 12.38 12.38 $ - $ 0.33

Total 18.63 $ 18.63 $ - $ (2.73) $ 

Term Asset Backed Securities Lending Facility (TALF) 0.10 $ 0.10 $ - $ (0.61) $ 

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 $ - $ 12.16 $ 

Sub-total for Investment Programs6 $ 411.72 417.08 $ 0.71 $ (0.19) $ 

Making Home Affordable $ 12.59 29.78 $ n/a 29.78 $ 

Hardest Hit Fund 7.60 $ 5.73 $ n/a 7.60 $ 

FHA-Refinance7 $ 0.02 0.13 $ n/a $ 0.03

Sub-total for Housing Programs 37.51 $ 18.34 $ n/a 37.41 $ 

 Total for TARP Programs 454.59 $ 430.06 $ 0.71 $ 37.22 $ 

Additional AIG Common Shares Held by Treasury8 n/a n/a n/a $ (17.55)

Total for TARP Programs and Additional AIG Shares 454.59 $ 430.06 $ 0.71 $ 19.66 $ 

1

2

3

4

5

6

7

8

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.

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.

In March 2015, Treasury extended the letter of credit facility to provide coverage for loans refinanced throughout the eligibility period, which has been extended to December 2016, but 

reduced the amount from $1 billion to $100 million. 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. 

As discussed in note 10 to the Monthly TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for preferred stock purchased with TARP 

funds (TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury as a result of its loan to AIG (non-TARP shares). Treasury managed the 

TARP shares and non-TARP shares together, and disposed of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the 

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

Common Shares Held by Treasury” because Treasury’s cost basis in such shares was deemed to be zero. When the TARP shares and non-TARP shares are considered together, 

Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include financing costs (borrowing) from the time of initial investment through the close of the program. 

When Congress created TARP, it authorized up to $700 billion for the programs. That authority was later reduced to $475 billion. To date, a total of 

$430.1 billion has been disbursed under TARP. As of October 31, 2015, cumulative collections under TARP, together with Treasury’s additional 

proceeds from the sale of non-TARP shares of AIG1, total $442.0 billion, exceeding disbursements by $12.0 billion2. Treasury estimates that the 

combined overall cost of TARP will be approximately $37.2 billion. These estimates assume that the budget for TARP housing programs will be 

disbursed in full and do not include Treasury’s additional proceeds from its non-TARP AIG shares. For a monthly snapshot of the amount of funds 

obligated, the amount disbursed, repayments, income received and any losses by program, please visit the Monthly TARP Update at: 

http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx.

For more information, see note 10 to the Monthly TARP Update: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx

Treasury is continuing to disburse funds related to its housing programs, and continuing to recoup its outstanding investments.

Estimated Lifetime 

Cost as of 

September 303

Outstanding 

Investment 

Balance as of 

October 31

Disbursed as of 

October 31

Obligation/

Commitment

Lifetime cost information are as of September 30, 2015. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and 

Budget. Figures include interest on reestimates. Costs for the Making Home Affordable program were updated in April to reflect some terminations. 

$411.72 is the actual amount disbursed under the various TARP investment programs as opposed to obligations totaling $412.08. This is because 28 CPP banks converted from the 

CPP program to the CDCI program and those conversions, totaling $363.3 million, are not reflected as new disbursements.

5
Institution Name Location

Public/P

rivate

 Amount 

Outstanding 

First BanCorp* San Juan, PR Public 124,966,503.71 $ 

OneFinancial Corporation Little Rock, AR Private 17,300,000.00 $ 

Liberty Shares, Inc. Hinesville, GA Private 17,280,000.00 $ 

Broadway Financial Corporation* Los Angeles, CA Public 15,000,000.00 $ 

Tidelands Bancshares, Inc Mount Pleasant, SC Public 14,448,000.00 $ 

HCSB Financial Corporation Loris, SC Public 12,895,000.00 $ 

OneUnited Bank Boston, MA Private 12,063,000.00 $ 

Cecil Bancorp, Inc. Elkton, MD Public 11,560,000.00 $ 

Harbor Bankshares Corporation Baltimore, MD Public 6,800,000.00 $ 

Citizens Commerce Bancshares, Inc. Versailles, KY Public 6,300,000.00 $ 

CalWest Bancorp Rancho Santa Margarita, CA Public 4,656,000.00 $ 

Pinnacle Bank Holding Company, Inc. Orange City, FL Private 4,389,000.00 $ 

Allied First Bancorp, Inc. Oswego, IL Public 3,652,000.00 $ 

Grand Mountain Bancshares, Inc. Granby, CO Private 3,076,000.00 $ 

St. Johns Bancshares, Inc. St. Louis, MO Private 3,000,000.00 $ 

US Metro Bank Garden Grove, CA Public 2,861,000.00 $ 

Saigon National Bank Westminster, CA Public 1,549,000.00 $ 

Calvert Financial Corporation Ashland, MO Private 1,037,000.00 $ 

Institution Name Bankruptcy/ Receivership Date

CIT Group Inc.* 11/1/2009

UCBH Holdings, Inc. 11/6/2009

Pacific Coast National Bancorp* 11/13/2009

Midwest Banc Holdings, Inc.* 5/14/2010

Sonoma Valley Bancorp 8/20/2010

Pierce County Bancorp 11/5/2010

Tifton Banking Company* 11/12/2010

Legacy Bancorp, Inc. 3/11/2011

Superior Bancorp Inc. 4/15/2011

FPB Bancorp Inc. 7/15/2011

One Georgia Bank* 7/15/2011

Integra Bank Corporation 7/29/2011

Citizens Bancorp 9/23/2011

CB Holding Corp. 10/14/2011

Tennessee Commerce Bancorp, Inc. 1/27/2012

Blue River Bancshares, Inc. 2/10/2012

Fort Lee Federal Savings Bank* 4/20/2012

Gregg Bancshares, Inc. 7/13/2012

GulfSouth Private Bank* 10/19/2012

Investors Financial Corporation of Pettis County, Inc. 10/19/2012

First Place Financial Corporation* 10/29/2012

Princeton National Bancorp 11/2/2012

Premier Bank Holding Company* 8/14/2012

Gold Canyon Bank* 4/5/2013

Indiana Bank Corp. 4/9/2013

Rogers Bancshares, Inc. 7/5/2013

Anchor Bancorp Wisconsin, Inc.* 8/12/2013

TCB Holding Company 12/13/2013

Syringa Bancorp 1/31/2014

Idaho Bancorp* 4/24/2014

Troubled Asset Relief Program

CPP & CDCI Institutions

As of October 31, 2015

$ 84,784,000.00

A. Remaining CPP Portfolio Institutions

B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off

A. Remaining CPP Portfolio Institutions

*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original invesment amount 

B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off

 Realized Loss/ Write-Off 

Amount 

$ 2,330,000,000.00

$ 298,737,000.00

$ 4,120,000.00

C. Remaining CDCI Portfolio Institutions

$ 5,000,000.00

$ 8,653,000.00

$ 6,800,000.00

$ 3,800,000.00

$ 5,498,000.00

$ 69,000,000.00

$ 5,800,000.00

$ 5,500,000.00

$ 83,586,000.00

$ 10,400,000.00

$ 4,114,000.00

$ 30,000,000.00

$ 11,730,000.00

$ 1,300,000.00

$ 825,000.00

$ 7,500,000.00

$ 4,000,000.00

$ 72,927,000.00

$ 25,083,000.00

$ 9,500,000.00

$ 1,607,000.00

$ 1,312,000.00

$ 25,000,000.00

$ 104,000,000.00

$ 8,000,000.00

$ 6,900,000.00

6
Rising Sun Bancorp 10/17/2014

Western Community Bancshares, Inc. 11/7/2014

Institution Name Location

BancPlus Corporation Ridgeland, MS

Community Bancshares of Mississippi, Inc. Brandon, MS

Southern Bancorp, Inc. Arkadelphia, AR

Security Federal Corporation Aiken, SC

Carver Bancorp, Inc* New York, NY 

The First Bancshares, Inc. Hattiesburg, MS

First American International Corp. Brooklyn, NY

State Capital Corporation Greenwood, MS

Guaranty Capital Corporation Belzoni, MS

Citizens Bancshares Corporation Atlanta, GA

M&F Bancorp, Inc. Durham, NC

Liberty Financial Services, Inc. New Orleans, LA

Mission Valley Bancorp Sun Valley, CA

United Bancorporation of Alabama, Inc. Atmore, AL

Security Capital Corporation Batesville, MS

IBC Bancorp, Inc. Chicago, IL

Fairfax County Federal Credit Union Fairfax, VA

First Eagle Bancshares, Inc. Hanover Park, IL

First Vernon Bancshares, Inc. Vernon, AL

IBW Financial Corporation Washington, DC

CFBanc Corporation Washington, DC

American Bancorp of Illinois, Inc. Oak Brook, IL

Lafayette Bancorp, Inc. Oxford, MS

Hope Federal Credit Union Jackson, MS

The Magnolia State Corporation Bay Springs, MS

Community Bank of the Bay Oakland, CA

Carter Federal Credit Union Springhill, LA

Kilmichael Bancorp, Inc. Kilmichael, MS

PGB Holdings, Inc. Chicago, IL 

Santa Cruz Community Credit Union Santa Cruz, CA

Cooperative Center Federal Credit Union Berkeley, CA

Tri-State Bank of Memphis Memphis, TN

Community First Guam Federal Credit Union Hagatna, GU

Shreveport Federal Credit Union Shreveport, LA

Pyramid Federal Credit Union Tucson, AZ

Alternatives Federal Credit Union Ithaca, NY

Virginia Community Capital, Inc. Christiansburg, VA

Southern Chautauqua Federal Credit Union Lakewood, NY

Tongass Federal Credit Union Ketchikan, AK

D.C. Federal Credit Union Washington, DC

Lower East Side People's Federal Credit Union New York, NY

Opportunities Credit Union Burlington, VT

Vigo County Federal Credit Union Terre Haute, IN

Independent Employers Group Federal Credit Union Hilo, HI

Bethex Federal Credit Union Bronx, NY

Community Plus Federal Credit Union Rantoul, IL

Tulane-Loyola Federal Credit Union New Orleans, LA

Northeast Community Federal Credit Union San Francisco, CA

North Side Community Federal Credit Union Chicago, IL

Genesee Co-op Federal Credit Union Rochester, NY

Brooklyn Cooperative Federal Credit Union Brooklyn, NY

Neighborhood Trust Federal Credit Union New York, NY

Liberty County Teachers Federal Credit Union Liberty, TX

Phenix Pride Federal Credit Union Phenix City, AL

Buffalo Cooperative Federal Credit Union Buffalo, NY

Hill District Federal Credit Union Pittsburgh, PA

Episcopal Community Federal Credit Union Los Angeles, CA

Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia, WA

Renaissance Community Development Credit Union Somerset, NJ

Union Baptist Church Federal Credit Union Fort Wayne, IN

East End Baptist Tabernacle Federal Credit Union Bridgeport, CT

*Original Investment has been converted into common stock in the institution. Amount shown is original invesment amount.

C. Remaining CDCI Portfolio Institutions

 Amount Outstanding 

$ 80,914,000.00

$ 54,600,000.00

$ 33,800,000.00

$ 5,983,000.00

$ 7,290,000.00

*Institution has exited the bankruptcy/receivership process

$ 15,750,000.00

$ 14,000,000.00

$ 11,841,000.00

$ 11,735,000.00

$ 11,334,000.00

$ 22,000,000.00

$ 18,980,000.00

$ 8,660,000.00

$ 17,123,000.00

$ 17,000,000.00

$ 6,245,000.00

$ 6,000,000.00

$ 5,781,000.00

$ 5,457,000.00

$ 4,551,000.00

$ 10,336,000.00

$ 10,300,000.00

$ 8,086,000.00

$ 8,044,000.00

$ 7,875,000.00

$ 3,000,000.00

$ 2,828,000.00

$ 2,799,000.00

$ 2,795,000.00

$ 2,650,000.00

$ 4,520,000.00

$ 4,222,000.00

$ 4,060,000.00

$ 3,800,000.00

$ 3,154,000.00

$ 1,600,000.00

$ 1,522,000.00

$ 737,400.00

$ 1,193,000.00

$ 1,091,000.00

$ 2,646,000.00

$ 2,500,000.00

$ 2,234,000.00

$ 1,915,000.00

$ 1,709,000.00

$ 325,000.00

$ 300,000.00

$ 300,000.00

$ 283,000.00

$ 698,000.00

$ 502,000.00

$ 450,000.00

$ 424,000.00

$ 350,000.00

$ 10,000.00

$ 7,000.00

$ 100,000.00

$ 75,000.00

$ 31,000.00

$ 261,000.00

$ 153,000.00

$ 145,000.00

$ 100,000.00

7
Budget

Object Class (BOC) Budget Object Class Title Oblig

PERSONNEL SERVICES 1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS 14

$ 

PERSONNEL SERVICES Total: 14

$ 

2100 TRAVEL & TRANSPORTATION OF PERSONS 

$ 

2200 TRANSPORTATION OF THINGS 2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 2400 PRINTING & REPRODUCTION 2500 OTHER SERVICES 302600 SUPPLIES AND MATERIALS 3100 EQUIPMENT 3200 LAND & STRUCTURES $ 

4200 INSURANCE CLAIMS & INDEMNITIES $ 4300 INTEREST & DIVIDENDS 

 

NON-PERSONNEL SERVICES Total: 31

$ 

GRAND TOTAL: 460

$ 

NON-PERSONNEL SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expend

Note: The amounts presented above are cumulative from the initiation of the TARP.
Date Approved Type of Transaction Vendor Purpose 

10/10/2008 Contract Simpson Thacher & Bartlett LLP Legal Advisory Other Than Sma

10/11/2008 Contract Ennis Knupp & Associates Inc. Investment and Advisory Services Other Than Sma

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

10/16/2008 Contract PricewaterhouseCoopers LLP Accounting/Internal Controls Other Than Sma

10/17/2008 Contract Turner Consulting Group, Inc. Archiving Services Other Than Sma

10/18/2008 Contract Ernst & Young LLP Accounting/Internal Controls Other Than Sma

10/29/2008 Contract Squire, Sanders & Dempsey LLP Legal Advisory Other Than Sma

10/29/2008 Contract Hughes Hubbard & Reed LLP Legal Advisory Other Than Sma

10/31/2008 Contract Lindholm & Associates, Inc. Human Resources Services Woman‐Owned 

11/07/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory Other Than Sma

11/09/2008 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

11/17/2008 Interagency Agreement Internal Revenue Service (IRS) Information Technology

11/25/2008 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

12/03/2008 Interagency Agreement Trade and Tax Bureau ‐ Treasury Information Technology

12/05/2008 Contract Washington Post Administrative Support Other Than Sma

12/10/2008 Contract Thacher Proffitt & Wood LLP Legal Advisory Other Than Sma

12/10/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory Other Than Sma

12/15/2008 Interagency Agreement Office of Thrift Supervision Administrative Support

12/16/2008 Interagency Agreement Department of Housing and Urban Development Administrative Support

12/22/2008 Interagency Agreement Office of Thrift Supervision Administrative Support

12/24/2008 Contract Cushman And Wakefield Of VA Inc. Administrative Support Other Than Sma

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

01/07/2009 Contract Colonial Parking Inc. Administrative Support Other Than Sma

01/27/2009 Contract Whitaker Brothers Business Machines Inc Facilities Support Small Business

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

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

02/02/2009 Interagency Agreement Government Accountability Office Compliance02/03/2009 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

02/09/2009 Contract Pat Taylor and Associates, Inc. Administrative Support Woman‐Owned 

02/12/2009 Contract Locke Lord Bissell & Liddell LLP Legal Advisory Other Than Sma

02/18/2009 Financial Agent Fannie Mae Homeownership Program Other Than Sma

02/18/2009 Financial Agent Freddie Mac Homeownership Program Other Than Sma

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

02/20/2009 Interagency Agreement FINANCIAL CLERK U.S. SENATE Financial Advisory

02/20/2009 Contract Venable LLP Legal Advisory Other Than Sma

02/20/2009 Contract Simpson Thacher & Bartlett LLP Legal Advisory Other Than Sma

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

02/27/2009 Interagency Agreement Pension Benefit Guaranty Corporation Legal Advisory

03/06/2009 Contract The Boston Consulting Group Financial Advisory Other Than Sma

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

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

03/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory Other Than Sma

03/30/2009 Contract Bingham McCutchen LLP Legal Advisory Other Than Sma

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period October 2015
03/30/2009 Contract Haynes and Boone LLP Legal Advisory Other Than Sma

03/30/2009 Contract Mckee Nelson LLP Legal Advisory Other Than Sma

03/31/2009 Contract FI Consulting Inc. Accounting/Internal Controls Small Business

04/03/2009 Contract American Furniture Rentals, Inc. Administrative Support Small Business

04/03/2009 Contract The Boston Consulting Group Financial Advisory Other Than Sma

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

04/17/2009 Contract Herman Miller, Inc. Facilities Support Other Than Sma

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

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

04/21/2009 Financial Agent Piedmont Investment Advisors, LLC Asset Management Services Small Disadvant

04/30/2009 Interagency Agreement U.S. Department of State Administrative Support

05/05/2009 Interagency Agreement Federal Reserve Board Administrative Support

05/13/2009 Interagency Agreement Department of Treasury ‐ US Mint Administrative Support

05/14/2009 Contract Knowledgebank Inc. Administrative Support Small Disadvant

05/15/2009 Contract Phacil Inc. Contract FOIA Support Services Small Disadvant

05/20/2009 Interagency Agreement U.S. Securities and Exchange Commission Administrative Support

05/22/2009 Interagency Agreement Department of Justice ‐ ATF Administrative Support

05/26/2009 Contract Anderson Mc Coy & Orta Legal Advisory Woman‐Owned 

05/26/2009 Contract Simpson Thacher & Bartlett LLP Legal Advisory Other Than Sma

06/09/2009 Interagency Agreement Financial Management Service Information Technology

06/29/2009 Interagency Agreement Department of the Interior Administrative Support

07/17/2009 Contract Korn/Ferry International Administrative Support Other Than Sma

07/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory Other Than Sma

07/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other Than Sma

07/30/2009 Contract Fox, Swibel, Levin & Carroll, LLP Legal Advisory Other Than Sma

08/10/2009 Interagency Agreement U.S. Department of Justice Administrative Support

08/10/2009 Interagency Agreement NASA Detailee(s)08/18/2009 Contract The Mercer Group, Inc. Administrative Support Other Than Sma

08/25/2009 Interagency Agreement U.S. Department of Justice Administrative Support

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

09/10/2009 Contract Equilar, Inc. Administrative Support Small Disadvant

09/11/2009 Contract PricewaterhouseCoopers LLP Accounting/Internal Controls Other Than Sma

09/18/2009 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

09/30/2009 Contract Immixtechnology, Inc. Information Technology Other Than Sma

09/30/2009 Contract Immixtechnology, Inc. Information Technology Other Than Sma

09/30/2009 Contract Nna Incorporated Administrative Support Small Business

09/30/2009 Contract SNL Financial LC Financial Advisory Other Than Sma

11/09/2009 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

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

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

12/22/2009 Financial Agent Avondale Investments, LLC Asset Management Services Small Disadvant

12/22/2009 Financial Agent Bell Rock Capital, LLC Asset Management Services Woman‐Owned 

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

12/22/2009 Financial Agent KBW Asset Management, Inc. Asset Management Services Other Than Sma

12/22/2009 Financial Agent Lombardia Capital Partners, LLC Asset Management Services Small Disadvant

12/22/2009 Financial Agent Paradigm Asset Management Co., LLC Asset Management Services Small Disadvant

01/14/2010 Interagency Agreement Government Accountability Office Compliance01/15/2010 Contract Association of Govt Accountants Administrative Support Other Than Sma

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

02/16/2010 Contract The MITRE Corporation Information Technology Other Than Sma

02/18/2010 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

03/08/2010 Contract QualX Corporation Administrative Support Service‐Disabled 

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

03/22/2010 Interagency Agreement Financial Management Service Information Technology
03/26/2010 Interagency Agreement Federal Maritime Commission Administrative Support

03/29/2010 Financial Agent Morgan Stanley & Co. Incorporated Disposition Agent Services Other Than Sma

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

04/08/2010 Contract Squire, Sanders & Dempsey LLP Legal Advisory Other Than Sma

04/12/2010 Contract Hewitt EnnisKnupp, Inc. Investment and Advisory Services Other Than Sma

04/22/2010 Contract Digital Management Inc. Information Technology Small Business

04/22/2010 Contract MicroLink, LLC Administrative Support Small Business

04/23/2010 Contract RDA Corporation Information Technology Other Than Sma

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

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

06/24/2010 Contract Reed Elsevier PLC (dba LexisNexis) Administrative Support Other Than Sma

06/30/2010 Contract The George Washington University Administrative Support Other Than Sma

07/21/2010 Contract Regis & Associates, PC Compliance Small Disadvant

07/21/2010 Contract Navigant Consulting, Inc. Compliance Other Than Sma

07/22/2010 Contract PricewaterhouseCoopers LLP Compliance Other Than Sma

07/22/2010 Contract Ernst & Young LLP Compliance Other Than Sma

07/22/2010 Contract Schiff Hardin LLP Legal Advisory Other Than Sma

07/27/2010 Contract West Publishing Corporation Administrative Support Other Than Sma

08/06/2010 Contract Alston & Bird LLP Legal Advisory Other Than Sma

08/06/2010 Contract Sullivan Cove Reign Enterprises Jv Legal Advisory Small Disadvant

08/06/2010 Contract Perkins Coie LLP Legal Advisory Other Than Sma

08/06/2010 Contract Orrick, Herrington & Sutcliffe LLP Legal Advisory Other Than Sma

08/06/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other Than Sma

08/06/2010 Contract Haynes and Boone LLP Legal Advisory Other Than Sma

08/06/2010 Contract Love and Long, LLP Legal Advisory Woman‐Owned 

08/06/2010 Contract Venable LLP Legal Advisory Other Than Sma

08/06/2010 Contract Fox, Swibel, Levin & Carroll, LLP Legal Advisory Other Than Sma

08/06/2010 Contract Seyfarth Shaw LLP Legal Advisory Other Than Sma

08/06/2010 Contract Paul, Weiss, Rifkind, Wharton & Garrison LLP Legal Advisory Other Than Sma

08/06/2010 Contract Shulman, Rogers, Gandal, Pordy & Ecker, PA Legal Advisory Other Than Sma

08/06/2010 Contract Hughes Hubbard & Reed LLP Legal Advisory Other Than Sma

08/12/2010 Contract Knowledge Mosaic Inc. Administrative Support Small Business

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

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

09/17/2010 Contract Bingham McCutchen LLP Legal Advisory Other Than Sma

09/27/2010 Contract Davis Audrey Robinette Administrative Support Small Disadvant

09/30/2010 Contract CCH Incorporated Administrative Support Other Than Sma

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

10/01/2010 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other Than Sma

10/14/2010 Contract Hispanic Assoc Of Coll & Univ Administrative Support Other Than Sma

10/26/2010 Interagency Agreement Government Accountability Office Compliance11/08/2010 Contract The Mitre Corporation Information Technology Other Than Sma

11/18/2010 Financial Agent Greenhill & Co., LLC Structuring and Disposition Services Other Than Sma

12/02/2010 Contract Addx Corporation Acquisition Support Services Service‐Disabled 

12/29/2010 Contract Reed Elsevier PLC (dba LexisNexis) Administrative Support Other Than Sma

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

01/24/2011 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

01/26/2011 Contract Association of Govt Accountants Administrative Support Other Than Sma

02/24/2011 Contract ESI International Inc. Administrative Support Other Than Sma

02/28/2011 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

03/03/2011 Contract Equilar, Inc. Administrative Support Small Disadvant

03/10/2011 Contract The Mercer Group, Inc. Administrative Support Other Than Sma

03/22/2011 Contract Harrison Scott Publications, Inc. Administrative Support Small Business

04/20/2011 Interagency Agreement Federal Reserve Bank of New York Financial Advisory

04/26/2011 Contract PricewaterhouseCoopers LLP Financial Advisory Other Than Sma

04/27/2011 Contract Oculus Group LLC Financial Advisory Small Disadvant

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

04/27/2011 Contract ASR Analytics LLC Financial Advisory Small Business

04/27/2011 Contract Ernst & Young LLP Financial Advisory Other Than Sma

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

04/27/2011 Contract MorganFranklin Consulting, LLC Financial Advisory Other Than Sma

04/28/2011 Contract Booz Allen Hamilton Inc. Financial Advisory Other Than Sma

04/28/2011 Interagency Agreement Office of Personnel Management (OPM) ‐ Western MAdministrative Support

04/28/2011 Contract KPMG LLP Financial Advisory Other Than Sma

05/31/2011 Contract West Publishing Corporation Administrative Support Other Than Sma

05/31/2011 Contract Reed Elsevier PLC (dba LexisNexis) Administrative Support Other Than Sma

06/02/2011 Contract ESI International Inc. Administrative Support Other Than Sma

06/09/2011 Contract CQ‐Roll Call Inc. Administrative Support Other Than Sma

06/17/2011 Contract Winvale Group LLC Subscription Services Small Business

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

09/09/2011 Interagency Agreement Financial Management Service Intern

09/12/2011 Contract ADC LTD NM Compliance Small Disadvant

09/15/2011 Contract All Business Machines, Inc. Administrative Support Service‐Disabled 

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

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

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

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

11/18/2011 Contract QualX Corporation Administrative Support Service‐Disabled 

11/29/2011 Financial Agent Houlihan Lokey, Inc. Transaction Structuring Services Other Than Sma

12/20/2011 Contract The Allison Group, LLC Professional/Management Training Woman‐Owned 

12/30/2011 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

12/30/2011 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

01/04/2012 Interagency Agreement Government Accountability Office Compliance01/05/2012 Interagency Agreement Office of Personnel Management (OPM) ‐ Western MAdministrative Support

02/02/2012 Contract Moody's Analytics, Inc. Administrative Support Other Than Sma

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

02/14/2012 Contract Association of Govt Accountants Administrative Support Other Than Sma

02/27/2012 Contract Diversified Search LLC Financial Advisory Woman‐Owned 

03/06/2012 Contract Integrated Federal Solutions, Inc. Administrative Support Small Disadvant

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

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

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

05/02/2012 Contract Cartridge Technologies, Inc. Facilities Support Small Disadvant

05/10/2012 Contract Equilar, Inc. Administrative Support Small Disadvant

06/12/2012 Interagency Agreement U.S. Department of Justice Administrative Support

06/15/2012 Contract QualX Corporation Administrative Support Service‐Disabled 

06/30/2012 Contract West Publishing Corporation Subscription Services Other Than Sma

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

08/01/2012 Interagency Agreement Internal Revenue Service (IRS) Administrative Support
08/03/2012 Contract Harrison Scott Publications, Inc. Administrative Support Small Business

09/19/2012 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

09/28/2012 Contract SNL Financial LC Information Technology Other Than Sma

11/19/2012 Interagency Agreement Government Accountability Office Compliance12/13/2012 Contract Association of Govt Accountants Administrative Support Other Than Sma

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 Other Than Sma

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

02/13/2013 Contract The Mercer Group, Inc. Administrative Support Other Than Sma

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

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

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

03/26/2013 Contract Bloomberg Finance L.P. Subscription Other Than Sma

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

05/01/2013 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

05/10/2013 Contract Equilar, Inc. Administrative Small Disadvant

06/13/2013 Contract West Publishing Corporation Administrative Support Other Than Sma

08/01/2013 Contract Evolution Management, Inc. Administrative Support Small Disadvant

08/20/2013 Contract Knowledge Mosaic Inc. Administrative Support Small Business

09/25/2013 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

09/27/2013 Contract SNL Financial LC Administrative Support Other Than Sma

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

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

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

12/12/2013 Contract Association of Govt Accountants Administrative Support Other Than Sma

12/18/2013 Interagency Agreement U.S. Department of Justice Administrative Support

03/05/2014 Interagency Agreement U.S. Department of Justice Administrative Support

03/12/2014 Interagency Agreement Department of the Treasury ‐ Departmental Offices Information Technology

03/24/2014 Contract The Mercer Group, Inc. Compliance Other Than Sma

04/14/2014 Contract Bloomberg Finance L.P. Administrative Support Other Than Sma

06/13/2014 Contract The Winvale Group, LLC Administrative Support Small Business

10/01/2014 Interagency Agreement Internal Revenue Service Office of Procurement Administrative Support

10/29/2014 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

11/06/2014 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

11/07/2014 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

11/17/2014 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

11/25/2014 Interagency Agreement Government Accountability Office Administrative Support

01/26/2015 Interagency Agreement Department of the Interior Administrative Support

04/02/2015 Contract Integrated Federal Solutions, Inc. Administrative Support Small Disadvant

09/17/2015 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

10/01/2015 Interagency Agreement Government Accountability Office Administrative Support10/01/2015 Interagency Agreement Government Accountability Office Administrative Support

‐Contract responsibilities for Thatcher Proffitt & Wood assumed by Sonnenschein Nath & Rosenthal via novation.

‐Contract responsibilities for McKee Nelson LLP assumed by Bingham McCutchen, LLP via novation.

‐Management Concepts contracts for various training are now being reported separately rather than combined single line item.

‐Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending October 31, 2015

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 Citigrofinancial condition and financial market stability. 
*Investment Status Definition Key

Full investment outstanding: Treasury's full investment is still outstandingRedeemed – institution has repaid Treasury’s investmentSold – by auction, an offering, or through a restructuringExited bankruptcy/receivership - Treasury has no outstanding investment

Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

11 1ST CONSTITUTION BANCORP CRANBURY NJ 12/23/2008 Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in 

1ST CONSTITUTION BANCORP CRANBURY NJ 10/27/2010 

1ST CONSTITUTION BANCORP CRANBURY NJ 11/22/2011 

8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 2/13/2009 Preferred Stock w/ Warrants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, in 

1ST ENTERPRISE BANK LOS ANGELES CA 12/11/2009 $6,000,000.001ST ENTERPRISE BANK LOS ANGELES CA 9/1/2011 

102 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 11/14/2008 Preferred Stock w/ Warrants $16,369,000.00 $0.00 $9,229,948.97 Sold, in full; w

1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 12/31/2013 

11 1ST SOURCE CORPORATION SOUTH BEND IN 1/23/2009 Preferred Stock w/ Warrants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, in 

1ST SOURCE CORPORATION SOUTH BEND IN 12/29/2010 

1ST SOURCE CORPORATION SOUTH BEND IN 3/9/2011 

8,11,14 1ST UNITED BANCORP, INC. BOCA RATON FL 3/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, in 

1ST UNITED BANCORP, INC. BOCA RATON FL 11/18/2009 

AB&T FINANCIAL CORPORATION GASTONIA NC 1/23/2009 Preferred Stock w/ Warrants $3,500,000.00 $0.00 $1,274,909.59 Sold, in full; wAB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 AB&T FINANCIAL CORPORATION GASTONIA NC 1/6/2014 AB&T FINANCIAL CORPORATION GASTONIA NC 2/10/2014 AB&T FINANCIAL CORPORATION GASTONIA NC 3/19/2014 

8,14,44 ADBANC, INC. OGALLALA NE 1/30/2009 Preferred Stock w/ Exercised Warrants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, in 

ADBANC, INC. OGALLALA NE 7/21/2011 

8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 1/23/2009 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 $7,674,004.73 Sold, in full; w

ALARION FINANCIAL SERVICES, INC. OCALA FL 7/19/2013 

ALARION FINANCIAL SERVICES, INC. OCALA FL 7/22/2013 ALARION FINANCIAL SERVICES, INC. OCALA FL 9/12/2013 

104 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 2/6/2009 Preferred Stock w/ Warrants $4,781,000.00 $0.00 $7,501,881.70 Sold, in full; w

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11/28/2012 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11/29/2012 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 1/11/2013 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 3/26/2013 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 4/1/2014 ALLIANCE BANCSHARES, INC. DALTON GA 6/26/2009 Preferred Stock w/ Exercised Warrants $2,986,000.00 $0.00 $3,581,397.27 Sold, in full; wALLIANCE BANCSHARES, INC. DALTON GA 3/27/2013 ALLIANCE BANCSHARES, INC. DALTON GA 3/28/2013 ALLIANCE BANCSHARES, INC. DALTON GA 4/9/2013 

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 12/19/2008 Preferred Stock w/ Warrants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, in 

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 5/13/2009 

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 6/17/2009 

14,15 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $9,806,136.60 Sold, in full; w

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 2/6/2013 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 2/7/2013 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 3/26/2013 

8 ALLIED FIRST BANCORP, INC. OSWEGO IL 4/24/2009 Preferred Stock w/ Exercised Warrants $3,652,000.00 $3,652,000.00 $409,753.00 Full investme

8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 3/27/2009 Preferred Stock w/ Exercised Warrants $70,000,000.00 $0.00 $73,129,160.69 Sold, in full; w

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/19/2012 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/20/2012 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 11/16/2012 

8,14,45 AMB FINANCIAL CORPORATION MUNSTER IN 1/30/2009 Preferred Stock w/ Exercised Warrants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, in 

AMB FINANCIAL CORPORATION MUNSTER IN 9/22/2011 

8,14,44 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 3/6/2009 Preferred Stock w/ Exercised Warrants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, in 

AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 9/15/2011 

11 AMERICAN EXPRESS COMPANY NEW YORK NY 1/9/2009 Preferred Stock w/ Warrants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, in 

AMERICAN EXPRESS COMPANY NEW YORK NY 6/17/2009 AMERICAN EXPRESS COMPANY NEW YORK NY 7/29/2009 

8,11,14 AMERICAN PREMIER BANCORP ARCADIA CA 5/29/2009 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, in 

AMERICAN PREMIER BANCORP ARCADIA CA 1/26/2011 

8,11,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 1/9/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, in 

AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 11/2/2011 AMERIS BANCORP MOULTRIE GA 11/21/2008 Preferred Stock w/ Warrants $52,000,000.00 $0.00 $59,637,438.67 Sold, in full; wAMERIS BANCORP MOULTRIE GA 6/19/2012 

AMERIS BANCORP MOULTRIE GA 8/22/2012 

45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 12/19/2008 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, in 

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 8/11/2011 

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11/2/2011 

14,15 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 8/21/2009 Subordinated Debentures w/ Exercised Warrants $5,000,000.00 $0.00 $6,523,255.00 Sold, in full; w

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/26/2013 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/27/2013 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/28/2013 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 4/9/2013 

94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 1/30/2009 Preferred Stock w/ Warrants $110,000,000.00 $0.00 $6,000,000.00 Sold, in full; w

ANCHOR BANCORP WISCONSIN, INC. MADISON WI 9/27/2013 

11,90 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 1/30/2009 Preferred Stock w/ Warrants $8,152,000.00 $0.00 $13,378,714.00 Redeemed, in 

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 4/18/2012 

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 3/6/2013 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 5/28/2015 

11 ASSOCIATED BANC-CORP GREEN BAY WI 11/21/2008 Preferred Stock w/ Warrants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, in 

ASSOCIATED BANC-CORP GREEN BAY WI 4/6/2011 

ASSOCIATED BANC-CORP GREEN BAY WI 9/14/2011 

ASSOCIATED BANC-CORP GREEN BAY WI 12/6/2011 

8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 12/29/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,503,554.78 Sold, in full; w

ATLANTIC BANCSHARES, INC. BLUFFTON SC 2/7/2014 ATLANTIC BANCSHARES, INC. BLUFFTON SC 2/10/2014 

ATLANTIC BANCSHARES, INC. BLUFFTON SC 3/19/2014 

8,14,44 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 2/27/2009 Preferred Stock w/ Exercised Warrants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, in 

AVENUE FINANCIAL HOLDINGS NASHVILLE TN 9/15/2011 

11 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 1/30/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, in 

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 7/31/2013 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 8/28/2013 

8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 3/13/2009 Preferred Stock w/ Exercised Warrants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, in 

BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 7/14/2011 

8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 7/10/2009 Preferred Stock w/ Exercised Warrants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, in 

BANCORP FINANCIAL, INC. OAK BROOK IL 8/18/2011 

11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, in 

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 8/5/2009 

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 9/30/2009 

8,11,14 BANCPLUS CORPORATION RIDGELAND MS 2/20/2009 Preferred Stock w/ Exercised Warrants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, in 

BANCPLUS CORPORATION RIDGELAND MS 9/29/2010 

8,14 BANCSTAR, INC. FESTUS MO 4/3/2009 Preferred Stock w/ Exercised Warrants $8,600,000.00 $0.00 $10,701,460.58 Sold, in full; w

BANCSTAR, INC. FESTUS MO 4/26/2013 

BANCSTAR, INC. FESTUS MO 4/29/2013 BANCSTAR, INC. FESTUS MO 5/31/2013 

This copy of the Transactions Report is subject to the terms and conditions of download as stated at http://www.treasury.gov/initiatives/financial-stability/reports/P

CAPITAL PURCHASE PROGRAM

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending October 14, 2015

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Write-off)In full – all of Treasury’s investment amountIn part – part of the investment is no longer held by Treasury, but some remains Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrantsWarrants 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 

83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, in 

BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 2/15/2013 

8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 8/14/2009 Preferred Stock w/ Exercised Warrants $1,004,000.00 $0.00 $1,114,680.76 Sold, in full; w

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 12/19/2012 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 12/20/2012 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 1/11/2013 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 3/26/2013 

6,7,11 BANK OF AMERICA CHARLOTTE NC 10/28/2008 Preferred Stock w/ Warrants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, in 

BANK OF AMERICA CHARLOTTE NC 1/9/2009 $10,000,000,000.00BANK OF AMERICA CHARLOTTE NC 12/9/2009 

BANK OF AMERICA CHARLOTTE NC 3/9/2010 

8,14 BANK OF COMMERCE CHARLOTTE NC 1/16/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,087,573.33 Sold, in full; w

BANK OF COMMERCE CHARLOTTE NC 11/30/2012 BANK OF COMMERCE CHARLOTTE NC 1/11/2013 

44 BANK OF COMMERCE HOLDINGS REDDING CA 11/14/2008 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, in 

BANK OF COMMERCE HOLDINGS REDDING CA 9/27/2011 

BANK OF COMMERCE HOLDINGS REDDING CA 10/26/2011 

8 BANK OF GEORGE LAS VEGAS NV 3/13/2009 Preferred Stock w/ Exercised Warrants $2,672,000.00 $0.00 $1,233,940.00 Sold, in full; w

BANK OF GEORGE LAS VEGAS NV 10/21/2013 BANK OF GEORGE LAS VEGAS NV 1/6/2014 

11 BANK OF MARIN BANCORP NOVATO CA 12/5/2008 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, in 

BANK OF MARIN BANCORP NOVATO CA 3/31/2009 

BANK OF MARIN BANCORP NOVATO CA 11/23/2011 

11 BANK OF NEW YORK MELLON NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, in 

BANK OF NEW YORK MELLON NEW YORK NY 6/17/2009 BANK OF NEW YORK MELLON NEW YORK NY 8/5/2009 

105 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 4/17/2009 Preferred Stock w/ Warrants $13,179,000.00 $0.00 $4,334,427.00 Sold, in full; w

BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 7/16/2014 

11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12/12/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, in 

BANK OF THE OZARKS, INC. LITTLE ROCK AR 11/4/2009 

BANK OF THE OZARKS, INC. LITTLE ROCK AR 11/24/2009 

8,106 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 1/30/2009 Preferred Stock w/ Exercised Warrants $12,639,000.00 $0.00 $17,097,990.60 Redeemed, in 

BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 4/24/2014 

8,14,44 BANKFIRST CAPITAL CORPORATION MACON MS 1/23/2009 Preferred Stock w/ Exercised Warrants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, in 

BANKFIRST CAPITAL CORPORATION MACON MS 9/8/2011 

8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $1,100,653.50 Sold, in full; w

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11/9/2012 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 1/11/2013 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 3/26/2013 BANNER CORPORATION/BANNER BANK WALLA WALLA WA 11/21/2008 Preferred Stock w/ Warrants $124,000,000.00 $0.00 $129,079,862.47 Sold, in full; wBANNER CORPORATION/BANNER BANK WALLA WALLA WA 4/3/2012 

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 6/12/2013 

8,14,44 BANNER COUNTY BAN CORPORATION HARRISBURG NE 2/6/2009 Preferred Stock w/ Exercised Warrants $795,000.00 $0.00 $942,411.42 Redeemed, in 

BANNER COUNTY BAN CORPORATION HARRISBURG NE 7/28/2011 

12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 1/16/2009 Preferred Stock w/ Warrants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, in 

BAR HARBOR BANKSHARES BAR HARBOR ME 2/24/2010 

BAR HARBOR BANKSHARES BAR HARBOR ME 7/28/2010 

11 BB&T CORP. WINSTON-SALEM NC 11/14/2008 Preferred Stock w/ Warrants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, in 

BB&T CORP. WINSTON-SALEM NC 6/17/2009 BB&T CORP. WINSTON-SALEM NC 7/22/2009 

8,112 BCB HOLDING COMPANY, INC. THEODORE AL 4/3/2009 Preferred Stock w/ Exercised Warrants $1,706,000.00 $0.00 $2,315,853.14 Redeemed, in 

BCB HOLDING COMPANY, INC. THEODORE AL 7/1/2014 

11 BCSB BANCORP, INC. BALTIMORE MD 12/23/2008 Preferred Stock w/ Warrants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, in 

BCSB BANCORP, INC. BALTIMORE MD 1/26/2011 

BCSB BANCORP, INC. BALTIMORE MD 4/19/2013 

8,11,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 1/30/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, in 

BEACH BUSINESS BANK MANHATTAN BEACH CA 7/6/2011 BEACH BUSINESS BANK MANHATTAN BEACH CA 10/19/2011 BEACH BUSINESS BANK MANHATTAN BEACH CA 3/7/2012 BEACH BUSINESS BANK MANHATTAN BEACH CA 6/6/2012 BEACH BUSINESS BANK MANHATTAN BEACH CA 6/27/2012 

8,11,14 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 6/12/2009 Preferred Stock w/ Exercised Warrants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, in 

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12/28/2011 

11 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 12/19/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, in 

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 5/27/2009 

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 6/24/2009 

8,14,44 BERN BANCSHARES, INC. BERN KS 2/13/2009 Preferred Stock w/ Exercised Warrants $985,000.00 $0.00 $1,172,062.50 Redeemed, in 

BERN BANCSHARES, INC. BERN KS 9/1/2011 

8,14,18 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 4/24/2009 Preferred Stock w/ Exercised Warrants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, in 

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 12/18/2009 $1,744,000.00BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 7/28/2011 

15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $6,400,000.00 $0.00 $8,271,975.28 Sold, in full; w

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 2/7/2013 

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 2/8/2013 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 3/26/2013 

8 BLACKHAWK BANCORP, INC. BELOIT WI 3/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,459,461.11 Sold, in full; w

BLACKHAWK BANCORP, INC. BELOIT WI 10/29/2012 

BLACKHAWK BANCORP, INC. BELOIT WI 10/31/2012 BLACKHAWK BANCORP, INC. BELOIT WI 1/11/2013 

8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 5/22/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, in 

BLACKRIDGE FINANCIAL, INC. FARGO ND 6/27/2012 BLACKRIDGE FINANCIAL, INC. FARGO ND 9/12/2012 

8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 3/6/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $11,938,437.34 Sold, in full; w

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 10/29/2012 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 10/31/2012 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 1/11/2013 

8,64,97 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 3/6/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $529,105.00 Currently Not 

BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 2/10/2012 BLUE VALLEY BAN CORP OVERLAND PARK KS 12/5/2008 Preferred Stock w/ Warrants $21,750,000.00 $0.00 $21,264,901.65 Sold, in full; wBLUE VALLEY BAN CORP OVERLAND PARK KS 10/18/2013 BLUE VALLEY BAN CORP OVERLAND PARK KS 10/21/2013 

BLUE VALLEY BAN CORP OVERLAND PARK KS 1/6/2014 

BLUE VALLEY BAN CORP OVERLAND PARK KS 1/7/2015 

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 4/17/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, in 

BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 8/30/2013 BNC BANCORP THOMASVILLE NC 12/5/2008 Preferred Stock w/ Warrants $31,260,000.00 $0.00 $35,140,666.12 Sold, in full; wBNC BANCORP THOMASVILLE NC 8/29/2012 

BNC BANCORP THOMASVILLE NC 9/19/2012 

8,14,44 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 2/27/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, in 

BNC FINANCIAL GROUP, INC. NEW CANAAN CT 8/4/2011 

8 BNCCORP, INC. BISMARCK ND 1/16/2009 Preferred Stock w/ Exercised Warrants $20,093,000.00 $0.00 $26,941,865.35 Sold, in full; w

BNCCORP, INC. BISMARCK ND 3/14/2014 

BNCCORP, INC. BISMARCK ND 3/17/2014 

BNCCORP, INC. BISMARCK ND 4/25/2014 

8,14,44 BOH HOLDINGS, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, in 

BOH HOLDINGS, INC. HOUSTON TX 7/14/2011 

14,15 BOSCOBEL BANCORP, INC. BOSCOBEL WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $5,586,000.00 $0.00 $6,947,457.50 Sold, in full; w

BOSCOBEL BANCORP, INC. BOSCOBEL WI 3/8/2013 

BOSCOBEL BANCORP, INC. BOSCOBEL WI 3/11/2013 BOSCOBEL BANCORP, INC. BOSCOBEL WI 4/9/2013 

11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 11/21/2008 Preferred Stock w/ Warrants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, in 

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 1/13/2010 

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 6/16/2010 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 2/7/2011 

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 12/23/2008 Preferred Stock w/ Warrants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, in 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 2/23/2011 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 3/16/2011 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 4/20/2011 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

8 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 12/19/2008 Preferred Stock w/ Exercised Warrants $38,000,000.00 $0.00 $13,447,811.37 Sold, in full; w

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 11/19/2013 

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 1/6/2014 

9,10,18,65,96,99 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 11/14/2008 Preferred Stock w/ Warrants $9,000,000.00 $15,000,000.00 $810,416.67 Full investme

BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 12/4/2009 $6,000,000.00

14,15 BROGAN BANKSHARES, INC. KAUKAUNA WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $2,400,000.00 $0.00 $3,022,879.60 Sold, in full; w

BROGAN BANKSHARES, INC. KAUKAUNA WI 4/26/2013 

BROGAN BANKSHARES, INC. KAUKAUNA WI 4/29/2013 BROGAN BANKSHARES, INC. KAUKAUNA WI 5/31/2013 

8,14,44 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 7/17/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, in 

BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 9/15/2011 

8,11,14 BUSINESS BANCSHARES, INC. CLAYTON MO 4/24/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, in 

BUSINESS BANCSHARES, INC. CLAYTON MO 5/23/2012 BUSINESS BANCSHARES, INC. CLAYTON MO 1/9/2013 BUSINESS BANCSHARES, INC. CLAYTON MO 4/24/2013 

8,11,14 BUTLER POINT, INC. CATLIN IL 3/13/2009 Preferred Stock w/ Exercised Warrants $607,000.00 $0.00 $724,123.53 Redeemed, in 

BUTLER POINT, INC. CATLIN IL 11/2/2011 

11 C&F FINANCIAL CORPORATION WEST POINT VA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $25,205,957.78 Redeemed, in 

C&F FINANCIAL CORPORATION WEST POINT VA 7/27/2011 

C&F FINANCIAL CORPORATION WEST POINT VA 4/11/2012 

C&F FINANCIAL CORPORATION WEST POINT VA 5/14/2014 

8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 12/23/2008 Preferred Stock w/ Exercised Warrants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, in 

CACHE VALLEY BANKING COMPANY LOGAN UT 12/18/2009 $4,640,000.00CACHE VALLEY BANKING COMPANY LOGAN UT 7/14/2011 

125 CADENCE FINANCIAL CORPORATION STARKVILLE MS 1/9/2009 Preferred Stock w/ Warrants $44,000,000.00 $0.00 $41,984,062.50 Sold, in full; w

CADENCE FINANCIAL CORPORATION STARKVILLE MS 3/4/2011 

8,14,44 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 2/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in 

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 9/15/2011 

8,11,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in 

CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 12/8/2010 

8 CALVERT FINANCIAL CORPORATION ASHLAND MO 1/23/2009 Preferred Stock w/ Exercised Warrants $1,037,000.00 $1,037,000.00 $215,442.61 Full investme8 CALWEST BANCORP RANCHO SANTA MARGARITA CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,656,000.00 $4,656,000.00 $396,163.67 Full investme8,11,14 CAPITAL BANCORP, INC. ROCKVILLE MD 12/23/2008 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, in 

CAPITAL BANCORP, INC. ROCKVILLE MD 12/30/2010 

39 CAPITAL BANK CORPORATION RALEIGH NC 12/12/2008 Preferred Stock w/ Warrants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, in 

CAPITAL BANK CORPORATION RALEIGH NC 1/28/2011 

8,128 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 4/10/2009 Preferred Stock w/ Exercised Warrants $5,100,000.00 $0.00 $2,764,934.40 Sold, in full; w

CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 10/2/2015 

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 11/14/2008 Preferred Stock w/ Warrants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, in 

CAPITAL ONE FINANCIAL CORP MCLEAN VA 6/17/2009 CAPITAL ONE FINANCIAL CORP MCLEAN VA 12/9/2009 

8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 12/23/2008 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,742,850.89 Sold, in full; w

CAPITAL PACIFIC BANCORP PORTLAND OR 11/8/2012 

CAPITAL PACIFIC BANCORP PORTLAND OR 11/9/2012 CAPITAL PACIFIC BANCORP PORTLAND OR 1/11/2013 

14,15,45 CARDINAL BANCORP II, INC. WASHINGTON MO 10/23/2009 Subordinated Debentures w/ Exercised Warrants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, in 

CARDINAL BANCORP II, INC. WASHINGTON MO 9/8/2011 CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 1/9/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $19,941,788.94 Sold, in full; wCAROLINA BANK HOLDINGS, INC. GREENSBORO NC 2/20/2013 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 2/21/2013 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 3/26/2013 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 4/19/2013 CAROLINA TRUST BANK LINCOLNTON NC 2/6/2009 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,994,452.00 Sold, in full; wCAROLINA TRUST BANK LINCOLNTON NC 11/30/2012 CAROLINA TRUST BANK LINCOLNTON NC 1/11/2013 CAROLINA TRUST BANK LINCOLNTON NC 3/26/2013 CAROLINA TRUST BANK LINCOLNTON NC 6/11/2013 

11 CARROLLTON BANCORP BALTIMORE MD 2/13/2009 Preferred Stock w/ Warrants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, in 

CARROLLTON BANCORP BALTIMORE MD 4/19/2013 

9,11,36 CARVER BANCORP, INC. NEW YORK NY 1/16/2009 Preferred Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, in 

CARVER BANCORP, INC. NEW YORK NY 8/27/2010 

CASCADE FINANCIAL CORPORATION EVERETT WA 11/21/2008 Preferred Stock w/ Warrants $38,970,000.00 $0.00 $17,678,900.00 Sold, in full; wCASCADE FINANCIAL CORPORATION EVERETT WA 6/30/2011 

11 CATHAY GENERAL BANCORP LOS ANGELES CA 12/5/2008 Preferred Stock w/ Warrants $258,000,000.00 $0.00 $329,874,444.96 Redeemed, in 

CATHAY GENERAL BANCORP LOS ANGELES CA 3/20/2013 CATHAY GENERAL BANCORP LOS ANGELES CA 9/30/2013 CATHAY GENERAL BANCORP LOS ANGELES CA 12/9/2013 

8,14,18,44 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 2/27/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, in 

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 12/22/2009 $3,500,000.00CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 7/21/2011 

8,57,97 CB HOLDING CORP. ALEDO IL 5/29/2009 Preferred Stock w/ Exercised Warrants $4,114,000.00 $0.00 $271,579.53 Currently Not 

CB HOLDING CORP. ALEDO IL 10/14/2011 

8,18 CBB BANCORP CARTERSVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $2,644,000.00 $0.00 $4,982,141.86 Sold, in full; w

CBB BANCORP CARTERSVILLE GA 12/29/2009 $1,753,000.00CBB BANCORP CARTERSVILLE GA 11/28/2012 CBB BANCORP CARTERSVILLE GA 11/29/2012 CBB BANCORP CARTERSVILLE GA 1/11/2013 CBB BANCORP CARTERSVILLE GA 3/26/2013 

8,14 CBS BANC-CORP. RUSSELLVILLE AL 3/27/2009 Preferred Stock w/ Exercised Warrants $24,300,000.00 $0.00 $27,432,357.95 Sold, in full; w

CBS BANC-CORP. RUSSELLVILLE AL 8/7/2012 

CBS BANC-CORP. RUSSELLVILLE AL 8/9/2012 

CBS BANC-CORP. RUSSELLVILLE AL 8/10/2012 

CBS BANC-CORP. RUSSELLVILLE AL 9/11/2012 

CECIL BANCORP, INC. ELKTON MD 12/23/2008 Preferred Stock w/ Warrants $11,560,000.00 $11,560,000.00 $516,988.89 Full investme

8 CEDARSTONE BANK LEBANON TN 2/6/2009 Preferred Stock w/ Exercised Warrants $3,564,000.00 $0.00 $4,672,098.50 Redeemed, in 

CEDARSTONE BANK LEBANON TN 11/20/2013 

44 CENTER BANCORP, INC. UNION NJ 1/9/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, in 

CENTER BANCORP, INC. UNION NJ 9/15/2011 

CENTER BANCORP, INC. UNION NJ 12/7/2011 

11,59 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $55,000,000.00 $0.00 $65,855,083.33 Redeemed, in 

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 5/27/2015 

8,14 CENTERBANK MILFORD OH 5/1/2009 Preferred Stock w/ Exercised Warrants $2,250,000.00 $0.00 $2,344,662.43 Sold, in full; w

CENTERBANK MILFORD OH 10/29/2012 

CENTERBANK MILFORD OH 11/1/2012 CENTERBANK MILFORD OH 1/11/2013 CENTERBANK MILFORD OH 3/26/2013 

12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 11/21/2008 Preferred Stock w/ Warrants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, in 

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 9/30/2009 

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 10/28/2009 

8,11,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 1/16/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, in 

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 3/31/2009 

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 4/15/2009 

45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 12/5/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, in 

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 8/25/2011 

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 10/19/2011 

8,113 CENTRAL BANCORP, INC. (TX) GARLAND TX 2/27/2009 Preferred Stock w/ Exercised Warrants $22,500,000.00 $0.00 $31,086,221.13 Redeemed, in 

CENTRAL BANCORP, INC. (TX) GARLAND TX 8/29/2014 

8,11,14 CENTRAL BANCSHARES, INC. HOUSTON TX 1/30/2009 Preferred Stock w/ Exercised Warrants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, in 

CENTRAL BANCSHARES, INC. HOUSTON TX 7/6/2011 

8,14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 2/20/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $25,797,528.80 Sold, in full; w

CENTRAL COMMUNITY CORPORATION TEMPLE TX 12/10/2012 CENTRAL COMMUNITY CORPORATION TEMPLE TX 12/11/2012 

CENTRAL COMMUNITY CORPORATION TEMPLE TX 1/11/2013 

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 12/5/2008 Preferred Stock w/ Warrants $7,225,000.00 $0.00 $3,612,118.06 Sold, in full; wCENTRAL FEDERAL CORPORATION FAIRLAWN OH 9/26/2012 

11 CENTRAL JERSEY BANCORP OAKHURST NJ 12/23/2008 Preferred Stock w/ Warrants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, in 

CENTRAL JERSEY BANCORP OAKHURST NJ 11/24/2010 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

CENTRAL JERSEY BANCORP OAKHURST NJ 12/1/2010 

40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 1/9/2009 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in full; w

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 6/22/2011 

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4/4/2012 

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 6/11/2013 

45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 1/30/2009 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, in 

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 8/18/2011 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 9/28/2011 

93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 1/30/2009 Preferred Stock w/ Warrants $11,385,000.00 $0.00 $3,800,656.00 Sold, in full; w

CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 10/1/2013 

8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 12/18/2009 Preferred Stock w/ Exercised Warrants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, in 

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 7/14/2011 

8,14,44 CENTRIX BANK & TRUST BEDFORD NH 2/6/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, in 

CENTRIX BANK & TRUST BEDFORD NH 7/28/2011 CENTRUE FINANCIAL CORPORATION OTTAWA IL 1/9/2009 Preferred Stock w/ Warrants $32,668,000.00 $0.00 $11,205,387.14 Sold, in full; wCENTRUE FINANCIAL CORPORATION OTTAWA IL 9/25/2013 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/18/2013 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/29/2013 CENTRUE FINANCIAL CORPORATION OTTAWA IL 1/6/2014 CENTRUE FINANCIAL CORPORATION OTTAWA IL 2/10/2014 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 3/19/2014 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/15/2014 

14,15 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 6/19/2009 Subordinated Debentures w/ Exercised Warrants $10,000,000.00 $0.00 $13,186,960.25 Sold, in full; w

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 12/19/2012 

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 12/20/2012 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 1/11/2013 

15 CHAMBERS BANCSHARES, INC. DANVILLE AR 5/29/2009 Subordinated Debentures w/ Exercised Warrants $19,817,000.00 $0.00 $32,098,302.62 Redeemed, in 

CHAMBERS BANCSHARES, INC. DANVILLE AR 4/1/2015 

8 CHICAGO SHORE CORPORATION CHICAGO IL 7/31/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,981,348.81 Sold, in full; w

CHICAGO SHORE CORPORATION CHICAGO IL 3/14/2014 

CHICAGO SHORE CORPORATION CHICAGO IL 3/17/2014 CHICAGO SHORE CORPORATION CHICAGO IL 4/25/2014 

23 CIT GROUP INC. NEW YORK NY 12/31/2008 Preferred Stock w/ Warrants $2,330,000,000.00 $0.00 $43,687,500.00 Exited bankru

CIT GROUP INC. NEW YORK NY 12/10/2009 

19,30 CITIGROUP INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $32,839,267,986.46 Redeemed, in 

CITIGROUP INC. NEW YORK NY 12/10/2010 

CITIGROUP INC. NEW YORK NY 1/31/2011 

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1/16/2009 Preferred Stock w/ Warrants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, in 

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 8/4/2010 

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 9/1/2010 

8,55,97 CITIZENS BANCORP NEVADA CITY CA 12/23/2008 Preferred Stock w/ Exercised Warrants $10,400,000.00 $0.00 $223,571.11 Currently Not 

CITIZENS BANCORP NEVADA CITY CA 9/23/2011 

8,14 CITIZENS BANCSHARES CO. CHILLICOTHE MO 5/29/2009 Preferred Stock w/ Exercised Warrants $24,990,000.00 $0.00 $13,952,381.45 Sold, in full; w

CITIZENS BANCSHARES CO. CHILLICOTHE MO 2/7/2013 CITIZENS BANCSHARES CO. CHILLICOTHE MO 2/8/2013 CITIZENS BANCSHARES CO. CHILLICOTHE MO 3/26/2013 

9,11,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 3/6/2009 Preferred Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, in 

CITIZENS BANCSHARES CORPORATION ATLANTA GA 8/13/2010 

8 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 3/20/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $2,353,330.60 Sold, in full; w

CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 6/29/2015 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 8/6/2015 

8 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 2/6/2009 Preferred Stock w/ Exercised Warrants $6,300,000.00 $6,300,000.00 $180,258.50 Full investme8,14,44 CITIZENS COMMUNITY BANK SOUTH HILL VA 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, in 

CITIZENS COMMUNITY BANK SOUTH HILL VA 7/28/2011 

11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 12/19/2008 Preferred Stock w/ Warrants $8,779,000.00 $0.00 $12,236,725.89 Redeemed, in 

CITIZENS FIRST CORPORATION BOWLING GREEN KY 2/16/2011 CITIZENS FIRST CORPORATION BOWLING GREEN KY 2/13/2013 CITIZENS FIRST CORPORATION BOWLING GREEN KY 1/15/2014 CITIZENS FIRST CORPORATION BOWLING GREEN KY 4/15/2015 

86 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $381,395,557.08 Redeemed, in 

CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 4/12/2013 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 5/13/2015 

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12/12/2008 Preferred Stock w/ Warrants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, in 

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9/22/2011 

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 11/9/2011 

8,9,124 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 4/10/2009 Preferred Stock $9,439,000.00 $0.00 $2,508,609.00 Sold, in full; w

CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 8/7/2015 

11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, in 

CITY NATIONAL CORPORATION BEVERLY HILLS CA 12/30/2009 

CITY NATIONAL CORPORATION BEVERLY HILLS CA 3/3/2010 

CITY NATIONAL CORPORATION BEVERLY HILLS CA 4/7/2010 

8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 3/27/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,318,585.05 Sold, in full; w

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11/28/2012 

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11/29/2012 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 1/11/2013 

82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12/5/2008 Preferred Stock w/ Warrants $9,950,000.00 $0.00 $11,166,897.79 Sold, in full; w

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 3/8/2013 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 3/11/2013 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 4/9/2013 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 4/10/2013 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 6/12/2013 

8,17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8/28/2009 Preferred Stock w/ Exercised Warrants $16,015,000.00 $0.00 $14,257,487.71 Sold, in full; w

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 3/8/2013 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 3/11/2013 

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 4/9/2013 

45 COBIZ FINANCIAL INC. DENVER CO 12/19/2008 Preferred Stock w/ Warrants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, in 

COBIZ FINANCIAL INC. DENVER CO 9/8/2011 

COBIZ FINANCIAL INC. DENVER CO 11/23/2011 

44 CODORUS VALLEY BANCORP, INC. YORK PA 1/9/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, in 

CODORUS VALLEY BANCORP, INC. YORK PA 8/18/2011 

CODORUS VALLEY BANCORP, INC. YORK PA 9/28/2011 

8,14 COLOEAST BANKSHARES, INC. LAMAR CO 2/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,670,784.03 Sold, in full; w

COLOEAST BANKSHARES, INC. LAMAR CO 7/19/2013 

COLOEAST BANKSHARES, INC. LAMAR CO 7/22/2013 COLOEAST BANKSHARES, INC. LAMAR CO 9/12/2013 

8,11,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 3/27/2009 Preferred Stock w/ Exercised Warrants $574,000.00 $0.00 $668,142.53 Redeemed, in 

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 10/26/2011 COLONY BANKCORP, INC. FITZGERALD GA 1/9/2009 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $26,480,089.20 Sold, in full; wCOLONY BANKCORP, INC. FITZGERALD GA 2/7/2013 

COLONY BANKCORP, INC. FITZGERALD GA 2/8/2013 COLONY BANKCORP, INC. FITZGERALD GA 3/26/2013 

COLONY BANKCORP, INC. FITZGERALD GA 6/12/2013 

11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11/21/2008 Preferred Stock w/ Warrants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, in 

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 8/11/2010 

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 9/1/2010 

8,14,44 COLUMBINE CAPITAL CORP. BUENA VISTA CO 2/27/2009 Preferred Stock w/ Exercised Warrants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, in 

COLUMBINE CAPITAL CORP. BUENA VISTA CO 9/22/2011 

11 COMERICA INC. DALLAS TX 11/14/2008 Preferred Stock w/ Warrants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, in 

COMERICA INC. DALLAS TX 3/17/2010 

COMERICA INC. DALLAS TX 5/12/2010 

11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 1/9/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,602,969.61 Redeemed, in 

COMMERCE NATIONAL BANK NEWPORT BEACH CA 10/7/2009 COMMERCE NATIONAL BANK NEWPORT BEACH CA 10/1/2013 

14,15 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 5/22/2009 Subordinated Debentures w/ Exercised Warrants $20,400,000.00 $0.00 $21,575,016.54 Sold, in full; w

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/7/2012 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/8/2012 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/9/2012 

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/10/2012 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 9/11/2012 

8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 1/23/2009 Preferred Stock w/ Exercised Warrants $7,701,000.00 $0.00 $8,451,110.79 Sold, in full; w

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 7/17/2013 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 9/12/2013 

8,11,14 COMMUNITY 1ST BANK ROSEVILLE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in 

COMMUNITY 1ST BANK ROSEVILLE CA 12/19/2012 

8,11,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 3/6/2009 Preferred Stock w/ Exercised Warrants $500,000.00 $0.00 $616,741.75 Redeemed, in 

COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 7/18/2012 

8,11,14 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 9/11/2009 Preferred Stock w/ Exercised Warrants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, in 

COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 9/29/2010 

8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 7/24/2009 Preferred Stock w/ Exercised Warrants $3,872,000.00 $0.00 $5,197,157.57 Redeemed, in 

COMMUNITY BANCSHARES, INC. KINGMAN AZ 2/11/2015 

9,11,36 COMMUNITY BANK OF THE BAY OAKLAND CA 1/16/2009 Preferred Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, in 

COMMUNITY BANK OF THE BAY OAKLAND CA 9/29/2010 

44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 5/29/2009 Preferred Stock w/ Warrants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, in 

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 9/15/2011 

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 10/19/2011 

11,101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 12/19/2008 Preferred Stock w/ Warrants $17,680,000.00 $0.00 $23,135,879.12 Redeemed, in 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 7/24/2013 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 11/20/2013 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 4/23/2014 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 6/4/2014 

8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $3,976,000.00 $0.00 $4,674,050.16 Sold, in full; w

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11/30/2012 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 1/11/2013 

81 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 12/19/2008 Preferred Stock w/ Warrants $12,643,000.00 $0.00 $16,080,204.94 Redeemed, in 

COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 1/9/2013 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 5/28/2015 

8,14,76 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 5/15/2009 Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 $4,240,743.82 Sold, in full; w

COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 12/21/2012 

8 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 4/3/2009 Preferred Stock w/ Exercised Warrants $12,725,000.00 $0.00 $16,441,884.63 Sold, in full; w

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 2/7/2014 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 2/10/2014 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3/19/2014 

8,14,44 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 3/20/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, in 

COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 8/18/2011 

8 COMMUNITY FIRST, INC. COLUMBIA TN 2/27/2009 Preferred Stock w/ Exercised Warrants $17,806,000.00 $0.00 $7,665,362.89 Sold, in full; w

COMMUNITY FIRST, INC. COLUMBIA TN 4/11/2014 

COMMUNITY FIRST, INC. COLUMBIA TN 4/14/2014 COMMUNITY FIRST, INC. COLUMBIA TN 7/18/2014 

8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 2/6/2009 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in full; w

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 11/30/2012 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 1/11/2013 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 3/26/2013 

8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $3,115,616.28 Sold, in full; w

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/19/2012 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/20/2012 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 1/11/2013 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 3/26/2013 

44 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 1/30/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, in 

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 8/11/2011 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 10/26/2011 

15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 11/13/2009 Subordinated Debentures w/ Exercised Warrants $4,400,000.00 $0.00 $5,462,045.14 Sold, in full; w

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 8/12/2013 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 9/12/2013 

8,14,44 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 1/9/2009 Preferred Stock w/ Exercised Warrants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, in 

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 7/6/2011 

COMMUNITY WEST BANCSHARES GOLETA CA 12/19/2008 Preferred Stock w/ Warrants $15,600,000.00 $0.00 $14,341,140.33 Sold, in full; wCOMMUNITY WEST BANCSHARES GOLETA CA 12/10/2012 COMMUNITY WEST BANCSHARES GOLETA CA 12/11/2012 COMMUNITY WEST BANCSHARES GOLETA CA 1/11/2013 

COMMUNITY WEST BANCSHARES GOLETA CA 6/12/2013 

53,110 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 2/13/2009 Preferred Stock w/ Warrants $51,500,000.00 $0.00 $12,749,591.59 Sold, in full; w

COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 5/23/2014 

COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 5/27/2015 

8,14 CONGAREE BANCSHARES, INC. CAYCE SC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,285,000.00 $0.00 $3,483,629.20 Sold, in full; w

CONGAREE BANCSHARES, INC. CAYCE SC 10/29/2012 

CONGAREE BANCSHARES, INC. CAYCE SC 10/31/2012 CONGAREE BANCSHARES, INC. CAYCE SC 1/11/2013 

8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 2/13/2009 Preferred Stock w/ Exercised Warrants $638,000.00 $0.00 $659,705.04 Sold, in full; w

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11/30/2012 

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 1/11/2013 

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 3/26/2013 

8,14 COUNTRY BANK SHARES, INC. MILFORD NE 1/30/2009 Preferred Stock w/ Exercised Warrants $7,525,000.00 $0.00 $8,781,205.02 Sold, in full; w

COUNTRY BANK SHARES, INC. MILFORD NE 11/28/2012 

COUNTRY BANK SHARES, INC. MILFORD NE 11/29/2012 COUNTRY BANK SHARES, INC. MILFORD NE 1/11/2013 

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 6/5/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,594,635.27 Redeemed, in 

COVENANT FINANCIAL CORPORATION CLARKSDALE MS 4/30/2014 

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 2/20/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $4,225,732.08 Redeemed, in 

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 1/8/2014 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 11/19/2014 

58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 1/9/2009 Preferred Stock w/ Warrants $24,900,000.00 $0.00 $33,014,741.20 Redeemed, in 

CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 2/19/2014 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 6/11/2014 

8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 1/23/2009 Preferred Stock w/ Exercised Warrants $10,650,000.00 $0.00 $13,498,324.83 Sold, in full; w

CROSSTOWN HOLDING COMPANY BLAINE MN 7/19/2013 CROSSTOWN HOLDING COMPANY BLAINE MN 7/22/2013 

CROSSTOWN HOLDING COMPANY BLAINE MN 9/12/2013 

8 CSRA BANK CORP. WRENS GA 3/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,210,755.60 Sold, in full; w

CSRA BANK CORP. WRENS GA 6/29/2015 CSRA BANK CORP. WRENS GA 8/6/2015 

11,16 CVB FINANCIAL CORP. ONTARIO CA 12/5/2008 Preferred Stock w/ Warrants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, in 

CVB FINANCIAL CORP. ONTARIO CA 8/26/2009 

CVB FINANCIAL CORP. ONTARIO CA 9/2/2009 

CVB FINANCIAL CORP. ONTARIO CA 10/28/2009 

8,14,44 D.L. EVANS BANCORP BURLEY ID 2/27/2009 Preferred Stock w/ Exercised Warrants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, in 

D.L. EVANS BANCORP BURLEY ID 9/27/2011 

14,15,44 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, in 

DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 9/8/2011 

8,14 DELMAR BANCORP DELMAR MD 12/4/2009 Preferred Stock w/ Exercised Warrants $9,000,000.00 $0.00 $6,598,331.15 Sold, in full; w

DELMAR BANCORP DELMAR MD 2/7/2013 DELMAR BANCORP DELMAR MD 2/8/2013 

DELMAR BANCORP DELMAR MD 3/26/2013 

8,18 DESOTO COUNTY BANK HORN LAKE MS 2/13/2009 Preferred Stock w/ Exercised Warrants $1,173,000.00 $0.00 $2,781,331.97 Sold, in full; w

DESOTO COUNTY BANK HORN LAKE MS 12/29/2009 $1,508,000.00DESOTO COUNTY BANK HORN LAKE MS 9/24/2013 DESOTO COUNTY BANK HORN LAKE MS 9/25/2013 DESOTO COUNTY BANK HORN LAKE MS 10/29/2013 

14,15 DIAMOND BANCORP, INC. WASHINGTON MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $20,445,000.00 $0.00 $21,101,618.19 Sold, in full; w

DIAMOND BANCORP, INC. WASHINGTON MO 8/8/2012 

DIAMOND BANCORP, INC. WASHINGTON MO 8/9/2012 

DIAMOND BANCORP, INC. WASHINGTON MO 8/10/2012 

DIAMOND BANCORP, INC. WASHINGTON MO 9/11/2012 

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 1/16/2009 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in full; w

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/7/2013 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/8/2013 

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 3/26/2013 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 3/13/2009 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in 

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 4/21/2010 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7/7/2010 

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 1/30/2009 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in 

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 8/4/2011 

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 9/21/2011 

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $17,424,285.82 Redeemed, in 

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 11/27/2013 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 3/5/2014 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 4/2/2014 

12,44 EAGLE BANCORP, INC. BETHESDA MD 12/5/2008 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, in 

EAGLE BANCORP, INC. BETHESDA MD 12/23/2009 

EAGLE BANCORP, INC. BETHESDA MD 7/14/2011 

EAGLE BANCORP, INC. BETHESDA MD 11/23/2011 

11,16 EAST WEST BANCORP, INC. PASADENA CA 12/5/2008 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in 

EAST WEST BANCORP, INC. PASADENA CA 12/29/2010 EAST WEST BANCORP, INC. PASADENA CA 1/26/2011 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/9/2009 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $28,568,653.60 Sold, in full; wEASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/18/2013 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/21/2013 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/6/2014 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 5/13/2015 

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 1/16/2009 Preferred Stock w/ Warrants $17,949,000.00 $0.00 $23,397,494.08 Redeemed, in 

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 2/19/2014 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 6/11/2014 

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/23/2008 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in 

EMCLAIRE FINANCIAL CORP. EMLENTON PA 8/18/2011 EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/7/2011 

45 ENCORE BANCSHARES INC. HOUSTON TX 12/5/2008 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, in 

ENCORE BANCSHARES INC. HOUSTON TX 9/27/2011 

ENCORE BANCSHARES INC. HOUSTON TX 11/23/2011 

11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 12/19/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in 

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 11/7/2012 

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 1/9/2013 

8,14,44 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in 

ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 8/25/2011 

8,44,73 EQUITY BANCSHARES, INC. WICHITA KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in 

EQUITY BANCSHARES, INC. WICHITA KS 8/11/2011 

8,14 EXCHANGE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in full; w

EXCHANGE BANK SANTA ROSA CA 8/3/2012 

EXCHANGE BANK SANTA ROSA CA 8/8/2012 

EXCHANGE BANK SANTA ROSA CA 8/9/2012 EXCHANGE BANK SANTA ROSA CA 8/10/2012 

EXCHANGE BANK SANTA ROSA CA 8/13/2012 

EXCHANGE BANK SANTA ROSA CA 9/11/2012 

8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 1/30/2009 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in full; w

F & M BANCSHARES, INC. TREZEVANT TN 11/6/2009 $3,535,000.00F & M BANCSHARES, INC. TREZEVANT TN 2/6/2013 F & M BANCSHARES, INC. TREZEVANT TN 2/7/2013 F & M BANCSHARES, INC. TREZEVANT TN 2/8/2013 F & M BANCSHARES, INC. TREZEVANT TN 3/26/2013 

8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 2/6/2009 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in full; w

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/18/2012 

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/19/2012 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/20/2012 

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 11/16/2012 

14,15 F&C BANCORP. INC. HOLDEN MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in full; w

F&C BANCORP. INC. HOLDEN MO 11/8/2012 F&C BANCORP. INC. HOLDEN MO 11/13/2012 F&C BANCORP. INC. HOLDEN MO 1/11/2013 

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 2/13/2009 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in full; w

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/19/2012 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/20/2012 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/21/2012 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 11/16/2012 

11 F.N.B. CORPORATION HERMITAGE PA 1/9/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in 

F.N.B. CORPORATION HERMITAGE PA 9/9/2009 

F.N.B. CORPORATION HERMITAGE PA 11/23/2011 

8,120 FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $15,971,339.07 Redeemed, in 

FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 7/15/2015 

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 3/20/2009 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in full; w

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 6/24/2013 

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 7/26/2013 

8,11 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/23/2009 Preferred Stock w/ Exercised Warrants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, in 

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/9/2013 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 12/31/2013 FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 1/9/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in full; wFARMERS CAPITAL BANK CORPORATION FRANKFORT KY 6/19/2012 

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 7/18/2012 

14,15 FARMERS ENTERPRISES, INC. GREAT BEND KS 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in full; w

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/8/2012 FARMERS ENTERPRISES, INC. GREAT BEND KS 11/9/2012 FARMERS ENTERPRISES, INC. GREAT BEND KS 11/13/2012 

FARMERS ENTERPRISES, INC. GREAT BEND KS 1/11/2013 

8,14,45 FARMERS STATE BANKSHARES, INC. HOLTON KS 3/20/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in 

FARMERS STATE BANKSHARES, INC. HOLTON KS 7/21/2011 

15,17 FBHC HOLDING COMPANY BOULDER CO 12/29/2009 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in full; w

FBHC HOLDING COMPANY BOULDER CO 3/9/2011 

8,14 FC HOLDINGS, INC. HOUSTON TX 6/26/2009 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; w

FC HOLDINGS, INC. HOUSTON TX 2/20/2013 

FC HOLDINGS, INC. HOUSTON TX 3/26/2013 

8,14,45 FCB BANCORP, INC. LOUISVILLE KY 12/19/2008 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in 

FCB BANCORP, INC. LOUISVILLE KY 9/22/2011 

8,14 FFW CORPORATION WABASH IN 12/19/2008 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in full; w

FFW CORPORATION WABASH IN 11/28/2012 

FFW CORPORATION WABASH IN 11/30/2012 FFW CORPORATION WABASH IN 1/11/2013 

11,15,44 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 5/29/2009 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in 

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 3/27/2013 

77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12/12/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $10,634,864.33 Redeemed, in 

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 11/30/2012 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 5/6/2015 

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 11/13/2009 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in full; w

FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/19/2013 FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/22/2013 FIDELITY FEDERAL BANCORP EVANSVILLE IN 9/12/2013 

8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 12/19/2008 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; w

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/1/2012 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/2/2012 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/3/2012 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/7/2012 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/8/2012 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/9/2012 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/10/2012 

FIDELITY FINANCIAL CORPORATION WICHITA KS 9/11/2012 

FIDELITY SOUTHERN CORPORATION ATLANTA GA 12/19/2008 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $82,715,982.47 Sold, in full; wFIDELITY SOUTHERN CORPORATION ATLANTA GA 7/3/2012 

FIDELITY SOUTHERN CORPORATION ATLANTA GA 5/28/2015 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

11 FIFTH THIRD BANCORP CINCINNATI OH 12/31/2008 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in 

FIFTH THIRD BANCORP CINCINNATI OH 2/2/2011 FIFTH THIRD BANCORP CINCINNATI OH 3/16/2011 

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 12/23/2008 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 2/23/2011 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 3/30/2011 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 5/11/2011 

8,14,45 FINANCIAL SECURITY CORPORATION BASIN WY 2/13/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in 

FINANCIAL SECURITY CORPORATION BASIN WY 7/21/2011 

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 7/31/2009 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in 

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 9/1/2011 

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 5/22/2009 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in full; w

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/10/2012 

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/11/2012 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 1/11/2013 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 3/26/2013 

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 6/26/2009 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in full; w

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 12/20/2012 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 1/11/2013 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 3/26/2013 

11,14,15 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 7/24/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in 

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/21/2011 

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/11/2012 

9,11,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 3/13/2009 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in 

FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 8/13/2010 

45 FIRST BANCORP (NC) TROY NC 1/9/2009 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in 

FIRST BANCORP (NC) TROY NC 9/1/2011 

FIRST BANCORP (NC) TROY NC 11/23/2011 

34,118,121 FIRST BANCORP (PR) SAN JUAN PR 1/16/2009 Preferred Stock w/ Warrants $400,000,000.00 $124,966,503.71 $174,125,772.24 Sold, in part; 

FIRST BANCORP (PR) SAN JUAN PR 8/16/2013 

FIRST BANCORP (PR) SAN JUAN PR 9/13/2013 FIRST BANCORP (PR) SAN JUAN PR 12/5/2014 

FIRST BANCORP (PR) SAN JUAN PR 3/6/2015 

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 2/20/2009 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in 

FIRST BANCTRUST CORPORATION PARIS IL 1/18/2012 FIRST BANCTRUST CORPORATION PARIS IL 10/24/2012 

8,14,45 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 2/6/2009 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in 

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 7/21/2011 

8,14,45 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 1/16/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in 

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 9/8/2011 

8 FIRST BANKS, INC. CLAYTON MO 12/31/2008 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,071,500.97 Sold, in full; w

FIRST BANKS, INC. CLAYTON MO 8/8/2013 FIRST BANKS, INC. CLAYTON MO 8/9/2013 

FIRST BANKS, INC. CLAYTON MO 8/12/2013 

FIRST BANKS, INC. CLAYTON MO 9/12/2013 

FIRST BANKS, INC. CLAYTON MO 9/24/2013 FIRST BANKS, INC. CLAYTON MO 9/25/2013 FIRST BANKS, INC. CLAYTON MO 10/29/2013 

45 FIRST BUSEY CORPORATION URBANA IL 3/6/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in 

FIRST BUSEY CORPORATION URBANA IL 8/25/2011 

FIRST BUSEY CORPORATION URBANA IL 11/23/2011 

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 4/10/2009 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in full; w

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/11/2009 $2,032,000.00FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/19/2012 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/20/2012 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 1/11/2013 

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in 

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 7/14/2011 

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 8/24/2011 

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 4/3/2009 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in full; wFIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6/19/2012 

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 2/6/2013 

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in 

FIRST CHOICE BANK CERRITOS CA 12/22/2009 $2,836,000.00FIRST CHOICE BANK CERRITOS CA 9/24/2010 FIRST CITIZENS BANC CORP SANDUSKY OH 1/23/2009 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in full; wFIRST CITIZENS BANC CORP SANDUSKY OH 7/3/2012 

FIRST CITIZENS BANC CORP SANDUSKY OH 9/5/2012 

8,14,44 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 3/20/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in 

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 9/22/2011 

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/21/2008 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in 

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 7/8/2009 

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/22/2011 

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 5/15/2009 Preferred Stock w/ Exercised Warrants $14,800,000.00 $0.00 $19,957,763.30 Redeemed, in 

FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 7/16/2014 FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 12/23/2008 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in full; wFIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 5/31/2011 FIRST COMMUNITY CORPORATION LEXINGTON SC 11/21/2008 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in full; wFIRST COMMUNITY CORPORATION LEXINGTON SC 8/29/2012 

FIRST COMMUNITY CORPORATION LEXINGTON SC 11/1/2012 

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 12/11/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in full; w

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/8/2012 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/9/2012 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/10/2012 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/19/2012 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/20/2012 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/21/2012 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11/16/2012 

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $53,610,300.92 Sold, in full; wFIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 6/19/2012 

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 3/11/2015 

11,15,36 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/11/2009 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in 

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/17/2010 

8,11,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/6/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in 

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/15/2012 FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3/6/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in full; wFIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 5/3/2011 

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 12/23/2008 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in 

FIRST FINANCIAL BANCORP CINCINNATI OH 2/24/2010 

FIRST FINANCIAL BANCORP CINCINNATI OH 6/8/2010 

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 6/12/2009 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in 

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 9/22/2011 FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 12/5/2008 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in full; wFIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 4/3/2012 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5/22/2013 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,336,278.00 Sold, in full; wFIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 4/29/2013 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 5/31/2013 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 7/1/2015 

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 12/22/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in full; w

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11/9/2012 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 1/11/2013 

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 2/27/2009 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in full; w

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/29/2012 

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/31/2012 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 1/11/2013 

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 8/28/2009 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in 

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 9/22/2011 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 11/14/2008 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in 

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 12/22/2010 

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 3/9/2011 

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 8/28/2009 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in full; w

FIRST INDEPENDENCE CORPORATION DETROIT MI 12/20/2012 FIRST INDEPENDENCE CORPORATION DETROIT MI 1/11/2013 FIRST INDEPENDENCE CORPORATION DETROIT MI 3/26/2013 

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 3/13/2009 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in full; w

FIRST INTERCONTINENTAL BANK DORAVILLE GA 8/12/2013 FIRST INTERCONTINENTAL BANK DORAVILLE GA 9/12/2013 

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12/12/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in 

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 4/7/2010 

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 2/27/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in 

FIRST M&F CORPORATION KOSCIUSKO MS 9/29/2010 

FIRST M&F CORPORATION KOSCIUSKO MS 8/30/2013 

8,11,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 1/16/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in 

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 5/27/2009 

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 2/6/2009 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in 

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 12/7/2011 

8,14,44 FIRST MENASHA BANCSHARES, INC. NEENAH WI 2/13/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in 

FIRST MENASHA BANCSHARES, INC. NEENAH WI 9/15/2011 

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 2/20/2009 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in 

FIRST MERCHANTS CORPORATION MUNCIE IN 9/22/2011 FIRST MERCHANTS CORPORATION MUNCIE IN 11/23/2011 

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 12/5/2008 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in 

FIRST MIDWEST BANCORP, INC. ITASCA IL 11/23/2011 FIRST MIDWEST BANCORP, INC. ITASCA IL 12/21/2011 

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 3/13/2009 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in full; w

FIRST NATIONAL CORPORATION STRASBURG VA 8/29/2012 

8,14,44 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 3/20/2009 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in 

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 8/4/2011 

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 11/21/2008 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in 

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 5/27/2009 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 6/24/2009 

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 3/13/2009 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in 

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 9/15/2011 

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 11/16/2011 

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 11/21/2008 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in 

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 12/15/2010 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 1/5/2011 

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 3/13/2009 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Exited bankru

FIRST PLACE FINANCIAL CORP. WARREN OH 10/29/2012 

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in full; w

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 12/18/2009 $4,596,000.00FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/7/2013 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/8/2013 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 3/26/2013 

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/6/2009 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in full; w

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/11/2013 

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 4/9/2013 

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in 

FIRST RESOURCE BANK EXTON PA 12/11/2009 $2,417,000.00FIRST RESOURCE BANK EXTON PA 9/15/2011 

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 1/9/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in full; w

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 4/11/2013 

79 FIRST SOUND BANK SEATTLE WA 12/23/2008 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in full; w

FIRST SOUND BANK SEATTLE WA 2/20/2013 

11,14,15 FIRST SOUTH BANCORP, INC. LEXINGTON TN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in 

FIRST SOUTH BANCORP, INC. LEXINGTON TN 9/28/2011 

FIRST SOUTH BANCORP, INC. LEXINGTON TN 11/28/2012 

8,11,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 1/30/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in 

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 6/16/2010 

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/6/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in full; w

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/26/2013 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/27/2013 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/28/2013 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 4/9/2013 

8,14,44 FIRST TEXAS BHC, INC. FORT WORTH TX 3/6/2009 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in 

FIRST TEXAS BHC, INC. FORT WORTH TX 9/15/2011 

14,15 FIRST TRUST CORPORATION NEW ORLEANS LA 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; w

FIRST TRUST CORPORATION NEW ORLEANS LA 2/20/2013 

FIRST TRUST CORPORATION NEW ORLEANS LA 3/26/2013 

8,11,14 FIRST ULB CORP. OAKLAND CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in 

FIRST ULB CORP. OAKLAND CA 4/22/2009 FIRST UNITED CORPORATION OAKLAND MD 1/30/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $40,183,721.33 Sold, in full; wFIRST UNITED CORPORATION OAKLAND MD 12/3/2014 FIRST UNITED CORPORATION OAKLAND MD 12/4/2014 

FIRST UNITED CORPORATION OAKLAND MD 1/9/2015 

FIRST UNITED CORPORATION OAKLAND MD 5/27/2015 

8,11,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 6/12/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in 

FIRST VERNON BANCSHARES, INC. VERNON AL 9/29/2010 

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 2/6/2009 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in full; w

FIRST WESTERN FINANCIAL, INC. DENVER CO 12/11/2009 $11,881,000.00FIRST WESTERN FINANCIAL, INC. DENVER CO 8/9/2012 FIRST WESTERN FINANCIAL, INC. DENVER CO 8/10/2012 FIRST WESTERN FINANCIAL, INC. DENVER CO 9/11/2012 FIRST WESTERN FINANCIAL, INC. DENVER CO 6/24/2013 

FIRST WESTERN FINANCIAL, INC. DENVER CO 7/26/2013 

FIRSTBANK CORPORATION ALMA MI 1/30/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in full; wFIRSTBANK CORPORATION ALMA MI 7/3/2012 

FIRSTBANK CORPORATION ALMA MI 7/18/2012 

11 FIRSTMERIT CORPORATION AKRON OH 1/9/2009 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in 

FIRSTMERIT CORPORATION AKRON OH 4/22/2009 FIRSTMERIT CORPORATION AKRON OH 5/27/2009 FLAGSTAR BANCORP, INC. TROY MI 1/30/2009 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in full; wFLAGSTAR BANCORP, INC. TROY MI 3/26/2013 FLAGSTAR BANCORP, INC. TROY MI 3/27/2013 FLAGSTAR BANCORP, INC. TROY MI 3/28/2013 

FLAGSTAR BANCORP, INC. TROY MI 4/9/2013 FLAGSTAR BANCORP, INC. TROY MI 6/12/2013 

8,84 FLORIDA BANK GROUP, INC. TAMPA FL 7/24/2009 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in full; w

FLORIDA BANK GROUP, INC. TAMPA FL 8/14/2013 

8,14,44 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 2/20/2009 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in 

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 9/22/2011 

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/19/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in 

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 10/28/2009 

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/30/2009 

8,14,45 FNB BANCORP SOUTH SAN FRANCISCO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in 

FNB BANCORP SOUTH SAN FRANCISCO CA 9/15/2011 

8,11,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 5/15/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in 

FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 12/11/2012 

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 5/22/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Exited bankru

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 4/20/2012 

8,14,45 FORTUNE FINANCIAL CORPORATION ARNOLD MO 4/3/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in 

FORTUNE FINANCIAL CORPORATION ARNOLD MO 9/15/2011 

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 12/5/2008 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 Currently Not 

FPB BANCORP, INC. PORT ST. LUCIE FL 7/15/2011 

8,11,14 FPB FINANCIAL CORP. HAMMOND LA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

FPB FINANCIAL CORP. HAMMOND LA 12/16/2009 FPB FINANCIAL CORP. HAMMOND LA 6/16/2010 

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 5/22/2009 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; w

FRANKLIN BANCORP, INC. WASHINGTON MO 11/9/2012 

FRANKLIN BANCORP, INC. WASHINGTON MO 11/13/2012 FRANKLIN BANCORP, INC. WASHINGTON MO 1/11/2013 

15 FREEPORT BANCSHARES, INC. FREEPORT IL 5/8/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $4,363,022.95 Sold, in full; w

FREEPORT BANCSHARES, INC. FREEPORT IL 4/11/2014 FREEPORT BANCSHARES, INC. FREEPORT IL 4/14/2014 FREEPORT BANCSHARES, INC. FREEPORT IL 7/18/2014 

11,14,15 FREMONT BANCORPORATION FREMONT CA 6/26/2009 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in 

FREMONT BANCORPORATION FREMONT CA 7/25/2012 

8,14,44 FRESNO FIRST BANK FRESNO CA 1/23/2009 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in 

FRESNO FIRST BANK FRESNO CA 11/1/2012 

11,14,15 FRONTIER BANCSHARES, INC AUSTIN TX 4/24/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in 

FRONTIER BANCSHARES, INC AUSTIN TX 11/24/2009 FRONTIER BANCSHARES, INC AUSTIN TX 10/6/2010 

11 FULTON FINANCIAL CORPORATION LANCASTER PA 12/23/2008 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in 

FULTON FINANCIAL CORPORATION LANCASTER PA 7/14/2010 FULTON FINANCIAL CORPORATION LANCASTER PA 9/8/2010 

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 5/8/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in 

GATEWAY BANCSHARES, INC. RINGGOLD GA 4/13/2012 

8,11,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/6/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in 

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/16/2011 

8 GEORGIA PRIMARY BANK ATLANTA GA 5/1/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $1,576,457.50 Sold, in full; w

GEORGIA PRIMARY BANK ATLANTA GA 2/10/2014 GEORGIA PRIMARY BANK ATLANTA GA 3/19/2014 

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 3/6/2009 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in full; w

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/29/2012 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/31/2012 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 1/11/2013 

8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 6/26/2009 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Exited bankru

GOLD CANYON BANK GOLD CANYON AZ 4/5/2013 

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in 

GOLDMAN SACHS GROUP, INC. NEW YORK NY 6/17/2009 

GOLDMAN SACHS GROUP, INC. NEW YORK NY 7/22/2009 

8,127 GOLDWATER BANK, N.A. SCOTTSDALE AZ 1/30/2009 Preferred Stock w/ Exercised Warrants $2,568,000.00 $0.00 $1,493,750.00 Sold, in full; w

GOLDWATER BANK, N.A. SCOTTSDALE AZ 9/21/2015 

8,14,44 GRAND CAPITAL CORPORATION TULSA OK 4/24/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in 

GRAND CAPITAL CORPORATION TULSA OK 9/8/2011 

15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 9/25/2009 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $0.00 $3,868,471.61 Redeemed, in 

GRAND FINANCIAL CORPORATION HATTIESBURG MS 7/8/2015 

8 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 5/29/2009 Preferred Stock w/ Exercised Warrants $3,076,000.00 $3,076,000.00 $0.00 Full investme

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 1/9/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in 

GRANDSOUTH BANCORPORATION GREENVILLE SC 12/11/2009 $6,319,000.00GRANDSOUTH BANCORPORATION GREENVILLE SC 9/8/2011 

15 GREAT RIVER HOLDING COMPANY BAXTER MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $0.00 $11,306,571.15 Sold, in full; w

GREAT RIVER HOLDING COMPANY BAXTER MN 4/11/2014 GREAT RIVER HOLDING COMPANY BAXTER MN 4/14/2014 GREAT RIVER HOLDING COMPANY BAXTER MN 7/18/2014 

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 12/5/2008 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in 

GREAT SOUTHERN BANCORP SPRINGFIELD MO 8/18/2011 

GREAT SOUTHERN BANCORP SPRINGFIELD MO 9/21/2011 

GREEN BANKSHARES, INC. GREENEVILLE TN 12/23/2008 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in full; wGREEN BANKSHARES, INC. GREENEVILLE TN 9/7/2011 

8,11,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 2/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 11/14/2012 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 1/23/2013 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 4/24/2013 

8,11,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 2/27/2009 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in 

GREEN CITY BANCSHARES, INC. GREEN CITY MO 7/14/2010 

8 GREER BANCSHARES INCORPORATED GREER SC 1/30/2009 Preferred Stock w/ Exercised Warrants $9,993,000.00 $0.00 $13,693,111.07 Redeemed, in 

GREER BANCSHARES INCORPORATED GREER SC 3/19/2014 GREER BANCSHARES INCORPORATED GREER SC 6/11/2014 GREER BANCSHARES INCORPORATED GREER SC 7/23/2014 

8,68,97 GREGG BANCSHARES, INC. OZARK MO 2/13/2009 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 Currently Not 

GREGG BANCSHARES, INC. OZARK MO 7/13/2012 

8,14,45 GUARANTY BANCORP, INC. WOODSVILLE NH 2/20/2009 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in 

GUARANTY BANCORP, INC. WOODSVILLE NH 9/15/2011 

9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 9/25/2009 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in 

GUARANTY CAPITAL CORPORATION BELZONI MS 7/30/2010 

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 1/30/2009 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in full; w

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 6/13/2012 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/26/2013 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/29/2013 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/15/2013 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/31/2013 

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 9/25/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Exited bankru

GULFSOUTH PRIVATE BANK DESTIN FL 10/19/2012 

8,14,45 GULFSTREAM BANCSHARES, INC. STUART FL 6/26/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in 

GULFSTREAM BANCSHARES, INC. STUART FL 8/18/2011 

8,11,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 2/20/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in 

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 4/13/2011 

38 HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 12/31/2008 Preferred Stock w/ Warrants $80,347,000.00 $0.00 $5,790,608.79 Sold, in full; w

HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 4/14/2014 

8,9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 7/17/2009 Preferred Stock $6,800,000.00 $6,800,000.00 $282,744.47 Full investme8,11,14 HAVILAND BANCSHARES, INC. HAVILAND KS 3/13/2009 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in 

HAVILAND BANCSHARES, INC. HAVILAND KS 12/29/2010 

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12/19/2008 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/9/2012 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/15/2013 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 6/12/2013 

HCSB FINANCIAL CORPORATION LORIS SC 3/6/2009 Preferred Stock w/ Warrants $12,895,000.00 $12,895,000.00 $1,090,702.00 Full investme

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 9/11/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in 

HEARTLAND BANCSHARES, INC. FRANKLIN IN 7/17/2012 

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 12/19/2008 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in 

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/15/2011 

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/28/2011 

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 9/25/2009 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in 

HERITAGE BANKSHARES, INC. NORFOLK VA 3/16/2011 HERITAGE BANKSHARES, INC. NORFOLK VA 8/11/2011 

11 HERITAGE COMMERCE CORP. SAN JOSE CA 11/21/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in 

HERITAGE COMMERCE CORP. SAN JOSE CA 3/7/2012 

HERITAGE COMMERCE CORP. SAN JOSE CA 6/10/2013 

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 11/21/2008 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in 

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 12/22/2010 

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 8/17/2011 

11 HERITAGE OAKS BANCORP PASO ROBLES CA 3/20/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in 

HERITAGE OAKS BANCORP PASO ROBLES CA 7/17/2013 

HERITAGE OAKS BANCORP PASO ROBLES CA 8/7/2013 

11 HF FINANCIAL CORP. SIOUX FALLS SD 11/21/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in 

HF FINANCIAL CORP. SIOUX FALLS SD 6/3/2009 

HF FINANCIAL CORP. SIOUX FALLS SD 6/30/2009 

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 5/8/2009 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in 

HIGHLANDS BANCORP, INC. VERNON NJ 12/22/2009 $2,359,000.00HIGHLANDS BANCORP, INC. VERNON NJ 9/22/2011 

8,111 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 3/6/2009 Preferred Stock w/ Exercised Warrants $6,700,000.00 $0.00 $6,165,312.00 Sold, in full; w

HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 10/24/2014 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

8,11,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 1/30/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in 

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 4/21/2010 HMN FINANCIAL, INC. ROCHESTER MN 12/23/2008 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $26,563,769.78 Sold, in full; wHMN FINANCIAL, INC. ROCHESTER MN 2/7/2013 HMN FINANCIAL, INC. ROCHESTER MN 2/8/2013 

HMN FINANCIAL, INC. ROCHESTER MN 3/26/2013 

HMN FINANCIAL, INC. ROCHESTER MN 5/26/2015 HMN FINANCIAL, INC. ROCHESTER MN 5/28/2015 

11 HOME BANCSHARES, INC. CONWAY AR 1/16/2009 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in 

HOME BANCSHARES, INC. CONWAY AR 7/6/2011 

HOME BANCSHARES, INC. CONWAY AR 7/27/2011 

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 2/20/2009 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in 

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 8/28/2013 

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 2/13/2009 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in full; w

HOMETOWN BANCSHARES, INC. CORBIN KY 11/28/2012 

HOMETOWN BANCSHARES, INC. CORBIN KY 11/30/2012 HOMETOWN BANCSHARES, INC. CORBIN KY 1/11/2013 HOMETOWN BANCSHARES, INC. CORBIN KY 3/26/2013 

8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 9/18/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in full; w

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 10/31/2012 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 1/11/2013 

11 HOPFED BANCORP HOPKINSVILLE KY 12/12/2008 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in 

HOPFED BANCORP HOPKINSVILLE KY 12/19/2012 

HOPFED BANCORP HOPKINSVILLE KY 1/16/2013 

11,45 HORIZON BANCORP MICHIGAN CITY IN 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in 

HORIZON BANCORP MICHIGAN CITY IN 11/10/2010 HORIZON BANCORP MICHIGAN CITY IN 8/25/2011 

HORIZON BANCORP MICHIGAN CITY IN 11/23/2011 

8,14,44 HOWARD BANCORP, INC. ELLICOTT CITY MD 2/27/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in 

HOWARD BANCORP, INC. ELLICOTT CITY MD 9/22/2011 

8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 5/1/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in 

HPK FINANCIAL CORPORATION CHICAGO IL 11/13/2009 $5,000,000.00HPK FINANCIAL CORPORATION CHICAGO IL 12/11/2012 

11 HUNTINGTON BANCSHARES COLUMBUS OH 11/14/2008 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in 

HUNTINGTON BANCSHARES COLUMBUS OH 12/22/2010 HUNTINGTON BANCSHARES COLUMBUS OH 1/19/2011 

8,14 HYPERION BANK PHILADELPHIA PA 2/6/2009 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in full; w

HYPERION BANK PHILADELPHIA PA 12/20/2012 HYPERION BANK PHILADELPHIA PA 1/11/2013 HYPERION BANK PHILADELPHIA PA 3/26/2013 

8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 9/18/2009 Preferred Stock w/ Exercised Warrants $5,976,000.00 $0.00 $6,907,223.22 Sold, in full; w

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/14/2014 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/17/2014 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 4/25/2014 

9,15,36 IBC BANCORP, INC. CHICAGO IL 5/15/2009 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in 

IBC BANCORP, INC. CHICAGO IL 9/10/2010 

12,16 IBERIABANK CORPORATION LAFAYETTE LA 12/5/2008 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in 

IBERIABANK CORPORATION LAFAYETTE LA 3/31/2009 

IBERIABANK CORPORATION LAFAYETTE LA 5/20/2009 

8,14 IBT BANCORP, INC. IRVING TX 3/27/2009 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in 

IBT BANCORP, INC. IRVING TX 6/12/2013 

8,10,11 IBW FINANCIAL CORPORATION WASHINGTON DC 3/13/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in 

IBW FINANCIAL CORPORATION WASHINGTON DC 9/3/2010 

8,14,44 ICB FINANCIAL ONTARIO CA 3/6/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in 

ICB FINANCIAL ONTARIO CA 11/1/2012 

8,108 IDAHO BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $6,900,000.00 $0.00 $555,673.08 Currently Not 

IDAHO BANCORP BOISE ID 4/24/2014 

8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 5/22/2009 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in 

ILLINOIS STATE BANCORP, INC. CHICAGO IL 12/29/2009 $4,000,000.00ILLINOIS STATE BANCORP, INC. CHICAGO IL 9/22/2011 

8 INDEPENDENCE BANK EAST GREENWICH RI 1/9/2009 Preferred Stock w/ Exercised Warrants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, in 

INDEPENDENCE BANK EAST GREENWICH RI 10/16/2013 

11 INDEPENDENT BANK CORP. ROCKLAND MA 1/9/2009 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in 

INDEPENDENT BANK CORP. ROCKLAND MA 4/22/2009 

INDEPENDENT BANK CORP. ROCKLAND MA 5/27/2009 

29 INDEPENDENT BANK CORPORATION IONIA MI 12/12/2008 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in 

INDEPENDENT BANK CORPORATION IONIA MI 8/30/2013 

8,22,92,97 INDIANA BANK CORP. DANA IN 4/24/2009 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 Currently Not 

INDIANA BANK CORP. DANA IN 4/9/2013 

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12/12/2008 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in 

INDIANA COMMUNITY BANCORP COLUMBUS IN 9/12/2012 

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 2/27/2009 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 Currently Not 

INTEGRA BANK CORPORATION EVANSVILLE IN 7/29/2011 

115 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 12/19/2008 Preferred Stock w/ Warrants $27,000,000.00 $0.00 $33,955,519.23 Redeemed, in 

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 11/20/2013 

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 10/31/2014 

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 12/23/2008 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 7/11/2012 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/1/2012 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/28/2012 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 6/11/2013 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $32,927,621.56 Sold, in full; wINTERVEST BANCSHARES CORPORATION NEW YORK NY 6/24/2013 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 7/26/2013 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 9/3/2014 

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 5/8/2009 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 Currently Not 

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 10/19/2012 

11 JPMORGAN CHASE & CO. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in 

JPMORGAN CHASE & CO. NEW YORK NY 6/17/2009 

JPMORGAN CHASE & CO. NEW YORK NY 12/16/2009 

8,14,44 KATAHDIN BANKSHARES CORP. HOULTON ME 1/30/2009 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in 

KATAHDIN BANKSHARES CORP. HOULTON ME 8/18/2011 

11 KEYCORP CLEVELAND OH 11/14/2008 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in 

KEYCORP CLEVELAND OH 3/30/2011 KEYCORP CLEVELAND OH 4/20/2011 

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/20/2009 Preferred Stock w/ Exercised Warrants $470,000.00 $0.00 $622,228.44 Redeemed, in 

KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/19/2014 

8,14 KS BANCORP, INC SMITHFIELD NC 8/21/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in full; w

KS BANCORP, INC SMITHFIELD NC 11/30/2012 KS BANCORP, INC SMITHFIELD NC 1/11/2013 

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 2/20/2009 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in 

LAFAYETTE BANCORP, INC. OXFORD MS 12/29/2009 $2,453,000.00LAFAYETTE BANCORP, INC. OXFORD MS 9/29/2010 

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 2/6/2009 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in 

LAKELAND BANCORP, INC. OAK RIDGE NJ 8/4/2010 

LAKELAND BANCORP, INC. OAK RIDGE NJ 3/16/2011 

LAKELAND BANCORP, INC. OAK RIDGE NJ 2/8/2012 

LAKELAND BANCORP, INC. OAK RIDGE NJ 2/29/2012 

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 2/27/2009 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in 

LAKELAND FINANCIAL CORPORATION WARSAW IN 6/9/2010 

LAKELAND FINANCIAL CORPORATION WARSAW IN 11/22/2011 

8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 12/18/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in full; w

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11/29/2012 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 1/11/2013 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 3/26/2013 

11 LCNB CORP. LEBANON OH 1/9/2009 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in 

LCNB CORP. LEBANON OH 10/21/2009 

LCNB CORP. LEBANON OH 11/22/2011 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

8,11,14 LEADER BANCORP, INC. ARLINGTON MA 12/23/2008 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in 

LEADER BANCORP, INC. ARLINGTON MA 11/24/2010 

9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 1/30/2009 Preferred Stock $5,498,000.00 $0.00 $355,079.00 Currently Not 

LEGACY BANCORP, INC. MILWAUKEE WI 3/11/2011 

8,14,45 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 1/23/2009 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in 

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 7/21/2011 

8,14,45 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 2/13/2009 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in 

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 8/18/2011 

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 12/4/2009 Preferred Stock w/ Exercised Warrants $6,500,000.00 $0.00 $8,447,271.11 Redeemed, in 

LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 1/14/2015 

9,11,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 2/6/2009 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in 

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 9/24/2010 

8 LIBERTY SHARES, INC. HINESVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $17,280,000.00 $17,280,000.00 $1,399,560.00 Full investme11 LINCOLN NATIONAL CORPORATION RADNOR PA 7/10/2009 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in 

LINCOLN NATIONAL CORPORATION RADNOR PA 6/30/2010 LINCOLN NATIONAL CORPORATION RADNOR PA 9/22/2010 LNB BANCORP, INC. LORAIN OH 12/12/2008 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in full; wLNB BANCORP, INC. LORAIN OH 6/19/2012 

LNB BANCORP, INC. LORAIN OH 7/18/2012 

8 LONE STAR BANK HOUSTON TX 2/6/2009 Preferred Stock w/ Exercised Warrants $3,072,000.00 $0.00 $1,950,881.54 Sold, in full; w

LONE STAR BANK HOUSTON TX 12/3/2014 LONE STAR BANK HOUSTON TX 12/4/2014 LONE STAR BANK HOUSTON TX 1/9/2015 

11 LSB CORPORATION NORTH ANDOVER MA 12/12/2008 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in 

LSB CORPORATION NORTH ANDOVER MA 11/18/2009 

LSB CORPORATION NORTH ANDOVER MA 12/16/2009 

8,9,17 M&F BANCORP, INC. DURHAM NC 6/26/2009 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in 

M&F BANCORP, INC. DURHAM NC 8/20/2010 

11 M&T BANK CORPORATION BUFFALO NY 12/23/2008 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in 

M&T BANK CORPORATION BUFFALO NY 5/18/2011 

M&T BANK CORPORATION BUFFALO NY 8/21/2012 M&T BANK CORPORATION BUFFALO NY 12/17/2012 MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 4/24/2009 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in full; wMACKINAC FINANCIAL CORPORATION MANISTIQUE MI 8/29/2012 

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 12/19/2012 

8 MADISON FINANCIAL CORPORATION RICHMOND KY 3/13/2009 Preferred Stock w/ Exercised Warrants $3,370,000.00 $0.00 $3,773,495.65 Sold, in full; w

MADISON FINANCIAL CORPORATION RICHMOND KY 11/19/2013 MADISON FINANCIAL CORPORATION RICHMOND KY 1/6/2014 

8,11,44 MAGNA BANK MEMPHIS TN 12/23/2008 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in 

MAGNA BANK MEMPHIS TN 11/24/2009 MAGNA BANK MEMPHIS TN 6/8/2011 MAGNA BANK MEMPHIS TN 8/18/2011 

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 12/29/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in 

MAINLINE BANCORP, INC. EBENSBURG PA 3/9/2012 MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 1/16/2009 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in full; wMAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 4/3/2012 

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 6/11/2013 

11 MANHATTAN BANCORP EL SEGUNDO CA 12/5/2008 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in 

MANHATTAN BANCORP EL SEGUNDO CA 9/16/2009 MANHATTAN BANCORP EL SEGUNDO CA 10/14/2009 

14,15 MANHATTAN BANCSHARES, INC. MANHATTAN IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in full; w

MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/10/2012 MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/11/2012 MANHATTAN BANCSHARES, INC. MANHATTAN IL 1/11/2013 

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 3/6/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,296,213.00 Sold, in full; w

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/1/2014 MARINE BANK & TRUST COMPANY VERO BEACH FL 7/2/2014 MARINE BANK & TRUST COMPANY VERO BEACH FL 7/3/2014 

MARINE BANK & TRUST COMPANY VERO BEACH FL 9/26/2014 

8 MARKET BANCORPORATION, INC. NEW MARKET MN 2/20/2009 Preferred Stock w/ Exercised Warrants $2,060,000.00 $0.00 $2,714,911.32 Sold, in full; w

MARKET BANCORPORATION, INC. NEW MARKET MN 7/2/2014 MARKET BANCORPORATION, INC. NEW MARKET MN 9/26/2014 

14,15 MARKET STREET BANCSHARES, INC. MT. VERNON IL 5/15/2009 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in full; w

MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/9/2012 

MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/10/2012 

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9/11/2012 

8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 12/19/2008 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; w

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/7/2012 MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/9/2012 MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/10/2012 

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9/11/2012 

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 11/14/2008 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in 

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 7/5/2011 

8 MARYLAND FINANCIAL BANK TOWSON MD 3/27/2009 Preferred Stock w/ Exercised Warrants $1,700,000.00 $0.00 $817,240.50 Sold, in full; w

MARYLAND FINANCIAL BANK TOWSON MD 7/2/2014 MARYLAND FINANCIAL BANK TOWSON MD 9/26/2014 

11 MB FINANCIAL INC. CHICAGO IL 12/5/2008 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in 

MB FINANCIAL INC. CHICAGO IL 3/14/2012 MB FINANCIAL INC. CHICAGO IL 5/2/2012 

8,14,45 MCLEOD BANCSHARES, INC. SHOREWOOD MN 11/20/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in 

MCLEOD BANCSHARES, INC. SHOREWOOD MN 8/18/2011 

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 2/27/2009 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in 

MEDALLION BANK SALT LAKE CITY UT 12/22/2009 $9,698,000.00MEDALLION BANK SALT LAKE CITY UT 7/21/2011 

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 5/15/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in 

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4/4/2012 

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6/6/2012 

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 7/3/2012 

8,14,44 MERCANTILE CAPITAL CORPORATION BOSTON MA 2/6/2009 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in 

MERCANTILE CAPITAL CORPORATION BOSTON MA 8/4/2011 

8,14,56 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 3/6/2009 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in 

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 9/7/2011 

8,14,44 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 6/19/2009 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in 

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 9/8/2011 

8,18 MERIDIAN BANK DEVON PA 2/13/2009 Preferred Stock w/ Exercised Warrants $6,200,000.00 $0.00 $13,582,165.84 Sold, in full; w

MERIDIAN BANK DEVON PA 12/11/2009 $6,335,000.00MERIDIAN BANK DEVON PA 3/17/2014 

MERIDIAN BANK DEVON PA 4/25/2014 

8,14 METRO CITY BANK DORAVILLE GA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in full; w

METRO CITY BANK DORAVILLE GA 10/29/2012 

METRO CITY BANK DORAVILLE GA 11/1/2012 METRO CITY BANK DORAVILLE GA 1/11/2013 METROCORP BANCSHARES, INC. HOUSTON TX 1/16/2009 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in full; wMETROCORP BANCSHARES, INC. HOUSTON TX 7/3/2012 

METROCORP BANCSHARES, INC. HOUSTON TX 6/11/2013 

8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in full; w

METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 

8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 4/10/2009 Preferred Stock w/ Exercised Warrants $2,040,000.00 $0.00 $5,663,197.28 Sold, in full; w

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 11/20/2009 $2,348,000.00METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 6/29/2015 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 8/6/2015 

11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/19/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in 

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/28/2012 

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 1/23/2013 

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 1/30/2009 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in 

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 12/23/2009 

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 11/18/2011 

8,11,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 1/23/2009 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

MIDLAND STATES BANCORP, INC. EFFINGHAM IL 12/23/2009 

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in 

MIDSOUTH BANCORP, INC. LAFAYETTE LA 8/25/2011 

MIDSOUTH BANCORP, INC. LAFAYETTE LA 11/22/2011 

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 2/27/2009 Preferred Stock w/ Exercised Warrants $5,222,000.00 $0.00 $3,520,137.55 Sold, in full; w

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 11/19/2013 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 1/6/2014 

22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 12/5/2008 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Exited bankru

MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5/14/2010 

8,11,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 2/13/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in 

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 11/10/2009 

11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 2/6/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in 

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/6/2011 

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/27/2011 

8,11,14 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 2/20/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in 

MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 4/26/2013 

8 MILLENNIUM BANCORP, INC. EDWARDS CO 4/3/2009 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in full; w

MILLENNIUM BANCORP, INC. EDWARDS CO 8/14/2012 

9,11 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 1/9/2009 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in 

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 12/28/2011 

9,11,36 MISSION VALLEY BANCORP SUN VALLEY CA 12/23/2008 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in 

MISSION VALLEY BANCORP SUN VALLEY CA 8/20/2010 

8,11,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/19/2008 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in 

MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/28/2012 

98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 2/6/2009 Preferred Stock w/ Warrants $6,785,000.00 $0.00 $4,808,121.00 Sold, in full; w

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 11/15/2013 

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/19/2008 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in 

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/23/2009 

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 2/10/2010 

8,14,45 MONEYTREE CORPORATION LENOIR CITY TN 3/13/2009 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in 

MONEYTREE CORPORATION LENOIR CITY TN 9/15/2011 

8,14,44 MONUMENT BANK BETHESDA MD 1/30/2009 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in 

MONUMENT BANK BETHESDA MD 8/11/2011 

11 MORGAN STANLEY NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in 

MORGAN STANLEY NEW YORK NY 6/17/2009 

MORGAN STANLEY NEW YORK NY 8/12/2009 

8,11,14 MORRILL BANCSHARES, INC. MERRIAM KS 1/16/2009 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in 

MORRILL BANCSHARES, INC. MERRIAM KS 7/20/2011 

8,11,14 MOSCOW BANCSHARES, INC. MOSCOW TN 1/23/2009 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in 

MOSCOW BANCSHARES, INC. MOSCOW TN 4/25/2012 MOSCOW BANCSHARES, INC. MOSCOW TN 12/5/2012 

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/25/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in full; w

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 7/22/2013 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/12/2013 

8,11,14 MS FINANCIAL, INC. KINGWOOD TX 3/27/2009 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in 

MS FINANCIAL, INC. KINGWOOD TX 10/19/2011 

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 12/23/2008 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in 

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 8/25/2011 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 9/28/2011 

8 NAPLES BANCORP, INC. NAPLES FL 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in full; w

NAPLES BANCORP, INC. NAPLES FL 7/12/2012 

11,59 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 11/21/2008 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in 

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 8/8/2012 

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/27/2009 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in full; w

NATIONAL BANCSHARES, INC. BETTENDORF IA 2/19/2013 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/20/2013 

NATIONAL BANCSHARES, INC. BETTENDORF IA 3/26/2013 

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12/12/2008 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in 

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 3/16/2011 

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 4/13/2011 

11,14,15 NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/11/2009 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in 

NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/29/2010 

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; w

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 

8,119 NCAL BANCORP LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $5,211,027.78 Sold, in full; w

NCAL BANCORP LOS ANGELES CA 12/10/2014 

11,14,15 NEMO BANCSHARES, INC. MADISON MO 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in 

NEMO BANCSHARES, INC. MADISON MO 4/24/2013 

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 1/16/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in 

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 8/25/2011 

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 2/15/2012 

8,11,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 1/9/2009 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in 

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 7/24/2013 NEWBRIDGE BANCORP GREENSBORO NC 12/12/2008 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in full; wNEWBRIDGE BANCORP GREENSBORO NC 4/26/2013 NEWBRIDGE BANCORP GREENSBORO NC 4/29/2013 

NEWBRIDGE BANCORP GREENSBORO NC 5/15/2013 NEWBRIDGE BANCORP GREENSBORO NC 5/31/2013 

8,14,44 NICOLET BANKSHARES, INC. GREEN BAY WI 12/23/2008 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in 

NICOLET BANKSHARES, INC. GREEN BAY WI 9/1/2011 

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/9/2009 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in 

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 12/14/2011 

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/11/2012 

11 NORTHEAST BANCORP LEWISTON ME 12/12/2008 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in 

NORTHEAST BANCORP LEWISTON ME 11/28/2012 NORTHEAST BANCORP LEWISTON ME 12/28/2012 

8,11,14,18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 5/15/2009 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in 

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 12/18/2009 $1,230,000.00NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 3/28/2012 

109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 2/20/2009 Preferred Stock w/ Warrants $17,211,000.00 $0.00 $6,442,172.50 Sold, in full; w

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 4/30/2014 

11 NORTHERN TRUST CORPORATION CHICAGO IL 11/14/2008 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in 

NORTHERN TRUST CORPORATION CHICAGO IL 6/17/2009 NORTHERN TRUST CORPORATION CHICAGO IL 8/26/2009 

8,14,44 NORTHWAY FINANCIAL, INC. BERLIN NH 1/30/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in 

NORTHWAY FINANCIAL, INC. BERLIN NH 9/15/2011 

8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 2/13/2009 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in full; w

NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/8/2013 NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/11/2013 NORTHWEST BANCORPORATION, INC. SPOKANE WA 4/9/2013 

8,11,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 2/13/2009 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in 

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 1/9/2013 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/30/2009 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in full; wOAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 10/31/2012 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/11/2013 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 2/6/2013 

45 OAK VALLEY BANCORP OAKDALE CA 12/5/2008 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in 

OAK VALLEY BANCORP OAKDALE CA 8/11/2011 

OAK VALLEY BANCORP OAKDALE CA 9/28/2011 

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 1/16/2009 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in 

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 12/30/2009 

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 2/3/2010 

8 OJAI COMMUNITY BANK OJAI CA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in 

OJAI COMMUNITY BANK OJAI CA 9/25/2013 

11 OLD LINE BANCSHARES, INC. BOWIE MD 12/5/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in 

OLD LINE BANCSHARES, INC. BOWIE MD 7/15/2009 OLD LINE BANCSHARES, INC. BOWIE MD 9/2/2009 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

11 OLD NATIONAL BANCORP EVANSVILLE IN 12/12/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in 

OLD NATIONAL BANCORP EVANSVILLE IN 3/31/2009 

OLD NATIONAL BANCORP EVANSVILLE IN 5/8/2009 OLD SECOND BANCORP, INC. AURORA IL 1/16/2009 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in full; wOLD SECOND BANCORP, INC. AURORA IL 3/11/2013 

OLD SECOND BANCORP, INC. AURORA IL 3/26/2013 

OLD SECOND BANCORP, INC. AURORA IL 3/27/2013 OLD SECOND BANCORP, INC. AURORA IL 4/9/2013 

OLD SECOND BANCORP, INC. AURORA IL 6/11/2013 

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 4/17/2009 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in full; w

OMEGA CAPITAL CORP. LAKEWOOD CO 7/19/2013 OMEGA CAPITAL CORP. LAKEWOOD CO 7/22/2013 OMEGA CAPITAL CORP. LAKEWOOD CO 9/12/2013 

8,51,97 ONE GEORGIA BANK ATLANTA GA 5/8/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Exited bankru

ONE GEORGIA BANK ATLANTA GA 7/15/2011 

8,9 ONE UNITED BANK BOSTON MA 12/19/2008 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investme15,17 ONEFINANCIAL CORPORATION LITTLE ROCK AR 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $17,300,000.00 $3,782,990.59 Full investme8 OREGON BANCORP, INC. SALEM OR 4/24/2009 Preferred Stock w/ Exercised Warrants $3,216,000.00 $0.00 $4,116,801.92 Sold, in full; w

OREGON BANCORP, INC. SALEM OR 10/18/2013 OREGON BANCORP, INC. SALEM OR 10/21/2013 OREGON BANCORP, INC. SALEM OR 1/6/2014 

11,14,15 OSB FINANCIAL SERVICES, INC. ORANGE TX 5/1/2009 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in 

OSB FINANCIAL SERVICES, INC. ORANGE TX 10/5/2011 

11,35 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/21/2008 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in full; w

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 2/23/2011 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/30/2012 

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $16,200,000.00 $0.00 $21,003,597.96 Sold, in full; w

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 11/19/2013 

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 1/6/2014 

8,14,45 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 12/23/2008 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in 

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 7/28/2011 

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Exited bankru

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 2/11/2010 

8 PACIFIC COMMERCE BANK LOS ANGELES CA 12/23/2008 Preferred Stock w/ Exercised Warrants $4,060,000.00 $0.00 $2,991,670.80 Sold, in full; w

PACIFIC COMMERCE BANK LOS ANGELES CA 2/10/2014 PACIFIC COMMERCE BANK LOS ANGELES CA 3/19/2014 

85 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 12/12/2008 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, in 

PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 2/15/2013 

8,14 PARK BANCORPORATION, INC. MADISON WI 3/6/2009 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in full; w

PARK BANCORPORATION, INC. MADISON WI 8/7/2012 PARK BANCORPORATION, INC. MADISON WI 8/9/2012 PARK BANCORPORATION, INC. MADISON WI 8/10/2012 

PARK BANCORPORATION, INC. MADISON WI 9/11/2012 

11 PARK NATIONAL CORPORATION NEWARK OH 12/23/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in 

PARK NATIONAL CORPORATION NEWARK OH 4/25/2012 

PARK NATIONAL CORPORATION NEWARK OH 5/2/2012 PARKE BANCORP, INC. SEWELL NJ 1/30/2009 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in full; wPARKE BANCORP, INC. SEWELL NJ 11/28/2012 

PARKE BANCORP, INC. SEWELL NJ 11/29/2012 

PARKE BANCORP, INC. SEWELL NJ 1/11/2013 

PARKE BANCORP, INC. SEWELL NJ 6/12/2013 

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 12/23/2008 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $42,596,063.59 Redeemed, in 

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 1/3/2012 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 5/27/2015 

8,11,21 PASCACK BANCORP, INC. WESTWOOD NJ 2/6/2009 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in 

PASCACK BANCORP, INC. WESTWOOD NJ 10/19/2011 

8,126 PATAPSCO BANCORP, INC. DUNDALK MD 12/19/2008 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $9,260,824.26 Redeemed, in 

PATAPSCO BANCORP, INC. DUNDALK MD 8/28/2015 

44 PATHFINDER BANCORP, INC. OSWEGO NY 9/11/2009 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in 

PATHFINDER BANCORP, INC. OSWEGO NY 9/1/2011 PATHFINDER BANCORP, INC. OSWEGO NY 2/1/2012 

8,14 PATHWAY BANCORP CAIRO NE 3/27/2009 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in full; w

PATHWAY BANCORP CAIRO NE 6/24/2013 PATHWAY BANCORP CAIRO NE 7/26/2013 

8 PATRIOT BANCSHARES, INC. HOUSTON TX 12/19/2008 Preferred Stock w/ Exercised Warrants $26,038,000.00 $0.00 $33,824,567.35 Sold, in full; w

PATRIOT BANCSHARES, INC. HOUSTON TX 4/11/2014 

PATRIOT BANCSHARES, INC. HOUSTON TX 4/14/2014 

PATRIOT BANCSHARES, INC. HOUSTON TX 7/18/2014 

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in 

PATTERSON BANCSHARES, INC. PATTERSON LA 3/7/2012 PATTERSON BANCSHARES, INC. PATTERSON LA 8/22/2012 PATTERSON BANCSHARES, INC. PATTERSON LA 12/5/2012 PATTERSON BANCSHARES, INC. PATTERSON LA 5/8/2013 

PATTERSON BANCSHARES, INC. PATTERSON LA 6/5/2013 

11 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/9/2009 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in 

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/6/2010 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 3/2/2011 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/11/2012 

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4/4/2012 

8,14,44 PENN LIBERTY FINANCIAL CORP. WAYNE PA 4/17/2009 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in 

PENN LIBERTY FINANCIAL CORP. WAYNE PA 9/1/2011 

11 PEOPLES BANCORP (OH) MARIETTA OH 1/30/2009 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in 

PEOPLES BANCORP (OH) MARIETTA OH 2/2/2011 

PEOPLES BANCORP (OH) MARIETTA OH 12/28/2011 

PEOPLES BANCORP (OH) MARIETTA OH 2/15/2012 

8,14,56 PEOPLES BANCORP (WA) LYNDEN WA 2/13/2009 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in 

PEOPLES BANCORP (WA) LYNDEN WA 8/3/2011 

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 12/23/2008 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in full; wPEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 7/3/2012 

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8/8/2012 

8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2009 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in 

PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2012 

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 3/20/2009 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in full; w

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 10/31/2012 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 1/11/2013 

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 3/6/2009 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in 

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 9/18/2013 

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 9/11/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in 

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 8/25/2011 

9,11,36 PGB HOLDINGS, INC. CHICAGO IL 2/6/2009 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in 

PGB HOLDINGS, INC. CHICAGO IL 8/13/2010 

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 1/23/2009 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 Currently Not 

PIERCE COUNTY BANCORP TACOMA WA 11/5/2010 

8,69 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 3/6/2009 Preferred Stock w/ Exercised Warrants $4,389,000.00 $4,389,000.00 $284,999.00 Full investme11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/12/2008 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in 

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/28/2011 

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 6/20/2012 

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 7/18/2012 

8,14,44 PLAINS CAPITAL CORPORATION DALLAS TX 12/19/2008 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in 

PLAINS CAPITAL CORPORATION DALLAS TX 9/27/2011 

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; w

PLATO HOLDINGS INC. SAINT PAUL MN 4/26/2013 

PLATO HOLDINGS INC. SAINT PAUL MN 4/29/2013 PLATO HOLDINGS INC. SAINT PAUL MN 5/31/2013 PLUMAS BANCORP QUINCY CA 1/30/2009 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; wPLUMAS BANCORP QUINCY CA 4/29/2013 

PLUMAS BANCORP QUINCY CA 5/22/2013 

PLUMAS BANCORP QUINCY CA 5/31/2013 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

20 POPULAR, INC. SAN JUAN PR 12/5/2008 Preferred Stock w/ Warrants $935,000,000.00 $0.00 $1,220,280,000.00 Redeemed, in 

POPULAR, INC. SAN JUAN PR 7/2/2014 

POPULAR, INC. SAN JUAN PR 7/23/2014 PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 11/21/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $8,233,333.33 Sold, in full; wPORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/3/2014 PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/4/2014 

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 1/9/2015 

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 4/3/2009 Preferred Stock w/ Exercised Warrants $2,800,000.00 $0.00 $3,596,579.20 Sold, in full; w

PRAIRIE STAR BANCSHARES, INC. OLATHE KS 6/29/2015 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 8/6/2015 

9,15,36 PREMIER BANCORP, INC. WILMETTE IL 5/8/2009 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in 

PREMIER BANCORP, INC. WILMETTE IL 8/13/2010 

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 3/20/2009 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Exited bankru

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 8/14/2012 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10/2/2009 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $28,727,240.29 Sold, in full; wPREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/8/2012 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/9/2012 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/10/2012 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9/11/2012 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 5/6/2015 

14,15 PREMIER FINANCIAL CORP. DUBUQUE IA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in full; w

PREMIER FINANCIAL CORP. DUBUQUE IA 7/22/2013 PREMIER FINANCIAL CORP. DUBUQUE IA 9/12/2013 

8 PREMIER SERVICE BANK RIVERSIDE CA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,300,522.22 Redeemed, in 

PREMIER SERVICE BANK RIVERSIDE CA 1/31/2014 

80 PREMIERWEST BANCORP MEDFORD OR 2/13/2009 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in 

PREMIERWEST BANCORP MEDFORD OR 4/9/2013 

8,17 PRESIDIO BANK SAN FRANCISCO CA 11/20/2009 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in full; w

PRESIDIO BANK SAN FRANCISCO CA 12/10/2012 

PRESIDIO BANK SAN FRANCISCO CA 12/11/2012 PRESIDIO BANK SAN FRANCISCO CA 1/11/2013 

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 1/23/2009 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 Currently Not 

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 11/2/2012 

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 2/27/2009 Preferred Stock w/ Exercised Warrants $4,960,000.00 $0.00 $10,836,280.71 Redeemed, in 

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 12/29/2009 $3,262,000.00

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 6/25/2014 

12 PRIVATEBANCORP, INC. CHICAGO IL 1/30/2009 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in 

PRIVATEBANCORP, INC. CHICAGO IL 10/24/2012 

PRIVATEBANCORP, INC. CHICAGO IL 11/14/2012 

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 10/2/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in 

PROVIDENCE BANK ROCKY MOUNT NC 9/15/2011 

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 11/14/2008 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in full; w

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 8/21/2012 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/20/2013 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/25/2013 

107 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 3/13/2009 Preferred Stock w/ Warrants $9,266,000.00 $0.00 $5,639,391.00 Sold, in full; w

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 4/30/2014 

8,11,14 PSB FINANCIAL CORPORATION MANY LA 2/27/2009 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in 

PSB FINANCIAL CORPORATION MANY LA 9/29/2010 

8,14,44 PUGET SOUND BANK BELLEVUE WA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in 

PUGET SOUND BANK BELLEVUE WA 8/11/2011 PULASKI FINANCIAL CORP. CREVE COEUR MO 1/16/2009 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in full; wPULASKI FINANCIAL CORP. CREVE COEUR MO 7/3/2012 

PULASKI FINANCIAL CORP. CREVE COEUR MO 8/8/2012 

44 QCR HOLDINGS, INC. MOLINE IL 2/13/2009 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in 

QCR HOLDINGS, INC. MOLINE IL 9/15/2011 

QCR HOLDINGS, INC. MOLINE IL 11/16/2011 

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 10/30/2009 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in 

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 9/30/2013 

8,17 RCB FINANCIAL CORPORATION ROME GA 6/19/2009 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,139,863.61 Sold, in full; w

RCB FINANCIAL CORPORATION ROME GA 9/25/2013 RCB FINANCIAL CORPORATION ROME GA 10/29/2013 

8,14,44 REDWOOD CAPITAL BANCORP EUREKA CA 1/16/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in 

REDWOOD CAPITAL BANCORP EUREKA CA 7/21/2011 

8,14,44 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 1/9/2009 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in 

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 8/18/2011 

8,114 REGENT BANCORP, INC. DAVIE FL 3/6/2009 Preferred Stock w/ Exercised Warrants $9,982,000.00 $0.00 $8,755,019.00 Sold, in full; w

REGENT BANCORP, INC. DAVIE FL 10/17/2014 

8,14,44 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 2/27/2009 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in 

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 7/21/2011 

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 10/23/2009 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in 

REGENTS BANCSHARES, INC. VANCOUVER WA 1/26/2012 

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in full; w

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/8/2012 REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/9/2012 REGIONAL BANKSHARES, INC. HARTSVILLE SC 1/11/2013 REGIONAL BANKSHARES, INC. HARTSVILLE SC 3/26/2013 

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in 

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4/4/2012 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 5/2/2012 

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 2/13/2009 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $45,820,950.80 Sold, in full; w

RELIANCE BANCSHARES, INC. FRONTENAC MO 9/25/2013 

RELIANCE BANCSHARES, INC. FRONTENAC MO 10/29/2013 

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/27/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in full; w

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/20/2013 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 3/26/2013 

8,116 RISING SUN BANCORP RISING SUN MD 1/9/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $195,637.00 Currently Not 

RISING SUN BANCORP RISING SUN MD 10/17/2014 

11,14,15 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/12/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in 

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/6/2012 

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 5/15/2013 

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/15/2009 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $0.00 $1,622,708.57 Redeemed, in 

RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/14/2014 

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 1/30/2009 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 Currently Not 

ROGERS BANCSHARES, INC. LITTLE ROCK AR 7/5/2013 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2/20/2009 Preferred Stock w/ Warrants $30,407,000.00 $0.00 $36,696,518.83 Sold, in full; wROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/1/2014 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/2/2014 

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 9/26/2014 

11 S&T BANCORP, INC. INDIANA PA 1/16/2009 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in 

S&T BANCORP, INC. INDIANA PA 12/7/2011 

S&T BANCORP, INC. INDIANA PA 6/11/2013 

8 SAIGON NATIONAL BANK WESTMINSTER CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,549,000.00 $1,549,000.00 $0.00 Full investme44 SALISBURY BANCORP, INC. LAKEVILLE CT 3/13/2009 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in 

SALISBURY BANCORP, INC. LAKEVILLE CT 8/25/2011 SALISBURY BANCORP, INC. LAKEVILLE CT 11/2/2011 

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 12/5/2008 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in 

SANDY SPRING BANCORP, INC. OLNEY MD 7/21/2010 

SANDY SPRING BANCORP, INC. OLNEY MD 12/15/2010 

SANDY SPRING BANCORP, INC. OLNEY MD 2/23/2011 

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in full; w

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 3/8/2013 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 4/9/2013 SANTA LUCIA BANCORP ATASCADERO CA 12/19/2008 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in full; wSANTA LUCIA BANCORP ATASCADERO CA 10/21/2011 

8,14,44 SBT BANCORP, INC. SIMSBURY CT 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in 

SBT BANCORP, INC. SIMSBURY CT 8/11/2011 

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 1/16/2009 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

SCBT FINANCIAL CORPORATION COLUMBIA SC 5/20/2009 

SCBT FINANCIAL CORPORATION COLUMBIA SC 6/24/2009 SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in full; wSEACOAST BANKING CORPORATION OF FLORIDA STUART FL 4/3/2012 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 5/30/2012 

8,14,44 SEACOAST COMMERCE BANK CHULA VISTA CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in 

SEACOAST COMMERCE BANK CHULA VISTA CA 9/1/2011 

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 2/13/2009 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in full; w

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/10/2012 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/11/2012 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 1/11/2013 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 3/26/2013 

8,14,44 SECURITY BUSINESS BANCORP SAN DIEGO CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in 

SECURITY BUSINESS BANCORP SAN DIEGO CA 7/14/2011 

8,14,44 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 1/9/2009 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in 

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9/15/2011 

8,14,36,111 SECURITY CAPITAL CORPORATION BATESVILLE MS 6/26/2009 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in 

SECURITY CAPITAL CORPORATION BATESVILLE MS 9/29/2010 

11,36 SECURITY FEDERAL CORPORATION AIKEN SC 12/19/2008 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in 

SECURITY FEDERAL CORPORATION AIKEN SC 9/29/2010 

SECURITY FEDERAL CORPORATION AIKEN SC 7/31/2013 

8,14,44 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 2/20/2009 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in 

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 9/22/2011 

14,15 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 5/1/2009 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in full; w

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 6/24/2013 

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 7/26/2013 

SEVERN BANCORP, INC. ANNAPOLIS MD 11/21/2008 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $26,915,463.85 Sold, in full; wSEVERN BANCORP, INC. ANNAPOLIS MD 9/25/2013 

SEVERN BANCORP, INC. ANNAPOLIS MD 10/29/2013 

11 SHORE BANCSHARES, INC. EASTON MD 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in 

SHORE BANCSHARES, INC. EASTON MD 4/15/2009 

SHORE BANCSHARES, INC. EASTON MD 11/16/2011 

11,14,15 SIGNATURE BANCSHARES, INC. DALLAS TX 6/26/2009 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in 

SIGNATURE BANCSHARES, INC. DALLAS TX 12/15/2010 

11 SIGNATURE BANK NEW YORK NY 12/12/2008 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in 

SIGNATURE BANK NEW YORK NY 3/31/2009 

SIGNATURE BANK NEW YORK NY 3/16/2010 

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 1/16/2009 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in 

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 5/20/2009 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 6/24/2009 

8,32,97 SONOMA VALLEY BANCORP SONOMA CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $347,164.00 Currently Not 

SONOMA VALLEY BANCORP SONOMA CA 8/20/2010 

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in full; w

SOUND BANKING COMPANY MOREHEAD CITY NC 11/13/2012 SOUND BANKING COMPANY MOREHEAD CITY NC 1/11/2013 

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 12/5/2008 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in full; wSOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 9/30/2010 

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 7/17/2009 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in full; w

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/8/2013 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/11/2013 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 4/9/2013 

9,11,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 1/16/2009 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in 

SOUTHERN BANCORP, INC. ARKADELPHIA AR 8/6/2010 

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 12/5/2008 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 10/1/2012 

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 2/27/2009 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; wSOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/3/2012 

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/25/2012 

8,14,45 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 5/15/2009 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in 

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 9/8/2011 

8,14,44 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in 

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 8/25/2011 

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 12/5/2008 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $13,504,763.89 Redeemed, in 

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 7/21/2011 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5/13/2015 

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/12/2009 Preferred Stock w/ Exercised Warrants $2,760,000.00 $0.00 $3,202,464.28 Sold, in full; w

SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/29/2015 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 8/6/2015 

11 SOUTHWEST BANCORP, INC. STILLWATER OK 12/5/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in 

SOUTHWEST BANCORP, INC. STILLWATER OK 8/8/2012 

SOUTHWEST BANCORP, INC. STILLWATER OK 5/29/2013 

8,14,44 SOVEREIGN BANCSHARES, INC. DALLAS TX 3/13/2009 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in 

SOVEREIGN BANCSHARES, INC. DALLAS TX 9/22/2011 

8 SPIRIT BANKCORP, INC. BRISTOW OK 3/27/2009 Preferred Stock w/ Exercised Warrants $30,000,000.00 $0.00 $11,803,691.75 Sold, in full; w

SPIRIT BANKCORP, INC. BRISTOW OK 10/21/2013 SPIRIT BANKCORP, INC. BRISTOW OK 1/6/2014 

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 3/13/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $1,200,033.00 Full investme8,14,74 STANDARD BANCSHARES, INC. HICKORY HILLS IL 4/24/2009 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in 

STANDARD BANCSHARES, INC. HICKORY HILLS IL 2/22/2013 

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/5/2008 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,514,919.19 Redeemed, in 

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/14/2011 

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5/27/2015 

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 9/4/2009 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in 

STATE BANK OF BARTLEY, THE BARTLEY NE 9/22/2011 

8,11 STATE BANKSHARES, INC. FARGO ND 1/16/2009 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in 

STATE BANKSHARES, INC. FARGO ND 8/12/2009 

STATE BANKSHARES, INC. FARGO ND 6/29/2011 

8,11,36 STATE CAPITAL CORP. GREENWOOD MS 2/13/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in 

STATE CAPITAL CORP. GREENWOOD MS 9/29/2010 

12,16 STATE STREET CORPORATION BOSTON MA 10/28/2008 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in 

STATE STREET CORPORATION BOSTON MA 6/17/2009 STATE STREET CORPORATION BOSTON MA 7/8/2009 

11,14,15 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in 

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 1/18/2012 

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 9/25/2009 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in 

STEELE STREET BANK CORPORATION DENVER CO 9/1/2011 

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, in 

STELLARONE CORPORATION CHARLOTTESVILLE VA 4/13/2011 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/28/2011 

STELLARONE CORPORATION CHARLOTTESVILLE VA 12/18/2013 

11 STERLING BANCORP NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in 

STERLING BANCORP NEW YORK NY 4/27/2011 

STERLING BANCORP NEW YORK NY 5/18/2011 

11 STERLING BANCSHARES, INC. HOUSTON TX 12/12/2008 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in 

STERLING BANCSHARES, INC. HOUSTON TX 5/5/2009 

STERLING BANCSHARES, INC. HOUSTON TX 6/15/2010 

31 STERLING FINANCIAL CORPORATION SPOKANE WA 12/5/2008 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in full; w

STERLING FINANCIAL CORPORATION SPOKANE WA 8/20/2012 STERLING FINANCIAL CORPORATION SPOKANE WA 9/19/2012 

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1/30/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in 

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 9/1/2011 

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 10/26/2011 

8,11,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 2/6/2009 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in 

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 1/12/2011 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 3/16/2011 

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 1/23/2009 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in full; w

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/26/2013 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/27/2013 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 4/9/2013 

15,123 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $24,929,429.70 Redeemed, in 

SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 7/16/2015 

44 SUMMIT STATE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in 

SUMMIT STATE BANK SANTA ROSA CA 8/4/2011 SUMMIT STATE BANK SANTA ROSA CA 9/14/2011 

11 SUN BANCORP, INC. VINELAND NJ 1/9/2009 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in 

SUN BANCORP, INC. VINELAND NJ 4/8/2009 

SUN BANCORP, INC. VINELAND NJ 5/27/2009 

11 SUNTRUST BANKS, INC. ATLANTA GA 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in 

SUNTRUST BANKS, INC. ATLANTA GA 12/31/2008 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 3/30/2011 

SUNTRUST BANKS, INC. ATLANTA GA 9/28/2011 

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 12/5/2008 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 Currently Not 

SUPERIOR BANCORP INC. BIRMINGHAM AL 4/15/2011 

8,11,14 SURREY BANCORP MOUNT AIRY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in 

SURREY BANCORP MOUNT AIRY NC 12/29/2010 

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in 

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 4/21/2010 

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/22/2010 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 1/19/2011 

8,11,14 SV FINANCIAL, INC. STERLING IL 4/10/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in 

SV FINANCIAL, INC. STERLING IL 8/31/2011 

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12/12/2008 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in 

SVB FINANCIAL GROUP SANTA CLARA CA 12/23/2009 SVB FINANCIAL GROUP SANTA CLARA CA 6/16/2010 

14,15,44 SWORD FINANCIAL CORPORATION HORICON WI 5/8/2009 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in 

SWORD FINANCIAL CORPORATION HORICON WI 9/15/2011 

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 12/19/2008 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, in 

SYNOVUS FINANCIAL CORP. COLUMBUS GA 7/26/2013 

8,103 SYRINGA BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $8,000,000.00 $0.00 $253,122.22 Currently Not 

SYRINGA BANCORP BOISE ID 1/31/2014 TAYLOR CAPITAL GROUP ROSEMONT IL 11/21/2008 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in full; wTAYLOR CAPITAL GROUP ROSEMONT IL 6/19/2012 

TAYLOR CAPITAL GROUP ROSEMONT IL 7/18/2012 

15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 8/28/2009 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in 

TCB CORPORATION/COUNTY BANK GREENWOOD SC 9/8/2011 

8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 1/16/2009 Preferred Stock w/ Exercised Warrants $11,730,000.00 $0.00 $690,832.08 Currently Not 

TCB HOLDING COMPANY THE WOODLANDS TX 12/13/2013 

11 TCF FINANCIAL CORPORATION WAYZATA MN 11/14/2008 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in 

TCF FINANCIAL CORPORATION WAYZATA MN 4/22/2009 

TCF FINANCIAL CORPORATION WAYZATA MN 12/21/2009 

8,11,14 TCNB FINANCIAL CORP DAYTON OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in 

TCNB FINANCIAL CORP DAYTON OH 8/3/2011 

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 Currently Not 

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 1/27/2012 

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in full; w

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/26/2013 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/29/2013 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 5/31/2013 

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 1/16/2009 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in 

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 5/13/2009 

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 3/17/2010 

8,11,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 1/9/2009 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in 

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 5/19/2010 

8,14,44 THE ANB CORPORATION TERRELL TX 8/7/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in 

THE ANB CORPORATION TERRELL TX 8/25/2011 

12,16 THE BANCORP, INC. WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in 

THE BANCORP, INC. WILMINGTON DE 3/10/2010 

THE BANCORP, INC. WILMINGTON DE 9/8/2010 

8 THE BANK OF CURRITUCK MOYOCK NC 2/6/2009 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in full; w

THE BANK OF CURRITUCK MOYOCK NC 12/3/2010 

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 2/13/2009 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 12/22/2010 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 11/23/2011 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 5/29/2013 

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 1/16/2009 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in full; w

THE BARABOO BANCORPORATION, INC. BARABOO WI 12/10/2012 THE BARABOO BANCORPORATION, INC. BARABOO WI 12/11/2012 

THE BARABOO BANCORPORATION, INC. BARABOO WI 1/11/2013 

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 12/19/2008 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 4/19/2012 

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 12/19/2008 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $11,795,867.07 Redeemed, in 

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 8/25/2011 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 5/6/2015 

11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,722,063.78 Redeemed, in 

THE FIRST BANCORP, INC. DAMARISCOTTA ME 8/24/2011 

THE FIRST BANCORP, INC. DAMARISCOTTA ME 3/27/2013 THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/8/2013 

THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/28/2015 

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 2/6/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,714,215.56 Redeemed, in 

THE FIRST BANCSHARES, INC. HATTIESBURG MS 9/29/2010 THE FIRST BANCSHARES, INC. HATTIESBURG MS 5/13/2015 

8,11,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 2/27/2009 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in 

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 4/14/2010 

8,11,14 THE FREEPORT STATE BANK HARPER KS 2/6/2009 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in 

THE FREEPORT STATE BANK HARPER KS 12/19/2012 

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 6/26/2009 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in 

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 3/31/2010 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 9/27/2010 

8,14,44 THE LANDRUM COMPANY COLUMBIA MO 5/22/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in 

THE LANDRUM COMPANY COLUMBIA MO 8/18/2011 

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 12/23/2008 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in full; w

THE LITTLE BANK, INCORPORATED KINSTON NC 10/31/2012 THE LITTLE BANK, INCORPORATED KINSTON NC 1/11/2013 

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 12/31/2008 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in 

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 2/10/2010 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5/5/2010 

8,14,44 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 2/20/2009 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in 

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 9/1/2011 

8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 1/9/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in full; w

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/8/2013 

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/11/2013 

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 4/9/2013 

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 2/27/2009 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in 

THE VICTORY BANCORP, INC. LIMERICK PA 12/11/2009 $1,505,000.00THE VICTORY BANCORP, INC. LIMERICK PA 9/22/2011 

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in full; w

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/8/2012 THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/9/2012 THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/11/2013 TIB FINANCIAL CORP NAPLES FL 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in full; wTIB FINANCIAL CORP NAPLES FL 9/30/2010 

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 12/19/2008 Preferred Stock w/ Warrants $14,448,000.00 $14,448,000.00 $1,195,973.33 Full investme

8,47,97 TIFTON BANKING COMPANY TIFTON GA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Exited bankru

TIFTON BANKING COMPANY TIFTON GA 11/12/2010 TIMBERLAND BANCORP, INC. HOQUIAM WA 12/23/2008 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in full; wTIMBERLAND BANCORP, INC. HOQUIAM WA 11/8/2012 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/9/2012 TIMBERLAND BANCORP, INC. HOQUIAM WA 11/13/2012 TIMBERLAND BANCORP, INC. HOQUIAM WA 1/11/2013 

TIMBERLAND BANCORP, INC. HOQUIAM WA 6/11/2013 

8,11,14 TITONKA BANCSHARES, INC. TITONKA IA 4/3/2009 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in 

TITONKA BANCSHARES, INC. TITONKA IA 4/4/2012 

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 2/6/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in 

TODD BANCSHARES, INC. HOPKINSVILLE KY 9/25/2013 

45 TOWNEBANK PORTSMOUTH VA 12/12/2008 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in 

TOWNEBANK PORTSMOUTH VA 9/22/2011 

TOWNEBANK PORTSMOUTH VA 5/15/2013 

8 TREATY OAK BANCORP, INC. AUSTIN TX 1/16/2009 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $2,412,702.03 Sold, in full; w

TREATY OAK BANCORP, INC. AUSTIN TX 2/15/2011 

TREATY OAK BANCORP, INC. AUSTIN TX 12/21/2012 TREATY OAK BANCORP, INC. AUSTIN TX 8/6/2015 

8,14,44 TRIAD BANCORP, INC. FRONTENAC MO 3/27/2009 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in 

TRIAD BANCORP, INC. FRONTENAC MO 9/22/2011 

8,14,44 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 12/19/2008 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in 

TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 9/22/2011 

8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 3/27/2009 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in full; w

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/7/2012 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/9/2012 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/10/2012 

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9/11/2012 

8,9,11 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 4/3/2009 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in 

TRI-STATE BANK OF MEMPHIS MEMPHIS TN 8/13/2010 

8,11 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 2/27/2009 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in 

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 9/26/2012 

8,14,18 TRISUMMIT BANK KINGSPORT TN 4/3/2009 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in full; w

TRISUMMIT BANK KINGSPORT TN 12/22/2009 $4,237,000.00TRISUMMIT BANK KINGSPORT TN 11/29/2012 TRISUMMIT BANK KINGSPORT TN 1/11/2013 

11 TRUSTMARK CORPORATION JACKSON MS 11/21/2008 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in 

TRUSTMARK CORPORATION JACKSON MS 12/9/2009 TRUSTMARK CORPORATION JACKSON MS 12/30/2009 

8,14,44 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 5/29/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in 

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 9/1/2011 

11 U.S. BANCORP MINNEAPOLIS MN 11/14/2008 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in 

U.S. BANCORP MINNEAPOLIS MN 6/17/2009 U.S. BANCORP MINNEAPOLIS MN 7/15/2009 

8,122 U.S. CENTURY BANK MIAMI FL 8/7/2009 Preferred Stock w/ Exercised Warrants $50,236,000.00 $0.00 $13,070,409.40 Sold, in full; w

U.S. CENTURY BANK MIAMI FL 3/17/2015 

8,14,44 UBT BANCSHARES, INC. MARYSVILLE KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in 

UBT BANCSHARES, INC. MARYSVILLE KS 8/11/2011 

22,97 UCBH HOLDINGS INC. SAN FRANCISCO CA 11/14/2008 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,509,920.07 Currently Not 

UCBH HOLDINGS INC. SAN FRANCISCO CA 11/6/2009 

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 11/14/2008 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in 

UMPQUA HOLDINGS CORP. PORTLAND OR 2/17/2010 

UMPQUA HOLDINGS CORP. PORTLAND OR 3/31/2010 

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 5/1/2009 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in 

UNION BANK & TRUST COMPANY OXFORD NC 12/18/2009 $2,997,000.00UNION BANK & TRUST COMPANY OXFORD NC 9/22/2011 

8,11,17 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 12/29/2009 Preferred Stock w/ Exercised Warrants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, in 

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 7/25/2012 

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 10/2/2013 

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/19/2008 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in 

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 11/18/2009 

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/23/2009 

8 UNITED AMERICAN BANK SAN MATEO CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $3,432,657.85 Sold, in full; w

UNITED AMERICAN BANK SAN MATEO CA 7/2/2014 UNITED AMERICAN BANK SAN MATEO CA 9/26/2014 UNITED BANCORP, INC. TECUMSEH MI 1/16/2009 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in full; wUNITED BANCORP, INC. TECUMSEH MI 6/19/2012 

UNITED BANCORP, INC. TECUMSEH MI 7/18/2012 

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 12/23/2008 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,182,763.89 Redeemed, in 

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 9/3/2010 

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 5/13/2015 

11,14,15 UNITED BANK CORPORATION BARNESVILLE GA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in 

UNITED BANK CORPORATION BARNESVILLE GA 7/3/2012 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 12/5/2008 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in full; wUNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/26/2013 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/27/2013 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/28/2013 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 4/9/2013 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 6/10/2013 

8,11,44 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 1/16/2009 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in 

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 12/15/2010 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 9/15/2011 

11 UNITY BANCORP, INC. CLINTON NJ 12/5/2008 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in 

UNITY BANCORP, INC. CLINTON NJ 5/15/2013 

UNITY BANCORP, INC. CLINTON NJ 7/3/2013 

UNITY BANCORP, INC. CLINTON NJ 8/28/2013 

8 UNIVERSAL BANCORP BLOOMFIELD IN 5/22/2009 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in full; w

UNIVERSAL BANCORP BLOOMFIELD IN 8/8/2013 UNIVERSAL BANCORP BLOOMFIELD IN 8/12/2013 UNIVERSAL BANCORP BLOOMFIELD IN 9/12/2013 

9,11,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 6/19/2009 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in 

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 7/30/2010 

8 US METRO BANK GARDEN GROVE CA 2/6/2009 Preferred Stock w/ Exercised Warrants $2,861,000.00 $2,861,000.00 $432,678.00 Full investme8,11 UWHARRIE CAPITAL CORP ALBEMARLE NC 12/23/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, in 

UWHARRIE CAPITAL CORP ALBEMARLE NC 4/3/2013 UWHARRIE CAPITAL CORP ALBEMARLE NC 10/16/2013 

8,11,14 VALLEY COMMERCE BANCORP VISALIA CA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in 

VALLEY COMMERCE BANCORP VISALIA CA 3/21/2012 

8 VALLEY COMMUNITY BANK PLEASANTON CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $2,947,090.75 Sold, in full; w

VALLEY COMMUNITY BANK PLEASANTON CA 10/21/2013 VALLEY COMMUNITY BANK PLEASANTON CA 1/6/2014 

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12/12/2008 Preferred Stock w/ Warrants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, in 

VALLEY FINANCIAL CORPORATION ROANOKE VA 11/14/2012 VALLEY FINANCIAL CORPORATION ROANOKE VA 2/20/2013 VALLEY FINANCIAL CORPORATION ROANOKE VA 5/15/2013 VALLEY FINANCIAL CORPORATION ROANOKE VA 8/14/2013 VALLEY FINANCIAL CORPORATION ROANOKE VA 10/16/2013 VALLEY FINANCIAL CORPORATION ROANOKE VA 11/13/2013 

8,14,44 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 12/18/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in 

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 9/22/2011 

11 VALLEY NATIONAL BANCORP WAYNE NJ 11/14/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in 

VALLEY NATIONAL BANCORP WAYNE NJ 6/3/2009 

VALLEY NATIONAL BANCORP WAYNE NJ 9/23/2009 VALLEY NATIONAL BANCORP WAYNE NJ 12/23/2009 VALLEY NATIONAL BANCORP WAYNE NJ 5/24/2010 

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 6/26/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in 

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 8/25/2011 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 5/1/2009 Preferred Stock w/ Warrants $14,738,000.00 $0.00 $6,933,870.05 Sold, in full; wVILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 11/19/2013 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1/6/2014 

11 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/12/2008 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $118,453,138.89 Redeemed, in 

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/11/2012 
Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 1/31/2014 

8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in full; w

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/8/2013 VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/12/2013 VIRGINIA COMPANY BANK NEWPORT NEWS VA 9/12/2013 

8,11,14 VISION BANK - TEXAS RICHARDSON TX 4/24/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in 

VISION BANK - TEXAS RICHARDSON TX 12/28/2012 VISION BANK - TEXAS RICHARDSON TX 7/10/2013 VIST FINANCIAL CORP. WYOMISSING PA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in VIST FINANCIAL CORP. WYOMISSING PA 8/1/2012 

8,14,45 W.T.B. FINANCIAL CORPORATION SPOKANE WA 1/30/2009 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in 

W.T.B. FINANCIAL CORPORATION SPOKANE WA 9/15/2011 

8,11,17 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 12/11/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,731,826.23 Redeemed, in 

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/4/2012 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 1/30/2013 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/23/2014 

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/19/2008 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in 

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 11/24/2009 

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/16/2009 

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 1/16/2009 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in 

WASHINGTON BANKING COMPANY OAK HARBOR WA 1/12/2011 

WASHINGTON BANKING COMPANY OAK HARBOR WA 3/2/2011 

11 WASHINGTON FEDERAL, INC. SEATTLE WA 11/14/2008 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in 

WASHINGTON FEDERAL, INC. SEATTLE WA 5/27/2009 WASHINGTON FEDERAL, INC. SEATTLE WA 3/15/2010 

8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 1/30/2009 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in 

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 10/30/2009 $6,842,000.00WASHINGTONFIRST BANKSHARES, INC. RESTON VA 8/4/2011 

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 6/26/2009 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in full; w

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/6/2013 WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/7/2013 WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/8/2013 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 3/26/2013 

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3/3/2010 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 10/13/2010 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 12/29/2010 WEBSTER FINANCIAL CORPORATION WATERBURY CT 6/8/2011 

11 WELLS FARGO & CO. MINNEAPOLIS MN 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in 

WELLS FARGO & CO. MINNEAPOLIS MN 12/23/2009 WELLS FARGO & CO. MINNEAPOLIS MN 5/26/2010 

11 WESBANCO, INC. WHEELING WV 12/5/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in 

WESBANCO, INC. WHEELING WV 9/9/2009 

WESBANCO, INC. WHEELING WV 12/23/2009 

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 12/31/2008 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in 

WEST BANCORPORATION, INC. WEST DES MOINES IA 6/29/2011 

WEST BANCORPORATION, INC. WEST DES MOINES IA 8/31/2011 

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 2/13/2009 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 9/2/2009 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/18/2009 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/21/2011 

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/21/2008 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in 

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 9/27/2011 

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/23/2011 

8,117 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 12/23/2008 Preferred Stock w/ Exercised Warrants $7,290,000.00 $0.00 $554,083.00 Currently Not 

WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 11/7/2014 

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/23/2008 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in full; w

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/29/2009 $4,567,000.00WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/8/2012 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/9/2012 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 1/11/2013 

8,11,78 WESTERN RESERVE BANCORP, INC. MEDINA OH 5/15/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in 

WESTERN RESERVE BANCORP, INC. MEDINA OH 11/30/2012 

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 2/20/2009 Preferred Stock w/ Exercised Warrants $16,800,000.00 $0.00 $20,275,427.10 Sold, in full; w

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/1/2014 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/2/2014 

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 9/26/2014 

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 12/19/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in WHITNEY HOLDING CORPORATION NEW ORLEANS LA 6/3/2011 

11 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, in 

WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 5/13/2011 WILSHIRE BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in full; w

WILSHIRE BANCORP, INC. LOS ANGELES CA 4/3/2012 

WILSHIRE BANCORP, INC. LOS ANGELES CA 6/20/2012 

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/19/2008 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in 

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/22/2010 

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 2/14/2011 

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 5/15/2009 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in full; w

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 6/24/2013 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 7/26/2013 WSFS FINANCIAL CORPORATION WILMINGTON DE 1/23/2009 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in full; wWSFS FINANCIAL CORPORATION WILMINGTON DE 4/3/2012 

WSFS FINANCIAL CORPORATION WILMINGTON DE 9/12/2012 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 1/16/2009 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in full; wYADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 7/24/2009 $13,312,000.00YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 9/18/2012 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/10/2013 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/11/2013 

8,14,45 YORK TRADITIONS BANK YORK PA 4/24/2009 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in 

YORK TRADITIONS BANK YORK PA 7/14/2011 

11 ZIONS BANCORPORATION SALT LAKE CITY UT 11/14/2008 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in 

ZIONS BANCORPORATION SALT LAKE CITY UT 3/28/2012 ZIONS BANCORPORATION SALT LAKE CITY UT 9/26/2012 ZIONS BANCORPORATION SALT LAKE CITY UT 12/5/2012 

TOTALS $204,894,726,320.00 $262,832,503.71 $226,642,793,888.56 
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 ex3 Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fund

4 Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the 

issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerinmonth after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capit

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 inst

settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/20

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Co

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stoc

9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its inv

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 ins

16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the num17 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 

6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury 

Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically conwarrant 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-ded

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 

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 

value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of comm

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of 

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 acquir

2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend r

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors 27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,38

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpa

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 equiva

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) 

is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unagreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreem

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Ci

preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (sIncorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,50period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the commo

on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010, Tagent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during thCompletion of the sale under this authority occurred on September 30, 2010. On October 19, 2010, Treasury gave Mo

as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time the sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock DispoStanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those perio

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporatio

(MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. S

Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP wacommon stock.

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by th

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 

Merchants Capital Trust III.
Footnote Footnote Description

34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,

to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid divideconditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,79accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have 

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital pla

Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Cer

into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasur11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an e

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 amou

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

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2

the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,5

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all prefe

for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing 

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid div

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 acq

company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agre

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 acquir

Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferrecombined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividacquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of 

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Mont

Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-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 proce

Business Lending Fund.

45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the 

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 b

Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Footnote Description

47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, an

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State o

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 Off

(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 b

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, a

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corpora

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 warrant

and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United ente

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acqui

company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpthe 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 Bancor

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 connecti

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 De

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 

by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement am

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the 

exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treason 11/30/2011.

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been 

purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury fTreasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), 

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired com

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, In

together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the 

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, I

and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Footnote Description

64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by th

Deposit Insurance Corporation (FDIC) as receiver.

65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,0

the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capita

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptrolle

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community B

exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of 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 b

Insurance Corporation (FDIC) as receiver.

69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to 

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, whic

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis Coun

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 Equ

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, 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 o

74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, p

Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., 

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was c

Deposit Insurance Corporation (FDIC) was named Receiver.

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which 

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 01/01/20

been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fthe 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 te

preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid 

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to F

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”) purs

(“Starbuck”) entered into on 12/11/2012.

81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company 

the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Hold
Footnote Footnote Description

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 sha

share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coas

agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in 

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTru

(“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 ag

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 BB

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock tha

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 Republ

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as 

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common st

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, thereto.

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock an

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 wa

securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Banco4/1/2013.

90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp

pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into 

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutio

Receiver.

92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern Distric

93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C

sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S

“pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reowhich (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) anCommon Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern Dist

96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of commo

the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). 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 o

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress fstability/reports/Pages/Monthly-Report-to-Congress.aspx.
Footnote Footnote Description

98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange T

stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completi

and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant t

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 s

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB 

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 Delaw

(CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amagreement 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 (FCBT

Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions spec

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Depart

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., Treas

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 

BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed o

106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to priv

purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as 

107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PC

Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions 

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 1

Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 Department of Justice of a 3% litigation fee).

109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for comm

with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation c

as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional 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 offe111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("

which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specifie

112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares 

New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30on 7/1/2014.

113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in con

Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $2satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.
Footnote Footnote Description

114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred st

10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purc

10/16/2014.

115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which 

to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/

116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner 

10/17/2014.

117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptrol

11/7/2014.

118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subje

during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.

119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3

November 25, 2014.

120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding p

Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursMerchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.

121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell su

during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.

122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of 

March 17, 2015.

123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which 

Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specmerger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.

124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuan

Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was complete

125 On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants iss

aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC ente

126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connecti

Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus conditions specified in the agreement. The sale was completed on 8/28/2015.

127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which T

Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreem

128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-p

the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to sec

purchaser parties thereto.
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 agen

common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was term5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the 

6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of 7/ Amount represents the gross proceeds to Treasury.

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.

COMMON STOCK DISPOSITION

Date

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, tstock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this 2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, tstock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this 3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale unde
*Investment Status Definition Key

Full investment outstanding: Treasury's full investment is still outstandingRedeemed – institution has repaid Treasury’s investmentSold – by auction, an offering, or through a restructuringExited bankruptcy/receivership - Treasury has no outstanding investment

Footnote Institution Name City State Date Original Investment Type1 Exchange From CPP Original Investment Amount Outstanding Investment T

Alternatives Federal Credit Union Ithaca NY 9/24/2010 Subordinated Debentures $2,234,000.00 $2,234,000.00 American Bancorp of Illinois, Inc. Oak Brook IL 9/17/2010 Subordinated Debentures $5,457,000.00 $5,457,000.00 

9 Atlantic City Federal Credit Union Lander WY 9/24/2010 Subordinated Debentures $2,500,000.00 $0.00 

Atlantic City Federal Credit Union Lander WY 9/26/2012 

9 Bainbridge Bancshares, Inc. Bainbridge GA 9/24/2010 Preferred Stock $3,372,000.00 $0.00 

Bainbridge Bancshares, Inc. Bainbridge GA 9/10/2014 Bainbridge Bancshares, Inc. Bainbridge GA 1/7/2015 

11 Bancorp of Okolona, Inc. Okolona MS 9/29/2010 Subordinated Debentures $3,297,000.00 $0.00 

Bancorp of Okolona, Inc. Okolona MS 3/13/2013 

3,4 BancPlus Corporation Ridgeland MS 9/29/2010 Preferred Stock $50,400,000.00 $30,514,000.00 $80,914,000.00 9,12 BankAsiana Palisades Park NJ 9/29/2010 Preferred Stock $5,250,000.00 $0.00 

BankAsiana Palisades Park NJ 10/1/2013 Bethex Federal Credit Union Bronx NY 9/29/2010 Subordinated Debentures $502,000.00 $502,000.00 Border Federal Credit Union Del Rio TX 9/29/2010 Subordinated Debentures $3,260,000.00 $0.00 Border Federal Credit Union Del Rio TX 10/15/2014 

9 Brewery Credit Union Milwaukee WI 9/24/2010 Subordinated Debentures $1,096,000.00 $0.00 

Brewery Credit Union Milwaukee WI 10/3/2012 Brooklyn Cooperative Federal Credit Union Brooklyn NY 9/30/2010 Subordinated Debentures $300,000.00 $300,000.00 Buffalo Cooperative Federal Credit Union Buffalo NY 9/24/2010 Subordinated Debentures $145,000.00 $145,000.00 

9,11 Butte Federal Credit Union Biggs CA 9/24/2010 Subordinated Debentures $1,000,000.00 $0.00 

Butte Federal Credit Union Biggs CA 12/31/2014 

9 Carter Federal Credit Union Springhill LA 9/29/2010 Subordinated Debentures $6,300,000.00 $3,800,000.00 

Carter Federal Credit Union Springhill LA 2/6/2013 

3,6 Carver Bancorp, Inc New York NY 8/27/2010 Common Stock $18,980,000.00 $18,980,000.00 

CFBanc Corporation Washington DC 9/17/2010 Preferred Stock $5,781,000.00 $5,781,000.00 

3,5 Citizens Bancshares Corporation Atlanta GA 8/13/2010 Preferred Stock $7,462,000.00 $11,841,000.00 

Citizens Bancshares Corporation Atlanta GA 9/17/2010 $4,379,000.00

3 Community Bancshares of Mississippi, Inc. Brandon MS 9/29/2010 Preferred Stock $54,600,000.00 $54,600,000.00 3,4 Community Bank of the Bay Oakland CA 9/29/2010 Preferred Stock $1,747,000.00 $2,313,000.00 $4,060,000.00 

Community First Guam Federal Credit Union Hagatna GU 9/24/2010 Subordinated Debentures $2,650,000.00 $2,650,000.00 Community Plus Federal Credit Union Rantoul IL 9/29/2010 Subordinated Debentures $450,000.00 $450,000.00 Cooperative Center Federal Credit Union Berkeley CA 9/24/2010 Subordinated Debentures $2,799,000.00 $2,799,000.00 D.C. Federal Credit Union Washington DC 9/29/2010 Subordinated Debentures $1,522,000.00 $1,522,000.00 East End Baptist Tabernacle Federal Credit Union Bridgeport CT 9/29/2010 Subordinated Debentures $7,000.00 $7,000.00 Episcopal Community Federal Credit Union Los Angeles CA 9/29/2010 Subordinated Debentures $100,000.00 $100,000.00 Fairfax County Federal Credit Union Fairfax VA 9/24/2010 Subordinated Debentures $8,044,000.00 $8,044,000.00 

9 Faith Based Federal Credit Union Oceanside CA 9/29/2010 Subordinated Debentures $30,000.00 $0.00 

Faith Based Federal Credit Union Oceanside CA 8/19/2015 

9 Fidelis Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $14,000.00 $0.00 

Fidelis Federal Credit Union New York NY 10/14/2015 

3 First American International Corp. Brooklyn NY 8/13/2010 Preferred Stock $17,000,000.00 $17,000,000.00 3,10 First Choice Bank Cerritos CA 9/24/2010 Preferred Stock $5,146,000.00 $0.00 

First Choice Bank Cerritos CA 5/1/2013 

3 First Eagle Bancshares, Inc. Hanover Park IL 9/17/2010 Subordinated Debentures $7,875,000.00 $7,875,000.00 9 First Legacy Community Credit Union Charlotte NC 9/29/2010 Subordinated Debentures $1,000,000.00 $0.00 

First Legacy Community Credit Union Charlotte NC 4/2/2014 

3,10 First M&F Corporation Kosciusko MS 9/29/2010 Preferred Stock $30,000,000.00 $0.00 

First M&F Corporation Kosciusko MS 8/30/2013 

3 First Vernon Bancshares, Inc. Vernon AL 9/29/2010 Preferred Stock $6,245,000.00 $6,245,000.00 9 Freedom First Federal Credit Union Roanoke VA 9/29/2010 Subordinated Debentures $9,278,000.00 $0.00 

Freedom First Federal Credit Union Roanoke VA 6/12/2013 

9 Gateway Community Federal Credit Union Missoula MT 9/24/2010 Subordinated Debentures $1,657,000.00 $0.00 

Gateway Community Federal Credit Union Missoula MT 10/17/2012 Genesee Co-op Federal Credit Union Rochester NY 9/17/2010 Subordinated Debentures $300,000.00 $300,000.00 

9 Greater Kinston Credit Union Kinston NC 9/29/2010 Subordinated Debentures $350,000.00 $0.00 

Greater Kinston Credit Union Kinston NC 4/10/2012 

3 Guaranty Capital Corporation Belzoni MS 7/30/2010 Subordinated Debentures $14,000,000.00 $14,000,000.00 

Hill District Federal Credit Union Pittsburgh PA 9/29/2010 Subordinated Debentures $100,000.00 $100,000.00 Hope Federal Credit Union Jackson MS 9/17/2010 Subordinated Debentures $4,520,000.00 $4,520,000.00 

3,4 IBC Bancorp, Inc. Chicago IL 9/10/2010 Subordinated Debentures $4,205,000.00 $3,881,000.00 $8,086,000.00 3 IBW Financial Corporation Washington DC 9/3/2010 Preferred Stock $6,000,000.00 $6,000,000.00 

Independent Employers Group Federal Credit Union Hilo HI 9/29/2010 Subordinated Debentures $698,000.00 $698,000.00 Kilmichael Bancorp, Inc. Kilmichael MS 9/3/2010 Subordinated Debentures $3,154,000.00 $3,154,000.00 

3 Lafayette Bancorp, Inc. Oxford MS 9/29/2010 Preferred Stock $4,551,000.00 $4,551,000.00 9 Liberty County Teachers Federal Credit Union Liberty TX 9/24/2010 Subordinated Debentures $435,000.00 $261,000.00 

Liberty County Teachers Federal Credit Union Liberty TX 4/2/2014 Liberty County Teachers Federal Credit Union Liberty TX 12/31/2014 

3,4 Liberty Financial Services, Inc. New Orleans LA 9/24/2010 Preferred Stock $5,645,000.00 $5,689,000.00 $11,334,000.00 

Lower East Side People's Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $898,000.00 $898,000.00 

3 M&F Bancorp, Inc. Durham NC 8/20/2010 Preferred Stock $11,735,000.00 $11,735,000.00 3,5 Mission Valley Bancorp Sun Valley CA 8/20/2010 Preferred Stock $5,500,000.00 $10,336,000.00 

Mission Valley Bancorp Sun Valley CA 9/24/2010 $4,836,000.00Neighborhood Trust Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $283,000.00 $283,000.00 

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

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

In full – all of Treasury’s investment amountIn part – part of the investment is no longer held by Treasury, but some remains 
Footnote Institution Name City State Date Original Investment Type1 Exchange From CPP Original Investment Amount Outstanding Investment T

North Side Community Federal Credit Union Chicago IL 9/29/2010 Subordinated Debentures $325,000.00 $325,000.00 Northeast Community Federal Credit Union San Francisco CA 9/24/2010 Subordinated Debentures $350,000.00 $350,000.00 Opportunities Credit Union Burlington VT 9/29/2010 Subordinated Debentures $1,091,000.00 $1,091,000.00 

3 PGB Holdings, Inc. Chicago IL 8/13/2010 Preferred Stock $3,000,000.00 $3,000,000.00 

Phenix Pride Federal Credit Union Phenix City AL 9/24/2010 Subordinated Debentures $153,000.00 $153,000.00 

3,7,10 Premier Bancorp, Inc. Wilmette IL 8/13/2010 Subordinated Debentures $6,784,000.00 $0.00 

Premier Bancorp, Inc. Wilmette IL 1/29/2013 

9 Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/24/2010 Subordinated Debentures $273,000.00 $0.00 

Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/9/2015 

3,10 PSB Financial Corporation Many LA 9/29/2010 Preferred Stock $9,734,000.00 $0.00 

PSB Financial Corporation Many LA 12/28/2012 

Pyramid Federal Credit Union Tucson AZ 9/24/2010 Subordinated Debentures $2,500,000.00 $2,500,000.00 Renaissance Community Development Credit Union Somerset NJ 9/29/2010 Subordinated Debentures $31,000.00 $31,000.00 Santa Cruz Community Credit Union Santa Cruz CA 9/24/2010 Subordinated Debentures $2,828,000.00 $2,828,000.00 

3,10 Security Capital Corporation Batesville MS 9/29/2010 Preferred Stock $17,910,000.00 $8,660,000.00 

Security Capital Corporation Batesville MS 9/9/2015 

3,4 Security Federal Corporation Aiken SC 9/29/2010 Preferred Stock $18,000,000.00 $4,000,000.00 $22,000,000.00 

Shreveport Federal Credit Union Shreveport LA 9/29/2010 Subordinated Debentures $2,646,000.00 $2,646,000.00 

3,4 Southern Bancorp, Inc. Arkadelphia AR 8/6/2010 Preferred Stock $11,000,000.00 $22,800,000.00 $33,800,000.00 

Southern Chautauqua Federal Credit Union Lakewood NY 9/29/2010 Subordinated Debentures $1,709,000.00 $1,709,000.00 Southside Credit Union San Antonio TX 9/29/2010 Subordinated Debentures $1,100,000.00 $0.00 Southside Credit Union San Antonio TX 10/30/2013 

3 State Capital Corporation Greenwood MS 9/29/2010 Preferred Stock $15,750,000.00 $15,750,000.00 3,4 The First Bancshares, Inc. Hattiesburg MS 9/29/2010 Preferred Stock $5,000,000.00 $12,123,000.00 $17,123,000.00 9 The Magnolia State Corporation Bay Springs MS 9/29/2010 Subordinated Debentures $7,922,000.00 $4,222,000.00 

The Magnolia State Corporation Bay Springs MS 12/17/2014 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA 9/24/2010 Subordinated Debentures $75,000.00 $75,000.00 Tongass Federal Credit Union Ketchikan AK 9/24/2010 Subordinated Debentures $1,600,000.00 $1,600,000.00 

3 Tri-State Bank of Memphis Memphis TN 8/13/2010 Preferred Stock $2,795,000.00 $2,795,000.00 

Tulane-Loyola Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $424,000.00 $424,000.00 

Union Baptist Church Federal Credit Union Fort Wayne IN 9/24/2010 Subordinated Debentures $10,000.00 $10,000.00 

10 Union Settlement Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $295,000.00 $295,000.00 3 United Bancorporation of Alabama, Inc. Atmore AL 9/3/2010 Preferred Stock $10,300,000.00 $10,300,000.00 9 UNITEHERE Federal Credit Union(Workers United Federal Credit Union) New York NY 9/29/2010 Subordinated Debentures $57,000.00 $0.00 

UNITEHERE Federal Credit Union(Workers United Federal Credit Union) New York NY 3/20/2013 

3,4,10 University Financial Corp, Inc. St. Paul MN 7/30/2010 Subordinated Debentures $11,926,000.00 $10,189,000.00 $0.00 

University Financial Corp, Inc. St. Paul MN 11/28/2012 

9 UNO Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $743,000.00 $0.00 

UNO Federal Credit Union New Orleans LA 9/4/2013 

9 Vigo County Federal Credit Union Terre Haute IN 9/29/2010 Subordinated Debentures $1,229,000.00 $737,400.00 

Vigo County Federal Credit Union Terre Haute IN 2/25/2015 Virginia Community Capital, Inc. Christiansburg VA 9/24/2010 Subordinated Debentures $1,915,000.00 $1,915,000.00 

TOTALS $363,290,000.00 $206,783,000.00 $445,901,400.00 
Footnote Footnote Description

1 All pricing is at par.2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (le3

This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchang

investment with Treasury under the CDCI program terms.

4 Treasury made an additional investment in this institution at the time it entered the CDCI program.

5 Treasury made an additional investment in this institution after the time it entered the CDCI program.6

On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by 

terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpa

7

On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Il

Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST receias a result of the liquidation of Premier Bancorp, Inc.

8 Repayment pursuant to Section 5 of the CDCI Certificate of Designation.9 Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement

10 Repayment pursuant to Section 5 of the CDCI Exchange Agreement.11 Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.12 Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.13

On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East 

exchanged its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount dividends on the Union senior subordinated securities were paid on the date of the exchange.

14

On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (

securities for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on 

15

On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock tha

purchase price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasurymerger of Wilshire and BankAsiana.
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 $ Par 3/1/2011 2,540,000,000 Exchange for amended and restated Trust Preferred Securities $ N/A 27 GMAC (Ally) 27 2,667,000,000 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, 11, 24 

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, $ N/A 072,488,605 9

7/10/2009 Debt left at Old GM 985,805,085 $ N/A 9 Motors Liquidation Company 29 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional Note $ Par 1,500,000,000 13 

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 20 

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ - - 14

4/29/2009 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 23 

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ - - 17 

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 21, 22 

Amount

Pricing 

Mechanism Obligor 

12/30/2010 Partial conversion of preferred stock for common stock $ N/A 5,500,000,000 22, 26

3, 26, 

32, 38 GMAC (Ally)

5/21/2009 Purchase GMAC $ N/A 3,000,000,000

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment A

City, State Date Transaction Type Seller Description Amount

Pricing 

Mechanism Date Type 

$ Par 7,500,000,000

12/30/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ Par 1,250,000,000

22 12/30/2009

Partial conversion of preferred stock for common stock

26

Convertible Preferred Stock w/ Exercised WarrantsDebt Obligation w/ Additional Note

7 

General Motors Holdings LLC

General Motors Company 

11, 12

7

Purchase General Motors Corporation Debt Obligation w/ Additional Note

Purchase General Motors Corporation Debt Obligation w/ Additional Note

N/A

 $ 360,624,198 

10, 

11, 25

Chrysler 

FinCo

Farmington 

Hills, MI

Par 6 7/10/2009 Exchange for preferred and common stock in New GM N/A

General 

Motors Detroit, MI

12/31/2008 Purchase $ Par 13,400,000,000 General Motors Corporation

$ 360,624,198

Par 5 7/10/2009 Exchange for preferred and common stock in New GM $ 4,000,000,000 $ 4,000,000,000 

5/27/20095/20/2009

Completion of bankruptcy proceeding; transfer of collateral security to liquidation trust
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 -

19, 31 

Chrysler Group LLC 30 

Total Initial Investment Amount 81, $ 344,932,551 

Total Treasury Investment Amount

$ 11,755,165,656 

Footnotes appear on following page.

Chrysler Auburn Hills, MI
City State Adjustment Amount 

6

7/8/2009 3 $ (500,000,000) 

7 

$ 5,000,000,000 

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally")."Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company."New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.

"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC."Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC"."Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC)."New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.As used in this table and its footnotes:17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the 

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New ChryHolding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new 1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in th7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamGeneral Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.

14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler reflects the final amount of funds disbursed under the Chrysler DIP Loan.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new above) and (ii) $986 million, which remained a debt obligation of Old GM. 19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of O

the specified collateral security attached to such loan.24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offerin

25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,

at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred 

27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment a

$ N/A 3,500,000,000

7/8/2009 3

1 4/9/2009 Purchase

$ 

Adjustment Details

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. 

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description Investment Amount Pricing Mechanism

41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.

42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the 

44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the 

45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.

28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amouthrough but excluding the closing date that Treasury will receive separately at settlement.29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights att

Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ow

exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s owne

pertaining to the trust's shares in Chrysler.31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.

33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.

Chrysler Receivables SPV LLC Wilmington DE

34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon 

$ 

(1,000,000,000) $ 

Name of Institution

Adjustment 

Date

Ad

Inve

Debt Obligation w/ Additional Note GM Supplier Receivables LLC Wilmington DE

35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time occurred on September 13, 2013.37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series Fissued (the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted fr39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Co2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made 

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, 

Purchase

6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

ADJUSTED TOTAL 413,076,735 $ Total Repayments 

5/ All outstanding principal drawn under the credit agreement was repaid.

Debt Obligation w/ Additional Note $ N/A 1,500,000,000 $ 

$ 

INITIAL TOTAL $ 413,076,735

2 4/9/2009

7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under th
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

3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain par

common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionarsubject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). authority occurred on September 13, 2013.5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on 6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares oduring the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
Pricing Mechanism1 Number of Shares Proceeds2

08/14/14 – 

09/12/14

3

$24.5985 8,890,000 $ 218,680,700 

09/12/14 - 

10/16/14

4

$21.8234 11,249,044 $ 245,492,605 

Total Proceeds: $464,173,305

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.2/ Amount represents the gross proceeds to Treasury.3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stocending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining Capital 

Amount

Remaining Capital 

Description Final Dispositio

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 0 $ Warrants 1/25/2011 

1/16/2009

Bank of America Corporation Charlotte NC Purchase

Preferred Stock w/ Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 

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 Preferred Securities w/ War

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities received from the FDIC Trust Preferred Securities7 2/4/2013

Exchange Trust preferred securities for subordinated note

Subordinated Not

TOTAL $ 0 

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its 

Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financia

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment 

TOTAL CAPITAL REPAYMENT Total W

TOTAL TREASURY TIP INVESTMENT AMOUNT

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details 

Amount 

Descriptio

Seller

Type Description Guarantee Limit

1 1/16/2009 Citigroup Inc. New York NY Guarantee Master Agreement $ 5,000,000,000 Preferred Stock w/ Warrants

Description Footnote Date Type 

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.

 $ 4,034,000,000 

4 9/29/2010

Exchange trust preferred securities for trust preferred securities

Trust Preferred Securities w/ War

3 

8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its 

Securities. 3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury ag

conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. 5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidatio

7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was re
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 

$ 

2,000,000,0

Footnotes appear on following page.

Pricing Mechanis

$ Par 40,000,000,000

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details 

Investment Description 

Preferred Stock w/ Warrants (Series D)Preferred Stock w/ Warrants (Series F)

1 11/25/2008 AIG New York NY Purchase

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for 

cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

Transaction Type Pricing Mechanism Investment Description Amount / Share

Exchange

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 

AIG POST-RECAPITALIZATION

Recapitalization Treasury Holdings Post-Recapitalization

Preferred Stock (Series G)

N/A

AIA Preferred Units 16,916,603,5

$ 

5 1/14/2011 Preferred Stock (Series E) Exchange 924,546,14 1/14/2011 Preferred Stock (Series F)

Exchange

N/A Common Stock

6

ALICO Junior Preferred Interests

Exchange Par

167,623,7

1/14/2011 Common Stock (non-TARP) Transfer 562,868,0

$ 3,375,328,4
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.

15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 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 closin

Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has th

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 (Se6/ 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.7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.13/ 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 8/3/2012.10/ 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 sto

11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
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.

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

6

1

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 $4,300,0

3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.

Purchase Debt Obligation w/ Additional Note

4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outs

$ N/A 20,000,000,000 

1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan wi

1 3/3/2009 TALF LLC Wilmington DE
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount2, 

3

Senior S

Proce

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 $ 

Investment Description

TBA or 

PMF3

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Purchase Details 1 Settlement Details 

Floating Rate SBA 7a security due 2025 -Floating Rate SBA 7a security due 2022 -Floating Rate SBA 7a security due 2022 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2016 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2035 -Floating Rate SBA 7a security due 2033 -Floating Rate SBA 7a security due 2029 -Floating Rate SBA 7a security due 2033 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2025 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2017 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2024 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2019 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020 -

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been 

Floating Rate SBA 7a security due 2035 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2035 -

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The 

the 11th business day of each month).1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.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 

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 senio

purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month

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 eacthe 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 pa

the Master Purchase Agreement.

-

Floating Rate SBA 7a security due 2021 -Floating Rate SBA 7a security due 2029 -Floating Rate SBA 7a security due 2026 -
Name of Institution City State Date Amount Date Amount A

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 $ 

$ 

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2, $ Par 1/4/2010 4 200,000,000 222,222,222 $ 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, $ Par 3/22/2010 6 2,488,875,000 222,222,222 $ 9/26/2011 8 1,161,920,000 $ 1,

$ 

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inv

Amo

CREDIT MARKET PROGRAMS

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism
Name of Institution City State Date Amount Date Amount A

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inv

Amo

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest 1, $ Par 3/22/2010 6 1,262,037,500 111,111,111 $ 7/16/2010 1,149,487,000 $ 1,

$ 

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2, $ Par 3/22/2010 6 2,524,075,000 222,222,222 $ 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, $ Par 3/22/2010 6 2,488,875,000 222,222,222 $ 7/16/2010 2,300,847,000 $ 12 2,

$ 
Name of Institution City State Date Amount Date Amount A

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inv

Amo

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

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, $ Par 3/22/2010 6 2,488,875,000 222,222,222 $ 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,

$ 

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2, $ Par 3/22/2010 6 2,542,675,000 222,222,222 $ 7/16/2010 2,486,550,000 $ 2,2

$ 
Name of Institution City State Date Amount Date Amount A

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inv

Amo

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 620,578,258 $ 6

$ 

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2, $ Par 3/22/2010 6 2,488,875,000 222,222,222 $ 7/16/2010 1,241,156,516 $ 1,2

$ 

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 474,550,000 $ 4

$ 

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2, $ Par 3/22/2010 6 2,488,875,000 222,222,222 $ 7/16/2010 949,100,000 $ 9

$ 
Name of Institution City State Date Amount Date Amount A

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inv

Amo

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

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

$ 

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2, $ Par 3/22/2010 6 2,488,875,000 222,222,222 $ 7/16/2010 2,321,568,200 $ 1,

$ 

$ 30,000,000,000 $ 21,856,403,574 

TOTAL CAP

1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.

2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.

3/ Adjusted to show Treasury's maximum obligations to a fund.

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (repo12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.

13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribut

14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adju

$356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.9/ Cumulative capital drawn at end of the Investment Period.10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending 10/15/2015

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 Ally Bank Midvale UT - N/A 3 

Amarillo National Bank Amarillo TX $ 100,000 N/A 

03/14/2013 Purchase Financial Instrument for Home Loan Modifications 03/14/2

Servicer Modifying Borrowers' Loans 

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjus

Da

04/16/203/26/201/16/212/23/212/16/203/25/209/29/209/16/208/14/207/29/206/26/206/16/204/28/204/16/203/26/201/15/212/29/211/14/212/30/2

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

03/23/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/209/27/206/28/206/29/209/30/207/14/203/26/209/29/207/29/206/26/203/26/212/23/203/25/2

08/14/2014 Purchase Financial Instrument for Home Loan Modifications 08/14/2

09/28/206/25/204/28/203/26/212/29/204/28/203/26/202/13/201/15/212/29/209/29/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/208/14/206/25/206/26/203/26/212/23/203/25/209/27/206/28/203/26/212/29/209/29/207/29/2
Ameriana Bank New Castle IN - N/A 3 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 Aurora Financial Group, Inc. Marlton NJ $ 10,000 N/A Aurora Loan Services, LLC Littleton CO $ 798,000,000 N/A 

11 

Axiom Bank (Urban Trust Bank) Lake Mary FL $ 1,060,000 N/A 

3 

06/25/204/28/209/30/207/14/203/26/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/207/16/2014 Purchase Financial Instrument for Home Loan Modifications 07/16/2

09/28/202/02/2

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

01/25/206/29/203/30/201/06/212/23/203/25/209/27/206/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

03/26/212/29/209/29/207/29/206/26/203/26/206/29/209/30/2

05/21/2010 Purchase Financial Instrument for Home Loan Modifications 05/26/2

09/28/206/25/204/28/212/23/206/27/203/25/212/27/209/27/206/28/203/16/212/29/209/29/207/29/206/26/203/26/209/30/2

05/01/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2

09/28/206/25/204/28/203/26/201/06/209/30/209/01/207/14/203/26/212/30/204/16/203/15/210/14/206/29/205/13/203/30/211/15/209/27/208/23/208/16/207/16/206/28/2

03/03/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2

07/09/206/27/206/14/205/16/203/25/212/29/212/16/209/24/2
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 

7 7 

Bank of America, N.A. (BAC Home Loans Servicing, LP) Simi Valley CA $ 1,864,000,000 N/A 

03/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

06/27/203/25/212/27/209/27/206/28/206/29/204/16/203/26/201/16/212/23/209/27/209/16/203/26/212/29/209/29/207/29/206/26/205/15/209/30/2

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/209/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/15/2

09/28/206/25/204/28/209/30/209/30/207/14/203/26/201/26/212/30/211/16/210/14/208/16/206/29/203/30/201/06/209/30/2

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2

10/16/208/10/206/28/205/16/207/14/206/16/204/19/203/26/201/26/212/30/203/16/202/16/201/06/212/15/209/30/209/30/207/14/206/29/206/16/205/13/204/13/203/30/212/15/211/16/210/19/210/14/209/15/208/16/206/28/206/14/205/16/204/16/203/15/202/16/207/16/2
Bank of Camden Knoxville TN - N/A 3 Bank United Miami Lakes FL $ 93,660,000 N/A 

11/15/210/16/209/27/208/16/208/10/203/25/203/14/202/14/201/16/212/27/212/14/208/15/207/16/206/27/206/14/205/16/204/16/212/16/211/14/210/16/210/15/209/27/209/16/204/16/203/26/203/14/202/13/201/16/212/23/208/14/207/29/207/16/206/26/206/16/205/15/212/29/212/16/211/14/210/16/209/29/209/16/204/28/204/16/203/26/203/16/202/13/201/15/209/16/208/14/207/16/206/25/206/16/205/14/207/14/203/26/2

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/204/16/2015 Purchase Financial Instrument for Home Loan Modifications 04/16/2

10/15/209/28/203/15/206/29/203/30/203/16/201/06/209/30/205/16/203/25/202/14/212/27/209/27/206/28/212/23/212/16/211/14/209/27/209/16/206/27/2
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 

09/16/207/29/206/26/206/16/203/26/202/13/203/26/203/16/201/15/212/29/212/16/209/29/2

09/16/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

09/28/206/25/205/14/204/28/204/16/203/30/201/06/209/30/207/14/203/26/212/30/209/30/207/14/203/26/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

01/25/206/29/207/14/205/07/203/26/212/30/2

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/205/13/204/13/203/30/201/06/209/30/209/30/203/15/202/16/201/13/210/14/209/15/206/29/209/27/207/16/206/28/206/14/205/16/204/16/202/14/201/16/212/27/212/14/211/15/210/16/206/27/206/14/205/16/204/16/203/25/203/14/212/16/211/14/210/15/209/27/209/16/207/16/203/26/203/14/202/13/201/16/212/23/2
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 

04/16/208/14/207/29/207/16/206/26/206/16/205/15/212/29/212/16/211/14/210/16/209/29/209/16/204/28/204/16/203/26/203/16/202/13/201/15/209/16/208/14/207/16/206/25/206/16/205/14/2

08/20/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

04/16/211/14/2

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2

10/15/209/28/212/16/2

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/16/2

08/10/206/29/203/30/201/06/210/16/209/29/207/29/206/26/206/16/204/16/208/14/206/25/204/28/203/26/212/29/212/16/201/06/209/30/2

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/15/2

10/15/209/28/209/16/212/15/207/14/206/29/203/30/203/16/202/16/212/27/211/15/209/27/206/28/204/16/201/13/212/23/209/27/206/27/205/16/203/25/201/16/203/14/202/13/201/16/2
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 

07/16/206/26/203/26/212/29/212/16/211/14/210/16/209/29/207/29/204/28/204/16/203/26/203/16/202/13/201/15/209/16/208/14/207/16/206/25/206/16/205/14/206/26/206/16/203/26/2

03/14/2014 Purchase Financial Instrument for Home Loan Modifications 03/14/2

10/15/209/28/204/28/203/26/201/15/212/29/209/29/207/29/209/27/206/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/209/29/207/29/206/26/203/26/212/23/203/25/2

04/27/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2

09/28/206/25/204/28/203/26/212/29/209/30/208/13/207/14/203/26/212/30/209/30/208/16/206/29/203/30/201/13/201/06/212/15/206/14/205/16/204/16/202/16/211/16/209/15/211/15/210/16/209/27/208/16/207/16/206/28/212/27/212/14/2
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 

03/25/203/14/202/14/201/16/209/16/207/16/206/27/206/14/205/16/204/16/201/16/212/23/212/16/211/14/210/15/209/27/206/16/205/15/204/16/203/26/203/14/202/13/209/29/209/16/208/14/207/29/207/16/206/26/203/16/201/15/212/29/212/16/211/14/210/16/206/25/206/16/205/14/204/28/204/16/203/26/2

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/209/16/208/14/207/16/203/30/201/06/209/30/207/14/203/26/212/30/206/27/203/25/212/27/209/27/206/28/206/29/209/29/207/29/206/26/203/26/212/23/209/27/210/15/209/28/206/25/204/28/203/26/212/29/201/06/209/30/207/14/203/26/212/30/2

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2
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 CIT Bank, N.A. (OneWest Bank, N.A.) Pasadena CA $ 668,440,000 N/A CitiMortgage, Inc. O'Fallon MO $ 2,071,000,000 N/A 

03/25/212/27/209/27/206/28/206/29/203/30/207/29/206/26/203/26/212/23/209/27/206/27/209/28/206/25/204/28/203/26/212/29/209/29/210/29/209/30/207/14/203/26/212/30/2

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

06/27/2

06/14/2013 Purchase Financial Instrument for Home Loan Modifications 06/14/204/13/2009 Purchase Financial Instrument for Home Loan Modifications 07/31/2

03/09/201/06/2

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/30/207/14/203/26/212/30/2

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

12/29/209/27/206/28/206/29/203/30/201/06/209/30/211/14/210/15/209/27/206/27/203/25/212/27/203/26/203/14/202/13/201/16/212/23/212/16/209/29/209/16/207/29/207/16/206/26/206/16/204/16/203/26/201/15/212/29/212/16/211/14/209/28/207/16/206/25/206/16/205/14/204/28/204/19/203/26/212/30/209/30/2

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2
05/14/209/30/209/15/208/13/207/16/207/14/206/16/202/16/201/13/201/06/211/16/210/15/209/30/206/29/206/16/205/13/204/13/203/30/203/16/212/15/211/16/210/14/209/15/208/16/207/14/206/14/205/16/204/16/203/15/202/16/201/13/210/16/209/27/208/16/207/27/207/16/206/28/203/25/203/14/202/14/212/27/212/14/211/15/209/27/209/16/207/16/206/27/206/14/204/16/203/14/202/13/201/16/212/23/212/16/211/14/207/16/206/26/206/16/205/15/204/16/203/26/212/16/211/14/210/16/209/29/208/14/207/29/204/16/203/26/203/16/202/13/201/15/212/29/206/25/206/16/205/14/204/28/2
Citizens Community Bank Freeburg IL $ 800,000 N/A Citizens First National Bank Spring Valley IL $ 620,000 N/A 

6 

Citizens First Wholesale Mortgage Company The Villages FL $ 30,000 N/A 

ClearSpring Loan Services, Inc. (Vantium Capital, Inc. d/b/a Acqura Loan Services) Plano TX $ 6,000,000 N/A 4 

08/14/207/16/203/23/201/06/2

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/209/16/203/30/201/06/209/30/207/14/203/26/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

06/27/203/25/212/27/209/27/206/28/206/29/207/01/206/26/205/15/203/26/212/23/209/27/202/17/209/30/207/14/203/26/212/30/2

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/30/209/15/207/14/203/26/212/30/2

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

03/30/202/16/201/13/201/06/212/15/211/16/206/28/210/14/209/15/208/16/206/29/204/13/203/14/202/14/212/27/211/15/209/27/207/16/207/16/206/27/206/14/205/16/204/16/203/25/203/26/203/14/202/13/212/23/212/16/209/27/207/29/207/16/206/26/206/16/205/15/204/16/209/29/2
Colorado Federal Savings Bank Greenwood Village CO - N/A 3 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 Desjardins Bank N.A. Hallandale Beach FL - N/A 3 Digital Federal Credit Union Marlborough MA $ 3,050,000 N/A 

Ditech Financial LLC (Green Tree Servicing LLC) Saint Paul MN $ 156,000,000 N/A 

04/28/203/26/212/29/211/14/210/16/210/15/209/28/209/16/208/14/207/16/206/25/209/29/207/29/206/26/2

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2

10/15/2

03/16/2015 Purchase Financial Instrument for Home Loan Modifications 03/16/2

06/29/209/30/207/14/203/26/2

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

12/29/206/26/203/26/212/23/203/25/209/27/206/28/206/29/203/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

08/26/207/29/209/27/206/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/14/206/28/209/29/207/29/206/26/203/26/212/23/203/25/2

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/16/2

09/28/206/25/204/28/203/26/212/29/212/30/209/30/2

04/24/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2

05/14/2

01/15/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/16/209/30/209/10/208/13/207/16/207/14/203/26/206/16/205/13/203/30/201/06/210/15/209/30/211/16/210/14/209/15/207/14/206/29/2
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 

02/16/208/16/207/16/206/28/206/14/205/16/203/15/203/25/202/14/212/27/211/15/210/16/209/27/210/15/209/27/208/15/207/16/206/27/205/16/204/16/203/26/202/13/212/23/212/16/211/14/208/14/207/29/207/16/206/26/206/16/205/15/212/29/212/16/211/14/210/16/209/29/209/16/204/28/204/16/203/26/203/16/202/13/201/15/209/28/209/16/208/14/207/16/206/25/205/14/209/27/206/29/209/30/207/14/203/26/2

10/30/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/29/207/29/206/26/203/26/212/23/203/25/207/14/2

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/28/204/28/203/26/212/29/207/14/203/26/212/30/2

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

05/20/209/30/209/30/209/30/207/16/2
8 

Everbank Jacksonville FL - N/A 3 

Farmers State Bank West Salem OH $ 170,000 N/A 

Fay Servicing, LLC Chicago IL $ 3,100,000 N/A 

01/06/212/15/210/15/207/14/206/29/205/13/203/30/203/16/202/16/2

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/208/14/209/16/2

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/16/2

10/19/2

09/03/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

05/20/209/30/207/14/203/26/212/30/210/14/209/15/206/29/204/13/203/30/201/06/206/28/206/14/205/16/204/16/212/15/211/16/201/16/212/27/210/16/209/27/208/16/207/16/206/14/205/16/204/16/203/25/203/14/202/14/210/15/209/27/209/16/208/15/207/16/206/27/203/14/202/13/201/16/212/23/212/16/211/14/207/16/206/26/206/16/205/15/204/16/203/26/211/14/210/16/209/29/209/16/208/14/207/29/203/26/203/16/202/13/201/15/212/29/212/16/204/28/204/16/2
FCI Lender Services, Inc. Anaheim Hills CA - N/A 3 Fidelity Bank New Orleans LA $ 2,940,000 N/A 

07/16/206/25/206/16/205/14/206/16/2

05/13/2011 Purchase Financial Instrument for Home Loan Modifications 05/13/2

10/15/209/28/209/16/208/14/206/14/205/16/211/16/209/15/207/14/206/29/211/15/210/16/209/27/208/16/207/16/206/28/203/25/203/14/202/14/201/16/212/27/212/14/209/27/207/16/206/27/206/14/205/16/204/16/203/26/203/14/202/13/212/23/211/14/210/15/207/29/207/16/206/26/206/16/205/15/204/16/212/16/211/14/210/16/209/29/209/16/208/14/205/14/204/28/203/26/202/13/201/15/212/29/209/28/209/16/208/14/207/16/206/25/206/16/201/06/209/30/207/14/203/26/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

10/15/203/25/212/27/209/27/206/28/206/29/203/30/206/27/2
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 

07/29/206/26/203/26/212/23/209/27/209/28/206/25/204/28/203/26/212/29/209/29/201/06/209/30/207/14/203/26/212/30/2

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

03/25/212/27/209/27/206/28/206/29/203/30/209/29/207/29/206/26/203/26/212/23/206/27/2

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2

09/28/206/25/204/28/203/26/212/29/212/23/203/25/209/27/206/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

03/26/212/29/209/29/207/29/206/26/203/26/205/26/203/26/2

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2

09/28/206/25/204/28/206/29/203/30/201/06/2

08/27/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

04/21/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/27/206/27/203/25/212/27/209/27/206/28/212/29/209/29/207/29/206/26/203/26/212/23/209/28/207/16/206/25/204/28/203/26/2
First Keystone Bank Media PA $ 1,280,000 N/A 

6 

First Mortgage Company, LLC Oklahoma City OK - N/A 3 First Mortgage Corporation Diamond Bar CA $ 100,000 N/A First National Bank of Grant Park Grant Park IL $ 140,000 N/A 

First Safety Bank Cincinnati OH $ 400,000 N/A 

Flagstar Capital Markets Corporation Troy MI $ 800,000 N/A 

3 

Florida Community Bank, NA Weston FL - N/A 3 

Franklin Credit Management Corporation Jersey City NJ $ 27,510,000 N/A 

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

06/16/203/30/201/06/209/30/207/14/203/26/206/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/206/16/2014 Purchase Financial Instrument for Home Loan Modifications 06/16/2

07/22/206/29/207/29/206/26/203/26/212/23/203/25/209/27/209/28/206/25/204/28/203/26/212/29/209/29/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

01/26/209/30/207/14/2

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

06/28/206/29/203/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

03/23/212/23/209/27/206/27/203/25/212/27/209/27/2

02/13/2014 Purchase Financial Instrument for Home Loan Modifications 02/13/2

05/14/204/16/207/01/206/26/203/26/212/29/209/29/207/29/206/26/204/16/203/26/212/30/2

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

09/28/206/25/204/28/203/26/203/30/202/16/201/06/209/30/207/14/203/26/203/25/212/27/209/27/206/28/210/14/206/29/212/23/209/27/206/27/2
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 Georgia Housing & Finance Authority DBA State Home Mortgage Atlanta GA - N/A 3 GFA Federal Credit Union Gardner MA $ 100,000 N/A Glass City Federal Credit Union Maumee OH $ 230,000 N/A 

6 

Glenview State Bank Glenview IL $ 370,000 N/A 

Golden Plains Credit Union Garden City KS $ 170,000 N/A 

06/26/203/26/203/14/204/28/204/16/203/26/212/29/209/29/207/29/203/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/208/14/206/25/206/14/203/25/212/27/209/27/206/28/206/29/209/30/207/14/2

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

10/24/209/27/206/27/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

07/06/206/28/206/29/203/30/201/06/203/26/212/23/203/25/209/27/206/28/206/29/204/28/203/26/212/29/209/29/207/29/206/26/2

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

03/23/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/205/14/2015 Purchase Financial Instrument for Home Loan Modifications 05/14/2

09/28/206/25/206/28/206/29/209/30/207/14/203/26/212/30/212/23/209/27/206/27/203/25/212/27/209/27/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

11/03/209/29/207/29/206/26/203/26/209/30/207/14/203/26/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

05/26/203/26/2
Grafton Suburban Credit Union North Grafton MA $ 340,000 N/A Great Lakes Credit Union North Chicago IL $ 570,000 N/A Greater Nevada LLC dba Greater Nevada Mortgage Carson City NV $ 770,000 N/A Gregory Funding, LLC Beaverton OR - N/A 3 

01/06/209/30/207/14/203/26/2

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

02/17/207/14/203/26/2

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2

01/25/206/29/203/30/209/27/206/28/206/29/203/30/201/06/209/30/203/26/212/23/209/27/206/27/203/25/212/27/204/28/203/26/212/29/209/29/207/29/206/26/201/06/209/30/207/14/2

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/28/206/25/203/25/212/27/209/27/206/28/206/29/203/30/207/29/206/26/203/26/212/23/209/27/206/27/209/28/206/25/204/28/203/26/212/29/209/29/209/27/208/16/206/28/201/13/211/16/2

07/14/2011 Purchase Financial Instrument for Home Loan Modifications 07/14/2

03/25/202/14/201/16/212/27/212/14/210/16/212/23/211/14/209/27/206/27/206/14/205/16/206/16/204/16/203/26/203/14/2
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 

07/29/206/26/212/29/212/16/211/14/209/29/209/16/208/14/207/16/206/25/204/28/203/26/203/16/201/15/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/209/16/208/14/206/26/203/26/212/23/203/25/209/27/206/28/206/25/204/28/203/26/212/29/209/29/207/29/209/30/207/14/203/26/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/210/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2

09/28/212/27/209/27/206/28/206/29/203/30/201/06/206/26/203/26/212/23/209/27/206/27/203/25/2

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2

04/02/203/26/212/29/209/29/207/29/206/25/204/28/203/26/212/29/209/29/206/26/201/06/209/30/207/14/203/26/2

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/28/203/25/212/27/209/27/206/28/206/29/203/30/209/27/206/27/2
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 

HomEq Servicing North Highlands CA $ 674,000,000 N/A 

13 

HomeStar Bank & Financial Services Manteno IL $ 310,000 N/A 

07/29/206/26/203/26/212/23/209/28/206/25/204/28/203/26/212/29/209/29/207/14/203/26/212/30/209/30/2

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/211/25/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2

03/16/202/16/201/06/212/15/209/30/209/30/203/25/2

02/14/2013 Purchase Financial Instrument for Home Loan Modifications 02/14/2

10/19/206/29/205/13/203/30/212/23/209/27/207/16/206/27/205/16/204/16/212/29/209/29/209/16/207/29/206/26/203/26/208/14/207/16/206/25/206/16/204/28/203/26/209/30/207/14/203/26/212/30/2

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/29/203/30/202/16/201/06/212/15/210/15/203/25/212/27/212/14/209/27/208/16/206/28/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

02/27/212/23/211/14/209/27/206/27/206/29/203/30/201/06/209/30/207/14/203/26/206/28/2
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 Horizon Bank, NA Michigan City IN $ 700,000 N/A Iberiabank Sarasota FL $ 4,230,000 N/A 

07/14/203/26/212/30/2

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

07/06/203/30/202/16/201/06/211/16/210/15/209/30/205/16/211/16/210/14/209/15/206/29/204/13/211/15/210/16/209/27/208/16/207/16/206/28/203/25/203/14/202/14/201/16/212/27/212/14/212/16/209/27/207/16/206/27/205/16/204/16/212/30/2

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

05/28/204/16/203/26/212/23/206/29/209/30/209/30/207/14/205/12/203/26/209/27/206/27/203/25/212/27/209/27/206/28/212/29/209/29/207/29/206/26/203/26/212/23/203/26/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/28/206/25/204/28/203/26/206/28/206/29/203/30/201/06/209/30/207/14/207/14/203/26/2

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/21/2
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 

01/06/209/30/203/26/212/30/2

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

06/03/204/13/203/30/206/28/206/29/203/30/201/06/209/30/207/14/209/30/207/14/205/12/203/26/2

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/14/212/27/209/27/206/28/206/29/203/30/201/06/206/26/203/26/212/23/209/27/206/27/203/25/206/25/204/28/203/26/212/29/209/29/207/29/209/30/207/14/205/26/203/26/2

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/28/206/27/203/25/212/27/209/27/206/28/206/29/212/29/209/29/207/29/206/26/203/26/212/23/207/14/2

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/28/206/25/204/28/203/26/206/29/203/30/201/06/211/16/209/30/209/30/209/27/206/27/203/25/212/27/209/27/206/28/203/26/212/23/2
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 

12/29/209/29/207/29/206/26/207/14/2

03/05/2010 Purchase Financial Instrument for Home Loan Modifications 05/26/2

09/28/206/25/204/28/203/26/206/29/203/30/201/06/211/16/209/30/209/30/207/16/206/27/203/25/212/27/209/27/206/28/207/29/206/26/203/26/212/23/211/14/209/27/201/06/2

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

04/02/203/26/212/29/209/29/203/25/212/27/209/27/206/28/206/29/203/30/207/29/206/26/203/26/212/23/209/27/206/27/209/28/206/25/204/28/203/26/212/29/209/29/209/30/209/30/207/14/203/26/212/30/2

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

06/29/205/13/204/13/203/30/203/16/201/06/211/16/210/19/210/14/209/15/208/16/207/14/207/16/206/28/206/14/205/16/202/16/201/13/208/16/2
Kondaur Capital Corporation Orange CA - N/A 3 

12/27/212/14/211/15/210/16/209/27/205/16/204/16/203/25/203/14/202/14/201/16/209/27/209/16/208/15/207/16/206/27/206/14/202/13/201/16/212/23/212/16/211/14/210/15/206/26/206/16/205/15/204/16/203/26/203/14/210/16/209/29/209/16/208/14/207/29/207/16/203/16/202/13/201/15/212/29/212/16/211/14/206/25/206/16/205/14/204/28/204/16/203/26/2

11/15/2012 Purchase Financial Instrument for Home Loan Modifications 11/15/2

10/15/209/28/209/16/208/14/207/16/206/14/205/16/204/16/202/14/201/16/212/14/207/29/206/26/203/26/203/14/212/23/207/16/201/15/212/29/212/16/211/14/209/29/209/16/206/16/205/14/204/28/204/16/203/26/202/13/2
Lake City Bank Warsaw IN $ 420,000 N/A Lake National Bank Mentor OH $ 100,000 N/A 

6 

Land/Home Financial Services, Inc. Concord CA - N/A 3 

LenderLive Network, Inc Glendale CO - N/A 3 Liberty Bank and Trust Co New Orleans LA $ 1,000,000 N/A Liberty Savings Bank, FSB Wilmington OH - N/A 3 

10/15/209/28/209/16/208/14/207/16/206/25/206/29/209/30/207/14/203/26/212/30/2

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/27/206/27/203/25/212/27/209/27/206/28/212/29/209/29/207/29/206/26/203/26/212/23/212/30/2

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/206/29/203/30/201/06/209/30/207/14/203/26/203/14/2

01/16/2014 Purchase Financial Instrument for Home Loan Modifications 01/16/2

09/16/2

06/16/2014 Purchase Financial Instrument for Home Loan Modifications 06/16/2

08/23/206/28/207/29/207/16/206/26/206/16/205/15/203/26/206/25/204/28/203/26/212/29/209/29/208/14/206/29/203/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/207/16/209/27/206/27/203/25/212/27/209/27/206/28/212/29/209/29/207/29/206/26/203/26/212/23/2

12/16/2014 Purchase Financial Instrument for Home Loan Modifications 12/16/2

09/28/206/25/204/28/203/26/2
Litton Loan Servicing, LP Houston TX $ 774,900,000 N/A 

12 

Los Alamos National Bank Los Alamos NM $ 700,000 N/A M&T Bank Buffalo NY $ 700,000 N/A 

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/30/209/15/208/13/207/14/203/26/212/30/204/13/203/30/203/16/201/06/212/15/210/15/210/14/209/15/207/14/206/29/206/16/205/13/208/16/206/28/202/16/201/13/212/15/211/16/212/16/209/27/206/27/203/25/212/27/209/27/207/14/203/26/2

11/06/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

01/31/201/16/212/23/209/27/206/28/206/29/203/30/201/06/209/30/203/26/212/23/209/27/206/27/203/25/212/27/204/28/203/26/212/29/209/29/207/29/206/26/206/29/203/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/209/27/206/27/203/25/212/27/209/27/206/28/206/16/205/15/204/16/203/26/202/13/212/23/209/16/208/14/207/29/206/26/2
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 Marsh Associates, Inc. Charlotte NC $ 100,000 N/A 

11/14/209/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/212/29/212/27/209/27/206/28/206/29/203/30/201/06/206/26/203/26/212/23/209/27/206/27/203/25/206/25/204/28/203/26/212/29/209/29/207/29/203/26/2

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

03/09/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/201/06/209/30/209/30/208/13/207/14/206/16/206/29/206/16/205/13/204/13/203/30/203/16/206/14/204/16/202/16/201/13/208/16/207/14/212/27/211/15/210/16/209/27/208/16/206/28/206/14/205/16/204/16/203/25/203/14/202/14/206/26/203/26/212/23/209/27/207/16/206/27/206/25/204/28/203/26/212/29/209/29/207/29/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/2
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 MidFirst Bank (Midland Mortgage Co.) 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 

03/25/209/27/206/28/207/14/203/26/212/30/2

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/210/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2

10/15/206/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

01/26/201/06/209/30/207/29/206/26/203/26/212/23/203/25/209/27/209/28/206/25/204/28/203/26/212/29/209/29/207/16/206/28/206/29/203/30/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/27/206/27/203/25/212/27/209/27/207/27/212/29/209/29/207/29/206/26/203/26/212/23/208/14/206/25/206/16/205/14/204/28/203/26/206/29/203/30/201/06/209/30/2

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2

09/28/206/28/206/29/203/30/201/06/2

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

07/14/212/23/209/27/206/27/203/25/212/27/209/27/203/26/212/29/209/29/207/29/206/26/203/26/204/28/2
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 Mortgage Investors Group Knoxville TN - N/A 3 Nationstar Mortgage LLC Lewisville TX $ 101,000,000 N/A 

03/26/212/30/2

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/209/27/206/28/206/29/203/30/209/30/207/14/209/29/207/29/206/26/203/26/212/23/203/25/2

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/212/29/203/16/201/06/209/30/207/14/203/26/212/30/207/14/203/26/212/30/2

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

05/26/203/30/209/27/206/28/206/29/203/30/201/06/209/30/203/26/212/23/209/27/206/27/203/25/212/27/204/28/203/26/212/29/209/29/207/29/206/26/209/30/207/14/203/26/2

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2

09/28/206/25/212/30/209/30/2

05/28/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2

12/29/2

07/16/2014 Purchase Financial Instrument for Home Loan Modifications 07/16/2

03/09/211/16/209/30/209/30/208/13/207/14/203/26/205/26/203/30/203/16/202/16/201/06/212/15/2
Nationwide Advantage Mortgage Company Des Moines IA - N/A 3 Navy Federal Credit Union Vienna VA $ 60,780,000 N/A 

06/28/206/14/205/16/203/15/211/16/206/29/212/14/211/15/209/27/208/23/208/16/207/16/205/16/204/16/203/25/203/14/202/14/212/27/209/27/209/16/207/16/207/09/206/27/206/14/202/13/201/16/212/23/212/16/211/14/210/15/206/26/206/16/205/15/204/16/203/26/203/14/210/16/209/29/209/16/208/14/207/29/207/16/203/16/202/13/201/15/212/29/212/16/211/14/206/25/206/16/205/14/204/28/204/16/203/26/2

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/16/2

10/15/209/28/209/16/208/14/207/16/206/29/203/30/201/06/209/30/2

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2

05/15/209/27/206/27/203/25/212/27/209/27/206/28/207/29/206/26/203/26/212/23/2
New Penn Financial, LLC dba Shellpoint Mortgage Servicing Greenville SC - N/A 3 New York Community Bank (AmTrust Bank) Cleveland OH - N/A 3 NJ Housing & Mortgage Finance Trenton NJ - N/A 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 

12/29/209/29/209/16/2

08/14/2014 Purchase Financial Instrument for Home Loan Modifications 08/14/2

09/28/206/25/204/28/203/26/212/29/212/16/211/14/211/03/210/16/209/29/204/28/204/16/203/26/203/16/202/13/201/15/209/16/208/14/207/16/206/25/206/16/205/14/206/29/206/16/205/13/2

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2

10/15/209/28/206/27/203/25/212/27/209/27/206/28/208/16/207/29/206/26/203/26/212/23/209/27/207/16/209/28/206/25/204/28/203/26/212/29/209/29/2

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/2

03/16/2015 Purchase Financial Instrument for Home Loan Modifications 03/16/2

03/30/201/06/209/30/207/14/203/26/212/30/212/30/209/30/2

04/16/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2

07/22/206/29/204/13/209/30/209/15/207/16/207/14/206/16/203/26/201/06/210/15/2
Ocwen Loan Servicing, LLC (as successor in interest to GMAC Mortgage, LLC)

Ft. Washington PA $ 633,000,000 N/A 

10/14/206/29/203/30/202/16/206/28/206/14/205/16/203/15/202/16/201/13/212/14/211/15/210/16/209/27/208/16/207/16/204/09/203/25/203/14/202/14/201/16/212/27/209/16/207/16/206/27/206/14/205/16/204/16/201/16/212/23/212/16/211/14/210/15/209/27/204/16/203/26/203/14/202/27/202/13/201/31/207/29/207/16/206/26/206/16/205/28/205/15/212/16/211/14/210/16/209/29/209/16/208/14/204/28/204/16/203/26/202/13/201/15/212/29/209/16/208/14/207/16/206/25/206/16/205/14/203/26/212/30/209/30/2

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2

10/15/209/28/209/30/209/30/208/13/207/14/205/14/2
16 

ORNL Federal Credit Union Oak Ridge TN $ 2,070,000 N/A 

12/15/206/29/205/13/204/13/203/30/203/16/201/06/212/15/211/16/210/14/209/15/208/16/207/14/206/28/206/14/205/16/204/16/203/15/201/13/201/16/212/27/212/14/211/15/209/27/208/16/209/16/206/27/206/14/203/25/203/14/202/14/201/16/212/23/212/16/211/14/210/15/209/27/206/16/205/15/204/16/203/26/203/14/202/13/209/29/209/16/208/14/207/29/207/16/206/26/202/13/201/15/212/29/212/16/211/14/210/16/209/28/206/25/206/16/204/28/204/16/203/26/201/06/209/30/207/14/203/26/212/30/2

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

03/25/212/27/209/27/206/28/206/29/203/30/203/26/212/23/209/27/206/27/2
OwnersChoice Funding, Inc. (CUC Mortgage Corporation) Albany NY $ 4,350,000 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 

07/29/206/26/209/28/206/25/204/28/203/26/212/29/209/29/201/06/209/30/207/14/203/26/212/30/2

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

03/25/212/27/209/27/206/28/206/29/203/30/207/29/206/26/203/26/212/23/209/27/206/27/209/28/206/25/204/28/203/26/212/29/209/29/203/30/201/06/209/30/207/14/203/26/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

03/30/201/06/2

08/25/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/14/206/28/206/29/206/27/203/25/212/27/209/27/206/28/206/29/209/29/207/29/206/26/203/26/212/23/209/27/2

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/212/29/208/13/207/16/207/14/206/16/203/26/212/30/201/06/212/15/211/16/209/30/209/30/209/15/202/16/201/13/2
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 

05/13/204/13/203/30/203/16/211/16/210/14/209/15/207/14/206/29/206/16/206/28/206/14/204/16/203/15/201/13/212/15/212/27/212/14/210/16/209/27/208/16/207/16/209/27/206/27/206/14/204/16/203/25/202/14/205/15/203/26/203/14/202/13/212/23/210/15/209/16/208/14/207/29/207/16/206/26/206/16/203/26/202/13/212/29/211/14/210/16/209/29/207/16/206/25/206/16/205/14/204/28/204/16/210/16/209/27/206/28/2

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/15/2

09/28/208/14/212/23/209/27/207/16/206/27/203/25/212/27/203/26/212/29/209/29/207/29/206/26/203/26/207/16/2

11/14/2013 Purchase Financial Instrument for Home Loan Modifications 11/14/2

09/28/208/14/206/25/204/28/2

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2
PNC Bank, National Association (successor to National City Bank) Miamisburg OH $ 294,980,000 N/A PrimeWest Mortgage Corporation Lubbock TX - N/A 3 Purdue Federal Credit Union (Purdue Employees Federal Credit Union) West Lafayette IN $ 1,090,000 N/A 

09/30/209/30/207/14/203/26/212/30/206/28/210/14/206/29/205/13/203/30/201/06/209/27/206/27/204/09/203/25/212/27/209/27/212/29/209/29/207/29/206/26/203/26/212/23/212/30/2

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/202/16/201/06/209/30/209/30/207/14/203/26/206/29/206/16/205/13/204/13/203/30/203/16/206/14/203/15/202/16/201/13/211/16/210/14/209/27/206/27/203/25/212/27/209/27/206/28/208/14/207/29/206/26/203/26/203/14/212/23/203/26/203/16/212/29/211/14/210/16/209/29/2

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/203/15/2012 Purchase Financial Instrument for Home Loan Modifications 03/15/2

10/15/209/28/206/25/204/28/209/30/207/14/203/26/212/30/2
QLending, Inc. Coral Gables FL $ 20,000 N/A 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 

03/30/201/06/206/27/203/25/212/27/209/27/206/28/206/29/209/29/207/29/206/26/203/26/212/23/209/27/2

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/28/206/25/204/28/203/26/212/29/203/25/209/27/206/28/206/29/209/30/207/14/212/29/209/29/207/29/206/26/203/26/212/23/203/26/2

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/28/206/25/204/28/203/26/203/30/202/16/201/13/201/06/209/30/207/14/208/16/207/14/206/29/206/16/205/13/204/13/210/16/209/27/206/28/206/14/201/13/209/15/207/16/206/27/204/16/203/25/212/27/211/15/208/15/2

12/14/2012 Purchase Financial Instrument for Home Loan Modifications 12/14/2

02/27/212/23/211/14/209/27/203/30/201/06/2

09/01/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

01/15/205/15/203/14/206/14/203/15/206/29/2
9 

Residential Credit Solutions, Inc. Fort Worth TX $ 19,400,000 N/A Resurgent Capital Solutions L.P. Greenville SC - N/A 3 

12/30/2

06/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

04/09/203/30/201/06/209/30/209/30/207/14/203/26/206/14/205/16/211/16/209/15/206/29/204/13/212/27/211/15/210/16/209/27/207/16/206/28/206/14/205/16/204/16/203/25/203/14/202/14/212/16/210/15/209/27/209/16/207/16/206/27/204/16/203/26/203/14/202/13/201/16/212/23/208/14/207/29/207/16/206/26/206/16/205/15/212/29/212/16/211/14/210/16/209/29/209/16/204/28/204/16/203/26/203/16/202/13/201/15/209/16/208/14/207/16/206/25/206/16/205/14/212/27/209/27/206/28/2

06/14/2012 Purchase Financial Instrument for Home Loan Modifications 06/14/2

10/15/209/28/206/14/205/16/203/25/203/14/202/14/201/16/207/16/206/27/2
15 

RG Mortgage Corporation San Juan PR $ 57,000,000 N/A 

6 

Roebling Bank Roebling NJ $ 240,000 N/A RoundPoint Mortgage Servicing Corporation Charlotte NC $ 570,000 N/A 

12/16/211/14/210/15/209/27/204/16/203/26/203/14/202/13/201/16/212/23/209/16/207/29/207/16/206/26/206/16/205/15/204/09/203/26/212/30/2

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

11/03/209/29/206/29/203/30/201/06/212/15/209/30/207/14/209/27/206/27/203/25/212/27/209/27/206/28/210/16/209/29/207/29/206/26/203/26/212/23/203/23/201/06/209/30/207/14/2

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

11/03/201/06/209/30/207/14/203/26/212/30/2

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

11/15/209/27/206/28/206/29/203/30/203/16/207/16/206/27/206/14/204/16/203/25/212/27/202/13/201/16/212/23/212/16/209/27/209/16/207/29/207/16/206/26/204/16/203/26/203/14/2
Rushmore Loan Management Services LLC Irvine CA - N/A 3 Saxon Mortgage Services, Inc. Irving TX $ 407,000,000 N/A 

03/26/212/29/212/16/210/16/209/29/208/14/2

12/15/2011 Purchase Financial Instrument for Home Loan Modifications 12/15/2

09/28/208/14/206/25/205/14/204/28/211/15/210/16/209/27/208/16/206/28/204/16/204/16/203/25/203/14/202/14/201/16/212/27/210/15/209/27/209/16/206/27/206/14/205/16/203/26/203/14/201/16/212/23/212/16/211/14/207/29/207/16/206/26/206/16/205/15/204/16/212/16/211/14/210/16/209/29/209/16/208/14/204/16/203/26/203/16/202/13/201/15/212/29/208/14/207/16/206/25/206/16/205/14/204/28/212/30/209/30/2

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2

10/15/209/28/209/16/209/30/209/15/207/16/207/14/206/16/203/26/201/06/212/15/210/15/209/30/2
10 

Schools Financial Credit Union Sacramento CA $ 390,000 N/A 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 

03/16/201/13/209/15/208/16/207/14/206/29/204/13/203/30/206/14/205/16/204/16/203/15/202/16/212/15/211/15/210/16/209/27/208/16/207/16/206/28/2

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

04/09/203/25/201/16/212/27/212/14/203/30/201/06/209/30/207/14/203/26/212/30/206/27/203/25/212/27/209/27/206/28/206/29/209/29/207/29/206/26/203/26/212/23/209/27/2

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/15/2

09/28/206/25/204/28/203/26/212/29/203/25/212/27/209/27/206/28/206/29/201/06/207/29/206/26/203/26/212/23/209/27/206/27/206/25/204/28/203/26/212/29/210/16/209/29/209/30/207/14/203/26/212/30/2

09/25/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

09/28/2

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2

04/11/206/29/2
03/26/212/30/209/30/201/06/212/15/211/16/209/30/209/30/207/14/205/13/204/13/203/30/203/16/202/16/201/13/211/16/210/14/209/15/208/16/206/29/206/16/206/28/206/14/205/16/204/16/203/15/201/13/212/14/211/15/210/16/209/27/208/16/207/16/204/16/203/25/203/14/202/14/201/16/212/27/209/16/208/15/207/16/206/27/206/14/205/16/201/16/212/23/212/16/211/14/210/15/209/27/206/16/205/15/204/16/203/26/203/14/202/13/209/29/209/16/208/14/207/29/207/16/206/26/202/13/201/15/212/29/212/16/211/14/210/16/206/16/205/14/204/28/204/16/203/26/203/16/207/16/206/25/2
Selene Finance LP Houston TX - N/A 3 Seneca Mortgage Servicing LLC (AMS Servicing, LLC) Buffalo NY $ 4,390,000 N/A 

10/15/209/28/209/16/208/14/203/16/201/06/210/15/209/30/208/13/2

06/16/2010 Purchase Financial Instrument for Home Loan Modifications 06/16/2

11/16/210/14/206/29/206/16/204/13/203/30/208/16/207/16/206/28/206/14/205/16/204/16/205/16/203/25/203/14/212/27/211/15/209/27/203/26/203/14/212/23/209/27/207/16/206/27/209/16/208/14/207/29/207/16/206/26/204/16/203/26/203/16/201/15/212/29/212/16/209/29/209/16/208/14/206/25/206/16/204/28/204/16/207/14/203/26/212/30/2

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

10/15/209/28/205/13/204/13/203/30/203/16/201/06/209/30/206/28/206/14/204/16/211/16/209/15/206/29/201/16/212/27/212/14/211/15/210/16/209/27/2
Servis One, Inc. dba BSI Financial Services Titusville PA $ 29,730,000 N/A 

06/14/205/16/204/16/203/25/203/14/202/14/211/14/210/15/209/27/209/16/207/16/206/27/204/16/203/26/203/14/201/16/212/23/212/16/209/29/209/16/208/14/207/29/206/26/206/16/203/26/203/16/202/13/201/15/212/29/212/16/207/16/206/25/206/16/205/14/204/28/204/16/212/30/2

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/209/16/208/14/209/30/209/15/207/14/205/19/204/19/203/26/202/16/201/13/201/06/212/15/210/15/209/30/206/29/206/16/205/13/204/13/203/30/203/16/201/13/212/15/211/16/210/14/209/15/208/16/206/28/206/14/205/16/204/16/203/15/202/16/211/15/210/16/209/27/208/16/2
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 

12/27/212/14/205/16/204/16/203/25/203/14/202/14/201/16/209/27/209/16/208/15/207/16/206/27/206/14/202/13/201/16/212/23/212/16/211/14/210/15/206/26/206/16/205/15/204/16/203/26/203/14/211/14/210/16/209/29/209/16/208/14/207/29/203/26/203/16/202/13/201/15/212/29/212/16/207/16/206/25/206/16/205/14/204/28/204/16/212/30/2

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/209/16/208/14/204/13/203/30/201/06/209/30/207/14/203/26/204/09/203/25/212/27/209/27/206/28/206/29/203/30/201/06/209/30/207/14/203/26/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

06/27/203/25/212/27/209/27/206/28/206/29/212/16/2

10/15/2013 Purchase Financial Instrument for Home Loan Modifications 10/15/2

07/09/2
Sound Community Bank Seattle WA $ 440,000 N/A Specialized Loan Servicing LLC Highlands Ranch CO $ 64,150,000 N/A 

09/29/207/29/207/16/203/26/201/15/212/29/212/16/211/14/210/16/208/14/207/16/206/25/206/16/205/14/204/28/207/14/203/26/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

10/15/209/28/209/16/207/16/207/14/206/16/205/14/2

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/08/201/13/201/06/211/16/209/30/209/15/208/13/206/29/206/16/205/13/204/13/203/30/203/16/202/16/201/13/212/15/210/14/209/15/208/16/207/16/206/28/206/14/205/16/204/16/203/15/212/27/212/14/211/15/210/16/209/27/208/16/205/16/204/16/203/25/203/14/202/14/201/16/210/15/209/27/209/16/207/16/206/27/206/14/203/14/202/13/201/16/212/23/212/16/211/14/204/16/203/26/2
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 

07/16/206/26/206/16/205/15/212/29/211/14/209/29/209/16/208/14/207/29/204/28/204/16/203/26/203/16/202/13/201/15/209/16/208/14/207/16/206/25/206/16/205/14/209/30/207/14/203/26/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

10/15/209/28/203/26/212/30/2

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

02/17/201/06/209/30/202/16/201/06/2

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/15/2

03/23/209/30/207/14/206/28/203/15/211/16/206/29/203/30/203/16/201/16/212/27/212/14/211/15/210/16/209/27/209/27/206/27/204/16/203/25/203/14/202/14/203/26/203/14/202/13/201/16/212/23/211/14/209/29/209/16/208/14/207/29/207/16/206/26/204/28/203/26/203/16/212/29/212/16/210/16/206/16/2
Sterling Savings Bank Spokane WA $ 2,250,000 N/A 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 

10/15/209/28/209/16/208/14/206/25/203/30/201/06/209/30/207/14/203/26/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/27/206/27/203/25/212/27/209/27/206/29/212/29/209/29/207/29/206/26/203/26/212/23/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/203/26/206/26/203/26/212/23/203/25/209/27/206/28/206/25/204/28/203/26/212/29/209/29/207/29/206/28/206/29/203/30/201/06/2

08/04/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/207/16/206/27/206/14/2

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/201/13/2012 Purchase Financial Instrument for Home Loan Modifications 01/13/2

08/10/204/16/203/26/203/14/202/13/201/16/212/23/212/29/209/29/208/14/207/29/207/16/206/26/209/28/208/14/206/25/204/28/203/26/202/13/201/06/209/30/207/14/203/26/2

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2
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 The Provident Bank Jersey City NJ - N/A 3 U.S. Bank National Association Owensboro KY $ 114,220,000 N/A United Bank Griffin GA $ 540,000 N/A 

03/30/206/27/203/25/212/27/209/27/206/28/206/29/209/29/207/29/206/26/203/26/212/23/209/27/2

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2

09/28/206/25/204/28/203/26/212/29/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

06/16/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2

12/08/209/30/207/14/206/29/203/30/201/06/209/30/207/14/203/26/209/27/206/27/203/25/212/27/209/27/206/28/212/29/209/29/207/29/206/26/203/26/212/23/2

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/210/16/2014 Purchase Financial Instrument for Home Loan Modifications 10/16/2

09/28/206/25/204/28/203/26/203/30/201/06/209/30/207/14/203/26/212/30/206/27/203/25/212/27/209/27/206/28/206/29/209/29/207/29/206/26/203/26/212/23/209/27/209/28/206/25/206/16/204/28/203/26/212/29/203/30/201/06/209/30/2

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2
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 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 

06/28/206/29/212/23/209/27/206/27/203/25/212/27/209/27/203/26/212/29/209/29/207/29/206/26/203/26/207/14/203/26/2

10/21/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

09/28/206/25/204/28/209/27/206/28/206/29/203/30/201/06/209/30/203/26/212/23/209/27/206/27/203/25/212/27/204/28/203/26/212/29/209/29/207/29/206/26/2

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2

02/17/201/06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/203/25/212/27/209/27/206/28/211/16/206/29/207/29/206/26/203/26/212/23/209/27/206/27/209/28/206/25/204/28/203/26/212/29/209/29/202/17/201/06/209/30/207/14/203/26/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2

03/30/201/06/209/30/2

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2

12/16/2

05/16/2013 Purchase Financial Instrument for Home Loan Modifications 05/16/2

06/28/206/29/2
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 Webster Bank, N.A. Cheshire CT - N/A 3 Webster First Federal Credit Union Worcester MA - N/A 3 Wells Fargo Bank, NA Des Moines IA $ 2,873,000,000 N/A 

06/27/203/25/212/27/209/27/212/30/2

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

04/23/203/26/212/23/209/27/212/30/2

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

12/03/209/30/207/14/203/26/201/06/209/30/209/15/2

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2

03/12/202/17/212/27/209/27/206/28/206/29/204/13/203/30/2

12/16/2014 Purchase Financial Instrument for Home Loan Modifications 12/16/2

02/27/212/23/209/27/206/27/203/25/202/17/212/30/209/30/2

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/202/13/2015 Purchase Financial Instrument for Home Loan Modifications 02/13/2

12/29/209/30/209/30/207/14/203/26/203/19/203/12/203/30/203/16/201/13/201/06/212/15/212/03/208/16/207/14/206/29/206/16/205/13/204/13/202/16/201/13/212/15/211/16/210/14/209/15/208/16/206/28/206/14/205/16/204/16/203/15/201/16/212/27/212/14/211/15/210/16/209/27/202/14/2
Wescom Central Credit Union Anaheim CA $ 540,000 N/A 

6 3 

Western Federal Credit Union Hawthorne CA - N/A 3 

06/14/205/16/204/16/203/25/203/14/210/15/209/27/209/16/208/15/207/16/206/27/203/14/202/13/201/16/212/23/212/16/211/14/207/16/206/26/206/16/205/15/204/16/203/26/211/14/210/16/209/29/209/16/208/14/207/29/203/26/203/16/202/13/201/15/212/29/212/16/208/14/207/16/206/25/205/14/204/28/204/16/203/26/212/30/2

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2

10/15/209/28/209/16/205/13/203/30/201/06/209/30/207/30/207/14/206/26/203/26/212/23/209/27/206/14/206/03/206/25/204/28/203/26/212/29/209/29/207/29/212/23/203/25/209/27/206/29/2

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2

09/28/203/26/212/29/209/29/207/29/206/26/203/26/2
Weststar Mortgage, Inc. Woodbridge VA $ 100,000 N/A Wilshire Credit Corporation Beaverton OR $ 366,000,000 N/A 

7 

Yadkin Valley Bank Elkin NC $ 240,000 N/A 

$

1/2/3/4/5/6/7/8/9/10/11/

06/28/206/29/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2

09/28/206/25/204/28/207/29/206/26/203/26/212/23/203/25/209/27/209/28/206/25/204/28/203/26/212/29/209/29/205/14/204/19/203/26/212/30/209/30/2

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2

01/06/209/30/208/13/207/16/207/14/206/16/203/26/212/30/2

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2

10/19/206/29/203/30/209/27/206/28/206/29/201/06/209/30/207/14/203/26/212/23/209/27/206/27/203/25/212/27/204/28/203/26/212/29/209/29/207/29/206/26/2

Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prIn 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 EM

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 represeAs 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 AuroOn 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.This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is rea

On 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 represeThe remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.

Total Initial CAP 23,831,570,000 Total CAP Adjustments 

Total CAP 

09/28/206/25/2
12/

13/14/15/16/

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. Effective June, 2014, New Penn Financial LLC d/b/a Shellpoint Mortgage Servicing, a AAA servicer, completed the acquisition of Resurgent Mortgage Servicing, from Resurgent Capital Services L.P., also a AAA servicer. The Adjusted Ca

obligations pursuant to certain Servicer Participation Agreements prior to such acquisition.

Effective February 15, 2013, Ocwen Loan Servicing, LLC acquired certain assets of GMAC Mortgage, LLC, pursuant to a Sale Order entered in connection with the bankruptcy cases of Residential Capital, LLC and certain of its affiliated d

* 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.

Effective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion. 
Name of Institution Borrowers Lenders / Investors 

21st Mortgage Corporation 1,329,637.45 $ 2,844,010.88 $ 

$ 

Allstate Mortgage Loans & Investments, Inc 13,448.57 $ 12,609.60 $ 

$ 

Ally Bank 560,904.67 $ 1,503,877.73 $ 

$ 

Ameriana Bank 3,000.00 $ 7,500.25 $ 

$ 

Aurora Financial Group, Inc 24,689.43 $ 

$ 

Aurora Loan Services LLC 15,997,418.00 $ 41,236,849.69 $ 

$ 

Axiom Bank 4,000.00 $ 11,075.94 $ 

$ 

Banco Popular de Puerto Rico 123,235.88 $ 124,015.68 $ 

$ 

Bank of America, N.A. 4,099,061.97 $ 17,843,110.01 $ 

$ 

Bank of America, National Association 428,862,643.66 $ 822,130,801.00 $ 

$ 

Bank of Camden 1,000.00 $ 1,589.40 $ 

$ 

BankUnited 11,551,443.23 $ 35,991,480.28 $ 

$ 

Bayview Loan Servicing LLC 42,686,918.88 $ 81,530,963.30 $ 

$ 

Caliber Home Loans, Inc. 1,183,445.65 $ 3,302,772.06 $ 

$ 

California Housing Finance Agency 2,000.00 $ 2,128.94 $ 

$ 

Carrington Mortgage Services, LLC 20,867,850.07 $ 41,956,433.09 $ 

$ 

CCO Mortgage, a division of RBS Citizens NA 5,219,963.26 $ 8,567,658.53 $ 

$ 

Central Florida Educators Federal Credit Union 215,373.16 $ 317,605.99 $ 

$ 

Cheviot Savings Bank 3,000.00 $ 2,327.57 $ 

$ 

CIT Bank, N.A. 67,492,831.78 $ 232,858,383.31 $ 

$ 

CitiMortgage Inc 117,823,876.89 $ 332,567,939.89 $ 

$ 

Citizens First National Bank 27,229.56 $ 67,847.26 $ 

$ 

ClearSpring Loan Services, Inc. 246,671.25 $ 541,230.23 $ 

$ 

Colorado Federal Savings Bank - $ 3,057.05 $ 

$ 

Columbia Bank 11,879.37 $ 30,728.47 $ 

$ 

Community Credit Union of Florida 3,000.00 $ 4,631.53 $ 

$ 

Desjardins Bank 2,000.00 $ 9,613.40 $ 

$ 

Ditech Financial LLC 42,616,279.11 $ 54,978,179.70 $ 

$ 

DuPage Credit Union 22,056.56 $ 39,825.32 $ 

$ 

EMC Mortgage Corporation 7,569,459.20 $ 11,592,937.05 $ 

$ 

EverBank 3,916.67 $ 6,352.84 $ 

$ 

Fay Servicing LLC 7,672,607.06 $ 16,560,511.67 $ 

$ 

FCI Lender Services, Inc. 58,325.76 $ 134,747.45 $ 

$ 

Fidelity Bank 11,682.92 $ 25,080.39 $ 

$ 

FIRST BANK 1,468,695.03 $ 2,807,512.31 $ 

$ 

First Citizens Bank & Trust Company 5,916.67 $ - $ 

$ 

First Financial Bank N.A. 333.33 $ - $ 

$ 

First Keystone Bank 2,775.62 $ 3,423.27 $ 

$ 

First Mortgage Corporation 3,916.67 $ 

$ 

Flagstar Capital Markets Corporation 7,000.00 $ - $ 

$ 

Florida Community Bank, NA 11,000.00 $ 12,079.28 $ 

$ 

Franklin Credit Management Corporation 342,554.37 $ 658,317.58 $ 

$ 

Franklin Savings 1,750.00 $ 3,864.59 $ 

$ 

Fresno County Federal Credit Union 3,833.34 $ 13,204.31 $ 

$ 

Georgia Housing & Finance Authority DBA State Home 1,000.00 $ 

$ 

Glass City Federal Credit Union 4,000.00 $ 2,473.84 $ 

$ 

GMAC Mortgage, LLC 63,426,149.58 $ 148,797,390.88 $ 

$ 

Great Lakes Credit Union 18,022.79 $ 33,543.73 $ 

$ 

Supplemental Information [Not Required by EESA §114(a)]

Making Home Affordable Program

Non‐GSE Incentive Payments (through October 2015)
Name of Institution Borrowers Lenders / Investors 

Greater Nevada LLC dba Greater Nevada Mortgage 144,256.45 $ 221,381.27 $ 

$ 

Gregory Funding, LLC 374,708.86 $ 726,020.15 $ 

$ 

Guaranty Bank 916.67 $ 

$ 

Heartland Bank & Trust Company 13,625.77 $ 30,110.45 $ 

$ 

Hillsdale County National Bank 62,549.62 $ 58,987.81 $ 

$ 

Home Loan Services, Inc. 169,857.80 $ 2,440,767.73 $ 

$ 

Home Servicing, LLC 15,033.72 $ 29,571.85 $ 

$ 

HomEqServicing - $ 3,036,319.34 $ 

$ 

HomeStar Bank and Financial Services 1,916.66 $ 5,572.90 $ 

$ 

Homeward Residential, Inc. 51,759,481.72 $ 133,893,684.23 $ 

$ 

Horicon Bank 12,181.80 $ 26,736.13 $ 

$ 

Iberiabank - $ 10,502.00 $ 

$ 

IBM Southeast Employees' Federal Credit Union 9,000.00 $ 23,589.08 $ 

$ 

IC Federal Credit Union 34,333.34 $ 63,510.34 $ 

$ 

Idaho Housing and Finance Association 49,245.97 $ 34,260.19 $ 

$ 

James B.Nutter and Company 17,514.61 $ 

$ 

JPMorgan Chase Bank, N.A. 479,774,657.70 $ 1,260,242,029.96 $ 

$ 

Kondaur Capital Corporation 20,414.86 $ 23,605.39 $ 

$ 

Lake City Bank 15,576.89 $ 16,704.50 $ 

$ 

Lake National Bank 3,000.00 $ 3,651.45 $ 

$ 

Land/Home Financial Services, Inc. 916.67 $ 232.46 $ 

$ 

LenderLive Network, Inc 38,500.01 $ 69,769.61 $ 

$ 

Litton Loan Servicing, LP 13,441,220.42 $ 35,353,125.99 $ 

$ 

Los Alamos National Bank 96,900.83 $ 59,586.93 $ 

$ 

M&T Bank 1,061,500.81 $ 1,332.31 $ 

$ 

Marix Servicing LLC 352,195.77 $ 970,196.74 $ 

$ 

Marsh Associates, Inc. 9,687.97 $ 

$ 

MidFirst Bank 25,415,366.93 $ 2,686,943.18 $ 

$ 

Midwest Community Bank 1,000.00 $ 1,817.60 $ 

$ 

Mission Federal Credit Union 112,769.45 $ 276,182.83 $ 

$ 

MorEquity, Inc. 345,841.21 $ 2,305,003.00 $ 

$ 

Mortgage Center LLC 277,389.02 $ 438,329.54 $ 

$ 

Mortgage Investors Group 4,916.67 $ - $ 

$ 

National City Bank 11,309,871.23 $ 17,295,249.42 $ 

$ 

Nationstar Mortgage LLC 145,185,853.76 $ 322,316,653.57 $ 

$ 

Navy Federal Credit Union 1,199,510.11 $ 3,031,415.06 $ 

$ 

New Penn Financial, LLC dba Shellpoint Mortgage Serv $ 5,293,419.90 2,412,070.44 $ 

$ 

New York Community Bank 53,978.29 $ 87,407.29 $ 

$ 

NJ Housing & Mortgage Finance 46,454.01 $ 

$ 

Oakland Municipal Credit Union - $ 3,568.11 $ 

$ 

Ocwen Loan Servicing, LLC 449,840,112.78 $ 1,499,232,413.72 $ 

$ 

ORNL Federal Credit Union 30,941.19 $ 51,833.18 $ 

$ 

OwnersChoice Funding, Incorporated 83,698.72 $ 211,244.75 $ 

$ 

Park View Federal Savings Bank 11,000.00 $ 23,936.55 $ 

$ 

Pathfinder Bank 8,417.47 $ 15,899.94 $ 

$ 

PennyMac Loan Services, LLC 10,071,057.10 $ 34,955,058.87 $ 

$ 

PHH Mortgage Corporation 104,404.24 $ 129,137.21 $ 

$ 

Plaza Home Mortgage, Inc 9,916.67 $ - $ 

$ 

PNC Bank, National Association 330,291.80 $ 1,819,901.92 $ 

$ 

Purdue Federal Credit Union 4,000.00 $ 3,446.04 $ 

$ 

Quantum Servicing Corporation 133,393.34 $ 332,061.47 $ 

$ 

Quicken Loans, Inc. 9,916.67 $ - $ 

$ 

Residential Credit Solutions, Inc. 5,445,055.19 $ 10,229,624.64 $ 

$ 
Name of Institution Borrowers Lenders / Investors 

Resurgent Capital Services L.P. 708,326.40 $ 1,696,730.62 $ 

$ 

RG Mortgage 164,852.94 $ 227,582.28 $ 

$ 

RoundPoint Mortgage Servicing Corporation 432,394.14 $ 953,859.69 $ 

$ 

Rushmore Loan Management Services LLC 9,164,746.67 $ 12,149,377.86 $ 

$ 

Saxon Mortgage Services Inc 19,655,074.77 $ 41,738,413.24 $ 

$ 

Schools Financial Credit Union 38,083.37 $ 77,517.19 $ 

$ 

Scotiabank de Puerto Rico 955,278.38 $ 831,258.34 $ 

$ 

Select Portfolio Servicing, Inc. 194,771,608.28 $ 338,969,521.15 $ 

$ 

Selene Finance LP 1,678,073.52 $ 1,133,250.38 $ 

$ 

Seneca Mortgage Servicing LLC 82,137.66 $ 298,939.89 $ 

$ 

Servis One, Inc. dba BSI Financial Services 6,454,439.69 $ 8,404,006.10 $ 

$ 

ShoreBank 49,915.10 $ 153,906.17 $ 

$ 

Silver State Schools Credit Union 40,355.90 $ 176,298.89 $ 

$ 

SN Servicing Corporation 16,935.96 $ 33,974.32 $ 

$ 

Specialized Loan Servicing LLC 25,718,026.47 $ 47,346,762.74 $ 

$ 

Statebridge Company, LLC 59,025.24 $ 209,467.71 $ 

$ 

Sterling Savings Bank 326,131.40 $ 617,561.15 $ 

$ 

SunTrust Mortgage, Inc 110,871.69 $ 3,459.83 $ 

$ 

Technology Credit Union 75,333.33 $ 253,675.54 $ 

$ 

The Bryn Mawr Trust Company 29,316.16 $ 18,315.73 $ 

$ 

The Golden 1 Credit Union 557,883.93 $ 1,490,637.82 $ 

$ 

U.S. Bank National Association 26,757,685.56 $ 47,115,348.50 $ 

$ 

United Bank 2,916.67 $ 2,651.90 $ 

$ 

United Bank Mortgage Corporation 111,028.89 $ 96,041.92 $ 

$ 

Urban Partnership Bank 249,704.09 $ 390,534.79 $ 

$ 

ViewPoint Bank - $ 1,533.47 $ 

$ 

Wachovia Mortgage, FSB - $ 76,889.58 $ 

$ 

Webster Bank, N.A. 10,000.00 $ - $ 

$ 

Wells Fargo Bank, N.A. 477,496,265.84 $ 1,088,828,582.83 $ 

$ 

Wescom Central Credit Union 472,676.47 $ 934,152.93 $ 

$ 

Western Federal Credit Union 28,166.68 $ 70,496.27 $ 

$ 

Wilshire Credit Corporation - $ 490,394.10 $ 

$ 

Yadkin Valley Bank 34,467.46 $ 37,131.25 $ 

$ 

Grand Total 2,807,785,941.28 $ $ 6,792,049,756.07 $ 
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 Authority 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 

1/ The purchase will be incrementally funded up to the investment amount.2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

TOT

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
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 8,117,000,000 $ 

2 3/4/2013 $ 3 3/31/2015 $ 

3/ On March 31, 2015, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 2 to the L/C Facility Agreement. Amendments included reducing the maxapproximately two years the term of the L/C and the period of time Treasury has to increase the L/C to cover new loans entered into the program; and modifying the structure of admin

TOTAL INVESTMENT AM

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the mortgages refinanced under the FHA Short Refinance program during the 

at the then-current level. Under the terms of the L/C Facility Agreement, Treasury could incur fees for the availability and usage of the L/C up to a maximum amount of $117 million.

2/ On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the maximum amount of t

time Treasury has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new fee structure and availability and usage of the L/C will not exceed $25 million.

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 

Initial Investment 

Amount

In

Ad
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(

For Period Ending October 31, 2015

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance conentered 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 October 31, 2015

Type of Expense A

Compensation for financial agents and legal firms $1,20
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)

For Period Ending October 31, 2015

Date Vehicle Descr

None
HAMP Application Activity by Servicer 1

As of September 2015

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 4,907 4,169 282 3,887 1,462,563 1,449,749 584,989 864,760

BankUnited 16 12 12 - 10,150 9,807 4,873 4,934

Bayview Loan Servicing, LLC 2,273 1,697 688 1,009 66,060 61,999 17,994 44,005

Carrington Mortgage Services, LLC 755 766 78 688 92,917 92,666 26,023 66,643

CCO Mortgage, a division of RBS Citizens NA 396 391 35 356 35,843 35,436 6,639 28,797

CIT Bank, NA6 119 116 28 88 386,867 386,589 103,364 283,225

CitiMortgage Inc 2,342 1,666 137 1,529 603,659 588,626 192,728 395,898

Ditech Financial LLC7 669 784 183 601 112,245 109,888 43,146 66,742

JPMorgan Chase Bank, NA 5,387 4,879 643 4,236 1,808,909 1,787,716 446,087 1,341,629

Nationstar Mortgage LLC 7,917 8,067 1,564 6,503 552,793 544,531 114,530 430,001

Navy Federal Credit Union 163 159 13 146 13,704 13,470 2,371 11,099

Ocwen Loan Servicing, LLC 11,903 10,062 2,947 7,115 1,534,245 1,484,969 464,074 1,020,895

ORNL Federal Credit Union 10 9 - 9 698 697 56 641

PennyMac Loan Services, LLC 91 145 50 95 22,851 22,682 6,343 16,339

PNC Bank NA8 338 344 47 297 48,923 48,812 28,702 20,110

Residential Credit Solutions, Inc. 539 524 13 511 40,126 39,826 4,881 34,945

Select Portfolio Servicing, Inc. 3,530 3,235 1,052 2,183 252,453 230,051 120,119 109,932

Specialized Loan Servicing LLC 2,734 2,532 370 2,162 94,415 89,874 16,292 73,582

U.S. Bank National Association 1,447 1,477 200 1,277 148,843 147,942 46,434 101,508

Wells Fargo Bank, NA 7,327 6,773 969 5,804 1,536,370 1,509,729 440,779 1,068,950

Other Servicers9 - - - - 170,842 170,842 106,111 64,731

TOTAL 52,863 47,807 9,311 38,496 8,995,476 8,825,901 2,776,535 6,049,366

Activity in September 2015 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. Servicers regularly perform evaluation and refinement of reporting, which can lead to updating of Program-to-Date results. 

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. Due to the ongoing implementation of the mortgage servicing rules and refinement of reporting, some servicers have updated Program-to-Date results 

to better reflect HAMP Application Activity. 

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 OneWest Bank.

7 Formerly GreenTree Servicing LLC.

8 Includes both PNC Bank, NA and PNC Mortgage, formerly National City Bank.

9 Includes servicers that are no longer actively participating in the survey process or those whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only 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).