Confidential Draft – For Discussion Purposes Only

October 7, 2009

TROUBLED ASSETS RELIEF PROGRAM

EIGHTH TRANCHE REPORT TO CONGRESS

This report to Congress is pursuant to Section 105(b)

of the Emergency Economic Stabilization Act of 2008.
Eighth Tranche Report October 7, 2009

1

I. Introduction 

This Eighth Tranche Report to Congress1

 meets the requirement for reporting at the $450 billion 

commitment level under section 105(b) of the Emergency Economic Stabilization Act of 2008 

(EESA) for the period of May 28, 2009 through September 30, 2009. Transactions during the 

reporting period include a number of measures completed under the Automotive Industry 

Financing Program (AIFP), Home Affordable Mortgage Program (HAMP), Capital Purchase 

Program (CPP), and Legacy Securities Public-Private Investment Program (S-PPIP), bringing 

the total amount of transactions to $454.25 billion. The Treasury Department (Treasury) will 

submit the next Tranche Report when total Troubled Asset Relief Program (TARP) obligations 

reach $500 billion. 

Figure 1: Additional TARP funds committed for the period of 

May 28, 2009 through September 30, 2009 by TARP program 

TARP Program 

Maximum Announced Funding Obligations 

5/28/2009 9/30/2009 5/28/2009 9/30/2009 Additional 

Commitment 

CPP $218.00 $218.00 $199.31 $204.62 $5.31

AIFP $55.15 $82.59 $55.15 $81.05 $25.90

HAMP $50.00 $50.00 $15.07 $27.07 $12.00

PPIP $100.00 $100.00 $0.00 $6.67 $6.67

CBLI (TALF) $70.00 $70.00 $20.00 $20.00 $0.00

AGP $12.50 $5.00 $5.00 $5.00 $0.00

TIP $40.00 $40.00 $40.00 $40.00 $0.00

AIG $70.00 $70.00 $69.84 $69.84 $0.00

$49.88

Total Funding Obligations: 404.37 $454.25

Notes: 

The Seventh Tranche Report was issued on June 3, 2009 for the period April 18, 2009 through May 27, 2009, and 

the additional commitment from $376.7 to $404.37 billion. 

Amounts stated above do not reflect $1.244 billion of TARP funds to offset costs of program changes mandated by 

the Helping Families Save their Homes Act of 2009, and the additional $15 million allocated for administrative 

expenditures relating to the Special Inspector General for the Troubled Asset Relief Program (SIGTARP). 

CBLI (TALF) represents the Consumer Business Lending Initiative (Term Asset-Backed Securities Loan Facility), 

AGP represents the Asset Guarantee Program, TIP represents the Targeted Investment Program and AIG 

represents investment in AIG. 

Maximum announced funds for AGP decreased following the termination on September 21, 2009 of negotiations 

with Bank of America concerning the asset guarantee arrangement announced on January 15, 2009. 

                                                           

1 Pursuant to section 105(b)(2) of EESA, the Report addresses the following areas: (A) a description of all the 

transactions made during the reporting period; (B) a description of the pricing mechanism for the transactions; (C) a 

justification of the price paid for, and other financial terms associated with, the transactions; (D) a description of the 

impact of the exercise of such authority on the financial system; (E) a description of the challenges that remain in the 

financial system, including any benchmarks yet to be achieved; and (F) an estimate of additional actions under the 

authority provided pursuant to the EESA that may be necessary to address such challenges. 
Eighth Tranche Report October 7, 2009

Figure 2: Additional TARP funds committed for the period of May 28, 2009 through 

September 30, 2009 by TARP program 

 

$0.00 $50.00 $100.00 $150.00 $200.00 $250.00

Exceptional 

Assistance

AGP

CBLI (TALF)

PPIP

HAMP

AIFP

CPP

As of 9/30/2009

As of 5/28/2009 

($ billion)

AIFP

$25.90

PPIP

$6.67

HAMP

$12.00

CPP

$5.31

($ billion)

 

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Eighth Tranche Report October 7, 2009

II. Transaction Information by Program 

This Eighth Tranche Report describes transactions under four programs: the Automotive 

Industry Financing Program, the Home Affordable Modification Program, the Capital Purchase 

Program and the Securities Public-Private Investment Partnership. Since Treasury’s Seventh 

Tranche Report to Congress, submitted to Congress on June 3, 2009 for the period April 18, 

2009 through May 27, 2009 for the additional commitment from $376.7 to $404.37 billion, 

Treasury has committed $49.88 billion in transactions under those programs. A report listing all 

TARP transactions closed during the reporting period is attached as the Appendix and is posted 

on Treasury’s web site. 

Automotive Industry Financing Program 

The Automotive Industry Financing Program (AIFP) was designed to prevent a significant 

disruption of the American automotive industry, which would have a negative effect on financial 

market stability and the U.S. economy generally. Treasury has provided approximately $76 

billion in loans and equity investments to General Motors, GMAC, Chrysler, and Chrysler 

Financial.  

Chrysler 

On January 2, 2009, Treasury loaned $4 billion to Chrysler Holding to allow the company time to 

implement a viable restructuring plan. On March 30, the Administration determined that the 

business plan submitted by Chrysler failed to demonstrate viability and announced that in order 

for Chrysler to receive additional taxpayer funds, it needed to find a partner with whom it could 

establish a successful alliance. Chrysler made the determination that forming an alliance with 

Fiat was the best course of action for its stakeholders. Treasury continued to support Chrysler 

as it formed an alliance with Fiat. In connection with Chrysler’s bankruptcy proceedings filed on 

April 30, 2009, Treasury provided an additional $1.9 billion under a debtor-in-possession 

financing agreement to assist Chrysler in an orderly restructuring. 

On June 10, 2009, pursuant to a court-approved order, substantially all of Chrysler’s assets 

were sold to the newly formed entity, Chrysler Group LLC (New Chrysler). Treasury committed 

to loan $6.6 billion to New Chrysler in working capital funding, and as of September 30, 2009, 

New Chrysler has drawn $4.6 billion of this amount. New Chrysler also assumed $500 million of 

old Chrysler’s initial loans from Treasury. When the sale to New Chrysler was completed, 

Treasury acquired the rights to 9.9% of the common equity in New Chrysler. 

The original loans to Chrysler Holding, less $500 million of debt that was assumed by New 

Chrysler, remain outstanding and are in default. In July 2009, Chrysler Holding agreed to pay 

the greater of $1.375 billion or 40% of the equity value of Chrysler Financial to Treasury should 

Chrysler Holding receive certain distributions from Chrysler Financial and Treasury agreed to 

certain forbearance with respect to Chrysler Holding’s loans. 

As of September 30, 2009, Treasury owned 9.9% of the equity in, and was owed $5.1 billion of 

debt, from New Chrysler. Current equity ownership in New Chrysler is as follows: the Chrysler 

Voluntary Employee Benefit Association (VEBA) (67.7%), Fiat (20%), Treasury (9.9%) and the 

Government of Canada (2.5%). 

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Eighth Tranche Report October 7, 2009

Chrysler Financial 

On January 16, 2009, Treasury announced that it would lend up to $1.5 billion to a special 

purpose vehicle (SPV) created by Chrysler Financial to enable the company to finance the 

purchase of Chrysler vehicles by consumers. To satisfy the EESA warrant requirement, the 

Chrysler Financial SPV issued additional notes entitling Treasury to an amount equal to five 

percent of the maximum loan amount. Twenty percent of those notes vested upon the closing 

of the transaction and additional notes were to vest on each anniversary of the transaction 

closing date. The loan was fully drawn by April 9, 2009. On July 14, 2009, Chrysler Financial 

fully repaid the loan, including the vested additional notes and interest. 

General Motors 

On December 31, 2008, Treasury agreed to make loans of $13.4 billion to General Motors 

Corporation to fund working capital. Under the loan agreement, GM was also required to 

implement a viable restructuring plan by March 30, 2009. The first plan GM submitted failed to 

establish a credible path to viability, and the deadline was extended to June 1. Treasury loaned 

an additional $6 billion to fund GM during this period. To achieve an orderly restructuring, GM 

filed bankruptcy proceedings on June 1, 2009. Treasury provided $30.1 billion under a debtorin-possession financing agreement to assist GM through the restructuring period. The new 

entity, General Motors Company (New GM), began operating on July 10, 2009, following its 

purchase of most of the assets of Old GM. 

When the sale to New GM was completed on July 10, 2009, Treasury converted most of its 

loans, except for $986 million, which remained for the benefit of Motors Liquidation Company 

(old GM), to 60.8% of the common equity in New GM and $2.1 billion in preferred stock. New 

GM assumed a portion of the debtor-in-possession financing loan in the amount of $7.07 billion 

of which $361 million relating to the warranty program amount has been repaid. As of 

September 30, 2009, New GM has the following ownership: Treasury (60.8%), GM Voluntary 

Employee Beneficiary Association (VEBA) (17.5%), the Canadian Government (11.7%), and 

Old GM’s unsecured creditors (10%). 

GMAC 

On December 29, 2008, Treasury purchased $5 billion in senior preferred equity from GMAC 

LLC, and received an additional $250 million in preferred shares through warrants that Treasury 

exercised at closing. At the same time, Treasury also agreed to lend up to $1 billion of TARP 

funds to GM (one of GMAC’s owners), to enable GM to purchase additional ownership interests 

in GMAC’s rights offering. GM drew $884 million under that commitment on January 16, 2009. 

On May 21, 2009, Treasury purchased $7.5 billion more of preferred shares from GMAC and 

received warrants that Treasury exercised at closing for an additional $375 million in preferred 

shares. 

On May 29, 2009, Treasury exercised its option to exchange the $884 million loan it had made 

to GM in January 2009 for about 35 percent of the common membership interests in GMAC. As 

of September 30, 2009, Treasury owns $13.1 billion in preferred shares in GMAC, through 

purchases and the exercise of warrants, in addition to 35% of the common equity in GMAC. At 

the option of the Federal Reserve, it is possible that additional preferred shares could be 

converted in the future to permit GMAC to increase its tangible common capital ratio; if all of 

such preferred shares were converted, Treasury would own up to a maximum of a 79.8% voting 

interest in GMAC. 

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Eighth Tranche Report October 7, 2009

Auto Warranty Commitment Program 

As of July 10, 2009, the Auto Warranty Commitment Program was terminated after New 

Chrysler and New GM completed the purchase of substantially all of the assets of GM and 

Chrysler from their respective bankruptcies. The principal amounts advanced under the 

respective programs have been repaid to Treasury. 

Auto Supplier Support Program 

The loans Treasury made under the Auto Supplier Support Program (ASSP) remain 

outstanding. Commitments to the borrowers, entities now owned by Chrysler Group LLC and 

General Motors Company, decreased as of July 1, 2009 to base commitments of $1.0 billion 

and $2.5 billion, respectively. 

Interest and Dividend Payments 

During the reporting period, Treasury received $317.01 million in dividend and interest 

payments from participants in the AIFP and ASSP. As of September 30, 2009, Treasury had 

received a total of $676.77 million in dividend and interest payments from participants in the 

AIFP and ASSP since the inception of the programs. 

Details about the AIFP are available on Treasury’s website at: 

http://www.financialstability.gov/roadtostability/autoprogram.html

Capital Purchase Program 

Treasury established the Capital Purchase Program in October 2008 to stabilize the 

financial system by building the capital base of viable U.S. financial institutions, enabling 

them to continue lending to businesses and consumers during this unprecedented financial 

crisis and economic downturn. Under the CPP, Treasury has purchased senior preferred 

shares from qualifying U.S. controlled banks, savings associations, and certain bank and 

savings and loan holding companies. Treasury also has purchased subordinated debentures 

from Subchapter S-corporations. 

Since Treasury’s Seventh Tranche Report to Congress dated June 3, 2009, Treasury has 

purchased $5.304 million in senior preferred shares and subordinated debentures from 81 

institutions, bringing the total amount of funds invested under the CPP to $204.62 billion. 

Figure 3: CPP Snapshot through September 30, 2009 

CPP Investments

From 5/28/2009 through 9/30/2009: $5.304 billion to 81 banks 

Total amount invested since October 2008: $ 204.618 billion 

CPP investments repaid since October 2008: $70.717 billion 

CPP Banks

Number of institutions that have received CPP investment: 685

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Eighth Tranche Report October 7, 2009

Number of institutions that have repaid CPP investment: 42* 

Number of institutions currently participating in CPP: 646* 

*Including partial investments/repayments 

CPP Facts

Participation across the US: 

Banks in 48 states, the District of Columbia and Puerto Rico 

Largest Investment: $ 25 billion 

Smallest Investment: $ 301,000

Interest and Dividend Payments, Repurchases 

Treasury receives dividend or interest payments on its CPP investments. Some of the banks 

that received investments under CPP have repaid Treasury. When a bank repays, it is typically 

also required to pay any accrued and unpaid dividends or interest. Treasury continues to work 

with federal banking regulators to evaluate requests from CPP participants interested in 

repaying Treasury. 

Treasury also receives warrants in connection with most of its investments. When a publicly 

traded bank repays Treasury for a preferred stock investment, the bank has the right to 

repurchase its warrants. The warrants do not trade on any market and do not have observable 

market prices. If the bank wishes to repurchase its warrants, an independent valuation process 

is used to establish fair market value. If an institution chooses not to repurchase its warrants, 

Treasury is entitled to sell them. Treasury is currently developing an auction process to sell 

warrants of banks that have elected not to repurchase their warrants. Privately held banks that 

received CPP funds issued Treasury a warrant for additional shares of preferred stock, which 

Treasury immediately exercised. Any proceeds from the repurchases of shares acquired from a 

warrant are included as cash received from sales of warrants in the chart below. 

Figure 4: Cash received from CPP investments for the period from May 28, 2009 through 

September 30, 2009 

5/28 – 9/30/2009 Total since inception

Dividends, Interest and Fees: $2.28 billion $6.80 billion

Repayments of Principal: $68.95 billion $70.72 billion

Warrant Proceeds*: $2.89 billion $2.90 billion

Total: $74.11 billion $80.42 billion

* Includes proceeds from the repurchase of shares received through the exercise of 

warrants. 

6

Information in the chart above includes repayments by nine of the largest U.S. financial 

institutions participating in the CPP and subject to the Supervisory Capital Assessment Program 

(SCAP) exercise that, as announced by Treasury on June 9, 2009, had met the requirements 

for repayment established by the primary federal banking supervisors. 
Eighth Tranche Report October 7, 2009

On July 23, 2009 and July 30, 2009, pursuant to its June 9, 2009 exchange agreement with 

Citigroup Inc., Treasury exchanged a total of $25 billion of its Fixed Rate Cumulative Perpetual 

Preferred Stock, Series H (CPP Shares) for Series M Common Stock Equivalent (“Series M”) 

and a warrant to purchase shares of common stock. (Treasury also exchanged all of its Fixed 

Rate Cumulative Perpetual Preferred Stock, Series I (TIP Shares) and Series G (AGP Shares) 

“dollar for dollar” for $24 billion of trust preferred securities, which pay 8% interest.) On 

September 11, 2009, Series M automatically converted to common stock at a price per share of 

$3.25 and the associated warrant terminated on receipt of certain shareholder approvals. 

Details on the Capital Purchase Program are available at 

http://www.financialstability.gov/roadtostability/capitalpurchaseprogram.html. 

Home Affordable Modification Program 

Making Home Affordable, a comprehensive program to stabilize the U.S. housing market, was 

first announced by the Administration on February 18, 2009 as part of its Homeowner 

Affordability and Stability Plan. Using TARP funds, Treasury provides incentives for mortgage 

servicers, borrowers and investors to modify loans that are delinquent or at imminent risk of 

default to an affordable monthly payment equal to 31 percent of a borrower’s gross monthly 

income. Borrowers must be owner occupants and demonstrate the ability to support the 

reduced payment during a three month trial period before the modification becomes permanent. 

Servicer funding for the Home Affordable Modification Program, a component of Making Home 

Affordable, began in April 2009. On September 30, 2009, 63 servicers have executed Servicer 

Participation Agreements (49 during this reporting period) and more than $27 billion (of a total 

potential allocation of $50 billion) has been committed to implement the program. The 

participants that have entered into Servicer Participation Agreements service loans that are 

owned by the servicer or serviced on behalf of other investors (but not loans owned or 

guaranteed by Fannie Mae or Freddie Mac (the “GSEs” or “government sponsored 

enterprises”)). However, HAMP includes both GSE and non-GSE mortgages. Between loans 

serviced by the participants that have entered into Servicer Participation Agreements, and loans 

that are owned or securitized by the GSEs, more than 85 percent of all mortgage loans are now 

covered by the Making Home Affordable Program. 

Participating servicers must enter into the Servicer Participation Agreements with Fannie Mae, 

which is Treasury’s financial agent for the program, on or before December 31, 2009. 

Borrowers may be accepted into the program if a borrower has made the first trial period 

payment on or before December 31, 2012, under a Home Affordable Modification Trial Period 

Plan Notice delivered to a borrower. Modifications will continue for five years from starting date 

of modification, and incentive payments will continue to be paid out over that period. 

On July 31, 2009, as part of an ongoing effort to expand relief to struggling homeowners, 

Treasury released the Supplemental Directive for its Home Price Decline Protection (HPDP) 

program, a component of HAMP. HPDP provides additional incentive payments for 

modifications on properties located in areas where home prices have recently declined. The 

purpose of the program is to encourage additional lender participation and HAMP modifications 

in areas with recent price declines by helping to offset any incremental collateral loss on 

modifications that do not succeed. 

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Eighth Tranche Report October 7, 2009

Figure 10: Home Affordable Modification Program (HAMP) 

Snapshot through August 31, 2009 

Number of Requests for Financial Information Sent to 

Borrowers (Cumulative) 

1,883,108 

Number of Trial Period Plan Offers Extended to 

Borrowers (Cumulative) 

571,354 

Number of Trial Modification Started (Cumulative) 360,165 

Treasury expects the Making Home Affordable monthly report for September to be available by 

October 8, 2009. 

During the reporting period, Treasury has had frequent contact with the servicers to discuss 

ways of increasing borrower participation in HAMP. At a meeting with participating servicers on 

July 28, 2009, servicers committed to reaching a cumulative target of 500,000 trial modifications 

by November 1, 2009. Participating servicers also agreed to work with Treasury to implement 

actions designed to improve program effectiveness, including the streamlining of application 

documents. In addition, Treasury has focused on transparency and servicer accountability by 

publicly reporting servicer-specific results on a monthly basis. Treasury is also working to 

establish specific operational metrics to measure the performance of each servicer. 

Details on the Home Affordable Modification Program are available at 

http://www.financialstability.gov/roadtostability/homeowner.html. 

More information on the Making Home Affordable programs is available on the website 

http://www.makinghomeaffordable.gov

Legacy Securities Public-Private Investment Program 

To promote financial stability and improve the functioning of the financial system, Treasury, in 

conjunction with the Federal Reserve and FDIC, announced the Public-Private Investment 

Program in March 2009 as part of the Financial Stability Plan. PPIP also included a program for 

legacy loans, to be administered by the FDIC. Treasury and the FDIC continue to evaluate 

applications of the legacy loans purchase program. The Legacy Securities PPIP (S-PPIP) is 

intended to address the problem of legacy real estate-related assets, support market functioning 

and facilitate price discovery in the market for mortgage-backed securities (MBS), allowing 

banks and other financial institutions to re-deploy capital and extend new credit to households 

and businesses. Both residential and commercial MBS are pools of mortgages bundled 

together by financial institutions, and rights to receive a portion of the cash generated by the 

pools are sold as securities in the financial markets. The term “legacy assets” generally refers 

to loans, asset-backed securities and other types of assets that were originated or issued before 

the financial markets for these types of assets deteriorated significantly in 2008. 

Under S-PPIP, Treasury will invest up to $30 billion with nine pre-qualified fund managers to 

purchase non-agency residential and commercial MBS. Treasury will provide equity and debt 

financing to investment funds (Public-Private Investment Funds, or PPIFs) to be formed by the 

fund managers, with a PPIF life of eight to ten years. Treasury will provide one-half of the total 

PPIF equity investment, provided that fund managers raise at least $500 million of private 

capital for a PPIF. Following the initial closing, each fund manager will have up to six months 

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Eighth Tranche Report October 7, 2009

and two subsequent closings to raise additional private capital. Treasury’s maximum equity 

obligation in a PPIF is $1.11 billion. Treasury also will make a loan to each PPIF, up to a 

maximum of 100% of the PPIF’s total committed equity capital, and Treasury’s maximum debt 

financing obligation to a PPIF would be $2.22 billion. The loan will earn interest and have a 

maturity that matches the life of the PPIF. Fund managers will retain discretion over the PPIF’s 

investments. 

In July 2009, following receipt of over 100 unique applications to participate in S-PPIP, Treasury 

pre-qualified nine fund managers with extensive experience in legacy assets to participate in the 

program. In addition, these firms have committed to establishing partnerships with small, 

minority-, and women-owned businesses. 

On September 30, 2009, Treasury made initial S-PPIP investment commitments with two of the 

fund managers and Treasury committed a maximum of $1.11 billion of equity capital together 

with $2.22 billion of debt financing to each PPIF. 

Treasury carefully designed the S-PPIP terms to protect the interests of taxpayers. Fund 

managers may not acquire assets from or sell assets to their affiliates or any other PPIF fund 

manager or private investor that has committed at least ten percent of the aggregate private 

capital raised by such fund manager. Fund managers must submit regular monthly reports 

about assets purchased, assets disposed, asset values, and profits and losses. Due to the 

possibility of actual or potential conflicts of interest inherent in any market-based investment 

program, fund managers also must agree to abide by ethical standards and conflicts of interest 

rules developed by Treasury. In developing these requirements, Treasury worked closely with, 

among others, the staff of the SIGTARP and the Federal Reserve. A description of the S-PPIP 

conflicts of interest rules is contained the Financial Stability Oversight Board Quarterly Report 

for the period ended June 30, 2009 available at 

http://www.financialstability.gov/docs/FSOB/FINSOB-Qrtly-Rpt-063009.pdf

Details on the Legacy Securities Public-Private Investment Program are available at 

http://www.financialstability.gov/roadtostability/publicprivatefund.html

III. Impact, Remaining Challenges, and Additional Actions 

Impact of the Programs 

Automotive Industry Financing Program 

AIFP loans helped to enable General Motors and Chrysler to go through orderly bankruptcies. 

The New GM emerged from bankruptcy on July 10, 2009 following the emergence from 

bankruptcy of the new Chrysler Group LLC in June. Chrysler’s business was restructured 

through the bankruptcy process in 42 days, and GM’s bankruptcy restructuring process lasted 

40 days. On July 13, 2009, Treasury announced the scaling back of the Auto Task Force’s 

involvement in the auto industry. 

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Eighth Tranche Report October 7, 2009

Capital Purchase Program – Lending Survey Activity 

Each month, Treasury asks banks participating in the CPP to provide information about their 

lending activities and publishes the results in two reports described below. During the reporting 

period, Treasury released three new Snapshots, covering the period extending from May 

through July 2009, and three monthly Lending Reports, covering the period from May through 

July 2009. These two reports are intended to help the public easily assess the lending and 

intermediation activities of participating banks. 

Monthly Lending and Intermediation Snapshots 

This monthly report gathers and provides data on the lending and other intermediation activities 

for the 22 largest financial institutions that received TARP investments under the CPP. In 

September 2009, Treasury released the following information on July lending: 

• The overall outstanding loan balance (of all respondents) fell one percent from June to 

July at the top 22 participants in the Capital Purchase Program (CPP), due mainly to 

decreased demand from borrowers, payment of outstanding debt, and charge-offs by 

banks. 

• Total origination of new loans at the 22 surveyed institutions decreased ten percent from 

June to July. In July, the 22 surveyed institutions originated approximately $282 billion in 

new loans. Total originations of loans by all respondents rose in one category (other 

consumer lending products), fell in six loan categories (mortgages, home equity lines of 

credit (HELOCs) commercial and industrial (C&I) new commitments, and commercial 

real estate (CRE) renewals and new commitments), and were flat in one category (C&I 

renewals). 

CPP Monthly Lending Report 

This monthly lending report provides data on consumer lending, commercial lending, and total 

lending for all CPP participants. 

All CPP Recipients 

Date Number of 

Respondents 

Total Average 

Consumer 

Loans 

Total Average 

Commercial 

Loans 

Total Average 

Total Loans 

2/28/2009 521 $2,898,031 $2,380,692 $5,278,662

3/31/2009 553 $2,885,646 $2,353,047 $5,239,745

4/30/2009 540 $2,852,671 $2,329,547 $5,182,212

5/31/2009 580 $2,840,877 $2,337,524 $5,178,418

6/30/2009 559 $2,811,850 $2,429,520 $5,241,370

6/30/2009 

(Adjusted) 547 $2,790,775 $2,295,090 $5,085,866

7/31/2009 552 $2,789,506 $2,297,268 $5,086,775

7/31/2009 

(Adjusted) 547 $2,764,873 $2,261,140 $5,026,014

Change (June Adjusted to July 

Adjusted) -0.94% -1.50% -1.19%

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Eighth Tranche Report October 7, 2009

 

Details on the Bank Lending Surveys are available at 

http://www.financialstability.gov/impact/surveys.htm. 

The Quarterly Capital Purchase Program Report 

To understand better how the CPP and other stabilization initiatives launched by the Federal 

Government may have affected financial institutions and their activities, an interagency group 

was convened to determine and conduct appropriate analyses. This interagency group consists 

of representatives from Treasury, the Federal Deposit Insurance Corporation, the Federal 

Reserve Board, the Office of the Comptroller of the Currency, and the Office of Thrift 

Supervision. 

This interagency group has produced a summary of key statistics on lending, funding, and 

capital levels of institutions receiving TARP capital. The banks are grouped into CPP 

participants and non-CPP participants for the analysis. In August, Treasury released the 

Quarterly Analysis of Institutions in the Capital Purchase Program for the first quarter of 2009 

(2009 Q1). 

Beginning in October, Treasury will expand the report in response to suggestions from 

SIGTARP for reporting on use of funds. 

Details on the Quarterly Capital Purchase Program Reports are available at 

http://www.financialstability.gov/impact/CPPreport.html

Home Affordable Modification Program 

The HAMP is well underway. Since inception of the program, the number of trial plans offered 

to borrowers has increased each week, as has the number of trial modifications started. In 

addition, Treasury has focused on transparency and servicer accountability by publicly reporting 

servicer-specific results on a monthly basis. See, http://www.financialstability.gov/docs/MHAPublic_090909.pdf. Likewise, the Home Price Decline Protection (HPDP) Program, a 

component of HAMP, is underway for HAMP modifications begun after September 1, 2009. 

Additional Actions 

The CPP remains open for investments in small banks, with terms aimed at encouraging 

participation by small community banks that are qualified financial institutions (QFIs) under CPP 

terms, with an application deadline of November 21, 2009. As stated above, Treasury 

continues to work with federal banking regulators to evaluate requests from CPP participants 

interested in repaying Treasury and Treasury is developing an auction process to sell warrants. 

During the reporting period, Treasury continued development of a program to purchase in the 

secondary market securities that are backed by the Small Business Administration (SBA) -

guaranteed portions of loans originated under section 7(a) of the Small Business Act. 

In addition to the two S-PPIP closings that took place on September 30, on October 1 and 

October 2, 2009, Treasury entered into S-PPIP transactions with three fund managers for 

additional commitments of $1.11 billion of equity capital and $2.22 billion of debt financing each. 

Treasury expects the remaining initial closings to occur throughout October 2009. 

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Eighth Tranche Report October 7, 2009

On September 21, 2009, negotiations were terminated with Bank of America concerning the 

asset guarantee arrangement announced in January 2009. In connection with that termination 

and in recognition of the benefits provided by entering into the term sheet for such arrangement, 

Bank of America paid the U.S. government $425 million. Planned TARP investments for the 

Asset Guarantee Program decreased from $12.5 billion to $5 billion. 

 

Remaining Challenges 

As a result of the financial crisis, the U.S. government has had to intervene in the economy in 

unprecedented ways. Treasury has several fundamental principles that govern its actions as a 

shareholder for the few entities in which it holds common shares. First, the U.S. government is 

a shareholder reluctantly and out of necessity. Treasury intends to dispose of its interests as 

soon as practicable, with the dual goals of achieving financial stability and protecting the 

interests of the taxpayers. Second, Treasury does not intend to be involved in the day-to-day 

management of any company. Its responsibility is to protect the taxpayers’ investment. Third, 

consistent with these goals, Treasury will take a commercial approach to the exercise of its 

rights as a shareholder. Treasury will vote only on four core matters: board membership; 

amendments to the charter and by-laws; liquidations, mergers and other substantial 

transactions; and significant issuances of common shares. 

The extraordinary financial programs put in place during this crisis will evolve in different ways 

depending on circumstances. These programs continue to make meaningful contributions to 

market confidence. Treasury will continue to implement programs under the TARP and the 

Financial Stability Plan pursuant to the goals of EESA. Every program established by Treasury 

under the TARP and Financial Stability Plan is aimed at stabilizing the financial system and 

restoring liquidity, enabling the flow of credit to consumers and businesses and restoring 

economic growth. These measures include actions to stabilize systemically important financial 

institutions, promote the availability of credit to consumers and small businesses, reduce 

preventable foreclosures, and promote the transparency of programs under the TARP. Given 

the critical role played by financial institutions and markets in the U.S. economy, financial 

stability is a necessary precondition to the resumption of normal economic activity. 

While there is no single action the U.S. government can take to end the financial market turmoil 

and the economic downturn, the authorities Congress provided to Treasury under the EESA 

dramatically expanded the tools available to Treasury to stabilize the financial system. Moving 

forward, Treasury is committed to ensuring that a financial crisis of this magnitude does not 

happen again. Treasury continues to work with the Federal regulators, Congress, and the 

Administration to lay out a new framework for a modern regulatory structure that will better 

enable the Federal Government to address future crises. Treasury is confident that its efforts to 

restore financial stability will lay a strong foundation for economic recovery and market stability. 

 

12
Eighth Tranche Report October 7, 2009

13

Appendix 

Transactions Report as of September 30, 2009 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

10/28/2008 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants 15,000,000,000 $ Par 

10/28/2008 The Bank of New York Mellon Corporation New York NY Preferred Stock w/ Warrants 3,000,000,000 $ Par 6/17/2

11 10/28/2008 Citigroup Inc. New York NY Common Stock 25,000,000,000 $ Par 

10/28/2008 The Goldman Sachs Group, Inc. New York NY Preferred Stock w/ Warrants 10,000,000,000 $ Par 6/17/2

10/28/2008 JPMorgan Chase & Co. New York NY Preferred Stock w/ Warrants 25,000,000,000 $ Par 6/17/210/28/2008 Morgan Stanley New York NY Preferred Stock w/ Warrants 10,000,000,000 $ Par 6/17/210/28/2008 State Street Corporation Boston MA Preferred Stock w/ Warrants 2,000,000,000 $ Par 6/17/2

10/28/2008 Wells Fargo & Company San Francisco CA Preferred Stock w/ Warrants 25,000,000,000 $ Par 11/14/2008 Bank of Commerce Holdings Redding CA Preferred Stock w/ Warrants 17,000,000 $ Par 11/14/2008 1st FS Corporation Hendersonville NC Preferred Stock w/ Warrants 16, $ Par 369,000

Transactions Report 

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

For Period Ending September 30, 2009

CAPITAL PURCHASE PROGRAM

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

11/14/2008 UCBH Holdings, Inc. San Francisco CA Preferred Stock w/ Warrants 298,737,000 $ Par 11/14/2008 Northern Trust Corporation Chicago IL Preferred Stock w/ Warrants 1,576,000,000 $ Par 6/17/2

11/14/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants 3,500,000,000 $ Par 11/14/2008 Broadway Financial Corporation Los Angeles CA Preferred Stock w/ Warrants 9,000,000 $ Par 

11/14/2008 Washington Federal Inc. Seattle WA Preferred Stock w/ Warrants 200,000,000 $ Par 5/27/2

11/14/2008 BB&T Corp. Winston-Salem NC Preferred Stock w/ Warrants 3, $ Par 6/17/2

133,640,000 

11/14/2008 Provident Bancshares Corp. Baltimore MD Preferred Stock w/ Warrants 151,500,000 $ Par 11/14/2008 Umpqua Holdings Corp. Portland OR Preferred Stock w/ Warrants 214,181,000 $ Par 11/14/2008 Comerica Inc. Dallas TX Preferred Stock w/ Warrants 2,250,000,000 $ Par 11/14/2008 Regions Financial Corp. Birmingham AL Preferred Stock w/ Warrants 3,500,000,000 $ Par 11/14/2008 Capital One Financial Corporation McLean VA Preferred Stock w/ Warrants 3,555,199,000 $ Par 6/17/211/14/2008 First Horizon National Corporation Memphis TN Preferred Stock w/ Warrants 866,540,000 $ Par 11/14/2008 Huntington Bancshares Columbus OH Preferred Stock w/ Warrants 1,398,071,000 $ Par 11/14/2008 KeyCorp Cleveland OH Preferred Stock w/ Warrants 2,500,000,000 $ Par 

6/3/2

9/23/2

11/14/2008 Zions Bancorporation Salt Lake City UT Preferred Stock w/ Warrants 1,400,000,000 $ Par 11/14/2008 Marshall & Ilsley Corporation Milwaukee WI Preferred Stock w/ Warrants 1,715,000,000 $ Par 11/14/2008 U.S. Bancorp Minneapolis MN Preferred Stock w/ Warrants 6,599,000,000 $ Par 6/17/2

11/14/2008 TCF Financial Corporation Wayzata MN Preferred Stock w/ Warrants 361,172,000 $ Par 4/22/2

11/21/2008 First Niagara Financial Group Lockport NY Preferred Stock w/ Warrants 184,011,000 $ Par 5/27/2

11/21/2008 HF Financial Corp. Sioux Falls SD Preferred Stock w/ Warrants 25,000,000 $ Par 6/3/2

11/21/2008 Centerstate Banks of Florida Inc. Davenport FL Preferred Stock w/ Warrants 27,875,000 $ Par 9/30/2

11/21/2008 City National Corporation Beverly Hills CA Preferred Stock w/ Warrants $ 400 000 000 Par

11/14/2008 Valley National Bancorp Wayne NJ Preferred Stock w/ Warrants 300,000,000 $ Par 

11/21/2008 City National Corporation Beverly Hills CA Preferred Stock w/ Warrants $ 400,000,000 Par

11/21/2008 First Community Bankshares Inc. Bluefield VA Preferred Stock w/ Warrants 41,500,000 $ Par 7/8/2

11/21/2008 Western Alliance Bancorporation Las Vegas NV Preferred Stock w/ Warrants 140,000,000 $ Par 

11/21/2008 Webster Financial Corporation Waterbury CT Preferred Stock w/ Warrants 400,000,000 $ Par 11/21/2008 Pacific Capital Bancorp Santa Barbara CA Preferred Stock w/ Warrants 180,634,000 $ Par 11/21/2008 Heritage Commerce Corp. San Jose CA Preferred Stock w/ Warrants 40,000,000 $ Par 11/21/2008 Ameris Bancorp Moultrie GA Preferred Stock w/ Warrants 52,000,000 $ Par 11/21/2008 Porter Bancorp Inc. Louisville KY Preferred Stock w/ Warrants 35, $ Par 000,000

11/21/2008 Banner Corporation Walla Walla WA Preferred Stock w/ Warrants 124,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

11/21/2008 Cascade Financial Corporation Everett WA Preferred Stock w/ Warrants 38,970,000 $ Par 11/21/2008 Columbia Banking System, Inc. Tacoma WA Preferred Stock w/ Warrants 76,898,000 $ Par 11/21/2008 Heritage Financial Corporation Olympia WA Preferred Stock w/ Warrants 24,000,000 $ Par 11/21/2008 First PacTrust Bancorp, Inc. Chula Vista CA Preferred Stock w/ Warrants 19,300,000 $ Par 11/21/2008 Severn Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants 23,393,000 $ Par 11/21/2008 Boston Private Financial Holdings, Inc. Boston MA Preferred Stock w/ Warrants 154,000,000 $ Par 11/21/2008 Associated Banc-Corp Green Bay WI Preferred Stock w/ Warrants 525,000,000 $ Par 11/21/2008 Trustmark Corporation Jackson MS Preferred Stock w/ Warrants 215,000,000 $ Par 11/21/2008 First Community Corporation Lexington SC Preferred Stock w/ Warrants 11,350,000 $ Par 11/21/2008 Taylor Capital Group Rosemont IL Preferred Stock w/ Warrants 104,823,000 $ Par 11/21/2008 Nara Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants 67,000,000 $ Par 

12/5/2008 Midwest Banc Holdings, Inc. Melrose Park IL Preferred Stock w/ Warrants 84,784,000 $ Par 12/5/2008 MB Financial Inc. Chicago IL Preferred Stock w/ Warrants 196,000,000 $ Par 12/5/2008 First Midwest Bancorp, Inc. Itasca IL Preferred Stock w/ Warrants 193,000,000 $ Par 12/5/2008 United Community Banks, Inc. Blairsville GA Preferred Stock w/ Warrants $ Par 180,000,000

12/5/2008 Wesbanco Bank Inc. Wheeling WV Preferred Stock w/ Warrants 75,000,000 $ Par 9/9/2

12/5/2008 Encore Bancshares Inc. Houston TX Preferred Stock w/ Warrants 34,000,000 $ Par 12/5/2008 Manhattan Bancorp El Segundo CA Preferred Stock w/ Warrants 1,700,000 $ Par 9/16/2

12/5/2008 Iberiabank Corporation Lafayette LA Preferred Stock w/ Warrants 90,000,000 $ Par 3/31/2

12/5/2008 Eagle Bancorp, Inc. Bethesda MD Preferred Stock w/ Warrants 38,235,000 $ Par 

12/5/2008 Sandy Spring Bancorp, Inc. Olney MD Preferred Stock w/ Warrants 83,094,000 $ Par 12/5/2008 Coastal Banking Company, Inc. Fernandina Beach FL Preferred Stock w/ Warrants 9,950,000 $ Par 

12/5/2008 East West Bancorp Pasadena CA Preferred Stock w/ Warrants 306,546,000 $ Par 12/5/2008 South Financial Group, Inc. Greenville SC Preferred Stock w/ Warrants $ Par 347,000,000

12/5/2008 Great Southern Bancorp Springfield MO Preferred Stock w/ Warrants 58,000,000 $ Par 12/5/2008 Cathay General Bancorp Los Angeles CA Preferred Stock w/ Warrants 258,000,000 $ Par 

12/5/2008 Southern Community Financial Corp. Winston-Salem NC Preferred Stock w/ Warrants 42,750,000 $ Par 

8/26/2

9/2/2

12/5/2008 First Defiance Financial Corp. Defiance OH Preferred Stock w/ Warrants 37,000,000 $ Par 12/5/2008 First Financial Holdings Inc. Charleston SC Preferred Stock w/ Warrants 65,000,000 $ Par 12/5/2008 Superior Bancorp Inc. Birmingham AL Preferred Stock w/ Warrants 69,000,000 $ Par 12/5/2008 Southwest Bancorp, Inc. Stillwater OK Preferred Stock w/ Warrants 70, $ Par 000,000

12 12/5/2008 Popular, Inc. San Juan PR Preferred Stock w/ Warrants 935,000,000 $ Par 

12/5/2008 Blue Valley Ban Corp Overland Park KS Preferred Stock w/ Warrants 21,750,000 $ Par 12/5/2008 Central Federal Corporation Fairlawn OH Preferred Stock w/ Warrants 7,225,000 $ Par 12/5/2008 Bank of Marin Bancorp Novato CA Preferred Stock w/ Warrants 28,000,000 $ Par 3/31/2

12/5/2008 Bank of North Carolina Thomasville NC Preferred Stock w/ Warrants 31, $ Par 260,00012/5/2008 Central Bancorp, Inc. Somerville MA Preferred Stock w/ Warrants 10, $ Par 000,00012/5/2008 Southern Missouri Bancorp, Inc. Poplar Bluff MO Preferred Stock w/ Warrants 9,550,000 $ Par 

12/5/2008 State Bancorp, Inc. Jericho NY Preferred Stock w/ Warrants 36,842,000 $ Par 12/5/2008 TIB Financial Corp Naples FL Preferred Stock w/ Warrants 37,000,000 $ Par 12/5/2008 Unity Bancorp, Inc. Clinton NJ Preferred Stock w/ Warrants 20,649,000 $ Par 12/5/2008 Old Line Bancshares, Inc. Bowie MD Preferred Stock w/ Warrants 7,000,000 $ Par 7/15/2

12/5/2008 FPB Bancorp, Inc. Port St. Lucie FL Preferred Stock w/ Warrants 5,800,000 $ Par 12/5/2008 CVB Financial Corp CA Preferred Stock w/ Warrants Ontario $ Par 130,000,000

12/5/2008 Sterling Financial Corporation Spokane WA Preferred Stock w/ Warrants 303,000,000 $ Par 12/5/2008 Oak Valley Bancorp Oakdale CA Preferred Stock w/ Warrants 13,500,000 $ Par 

12/12/2008 Old National Bancorp Evansville IN Preferred Stock w/ Warrants $ Par 3/31/2

100,000,000 

12/12/2008 Capital Bank Corporation Raleigh NC Preferred Stock w/ Warrants 41,279,000 $ Par 12/12/2008 Pacific International Bancorp Seattle WA Preferred Stock w/ Warrants 6,500,000 $ Par 12/12/2008 SVB Financial Group Santa Clara CA Preferred Stock w/ Warrants 235,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

12/12/2008 LNB Bancorp Inc. Lorain OH Preferred Stock w/ Warrants 25,223,000 $ Par 12/12/2008 Wilmington Trust Corporation Wilmington DE Preferred Stock w/ Warrants 330,000,000 $ Par 12/12/2008 Susquehanna Bancshares, Inc Lititz PA Preferred Stock w/ Warrants 300,000,000 $ Par 12/12/2008 Signature Bank New York NY Preferred Stock w/ Warrants 120,000,000 $ Par 3/31/2

12/12/2008 HopFed Bancorp Hopkinsville KY Preferred Stock w/ Warrants 18, $ Par 400,00012/12/2008 Citizens Republic Bancorp, Inc. Flint MI Preferred Stock w/ Warrants 300,000,000 $ Par 12/12/2008 Indiana Community Bancorp Columbus IN Preferred Stock w/ Warrants 21,500,000 $ Par 12/12/2008 Bank of the Ozarks, Inc. Little Rock AR Preferred Stock w/ Warrants 75,000,000 $ Par 12/12/2008 Center Financial Corporation Los Angeles CA Preferred Stock w/ Warrants 55,000,000 $ Par 

12/12/2008 NewBridge Bancorp Greensboro NC Preferred Stock w/ Warrants 52,372,000 $ Par 12/12/2008 Sterling Bancshares, Inc. Houston TX Preferred Stock w/ Warrants 125,198,000 $ Par 5/5/2

12/12/2008 The Bancorp, Inc. Wilmington DE Preferred Stock w/ Warrants 45,220,000 $ Par 12/12/2008 TowneBank Portsmouth VA Preferred Stock w/ Warrants 76,458,000 $ Par 12/12/2008 Wilshire Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants 62,158,000 $ Par 12/12/2008 Valley Financial Corporation Roanoke VA Preferred Stock w/ Warrants 16,019,000 $ Par 12/12/2008 Independent Bank Corporation Ionia MI Preferred Stock w/ Warrants 72,000,000 $ Par 12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/ Warrants 95, $ Par 000,00012/12/2008 First Litchfield Financial Corporation Litchfield CT Preferred Stock w/ Warrants 10,000,000 $ Par 12/12/2008 National Penn Bancshares, Inc. Boyertown PA Preferred Stock w/ Warrants 150,000,000 $ Par 12/12/2008 Northeast Bancorp Lewiston ME Preferred Stock w/ Warrants 4,227,000 $ Par 

12/12/2008 Citizens South Banking Corporation Gastonia NC Preferred Stock w/ Warrants 20,500,000 $ Par 12/12/2008 Virginia Commerce Bancorp Arlington VA Preferred Stock w/ Warrants 71,000,000 $ Par 12/12/2008 Fidelity Bancorp, Inc. Pittsburgh PA Preferred Stock w/ Warrants 7,000,000 $ Par 12/12/2008 LSB Corporation North Andover MA Preferred Stock w/ Warrants 15,000,000 $ Par 12/19/2008 Intermountain Community Bancorp Sandpoint ID Preferred Stock w/ Warrants 27,000,000 $ Par 12/19/2008 Community West Bancshares Goleta CA Preferred Stock w/ Warrants 15,600,000 $ Par 12/19/2008 Synovus Financial Corp. Columbus GA Preferred Stock w/ Warrants 967,870,000 $ Par 12/19/2008 Tennessee Commerce Bancorp, Inc. Franklin TN Preferred Stock w/ Warrants 30,000,000 $ Par 12/19/2008 Community Bankers Trust Corporation Glen Allen VA Preferred Stock w/ Warrants 17,680,000 $ Par 12/19/2008 BancTrust Financial Group, Inc. Mobile AL Preferred Stock w/ Warrants 50,000,000 $ Par 12/19/2008 Enterprise Financial Services Corp. St. Louis MO Preferred Stock w/ Warrants 35,000,000 $ Par 12/19/2008 Mid Penn Bancorp, Inc. Millersburg PA Preferred Stock w/ Warrants 10, $ Par 000,00012/19/2008 Summit State Bank Santa Rosa CA Preferred Stock w/ Warrants 8,500,000 $ Par 12/19/2008 VIST Financial Corp. Wyomissing PA Preferred Stock w/ Warrants 25,000,000 $ Par 12/19/2008 Wainwright Bank & Trust Company Boston MA Preferred Stock w/ Warrants 22,000,000 $ Par 12/19/2008 Whitney Holding Corporation New Orleans LA Preferred Stock w/ Warrants 300,000,000 $ Par 12/19/2008 The Connecticut Bank and Trust Company Hartford CT Preferred Stock w/ Warrants 5,448,000 $ Par 12/19/2008 CoBiz Financial Inc. Denver CO Preferred Stock w/ Warrants 64,450,000 $ Par 12/19/2008 Santa Lucia Bancorp Atascadero CA Preferred Stock w/ Warrants 4,000,000 $ Par 12/19/2008 Seacoast Banking Corporation of Florida Stuart FL Preferred Stock w/ Warrants 50,000,000 $ Par 

12/19/2008 Horizon Bancorp Michigan City IN Preferred Stock w/ Warrants 25,000,000 $ Par 12/19/2008 Fidelity Southern Corporation Atlanta GA Preferred Stock w/ Warrants 48,200,000 $ Par 12/19/2008 Community Financial Corporation Staunton VA Preferred Stock w/ Warrants 12,643,000 $ Par 12/19/2008 Berkshire Hills Bancorp, Inc. Pittsfield MA Preferred Stock w/ Warrants 40, $ Par 5/27/2

000,000 

12/19/2008 First California Financial Group, Inc Westlake Village CA Preferred Stock w/ Warrants 25,000,000 $ Par 

12/19/2008 AmeriServ Financial, Inc Johnstown PA Preferred Stock w/ Warrants 21,000,000 $ Par 12/19/2008 Security Federal Corporation Aiken SC Preferred Stock w/ Warrants 18,000,000 $ Par 12/19/2008 Wintrust Financial Corporation Lake Forest IL Preferred Stock w/ Warrants 250,000,000 $ Par 12/19/2008 Flushing Financial Corporation Lake Success NY Preferred Stock w/ Warrants 70,000,000 $ Par 12/19/2008 Monarch Financial Holdings, Inc. Chesapeake VA Preferred Stock w/ Warrants 14,700,000 $ Par 12/19/2008 StellarOne Corporation Charlottesville VA Preferred Stock w/ Warrants 30, $ Par 000,000

12/19/2008 Union Bankshares Corporation Bowling Green VA Preferred Stock w/ Warrants 59,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

12/19/2008 Tidelands Bancshares, Inc Mt. Pleasant SC Preferred Stock w/ Warrants 14,448,000 $ Par 12/19/2008 Bancorp Rhode Island, Inc. Providence RI Preferred Stock w/ Warrants 30,000,000 $ Par 8/5/2

12/19/2008 Hawthorn Bancshares, Inc. Lee's Summit MO Preferred Stock w/ Warrants 30,255,000 $ Par 12/19/2008 The Elmira Savings Bank, FSB Elmira NY Preferred Stock w/ Warrants 9,090,000 $ Par 12/19/2008 Alliance Financial Corporation Syracuse NY Preferred Stock w/ Warrants 26,918,000 $ Par 5/13/212/19/2008 Heartland Financial USA, Inc. Dubuque IA Preferred Stock w/ Warrants 81,698,000 $ Par 12/19/2008 Citizens First Corporation Bowling Green KY Preferred Stock w/ Warrants 8,779,000 $ Par 

2 12/19/2008 FFW Corporation Wabash IN Preferred Stock w/ Exercised Warrants 7,289,000 $ Par 2 12/19/2008 Plains Capital Corporation Dallas TX Preferred Stock w/ Exercised Warrants 87,631,000 $ Par 

2 12/19/2008 Tri-County Financial Corporation Waldorf MD Preferred Stock w/ Exercised Warrants 15,540,000 $ Par 

3 12/19/2008 OneUnited Bank Boston MA Preferred Stock 12,063,000 $ Par 2 12/19/2008 Patriot Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 26,038,000 $ Par 

2 12/19/2008 Pacific City Financial Corporation Los Angeles CA Preferred Stock w/ Exercised Warrants 16,200,000 $ Par 2 12/19/2008 Marquette National Corporation Chicago IL Preferred Stock w/ Exercised Warrants 35,500,000 $ Par 2 12/19/2008 Exchange Bank Santa Rosa CA Preferred Stock w/ Exercised Warrants 43,000,000 $ Par 2 12/19/2008 Monadnock Bancorp, Inc. Peterborough NH Preferred Stock w/ Exercised Warrants 1,834,000 $ Par 

2 12/19/2008 Bridgeview Bancorp, Inc. Bridgeview IL Preferred Stock w/ Exercised Warrants 38,000,000 $ Par 2 12/19/2008 Fidelity Financial Corporation Wichita KS Preferred Stock w/ Exercised Warrants 36,282,000 $ Par 

2 12/19/2008 Patapsco Bancorp, Inc. Dundalk MD Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 2 12/19/2008 NCAL Bancorp Los Angeles CA Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 

2 12/19/2008 FCB Bancorp, Inc. Louisville KY Preferred Stock w/ Exercised Warrants 9, $ Par 294,000

12/23/2008 First Financial Bancorp Cincinnati OH Preferred Stock w/ Warrants 80,000,000 $ Par 

12/23/2008 Bridge Capital Holdings San Jose CA Preferred Stock w/ Warrants 23,864,000 $ Par 12/23/2008 International Bancshares Corporation Laredo TX Preferred Stock w/ Warrants 216,000,000 $ Par 

12/23/2008 First Sound Bank Seattle WA Preferred Stock w/ Warrants 7,400,000 $ Par 12/23/2008 M&T Bank Corporation Buffalo NY Preferred Stock w/ Warrants 600,000,000 $ Par 12/23/2008 Emclaire Financial Corp. Emlenton PA Preferred Stock w/ Warrants 7,500,000 $ Par 12/23/2008 Park National Corporation Newark OH Preferred Stock w/ Warrants 100,000,000 $ Par 12/23/2008 Green Bankshares, Inc. Greeneville TN Preferred Stock w/ Warrants 72, $ Par 278,00012/23/2008 Cecil Bancorp, Inc. Elkton MD Preferred Stock w/ Warrants 11,560,000 $ Par 12/23/2008 Financial Institutions, Inc. Warsaw NY Preferred Stock w/ Warrants 37,515,000 $ Par 12/23/2008 Fulton Financial Corporation Lancaster PA Preferred Stock w/ Warrants 376,500,000 $ Par 12/23/2008 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock w/ Warrants 10,300,000 $ Par 12/23/2008 MutualFirst Financial, Inc. Muncie IN Preferred Stock w/ Warrants 32,382,000 $ Par 12/23/2008 BCSB Bancorp, Inc. Baltimore MD Preferred Stock w/ Warrants 10,800,000 $ Par 12/23/2008 HMN Financial, Inc. Rochester MN Preferred Stock w/ Warrants 26,000,000 $ Par 12/23/2008 First Community Bank Corporation of America Pinellas Park FL Preferred Stock w/ Warrants 10,685,000 $ Par 

12/23/2008 Sterling Bancorp New York NY Preferred Stock w/ Warrants 42,000,000 $ Par 12/23/2008 Intervest Bancshares Corporation New York NY Preferred Stock w/ Warrants 25,000,000 $ Par 

12/23/2008 Peoples Bancorp of North Carolina, Inc. Newton NC Preferred Stock w/ Warrants 25,054,000 $ Par 12/23/2008 Parkvale Financial Corporation Monroeville PA Preferred Stock w/ Warrants 31, $ Par 762,00012/23/2008 Timberland Bancorp, Inc. Hoquiam WA Preferred Stock w/ Warrants 16,641,000 $ Par 12/23/2008 1st Constitution Bancorp Cranbury NJ Preferred Stock w/ Warrants 12,000,000 $ Par 12/23/2008 Central Jersey Bancorp Oakhurst NJ Preferred Stock w/ Warrants 11,300,000 $ Par 

2 12/23/2008 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock w/ Exercised Warrants 6,855,000 $ Par 

2 12/23/2008 Saigon National Bank Westminster CA Preferred Stock w/ Exercised Warrants 1,549,000 $ Par 2 12/23/2008 Capital Pacific Bancorp Portland OR Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 12/23/2008 Uwharrie Capital Corp Albemarle NC Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 3 12/23/2008 Mission Valley Bancorp Sun Valley CA Preferred Stock 5,500,000 $ Par 2 12/23/2008 The Little Bank, Incorporated Kinston NC Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 

2 12/23/2008 Pacific Commerce Bank Los Angeles CA Preferred Stock w/ Exercised Warrants 4,060,000 $ Par 2 12/23/2008 Citizens Community Bank South Hill VA Preferred Stock w/ Exercised Warrants 3, $ Par 000,000
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 12/23/2008 Seacoast Commerce Bank Chula Vista CA Preferred Stock w/ Exercised Warrants 1,800,000 $ Par 

2 12/23/2008 TCNB Financial Corp. Dayton OH Preferred Stock w/ Exercised Warrants 2,000,000 $ Par 2 12/23/2008 Leader Bancorp, Inc. Arlington MA Preferred Stock w/ Exercised Warrants 5,830,000 $ Par 

2 12/23/2008 Nicolet Bankshares, Inc. Green Bay WI Preferred Stock w/ Exercised Warrants 14,964,000 $ Par 

2 12/23/2008 Magna Bank Memphis TN Preferred Stock w/ Exercised Warrants 13,795,000 $ Par 2 12/23/2008 Western Community Bancshares, Inc. Palm Desert CA Preferred Stock w/ Exercised Warrants 7,290,000 $ Par 

2 12/23/2008 Community Investors Bancorp, Inc. Bucyrus OH Preferred Stock w/ Exercised Warrants 2,600,000 $ Par 

2 12/23/2008 Capital Bancorp, Inc. Rockville MD Preferred Stock w/ Exercised Warrants 4, $ Par 700,0002 12/23/2008 Cache Valley Banking Company Logan UT Preferred Stock w/ Exercised Warrants 4,767,000 $ Par 2 12/23/2008 Citizens Bancorp Nevada City CA Preferred Stock w/ Exercised Warrants 10,400,000 $ Par 

2 12/23/2008 Tennessee Valley Financial Holdings, Inc. Oak Ridge TN Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 12/23/2008 Pacific Coast Bankers' Bancshares San Francisco CA Preferred Stock w/ Exercised Warrants 11,600,000 $ Par 

12/31/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants 1,350,000,000 $ Par 12/31/2008 The PNC Financial Services Group Inc. Pittsburgh PA Preferred Stock w/ Warrants 7,579,200,000 $ Par 12/31/2008 Fifth Third Bancorp Cincinnati OH Preferred Stock w/ Warrants 3,408,000,000 $ Par 12/31/2008 Hampton Roads Bankshares, Inc. Norfolk VA Preferred Stock w/ Warrants 80,347,000 $ Par 12/31/2008 CIT Group Inc. New York NY Preferred Stock w/ Warrants 2,330,000,000 $ Par 12/31/2008 West Bancorporation, Inc. West Des Moines IA Preferred Stock w/ Warrants 36,000,000 $ Par 

2 12/31/2008 First Banks, Inc. Clayton MO Preferred Stock w/ Exercised Warrants 295,400,000 $ Par 1 1/9/2009 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants 10,000,000,000 $ Par 

1/9/2009 FirstMerit Corporation Akron OH Preferred Stock w/ Warrants 125,000,000 $ Par 4/22/2

1/9/2009 Farmers Capital Bank Corporation Frankfort KY Preferred Stock w/ Warrants 30,000,000 $ Par 1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Preferred Stock w/ Warrants 28,685,000 $ Par 1/9/2009 Commerce National Bank Newport Beach CA Preferred Stock w/ Warrants 5,000,000 $ Par 1/9/2009 The First Bancorp, Inc. Damariscotta ME Preferred Stock w/ Warrants 25,000,000 $ Par 1/9/2009 Sun Bancorp, Inc. Vineland NJ Preferred Stock w/ Warrants 89,310,000 $ Par 4/8/2

1/9/2009 Crescent Financial Corporation Cary NC Preferred Stock w/ Warrants 24,900,000 $ Par 1/9/2009 American Express Company New York NY Preferred Stock w/ Warrants 3,388,890,000 $ Par 6/17/2

1/9/2009 Central Pacific Financial Corp. Honolulu HI Preferred Stock w/ Warrants 135,000,000 $ Par 1/9/2009 Centrue Financial Corporation St. Louis MO Preferred Stock w/ Warrants 32,668,000 $ Par 1/9/2009 Eastern Virginia Bankshares, Inc. Tappahannock VA Preferred Stock w/ Warrants 24,000,000 $ Par 1/9/2009 Colony Bankcorp, Inc. Fitzgerald GA Preferred Stock w/ Warrants 28,000,000 $ Par 1/9/2009 Independent Bank Corp. Rockland MA Preferred Stock w/ Warrants 78,158,000 $ Par 4/22/2

1/9/2009 Cadence Financial Corporation Starkville MS Preferred Stock w/ Warrants 44, $ Par 000,0001/9/2009 LCNB Corp. Lebanon OH Preferred Stock w/ Warrants 13,400,000 $ Par 1/9/2009 Center Bancorp, Inc. Union NJ Preferred Stock w/ Warrants 10,000,000 $ Par 1/9/2009 F.N.B. Corporation Hermitage PA Preferred Stock w/ Warrants 100,000,000 $ Par 9/9/2

1/9/2009 C&F Financial Corporation West Point VA Preferred Stock w/ Warrants 20,000,000 $ Par 1/9/2009 North Central Bancshares, Inc. Fort Dodge IA Preferred Stock w/ Warrants 10,200,000 $ Par 1/9/2009 Carolina Bank Holdings, Inc. Greensboro NC Preferred Stock w/ Warrants 16,000,000 $ Par 1/9/2009 First Bancorp Troy NC Preferred Stock w/ Warrants 65,000,000 $ Par 1/9/2009 First Financial Service Corporation Elizabethtown KY Preferred Stock w/ Warrants 20,000,000 $ Par 1/9/2009 Codorus Valley Bancorp, Inc. York PA Preferred Stock w/ Warrants 16,500,000 $ Par 1/9/2009 MidSouth Bancorp, Inc. Lafayette LA Preferred Stock w/ Warrants 20,000,000 $ Par 1/9/2009 First Security Group, Inc. Chattanooga TN Preferred Stock w/ Warrants 33,000,000 $ Par 

1/9/2009 Shore Bancshares, Inc. Easton MD Preferred Stock w/ Warrants 25,000,000 $ Par 4/15/2

2 1/9/2009 The Queensborough Company Louisville GA Preferred Stock w/ Exercised Warrants 12, $ Par 000,000

2 1/9/2009 American State Bancshares, Inc. Great Bend KS Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

2 1/9/2009 Security California Bancorp Riverside CA Preferred Stock w/ Exercised Warrants 6,815,000 $ Par 2 1/9/2009 Security Business Bancorp San Diego CA Preferred Stock w/ Exercised Warrants 5,803,000 $ Par 2 1/9/2009 Sound Banking Company Morehead City NC Preferred Stock w/ Exercised Warrants 3,070,000 $ Par 3 1/9/2009 Mission Community Bancorp San Luis Obispo CA Preferred Stock 5,116,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 1/9/2009 Redwood Financial Inc. Redwood Falls MN Preferred Stock w/ Exercised Warrants 2,995,000 $ Par 2 1/9/2009 Surrey Bancorp Mount Airy NC Preferred Stock w/ Exercised Warrants 2,000,000 $ Par 2 1/9/2009 Independence Bank East Greenwich RI Preferred Stock w/ Exercised Warrants 1,065,000 $ Par 2 1/9/2009 Valley Community Bank Pleasanton CA Preferred Stock w/ Exercised Warrants 5,500,000 $ Par 2 1/9/2009 Rising Sun Bancorp Rising Sun MD Preferred Stock w/ Exercised Warrants 5,983,000 $ Par 2 1/9/2009 Community Trust Financial Corporation Ruston LA Preferred Stock w/ Exercised Warrants 24,000,000 $ Par 

2 1/9/2009 GrandSouth Bancorporation Greenville SC Preferred Stock w/ Exercised Warrants 9, $ Par 000,0002 1/9/2009 Texas National Bancorporation Jacksonville TX Preferred Stock w/ Exercised Warrants 3, $ Par 981,000

2 1/9/2009 Congaree Bancshares, Inc. Cayce SC Preferred Stock w/ Exercised Warrants 3,285,000 $ Par 2 1/9/2009 New York Private Bank & Trust Corporation New York NY Preferred Stock w/ Exercised Warrants 267,274,000 $ Par 

1/16/2009 Home Bancshares, Inc. Conway AR Preferred Stock w/ Warrants 50,000,000 $ Par 1/16/2009 Washington Banking Company Oak Harbor WA Preferred Stock w/ Warrants 26,380,000 $ Par 1/16/2009 New Hampshire Thrift Bancshares, Inc. Newport NH Preferred Stock w/ Warrants 10,000,000 $ Par 1/16/2009 Bar Harbor Bankshares Bar Harbor ME Preferred Stock w/ Warrants 18,751,000 $ Par 1/16/2009 Somerset Hills Bancorp Bernardsville NJ Preferred Stock w/ Warrants 7, $ Par 5/20/2

414,000 

1/16/2009 SCBT Financial Corporation Columbia SC Preferred Stock w/ Warrants 64,779,000 $ Par 5/20/2

1/16/2009 S&T Bancorp Indiana PA Preferred Stock w/ Warrants 108,676,000 $ Par 1/16/2009 ECB Bancorp, Inc. Engelhard NC Preferred Stock w/ Warrants 17,949,000 $ Par 1/16/2009 First BanCorp San Juan PR Preferred Stock w/ Warrants 400,000,000 $ Par 1/16/2009 Texas Capital Bancshares, Inc. Dallas TX Preferred Stock w/ Warrants 75,000,000 $ Par 5/13/2

1/16/2009 Yadkin Valley Financial Corporation Elkin NC Preferred Stock w/ Warrants 36,000,000 $ Par 

3 1/16/2009 Carver Bancorp, Inc New York NY Preferred Stock 18,980,000 $ Par 

1/16/2009 Citizens & Northern Corporation Wellsboro PA Preferred Stock w/ Warrants 26,440,000 $ Par 

1/16/2009 MainSource Financial Group, Inc. Greensburg IN Preferred Stock w/ Warrants 57,000,000 $ Par 

1/16/2009 MetroCorp Bancshares, Inc. Houston TX Preferred Stock w/ Warrants 45,000,000 $ Par 1/16/2009 United Bancorp, Inc. Tecumseh MI Preferred Stock w/ Warrants 20,600,000 $ Par 1/16/2009 Old Second Bancorp, Inc. Aurora IL Preferred Stock w/ Warrants 73,000,000 $ Par 1/16/2009 Pulaski Financial Corp Creve Coeur MO Preferred Stock w/ Warrants 32,538,000 $ Par 1/16/2009 OceanFirst Financial Corp. Toms River NJ Preferred Stock w/ Warrants 38,263,000 $ Par 

2 1/16/2009 Community 1st Bank Roseville CA Preferred Stock w/ Exercised Warrants 2, $ Par 550,000

2 1/16/2009 TCB Holding Company, Texas Community Bank The Woodlands TX Preferred Stock w/ Exercised Warrants 11,730,000 $ Par 2 1/16/2009 Centra Financial Holdings, Inc. Morgantown WV Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 3/31/2

2 1/16/2009 First Bankers Trustshares, Inc. Quincy IL Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 1/16/2009 Pacific Coast National Bancorp San Clemente CA Preferred Stock w/ Exercised Warrants 4,120,000 $ Par 3 1/16/2009 Community Bank of the Bay Oakland CA Preferred Stock 1,747,000 $ Par 2 1/16/2009 Redwood Capital Bancorp Eureka CA Preferred Stock w/ Exercised Warrants 3,800,000 $ Par 2 1/16/2009 Syringa Bancorp Boise ID Preferred Stock w/ Exercised Warrants 8,000,000 $ Par 2 1/16/2009 Idaho Bancorp Boise ID Preferred Stock w/ Exercised Warrants 6,900,000 $ Par 2 1/16/2009 Puget Sound Bank Bellevue WA Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 2 1/16/2009 United Financial Banking Companies, Inc. Vienna VA Preferred Stock w/ Exercised Warrants 5,658,000 $ Par 2 1/16/2009 Dickinson Financial Corporation II Kansas City MO Preferred Stock w/ Exercised Warrants 146,053,000 $ Par 2 1/16/2009 The Baraboo Bancorporation Baraboo WI Preferred Stock w/ Exercised Warrants 20,749,000 $ Par 

2 1/16/2009 Bank of Commerce Charlotte NC Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 1/16/2009 State Bankshares, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 50,000,000 $ Par 8/12/2

2 1/16/2009 BNCCORP, Inc. Bismarck ND Preferred Stock w/ Exercised Warrants 20,093,000 $ Par 2 1/16/2009 First Manitowoc Bancorp, Inc. Manitowoc WI Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 5/27/2

3 1/16/2009 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock 11,000,000 $ Par 2 1/16/2009 Morrill Bancshares, Inc. Merriam KS Preferred Stock w/ Exercised Warrants 13, $ Par 000,000

2 1/16/2009 Treaty Oak Bancorp, Inc. Austin TX Preferred Stock w/ Exercised Warrants 3,268,000 $ Par 

1/23/2009 1st Source Corporation South Bend IN Preferred Stock w/ Warrants 111,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

1/23/2009 Princeton National Bancorp, Inc. Princeton IL Preferred Stock w/ Warrants 25,083,000 $ Par 1/23/2009 AB&T Financial Corporation Gastonia NC Preferred Stock w/ Warrants 3,500,000 $ Par 1/23/2009 First Citizens Banc Corp Sandusky OH Preferred Stock w/ Warrants 23,184,000 $ Par 1/23/2009 WSFS Financial Corporation Wilmington DE Preferred Stock w/ Warrants 52,625,000 $ Par 

2 1/23/2009 Commonwealth Business Bank Los Angeles CA Preferred Stock w/ Exercised Warrants 7,701,000 $ Par 2 1/23/2009 Seaside National Bank & Trust Orlando FL Preferred Stock w/ Exercised Warrants 5,677,000 $ Par 2 1/23/2009 CalWest Bancorp Rancho Santa Margarita CA Preferred Stock w/ Exercised Warrants 4,656,000 $ Par 2 1/23/2009 Fresno First Bank Fresno CA Preferred Stock w/ Exercised Warrants 1,968,000 $ Par 2 1/23/2009 First ULB Corp. Oakland CA Preferred Stock w/ Exercised Warrants 4,900,000 $ Par 4/22/2

2 1/23/2009 Alarion Financial Services, Inc. Ocala FL Preferred Stock w/ Exercised Warrants 6,514,000 $ Par 

2 1/23/2009 Midland States Bancorp, Inc. Effingham IL Preferred Stock w/ Exercised Warrants 10,189,000 $ Par 2 1/23/2009 Moscow Bancshares, Inc. Moscow TN Preferred Stock w/ Exercised Warrants 6,216,000 $ Par 2 1/23/2009 Farmers Bank Windsor VA Preferred Stock w/ Exercised Warrants 8,752,000 $ Par 2 1/23/2009 California Oaks State Bank Thousand Oaks CA Preferred Stock w/ Exercised Warrants 3,300,000 $ Par 2 1/23/2009 Pierce County Bancorp Tacoma WA Preferred Stock w/ Exercised Warrants 6,800,000 $ Par 

2 1/23/2009 Calvert Financial Corporation Ashland MO Preferred Stock w/ Exercised Warrants 1,037,000 $ Par 

2 1/23/2009 Liberty Bancshares, Inc. Jonesboro AR Preferred Stock w/ Exercised Warrants 57,500,000 $ Par 

2 1/23/2009 Crosstown Holding Company Blaine MN Preferred Stock w/ Exercised Warrants 10,650,000 $ Par 2 1/23/2009 BankFirst Capital Corporation Macon MS Preferred Stock w/ Exercised Warrants 15,500,000 $ Par 

2 1/23/2009 /23/2009 S th Illi i B I Southern Illinois Bancorp, Inc. C i arm IL Pre f d St k / E i d W t ferred Stock w/ Exercised Warrants 5,000,000 $ Par 5 000 000 P

2 1/23/2009 FPB Financial Corp. Hammond LA Preferred Stock w/ Exercised Warrants 3,240,000 $ Par 2 1/23/2009 Stonebridge Financial Corp. West Chester PA Preferred Stock w/ Exercised Warrants 10,973,000 $ Par 

1/30/2009 Peoples Bancorp Inc. Marietta OH Preferred Stock w/ Warrants 39,000,000 $ Par 1/30/2009 Anchor BanCorp Wisconsin Inc. Madison WI Preferred Stock w/ Warrants 110,000,000 $ Par 1/30/2009 Parke Bancorp, Inc. Sewell NJ Preferred Stock w/ Warrants 16,288,000 $ Par 1/30/2009 Central Virginia Bankshares, Inc. Powhatan VA Preferred Stock w/ Warrants 11,385,000 $ Par 1/30/2009 Flagstar Bancorp, Inc. Troy MI Preferred Stock w/ Warrants 266,657,000 $ Par 1/30/2009 Middleburg Financial Corporation Middleburg VA Preferred Stock w/ Warrants 22,000,000 $ Par 1/30/2009 Peninsula Bank Holding Co. Palo Alto CA Preferred Stock w/ Warrants 6,000,000 $ Par 1/30/2009 PrivateBancorp, Inc. Chicago IL Preferred Stock w/ Warrants 243,815,000 $ Par 1/30/2009 Central Valley Community Bancorp Fresno CA Preferred Stock w/ Warrants 7,000,000 $ Par 1/30/2009 Plumas Bancorp Quincy CA Preferred Stock w/ Warrants 11,949,000 $ Par 1/30/2009 Stewardship Financial Corporation Midland Park NJ Preferred Stock w/ Warrants 10,000,000 $ Par 1/30/2009 Oak Ridge Financial Services, Inc. Oak Ridge NC Preferred Stock w/ Warrants 7,700,000 $ Par 1/30/2009 First United Corporation Oakland MD Preferred Stock w/ Warrants 30,000,000 $ Par 1/30/2009 Community Partners Bancorp Middletown NJ Preferred Stock w/ Warrants 9,000,000 $ Par 1/30/2009 Guaranty Federal Bancshares, Inc. Springfield MO Preferred Stock w/ Warrants 17,000,000 $ Par 

1/30/2009 Annapolis Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants 8,152,000 $ Par 1/30/2009 DNB Financial Corporation Downingtown PA Preferred Stock w/ Warrants 11,750,000 $ Par 1/30/2009 Firstbank Corporation Alma MI Preferred Stock w/ Warrants 33,000,000 $ Par 

2 1/30/2009 Valley Commerce Bancorp Visalia CA Preferred Stock w/ Exercised Warrants 7,700,000 $ Par 2 1/30/2009 Greer Bancshares Incorporated Greer SC Preferred Stock w/ Exercised Warrants 9,993,000 $ Par 

2 1/30/2009 Ojai Community Bank Ojai CA Preferred Stock w/ Exercised Warrants 2,080,000 $ Par 2 1/30/2009 Adbanc, Inc Ogallala NE Preferred Stock w/ Exercised Warrants 12,720,000 $ Par 

2 1/30/2009 Beach Business Bank Manhattan Beach CA Preferred Stock w/ Exercised Warrants 6,000,000 1/30/2009 B hB i B k M h tt B h CA P f d St k / E i d W t $ Par 6 000 000 P

3 1/30/2009 Legacy Bancorp, Inc. Milwaukee WI Preferred Stock 5,498,000 $ Par 2 1/30/2009 First Southern Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants 10,900,000 $ Par 

2 1/30/2009 Country Bank Shares, Inc. Milford NE Preferred Stock w/ Exercised Warrants 7,525,000 $ Par 2 1/30/2009 Katahdin Bankshares Corp. Houlton ME Preferred Stock w/ Exercised Warrants 10,449,000 $ Par 2 1/30/2009 Rogers Bancshares, Inc. Little Rock AR Preferred Stock w/ Exercised Warrants 25,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 1/30/2009 UBT Bancshares, Inc. Marysville KS Preferred Stock w/ Exercised Warrants 8, $ Par 950,000

2 1/30/2009 Bankers' Bank of the West Bancorp, Inc. Denver CO Preferred Stock w/ Exercised Warrants 12,639,000 $ Par 2 1/30/2009 W.T.B. Financial Corporation Spokane WA Preferred Stock w/ Exercised Warrants 110,000,000 $ Par 2 1/30/2009 AMB Financial Corp. Munster IN Preferred Stock w/ Exercised Warrants 3,674,000 $ Par 2 1/30/2009 Goldwater Bank, N.A. Scottsdale AZ Preferred Stock w/ Exercised Warrants 2,568,000 $ Par 2 1/30/2009 Equity Bancshares, Inc. Wichita KS Preferred Stock w/ Exercised Warrants 8,750,000 $ Par 

2 1/30/2009 WashingtonFirst Bank Reston VA Preferred Stock w/ Exercised Warrants 6,633,000 $ Par 2 1/30/2009 Central Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 5,800,000 $ Par 

2 1/30/2009 Hilltop Community Bancorp, Inc. Summit NJ Preferred Stock w/ Exercised Warrants 4, $ Par 000,000

2 1/30/2009 Northway Financial, Inc. Berlin NH Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 1/30/2009 Monument Bank Bethesda MD Preferred Stock w/ Exercised Warrants 4,734,000 $ Par 2 1/30/2009 Metro City Bank Doraville GA Preferred Stock w/ Exercised Warrants 7, $ Par 700,000

2 1/30/2009 F & M Bancshares, Inc. Trezevant TN Preferred Stock w/ Exercised Warrants 4,609,000 $ Par 2 1/30/2009 First Resource Bank Exton PA Preferred Stock w/ Exercised Warrants 2,600,000 $ Par 

2/6/2009 MidWestOne Financial Group, Inc. Iowa City IA Preferred Stock w/ Warrants 16,000,000 $ Par 

2/6/2009 Lakeland Bancorp, Inc. Oak Ridge NJ Preferred Stock w/ Warrants 59,000,000 $ Par 2/6/2009 Monarch Community Bancorp, Inc. Coldwater MI Preferred Stock w/ Warrants 6,785,000 $ Par 2/6/2009 The First Bancshares, Inc. Hattiesburg MS Preferred Stock w/ Warrants 5,000,000 $ Par 2/6/2009 Carolina Trust Bank Lincolnton NC Preferred Stock w/ Warrants 4,000,000 $ Par 2/6/2009 Alaska Pacific Bancshares, Inc. Juneau AK Preferred Stock w/ Warrants 4,781,000 $ Par 

3 2/6/2009 PGB Holdings, Inc. Chicago IL Preferred Stock 3,000,000 $ Par 2 2/6/2009 The Freeport State Bank Harper KS Preferred Stock w/ Exercised Warrants 301,000 $ Par 2 2/6/2009 Stockmens Financial Corporation Rapid City SD Preferred Stock w/ Exercised Warrants 15,568,000 $ Par 

2 2/6/2009 US Metro Bank Garden Grove CA Preferred Stock w/ Exercised Warrants 2,861,000 $ Par 2 2/6/2009 First Express of Nebraska, Inc. Gering NE Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 2 2/6/2009 Mercantile Capital Corp. Boston MA Preferred Stock w/ Exercised Warrants 3,500,000 $ Par 2 2/6/2009 Citizens Commerce Bancshares, Inc. Versailles KY Preferred Stock w/ Exercised Warrants 6, $ Par 300,000

3 2/6/2009 Liberty Financial Services, Inc. New Orleans LA Preferred Stock 5,645,000 $ Par 2 2/6/2009 Lone Star Bank Houston TX Preferred Stock w/ Exercised Warrants 3,072,000 $ Par 2 2/6/2009 First Market Bank, FSB Richmond VA Preferred Stock w/ Exercised Warrants 33,900,000 $ Par 2 2/6/2009 Banner County Ban Corporation Harrisburg NE Preferred Stock w/ Exercised Warrants 795,000 $ Par 

2 2/6/2009 Centrix Bank & Trust Bedford NH Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 2 2/6/2009 Todd Bancshares, Inc. Hopkinsville KY Preferred Stock w/ Exercised Warrants 4, $ Par 000,000

2 2/6/2009 Georgia Commerce Bancshares, Inc. Atlanta GA Preferred Stock w/ Exercised Warrants 8,700,000 $ Par 

2 2/6/2009 First Bank of Charleston, Inc. Charleston WV Preferred Stock w/ Exercised Warrants 3,345,000 $ Par 

2 2/6/2009 F & M Financial Corporation Salisbury NC Preferred Stock w/ Exercised Warrants 17,000,000 $ Par 

2 2/6/2009 The Bank of Currituck Moyock NC Preferred Stock w/ Exercised Warrants 4,021,000 $ Par 2 2/6/2009 CedarStone Bank Lebanon TN Preferred Stock w/ Exercised Warrants 3,564,000 $ Par 2 2/6/2009 Community Holding Company of Florida, Inc. Miramar Beach FL Preferred Stock w/ Exercised Warrants 1,050,000 $ Par 

2 2/6/2009 Hyperion Bank Philadelphia PA Preferred Stock w/ Exercised Warrants 1,552,000 $ Par 2 2/6/2009 Pascack Community Bank Westwood NJ Preferred Stock w/ Exercised Warrants 3,756,000 $ Par 2 2/6/2009 First Western Financial, Inc. Denver CO Preferred Stock w/ Exercised Warrants 8,559,000 $ Par 

2/13/2009 QCR Holdings, Inc. Moline IL Preferred Stock w/ Warrants 38,237,000 $ Par 2/13/2009 Westamerica Bancorporation San Rafael CA Preferred Stock w/ Warrants 83,726,000 $ Par 9/2/2

2/13/2009 2/13/2009 The Bank of Kentucky Financial Corporation Crestview H Th B k f K k Fi i l C i C i Hills KY Preferred Stock w/ Warrants 34, KY P f dS k /W $ Par 34 000 000 000,000 P

2/13/2009 PremierWest Bancorp Medford OR Preferred Stock w/ Warrants 41,400,000 $ Par 2/13/2009 Carrollton Bancorp Baltimore MD Preferred Stock w/ Warrants 9,201,000 $ Par 2/13/2009 FNB United Corp. Asheboro NC Preferred Stock w/ Warrants 51,500,000 $ Par 

2 2/13/2009 First Menasha Bancshares, Inc. Neenah WI Preferred Stock w/ Exercised Warrants 4,797,000 $ Par 

2 2/13/2009 1st Enterprise Bank Los Angeles CA Preferred Stock w/ Exercised Warrants 4,400,000 $ Par 2 2/13/2009 DeSoto County Bank Horn Lake MS Preferred Stock w/ Exercised Warrants 1,173,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 2/13/2009 Security Bancshares of Pulaski County, Inc. Waynesville MO Preferred Stock w/ Exercised Warrants 2, $ Par 152,000

2 2/13/2009 State Capital Corporation Greenwood MS Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 

2 2/13/2009 BankGreenville Greenville SC Preferred Stock w/ Exercised Warrants 1, $ Par 000,0002 2/13/2009 Corning Savings and Loan Association Corning AR Preferred Stock w/ Exercised Warrants 638,000 $ Par 2 2/13/2009 Financial Security Corporation Basin WY Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 2/13/2009 ColoEast Bankshares, Inc. Lamar CO Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 2/13/2009 Santa Clara Valley Bank, N.A. Santa Paula CA Preferred Stock w/ Exercised Warrants 2,900,000 $ Par 2 2/13/2009 Reliance Bancshares, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants 40,000,000 $ Par 2 2/13/2009 Regional Bankshares, Inc. Hartsville SC Preferred Stock w/ Exercised Warrants 1, $ Par 500,000

2 2/13/2009 Peoples Bancorp Lynden WA Preferred Stock w/ Exercised Warrants 18,000,000 $ Par 2 2/13/2009 First Choice Bank Cerritos CA Preferred Stock w/ Exercised Warrants 2,200,000 $ Par 2 2/13/2009 Gregg Bancshares, Inc. Ozark MO Preferred Stock w/ Exercised Warrants 825,000 $ Par 

2 2/13/2009 Hometown Bancshares, Inc. Corbin KY Preferred Stock w/ Exercised Warrants 1,900,000 $ Par 

2 2/13/2009 Midwest Regional Bancorp, Inc. Festus MO Preferred Stock w/ Exercised Warrants 700,000 $ Par 2 2/13/2009 Bern Bancshares, Inc. Bern KS Preferred Stock w/ Exercised Warrants 985,000 $ Par 2 2/13/2009 Northwest Bancorporation, Inc. Spokane WA Preferred Stock w/ Exercised Warrants 10,500,000 $ Par 

2 2/13/2009 Liberty Bancshares, Inc. Springfield MO Preferred Stock w/ Exercised Warrants 21,900,000 $ Par 

2 2/13/2009 F&M Financial Corporation Clarksville TN Preferred Stock w/ Exercised Warrants 17, $ Par 243,000

2 2/13/2009 Meridian Bank Devon PA Preferred Stock w/ Exercised Warrants 6,200,000 $ Par 2 2/13/2009 Northwest Commercial Bank Lakewood WA Preferred Stock w/ Exercised Warrants 1,992,000 $ Par 

2/20/2009 Royal Bancshares of Pennsylvania, Inc. Narberth PA Preferred Stock w/ Warrants 30,407,000 $ Par 

2/20/2009 First Merchants Corporation Muncie IN Preferred Stock w/ Warrants 116,000,000 $ Par 2/20/2009 Northern States Financial Corporation Waukegan IL Preferred Stock w/ Warrants 17,211,000 $ Par 

2 2/20/2009 Sonoma Valley Bancorp Sonoma CA Preferred Stock w/ Exercised Warrants 8,653,000 $ Par 2 2/20/2009 Guaranty Bancorp, Inc. Woodsville NH Preferred Stock w/ Exercised Warrants 6, $ Par 920,000

2 2/20/2009 The Private Bank of California Los Angeles CA Preferred Stock w/ Exercised Warrants 5,450,000 $ Par 2 2/20/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock w/ Exercised Warrants 1,998,000 $ Par 2 2/20/2009 Liberty Shares, Inc. Hinesville GA Preferred Stock w/ Exercised Warrants 17, $ Par 280,000

2 2/20/2009 White River Bancshares Company Fayetteville AR Preferred Stock w/ Exercised Warrants 16, $ Par 800,000

2 2/20/2009 United American Bank San Mateo CA Preferred Stock w/ Exercised Warrants 8,700,000 $ Par 2 2/20/2009 Crazy Woman Creek Bancorp, Inc. Buffalo WY Preferred Stock w/ Exercised Warrants 3,100,000 $ Par 

2 2/20/2009 First Priority Financial Corp. Malvern PA Preferred Stock w/ Exercised Warrants 4,579,000 $ Par 

2 2/20/2009 Mid-Wisconsin Financial Services, Inc. Medford WI Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 

2 2/20/2009 Market Bancorporation, Inc. New Market MN Preferred Stock w/ Exercised Warrants 2,060,000 $ Par 

2 2/20/2009 Hometown Bancorp of Alabama, Inc. Oneonta AL Preferred Stock w/ Exercised Warrants 3,250,000 $ Par 2 2/20/2009 Security State Bancshares, Inc. Charleston MO Preferred Stock w/ Exercised Warrants 12,500,000 $ Par 2 2/20/2009 CBB Bancorp Cartersville GA Preferred Stock w/ Exercised Warrants 2, $ Par 644,000

2 2/20/2009 BancPlus Corporation Ridgeland MS Preferred Stock w/ Exercised Warrants 48,000,000 $ Par 2 2/20/2009 Central Community Corporation Temple TX Preferred Stock w/ Exercised Warrants 22,000,000 $ Par 2 2/20/2009 First BancTrust Corporation Paris IL Preferred Stock w/ Exercised Warrants 7,350,000 $ Par 

2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 2/20/2009 Florida Business BancGroup, Inc. Tampa FL Preferred Stock w/ Exercised Warrants 9,495,000 $ Par 2 2/20/2009 Hamilton State Bancshares Hoschton GA Preferred Stock w/ Exercised Warrants 7,000,000 $ Par 

2/27/2009 Lakeland Financial Corporation Warsaw IN Preferred Stock w/ Warrants 56,044,000 $ Par 2/27/2009 First M&F Corporation Kosciusko MS Preferred Stock w/ Warrants 30,000,000 $ Par 

2/27/2009 Southern First Bancshares, Inc. Greenville SC Preferred Stock w/ Warrants 17, $ Par 299,000

2/27/2009 Integra Bank Corporation Evansville IN Preferred Stock w/ Warrants 83, $ Par 586,000

2 2/27/2009 Community First Inc. Columbia TN Preferred Stock w/ Exercised Warrants 17,806,000 $ Par 2 2/27/2009 BNC Financial Group, Inc. New Canaan CT Preferred Stock w/ Exercised Warrants 4,797,000 $ Par 2 2/27/2009 California Bank of Commerce Lafayette CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 2/27/2009 Columbine Capital Corp. Buena Vista CO Preferred Stock w/ Exercised Warrants 2,260,000 $ Par 2 2/27/2009 National Bancshares, Inc. Bettendorf IA Preferred Stock w/ Exercised Warrants 24,664,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 2/27/2009 First State Bank of Mobeetie Mobeetie TX Preferred Stock w/ Exercised Warrants 731,000 $ Par 2 2/27/2009 Ridgestone Financial Services, Inc. Brookfield WI Preferred Stock w/ Exercised Warrants 10,900,000 $ Par 

2 2/27/2009 Community Business Bank West Sacramento CA Preferred Stock w/ Exercised Warrants 3,976,000 $ Par 2 2/27/2009 D.L. Evans Bancorp Burley ID Preferred Stock w/ Exercised Warrants 19,891,000 $ Par 2 2/27/2009 TriState Capital Holdings, Inc. Pittsburgh PA Preferred Stock w/ Exercised Warrants 23,000,000 $ Par 2 2/27/2009 Green City Bancshares, Inc. Green City MO Preferred Stock w/ Exercised Warrants 651,000 $ Par 

2 2/27/2009 First Gothenburg Bancshares, Inc. Gothenburg NE Preferred Stock w/ Exercised Warrants 7,570,000 $ Par 2 2/27/2009 Green Circle Investments, Inc. Clive IA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 2 2/27/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock w/ Exercised Warrants 4,960,000 $ Par 

2 2/27/2009 Regent Capital Corporation Nowata OK Preferred Stock w/ Exercised Warrants 2,655,000 $ Par 2 2/27/2009 Central Bancorp, Inc. Garland TX Preferred Stock w/ Exercised Warrants 22,500,000 $ Par 2 2/27/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants 11,800,000 $ Par 

2 2/27/2009 PSB Financial Corporation Many LA Preferred Stock w/ Exercised Warrants 9,270,000 $ Par 

2 2/27/2009 Avenue Financial Holdings, Inc. Nashville TN Preferred Stock w/ Exercised Warrants 7, $ Par 400,000

2 2/27/2009 Howard Bancorp, Inc. Ellicott City MD Preferred Stock w/ Exercised Warrants 5, $ Par 983,000

2 2/27/2009 FNB Bancorp South San Francisco CA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 2 2/27/2009 The Victory Bank Limerick PA Preferred Stock w/ Exercised Warrants 541,000 $ Par 2 2/27/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants 3, $ Par 000,000

2 2/27/2009 Midtown Bank & Trust Company Atlanta GA Preferred Stock w/ Exercised Warrants 5,222,000 $ Par 

3/6/2009 HCSB Financial Corporation Loris SC Preferred Stock w/ Warrants 12,895,000 $ Par 

3/6/2009 First Busey Corporation Urbana IL Preferred Stock w/ Warrants 100,000,000 $ Par 3/6/2009 First Federal Bancshares of Arkansas, Inc. Harrison AR Preferred Stock w/ Warrants 16,500,000 $ Par 

3 3/6/2009 Citizens Bancshares Corporation Atlanta GA Preferred Stock 7,462,000 $ Par 

2 3/6/2009 ICB Financial Ontario CA Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 2 3/6/2009 First Texas BHC, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants 13,533,000 $ Par 2 3/6/2009 Farmers & Merchants Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 11,000,000 $ Par 

2 3/6/2009 Blue Ridge Bancshares, Inc. Independence MO Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 2 3/6/2009 First Reliance Bancshares, Inc. Florence SC Preferred Stock w/ Exercised Warrants 15,349,000 $ Par 

2 3/6/2009 Merchants and Planters Bancshares, Inc. Toone TN Preferred Stock w/ Exercised Warrants 1,881,000 $ Par 

2 3/6/2009 First Southwest Bancorporation, Inc. Alamosa CO Preferred Stock w/ Exercised Warrants 5,500,000 $ Par 2 3/6/2009 Germantown Capital Corporation, Inc. Germantown TN Preferred Stock w/ Exercised Warrants 4,967,000 $ Par 

2 3/6/2009 BOH Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 3/6/2009 AmeriBank Holding Company Collinsville OK Preferred Stock w/ Exercised Warrants 2, $ Par 492,0002 3/6/2009 Highlands Independent Bancshares, Inc. Sebring FL Preferred Stock w/ Exercised Warrants 6,700,000 $ Par 2 3/6/2009 Pinnacle Bank Holding Company, Inc. Orange City FL Preferred Stock w/ Exercised Warrants 4,389,000 $ Par 2 3/6/2009 Blue River Bancshares, Inc. Shelbyville IN Preferred Stock w/ Exercised Warrants 5, $ Par 000,000

2 3/6/2009 Marine Bank & Trust Company Vero Beach FL Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 3/6/2009 Community Bancshares of Kansas, Inc. Goff KS Preferred Stock w/ Exercised Warrants 500,000 $ Par 

2 3/6/2009 Regent Bancorp, Inc. Davie FL Preferred Stock w/ Exercised Warrants 9,982,000 $ Par 2 3/6/2009 Park Bancorporation, Inc. Madison WI Preferred Stock w/ Exercised Warrants 23,200,000 $ Par 2 3/6/2009 PeoplesSouth Bancshares, Inc. Colquitt GA Preferred Stock w/ Exercised Warrants 12,325,000 $ Par 

3/13/2009 First Place Financial Corp. Warren OH Preferred Stock w/ Warrants 72,927,000 $ Par 3/13/2009 Salisbury Bancorp, Inc. Lakeville CT Preferred Stock w/ Warrants 8, $ Par 816,000

3/13/2009 First Northern Community Bancorp Dixon CA Preferred Stock w/ Warrants 17,390,000 $ Par 3/13/2009 Discover Financial Services Riverwoods IL Preferred Stock w/ Warrants 1,224,558,000 $ Par 

3/13/2009 Provident Community Bancshares, Inc. Rock Hill SC Preferred Stock w/ Warrants 9,266,000 $ Par 

3 3/13/2009 First American International Corp. Brooklyn NY Preferred Stock 17,000,000 $ Par 2 3/13/2009 BancIndependent, Inc. Sheffield AL Preferred Stock w/ Exercised Warrants 21,100,000 $ Par 2 3/13/2009 Haviland Bancshares, Inc. Haviland KS Preferred Stock w/ Exercised Warrants 425,000 $ Par 2 3/13/2009 1st United Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 3/13/2009 Madison Financial Corporation Richmond KY Preferred Stock w/ Exercised Warrants 3,370,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 3/13/2009 First National Corporation Strasburg VA Preferred Stock w/ Exercised Warrants 13,900,000 $ Par 2 3/13/2009 St. Johns Bancshares, Inc. St. Louis MO Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 3/13/2009 Blackhawk Bancorp, Inc. Beloit WI Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 3/13/2009 IBW Financial Corporation Washington DC Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

2 3/13/2009 Butler Point, Inc. Catlin IL Preferred Stock w/ Exercised Warrants 607,000 $ Par 2 3/13/2009 Bank of George Las Vegas NV Preferred Stock w/ Exercised Warrants 2,672,000 $ Par 2 3/13/2009 Moneytree Corporation Lenoir City TN Preferred Stock w/ Exercised Warrants 9,516,000 $ Par 2 3/13/2009 Sovereign Bancshares, Inc. Dallas TX Preferred Stock w/ Exercised Warrants 18,215,000 $ Par 2 3/13/2009 First Intercontinental Bank Doraville GA Preferred Stock w/ Exercised Warrants 6, $ Par 398,000

3/20/2009 Heritage Oaks Bancorp Paso Robles CA Preferred Stock w/ Warrants 21,000,000 $ Par 

2 3/20/2009 Community First Bancshares Inc. Union City TN Preferred Stock w/ Exercised Warrants 20,000,000 $ Par 2 3/20/2009 First NBC Bank Holding Company New Orleans LA Preferred Stock w/ Exercised Warrants 17,836,000 $ Par 2 3/20/2009 First Colebrook Bancorp, Inc. Colebrook NH Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 2 3/20/2009 Kirksville Bancorp, Inc. Kirksville MO Preferred Stock w/ Exercised Warrants $ Par 470,0002 3/20/2009 Peoples Bancshares of TN, Inc Madisonville TN Preferred Stock w/ Exercised Warrants 3, $ Par 900,0002 3/20/2009 Premier Bank Holding Company Tallahassee FL Preferred Stock w/ Exercised Warrants 9,500,000 $ Par 2 3/20/2009 Citizens Bank & Trust Company Covington LA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 2 3/20/2009 Farmers & Merchants Financial Corporation Argonia KS Preferred Stock w/ Exercised Warrants 442,000 $ Par 2 3/20/2009 Farmers State Bankshares, Inc. Holton KS Preferred Stock w/ Exercised Warrants 700,000 $ Par 2 3/27/2009 SBT Bancorp, Inc. Simsbury CT Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 3/27/2009 CSRA Bank Corp. Wrens GA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 2 3/27/2009 Trinity Capital Corporation Los Alamos NM Preferred Stock w/ Exercised Warrants 35,539,000 $ Par 

2 3/27/2009 Clover Community Bankshares, Inc. Clover SC Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 3/27/2009 Pathway Bancorp Cairo NE Preferred Stock w/ Exercised Warrants 3,727,000 $ Par 2 3/27/2009 Colonial American Bank West Conshohocken PA Preferred Stock w/ Exercised Warrants 574,000 $ Par 2 3/27/2009 MS Financial, Inc. Kingwood TX Preferred Stock w/ Exercised Warrants 7,723,000 $ Par 2 3/27/2009 Triad Bancorp, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants 3,700,000 $ Par 2 3/27/2009 Alpine Banks of Colorado Glenwood Springs CO Preferred Stock w/ Exercised Warrants 70,000,000 $ Par 2 3/27/2009 Naples Bancorp, Inc. Naples FL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 3/27/2009 CBS Banc-Corp. Russellville AL Preferred Stock w/ Exercised Warrants 24, $ Par 300,000

2 3/27/2009 IBT Bancorp, Inc. Irving TX Preferred Stock w/ Exercised Warrants 2,295,000 $ Par 2 3/27/2009 Spirit BankCorp, Inc. Bristow OK Preferred Stock w/ Exercised Warrants 30,000,000 $ Par 2 3/27/2009 Maryland Financial Bank Towson MD Preferred Stock w/ Exercised Warrants 1,700,000 $ Par 

4/3/2009 First Capital Bancorp, Inc. Glen Ellen VA Preferred Stock w/ Warrants 10,958,000 $ Par 

2, 3 4/3/2009 Tri-State Bank of Memphis Memphis TN Preferred Stock 2,795,000 $ Par 

2 4/3/2009 Fortune Financial Corporation Arnold MO Preferred Stock w/ Exercised Warrants 3,100,000 $ Par 2 4/3/2009 BancStar, Inc. Festus MO Preferred Stock w/ Exercised Warrants 8,600,000 $ Par 2 4/3/2009 Titonka Bancshares, Inc Titonka IA Preferred Stock w/ Exercised Warrants 2,117,000 $ Par 

2 4/3/2009 Millennium Bancorp, Inc. Edwards CO Preferred Stock w/ Exercised Warrants 7,260,000 $ Par 

2 4/3/2009 TriSummit Bank Kingsport TN Preferred Stock w/ Exercised Warrants 2,765,000 $ Par 2 4/3/2009 Prairie Star Bancshares, Inc. Olathe KS Preferred Stock w/ Exercised Warrants 2,800,000 $ Par 

2 4/3/2009 Community First Bancshares, Inc. Harrison AR Preferred Stock w/ Exercised Warrants 12,725,000 $ Par 2 4/3/2009 BCB Holding Company, Inc. Theodore AL Preferred Stock w/ Exercised Warrants 1,706,000 $ Par 3 4/10/2009 City National Bancshares Corporation Newark NJ Preferred Stock 9,439,000 $ Par 

2 4/10/2009 First Business Bank, N.A. San Diego C 4/10/2009 Fi B i B k N A S Di CA P f dS k /E i dW Preferred Stock w/ Exercised Warrants 2,211,000 $ Par 2 211 000 P

2 4/10/2009 SV Financial, Inc. Sterling IL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 4/10/2009 Capital Commerce Bancorp, Inc. Milwaukee WI Preferred Stock w/ Exercised Warrants 5,100,000 $ Par 2 4/10/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 2,040,000 $ Par 

4/17/2009 Bank of the Carolinas Corporation Mocksville NC Preferred Stock w/ Warrants 13, $ Par 179,000

2 4/17/2009 Penn Liberty Financial Corp. Wayne PA Preferred Stock w/ Exercised Warrants 9,960,000 $ Par 2 4/17/2009 Tifton Banking Company Tifton GA Preferred Stock w/ Exercised Warrants 3,800,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 4/17/2009 Patterson Bancshares, Inc Patterson LA Preferred Stock w/ Exercised Warrants 3,690,000 $ Par 

2 4/17/2009 BNB Financial Services Corporation New York NY Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 2 4/17/2009 Omega Capital Corp. Lakewood CO Preferred Stock w/ Exercised Warrants 2,816,000 $ Par 

4/24/2009 Mackinac Financial Corporation Manistique MI Preferred Stock w/ Warrants 11,000,000 $ Par 

2 4/24/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock w/ Exercised Warrants 1,635,000 $ Par 2 4/24/2009 Vision Bank - Texas Richardson TX Preferred Stock w/ Exercised Warrants 1,500,000 $ Par 2 4/24/2009 Oregon Bancorp, Inc. Salem OR Preferred Stock w/ Exercised Warrants 3,216,000 $ Par 2 4/24/2009 Peoples Bancorporation, Inc. Easley SC Preferred Stock w/ Exercised Warrants 12,660,000 $ Par 

2 4/24/2009 Indiana Bank Corp. Dana IN Preferred Stock w/ Exercised Warrants 1,312,000 $ Par 2 4/24/2009 Business Bancshares, Inc. Clayton MO Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 2 4/24/2009 Standard Bancshares, Inc. Hickory Hills IL Preferred Stock w/ Exercised Warrants 60, $ Par 000,000

2 4/24/2009 York Traditions Bank York PA Preferred Stock w/ Exercised Warrants 4,871,000 $ Par 2 4/24/2009 Grand Capital Corporation Tulsa OK Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 4/24/2009 Allied First Bancorp, Inc. Oswego IL Preferred Stock w/ Exercised Warrants 3,652,000 $ Par 8 4/24/2009 Frontier Bancshares, Inc. Austin TX Subordinated Debentures w/ Exercised Warrants $ Par 3,000,000

5/1/2009 Village Bank and Trust Financial Corp Midlothian VA Preferred Stock w/ Warrants 14,738,000 $ Par 

2 5/1/2009 CenterBank Milford OH Preferred Stock w/ Exercised Warrants 2,250,000 $ Par 2 5/1/2009 Georgia Primary Bank Atlanta GA Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 

2 5/1/2009 Union Bank & Trust Company Oxford NC Preferred Stock w/ Exercised Warrants 3,194,000 $ Par 

2 5/1/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants 4,000,000 5/1/2009 HPK Fi i l C ti Chi IL P f d St k / E i d W t $ Par $ 4 000 000 P8 5/1/2009 OSB Financial Services, Inc. Orange TX Subordinated Debentures w/ Exercised Warrants $ Par 6,100,000

8 5/1/2009 Security State Bank Holding-Company Jamestown ND Subordinated Debentures w/ Exercised Warrants $ Par 10,750,0002 5/8/2009 Highlands State Bank Vernon NJ Preferred Stock w/ Exercised Warrants 3,091,000 $ Par 2 5/8/2009 One Georgia Bank Atlanta GA Preferred Stock w/ Exercised Warrants 5,500,000 $ Par 2 5/8/2009 Gateway Bancshares, Inc. Ringgold GA Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

8 5/8/2009 Freeport Bancshares, Inc. Freeport IL Subordinated Debentures w/ Exercised Warrants $ Par 3,000,000

8 5/8/2009 Investors Financial Corporation of Pettis County, Inc. Sedalia MO Subordinated Debentures w/ Exercised Warrants $ Par 4,000,000

8 5/8/2009 Sword Financial Corporation Horicon WI Subordinated Debentures w/ Exercised Warrants $ Par 13,644,000

3, 8 5/8/2009 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures 6,784,000 $ Par 

5/15/2009 Mercantile Bank Corporation Grand Rapids MI Preferred Stock w/ Warrants 21,000,000 $ Par 

2 5/15/2009 Northern State Bank Closter NJ Preferred Stock w/ Exercised Warrants 1,341,000 $ Par 2 5/15/2009 Western Reserve Bancorp, Inc Medina OH Preferred Stock w/ Exercised Warrants 4,700,000 $ Par 

2 5/15/2009 Community Financial Shares, Inc. Glen Ellyn IL Preferred Stock w/ Exercised Warrants 6,970,000 $ Par 2 5/15/2009 Worthington Financial Holdings, Inc. Huntsville AL Preferred Stock w/ Exercised Warrants 2, $ Par 720,000

2 5/15/2009 First Community Bancshares, Inc Overland Park KS Preferred Stock w/ Exercised Warrants 14,800,000 $ Par 

2 5/15/2009 Southern Heritage Bancshares, Inc. Cleveland TN Preferred Stock w/ Exercised Warrants 4,862,000 $ Par 2 5/15/2009 Foresight Financial Group, Inc. Rockford IL Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 

3, 8 5/15/2009 IBC Bancorp, Inc. Chicago IL Subordinated Debentures 4,205,000 $ Par 

8 5/15/2009 Boscobel Bancorp, Inc Boscobel WI Subordinated Debentures w/ Exercised Warrants $ Par 5,586,000

8 5/15/2009 Brogan Bankshares, Inc. Kaukauna WI Subordinated Debentures w/ Exercised 8 5/15/2009 Brogan Bankshares, Inc. Kaukauna WI $ 2,400,000 Par Warrants $ 2,400,000 Par

8 5/15/2009 Riverside Bancshares, Inc. Little Rock AR Subordinated Debentures w/ Exercised Warrants $ Par 1,100,000

8 5/15/2009 Deerfield Financial Corporation Deerfield WI Subordinated Debentures w/ Exercised Warrants $ Par 2,639,000

8 5/15/2009 Market Street Bancshares, Inc. Mt. Vernon IL Subordinated Debentures w/ Exercised Warrants $ Par 20,300,0002 5/22/2009 The Landrum Company Columbia MO Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

2 5/22/2009 First Advantage Bancshares Inc. Coon Rapids MN Preferred Stock w/ Exercised Warrants 1,177,000 $ Par 

2 5/22/2009 Fort Lee Federal Savings Bank Fort Lee NJ Preferred Stock w/ Exercised Warrants 1,300,000 $ Par 2 5/22/2009 Blackridge Financial, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 2 5/22/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 6,272,000 $ Par 

2 5/22/2009 Universal Bancorp Bloomfield IN Preferred Stock w/ Exercised Warrants 9,900,000 $ Par 

2 5/22/2009 Franklin Bancorp, Inc. Washington MO Preferred Stock w/ Exercised Warrants 5,097,000 $ Par 8 5/22/2009 Commonwealth Bancshares, Inc. Louisville KY Subordinated Debentures w/ Exercised Warrants $ Par 20,400,0008 5/22/2009 Premier Financial Corp Dubuque IA Subordinated Debentures w/ Exercised Warrants $ Par 6,349,000

8 5/22/2009 F & C Bancorp, Inc. Holden MO Subordinated Debentures w/ Exercised Warrants $ Par 2,993,000

8 5/22/2009 Diamond Bancorp, Inc. Washington MO Subordinated Debentures w/ Exercised Warrants $ Par 20,445,0008 5/22/2009 United Bank Corporation Barnesville GA Subordinated Debentures w/ Exercised Warrants $ Par 14,400,000

5/29/2009 Community Bank Shares of Indiana, Inc. New Albany IN Preferred Stock w/ Warrants 19,468,000 $ Par 

2 5/29/2009 American Premier Bancorp Arcadia CA Preferred Stock w/ Exercised Warrants 1,800,000 $ Par 2 5/29/2009 CB Holding Corp. Aledo IL Preferred Stock w/ Exercised Warrants 4,114,000 $ Par 2 5/29/2009 Citizens Bancshares Co. Chillicothe MO Preferred Stock w/ Exercised Warrants 24, $ Par 990,0002 5/29/2009 Grand Mountain Bancshares, Inc. Granby CO Preferred Stock w/ Exercised Warrants 3,076,000 $ Par 

2 5/29/2009 5/29/2009 Two Rivers Financial Group Two Rivers Financial Group Burlington Burlington IA Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $ 12 000 000 12,000,000 Par 

8 5/29/2009 Fidelity Bancorp, Inc Baton Rouge LA Subordinated Debentures w/ Exercised Warrants $ Par 3,942,000

8 5/29/2009 Chambers Bancshares, Inc. Danville AR Subordinated Debentures w/ Exercised Warrants $ Par 19,817,0002 6/5/2009 Covenant Financial Corporation Clarksdale MS Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 8 6/5/2009 First Trust Corporation New Orleans LA Subordinated Debentures w/ Exercised Warrants $ Par 17,969,000

8, 10 6/5/2009 OneFinancial Corporation Little Rock AR Subordinated Debentures w/ Exercised Warrants $ Par 17,300,000

2 6/12/2009 Berkshire Bancorp, Inc. Wyomissing PA Preferred Stock w/ Exercised Warrants 2,892,000 $ Par 

2, 10 6/12/2009 First Vernon Bancshares, Inc. Vernon AL Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

2 6/12/2009 SouthFirst Bancshares, Inc. Sylacauga AL Preferred Stock w/ Exercised Warrants 2,760,000 $ Par 

2, 10 6/12/2009 Virginia Company Bank Newport News VA Preferred Stock w/ Exercised Warrants 4,700,000 $ Par 

2 6/12/2009 Enterprise Financial Services Group, Inc. Allison Park PA Preferred Stock w/ Exercised Warrants 4, $ Par 000,000

8, 10 6/12/2009 First Financial Bancshares, Inc. Lawrence KS Subordinated Debentures w/ Exercised Warrants $ Par 3,756,000

8 6/12/2009 River Valley Bancorporation, Inc. Wausau WI Subordinated Debentures w/ Exercised Warrants $ Par 15,000,0002 6/19/2009 Merchants and Manufacturers Bank Corporation Joliet IL Preferred Stock w/ Exercised Warrants 3,510,000 $ Par 

2, 10 6/19/2009 RCB Financial Corporation Rome GA Preferred Stock w/ Exercised Warrants 8,900,000 $ Par 

8 6/19/2009 Manhattan Bancshares, Inc. Manhattan IL Subordinated Debentures w/ Exercised Warrants $ Par 2,639,000

8,10 6/19/2009 Biscayne Bancshares, Inc. Coconut Grove FL Subordinated Debentures w/ Exercised Warrants $ Par 6,400,000

8 6/19/2009 Duke Financial Group, Inc. Minneapolis MN Subordinated Debentures w/ Exercised Warrants $ Par 12,000,000

8 6/19/2009 Farmers Enterprises Inc Great Bend KS Subordinated Debentures w/ Exercised 8 6/19/2009 Farmers Enterprises, Inc. Great Bend KS $ 12 000 000 Par Warrants $ 12,000,000 Par

8 6/19/2009 Century Financial Services Corporation Santa Fe NM Subordinated Debentures w/ Exercised Warrants $ Par 10,000,0008 6/19/2009 NEMO Bancshares Inc. Madison MO Subordinated Debentures w/ Exercised Warrants $ Par 2,330,000

3, 8 6/19/2009 University Financial Corp, Inc. St. Paul MN Subordinated Debentures 11,926,000 $ Par 

8 6/19/2009 Suburban Illinois Bancorp, Inc. Elmhurst IL Subordinated Debentures w/ Exercised Warrants $ Par 15,000,000
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

6/26/2009 Hartford Financial Services Group, Inc. Hartford CT Preferred Stock w/ Warrants 3,400,000,000 $ Par 

2 6/26/2009 Fidelity Resources Company Plano TX Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

2,10 6/26/2009 Waukesha Bankshares, Inc. Waukesha WI Preferred Stock w/ Exercised Warrants 5,625,000 $ Par 

2 6/26/2009 FC Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants 21,042,000 $ Par 

2,10 6/26/2009 Security Capital Corporation Batesville MS Preferred Stock w/ Exercised Warrants 17, $ Par 388,000

2 6/26/2009 First Alliance Bancshares, Inc. Cordova TN Preferred Stock w/ Exercised Warrants 3,422,000 $ Par 2 6/26/2009 Gulfstream Bancshares, Inc. Stuart FL Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 

2,10 6/26/2009 Gold Canyon Bank Gold Canyon AZ Preferred Stock w/ Exercised Warrants 1,607,000 $ Par 

2,3,10 6/26/2009 M&F Bancorp, Inc. Durham NC Preferred Stock 11,735,000 $ Par 

2 6/26/2009 Metropolitan Bank Group, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 71,526,000 $ Par 

2 6/26/2009 NC Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 6,880,000 $ Par 2 6/26/2009 Alliance Bancshares, Inc. Dalton GA Preferred Stock w/ Exercised Warrants 2,986,000 $ Par 8 6/26/2009 Stearns Financial Services, Inc. St. Cloud MN Subordinated Debentures w/ Exercised Warrants $ Par 24,900,0008 6/26/2009 Signature Bancshares, Inc. Dallas TX Subordinated Debentures w/ Exercised Warrants $ Par 1,700,000

8 6/26/2009 Fremont Bancorporation Fremont CA Subordinated Debentures w/ Exercised Warrants $ Par 35,000,0008 6/26/2009 Alliance Financial Services Inc. Saint Paul MN Subordinated Debentures w/ Exercised Warrants $ Par 12,000,000

7/10/2009 Lincoln National Corporation Radnor PA Preferred Stock w/ Warrants 950,000,000 $ Par 

2, 10 7/10/2009 Bancorp Financial, Inc. Oak Brook IL Preferred Stock w/ Exercised Warrants 13,669,000 $ Par 

2 7/17/2009 Brotherhood Bancshares, Inc. Kansas City KS Preferred Stock w/ Exercised Warrants 11,000,000 $ Par 2 7/17/2009 SouthCrest Financial Group, Inc. Fayetteville GA Preferred Stock w/ Exercised Warrants 12,900,000 $ Par 

2,3 7/17/2009 Harbor Bankshares Corporation Baltimore MD Preferred Stock 6,800,000 $ Par 

8 7/17/2009 First South Bancorp, Inc. Lexington TN Subordinated Debentures w/ Exercised Warrants $ Par 50,000,0008 7/17/2009 Great River Holding Company Baxter MN Subordinated Debentures w/ Exercised Warrants $ Par 8,400,000

8,10 7/17/2009 Plato Holdings Inc. Saint Paul MN Subordinated Debentures w/ Exercised Warrants $ Par 2,500,000

7/24/2009 Yadkin Valley Financial Corporation Elkin NC Preferred Stock w/ Warrants 13,312,000 $ Par 

2, 10 7/24/2009 Community Bancshares, Inc. Kingman AZ Preferred Stock w/ Exercised Warrants 3,872,000 $ Par 

2 7/24/2009 Florida Bank Group, Inc. Tampa FL Preferred Stock w/ Exercised Warrants 20,471,000 $ Par 

8 7/24/2009 First American Bank Corporation Elk Grove Village IL Subordinated Debentures w/ Exercised Warrants $ Par 50,000,0002 7/31/2009 Chicago Shore Corporation Chicago IL Preferred Stock w/ Exercised Warrants 7,000,000 $ Par 

8,10 7/31/2009 Financial Services of Winger, Inc. Winger MN Subordinated Debentures w/ Exercised Warrants $ Par 3,742,000

2 8/7/2009 The ANB Corporation Terrell TX Preferred Stock w/ Exercised Warrants 20,000,000 $ Par 2 8/7/2009 U.S. Century Bank Miami FL Preferred Stock w/ Exercised Warrants 50,236,000 $ Par 2 8/14/2009 Bank Financial Services, Inc. Eden Prarie MN Preferred Stock w/ Exercised Warrants 1,004,000 $ Par 

2 8/21/2009 KS Bancorp, Inc. Smithfield NC Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 8 8/21/2009 AmFirst Financial Services, Inc. McCook NE Subordinated Debentures w/ Exercised Warrants $ Par 5,000,000

2, 3 8/28/2009 First Independence Corporation Detroit MI Preferred Stock 3,223,000 $ Par 

2 8/28/2009 First Guaranty Bancshares, Inc. Hammond LA Preferred Stock w/ Exercised Warrants 20,699,000 $ Par 

2, 10 8/28/2009 CoastalSouth Bancshares, Inc. Hilton Head Island SC Preferred Stock w/ Exercised Warrants 16,015,000 $ Par 

S b di t d D b t / E i d 8, 10 8/28/2009 TCB Corporation Greenwood SC Subordinated Debentures w/ Exercised Warrants $ Par 9,720,000
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

Footnote

Purchase Date 

Seller Purchase Details Capi

Capita

Repaymen

8, 10 9/4/2009 The State Bank of Bartley Bartley NE Subordinated Debentures w/ Exercised Warrants $ Par 1,697,000

9/11/2009 Pathfinder Bancorp, Inc. Oswego NY Preferred Stock w/ Warrants 6,771,000 $ Par 

2 9/11/2009 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock w/ Exercised Warrants $52,000,000 Par 

2, 10 9/11/2009 Heartland Bancshares, Inc. Franklin IN Preferred Stock w/ Exercised Warrants $7,000,000 Par 

2, 10 9/11/2009 PFSB Bancorporation, Inc. Pigeon Falls WI Preferred Stock w/ Exercised Warrants $1,500,000 Par 

8 9/11/2009 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures w/ Exercised Warrants $7,500,000 Par 

2, 10 9/18/2009 IA Bancorp, Inc. Iselin NJ Preferred Stock w/ Exercised Warrants $5,976,000 Par 2, 10 9/18/2009 HomeTown Bankshares Corporation Roanoke VA Preferred Stock w/ Exercised Warrants $10,000,000 Par 2, 10 9/25/2009 Heritage Bankshares, Inc. Norfolk VA Preferred Stock w/ Exercised Warrants $10,103,000 Par 

2 9/25/2009 Mountain Valley Bancshares, Inc. Cleveland GA Preferred Stock w/ Exercised Warrants $3,300,000 Par 8 9/25/2009 Grand Financial Corporation Hattiesburg MS Subordinated Debentures w/ Exercised Warrants $2,443,320 Par 

3, 8 9/25/2009 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $14,000,000 Par 

8, 10 9/25/2009 GulfSouth Private Bank Destin FL Subordinated Debentures w/ Exercised Warrants $7,500,000 Par 

8, 10 9/25/2009 Steele Street Bank Corporation Denver CO Subordinated Debentures w/ Exercised Warrants $11,019,000 Par 

Total Purchase Amount 204,617,573,320 $ Total Capit

TOTAL TREASURY CPP INVESTMENT AMOUNT 

8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.

9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.10/ This institution participated in the expansion of CPP for small banks.1/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred p

was funded on 1/9/2009.11/ Treasury has 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 up to $25 b

Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to pur

associated warrant terminated on receipt of certain shareholder approvals.2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.12/ On 8/24/2009, Treasury exchanged its Series C Preferred Stock issued by Popular, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Popular Capital Trust III, administrative trustee 

5/ Redemption pursuant to a qualified equity offering.
15 12/29/2008 GMAC LLC Detroit MI Purchase

Preferred Stock w/ Exercised Warrants 5,000,000,000 $ Par

1, 20 12/29/2008 General Motors Corporation Detroit MI Purchase Debt Obligation 884,024,131 $ N/A 5/29/2009 Exchange Equity Interest in 

20 12/31/2008 General Motors Corporation Detroit MI Purchase

Debt Obligation w/ Warrants and Additional Note 13,400,000,000 $ N/A 7/10/2009 Exchange

Preferred and coin General Motor

14, 21 1/2/2009 Chrysler Holding LLC Auburn Hills MI Purchase Debt Obligation w/ Additional Note 4,000,000,000 $ N/A

3, 20 4/22/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note 2,000,000,000 $ N/A 7/10/2009 Exchange

Preferred and coin General Motor

Investmen

Pricing 

Mechanism Date

N/A

State

Transaction 

Type Investment Description Investment Amount

2 1/16/2009 Chrysler Financial Services Americas LLC Farmington Hills MI Purchase Debt Obligation w/ Additional Note 1,500,000,000 $ 

Transaction Type

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Footnote Date

Seller Purchase Details Excha

Name of Institution City

4, 5, 21 4/29/2009 Chrysler Holding LLC Auburn Hills MI Purchase Debt Obligation w/ Additional Note 500,000,000 $ N/A

4, 6, 21 4/29/2009 Chrysler Holding LLC Auburn Hills MI Purchase Debt Obligation w/ Additional Note 280,130,642 $ N/A 

7 5/1/2009 Chrysler LLC Wilmington DE Purchase Debt Obligation w/ Additional Note 3,043,143,000 $ N/A8 5/20/2009 Chrysler LLC Wilmington DE Purchase Debt Obligation w/ Additional Note 756,857,000 $ N/A

9, 20 5/20/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note 4,000,000,000 $ N/A 7/10/2009 Exchange

Preferred and coin General Motor

15 5/21/2009 GMAC LLC Detroit MI Purchase

Preferred Stock w/ Exercised Warrants 7,500,000,000 $ Par

10 5/27/2009 New CarCo Acquisition LLC Wilmington DE Purchase

Debt Obligation w/ Additional Note, Equity Interest 6,642,000,000 $ N/A

11, 20 5/27/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note 360,624,198 $ N/A 7/10/2009 Exchange

Preferred and coin General Motor

13, 20 6/3/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note 23,027,511,395 $ N/A 7/10/2009 Exchange

Preferred and coin General Motor

18 7/10/2009 General Motors Company Detroit MI Purchase Debt Obligation w/ Additional Note, Equity Interest $ N/A 7,072,488,605 

Total Initial Investment Amount $ 79,966,778,971 

$ 77

TOTAL TREASURY INVESTMENT AMOUNT

1/ Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate level of funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect th

2/ The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler Financial. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reach3/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, which brought the total loan amount to $15,400,000,000.

4/ This transaction is an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding LLC, increasing the total loan amount to $4,780,130,642. 5/ The loan may be incrementally funded.

9/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, which brought the total loan amount to $19,400,000,000, including the 4/22/2009 amendment.

7/ The terms of this transaction, first reported based on a binding term sheet fully executed on 5/1/2009, but made effective as of 4/30/2009, are now finalized and reflected in a credit agreement fully executed on 5/5/2009. Under the terms of 

possession (DIP) credit facility. The amount of $1.4 billion, of which Treasury's share is $1.04 billion, is available in weekly disbursements under the terms of the Bankruptcy Court's interim order approving the DIP credit facility; the balance wil6/ The loan will be used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Chrysler LLC. 

8/ This transaction is an amendment to Treasury's DIP credit agreement with Chrysler LLC dated 5/5/2009 and increases Treasury's commitment to $3,800,000,000. The amendment was fully executed on 5/20/2009, but was made effective a

10/ The terms of this transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, are now finalized and reflected in a credit agreement fully executed on 6/10/2009. Under the terms of the cr

$6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed from Treasury's 1/2/2009 credit agreement with Chrysler Holding LLC. The debt obligations will be secured by a first priority lien on the assets 

11/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, which brings the total loan amount to $19,760,624,198, including the 4/22/2009 and 5/20/2009 amendments. The $360 million loan 

included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 17. 13/ Under the terms of the $33.3 billion debtor-in-possession (DIP) credit agreement, Treasury's commitment amount is $30.1 billion. Up to $15 billion is available pursuant to the interim order the Bankruptcy Court entered approving the DIP c

approving the DIP credit facility. 12/ Pursuant to its rights under the loan agreement with General Motors Corporation (GM) reported on 12/29/2009, Treasury exchanged its $884 million loan to GM for a portion of GM’s common equity interest in GMAC LLC. As a result of the 
Name of Institution City State Adjustment Amount Adjusted Invest

1 4/9/2009

GM Supplier Receivables LLC Wilmington DE Purchase Debt Obligation w/ Additional Note 3,500,000,000 $ N/A 7/8/2009 3 $ 2

(1,000,000,000) $ 

2 4/9/2009

Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 1,500,000,000 N/A 7/8/2009 3 $ 1

(500,000,000) $ 

INITIAL TOTAL $ ADJUSTED TOTAL 3

5,000,000,000 $ 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

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. 

Receivables LLC on 7/10/2009.2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agr

6/10/2009. 

Date

Seller

21/ Chrysler Holding LLC is now known as CGI Holding LLC.

Pricing 

Mechanism

Adjustment Details

Adjustment 

Date

Transaction 

Type Investment Description Investment Amount

17/ On 7/10/2009, Treasury and Motors Liquidation Company (formerly known as General Motors Corporation) amended the 6/3/2009 DIP credit agreement for $30.1 billion between Treasury and General Motors Corporation. Under the terms 

in General Motors Company (the new GM) except for $986 million, which remained for the benefit of Motors Liquidation Company, and $7.07 billion, which was assumed by General Motors Company as a new obligation under the terms of a s

Company.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote

14/ Pursuant to the agreement originally reported on 5/27/2009 and fully executed on 6/10/2009 (explained in Footnote 10), $500 million of this deal's debt will be assumed under that fully executed agreement.15/ GMAC LLC is now known as GMAC Inc. effective 6/30/2009.16/ This investment amount was funded as a prepayment of the new General Motors Company's assumed note described in footnote 17.

18/ On 7/10/2009, Treasury and General Motors Company entered into an agreement under which General Motors Company assumed $7.07 billion of General Motors Corporation’s (now known as Motors Liquidation Company) obligation und

19/ This amount does not include accrued and unpaid interest, which must be paid at the time of principal repayment.20/ General Motors Corporation is now known as Motors Liquidation Company.
Seller 

Name of Institution City State 

1 12/31/2008 Citigroup Inc. New York NY Purchase Trust Preferred Securities 20,000,000,000 $ Par

1/16/2009 Bank of America Corporation Charlotte NC Purchase Preferred Stock w/ Warrants 20,000,000,000 $ Par

TOTAL $ 40,000,000,000

Name of Institution City State

1, 2 1/16/2009 Citigroup Inc. New York NY Guarantee Trust Preferred Securities $ 5,000,000,000

Preferred 

Stock and 

Warrants

TOTAL $ 5,000,000,000

1/ Treasury has 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/Securities.

ASSET GUARANTEE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description Guarantee Limit

Premium 

Received

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

Pricing 

Mechanism

2/ Treasury has 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/agreement, “dollar for dollar” for Trust Preferred Securities. 

TARGETED INVESTMENT PROGRAM

Footnote Date 

Transaction 

Type Investment Description Investment Amount

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.

Name of Institution City State

1 3/3/2009 TALF LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 20,000,000,000 N/A

TOTAL $ 20,000,000,000

Seller 

Name of Institution City State 

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism Transaction Type 

11/25/2008 AIG New York NY Purchase Preferred Stock w/ Warrants 40,000,000,000 $ Par 4/17/2009 Exchange Preferred Stock w

3 4/17/2009 AIG New York NY Purchase Preferred Stock w/ Warrants 29,835,000,000 $ Par 2

TOTAL $ 69,835,000,000

1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York. The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.

2/ The investment price reflects 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.

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully Series D Preferred Shares due to Treasury through and including the exchange date.

Investment Amount

Pricing 

Footnote Mechanism

SYSTEMICALLY SIGNIFICANT FAILING INSTITUTIONS

Footnote Date 

Purchase Details Excha

 Date Investmen

3/ This transaction does not include AIG's commitment fee of an additional $165 million scheduled to be paid from its operating income in three equal installments over the five-year life of the facility.

Date

Seller Transaction 

Type Investment Description 
Footnote Date Seller

Transaction 

Type Investment Description Investment Amount

Pr

Mech

Name of Institution City State

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $1,111,111,111 P2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $2,222,222,222 P

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $1,111,111,111 P2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $2,222,222,222 P

TOTAL $6,666,666,666

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

1/ The equity amount may be incrementally funded. Investment 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. Investment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
Servicer Modifying Borrowers' Loans

Name of Institution City State 

HOME AFFORDABLE MODIFICATION PROGRAM

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Lenders/Investors (Cap) 1

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 376,000,000 4/13/2009 CitiMortgage, Inc. O'Fallon Purchase MO Financial Instrument for Home Loan Modifications $ 2,071,000,000 4/13/2009 Wells Fargo Bank, NA Des Moines4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 

IA Purchase Financial Instrument for Home Loan Modifications $ 2,873,000,000 

4/13/2009 Irving Saxon Mortgage Services, Inc. TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 

4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications $ 3,552,000,000 

4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 4/20/20094/20/20094/17/20094/17/2009

 $ 366,000,000  $ 319,000,000  $ 1,864,000,000  $ 798,900,000 

Financial Instrument for Home Loan ModificationsFinancial Instrument for Home Loan ModificationsFinancial Instrument for Home Loan ModificationsFinancial Instrument for Home Loan Modifications

BeavertonPittsburghSimi ValleySimi Valley

Wilshire Credit CorporationHome Loan Services, Inc.Countrywide Home Loans Servicing LPBank of America, N.A.

PurchasePurchasePurchasePurchase

OR

PA

CACA

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 156,000,000 

Financial Instrument for Home Loan Modifications

PurchasePurchase

Financial Instrument for Home Loan Modifications

$ 798,000,000$ 195,000,000

Carrington Mortgage Services, LLC

5/1/2009

4/27/2009

Aurora Loan Services, LLC

CA

LittletonSanta Ana

CO
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Lenders/Investors (Cap) 1

6/12/2009 Residential Credit Solutions Fort Worth TX Purchase Financial Instrument for Home Loan Modifications 19,400,000 $ 6/17/2009 CCO Mortgage Glen Allen VA Purchase Financial Instrument for Home Loan Modifications 16,520,000 $ 6/17/2009 RG Mortgage Corporation San Juan PR Purchase Financial Instrument for Home Loan Modifications 57,000,000 $ 

6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications 770,000 $ 6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications 540,000 $ 6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications 30,000 $ 6/26/2009 Technology Credit Union San Jose CA Purchase Financial Instrument for Home Loan Modifications 70,000 $ 6/26/2009 National City Bank Miamisburg OH Purchase Financial Instrument for Home Loan Modifications 294,980,000 $ 

5/28/2009 Nationstar Mortgage LLC Lewisville TX Purchase Financial Instrument for Home Loan Modifications 101,000,000 $ 

7/1/2009 Wachovia Mortgage, FSB Des Moines IA Purchase Financial Instrument for Home Loan Modifications 634,010,000 $ 

7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications 44,260,000 $ 

7/10/2009 Lake National Bank Mentor OH Purchase Financial Instrument for Home Loan Modifications 100,000 $ 7/10/2009 IBM Southeast Employees' Federal Credit Union Delray Beach FL Purchase Financial Instrument for Home Loan Modifications 87 $ 

0,000 

7/17/2009 MorEquity, Inc. Evansville IN Purchase Financial Instrument for Home Loan Modifications 23,480,000 $ 7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications 54,470,000 $ 7/17/2009 Farmers State Bank West Salem OH Purchase Financial Instrument for Home Loan Modifications 170,000 $ 7/17/2009 ShoreBank Chicago IL Purchase Financial Instrument for Home Loan Modifications 1,410,000 $ 7/22/2009 American Home Mortgage Servicing, Inc Coppell TX Purchase Financial Instrument for Home Loan Modifications 1,272,490,000 $ 7/22/2009 Mortgage Center, LLC Southfield MI Purchase Financial Instrument for Home Loan Modifications 4,210,000 $ 7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications 860,000 $ 7/29/2009 First Bank St. Louis MO Purchase Financial Instrument for Home Loan Modifications 6,460,000 $ 7/29/2009 Purdue Employees Federal Credit Union West Lafayette IN Purchase Financial Instrument for Home Loan Modifications 1,090,000 $ 

7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications 85,020,000 $ 

7/31/2009 J.P.Morgan Chase Bank, NA Lewisville TX Purchase Financial Instrument for Home Loan Modifications 2,699,720,000 $ 7/31/2009 EMC Mortgage Corporation Lewisville TX Purchase Financial Instrument for Home Loan Modifications 707,380,000 $ 

8/5/2009 Lake City Bank Warsaw IN Purchase Financial Instrument for Home Loan Modifications 420,000 $ 8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications 140,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Lenders/Investors (Cap) 1

8/5/2009 HomEq Servicing North Highlands CA Purchase Financial Instrument for Home Loan Modifications 674,000,000 $ 

8/12/2009 Litton Loan Servicing LP Houston TX Purchase Financial Instrument for Home Loan Modifications 774,900,000 $ 8/12/2009 PennyMac Loan Services, LLC Calasbasa CA Purchase Financial Instrument for Home Loan Modifications 6,210,000 $ 8/12/2009 Servis One, Inc. Titusville PA Purchase Financial Instrument for Home Loan Modifications 29,730,000 $ 8/28/2009 OneWest Bank Pasadena CA Purchase Financial Instrument for Home Loan Modifications 668,440,000 $ 8/28/2009 Stanford Federal Credit Union Palo Alto CA Purchase Financial Instrument for Home Loan Modifications 300,000 $ 8/28/2009 RoundPoint Mortgage Servicing Corporation Charlotte NC Purchase Financial Instrument for Home Loan Modifications 570,000 $ 

9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications 560,000 $ 9/2/2009 Vantium Capital, Inc. Plano TX Purchase Financial Instrument for Home Loan Modifications 6,000,000 $ 9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications 1,250, $ 

000

9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications 114,220,000 $ 9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications 4,350,000 $ 

9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications 2,070,000 $ 9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala FL Purchase Financial Instrument for Home Loan Modifications 250,000 $ 9/11/2009 Metropolitan National Bank Little Rock AR Purchase Financial Instrument for Home Loan Modifications 280,000 $ 9/11/2009 Franklin Credit Management Corporation Jersey City NJ Purchase Financial Instrument for Home Loan Modifications 27,510,000 $ 9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications 410,000 $ 

9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications 4,390,000 $ 9/23/2009 Schools Financial Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications 390,000 $ 9/23/2009 Glass City Federal Credit Union Maumee OH Purchase Financial Instrument for Home Loan Modifications 230,000 $ 9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications 30,000 $ 9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications 240,000 $ 

9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications 440,000 $ 

Total Initial Cap $ 23,411,540,000 

TOTAL CAP 

1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments tThe 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 Adjustm2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.