*Investment Status Definition Key

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

Redeemed – institution has repaid Treasury’s investment

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

Exited bankruptcy/receivership - Treasury has no outstanding investment

Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

11 1ST CONSTITUTION BANCORP CRANBURY NJ 12/23/2008 Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in full; warrants not outstanding

1ST CONSTITUTION BANCORP CRANBURY NJ 10/27/2010 $12,000,000.00 12,000 $1,000.00

1ST CONSTITUTION BANCORP CRANBURY NJ 11/22/2011 $326,576.00 231,782

8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 2/13/2009 Preferred Stock w/ Warrants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, in full; warrants not outstanding

1ST ENTERPRISE BANK LOS ANGELES CA 12/11/2009 $6,000,000.00

1ST ENTERPRISE BANK LOS ANGELES CA 9/1/2011 $10,400,000.00 10,400 $1,000.00 $220,000.00 220

102 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 11/14/2008 Preferred Stock w/ Warrants $16,369,000.00 $0.00 $9,229,948.97 Sold, in full; warrants not outstanding

1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 12/31/2013 $8,000,000.00 16,369 $488.73 ($8,369,000.00)

11 1ST SOURCE CORPORATION SOUTH BEND IN 1/23/2009 Preferred Stock w/ Warrants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, in full; warrants not outstanding

1ST SOURCE CORPORATION SOUTH BEND IN 12/29/2010 $111,000,000.00 111,000 $1,000.00

1ST SOURCE CORPORATION SOUTH BEND IN 3/9/2011 $3,750,000.00 837,947

8,11,14 1ST UNITED BANCORP, INC. BOCA RATON FL 3/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, in full; warrants not outstanding

1ST UNITED BANCORP, INC. BOCA RATON FL 11/18/2009 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

AB&T FINANCIAL CORPORATION GASTONIA NC 1/23/2009 Preferred Stock w/ Warrants $3,500,000.00 $0.00 $1,274,909.59 Sold, in full; warrants outstanding

AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

AB&T FINANCIAL CORPORATION GASTONIA NC 1/6/2014 ($50,000.00)

AB&T FINANCIAL CORPORATION GASTONIA NC 2/10/2014 $150,621.36 536 $281.01 ($385,378.64)

AB&T FINANCIAL CORPORATION GASTONIA NC 3/19/2014 ($1,506.21)

8,14,44 ADBANC, INC. OGALLALA NE 1/30/2009 Preferred Stock w/ Exercised Warrants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, in full; warrants not outstanding

ADBANC, INC. OGALLALA NE 7/21/2011 $12,720,000.00 12,720 $1,000.00 $636,000.00 636

8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 1/23/2009 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 $7,674,004.73 Sold, in full; warrants not outstanding

ALARION FINANCIAL SERVICES, INC. OCALA FL 7/19/2013 $877,729.70 893 $982.90 ($15,270.30)

ALARION FINANCIAL SERVICES, INC. OCALA FL 7/22/2013 $5,524,880.90 5,621 $982.90 ($96,119.10) $337,363.35 326

ALARION FINANCIAL SERVICES, INC. OCALA FL 9/12/2013 ($64,026.11)

104 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 2/6/2009 Preferred Stock w/ Warrants $4,781,000.00 $0.00 $7,501,881.70 Sold, in full; warrants not outstanding

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11/28/2012 $208,870.74 234 $892.61 ($25,129.26)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11/29/2012 $4,058,697.67 4,547 $892.61 ($488,302.33)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 1/11/2013 ($42,675.67)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 3/26/2013 ($7,324.33)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 4/1/2014 $2,370,908.26 175,772

ALLIANCE BANCSHARES, INC. DALTON GA 6/26/2009 Preferred Stock w/ Exercised Warrants $2,986,000.00 $0.00 $3,581,397.27 Sold, in full; warrants not outstanding

ALLIANCE BANCSHARES, INC. DALTON GA 3/27/2013 $94,153.69 101

ALLIANCE BANCSHARES, INC. DALTON GA 3/28/2013 $2,856,437.46 2,986 $956.61 ($129,562.54) $44,746.31 48

ALLIANCE BANCSHARES, INC. DALTON GA 4/9/2013 ($25,000.00)

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 12/19/2008 Preferred Stock w/ Warrants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, in full; warrants not outstanding

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 5/13/2009 $26,918,000.00 26,918 $1,000.00

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 6/17/2009 $900,000.00 173,069

14,15 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $9,806,136.60 Sold, in full; warrants not outstanding

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 2/6/2013 $3,375,945.00 4,500,000 $0.75 ($1,124,055.00)

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 2/7/2013 $5,626,575.00 7,500,000 $0.75 ($1,873,425.00) $504,900.00 600,000

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 3/26/2013 ($90,025.20)

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

8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 3/27/2009 Preferred Stock w/ Exercised Warrants $70,000,000.00 $0.00 $73,129,160.69 Sold, in full; warrants not outstanding

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/19/2012 $6,559,920.24 8,056 $814.29 ($1,496,079.76)

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/20/2012 $50,160,264.00 61,600 $814.29 ($11,439,736.00) $3,291,750.00 3,500

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 11/16/2012 ($570,003.00)

8,14,45 AMB FINANCIAL CORPORATION MUNSTER IN 1/30/2009 Preferred Stock w/ Exercised Warrants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, in full; warrants not outstanding

AMB FINANCIAL CORPORATION MUNSTER IN 9/22/2011 $3,674,000.00 3,674 $1,000.00 $184,000.00 184

8,14,44 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 3/6/2009 Preferred Stock w/ Exercised Warrants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, in full; warrants not outstanding

AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 9/15/2011 $2,492,000.00 2,492 $1,000.00 $125,000.00 125

11 AMERICAN EXPRESS COMPANY NEW YORK NY 1/9/2009 Preferred Stock w/ Warrants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, in full; warrants not outstanding

AMERICAN EXPRESS COMPANY NEW YORK NY 6/17/2009 $3,388,890,000.00 3,388,890 $1,000.00

AMERICAN EXPRESS COMPANY NEW YORK NY 7/29/2009 $340,000,000.00 24,264,129

8,11,14 AMERICAN PREMIER BANCORP ARCADIA CA 5/29/2009 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, in full; warrants not outstanding

AMERICAN PREMIER BANCORP ARCADIA CA 1/26/2011 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

8,11,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 1/9/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, in full; warrants not outstanding

AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 11/2/2011 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

AMERIS BANCORP MOULTRIE GA 11/21/2008 Preferred Stock w/ Warrants $52,000,000.00 $0.00 $59,637,438.67 Sold, in full; warrants not outstanding

AMERIS BANCORP MOULTRIE GA 6/19/2012 $48,391,200.00 ($725,868.00) 52,000 $930.60 ($3,608,800.00)

AMERIS BANCORP MOULTRIE GA 8/22/2012 $2,670,000.00 698,554

45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 12/19/2008 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, in full; warrants not outstanding

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 8/11/2011 $21,000,000.00 21,000 $1,000.00

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11/2/2011 $825,000.00 1,312,500

14,15 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 8/21/2009 Subordinated Debentures w/ Exercised Warrants $5,000,000.00 $0.00 $6,523,255.00 Sold, in full; warrants not outstanding

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/26/2013 $359,040.00 374,000 $0.96 ($14,960.00)

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/27/2013 $2,112,000.00 2,200,000 $0.96 ($88,000.00)

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/28/2013 $2,328,960.00 2,426,000 $0.96 ($97,040.00) $259,875.00 250,000

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 4/9/2013 ($48,000.00)

94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 1/30/2009 Preferred Stock w/ Warrants $110,000,000.00 $0.00 $6,000,000.00 Sold, in full; warrants not outstanding

ANCHOR BANCORP WISCONSIN, INC. MADISON WI 9/27/2013 $6,000,000.00 60,000,000 $0.10 ($104,000,000.00)

11,90 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 1/30/2009 Preferred Stock w/ Warrants $8,152,000.00 $0.00 $13,378,714.00 Redeemed, in full; warrants not outstanding

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 4/18/2012 $4,076,000.00 4,076 $1,000.00

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 3/6/2013 $4,076,000.00 4,076 $1,000.00

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 5/28/2015 $3,735,577.67 367,916

11 ASSOCIATED BANC-CORP GREEN BAY WI 11/21/2008 Preferred Stock w/ Warrants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, in full; warrants not outstanding

ASSOCIATED BANC-CORP GREEN BAY WI 4/6/2011 $262,500,000.00 262,500 $1,000.00

ASSOCIATED BANC-CORP GREEN BAY WI 9/14/2011 $262,500,000.00 262,500 $1,000.00

ASSOCIATED BANC-CORP GREEN BAY WI 12/6/2011 $3,435,005.65 3,983,308

8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 12/29/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,503,554.78 Sold, in full; warrants not outstanding

ATLANTIC BANCSHARES, INC. BLUFFTON SC 2/7/2014 $1,950,000.00 1,950 $1,150.00 $292,500.00 $95,031.02 88

ATLANTIC BANCSHARES, INC. BLUFFTON SC 2/10/2014 $50,000.00 50 $1,150.00 $7,500.00 $10,798.98 10

ATLANTIC BANCSHARES, INC. BLUFFTON SC 3/19/2014 ($25,000.00)

8,14,44 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 2/27/2009 Preferred Stock w/ Exercised Warrants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, in full; warrants not outstanding

AVENUE FINANCIAL HOLDINGS NASHVILLE TN 9/15/2011 $7,400,000.00 7,400 $1,000.00 $370,000.00 370

11 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 1/30/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, in full; warrants not outstanding

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 7/31/2013 $6,000,000.00 6,000 $1,000.00

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 8/28/2013 $190,781.12 81,670

8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 3/13/2009 Preferred Stock w/ Exercised Warrants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, in full; warrants not outstanding

BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 7/14/2011 $21,100,000.00 21,100 $1,000.00 $1,055,000.00 1,055

8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 7/10/2009 Preferred Stock w/ Exercised Warrants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, in full; warrants not outstanding

BANCORP FINANCIAL, INC. OAK BROOK IL 8/18/2011 $13,669,000.00 13,669 $1,000.00 $410,000.00 410

11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, in full; warrants not outstanding

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 8/5/2009 $30,000,000.00 30,000 $1,000.00

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 9/30/2009 $1,400,000.00 192,967

8,11,14 BANCPLUS CORPORATION RIDGELAND MS 2/20/2009 Preferred Stock w/ Exercised Warrants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, in full; warrants not outstanding

BANCPLUS CORPORATION RIDGELAND MS 9/29/2010 $48,000,000.00 48,000 $1,000.00 $2,400,000.00 2,400

8,14 BANCSTAR, INC. FESTUS MO 4/3/2009 Preferred Stock w/ Exercised Warrants $8,600,000.00 $0.00 $10,701,460.58 Sold, in full; warrants not outstanding

BANCSTAR, INC. FESTUS MO 4/26/2013 $98,267.00 100 $982.67 ($1,733.00)

BANCSTAR, INC. FESTUS MO 4/29/2013 $8,352,695.00 8,500 $982.67 ($147,305.00) $426,338.55 430

BANCSTAR, INC. FESTUS MO 5/31/2013 ($84,509.62)

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending June 29, 2016

Capital Repayment / Disposition / Auction3,5 Warrant Proceeds

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

In full – all of Treasury’s investment amount

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

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

Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant Report (such as sale back to company 

and auctions) or Treasury did not receive a warrant to purchase additional stock

CAPITAL PURCHASE PROGRAM
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, in full; warrants not outstanding

BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 2/15/2013 $50,000,000.00 50,000 $1,000.00 $15,000.00 730,994

8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 8/14/2009 Preferred Stock w/ Exercised Warrants $1,004,000.00 $0.00 $1,114,680.76 Sold, in full; warrants not outstanding

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 12/19/2012 $451,600.92 486 $929.22 ($34,399.08)

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 12/20/2012 $481,335.96 518 $929.22 ($36,664.04) $23,500.00 50

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 1/11/2013 ($9,329.37)

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 3/26/2013 ($15,670.63)

6,7,11 BANK OF AMERICA CHARLOTTE NC 10/28/2008 Preferred Stock w/ Warrants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, in full; warrants not outstanding

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

BANK OF AMERICA CHARLOTTE NC 12/9/2009 $25,000,000,000.00 1,000,000 $25,000.00

BANK OF AMERICA CHARLOTTE NC 3/9/2010 $305,913,040.28 121,792,790

8,14 BANK OF COMMERCE CHARLOTTE NC 1/16/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,087,573.33 Sold, in full; warrants not outstanding

BANK OF COMMERCE CHARLOTTE NC 11/30/2012 $2,502,000.00 3,000 $834.00 ($498,000.00) $100,100.00 150

BANK OF COMMERCE CHARLOTTE NC 1/11/2013 ($25,000.00)

44 BANK OF COMMERCE HOLDINGS REDDING CA 11/14/2008 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, in full; warrants not outstanding

BANK OF COMMERCE HOLDINGS REDDING CA 9/27/2011 $17,000,000.00 17,000 $1,000.00

BANK OF COMMERCE HOLDINGS REDDING CA 10/26/2011 $125,000.00 405,405

8 BANK OF GEORGE LAS VEGAS NV 3/13/2009 Preferred Stock w/ Exercised Warrants $2,672,000.00 $0.00 $1,233,940.00 Sold, in full; warrants not outstanding

BANK OF GEORGE LAS VEGAS NV 10/21/2013 $955,240.00 2,672 $357.50 ($1,716,760.00) $23,709.00 134

BANK OF GEORGE LAS VEGAS NV 1/6/2014 ($25,000.00)

11 BANK OF MARIN BANCORP NOVATO CA 12/5/2008 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, in full; warrants not outstanding

BANK OF MARIN BANCORP NOVATO CA 3/31/2009 $28,000,000.00 28,000 $1,000.00

BANK OF MARIN BANCORP NOVATO CA 11/23/2011 $1,703,984.00 154,908

11 BANK OF NEW YORK MELLON NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, in full; warrants not outstanding

BANK OF NEW YORK MELLON NEW YORK NY 6/17/2009 $3,000,000,000.00 3,000,000 $1,000.00

BANK OF NEW YORK MELLON NEW YORK NY 8/5/2009 $136,000,000.00 14,516,129

105 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 4/17/2009 Preferred Stock w/ Warrants $13,179,000.00 $0.00 $4,334,427.00 Sold, in full; warrants not outstanding

BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 7/16/2014 $3,294,750.00 13,179 $250.00 ($9,884,250.00)

11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12/12/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, in full; warrants not outstanding

BANK OF THE OZARKS, INC. LITTLE ROCK AR 11/4/2009 $75,000,000.00 75,000 $1,000.00

BANK OF THE OZARKS, INC. LITTLE ROCK AR 11/24/2009 $2,650,000.00 379,811

8,106 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 1/30/2009 Preferred Stock w/ Exercised Warrants $12,639,000.00 $0.00 $17,097,990.60 Redeemed, in full; warrants not outstanding

BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 4/24/2014 $12,639,000.00 12,639 $1,000.00 $632,000.00 632

8,14,44 BANKFIRST CAPITAL CORPORATION MACON MS 1/23/2009 Preferred Stock w/ Exercised Warrants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, in full; warrants not outstanding

BANKFIRST CAPITAL CORPORATION MACON MS 9/8/2011 $15,500,000.00 15,500 $1,000.00 $775,000.00 775

8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $1,100,653.50 Sold, in full; warrants not outstanding

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11/9/2012 $900,000.00 1,000 $900.00 ($100,000.00) $21,880.50 50

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 1/11/2013 ($9,000.00)

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 3/26/2013 ($16,000.00)

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 11/21/2008 Preferred Stock w/ Warrants $124,000,000.00 $0.00 $129,079,862.47 Sold, in full; warrants not outstanding

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 4/3/2012 $109,717,680.00 ($1,645,765.20) 124,000 $884.82 ($14,282,320.00)

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 6/12/2013 $134,201.00 243,998

8,14,44 BANNER COUNTY BAN CORPORATION HARRISBURG NE 2/6/2009 Preferred Stock w/ Exercised Warrants $795,000.00 $0.00 $942,411.42 Redeemed, in full; warrants not outstanding

BANNER COUNTY BAN CORPORATION HARRISBURG NE 7/28/2011 $795,000.00 795 $1,000.00 $40,000.004

12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 1/16/2009 Preferred Stock w/ Warrants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, in full; warrants not outstanding

BAR HARBOR BANKSHARES BAR HARBOR ME 2/24/2010 $18,751,000.00 18,751 $1,000.00

BAR HARBOR BANKSHARES BAR HARBOR ME 7/28/2010 $250,000.00 52,455

11 BB&T CORP. WINSTON-SALEM NC 11/14/2008 Preferred Stock w/ Warrants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, in full; warrants not outstanding

BB&T CORP. WINSTON-SALEM NC 6/17/2009 $3,133,640,000.00 3,134 $1,000,000.00

BB&T CORP. WINSTON-SALEM NC 7/22/2009 $67,010,401.86 13,902,573

8,112 BCB HOLDING COMPANY, INC. THEODORE AL 4/3/2009 Preferred Stock w/ Exercised Warrants $1,706,000.00 $0.00 $2,315,853.14 Redeemed, in full; warrants not outstanding

BCB HOLDING COMPANY, INC. THEODORE AL 7/1/2014 $1,706,000.00 1,706 $1,000.00 $85,000.00 85

11 BCSB BANCORP, INC. BALTIMORE MD 12/23/2008 Preferred Stock w/ Warrants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, in full; warrants not outstanding

BCSB BANCORP, INC. BALTIMORE MD 1/26/2011 $10,800,000.00 10,800 $1,000.00

BCSB BANCORP, INC. BALTIMORE MD 4/19/2013 $1,442,000.00 183,465

8,11,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 1/30/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, in full; warrants not outstanding

BEACH BUSINESS BANK MANHATTAN BEACH CA 7/6/2011 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 10/19/2011 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 3/7/2012 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 6/6/2012 $1,200,000.00 1,200 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 6/27/2012 $300,000.00 300 $1,000.00 $300,000.00 300

8,11,14 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 6/12/2009 Preferred Stock w/ Exercised Warrants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, in full; warrants not outstanding

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12/28/2011 $2,892,000.00 2,892 $1,000.00 $145,000.00 145

11 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 12/19/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, in full; warrants not outstanding

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 5/27/2009 $40,000,000.00 40,000 $1,000.00

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 6/24/2009 $1,040,000.00 226,330

8,14,44 BERN BANCSHARES, INC. BERN KS 2/13/2009 Preferred Stock w/ Exercised Warrants $985,000.00 $0.00 $1,172,062.50 Redeemed, in full; warrants not outstanding

BERN BANCSHARES, INC. BERN KS 9/1/2011 $985,000.00 985 $1,000.00 $50,000.00

5

8,14,18 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 4/24/2009 Preferred Stock w/ Exercised Warrants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, in full; warrants not outstanding

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

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 7/28/2011 $3,379,000.00 3,379 $1,000.00 $82,000.00 82

15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $6,400,000.00 $0.00 $8,271,975.28 Sold, in full; warrants not outstanding

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 2/7/2013 $2,532,140.00 2,600,000 $0.97 ($67,860.00) $64,158.97 64,000

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 2/8/2013 $3,700,820.00 3,800,000 $0.97 ($99,180.00) $140,347.75 140,000

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 3/26/2013 ($62,329.60)

8 BLACKHAWK BANCORP, INC. BELOIT WI 3/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,459,461.11 Sold, in full; warrants not outstanding

BLACKHAWK BANCORP, INC. BELOIT WI 10/29/2012 $186,550.00 205 $910.00 ($18,450.00)

BLACKHAWK BANCORP, INC. BELOIT WI 10/31/2012 $8,913,450.00 9,795 $910.00 ($881,550.00) $470,250.00 500

BLACKHAWK BANCORP, INC. BELOIT WI 1/11/2013 ($91,000.00)

8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 5/22/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, in full; warrants not outstanding

BLACKRIDGE FINANCIAL, INC. FARGO ND 6/27/2012 $2,250,000.00 2,250 $1,000.00

BLACKRIDGE FINANCIAL, INC. FARGO ND 9/12/2012 $2,750,000.00 2,750 $1,000.00 $250,000.00 250

8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 3/6/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $11,938,437.34 Sold, in full; warrants not outstanding

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 10/29/2012 $19,630.00 26 $755.00 ($6,370.00)

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 10/31/2012 $9,040,370.00 11,974 $755.00 ($2,933,630.00) $541,793.34 600

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 1/11/2013 ($90,600.00)

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

BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 2/10/2012 ($5,000,000.00)

BLUE VALLEY BAN CORP OVERLAND PARK KS 12/5/2008 Preferred Stock w/ Warrants $21,750,000.00 $0.00 $21,264,901.65 Sold, in full; warrants not outstanding

BLUE VALLEY BAN CORP OVERLAND PARK KS 10/18/2013 $3,177,232.50 3,250 $977.61 ($72,767.50)

BLUE VALLEY BAN CORP OVERLAND PARK KS 10/21/2013 $18,085,785.00 18,500 $977.61 ($414,215.00)

BLUE VALLEY BAN CORP OVERLAND PARK KS 1/6/2014 ($212,630.18)

BLUE VALLEY BAN CORP OVERLAND PARK KS 1/7/2015 $3,056.00 130,977

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 4/17/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, in full; warrants not outstanding

BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 8/30/2013 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

BNC BANCORP THOMASVILLE NC 12/5/2008 Preferred Stock w/ Warrants $31,260,000.00 $0.00 $35,140,666.12 Sold, in full; warrants not outstanding

BNC BANCORP THOMASVILLE NC 8/29/2012 $28,797,649.80 ($431,964.75) 31,260 $921.23 ($2,462,350.20)

BNC BANCORP THOMASVILLE NC 9/19/2012 $939,920.00 543,337

8,14,44 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 2/27/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, in full; warrants not outstanding

BNC FINANCIAL GROUP, INC. NEW CANAAN CT 8/4/2011 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

8 BNCCORP, INC. BISMARCK ND 1/16/2009 Preferred Stock w/ Exercised Warrants $20,093,000.00 $0.00 $26,941,865.35 Sold, in full; warrants not outstanding

BNCCORP, INC. BISMARCK ND 3/14/2014 $143,000.00 143 $1,001.08 $154.44 $29,737.13 30

BNCCORP, INC. BISMARCK ND 3/17/2014 $19,950,000.00 19,950 $1,001.08 $21,546.00 $966,456.56 975

BNCCORP, INC. BISMARCK ND 4/25/2014 ($201,147.00)

8,14,44 BOH HOLDINGS, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, in full; warrants not outstanding

BOH HOLDINGS, INC. HOUSTON TX 7/14/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

14,15 BOSCOBEL BANCORP, INC. BOSCOBEL WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $5,586,000.00 $0.00 $6,947,457.50 Sold, in full; warrants not outstanding

BOSCOBEL BANCORP, INC. BOSCOBEL WI 3/8/2013 $232,180.54 179,000

BOSCOBEL BANCORP, INC. BOSCOBEL WI 3/11/2013 $5,586,000.00 5,586,000 $1.11 $592,730.46 $129,709.80 100,000

BOSCOBEL BANCORP, INC. BOSCOBEL WI 4/9/2013 ($61,787.30)

11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 11/21/2008 Preferred Stock w/ Warrants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, in full; warrants not outstanding

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 1/13/2010 $50,000,000.00 50,000 $1,000.00

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 6/16/2010 $104,000,000.00 104,000 $1,000.00

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 2/7/2011 $6,202,523.25 2,887,500

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 12/23/2008 Preferred Stock w/ Warrants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, in full; warrants not outstanding

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 2/23/2011 $15,000,000.00 15,000 $1,000.00

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 3/16/2011 $8,864,000.00 8,864 $1,000.00

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 4/20/2011 $1,395,000.00 396,412
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

8 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 12/19/2008 Preferred Stock w/ Exercised Warrants $38,000,000.00 $0.00 $13,447,811.37 Sold, in full; warrants not outstanding

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 11/19/2013 $10,450,000.00 38,000 $275.00 ($27,550,000.00) $709,155.81 1,900

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 1/6/2014 ($104,500.00)

9,10,18,65,96,99 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 11/14/2008 Preferred Stock w/ Warrants $9,000,000.00 $15,000,000.00 $810,416.67 Full investment outstanding; warrants not outstanding

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

14,15 BROGAN BANKSHARES, INC. KAUKAUNA WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $2,400,000.00 $0.00 $3,022,879.60 Sold, in full; warrants not outstanding

BROGAN BANKSHARES, INC. KAUKAUNA WI 4/26/2013 $60,000.00 60,000 $1.05 $3,000.60

BROGAN BANKSHARES, INC. KAUKAUNA WI 4/29/2013 $2,340,000.00 2,340,000 $1.05 $117,023.40 $125,135.60 120,000

BROGAN BANKSHARES, INC. KAUKAUNA WI 5/31/2013 ($25,000.00)

8,14,44 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 7/17/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, in full; warrants not outstanding

BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 9/15/2011 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

8,11,14 BUSINESS BANCSHARES, INC. CLAYTON MO 4/24/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, in full; warrants not outstanding

BUSINESS BANCSHARES, INC. CLAYTON MO 5/23/2012 $6,000,000.00 6,000 $1,000.00

BUSINESS BANCSHARES, INC. CLAYTON MO 1/9/2013 $2,500,000.00 2,500 $1,000.00

BUSINESS BANCSHARES, INC. CLAYTON MO 4/24/2013 $6,500,000.00 6,500 $1,000.00 $750,000.00 750

8,11,14 BUTLER POINT, INC. CATLIN IL 3/13/2009 Preferred Stock w/ Exercised Warrants $607,000.00 $0.00 $724,123.53 Redeemed, in full; warrants not outstanding

BUTLER POINT, INC. CATLIN IL 11/2/2011 $607,000.00 607 $1,000.00 $30,000.00 30

11 C&F FINANCIAL CORPORATION WEST POINT VA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $25,205,957.78 Redeemed, in full; warrants not outstanding

C&F FINANCIAL CORPORATION WEST POINT VA 7/27/2011 $10,000,000.00 10,000 $1,000.00

C&F FINANCIAL CORPORATION WEST POINT VA 4/11/2012 $10,000,000.00 10,000 $1,000.00

C&F FINANCIAL CORPORATION WEST POINT VA 5/14/2014 $2,303,180.00 167,504

8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 12/23/2008 Preferred Stock w/ Exercised Warrants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, in full; warrants not outstanding

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

CACHE VALLEY BANKING COMPANY LOGAN UT 7/14/2011 $9,407,000.00 9,407 $1,000.00 $238,000.00 238

125 CADENCE FINANCIAL CORPORATION STARKVILLE MS 1/9/2009 Preferred Stock w/ Warrants $44,000,000.00 $0.00 $41,984,062.50 Sold, in full; warrants not outstanding

CADENCE FINANCIAL CORPORATION STARKVILLE MS 3/4/2011 $38,000,000.00 44,000 $863.64 ($6,000,000.00)

8,14,44 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 2/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in full; warrants not outstanding

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 9/15/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

8,11,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in full; warrants not outstanding

CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 12/8/2010 $3,300,000.00 3,300 $1,000.00 $165,000.00 165

8 CALVERT FINANCIAL CORPORATION ASHLAND MO 1/23/2009 Preferred Stock w/ Exercised Warrants $1,037,000.00 $0.00 $1,604,019.48 Redeemed, in full; warrants not outstanding

CALVERT FINANCIAL CORPORATION ASHLAND MO 2/17/2016 $1,037,000.00 1,037 $1,000.00 $52,000.00 52

8,130 CALWEST BANCORP RANCHO SANTA MARGARITA CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,656,000.00 $0.00 $5,285,163.67 Sold, in full; warrants not outstanding

CALWEST BANCORP RANCHO SANTA MARGARITA CA 12/23/2015 $4,656,000.00 24,445,000 $0.20 $233,000.00

8,11,14 CAPITAL BANCORP, INC. ROCKVILLE MD 12/23/2008 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, in full; warrants not outstanding

CAPITAL BANCORP, INC. ROCKVILLE MD 12/30/2010 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

39 CAPITAL BANK CORPORATION RALEIGH NC 12/12/2008 Preferred Stock w/ Warrants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, in full; warrants not outstanding

CAPITAL BANK CORPORATION RALEIGH NC 1/28/2011 $41,279,000.00 41,279 $1,000.00

8,128 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 4/10/2009 Preferred Stock w/ Exercised Warrants $5,100,000.00 $0.00 $2,764,934.40 Sold, in full; warrants not outstanding

CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 10/2/2015 $2,455,328.00 1,227,664 $2.00 ($2,644,672.00)

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 11/14/2008 Preferred Stock w/ Warrants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, in full; warrants not outstanding

CAPITAL ONE FINANCIAL CORP MCLEAN VA 6/17/2009 $3,555,199,000.00 3,555,199 $1,000.00

CAPITAL ONE FINANCIAL CORP MCLEAN VA 12/9/2009 $146,500,064.55 12,657,960

8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 12/23/2008 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,742,850.89 Sold, in full; warrants not outstanding

CAPITAL PACIFIC BANCORP PORTLAND OR 11/8/2012 $247,727.04 264 $938.36 ($16,272.96)

CAPITAL PACIFIC BANCORP PORTLAND OR 11/9/2012 $3,505,712.96 3,736 $938.36 ($230,287.04) $169,042.00 200

CAPITAL PACIFIC BANCORP PORTLAND OR 1/11/2013 ($25,000.00)

14,15,45 CARDINAL BANCORP II, INC. WASHINGTON MO 10/23/2009 Subordinated Debentures w/ Exercised Warrants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, in full; warrants not outstanding

CARDINAL BANCORP II, INC. WASHINGTON MO 9/8/2011 $6,251,000.00 6,251,000 $1.00 $313,000.00 313,000

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 1/9/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $19,941,788.94 Sold, in full; warrants not outstanding

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 2/20/2013 $14,525,843.40 15,534 $935.10 ($1,008,156.60)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 2/21/2013 $435,756.60 466 $935.10 ($30,243.40)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 3/26/2013 ($149,616.00)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 4/19/2013 $1,800,000.00 357,675

CAROLINA TRUST BANK LINCOLNTON NC 2/6/2009 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,994,452.00 Sold, in full; warrants not outstanding

CAROLINA TRUST BANK LINCOLNTON NC 11/30/2012 $3,412,000.00 4,000 $853.00 ($588,000.00)

CAROLINA TRUST BANK LINCOLNTON NC 1/11/2013 ($34,120.00)

CAROLINA TRUST BANK LINCOLNTON NC 3/26/2013 ($15,880.00)

CAROLINA TRUST BANK LINCOLNTON NC 6/11/2013 $19,132.00 86,957

11 CARROLLTON BANCORP BALTIMORE MD 2/13/2009 Preferred Stock w/ Warrants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, in full; warrants not outstanding

CARROLLTON BANCORP BALTIMORE MD 4/19/2013 $9,201,000.00 9,201 $1,000.00 $213,594.16 205,379

9,11,36 CARVER BANCORP, INC. NEW YORK NY 1/16/2009 Preferred Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, in full; warrants not outstanding

CARVER BANCORP, INC. NEW YORK NY 8/27/2010 $18,980,000.00 18,980 $1,000.00

CASCADE FINANCIAL CORPORATION EVERETT WA 11/21/2008 Preferred Stock w/ Warrants $38,970,000.00 $0.00 $17,678,900.00 Sold, in full; warrants not outstanding

CASCADE FINANCIAL CORPORATION EVERETT WA 6/30/2011 $16,250,000.00 38,970 $416.99 ($22,720,000.00)

11 CATHAY GENERAL BANCORP LOS ANGELES CA 12/5/2008 Preferred Stock w/ Warrants $258,000,000.00 $0.00 $329,874,444.96 Redeemed, in full; warrants not outstanding

CATHAY GENERAL BANCORP LOS ANGELES CA 3/20/2013 $129,000,000.00 129,000 $1,000.00

CATHAY GENERAL BANCORP LOS ANGELES CA 9/30/2013 $129,000,000.00 129,000 $1,000.00

CATHAY GENERAL BANCORP LOS ANGELES CA 12/9/2013 $13,107,778.30 1,846,374

8,14,18,44 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 2/27/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, in full; warrants not outstanding

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

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 7/21/2011 $6,500,000.00 6,500 $1,000.00 $263,000.00 263

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

CB HOLDING CORP. ALEDO IL 10/14/2011 ($4,114,000.00)

8,18 CBB BANCORP CARTERSVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $2,644,000.00 $0.00 $4,982,141.86 Sold, in full; warrants not outstanding

CBB BANCORP CARTERSVILLE GA 12/29/2009 $1,753,000.00

CBB BANCORP CARTERSVILLE GA 11/28/2012 $1,268,825.60 1,360 $932.96 ($91,174.40)

CBB BANCORP CARTERSVILLE GA 11/29/2012 $2,831,259.86 3,037 $932.26 ($205,740.14) $115,861.34 132

CBB BANCORP CARTERSVILLE GA 1/11/2013 ($32,969.92)

CBB BANCORP CARTERSVILLE GA 3/26/2013 ($363.42)

8,14 CBS BANC-CORP. RUSSELLVILLE AL 3/27/2009 Preferred Stock w/ Exercised Warrants $24,300,000.00 $0.00 $27,432,357.95 Sold, in full; warrants not outstanding

CBS BANC-CORP. RUSSELLVILLE AL 8/7/2012 $287,213.85 315

CBS BANC-CORP. RUSSELLVILLE AL 8/9/2012 $923,304.00 1,020 $905.20 ($96,696.00) $689,313.24 756

CBS BANC-CORP. RUSSELLVILLE AL 8/10/2012 $21,073,056.00 23,280 $905.20 ($2,206,944.00) $131,297.76 144

CBS BANC-CORP. RUSSELLVILLE AL 9/11/2012 ($219,963.60)

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

8 CEDARSTONE BANK LEBANON TN 2/6/2009 Preferred Stock w/ Exercised Warrants $3,564,000.00 $0.00 $4,672,098.50 Redeemed, in full; warrants not outstanding

CEDARSTONE BANK LEBANON TN 11/20/2013 $3,564,000.00 3,564 $1,000.00 $178,000.00 178

44 CENTER BANCORP, INC. UNION NJ 1/9/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, in full; warrants not outstanding

CENTER BANCORP, INC. UNION NJ 9/15/2011 $10,000,000.00 10,000 $1,000.00

CENTER BANCORP, INC. UNION NJ 12/7/2011 $245,000.00 86,705

11,59 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $55,000,000.00 $0.00 $65,855,083.33 Redeemed, in full; warrants not outstanding

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 $55,000,000.00 55,000 $1,000.00

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 5/27/2015 $1,115,500.00 350,767

8,14 CENTERBANK MILFORD OH 5/1/2009 Preferred Stock w/ Exercised Warrants $2,250,000.00 $0.00 $2,344,662.43 Sold, in full; warrants not outstanding

CENTERBANK MILFORD OH 10/29/2012 $24,750.00 30 $825.00 ($5,250.00)

CENTERBANK MILFORD OH 11/1/2012 $1,831,500.00 2,220 $825.00 ($388,500.00) $84,057.43 113

CENTERBANK MILFORD OH 1/11/2013 ($18,562.50)

CENTERBANK MILFORD OH 3/26/2013 ($6,437.50)

12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 11/21/2008 Preferred Stock w/ Warrants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, in full; warrants not outstanding

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 9/30/2009 $27,875,000.00 27,875 $1,000.00

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 10/28/2009 $212,000.00 125,413

8,11,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 1/16/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, in full; warrants not outstanding

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 3/31/2009 $15,000,000.00 15,000 $1,000.00

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 4/15/2009 $750,000.00 750

45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 12/5/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, in full; warrants not outstanding

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 8/25/2011 $10,000,000.00 10,000 $1,000.00

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 10/19/2011 $2,525,000.00 234,742

8,113 CENTRAL BANCORP, INC. (TX) GARLAND TX 2/27/2009 Preferred Stock w/ Exercised Warrants $22,500,000.00 $0.00 $31,086,221.13 Redeemed, in full; warrants not outstanding

CENTRAL BANCORP, INC. (TX) GARLAND TX 8/29/2014 $22,500,000.00 22,500 $1,000.00 $1,125,000.00 1,125

8,11,14 CENTRAL BANCSHARES, INC. HOUSTON TX 1/30/2009 Preferred Stock w/ Exercised Warrants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, in full; warrants not outstanding

CENTRAL BANCSHARES, INC. HOUSTON TX 7/6/2011 $5,800,000.00 5,800 $1,000.00 $290,000.00 290

8,14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 2/20/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $25,797,528.80 Sold, in full; warrants not outstanding

CENTRAL COMMUNITY CORPORATION TEMPLE TX 12/10/2012 $5,333,059.60 5,758 $926.20 ($424,940.40)

CENTRAL COMMUNITY CORPORATION TEMPLE TX 12/11/2012 $15,043,340.40 16,242 $926.20 ($1,198,659.60) $1,058,725.80 1,100

CENTRAL COMMUNITY CORPORATION TEMPLE TX 1/11/2013 ($203,764.00)

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 12/5/2008 Preferred Stock w/ Warrants $7,225,000.00 $0.00 $3,612,118.06 Sold, in full; warrants not outstanding

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 9/26/2012 $3,000,000.00 7,225 $415.22 ($4,225,000.00)
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

11 CENTRAL JERSEY BANCORP OAKHURST NJ 12/23/2008 Preferred Stock w/ Warrants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, in full; warrants not outstanding

CENTRAL JERSEY BANCORP OAKHURST NJ 11/24/2010 $11,300,000.00 11,300 $1,000.00

CENTRAL JERSEY BANCORP OAKHURST NJ 12/1/2010 $319,658.99 268,621

40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 1/9/2009 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in full; warrants not outstanding

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 6/22/2011 $36,337,500.00 ($454,218.75) 2,850,000 $12.75 ($32,121,928.87)

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4/4/2012 $36,427,038.55 ($387,816.38) 2,770,117 $13.15 ($30,113,532.58)

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 6/11/2013 $751,888.00 79,288

45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 1/30/2009 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, in full; warrants not outstanding

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 8/18/2011 $7,000,000.00 7,000 $1,000.00

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 9/28/2011 $185,016.80 79,067

93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 1/30/2009 Preferred Stock w/ Warrants $11,385,000.00 $0.00 $3,800,656.00 Sold, in full; warrants not outstanding

CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 10/1/2013 $3,350,000.00 11,385 $294.25 ($8,035,000.00)

8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 12/18/2009 Preferred Stock w/ Exercised Warrants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, in full; warrants not outstanding

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 7/14/2011 $6,056,000.00 6,056 $1,000.00 $182,000.00 182

8,14,44 CENTRIX BANK & TRUST BEDFORD NH 2/6/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, in full; warrants not outstanding

CENTRIX BANK & TRUST BEDFORD NH 7/28/2011 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

CENTRUE FINANCIAL CORPORATION OTTAWA IL 1/9/2009 Preferred Stock w/ Warrants $32,668,000.00 $0.00 $11,205,387.14 Sold, in full; warrants not outstanding

CENTRUE FINANCIAL CORPORATION OTTAWA IL 9/25/2013 $8,211,450.00 25,266 $325.00 ($17,054,550.00)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/18/2013 $1,950,000.00 6,000 $325.00 ($4,050,000.00)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/29/2013 ($82,114.50)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 1/6/2014 ($19,500.00)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 2/10/2014 $577,638.02 1,402 $412.01 ($824,361.98)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 3/19/2014 ($5,776.38)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/15/2014 $2,000.00 508,320

14,15 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 6/19/2009 Subordinated Debentures w/ Exercised Warrants $10,000,000.00 $0.00 $13,186,960.25 Sold, in full; warrants not outstanding

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 12/19/2012 $39,400.00 40,000 $0.99 ($600.00) $198,635.58 200,000

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 12/20/2012 $9,810,600.00 9,960,000 $0.99 ($149,400.00) $297,953.37 300,000

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 1/11/2013 ($98,500.00)

15 CHAMBERS BANCSHARES, INC. DANVILLE AR 5/29/2009 Subordinated Debentures w/ Exercised Warrants $19,817,000.00 $0.00 $32,098,302.62 Redeemed, in full; warrants not outstanding

CHAMBERS BANCSHARES, INC. DANVILLE AR 4/1/2015 $19,817,000.00 19,817,000 $1.00 $991,000.00 991,000

8 CHICAGO SHORE CORPORATION CHICAGO IL 7/31/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,981,348.81 Sold, in full; warrants not outstanding

CHICAGO SHORE CORPORATION CHICAGO IL 3/14/2014 $257,660.00 260 $991.00 ($2,340.00)

CHICAGO SHORE CORPORATION CHICAGO IL 3/17/2014 $6,679,340.00 6,740 $991.00 ($60,660.00) $347,193.00 350

CHICAGO SHORE CORPORATION CHICAGO IL 4/25/2014 ($69,370.00)

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

CIT GROUP INC. NEW YORK NY 12/10/2009 ($2,330,000,000.00)

19,30 CITIGROUP INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $32,839,267,986.46 Redeemed, in full; warrants not outstanding

CITIGROUP INC. NEW YORK NY 12/10/2010 $25,000,000,000.00 7,692,307,692 $4.14 $6,852,354,470.95

CITIGROUP INC. NEW YORK NY 1/31/2011 $54,621,848.84 210,084,034

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1/16/2009 Preferred Stock w/ Warrants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, in full; warrants not outstanding

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 8/4/2010 $26,440,000.00 26,440 $1,000.00

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 9/1/2010 $400,000.00 194,794

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

CITIZENS BANCORP NEVADA CITY CA 9/23/2011 ($10,400,000.00)

8,14 CITIZENS BANCSHARES CO. CHILLICOTHE MO 5/29/2009 Preferred Stock w/ Exercised Warrants $24,990,000.00 $0.00 $13,952,381.45 Sold, in full; warrants not outstanding

CITIZENS BANCSHARES CO. CHILLICOTHE MO 2/7/2013 $6,657,375.00 12,990 $512.50 ($6,332,625.00) $258,018.75 500

CITIZENS BANCSHARES CO. CHILLICOTHE MO 2/8/2013 $6,150,000.00 12,000 $512.50 ($5,850,000.00) $387,028.12 750

CITIZENS BANCSHARES CO. CHILLICOTHE MO 3/26/2013 ($128,073.75)

9,11,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 3/6/2009 Preferred Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, in full; warrants not outstanding

CITIZENS BANCSHARES CORPORATION ATLANTA GA 8/13/2010 $7,462,000.00 7,462 $1,000.00

8 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 3/20/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $2,353,330.60 Sold, in full; warrants not outstanding

CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 6/29/2015 $1,560,312.00 2,400 $650.13 ($839,688.00) $53,015.60 120

CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 8/6/2015 ($25,000.00)

8 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 2/6/2009 Preferred Stock w/ Exercised Warrants $6,300,000.00 $6,300,000.00 $180,258.50 Full investment outstanding; warrants outstanding

8,14,44 CITIZENS COMMUNITY BANK SOUTH HILL VA 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, in full; warrants not outstanding

CITIZENS COMMUNITY BANK SOUTH HILL VA 7/28/2011 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 12/19/2008 Preferred Stock w/ Warrants $8,779,000.00 $0.00 $12,236,725.89 Redeemed, in full; warrants not outstanding

CITIZENS FIRST CORPORATION BOWLING GREEN KY 2/16/2011 $2,212,308.00 63 $35,116.00

CITIZENS FIRST CORPORATION BOWLING GREEN KY 2/13/2013 $3,300,904.00 94 $35,116.00

CITIZENS FIRST CORPORATION BOWLING GREEN KY 1/15/2014 $3,265,788.00 93 $35,116.00

CITIZENS FIRST CORPORATION BOWLING GREEN KY 4/15/2015 $1,705,802.78 254,218

86 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $381,395,557.08 Redeemed, in full; warrants not outstanding

CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 4/12/2013 $300,000,000.00 300,000 $1,000.00

CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 5/13/2015 $12,150,120.44 2,571,998

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12/12/2008 Preferred Stock w/ Warrants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, in full; warrants not outstanding

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9/22/2011 $20,500,000.00 20,500 $1,000.00

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 11/9/2011 $225,157.00 450,314

8,9,124 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 4/10/2009 Preferred Stock $9,439,000.00 $0.00 $2,508,609.00 Sold, in full; warrants not outstanding

CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 8/7/2015 $2,226,750.00 9,439 $235.91 ($7,212,250.00)

11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, in full; warrants not outstanding

CITY NATIONAL CORPORATION BEVERLY HILLS CA 12/30/2009 $200,000,000.00 200,000 $1,000.00

CITY NATIONAL CORPORATION BEVERLY HILLS CA 3/3/2010 $200,000,000.00 200,000 $1,000.00

CITY NATIONAL CORPORATION BEVERLY HILLS CA 4/7/2010 $18,500,000.00 1,128,668

8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 3/27/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,318,585.05 Sold, in full; warrants not outstanding

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11/28/2012 $955,825.50 1,095 $872.90 ($139,174.50)

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11/29/2012 $1,662,874.50 1,905 $872.90 ($242,125.50) $114,021.50 150

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 1/11/2013 ($25,000.00)

82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12/5/2008 Preferred Stock w/ Warrants $9,950,000.00 $0.00 $11,166,897.79 Sold, in full; warrants not outstanding

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 3/8/2013 $3,772,645.00 3,950 $955.10 ($177,355.00)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 3/11/2013 $5,730,600.00 6,000 $955.10 ($269,400.00)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 4/9/2013 ($95,032.45)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 4/10/2013 $99,000.00 60,000

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 6/12/2013 $225,647.45 145,579

8,17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8/28/2009 Preferred Stock w/ Exercised Warrants $16,015,000.00 $0.00 $14,257,487.71 Sold, in full; warrants not outstanding

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 3/8/2013 $397,550.00 500 $795.10 ($102,450.00) $389,857.05 450

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 3/11/2013 $12,335,976.50 15,515 $795.10 ($3,179,023.50) $25,990.47 30

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 4/9/2013 ($127,335.27)

45 COBIZ FINANCIAL INC. DENVER CO 12/19/2008 Preferred Stock w/ Warrants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, in full; warrants not outstanding

COBIZ FINANCIAL INC. DENVER CO 9/8/2011 $64,450,000.00 64,450 $1,000.00

COBIZ FINANCIAL INC. DENVER CO 11/23/2011 $143,677.00 895,968

44 CODORUS VALLEY BANCORP, INC. YORK PA 1/9/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, in full; warrants not outstanding

CODORUS VALLEY BANCORP, INC. YORK PA 8/18/2011 $16,500,000.00 16,500 $1,000.00

CODORUS VALLEY BANCORP, INC. YORK PA 9/28/2011 $526,604.00 263,859

8,14 COLOEAST BANKSHARES, INC. LAMAR CO 2/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,670,784.03 Sold, in full; warrants not outstanding

COLOEAST BANKSHARES, INC. LAMAR CO 7/19/2013 $46,995.00 52 $903.75 ($5,005.00)

COLOEAST BANKSHARES, INC. LAMAR CO 7/22/2013 $8,990,505.00 9,948 $903.75 ($957,495.00) $494,381.25 50

COLOEAST BANKSHARES, INC. LAMAR CO 9/12/2013 ($90,375.00)

8,11,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 3/27/2009 Preferred Stock w/ Exercised Warrants $574,000.00 $0.00 $668,142.53 Redeemed, in full; warrants not outstanding

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 10/26/2011 $574,000.00 574 $1,000.00 $29,000.00 29

COLONY BANKCORP, INC. FITZGERALD GA 1/9/2009 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $26,480,089.20 Sold, in full; warrants not outstanding

COLONY BANKCORP, INC. FITZGERALD GA 2/7/2013 $21,633,944.71 27,661 $782.11 ($6,027,055.29)

COLONY BANKCORP, INC. FITZGERALD GA 2/8/2013 $265,135.29 339 $782.11 ($73,864.71)

COLONY BANKCORP, INC. FITZGERALD GA 3/26/2013 ($218,990.80)

COLONY BANKCORP, INC. FITZGERALD GA 6/12/2013 $810,000.00 500,000

11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11/21/2008 Preferred Stock w/ Warrants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, in full; warrants not outstanding

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 8/11/2010 $76,898,000.00 76,898 $1,000.00

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 9/1/2010 $3,301,647.00 398,023

8,14,44 COLUMBINE CAPITAL CORP. BUENA VISTA CO 2/27/2009 Preferred Stock w/ Exercised Warrants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, in full; warrants not outstanding

COLUMBINE CAPITAL CORP. BUENA VISTA CO 9/22/2011 $2,260,000.00 2,260 $1,000.00 $113,000.00 113

11 COMERICA INC. DALLAS TX 11/14/2008 Preferred Stock w/ Warrants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, in full; warrants not outstanding

COMERICA INC. DALLAS TX 3/17/2010 $2,250,000,000.00 2,250,000 $1,000.00

COMERICA INC. DALLAS TX 5/12/2010 $181,102,043.40 11,479,592

11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 1/9/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,602,969.61 Redeemed, in full; warrants not outstanding

COMMERCE NATIONAL BANK NEWPORT BEACH CA 10/7/2009 $5,000,000.00 5,000 $1,000.00

COMMERCE NATIONAL BANK NEWPORT BEACH CA 10/1/2013 $566,858.50 87,209

14,15 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 5/22/2009 Subordinated Debentures w/ Exercised Warrants $20,400,000.00 $0.00 $21,575,016.54 Sold, in full; warrants not outstanding

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/7/2012 $130,500.00 174,000 $0.75 ($43,500.00)

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/8/2012 $1,469,250.00 1,959,000 $0.75 ($489,750.00)
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/9/2012 $13,100,250.00 17,467,000 $0.75 ($4,366,750.00) $792,990.00 900,000

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/10/2012 $600,000.00 800,000 $0.75 ($200,000.00) $105,732.00 120,000

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 9/11/2012 ($153,000.00)

8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 1/23/2009 Preferred Stock w/ Exercised Warrants $7,701,000.00 $0.00 $8,451,110.79 Sold, in full; warrants not outstanding

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 7/17/2013 $7,323,651.00 7,701 $951.00 ($377,349.00) $362,427.91 385

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 9/12/2013 ($73,236.51)

8,11,14 COMMUNITY 1ST BANK ROSEVILLE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in full; warrants not outstanding

COMMUNITY 1ST BANK ROSEVILLE CA 12/19/2012 $2,550,000.00 2,550 $1,000.00 $128,000.00 128

8,11,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 3/6/2009 Preferred Stock w/ Exercised Warrants $500,000.00 $0.00 $616,741.75 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 7/18/2012 $500,000.00 500 $1,000.00 $25,000.00 25

8,11,14 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 9/11/2009 Preferred Stock w/ Exercised Warrants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 9/29/2010 $52,000,000.00 52,000 $1,000.00 $2,600,000.00 2,600

8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 7/24/2009 Preferred Stock w/ Exercised Warrants $3,872,000.00 $0.00 $5,197,157.57 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES, INC. KINGMAN AZ 2/11/2015 $3,872,000.00 3,872 $1,000.00 $116,000.00 116

9,11,36 COMMUNITY BANK OF THE BAY OAKLAND CA 1/16/2009 Preferred Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, in full; warrants not outstanding

COMMUNITY BANK OF THE BAY OAKLAND CA 9/29/2010 $1,747,000.00 1,747 $1,000.00

44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 5/29/2009 Preferred Stock w/ Warrants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, in full; warrants not outstanding

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 9/15/2011 $19,468,000.00 19,468 $1,000.00

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 10/19/2011 $1,100,869.50 386,270

11,101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 12/19/2008 Preferred Stock w/ Warrants $17,680,000.00 $0.00 $23,135,879.12 Redeemed, in full; warrants not outstanding

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 7/24/2013 $4,500,000.00 4,500 $1,000.00

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 11/20/2013 $2,500,000.00 2,500 $1,000.00

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 4/23/2014 $10,680,000.00 10,680 $1,000.00

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 6/4/2014 $780,000.00 780,000

8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $3,976,000.00 $0.00 $4,674,050.16 Sold, in full; warrants not outstanding

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11/30/2012 $3,717,560.00 3,976 $935.00 ($258,440.00) $167,035.00 199

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 1/11/2013 ($25,000.00)

81 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 12/19/2008 Preferred Stock w/ Warrants $12,643,000.00 $0.00 $16,080,204.94 Redeemed, in full; warrants not outstanding

COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 1/9/2013 $12,643,000.00 12,643 $1,000.00

COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 5/28/2015 $873,485.00 61,796

8,14,76 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 5/15/2009 Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 $4,240,743.82 Sold, in full; warrants not outstanding

COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 12/21/2012 $3,136,500.00 6,970 $450.00 ($3,833,500.00) $157,050.00 349

8 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 4/3/2009 Preferred Stock w/ Exercised Warrants $12,725,000.00 $0.00 $16,441,884.63 Sold, in full; warrants not outstanding

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 2/7/2014 $3,705,037.50 3,750 $988.01 ($44,962.50) $85,157.88 86

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 2/10/2014 $8,867,389.75 8,975 $988.01 ($107,610.25) $544,614.34 550

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3/19/2014 ($125,724.27)

8,14,44 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 3/20/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, in full; warrants not outstanding

COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 8/18/2011 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

8 COMMUNITY FIRST, INC. COLUMBIA TN 2/27/2009 Preferred Stock w/ Exercised Warrants $17,806,000.00 $0.00 $7,665,362.89 Sold, in full; warrants not outstanding

COMMUNITY FIRST, INC. COLUMBIA TN 4/11/2014 $1,322,500.50 4,401 $300.50 ($3,078,499.50) $72,314.55 140

COMMUNITY FIRST, INC. COLUMBIA TN 4/14/2014 $4,028,202.50 13,405 $300.50 ($9,376,797.50) $387,399.37 750

COMMUNITY FIRST, INC. COLUMBIA TN 7/18/2014 ($53,507.03)

8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 2/6/2009 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in full; warrants not outstanding

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 11/30/2012 $1,002,750.00 105 $9,550.00 ($47,250.00) $25,000.005

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 1/11/2013 ($10,027.50)

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 3/26/2013 ($14,972.50)

8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $3,115,616.28 Sold, in full; warrants not outstanding

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/19/2012 $952,850.00 1,003 $950.00 ($50,150.00)

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/20/2012 $1,517,150.00 1,597 $950.00 ($79,850.00) $105,000.00 130

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 1/11/2013 ($24,700.00)

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 3/26/2013 ($300.00)

44 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 1/30/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, in full; warrants not outstanding

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 8/11/2011 $9,000,000.00 9,000 $1,000.00

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 10/26/2011 $460,000.00 311,972

15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 11/13/2009 Subordinated Debentures w/ Exercised Warrants $4,400,000.00 $0.00 $5,462,045.14 Sold, in full; warrants not outstanding

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 8/12/2013 $4,400,000.00 4,400,000 $1.11 $484,924.00 $177,716.96 132,000

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 9/12/2013 ($48,849.24)

8,14,44 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 1/9/2009 Preferred Stock w/ Exercised Warrants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, in full; warrants not outstanding

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 7/6/2011 $24,000,000.00 24,000 $1,000.00 $1,200,000.00 1,200

COMMUNITY WEST BANCSHARES GOLETA CA 12/19/2008 Preferred Stock w/ Warrants $15,600,000.00 $0.00 $14,341,140.33 Sold, in full; warrants not outstanding

COMMUNITY WEST BANCSHARES GOLETA CA 12/10/2012 $2,172,000.00 3,000 $724.00 ($828,000.00)

COMMUNITY WEST BANCSHARES GOLETA CA 12/11/2012 $9,122,400.00 12,600 $724.00 ($3,477,600.00)

COMMUNITY WEST BANCSHARES GOLETA CA 1/11/2013 ($112,944.00)

COMMUNITY WEST BANCSHARES GOLETA CA 6/12/2013 $698,351.00 521,158

53,110 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 2/13/2009 Preferred Stock w/ Warrants $51,500,000.00 $0.00 $12,749,591.59 Sold, in full; warrants not outstanding

COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 5/23/2014 $10,149,929.90 1,085,554 $9.35 ($41,350,070.10)

COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 5/27/2015 $10,356.69 22,071

8,14 CONGAREE BANCSHARES, INC. CAYCE SC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,285,000.00 $0.00 $3,483,629.20 Sold, in full; warrants not outstanding

CONGAREE BANCSHARES, INC. CAYCE SC 10/29/2012 $23,932.54 29 $825.26 ($5,067.46)

CONGAREE BANCSHARES, INC. CAYCE SC 10/31/2012 $2,687,046.56 3,256 $825.26 ($568,953.44) $106,364.00 164

CONGAREE BANCSHARES, INC. CAYCE SC 1/11/2013 ($25,000.00)

8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 2/13/2009 Preferred Stock w/ Exercised Warrants $638,000.00 $0.00 $659,705.04 Sold, in full; warrants not outstanding

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11/30/2012 $548,680.00 638 $860.00 ($89,320.00) $3,960.00 32

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 1/11/2013 ($5,486.80)

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 3/26/2013 ($19,513.20)

8,14 COUNTRY BANK SHARES, INC. MILFORD NE 1/30/2009 Preferred Stock w/ Exercised Warrants $7,525,000.00 $0.00 $8,781,205.02 Sold, in full; warrants not outstanding

COUNTRY BANK SHARES, INC. MILFORD NE 11/28/2012 $713,208.30 777 $917.90 ($63,791.70)

COUNTRY BANK SHARES, INC. MILFORD NE 11/29/2012 $6,193,989.20 6,748 $917.90 ($554,010.80) $372,240.00 376

COUNTRY BANK SHARES, INC. MILFORD NE 1/11/2013 ($69,071.98)

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 6/5/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,594,635.27 Redeemed, in full; warrants not outstanding

COVENANT FINANCIAL CORPORATION CLARKSDALE MS 4/30/2014 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 2/20/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $4,225,732.08 Redeemed, in full; warrants not outstanding

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 1/8/2014 $1,000,000.00 1,000 $1,000.00

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 11/19/2014 $2,100,000.00 2,100 $1,000.00 $155,000.00 155

58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 1/9/2009 Preferred Stock w/ Warrants $24,900,000.00 $0.00 $33,014,741.20 Redeemed, in full; warrants not outstanding

CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 2/19/2014 $24,900,000.00 24,900 $1,000.00

CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 6/11/2014 $1,681,000.00 833,705

8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 1/23/2009 Preferred Stock w/ Exercised Warrants $10,650,000.00 $0.00 $13,498,324.83 Sold, in full; warrants not outstanding

CROSSTOWN HOLDING COMPANY BLAINE MN 7/19/2013 $343,794.50 350 $982.27 ($6,205.50)

CROSSTOWN HOLDING COMPANY BLAINE MN 7/22/2013 $10,117,381.00 10,300 $982.27 ($182,619.00) $531,210.67 533

CROSSTOWN HOLDING COMPANY BLAINE MN 9/12/2013 ($104,611.76)

8 CSRA BANK CORP. WRENS GA 3/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,210,755.60 Sold, in full; warrants not outstanding

CSRA BANK CORP. WRENS GA 6/29/2015 $2,400,000.00 2,400 $1,213.75 $513,000.00 $141,815.60 120

CSRA BANK CORP. WRENS GA 8/6/2015 ($25,000.00)

11,16 CVB FINANCIAL CORP. ONTARIO CA 12/5/2008 Preferred Stock w/ Warrants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, in full; warrants not outstanding

CVB FINANCIAL CORP. ONTARIO CA 8/26/2009 $97,500,000.00 97,500 $1,000.00

CVB FINANCIAL CORP. ONTARIO CA 9/2/2009 $32,500,000.00 32,500 $1,000.00

CVB FINANCIAL CORP. ONTARIO CA 10/28/2009 $1,307,000.00 834,761

8,14,44 D.L. EVANS BANCORP BURLEY ID 2/27/2009 Preferred Stock w/ Exercised Warrants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, in full; warrants not outstanding

D.L. EVANS BANCORP BURLEY ID 9/27/2011 $19,891,000.00 19,891 $1,000.00 $995,000.00 995

14,15,44 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, in full; warrants not outstanding

DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 9/8/2011 $2,639,000.00 2,639,000 $1.00 $132,000.00 132,000

8,14 DELMAR BANCORP DELMAR MD 12/4/2009 Preferred Stock w/ Exercised Warrants $9,000,000.00 $0.00 $6,598,331.15 Sold, in full; warrants not outstanding

DELMAR BANCORP DELMAR MD 2/7/2013 $5,293,527.28 8,648 $612.11 ($3,354,472.72) $311,943.55 450

DELMAR BANCORP DELMAR MD 2/8/2013 $215,462.72 352 $612.11 ($136,537.28)

DELMAR BANCORP DELMAR MD 3/26/2013 ($55,089.90)

8,18 DESOTO COUNTY BANK HORN LAKE MS 2/13/2009 Preferred Stock w/ Exercised Warrants $1,173,000.00 $0.00 $2,781,331.97 Sold, in full; warrants not outstanding

DESOTO COUNTY BANK HORN LAKE MS 12/29/2009 $1,508,000.00

DESOTO COUNTY BANK HORN LAKE MS 9/24/2013 $301,428.58 366 $823.58 ($64,571.42) $40,563.34 59

DESOTO COUNTY BANK HORN LAKE MS 9/25/2013 $1,895,467.59 2,315 $818.78 ($419,532.41)

DESOTO COUNTY BANK HORN LAKE MS 10/29/2013 ($33,333.34)

14,15 DIAMOND BANCORP, INC. WASHINGTON MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $20,445,000.00 $0.00 $21,101,618.19 Sold, in full; warrants not outstanding

DIAMOND BANCORP, INC. WASHINGTON MO 8/8/2012 $4,381,500.00 6,000,000 $0.73 ($1,618,500.00)

DIAMOND BANCORP, INC. WASHINGTON MO 8/9/2012 $10,197,941.25 13,965,000 $0.73 ($3,767,058.75) $688,041.09 902,000

DIAMOND BANCORP, INC. WASHINGTON MO 8/10/2012 $350,520.00 480,000 $0.73 ($129,480.00) $91,535.40 120,000

DIAMOND BANCORP, INC. WASHINGTON MO 9/11/2012 ($149,299.61)

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 1/16/2009 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in full; warrants not outstanding

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/7/2013 $8,025,555.03 14,523 $552.61 ($6,497,444.97) $3,372.195
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/8/2013 $72,684,793.30 131,530 $552.61 ($58,845,206.70) $4,922,044.87 7,298

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 3/26/2013 ($807,103.48)

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 3/13/2009 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in full; warrants not outstanding

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 4/21/2010 $1,224,558,000.00 1,224,558 $1,000.00

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7/7/2010 $172,000,000.00 20,500,413

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 1/30/2009 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in full; warrants not outstanding

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 8/4/2011 $11,750,000.00 11,750 $1,000.00

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 9/21/2011 $458,000.00 186,311

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $17,424,285.82 Redeemed, in full; warrants not outstanding

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 11/27/2013 $5,000,000.00 5,000,000 $1.00

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 3/5/2014 $2,000,000.00 2,000,000 $1.00

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 4/2/2014 $5,000,000.00 5,000,000 $1.00 $600,000.00 600,000

12,44 EAGLE BANCORP, INC. BETHESDA MD 12/5/2008 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, in full; warrants not outstanding

EAGLE BANCORP, INC. BETHESDA MD 12/23/2009 $15,000,000.00 15,000 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 7/14/2011 $23,235,000.00 23,235 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 11/23/2011 $2,794,422.00 385,434

11,16 EAST WEST BANCORP, INC. PASADENA CA 12/5/2008 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in full; warrants not outstanding

EAST WEST BANCORP, INC. PASADENA CA 12/29/2010 $306,546,000.00 306,546 $1,000.00

EAST WEST BANCORP, INC. PASADENA CA 1/26/2011 $14,500,000.00 1,517,555

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/9/2009 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $28,568,653.60 Sold, in full; warrants not outstanding

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/18/2013 $3,900,000.00 3,900 $1,104.11 $406,029.00

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/21/2013 $20,100,000.00 20,100 $1,104.11 $2,092,611.00

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/6/2014 ($264,986.40)

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 5/13/2015 $115,000.00 384,041

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 1/16/2009 Preferred Stock w/ Warrants $17,949,000.00 $0.00 $23,397,494.08 Redeemed, in full; warrants not outstanding

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 2/19/2014 $17,949,000.00 17,949 $1,000.00

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 6/11/2014 $871,000.00 514,693

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/23/2008 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in full; warrants not outstanding

EMCLAIRE FINANCIAL CORP. EMLENTON PA 8/18/2011 $7,500,000.00 7,500 $1,000.00

EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/7/2011 $51,113.00 50,111

45 ENCORE BANCSHARES INC. HOUSTON TX 12/5/2008 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, in full; warrants not outstanding

ENCORE BANCSHARES INC. HOUSTON TX 9/27/2011 $34,000,000.00 34,000 $1,000.00

ENCORE BANCSHARES INC. HOUSTON TX 11/23/2011 $637,071.00 364,026

11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 12/19/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 11/7/2012 $35,000,000.00 35,000 $1,000.00

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 1/9/2013 $1,006,100.00 324,074

8,14,44 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 8/25/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

8,44,73 EQUITY BANCSHARES, INC. WICHITA KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in full; warrants not outstanding

EQUITY BANCSHARES, INC. WICHITA KS 8/11/2011 $8,750,000.00 8,750 $1,000.00 $438,000.00 438

8,14 EXCHANGE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in full; warrants not outstanding

EXCHANGE BANK SANTA ROSA CA 8/3/2012 $481,387.50 550 $875.25 ($68,612.50)

EXCHANGE BANK SANTA ROSA CA 8/8/2012 $17,505,000.00 20,000 $875.25 ($2,495,000.00) $1,910,898.00 2,000

EXCHANGE BANK SANTA ROSA CA 8/9/2012 $8,725,367.25 9,969 $875.25 ($1,243,632.75) $120,386.57 126

EXCHANGE BANK SANTA ROSA CA 8/10/2012 $420,995.25 481 $875.25 ($60,004.75) $22,930.78 24

EXCHANGE BANK SANTA ROSA CA 8/13/2012 $10,503,000.00 12,000 $875.25 ($1,497,000.00)

EXCHANGE BANK SANTA ROSA CA 9/11/2012 ($376,357.50)

8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 1/30/2009 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in full; warrants not outstanding

F & M BANCSHARES, INC. TREZEVANT TN 11/6/2009 $3,535,000.00

F & M BANCSHARES, INC. TREZEVANT TN 2/6/2013 $4,797,325.00 5,090 $942.50 ($292,675.00)

F & M BANCSHARES, INC. TREZEVANT TN 2/7/2013 $2,734,192.50 2,901 $942.50 ($166,807.50) $222,007.50 230

F & M BANCSHARES, INC. TREZEVANT TN 2/8/2013 $144,202.50 153 $942.50 ($8,797.50)

F & M BANCSHARES, INC. TREZEVANT TN 3/26/2013 ($76,757.21)

8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 2/6/2009 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in full; warrants not outstanding

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/18/2012 $136,813.05 150

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/19/2012 $2,664,750.00 2,805 $950.00 ($140,250.00)

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/20/2012 $13,485,250.00 14,195 $950.00 ($709,750.00) $638,460.90 700

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 11/16/2012 ($161,500.00)

14,15 F&C BANCORP. INC. HOLDEN MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in full; warrants not outstanding

F&C BANCORP. INC. HOLDEN MO 11/8/2012 $1,590,599.43 1,659,000 $0.96 ($68,400.57)

F&C BANCORP. INC. HOLDEN MO 11/13/2012 $1,278,999.18 1,334,000 $0.96 ($55,000.82) $125,000.00 150,000

F&C BANCORP. INC. HOLDEN MO 1/11/2013 ($25,000.00)

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 2/13/2009 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in full; warrants not outstanding

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/19/2012 $96,465.60 112

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/20/2012 $157,500.00 200 $787.50 ($42,500.00)

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/21/2012 $13,421,362.50 17,043 $787.50 ($3,621,637.50) $645,975.00 750

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 11/16/2012 ($135,788.63)

11 F.N.B. CORPORATION HERMITAGE PA 1/9/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in full; warrants not outstanding

F.N.B. CORPORATION HERMITAGE PA 9/9/2009 $100,000,000.00 100,000 $1,000.00

F.N.B. CORPORATION HERMITAGE PA 11/23/2011 $690,100.00 651,042

8,120 FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $15,971,339.07 Redeemed, in full; warrants not outstanding

FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 7/15/2015 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 3/20/2009 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in full; warrants not outstanding

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 6/24/2013 $425,425.00 442 $962.50 ($16,575.00) ($2,835.00) 22

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 7/26/2013 ($25,000.00)

8,11 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/23/2009 Preferred Stock w/ Exercised Warrants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, in full; warrants not outstanding

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/9/2013 $3,063,000.00 3,063 $1,000.00

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 12/31/2013 $5,689,000.00 5,689 $1,000.00 $438,000.00 438

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 1/9/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in full; warrants not outstanding

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 6/19/2012 $22,196,700.00 ($332,950.50) 30,000 $739.89 ($7,803,300.00)

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 7/18/2012 $75,000.00 223,992

14,15 FARMERS ENTERPRISES, INC. GREAT BEND KS 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in full; warrants not outstanding

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/8/2012 $96,290.00 100,000 $0.96 ($3,710.00)

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/9/2012 $37,387.14 38,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/13/2012 $11,458,510.00 11,900,000 $0.96 ($441,490.00) $552,936.00 562,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 1/11/2013 ($115,548.00)

8,14,45 FARMERS STATE BANKSHARES, INC. HOLTON KS 3/20/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in full; warrants not outstanding

FARMERS STATE BANKSHARES, INC. HOLTON KS 7/21/2011 $700,000.00 700 $1,000.00 $40,000.004

15,17 FBHC HOLDING COMPANY BOULDER CO 12/29/2009 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in full; warrants not outstanding

FBHC HOLDING COMPANY BOULDER CO 3/9/2011 $650,000.00 3,035,000 $0.21 ($2,385,000.00)

8,14 FC HOLDINGS, INC. HOUSTON TX 6/26/2009 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; warrants not outstanding

FC HOLDINGS, INC. HOUSTON TX 2/20/2013 $18,874,674.00 21,042 $897.00 ($2,167,326.00) $994,613.40 1,052

FC HOLDINGS, INC. HOUSTON TX 3/26/2013 ($188,746.74)

8,14,45 FCB BANCORP, INC. LOUISVILLE KY 12/19/2008 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in full; warrants not outstanding

FCB BANCORP, INC. LOUISVILLE KY 9/22/2011 $9,294,000.00 9,294 $1,000.00 $465,000.00 465

8,14 FFW CORPORATION WABASH IN 12/19/2008 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in full; warrants not outstanding

FFW CORPORATION WABASH IN 11/28/2012 $879,424.60 974 $902.90 ($94,575.40)

FFW CORPORATION WABASH IN 11/30/2012 $5,701,813.50 6,315 $902.90 ($613,186.50) $358,558.20 364

FFW CORPORATION WABASH IN 1/11/2013 ($65,812.38)

11,15,44 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 5/29/2009 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in full; warrants not outstanding

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 3/27/2013 $3,942,000.00 3,942,000 $1.00 $197,000.00 197,000

77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12/12/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $10,634,864.33 Redeemed, in full; warrants not outstanding

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 11/30/2012 $7,000,000.00 7,000 $1,000.00

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 5/6/2015 $2,246,531.00 101,321

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 11/13/2009 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in full; warrants not outstanding

FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/19/2013 $439,000.00 439 $1,058.90 $25,857.10

FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/22/2013 $6,218,000.00 6,218 $1,058.90 $366,240.20 $242,302.50 200

FIDELITY FEDERAL BANCORP EVANSVILLE IN 9/12/2013 ($70,490.97)

8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 12/19/2008 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; warrants not outstanding

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/1/2012 $120,320.10 135 $891.26 ($14,679.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/2/2012 $26,737.80 30 $891.26 ($3,262.20)

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/3/2012 $298,572.10 335 $891.26 ($36,427.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/7/2012 $3,200,514.66 3,591 $891.26 ($390,485.34) $170,227.93 179

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/8/2012 $2,348,470.10 2,635 $891.26 ($286,529.90) $167,374.94 176

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/9/2012 $26,056,877.36 29,236 $891.26 ($3,179,122.64) $1,210,615.36 1,273

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/10/2012 $285,203.20 320 $891.26 ($34,796.80) $176,884.89 186

FIDELITY FINANCIAL CORPORATION WICHITA KS 9/11/2012 ($323,366.95)

FIDELITY SOUTHERN CORPORATION ATLANTA GA 12/19/2008 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $82,715,982.47 Sold, in full; warrants not outstanding
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

FIDELITY SOUTHERN CORPORATION ATLANTA GA 7/3/2012 $43,408,920.00 ($651,133.80) 48,200 $900.60 ($4,791,080.00)

FIDELITY SOUTHERN CORPORATION ATLANTA GA 5/28/2015 $31,429,313.38 2,693,747

11 FIFTH THIRD BANCORP CINCINNATI OH 12/31/2008 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in full; warrants not outstanding

FIFTH THIRD BANCORP CINCINNATI OH 2/2/2011 $3,408,000,000.00 136,320 $25,000.00

FIFTH THIRD BANCORP CINCINNATI OH 3/16/2011 $280,025,936.00 43,617,747

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 12/23/2008 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in full; warrants not outstanding

FINANCIAL INSTITUTIONS, INC. WARSAW NY 2/23/2011 $12,505,000.00 2,501 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 3/30/2011 $25,010,000.00 5,002 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 5/11/2011 $2,079,962.50 378,175

8,14,45 FINANCIAL SECURITY CORPORATION BASIN WY 2/13/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in full; warrants not outstanding

FINANCIAL SECURITY CORPORATION BASIN WY 7/21/2011 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 7/31/2009 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in full; warrants not outstanding

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 9/1/2011 $3,742,000.00 3,742,000 $1.00 $112,000.00 112,000

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 5/22/2009 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in full; warrants not outstanding

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/10/2012 $690,723.49 769 $898.21 ($78,276.51) $2,979.496

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/11/2012 $366,469.68 408 $898.21 ($41,530.32) $26,318.80 53

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 1/11/2013 ($10,571.93)

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 3/26/2013 ($14,428.07)

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 6/26/2009 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in full; warrants not outstanding

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 12/20/2012 $2,395,742.20 3,422 $700.10 ($1,026,257.80) $94,701.71 171

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 1/11/2013 ($23,957.42)

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 3/26/2013 ($1,042.58)

11,14,15 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 7/24/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in full; warrants not outstanding

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/21/2011 $15,000,000.00 15,000,000 $1.00

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/11/2012 $35,000,000.00 35,000,000 $1.00 $2,500,000.00 2,500,000

9,11,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 3/13/2009 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in full; warrants not outstanding

FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 8/13/2010 $17,000,000.00 17,000 $1,000.00

45 FIRST BANCORP (NC) TROY NC 1/9/2009 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in full; warrants not outstanding

FIRST BANCORP (NC) TROY NC 9/1/2011 $65,000,000.00 65,000 $1,000.00

FIRST BANCORP (NC) TROY NC 11/23/2011 $924,462.00 616,308

34,118,121 FIRST BANCORP (PR) SAN JUAN PR 1/16/2009 Preferred Stock w/ Warrants $400,000,000.00 $124,966,503.71 $174,125,772.24 Sold, in part; warrants outstanding

FIRST BANCORP (PR) SAN JUAN PR 8/16/2013 $81,000,000.00 12,000,000 $6.75 ($64,711,540.92)

FIRST BANCORP (PR) SAN JUAN PR 9/13/2013 $8,514,153.00 1,261,356 $6.75 ($6,802,024.20)

FIRST BANCORP (PR) SAN JUAN PR 12/5/2014 $22,063,492.11 ($74,611.09) 4,388,888 $5.03 ($31,229,144.01)

FIRST BANCORP (PR) SAN JUAN PR 3/6/2015 $29,708,351.90 ($85,000.00) 5,000,000 $5.94 ($31,004,790.15)

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 2/20/2009 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in full; warrants not outstanding

FIRST BANCTRUST CORPORATION PARIS IL 1/18/2012 $3,675,000.00 3,675 $1,000.00

FIRST BANCTRUST CORPORATION PARIS IL 10/24/2012 $3,675,000.00 3,675 $1,000.00 $368,000.00 368

8,14,45 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 2/6/2009 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in full; warrants not outstanding

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 7/21/2011 $3,345,000.00 3,345 $1,000.00 $167,000.00 167

8,14,45 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 1/16/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in full; warrants not outstanding

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 9/8/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 FIRST BANKS, INC. CLAYTON MO 12/31/2008 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,071,500.97 Sold, in full; warrants not outstanding

FIRST BANKS, INC. CLAYTON MO 8/8/2013 $105,000.00 300 $350.00 ($195,000.00)

FIRST BANKS, INC. CLAYTON MO 8/9/2013 $12,171,950.00 34,777 $350.00 ($22,605,050.00) $2,430,181.71 4,299

FIRST BANKS, INC. CLAYTON MO 8/12/2013 $87,028,900.00 248,654 $350.00 ($161,625,100.00) $5,919,151.59 10,471

FIRST BANKS, INC. CLAYTON MO 9/12/2013 ($993,058.50)

FIRST BANKS, INC. CLAYTON MO 9/24/2013 $3,209,702.21 5,819 $551.59 ($2,609,297.79)

FIRST BANKS, INC. CLAYTON MO 9/25/2013 $3,226,801.50 5,850 $551.59 ($2,623,198.50)

FIRST BANKS, INC. CLAYTON MO 10/29/2013 ($64,365.04)

45 FIRST BUSEY CORPORATION URBANA IL 3/6/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in full; warrants not outstanding

FIRST BUSEY CORPORATION URBANA IL 8/25/2011 $100,000,000.00 100,000 $1,000.00

FIRST BUSEY CORPORATION URBANA IL 11/23/2011 $63,677.00 573,833

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 4/10/2009 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in full; warrants not outstanding

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/11/2009 $2,032,000.00

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/19/2012 $1,373,084.00 1,500 $915.39 ($126,916.00) $90,461.65 111

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/20/2012 $2,510,399.84 2,743 $915.20 ($232,600.16)

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 1/11/2013 ($33,333.33)

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in full; warrants not outstanding

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 7/14/2011 $25,000,000.00 25,000 $1,000.00

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 8/24/2011 $599,042.00 599,042

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 4/3/2009 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in full; warrants not outstanding

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6/19/2012 $10,082,565.38 ($151,238.48) 10,958 $920.11 ($875,434.62)

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 2/6/2013 $266,041.78 417,648

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in full; warrants not outstanding

FIRST CHOICE BANK CERRITOS CA 12/22/2009 $2,836,000.00

FIRST CHOICE BANK CERRITOS CA 9/24/2010 $5,036,000.00 5,036 $1,000.00 $110,000.00 110

FIRST CITIZENS BANC CORP SANDUSKY OH 1/23/2009 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in full; warrants not outstanding

FIRST CITIZENS BANC CORP SANDUSKY OH 7/3/2012 $21,004,704.00 ($315,070.56) 23,184 $906.00 ($2,179,296.00)

FIRST CITIZENS BANC CORP SANDUSKY OH 9/5/2012 $563,174.00 469,312

8,14,44 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 3/20/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in full; warrants not outstanding

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 9/22/2011 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/21/2008 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in full; warrants not outstanding

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 7/8/2009 $41,500,000.00 41,500 $1,000.00

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/22/2011 $30,600.00 88,273

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 5/15/2009 Preferred Stock w/ Exercised Warrants $14,800,000.00 $0.00 $19,957,763.30 Redeemed, in full; warrants not outstanding

FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 7/16/2014 $14,800,000.00 14,800 $1,000.00 $740,000.00 740

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 12/23/2008 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in full; warrants not outstanding

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 5/31/2011 $7,754,267.48 10,685 $725.72 ($2,930,732.52)

FIRST COMMUNITY CORPORATION LEXINGTON SC 11/21/2008 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in full; warrants not outstanding

FIRST COMMUNITY CORPORATION LEXINGTON SC 8/29/2012 $11,155,120.50 ($167,326.81) 11,350 $982.83 ($194,879.50)

FIRST COMMUNITY CORPORATION LEXINGTON SC 11/1/2012 $297,500.00 195,915

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 12/11/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in full; warrants not outstanding

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/8/2012 $70,727.58 108

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/9/2012 $440,082.72 672

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/10/2012 $209,563.20 320

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/19/2012 $326,250.00 500 $652.50 ($173,750.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/20/2012 $3,051,090.00 4,676 $652.50 ($1,624,910.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/21/2012 $10,977,660.00 16,824 $652.50 ($5,846,340.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11/16/2012 ($143,550.00)

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $53,610,300.92 Sold, in full; warrants not outstanding

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 6/19/2012 $35,618,420.00 ($534,276.30) 37,000 $962.66 ($1,381,580.00)

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 3/11/2015 $11,979,295.00 550,595

11,15,36 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/11/2009 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in full; warrants not outstanding

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/17/2010 $7,500,000.00 7,500,000 $1.00 $375,000.00 375,000

8,11,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/6/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in full; warrants not outstanding

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/15/2012 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3/6/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in full; warrants not outstanding

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 5/3/2011 $6,000,000.00 16,500 $363.64 ($10,500,000.00)

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 12/23/2008 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCORP CINCINNATI OH 2/24/2010 $80,000,000.00 80,000 $1,000.00

FIRST FINANCIAL BANCORP CINCINNATI OH 6/8/2010 $2,966,288.32 465,117

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 6/12/2009 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 9/22/2011 $3,756,000.00 3,756,000 $1.00 $113,000.00 113,000

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 12/5/2008 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in full; warrants not outstanding

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 4/3/2012 $56,778,150.00 ($851,672.25) 65,000 $873.51 ($8,221,850.00)

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5/22/2013 $1,400,000.00 241,696

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,336,278.00 Sold, in full; warrants not outstanding

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 4/29/2013 $10,842,200.00 20,000 $542.11 ($9,157,800.00)

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 5/31/2013 ($108,422.00)

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 7/1/2015 $2,500.00 215,983

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 12/22/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in full; warrants not outstanding

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11/9/2012 $8,025,750.00 8,700 $922.50 ($674,250.00) $256,118.75 261

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 1/11/2013 ($80,257.50)

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 2/27/2009 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in full; warrants not outstanding

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/29/2012 $26,398.99 29 $910.31 ($2,601.01)

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/31/2012 $6,864,647.71 7,541 $910.31 ($676,352.29) $362,118.92 379

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 1/11/2013 ($68,910.46)
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 8/28/2009 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in full; warrants not outstanding

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 9/22/2011 $20,699,000.00 2,070 $10,000.00 $1,030,000.00 103

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 11/14/2008 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in full; warrants not outstanding

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 12/22/2010 $866,540,000.00 866,540 $1,000.00

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 3/9/2011 $79,700,000.00 14,842,321

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 8/28/2009 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in full; warrants not outstanding

FIRST INDEPENDENCE CORPORATION DETROIT MI 12/20/2012 $2,336,675.00 3,223 $725.00 ($886,325.00)

FIRST INDEPENDENCE CORPORATION DETROIT MI 1/11/2013 ($23,366.75)

FIRST INDEPENDENCE CORPORATION DETROIT MI 3/26/2013 ($26,633.25)

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 3/13/2009 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in full; warrants not outstanding

FIRST INTERCONTINENTAL BANK DORAVILLE GA 8/12/2013 $3,247,112.96 6,398 $507.52 ($3,150,887.04) $139,320.00 320

FIRST INTERCONTINENTAL BANK DORAVILLE GA 9/12/2013 ($25,000.00)

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12/12/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in full; warrants not outstanding

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 4/7/2010 $10,000,000.00 10,000 $1,000.00 $1,488,046.41 199,203

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 2/27/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in full; warrants not outstanding

FIRST M&F CORPORATION KOSCIUSKO MS 9/29/2010 $30,000,000.00 30,000 $1,000.00

FIRST M&F CORPORATION KOSCIUSKO MS 8/30/2013 $4,089,510.61 513,113

8,11,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 1/16/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in full; warrants not outstanding

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 5/27/2009 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 2/6/2009 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in full; warrants not outstanding

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 12/7/2011 $33,900,000.00 35,595 $1,000.00 $1,695,000.00

8,14,44 FIRST MENASHA BANCSHARES, INC. NEENAH WI 2/13/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in full; warrants not outstanding

FIRST MENASHA BANCSHARES, INC. NEENAH WI 9/15/2011 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 2/20/2009 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in full; warrants not outstanding

FIRST MERCHANTS CORPORATION MUNCIE IN 9/22/2011 $116,000,000.00 116,000 $1,000.00

FIRST MERCHANTS CORPORATION MUNCIE IN 11/23/2011 $367,500.00 991,453

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 12/5/2008 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in full; warrants not outstanding

FIRST MIDWEST BANCORP, INC. ITASCA IL 11/23/2011 $193,000,000.00 193,000 $1,000.00

FIRST MIDWEST BANCORP, INC. ITASCA IL 12/21/2011 $900,000.00 1,305,230

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 3/13/2009 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in full; warrants not outstanding

FIRST NATIONAL CORPORATION STRASBURG VA 8/29/2012 $12,266,750.00 ($184,001.25) 13,900 $882.50 ($1,633,250.00) $624,674.69 695

8,14,44 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 3/20/2009 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in full; warrants not outstanding

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 8/4/2011 $17,836,000.00 17,836 $1,000.00 $892,000.00 892

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 11/21/2008 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in full; warrants not outstanding

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 5/27/2009 $184,011,000.00 184,011 $1,000.00

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 6/24/2009 $2,700,000.00 953,096

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 3/13/2009 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in full; warrants not outstanding

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 9/15/2011 $17,390,000.00 17,390 $1,000.00

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 11/16/2011 $375,000.00 352,977

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 11/21/2008 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in full; warrants not outstanding

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 12/15/2010 $19,300,000.00 19,300 $1,000.00

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 1/5/2011 $1,003,227.00 280,795

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 3/13/2009 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Exited bankruptcy/Receivership

FIRST PLACE FINANCIAL CORP. WARREN OH 10/29/2012 ($72,927,000.00)

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in full; warrants not outstanding

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 12/18/2009 $4,596,000.00

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/7/2013 $6,682,192.50 7,575 $882.14 ($892,807.50) $48,083.60 49

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/8/2013 $1,410,831.60 1,600 $881.77 ($189,168.40) $176,633.62 180

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 3/26/2013 ($80,930.24)

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/6/2009 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in full; warrants not outstanding

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/11/2013 $10,431,333.89 15,349 $679.61 ($4,917,666.11) $624,632.45 767

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 4/9/2013 ($104,313.34)

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in full; warrants not outstanding

FIRST RESOURCE BANK EXTON PA 12/11/2009 $2,417,000.00

FIRST RESOURCE BANK EXTON PA 9/15/2011 $5,017,000.00 5,017 $1,000.00 $130,000.00 130

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 1/9/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in full; warrants not outstanding

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 4/11/2013 $14,912,862.00 9,941,908 $1.50 ($18,087,138.00)

79 FIRST SOUND BANK SEATTLE WA 12/23/2008 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in full; warrants not outstanding

FIRST SOUND BANK SEATTLE WA 2/20/2013 $3,700,000.00 7,400 $500.00 ($3,700,000.00)

11,14,15 FIRST SOUTH BANCORP, INC. LEXINGTON TN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in full; warrants not outstanding

FIRST SOUTH BANCORP, INC. LEXINGTON TN 9/28/2011 $13,125,000.00 13,125,000 $1.00

FIRST SOUTH BANCORP, INC. LEXINGTON TN 11/28/2012 $36,875,000.00 36,875,000 $1.00 $2,500,000.00 2,500,000

8,11,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 1/30/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in full; warrants not outstanding

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 6/16/2010 $10,900,000.00 10,900 $1,000.00 $545,000.00 545

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/6/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in full; warrants not outstanding

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/26/2013 $315,007.00 350 $900.02 ($34,993.00)

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/27/2013 $2,835,063.00 3,150 $900.02 ($314,937.00) $206,048.21 225

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/28/2013 $1,800,040.00 2,000 $900.02 ($199,960.00) $45,788.48 50

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 4/9/2013 ($49,501.10)

8,14,44 FIRST TEXAS BHC, INC. FORT WORTH TX 3/6/2009 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in full; warrants not outstanding

FIRST TEXAS BHC, INC. FORT WORTH TX 9/15/2011 $13,533,000.00 13,533 $1,000.00 $677,000.00 677

14,15 FIRST TRUST CORPORATION NEW ORLEANS LA 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; warrants not outstanding

FIRST TRUST CORPORATION NEW ORLEANS LA 2/20/2013 $13,750,058.49 17,969,000 $0.77 ($4,218,941.51) $644,726.19 898,000

FIRST TRUST CORPORATION NEW ORLEANS LA 3/26/2013 ($137,500.58)

8,11,14 FIRST ULB CORP. OAKLAND CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in full; warrants not outstanding

FIRST ULB CORP. OAKLAND CA 4/22/2009 $4,900,000.00 4,900 $1,000.00 $245,000.00 245

FIRST UNITED CORPORATION OAKLAND MD 1/30/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $40,183,721.33 Sold, in full; warrants not outstanding

FIRST UNITED CORPORATION OAKLAND MD 12/3/2014 $7,800,000.00 7,800 $1,002.01 $15,678.00

FIRST UNITED CORPORATION OAKLAND MD 12/4/2014 $22,200,000.00 22,200 $1,002.01 $44,622.00

FIRST UNITED CORPORATION OAKLAND MD 1/9/2015 ($300,603.00)

FIRST UNITED CORPORATION OAKLAND MD 5/27/2015 $117,162.42 326,323

8,11,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 6/12/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in full; warrants not outstanding

FIRST VERNON BANCSHARES, INC. VERNON AL 9/29/2010 $6,000,000.00 6,000 $1,000.00 $245,000.00 245

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 2/6/2009 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in full; warrants not outstanding

FIRST WESTERN FINANCIAL, INC. DENVER CO 12/11/2009 $11,881,000.00

FIRST WESTERN FINANCIAL, INC. DENVER CO 8/9/2012 $6,138,000.00 7,920 $775.00 ($1,782,000.00) $311,681.70 380

FIRST WESTERN FINANCIAL, INC. DENVER CO 8/10/2012 $62,000.00 80 $775.00 ($18,000.00) $39,370.32 48

FIRST WESTERN FINANCIAL, INC. DENVER CO 9/11/2012 ($62,000.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 6/24/2013 $10,994,240.00 12,440 $883.78 ($1,445,760.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 7/26/2013 ($109,942.41)

FIRSTBANK CORPORATION ALMA MI 1/30/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in full; warrants not outstanding

FIRSTBANK CORPORATION ALMA MI 7/3/2012 $31,053,330.00 ($465,799.95) 33,000 $941.01 ($1,946,670.00)

FIRSTBANK CORPORATION ALMA MI 7/18/2012 $1,946,670.00 578,947

11 FIRSTMERIT CORPORATION AKRON OH 1/9/2009 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in full; warrants not outstanding

FIRSTMERIT CORPORATION AKRON OH 4/22/2009 $125,000,000.00 125,000 $1,000.00

FIRSTMERIT CORPORATION AKRON OH 5/27/2009 $5,025,000.00 952,260

FLAGSTAR BANCORP, INC. TROY MI 1/30/2009 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in full; warrants not outstanding

FLAGSTAR BANCORP, INC. TROY MI 3/26/2013 $1,439,258.50 1,579 $911.50 ($139,741.50)

FLAGSTAR BANCORP, INC. TROY MI 3/27/2013 $228,401,847.00 250,578 $911.50 ($22,176,153.00)

FLAGSTAR BANCORP, INC. TROY MI 3/28/2013 $13,216,750.00 14,500 $911.50 ($1,283,250.00)

FLAGSTAR BANCORP, INC. TROY MI 4/9/2013 ($2,430,578.56)

FLAGSTAR BANCORP, INC. TROY MI 6/12/2013 $12,905.00 645,138

8,84 FLORIDA BANK GROUP, INC. TAMPA FL 7/24/2009 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in full; warrants not outstanding

FLORIDA BANK GROUP, INC. TAMPA FL 8/14/2013 $8,000,000.00 20,471 $390.80 ($12,471,000.00)

8,14,44 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 2/20/2009 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in full; warrants not outstanding

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 9/22/2011 $9,495,000.00 9,495 $1,000.00 $475,000.00 475

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/19/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in full; warrants not outstanding

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 10/28/2009 $70,000,000.00 70,000 $1,000.00

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/30/2009 $900,000.00 375,806

8,14,45 FNB BANCORP SOUTH SAN FRANCISCO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in full; warrants not outstanding

FNB BANCORP SOUTH SAN FRANCISCO CA 9/15/2011 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

8,11,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 5/15/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in full; warrants not outstanding

FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 12/11/2012 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 5/22/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Exited bankruptcy/Receivership

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 4/20/2012 ($1,300,000.00)

8,14,45 FORTUNE FINANCIAL CORPORATION ARNOLD MO 4/3/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in full; warrants not outstanding

FORTUNE FINANCIAL CORPORATION ARNOLD MO 9/15/2011 $3,100,000.00 3,100 $1,000.00 $155,000.00 155

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 12/5/2008 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 Currently Not Collectible
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

FPB BANCORP, INC. PORT ST. LUCIE FL 7/15/2011 ($5,800,000.00)

8,11,14 FPB FINANCIAL CORP. HAMMOND LA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in full; warrants not outstanding

FPB FINANCIAL CORP. HAMMOND LA 12/16/2009 $1,000,000.00 1,000 $1,000.00

FPB FINANCIAL CORP. HAMMOND LA 6/16/2010 $2,240,000.00 2,240 $1,000.00 $162,000.00 162

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 5/22/2009 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; warrants not outstanding

FRANKLIN BANCORP, INC. WASHINGTON MO 11/9/2012 $594,550.00 940 $632.50 ($345,450.00) $126,798.62 188

FRANKLIN BANCORP, INC. WASHINGTON MO 11/13/2012 $2,629,302.50 4,157 $632.50 ($1,527,697.50) $45,188.88 67

FRANKLIN BANCORP, INC. WASHINGTON MO 1/11/2013 ($25,000.00)

15 FREEPORT BANCSHARES, INC. FREEPORT IL 5/8/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $4,363,022.95 Sold, in full; warrants not outstanding

FREEPORT BANCSHARES, INC. FREEPORT IL 4/11/2014 $2,800,000.00 2,800,000 $1.01 $18,228.00 $84,514.33 100,000

FREEPORT BANCSHARES, INC. FREEPORT IL 4/14/2014 $200,000.00 200,000 $1.01 $1,302.00 $42,257.17 50,000

FREEPORT BANCSHARES, INC. FREEPORT IL 7/18/2014 ($25,000.00)

11,14,15 FREMONT BANCORPORATION FREMONT CA 6/26/2009 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in full; warrants not outstanding

FREMONT BANCORPORATION FREMONT CA 7/25/2012 $35,000,000.00 35,000,000 $1.00 $1,750,000.00 1,750,000

8,14,44 FRESNO FIRST BANK FRESNO CA 1/23/2009 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in full; warrants not outstanding

FRESNO FIRST BANK FRESNO CA 11/1/2012 $1,968,000.00 1,968 $1,000.00 $98,000.00 98

11,14,15 FRONTIER BANCSHARES, INC AUSTIN TX 4/24/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in full; warrants not outstanding

FRONTIER BANCSHARES, INC AUSTIN TX 11/24/2009 $1,600,000.00 1,600,000 $1.00

FRONTIER BANCSHARES, INC AUSTIN TX 10/6/2010 $1,400,000.00 1,400,000 $1.00 $150,000.00 150,000

11 FULTON FINANCIAL CORPORATION LANCASTER PA 12/23/2008 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in full; warrants not outstanding

FULTON FINANCIAL CORPORATION LANCASTER PA 7/14/2010 $376,500,000.00 376,500 $1,000.00

FULTON FINANCIAL CORPORATION LANCASTER PA 9/8/2010 $10,800,000.00 5,509,756

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 5/8/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in full; warrants not outstanding

GATEWAY BANCSHARES, INC. RINGGOLD GA 4/13/2012 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

8,11,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/6/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in full; warrants not outstanding

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/16/2011 $8,700,000.00 8,700 $1,000.00 $435,000.00 435

8 GEORGIA PRIMARY BANK ATLANTA GA 5/1/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $1,576,457.50 Sold, in full; warrants not outstanding

GEORGIA PRIMARY BANK ATLANTA GA 2/10/2014 $1,556,145.00 4,500 $345.81 ($2,943,855.00) $45,312.50 225

GEORGIA PRIMARY BANK ATLANTA GA 3/19/2014 ($25,000.00)

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 3/6/2009 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in full; warrants not outstanding

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/29/2012 $26,393.77 29 $910.13 ($2,606.23)

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/31/2012 $4,494,221.94 4,938 $910.13 ($443,778.06) $214,595.28 248

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 1/11/2013 ($25,000.00)

8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 6/26/2009 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Exited bankruptcy/Receivership

GOLD CANYON BANK GOLD CANYON AZ 4/5/2013 ($1,607,000.00)

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in full; warrants not outstanding

GOLDMAN SACHS GROUP, INC. NEW YORK NY 6/17/2009 $10,000,000,000.00 10,000,000 $1,000.00

GOLDMAN SACHS GROUP, INC. NEW YORK NY 7/22/2009 $1,100,000,000.00 12,205,045

8,127 GOLDWATER BANK, N.A. SCOTTSDALE AZ 1/30/2009 Preferred Stock w/ Exercised Warrants $2,568,000.00 $0.00 $1,493,750.00 Sold, in full; warrants not outstanding

GOLDWATER BANK, N.A. SCOTTSDALE AZ 9/21/2015 $1,348,000.00 2,568 $524.92 ($1,220,000.00)

8,14,44 GRAND CAPITAL CORPORATION TULSA OK 4/24/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

GRAND CAPITAL CORPORATION TULSA OK 9/8/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 9/25/2009 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $0.00 $3,868,471.61 Redeemed, in full; warrants not outstanding

GRAND FINANCIAL CORPORATION HATTIESBURG MS 7/8/2015 $2,443,320.00 2,443,320 $1.00 $122,000.00 122,000

8 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 5/29/2009 Preferred Stock w/ Exercised Warrants $3,076,000.00 $3,076,000.00 $0.00 Full investment outstanding; warrants outstanding

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 1/9/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in full; warrants not outstanding

GRANDSOUTH BANCORPORATION GREENVILLE SC 12/11/2009 $6,319,000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 9/8/2011 $15,319,000.00 15,319 $1,000.00 $450,000.00 450

15 GREAT RIVER HOLDING COMPANY BAXTER MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $0.00 $11,306,571.15 Sold, in full; warrants not outstanding

GREAT RIVER HOLDING COMPANY BAXTER MN 4/11/2014 $4,800,000.00 4,800,000 $1.19 $926,400.00

GREAT RIVER HOLDING COMPANY BAXTER MN 4/14/2014 $3,600,000.00 3,600,000 $1.19 $694,800.00 $626,007.69 420,000

GREAT RIVER HOLDING COMPANY BAXTER MN 7/18/2014 ($100,212.00)

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 12/5/2008 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in full; warrants not outstanding

GREAT SOUTHERN BANCORP SPRINGFIELD MO 8/18/2011 $58,000,000.00 58,000 $1,000.00

GREAT SOUTHERN BANCORP SPRINGFIELD MO 9/21/2011 $6,436,364.00 909,091

GREEN BANKSHARES, INC. GREENEVILLE TN 12/23/2008 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in full; warrants not outstanding

GREEN BANKSHARES, INC. GREENEVILLE TN 9/7/2011 $68,700,000.00 72,278 $950.50 ($3,578,000.00)

8,11,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 2/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in full; warrants not outstanding

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 11/14/2012 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 1/23/2013 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 4/24/2013 $800,000.00 800 $1,000.00 $120,000.00 120

8,11,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 2/27/2009 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in full; warrants not outstanding

GREEN CITY BANCSHARES, INC. GREEN CITY MO 7/14/2010 $651,000.00 651 $1,000.00 $33,000.00 33

8 GREER BANCSHARES INCORPORATED GREER SC 1/30/2009 Preferred Stock w/ Exercised Warrants $9,993,000.00 $0.00 $13,693,111.07 Redeemed, in full; warrants not outstanding

GREER BANCSHARES INCORPORATED GREER SC 3/19/2014 $3,150,000.00 3,150 $1,000.00

GREER BANCSHARES INCORPORATED GREER SC 6/11/2014 $1,980,000.00 1,980 $1,000.00

GREER BANCSHARES INCORPORATED GREER SC 7/23/2014 $4,863,000.00 4,863 $1,000.00 $500,000.00 500

8,68,97 GREGG BANCSHARES, INC. OZARK MO 2/13/2009 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 Currently Not Collectible

GREGG BANCSHARES, INC. OZARK MO 7/13/2012 ($825,000.00)

8,14,45 GUARANTY BANCORP, INC. WOODSVILLE NH 2/20/2009 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in full; warrants not outstanding

GUARANTY BANCORP, INC. WOODSVILLE NH 9/15/2011 $6,920,000.00 6,920 $1,000.00 $346,000.00 346

9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 9/25/2009 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in full; warrants not outstanding

GUARANTY CAPITAL CORPORATION BELZONI MS 7/30/2010 $14,000,000.00 14,000,000 $1.00

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 1/30/2009 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in full; warrants not outstanding

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 6/13/2012 $5,000,000.00 5,000 $1,000.00

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/26/2013 $96,750.00 100 $967.50 ($3,250.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/29/2013 $11,513,250.00 11,900 $967.50 ($386,750.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/15/2013 $2,003,250.00 459,459

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/31/2013 ($116,100.00)

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 9/25/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Exited bankruptcy/Receivership

GULFSOUTH PRIVATE BANK DESTIN FL 10/19/2012 ($7,500,000.00)

8,14,45 GULFSTREAM BANCSHARES, INC. STUART FL 6/26/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in full; warrants not outstanding

GULFSTREAM BANCSHARES, INC. STUART FL 8/18/2011 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

8,11,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 2/20/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in full; warrants not outstanding

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 4/13/2011 $7,000,000.00 280 $25,000.00 $350,000.00 35

38 HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 12/31/2008 Preferred Stock w/ Warrants $80,347,000.00 $0.00 $5,790,608.79 Sold, in full; warrants outstanding

HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 4/14/2014 $3,279,764.54 2,089,022 $1.57 ($77,067,235.46)

8,9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 7/17/2009 Preferred Stock $6,800,000.00 $6,800,000.00 $282,744.47 Full investment outstanding; warrants not outstanding

8,11,14 HAVILAND BANCSHARES, INC. HAVILAND KS 3/13/2009 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in full; warrants not outstanding

HAVILAND BANCSHARES, INC. HAVILAND KS 12/29/2010 $425,000.00 425 $1,000.00 $21,000.00 21

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12/19/2008 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in full; warrants not outstanding

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/9/2012 $12,000,000.00 12,000 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/15/2013 $18,255,000.00 18,255 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 6/12/2013 $540,000.00 287,134

131 HCSB FINANCIAL CORPORATION LORIS SC 3/6/2009 Preferred Stock w/ Warrants $12,895,000.00 $0.00 $1,219,652.00 Sold, in full; warrants not outstanding

HCSB FINANCIAL CORPORATION LORIS SC 4/11/2016 $128,950.00 12,895 $10.00 ($12,766,050.00)

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 9/11/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in full; warrants not outstanding

HEARTLAND BANCSHARES, INC. FRANKLIN IN 7/17/2012 $7,000,000.00 7,000 $1,000.00 $248,000.00 248

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 12/19/2008 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in full; warrants not outstanding

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/15/2011 $81,698,000.00 81,698 $1,000.00

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/28/2011 $1,800,000.00 609,687

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 9/25/2009 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in full; warrants not outstanding

HERITAGE BANKSHARES, INC. NORFOLK VA 3/16/2011 $2,606,000.00 2,606 $1,000.00

HERITAGE BANKSHARES, INC. NORFOLK VA 8/11/2011 $7,497,000.00 7,497 $1,000.00 $303,000.00 303

11 HERITAGE COMMERCE CORP. SAN JOSE CA 11/21/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in full; warrants not outstanding

HERITAGE COMMERCE CORP. SAN JOSE CA 3/7/2012 $40,000,000.00 40,000 $1,000.00

HERITAGE COMMERCE CORP. SAN JOSE CA 6/10/2013 $140,000.00 462,963

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 11/21/2008 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in full; warrants not outstanding

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 12/22/2010 $24,000,000.00 24,000 $1,000.00

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 8/17/2011 $450,000.00 138,037

11 HERITAGE OAKS BANCORP PASO ROBLES CA 3/20/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in full; warrants not outstanding

HERITAGE OAKS BANCORP PASO ROBLES CA 7/17/2013 $21,000,000.00 21,000 $1,000.00

HERITAGE OAKS BANCORP PASO ROBLES CA 8/7/2013 $1,575,000.00 611,650

11 HF FINANCIAL CORP. SIOUX FALLS SD 11/21/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in full; warrants not outstanding

HF FINANCIAL CORP. SIOUX FALLS SD 6/3/2009 $25,000,000.00 25,000 $1,000.00

HF FINANCIAL CORP. SIOUX FALLS SD 6/30/2009 $650,000.00 302,419

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 5/8/2009 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in full; warrants not outstanding

HIGHLANDS BANCORP, INC. VERNON NJ 12/22/2009 $2,359,000.00
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

HIGHLANDS BANCORP, INC. VERNON NJ 9/22/2011 $5,450,000.00 5,450 $1,000.00 $155,000.00 155

8,111 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 3/6/2009 Preferred Stock w/ Exercised Warrants $6,700,000.00 $0.00 $6,165,312.00 Sold, in full; warrants not outstanding

HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 10/24/2014 $5,547,600.00 6,700 $828.00 ($1,152,400.00)

8,11,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 1/30/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in full; warrants not outstanding

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 4/21/2010 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

HMN FINANCIAL, INC. ROCHESTER MN 12/23/2008 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $26,563,769.78 Sold, in full; warrants not outstanding

HMN FINANCIAL, INC. ROCHESTER MN 2/7/2013 $2,561,325.00 3,550 $721.50 ($988,675.00)

HMN FINANCIAL, INC. ROCHESTER MN 2/8/2013 $16,197,675.00 22,450 $721.50 ($6,252,325.00)

HMN FINANCIAL, INC. ROCHESTER MN 3/26/2013 ($187,590.00)

HMN FINANCIAL, INC. ROCHESTER MN 5/26/2015 $1,843,194.00 277,778

HMN FINANCIAL, INC. ROCHESTER MN 5/28/2015 $3,686,388.00 555,555

11 HOME BANCSHARES, INC. CONWAY AR 1/16/2009 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in full; warrants not outstanding

HOME BANCSHARES, INC. CONWAY AR 7/6/2011 $50,000,000.00 50,000 $1,000.00

HOME BANCSHARES, INC. CONWAY AR 7/27/2011 $1,300,000.00 158,472

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 2/20/2009 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in full; warrants not outstanding

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 8/28/2013 $3,250,000.00 3,250 $1,000.00 $163,000.00 163

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 2/13/2009 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in full; warrants not outstanding

HOMETOWN BANCSHARES, INC. CORBIN KY 11/28/2012 $608,170.50 645 $942.90 ($36,829.50)

HOMETOWN BANCSHARES, INC. CORBIN KY 11/30/2012 $1,183,339.50 1,255 $942.90 ($71,660.50) $70,095.00 95

HOMETOWN BANCSHARES, INC. CORBIN KY 1/11/2013 ($17,915.11)

HOMETOWN BANCSHARES, INC. CORBIN KY 3/26/2013 ($7,084.89)

8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 9/18/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in full; warrants not outstanding

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 10/31/2012 $9,185,000.00 10,000 $918.50 ($815,000.00) $315,461.52 374

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 1/11/2013 ($91,850.00)

11 HOPFED BANCORP HOPKINSVILLE KY 12/12/2008 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in full; warrants not outstanding

HOPFED BANCORP HOPKINSVILLE KY 12/19/2012 $18,400,000.00 18,400 $1,000.00

HOPFED BANCORP HOPKINSVILLE KY 1/16/2013 $256,257.00 253,666

11,45 HORIZON BANCORP MICHIGAN CITY IN 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in full; warrants not outstanding

HORIZON BANCORP MICHIGAN CITY IN 11/10/2010 $6,250,000.00 6,250 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 8/25/2011 $18,750,000.00 18,750 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 11/23/2011 $1,750,551.00 212,188

8,14,44 HOWARD BANCORP, INC. ELLICOTT CITY MD 2/27/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in full; warrants not outstanding

HOWARD BANCORP, INC. ELLICOTT CITY MD 9/22/2011 $5,983,000.00 5,983 $1,000.00 $299,000.00 299

8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 5/1/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in full; warrants not outstanding

HPK FINANCIAL CORPORATION CHICAGO IL 11/13/2009 $5,000,000.00

HPK FINANCIAL CORPORATION CHICAGO IL 12/11/2012 $9,000,000.00 9,000 $1,000.00 $344,000.00 344

11 HUNTINGTON BANCSHARES COLUMBUS OH 11/14/2008 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in full; warrants not outstanding

HUNTINGTON BANCSHARES COLUMBUS OH 12/22/2010 $1,398,071,000.00 1,398,071 $1,000.00

HUNTINGTON BANCSHARES COLUMBUS OH 1/19/2011 $49,100,000.00 23,562,994

8,14 HYPERION BANK PHILADELPHIA PA 2/6/2009 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in full; warrants not outstanding

HYPERION BANK PHILADELPHIA PA 12/20/2012 $1,008,800.00 1,552 $650.00 ($543,200.00) $25,700.00 78

HYPERION BANK PHILADELPHIA PA 1/11/2013 ($10,088.00)

HYPERION BANK PHILADELPHIA PA 3/26/2013 ($14,912.00)

8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 9/18/2009 Preferred Stock w/ Exercised Warrants $5,976,000.00 $0.00 $6,907,223.22 Sold, in full; warrants not outstanding

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/14/2014 $2,717,674.70 2,770 $981.11 ($52,325.30)

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/17/2014 $3,145,438.66 3,206 $981.11 ($60,561.34) $186,513.52 179

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 4/25/2014 ($58,631.13)

9,15,36 IBC BANCORP, INC. CHICAGO IL 5/15/2009 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in full; warrants not outstanding

IBC BANCORP, INC. CHICAGO IL 9/10/2010 $4,205,000.00 4,205,000 $1.00

12,16 IBERIABANK CORPORATION LAFAYETTE LA 12/5/2008 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in full; warrants not outstanding

IBERIABANK CORPORATION LAFAYETTE LA 3/31/2009 $90,000,000.00 90,000 $1,000.00

IBERIABANK CORPORATION LAFAYETTE LA 5/20/2009 $1,200,000.00 138,490

8,14 IBT BANCORP, INC. IRVING TX 3/27/2009 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in full; warrants not outstanding

IBT BANCORP, INC. IRVING TX 6/12/2013 $2,295,000.00 2,295 $1,000.00 $115,000.00 115

8,10,11 IBW FINANCIAL CORPORATION WASHINGTON DC 3/13/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in full; warrants not outstanding

IBW FINANCIAL CORPORATION WASHINGTON DC 9/3/2010 $6,000,000.00 6,000 $1,000.00

8,14,44 ICB FINANCIAL ONTARIO CA 3/6/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in full; warrants not outstanding

ICB FINANCIAL ONTARIO CA 11/1/2012 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

8,108 IDAHO BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $6,900,000.00 $0.00 $555,673.08 Currently Not Collectible

IDAHO BANCORP BOISE ID 4/24/2014 ($6,900,000.00)

8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 5/22/2009 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in full; warrants not outstanding

ILLINOIS STATE BANCORP, INC. CHICAGO IL 12/29/2009 $4,000,000.00

ILLINOIS STATE BANCORP, INC. CHICAGO IL 9/22/2011 $10,272,000.00 10,272 $1,000.00 $406,000.00 406

8 INDEPENDENCE BANK EAST GREENWICH RI 1/9/2009 Preferred Stock w/ Exercised Warrants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, in full; warrants not outstanding

INDEPENDENCE BANK EAST GREENWICH RI 10/16/2013 $1,065,000.00 1,065 $1,000.00 $53,000.00 53

11 INDEPENDENT BANK CORP. ROCKLAND MA 1/9/2009 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORP. ROCKLAND MA 4/22/2009 $78,158,000.00 78,158 $1,000.00

INDEPENDENT BANK CORP. ROCKLAND MA 5/27/2009 $2,200,000.00 481,664

29 INDEPENDENT BANK CORPORATION IONIA MI 12/12/2008 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORPORATION IONIA MI 8/30/2013 $72,000,000.00 72,000 $1,000.00 $2,426,000.00

8,22,92,97 INDIANA BANK CORP. DANA IN 4/24/2009 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 Exited bankruptcy/Receivership

INDIANA BANK CORP. DANA IN 4/9/2013 ($1,312,000.00)

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12/12/2008 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in full; warrants not outstanding

INDIANA COMMUNITY BANCORP COLUMBUS IN 9/12/2012 $21,500,000.00 21,500 $1,000.00 $1,800,000.00 188,707

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 2/27/2009 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 Currently Not Collectible

INTEGRA BANK CORPORATION EVANSVILLE IN 7/29/2011 ($83,586,000.00)

115 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 12/19/2008 Preferred Stock w/ Warrants $27,000,000.00 $0.00 $33,955,519.23 Redeemed, in full; warrants not outstanding

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 11/20/2013 $27,000,000.00 27,000 $1,000.00

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 10/31/2014 $10,635.00 65,323

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 12/23/2008 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in full; warrants not outstanding

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 7/11/2012 $40,000,000.00 40,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/1/2012 $45,000,000.00 45,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/28/2012 $131,000,000.00 131,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 6/11/2013 $4,018,511.00 1,326,238

INTERVEST BANCSHARES CORPORATION NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $32,927,621.56 Sold, in full; warrants not outstanding

INTERVEST BANCSHARES CORPORATION NEW YORK NY 6/24/2013 $24,250,000.00 25,000 $970.00 ($750,000.00)

INTERVEST BANCSHARES CORPORATION NEW YORK NY 7/26/2013 ($242,500.00)

INTERVEST BANCSHARES CORPORATION NEW YORK NY 9/3/2014 $2,892,066.00 691,882

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 5/8/2009 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 Currently Not Collectible

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 10/19/2012 ($4,000,000.00)

11 JPMORGAN CHASE & CO. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in full; warrants not outstanding

JPMORGAN CHASE & CO. NEW YORK NY 6/17/2009 $25,000,000,000.00 2,500,000 $10,000.00

JPMORGAN CHASE & CO. NEW YORK NY 12/16/2009 $936,063,469.11 88,401,697

8,14,44 KATAHDIN BANKSHARES CORP. HOULTON ME 1/30/2009 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in full; warrants not outstanding

KATAHDIN BANKSHARES CORP. HOULTON ME 8/18/2011 $10,449,000.00 10,449 $1,000.00 $522,000.00 522

11 KEYCORP CLEVELAND OH 11/14/2008 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in full; warrants not outstanding

KEYCORP CLEVELAND OH 3/30/2011 $2,500,000,000.00 25,000 $100,000.00

KEYCORP CLEVELAND OH 4/20/2011 $70,000,000.00 35,244,361

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/20/2009 Preferred Stock w/ Exercised Warrants $470,000.00 $0.00 $622,228.44 Redeemed, in full; warrants not outstanding

KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/19/2014 $470,000.00 470 $1,000.00 $24,000.00 24

8,14 KS BANCORP, INC SMITHFIELD NC 8/21/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in full; warrants not outstanding

KS BANCORP, INC SMITHFIELD NC 11/30/2012 $3,308,000.00 4,000 $827.00 ($692,000.00) $140,400.00 200

KS BANCORP, INC SMITHFIELD NC 1/11/2013 ($25,000.00)

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 2/20/2009 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in full; warrants not outstanding

LAFAYETTE BANCORP, INC. OXFORD MS 12/29/2009 $2,453,000.00

LAFAYETTE BANCORP, INC. OXFORD MS 9/29/2010 $4,451,000.00 4,451 $1,000.00 $100,000.00 100

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 2/6/2009 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in full; warrants not outstanding

LAKELAND BANCORP, INC. OAK RIDGE NJ 8/4/2010 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 3/16/2011 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 2/8/2012 $19,000,000.00 19,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 2/29/2012 $2,800,000.00 997,050

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 2/27/2009 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in full; warrants not outstanding

LAKELAND FINANCIAL CORPORATION WARSAW IN 6/9/2010 $56,044,000.00 56,044 $1,000.00

LAKELAND FINANCIAL CORPORATION WARSAW IN 11/22/2011 $877,557.00 198,269

8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 12/18/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in full; warrants not outstanding

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11/29/2012 $2,370,930.00 3,000 $790.31 ($629,070.00) $104,375.00 150

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 1/11/2013 ($23,709.29)

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 3/26/2013 ($1,290.71)
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

11 LCNB CORP. LEBANON OH 1/9/2009 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in full; warrants not outstanding

LCNB CORP. LEBANON OH 10/21/2009 $13,400,000.00 13,400 $1,000.00

LCNB CORP. LEBANON OH 11/22/2011 $602,557.00 217,063

8,11,14 LEADER BANCORP, INC. ARLINGTON MA 12/23/2008 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in full; warrants not outstanding

LEADER BANCORP, INC. ARLINGTON MA 11/24/2010 $5,830,000.00 5,830 $1,000.00 $292,000.00 292

9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 1/30/2009 Preferred Stock $5,498,000.00 $0.00 $355,079.00 Currently Not Collectible

LEGACY BANCORP, INC. MILWAUKEE WI 3/11/2011 ($5,498,000.00)

8,14,45 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 1/23/2009 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 7/21/2011 $57,500,000.00 57,500 $1,000.00 $2,875,000.00 2,875

8,14,45 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 2/13/2009 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 8/18/2011 $21,900,000.00 21,900 $1,000.00 $1,095,000.00 1,095

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 12/4/2009 Preferred Stock w/ Exercised Warrants $6,500,000.00 $0.00 $8,447,271.11 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 1/14/2015 $6,500,000.00 6,500 $1,000.00 $196,000.00 196

9,11,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 2/6/2009 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in full; warrants not outstanding

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 9/24/2010 $5,645,000.00 5,645 $1,000.00

8 LIBERTY SHARES, INC. HINESVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $17,280,000.00 $17,280,000.00 $1,399,560.00 Full investment outstanding; warrants outstanding

11 LINCOLN NATIONAL CORPORATION RADNOR PA 7/10/2009 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in full; warrants not outstanding

LINCOLN NATIONAL CORPORATION RADNOR PA 6/30/2010 $950,000,000.00 950,000 $1,000.00

LINCOLN NATIONAL CORPORATION RADNOR PA 9/22/2010 $213,671,319.20 13,049,451

LNB BANCORP, INC. LORAIN OH 12/12/2008 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in full; warrants not outstanding

LNB BANCORP, INC. LORAIN OH 6/19/2012 $21,923,074.91 ($328,846.12) 25,223 $869.17 ($3,299,925.09)

LNB BANCORP, INC. LORAIN OH 7/18/2012 $860,326.00 561,343

8 LONE STAR BANK HOUSTON TX 2/6/2009 Preferred Stock w/ Exercised Warrants $3,072,000.00 $0.00 $1,950,881.54 Sold, in full; warrants not outstanding

LONE STAR BANK HOUSTON TX 12/3/2014 $1,195,906.25 1,925 $621.25 ($729,093.75)

LONE STAR BANK HOUSTON TX 12/4/2014 $712,573.75 1,147 $621.25 ($434,426.25) $67,401.54 154

LONE STAR BANK HOUSTON TX 1/9/2015 ($25,000.00)

11 LSB CORPORATION NORTH ANDOVER MA 12/12/2008 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in full; warrants not outstanding

LSB CORPORATION NORTH ANDOVER MA 11/18/2009 $15,000,000.00 15,000 $1,000.00

LSB CORPORATION NORTH ANDOVER MA 12/16/2009 $560,000.00 209,497

8,9,17 M&F BANCORP, INC. DURHAM NC 6/26/2009 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in full; warrants not outstanding

M&F BANCORP, INC. DURHAM NC 8/20/2010 $11,735,000.00 11,735 $1,000.00

11 M&T BANK CORPORATION BUFFALO NY 12/23/2008 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in full; warrants not outstanding

M&T BANK CORPORATION BUFFALO NY 5/18/2011 $370,000,000.00 370,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 8/21/2012 $230,000,000.00 230,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 12/17/2012 $31,838,761.34 1,218,522

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 4/24/2009 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in full; warrants not outstanding

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 8/29/2012 $10,538,990.00 ($158,084.85) 11,000 $958.09 ($461,010.00)

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 12/19/2012 $1,300,000.00 398,734

8 MADISON FINANCIAL CORPORATION RICHMOND KY 3/13/2009 Preferred Stock w/ Exercised Warrants $3,370,000.00 $0.00 $3,773,495.65 Sold, in full; warrants not outstanding

MADISON FINANCIAL CORPORATION RICHMOND KY 11/19/2013 $3,370,000.00 3,370 $1,022.61 $76,195.70 $182,878.45 169

MADISON FINANCIAL CORPORATION RICHMOND KY 1/6/2014 ($25,000.00)

8,11,44 MAGNA BANK MEMPHIS TN 12/23/2008 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in full; warrants not outstanding

MAGNA BANK MEMPHIS TN 11/24/2009 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 6/8/2011 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 8/18/2011 $6,885,000.00 6,885 $1,000.00 $690,000.00 690

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 12/29/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in full; warrants not outstanding

MAINLINE BANCORP, INC. EBENSBURG PA 3/9/2012 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 1/16/2009 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in full; warrants not outstanding

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 4/3/2012 $53,073,270.00 ($796,099.05) 57,000 $931.11 ($3,926,730.00)

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 6/11/2013 $1,512,177.00 571,906

11 MANHATTAN BANCORP EL SEGUNDO CA 12/5/2008 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in full; warrants not outstanding

MANHATTAN BANCORP EL SEGUNDO CA 9/16/2009 $1,700,000.00 1,700 $1,000.00

MANHATTAN BANCORP EL SEGUNDO CA 10/14/2009 $63,363.90 29,480

14,15 MANHATTAN BANCSHARES, INC. MANHATTAN IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in full; warrants not outstanding

MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/10/2012 $11,385.02 14,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/11/2012 $2,586,404.73 2,639,000 $0.98 ($52,595.27) $95,959.50 118,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 1/11/2013 ($25,000.00)

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 3/6/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,296,213.00 Sold, in full; warrants not outstanding

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/1/2014 $1,504,820.00 2,246 $670.00 ($741,180.00) $55,870.00 111

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/2/2014 $483,740.00 722 $670.00 ($238,260.00) $19,126.67 38

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/3/2014 $21,440.00 32 $670.00 ($10,560.00) $503.331

MARINE BANK & TRUST COMPANY VERO BEACH FL 9/26/2014 ($25,000.00)

8 MARKET BANCORPORATION, INC. NEW MARKET MN 2/20/2009 Preferred Stock w/ Exercised Warrants $2,060,000.00 $0.00 $2,714,911.32 Sold, in full; warrants not outstanding

MARKET BANCORPORATION, INC. NEW MARKET MN 7/2/2014 $2,060,000.00 2,060 $1,210.03 $432,661.80 $108,471.52 103

MARKET BANCORPORATION, INC. NEW MARKET MN 9/26/2014 ($25,000.00)

14,15 MARKET STREET BANCSHARES, INC. MT. VERNON IL 5/15/2009 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in full; warrants not outstanding

MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/9/2012 $17,919,962.10 19,931,000 $0.90 ($2,011,037.90) $727,225.54 895,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/10/2012 $331,767.90 369,000 $0.90 ($37,232.10) $97,505.10 120,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9/11/2012 ($182,517.30)

8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 12/19/2008 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; warrants not outstanding

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/7/2012 $2,530,958.50 3,514 $720.25 ($983,041.50) $142,974.56 175

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/9/2012 $5,904,609.50 8,198 $720.25 ($2,293,390.50) $1,054,743.77 1,291

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/10/2012 $17,133,307.00 23,788 $720.25 ($6,654,693.00) $252,452.23 309

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9/11/2012 ($255,688.75)

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 11/14/2008 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in full; warrants not outstanding

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 7/5/2011 $1,715,000,000.00 1,715,000 $1,000.00 $3,250,000.00 13,815,789

8 MARYLAND FINANCIAL BANK TOWSON MD 3/27/2009 Preferred Stock w/ Exercised Warrants $1,700,000.00 $0.00 $817,240.50 Sold, in full; warrants not outstanding

MARYLAND FINANCIAL BANK TOWSON MD 7/2/2014 $527,000.00 1,700 $310.00 ($1,173,000.00) $1,775.00 85

MARYLAND FINANCIAL BANK TOWSON MD 9/26/2014 ($25,000.00)

11 MB FINANCIAL INC. CHICAGO IL 12/5/2008 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in full; warrants not outstanding

MB FINANCIAL INC. CHICAGO IL 3/14/2012 $196,000,000.00 196,000 $1,000.00

MB FINANCIAL INC. CHICAGO IL 5/2/2012 $1,518,072.00 506,024

8,14,45 MCLEOD BANCSHARES, INC. SHOREWOOD MN 11/20/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in full; warrants not outstanding

MCLEOD BANCSHARES, INC. SHOREWOOD MN 8/18/2011 $6,000,000.00 600 $10,000.00 $300,000.00 30

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 2/27/2009 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in full; warrants not outstanding

MEDALLION BANK SALT LAKE CITY UT 12/22/2009 $9,698,000.00

MEDALLION BANK SALT LAKE CITY UT 7/21/2011 $21,498,000.00 21,498 $1,000.00 $645,000.00 645

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 5/15/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in full; warrants not outstanding

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4/4/2012 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6/6/2012 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 7/3/2012 $7,465,100.00 616,438

8,14,44 MERCANTILE CAPITAL CORPORATION BOSTON MA 2/6/2009 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in full; warrants not outstanding

MERCANTILE CAPITAL CORPORATION BOSTON MA 8/4/2011 $3,500,000.00 3,500 $1,000.00 $175,000.00 175

8,14,56 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 3/6/2009 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in full; warrants not outstanding

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 9/7/2011 $1,881,000.00 1,881 $1,000.00 $94,000.00 94

8,14,44 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 6/19/2009 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in full; warrants not outstanding

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 9/8/2011 $3,510,000.00 3,510 $1,000.00 $176,000.00 176

8,18 MERIDIAN BANK DEVON PA 2/13/2009 Preferred Stock w/ Exercised Warrants $6,200,000.00 $0.00 $13,582,165.84 Sold, in full; warrants not outstanding

MERIDIAN BANK DEVON PA 12/11/2009 $6,335,000.00

MERIDIAN BANK DEVON PA 3/17/2014 $10,328,152.35 12,535 $823.95 ($2,206,847.65) $262,399.50 310

MERIDIAN BANK DEVON PA 4/25/2014 ($103,281.52)

8,14 METRO CITY BANK DORAVILLE GA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in full; warrants not outstanding

METRO CITY BANK DORAVILLE GA 10/29/2012 $26,102.90 29 $900.10 ($2,897.10)

METRO CITY BANK DORAVILLE GA 11/1/2012 $6,904,667.10 7,671 $900.10 ($766,332.90) $369,948.00 385

METRO CITY BANK DORAVILLE GA 1/11/2013 ($69,307.70)

METROCORP BANCSHARES, INC. HOUSTON TX 1/16/2009 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in full; warrants not outstanding

METROCORP BANCSHARES, INC. HOUSTON TX 7/3/2012 $44,152,650.00 ($662,289.75) 45,000 $981.17 ($847,350.00)

METROCORP BANCSHARES, INC. HOUSTON TX 6/11/2013 $2,087,368.00 771,429

8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in full; warrants not outstanding

METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 $23,718,541.95 71,526 $331.61 ($47,807,458.05)

8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 4/10/2009 Preferred Stock w/ Exercised Warrants $2,040,000.00 $0.00 $5,663,197.28 Sold, in full; warrants not outstanding

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 11/20/2009 $2,348,000.00

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 6/29/2015 $4,135,655.24 4,388 $942.49 ($252,344.76) $84,445.94 102

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 8/6/2015 ($33,333.34)

11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/19/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in full; warrants not outstanding

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/28/2012 $10,000,000.00 10,000 $1,000.00

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 1/23/2013 $58,479.20 73,099

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 1/30/2009 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in full; warrants not outstanding
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 12/23/2009 $22,000,000.00 22,000 $1,000.00

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 11/18/2011 $301,001.00 104,101

8,11,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 1/23/2009 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in full; warrants not outstanding

MIDLAND STATES BANCORP, INC. EFFINGHAM IL 12/23/2009 $10,189,000.00 10,189 $1,000.00 $509,000.00 509

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in full; warrants not outstanding

MIDSOUTH BANCORP, INC. LAFAYETTE LA 8/25/2011 $20,000,000.00 20,000 $1,000.00

MIDSOUTH BANCORP, INC. LAFAYETTE LA 11/22/2011 $206,557.00 104,384

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 2/27/2009 Preferred Stock w/ Exercised Warrants $5,222,000.00 $0.00 $3,520,137.55 Sold, in full; warrants not outstanding

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 11/19/2013 $3,133,200.00 5,222 $600.00 ($2,088,800.00) $136,833.05 261

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 1/6/2014 ($25,000.00)

22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 12/5/2008 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Exited bankruptcy/Receivership

MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5/14/2010 ($84,784,000.00)

8,11,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 2/13/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in full; warrants not outstanding

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 11/10/2009 $700,000.00 700 $1,000.00 $35,000.00 35

11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 2/6/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in full; warrants not outstanding

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/6/2011 $16,000,000.00 16,000 $1,000.00

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/27/2011 $1,000,000.00 198,675

8,11,14 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 2/20/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in full; warrants not outstanding

MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 4/26/2013 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 MILLENNIUM BANCORP, INC. EDWARDS CO 4/3/2009 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in full; warrants not outstanding

MILLENNIUM BANCORP, INC. EDWARDS CO 8/14/2012 $2,904,000.00 7,260 $400.00 ($4,356,000.00)

9,11 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 1/9/2009 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in full; warrants not outstanding

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 12/28/2011 $5,116,000.00 5,116 $1,000.00

9,11,36 MISSION VALLEY BANCORP SUN VALLEY CA 12/23/2008 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in full; warrants not outstanding

MISSION VALLEY BANCORP SUN VALLEY CA 8/20/2010 $5,500,000.00 5,500 $1,000.00

8,11,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/19/2008 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in full; warrants not outstanding

MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/28/2012 $1,834,000.00 1,834 $1,000.00 $92,000.00 92

98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 2/6/2009 Preferred Stock w/ Warrants $6,785,000.00 $0.00 $4,808,121.00 Sold, in full; warrants not outstanding

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 11/15/2013 $4,545,202.00 2,272,601 $2.00 ($2,239,798.00)

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/19/2008 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in full; warrants not outstanding

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/23/2009 $14,700,000.00 14,700 $1,000.00

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 2/10/2010 $260,000.00 132,353

8,14,45 MONEYTREE CORPORATION LENOIR CITY TN 3/13/2009 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in full; warrants not outstanding

MONEYTREE CORPORATION LENOIR CITY TN 9/15/2011 $9,516,000.00 9,516 $1,000.00 $476,000.00 476

8,14,44 MONUMENT BANK BETHESDA MD 1/30/2009 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in full; warrants not outstanding

MONUMENT BANK BETHESDA MD 8/11/2011 $4,734,000.00 4,734 $1,000.00 $237,000.00 237

11 MORGAN STANLEY NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in full; warrants not outstanding

MORGAN STANLEY NEW YORK NY 6/17/2009 $10,000,000,000.00 10,000,000 $1,000.00

MORGAN STANLEY NEW YORK NY 8/12/2009 $950,000,000.00 65,245,759

8,11,14 MORRILL BANCSHARES, INC. MERRIAM KS 1/16/2009 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in full; warrants not outstanding

MORRILL BANCSHARES, INC. MERRIAM KS 7/20/2011 $13,000,000.00 13,000 $1,000.00 $650,000.00 650

8,11,14 MOSCOW BANCSHARES, INC. MOSCOW TN 1/23/2009 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in full; warrants not outstanding

MOSCOW BANCSHARES, INC. MOSCOW TN 4/25/2012 $1,100,000.00 1,100 $1,000.00

MOSCOW BANCSHARES, INC. MOSCOW TN 12/5/2012 $5,116,000.00 5,116 $1,000.00 $311,000.00 311

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/25/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in full; warrants not outstanding

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 7/22/2013 $3,267,000.00 3,300 $990.00 ($33,000.00) $140,034.65 165

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/12/2013 ($25,000.00)

8,11,14 MS FINANCIAL, INC. KINGWOOD TX 3/27/2009 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in full; warrants not outstanding

MS FINANCIAL, INC. KINGWOOD TX 10/19/2011 $7,723,000.00 7,723 $1,000.00 $386,000.00 386

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 12/23/2008 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in full; warrants not outstanding

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 8/25/2011 $32,382,000.00 32,382 $1,000.00

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 9/28/2011 $900,194.00 625,135

8 NAPLES BANCORP, INC. NAPLES FL 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in full; warrants not outstanding

NAPLES BANCORP, INC. NAPLES FL 7/12/2012 $600,000.00 4,000 $150.00 ($3,400,000.00)

11,59 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 11/21/2008 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in full; warrants not outstanding

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 $67,000,000.00 67,000 $1,000.00

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 8/8/2012 $2,189,317.20 521,266

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/27/2009 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in full; warrants not outstanding

NATIONAL BANCSHARES, INC. BETTENDORF IA 2/19/2013 $2,438,182.50 3,250 $750.21 ($811,817.50) $342,841.95 500

NATIONAL BANCSHARES, INC. BETTENDORF IA 2/20/2013 $16,064,996.94 21,414 $750.21 ($5,349,003.06) $502,606.30 733

NATIONAL BANCSHARES, INC. BETTENDORF IA 3/26/2013 ($185,031.79)

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12/12/2008 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in full; warrants not outstanding

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 3/16/2011 $150,000,000.00 150,000 $1,000.00

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 4/13/2011 $1,000,000.00 735,294

11,14,15 NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/11/2009 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in full; warrants not outstanding

NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/29/2010 $2,000,000.00 2,000,000 $1.00 $100,000.00 100,000

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; warrants not outstanding

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 $2,281,458.05 6,880 $331.61 ($4,598,541.95)

8,119 NCAL BANCORP LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $5,211,027.78 Sold, in full; warrants not outstanding

NCAL BANCORP LOS ANGELES CA 12/10/2014 $3,900,000.00 10,000 $390.00 ($6,100,000.00)

11,14,15 NEMO BANCSHARES, INC. MADISON MO 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in full; warrants not outstanding

NEMO BANCSHARES, INC. MADISON MO 4/24/2013 $2,330,000.00 2,330,000 $1.00 $117,000.00 117,000

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 1/16/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in full; warrants not outstanding

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 8/25/2011 $10,000,000.00 10,000 $1,000.00

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 2/15/2012 $737,100.00 184,275

8,11,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 1/9/2009 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in full; warrants not outstanding

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 7/24/2013 $267,274,000.00 267,274 $1,000.00 $13,364,000.00 13,364

NEWBRIDGE BANCORP GREENSBORO NC 12/12/2008 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in full; warrants not outstanding

NEWBRIDGE BANCORP GREENSBORO NC 4/26/2013 $2,709,121.50 2,763 $980.50 ($53,878.50)

NEWBRIDGE BANCORP GREENSBORO NC 4/29/2013 $48,641,624.50 49,609 $980.50 ($967,375.50)

NEWBRIDGE BANCORP GREENSBORO NC 5/15/2013 $7,778,782.65 2,567,255

NEWBRIDGE BANCORP GREENSBORO NC 5/31/2013 ($513,507.46)

8,14,44 NICOLET BANKSHARES, INC. GREEN BAY WI 12/23/2008 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in full; warrants not outstanding

NICOLET BANKSHARES, INC. GREEN BAY WI 9/1/2011 $14,964,000.00 14,964 $1,000.00 $748,000.00 748

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/9/2009 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in full; warrants not outstanding

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 12/14/2011 $10,200,000.00 10,200 $1,000.00

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/11/2012 $600,000.00 99,157

11 NORTHEAST BANCORP LEWISTON ME 12/12/2008 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in full; warrants not outstanding

NORTHEAST BANCORP LEWISTON ME 11/28/2012 $4,227,000.00 4,227 $1,000.00

NORTHEAST BANCORP LEWISTON ME 12/28/2012 $95,000.00 67,958

8,11,14,18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 5/15/2009 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in full; warrants not outstanding

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 12/18/2009 $1,230,000.00

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 3/28/2012 $2,571,000.00 2,571 $1,000.00 $67,000.00 67

109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 2/20/2009 Preferred Stock w/ Warrants $17,211,000.00 $0.00 $6,442,172.50 Sold, in full; warrants not outstanding

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 4/30/2014 $6,023,850.00 20,079,500 $0.30 ($11,187,150.00)

11 NORTHERN TRUST CORPORATION CHICAGO IL 11/14/2008 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in full; warrants not outstanding

NORTHERN TRUST CORPORATION CHICAGO IL 6/17/2009 $1,576,000,000.00 1,576,000 $1,000.00

NORTHERN TRUST CORPORATION CHICAGO IL 8/26/2009 $87,000,000.00 3,824,624

8,14,44 NORTHWAY FINANCIAL, INC. BERLIN NH 1/30/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in full; warrants not outstanding

NORTHWAY FINANCIAL, INC. BERLIN NH 9/15/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 2/13/2009 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in full; warrants not outstanding

NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/8/2013 $2,000,000.00 2,000 $1,032.11 $64,220.00

NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/11/2013 $8,500,000.00 8,500 $1,032.11 $272,935.00 $587,634.55 525

NORTHWEST BANCORPORATION, INC. SPOKANE WA 4/9/2013 ($108,371.55)

8,11,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 2/13/2009 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in full; warrants not outstanding

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 1/9/2013 $1,992,000.00 1,992 $1,000.00 $100,000.00 100

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/30/2009 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in full; warrants not outstanding

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 10/31/2012 $7,095,550.00 7,700 $921.50 ($604,450.00)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/11/2013 ($70,955.50)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 2/6/2013 $122,887.50 163,830

45 OAK VALLEY BANCORP OAKDALE CA 12/5/2008 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in full; warrants not outstanding

OAK VALLEY BANCORP OAKDALE CA 8/11/2011 $13,500,000.00 13,500 $1,000.00

OAK VALLEY BANCORP OAKDALE CA 9/28/2011 $560,000.00 350,346

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 1/16/2009 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in full; warrants not outstanding

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 12/30/2009 $38,263,000.00 38,263 $1,000.00

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 2/3/2010 $430,797.00 190,427

8 OJAI COMMUNITY BANK OJAI CA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in full; warrants not outstanding

OJAI COMMUNITY BANK OJAI CA 9/25/2013 $2,080,000.00 2,080 $1,000.00 $104,000.00 104
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

11 OLD LINE BANCSHARES, INC. BOWIE MD 12/5/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in full; warrants not outstanding

OLD LINE BANCSHARES, INC. BOWIE MD 7/15/2009 $7,000,000.00 7,000 $1,000.00

OLD LINE BANCSHARES, INC. BOWIE MD 9/2/2009 $225,000.00 141,892

11 OLD NATIONAL BANCORP EVANSVILLE IN 12/12/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in full; warrants not outstanding

OLD NATIONAL BANCORP EVANSVILLE IN 3/31/2009 $100,000,000.00 100,000 $1,000.00

OLD NATIONAL BANCORP EVANSVILLE IN 5/8/2009 $1,200,000.00 813,008

OLD SECOND BANCORP, INC. AURORA IL 1/16/2009 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in full; warrants not outstanding

OLD SECOND BANCORP, INC. AURORA IL 3/11/2013 $24,684,870.00 70,028 $352.50 ($45,343,130.00)

OLD SECOND BANCORP, INC. AURORA IL 3/26/2013 $452,424.00 1,200 $377.02 ($747,576.00)

OLD SECOND BANCORP, INC. AURORA IL 3/27/2013 $668,079.44 1,772 $377.02 ($1,103,920.56)

OLD SECOND BANCORP, INC. AURORA IL 4/9/2013 ($258,053.73)

OLD SECOND BANCORP, INC. AURORA IL 6/11/2013 $106,891.00 815,339

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 4/17/2009 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in full; warrants not outstanding

OMEGA CAPITAL CORP. LAKEWOOD CO 7/19/2013 $1,239,000.00 1,239 $1,142.90 $177,053.10

OMEGA CAPITAL CORP. LAKEWOOD CO 7/22/2013 $1,577,000.00 1,577 $1,142.90 $225,353.30 $159,886.25 141

OMEGA CAPITAL CORP. LAKEWOOD CO 9/12/2013 ($25,000.00)

8,51,97 ONE GEORGIA BANK ATLANTA GA 5/8/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Exited bankruptcy/Receivership

ONE GEORGIA BANK ATLANTA GA 7/15/2011 ($5,500,000.00)

8,9 ONE UNITED BANK BOSTON MA 12/19/2008 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investment outstanding; warrants not outstanding

15,17,129 ONEFINANCIAL CORPORATION LITTLE ROCK AR 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $17,300,000.00 $7,662,990.59 Full investment outstanding; warrants outstanding 8 OREGON BANCORP, INC. SALEM OR 4/24/2009 Preferred Stock w/ Exercised Warrants $3,216,000.00 $0.00 $4,116,801.92 Sold, in full; warrants not outstanding

OREGON BANCORP, INC. SALEM OR 10/18/2013 $100,000.00 100 $1,000.00 $9,459.13 11

OREGON BANCORP, INC. SALEM OR 10/21/2013 $3,116,000.00 3,116 $1,000.00 $128,988.07 150

OREGON BANCORP, INC. SALEM OR 1/6/2014 ($25,000.00)

11,14,15 OSB FINANCIAL SERVICES, INC. ORANGE TX 5/1/2009 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in full; warrants not outstanding

OSB FINANCIAL SERVICES, INC. ORANGE TX 10/5/2011 $6,100,000.00 6,100,000 $1.00 $305,000.00 305,000

11,35 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/21/2008 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in full; warrants not outstanding

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 2/23/2011 $14.751 $29.50 ($10.28)

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/30/2012 $165,983,272.00 3,608,332 $46.00 ($14,650,702.97) $393,120.78 15,120

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $16,200,000.00 $0.00 $21,003,597.96 Sold, in full; warrants not outstanding

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 11/19/2013 $16,200,000.00 16,200 $1,215.17 $3,485,754.00 $1,156,636.50 810

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 1/6/2014 ($196,857.54)

8,14,45 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 12/23/2008 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in full; warrants not outstanding

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 7/28/2011 $11,600,000.00 11,600 $1,000.00 $580,000.00 580

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Exited bankruptcy/Receivership

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 2/11/2010 ($4,120,000.00)

8 PACIFIC COMMERCE BANK LOS ANGELES CA 12/23/2008 Preferred Stock w/ Exercised Warrants $4,060,000.00 $0.00 $2,991,670.80 Sold, in full; warrants not outstanding

PACIFIC COMMERCE BANK LOS ANGELES CA 2/10/2014 $2,519,960.80 4,060 $620.68 ($1,540,039.20) $109,487.50 203

PACIFIC COMMERCE BANK LOS ANGELES CA 3/19/2014 ($25,000.00)

85 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 12/12/2008 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, in full; warrants outstanding

PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 2/15/2013 $6,500,000.00 6,500 $1,000.00

8,14 PARK BANCORPORATION, INC. MADISON WI 3/6/2009 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in full; warrants not outstanding

PARK BANCORPORATION, INC. MADISON WI 8/7/2012 $1,676,654.00 2,296 $730.25 ($619,346.00) $88,059.01 114

PARK BANCORPORATION, INC. MADISON WI 8/9/2012 $4,048,506.00 5,544 $730.25 ($1,495,494.00) $482,779.69 625

PARK BANCORPORATION, INC. MADISON WI 8/10/2012 $11,216,640.00 15,360 $730.25 ($4,143,360.00) $325,200.40 421

PARK BANCORPORATION, INC. MADISON WI 9/11/2012 ($169,418.00)

11 PARK NATIONAL CORPORATION NEWARK OH 12/23/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in full; warrants not outstanding

PARK NATIONAL CORPORATION NEWARK OH 4/25/2012 $100,000,000.00 100,000 $1,000.00

PARK NATIONAL CORPORATION NEWARK OH 5/2/2012 $2,842,400.00 227,376

PARKE BANCORP, INC. SEWELL NJ 1/30/2009 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in full; warrants not outstanding

PARKE BANCORP, INC. SEWELL NJ 11/28/2012 $394,072.28 548 $719.11 ($153,927.72)

PARKE BANCORP, INC. SEWELL NJ 11/29/2012 $11,318,791.40 15,740 $719.11 ($4,421,208.60)

PARKE BANCORP, INC. SEWELL NJ 1/11/2013 ($117,128.64)

PARKE BANCORP, INC. SEWELL NJ 6/12/2013 $1,650,288.00 438,906

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 12/23/2008 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $42,596,063.59 Redeemed, in full; warrants not outstanding

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 1/3/2012 $31,762,000.00 31,762 $1,000.00

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 5/27/2015 $6,025,649.70 819,640

8,11,21 PASCACK BANCORP, INC. WESTWOOD NJ 2/6/2009 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in full; warrants not outstanding

PASCACK BANCORP, INC. WESTWOOD NJ 10/19/2011 $3,756,000.00 3,756 $1,000.00 $188,000.00 188

8,126 PATAPSCO BANCORP, INC. DUNDALK MD 12/19/2008 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $9,260,824.26 Redeemed, in full; warrants not outstanding

PATAPSCO BANCORP, INC. DUNDALK MD 8/28/2015 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

44 PATHFINDER BANCORP, INC. OSWEGO NY 9/11/2009 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in full; warrants not outstanding

PATHFINDER BANCORP, INC. OSWEGO NY 9/1/2011 $6,771,000.00 6,771 $1,000.00

PATHFINDER BANCORP, INC. OSWEGO NY 2/1/2012 $537,633.00 154,354

8,14 PATHWAY BANCORP CAIRO NE 3/27/2009 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in full; warrants not outstanding

PATHWAY BANCORP CAIRO NE 6/24/2013 $3,727,000.00 3,727 $1,167.01 $622,446.27 $226,565.00 186

PATHWAY BANCORP CAIRO NE 7/26/2013 ($25,000.00)

8 PATRIOT BANCSHARES, INC. HOUSTON TX 12/19/2008 Preferred Stock w/ Exercised Warrants $26,038,000.00 $0.00 $33,824,567.35 Sold, in full; warrants not outstanding

PATRIOT BANCSHARES, INC. HOUSTON TX 4/11/2014 $12,000,000.00 12,000 $1,142.03 $1,704,360.00 $1,035,834.25 802

PATRIOT BANCSHARES, INC. HOUSTON TX 4/14/2014 $14,038,000.00 14,038 $1,142.03 $1,993,817.14 $645,781.95 500

PATRIOT BANCSHARES, INC. HOUSTON TX 7/18/2014 ($297,361.77)

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in full; warrants not outstanding

PATTERSON BANCSHARES, INC. PATTERSON LA 3/7/2012 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 8/22/2012 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 12/5/2012 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 5/8/2013 $500,000.00 500 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 6/5/2013 $2,440,000.00 2,440 $1,000.00 $185,000.00 185

11 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/9/2009 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in full; warrants not outstanding

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/6/2010 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 3/2/2011 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/11/2012 $14,341,000.00 14,341 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4/4/2012 $110,000.00 150,296

8,14,44 PENN LIBERTY FINANCIAL CORP. WAYNE PA 4/17/2009 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in full; warrants not outstanding

PENN LIBERTY FINANCIAL CORP. WAYNE PA 9/1/2011 $9,960,000.00 9,960 $1,000.00 $498,000.00 498

11 PEOPLES BANCORP (OH) MARIETTA OH 1/30/2009 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (OH) MARIETTA OH 2/2/2011 $21,000,000.00 21,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 12/28/2011 $18,000,000.00 18,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 2/15/2012 $1,200,724.15 313,505

8,14,56 PEOPLES BANCORP (WA) LYNDEN WA 2/13/2009 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (WA) LYNDEN WA 8/3/2011 $18,000,000.00 18,000 $1,000.00 $900,000.00 900

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 12/23/2008 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in full; warrants not outstanding

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 7/3/2012 $23,384,401.44 ($350,766.02) 25,054 $933.36 ($1,669,598.56)

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8/8/2012 $425,000.00 357,234

8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2009 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in full; warrants not outstanding

PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2012 $12,660,000.00 12,660 $1,000.00 $633,000.00 633

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 3/20/2009 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in full; warrants not outstanding

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 10/31/2012 $2,944,500.00 3,900 $755.00 ($955,500.00) $122,225.00 195

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 1/11/2013 ($25,000.00)

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 3/6/2009 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in full; warrants not outstanding

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 9/18/2013 $12,325,000.00 12,325 $1,000.00 $616,000.00 616

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 9/11/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in full; warrants not outstanding

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 8/25/2011 $1,500,000.00 1,500 $1,000.00 $71,000.00 71

9,11,36 PGB HOLDINGS, INC. CHICAGO IL 2/6/2009 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in full; warrants not outstanding

PGB HOLDINGS, INC. CHICAGO IL 8/13/2010 $3,000,000.00 3,000 $1,000.00

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 1/23/2009 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 Currently Not Collectible

PIERCE COUNTY BANCORP TACOMA WA 11/5/2010 ($6,800,000.00)

8,69 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 3/6/2009 Preferred Stock w/ Exercised Warrants $4,389,000.00 $4,389,000.00 $284,999.00 Full investment outstanding; warrants outstanding

11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/12/2008 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in full; warrants not outstanding

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/28/2011 $23,750,000.00 23,750 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 6/20/2012 $71,250,000.00 71,250 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 7/18/2012 $755,000.00 267,455

8,14,44 PLAINS CAPITAL CORPORATION DALLAS TX 12/19/2008 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in full; warrants not outstanding

PLAINS CAPITAL CORPORATION DALLAS TX 9/27/2011 $87,631,000.00 87,631 $1,000.00 $4,382,000.00 4,382

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; warrants not outstanding

PLATO HOLDINGS INC. SAINT PAUL MN 4/26/2013 $120,000.00 120,000 $1.00 $180.00

PLATO HOLDINGS INC. SAINT PAUL MN 4/29/2013 $2,380,000.00 2,380,000 $1.00 $3,570.00 $90,582.47 107,000

PLATO HOLDINGS INC. SAINT PAUL MN 5/31/2013 ($25,000.00)

PLUMAS BANCORP QUINCY CA 1/30/2009 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; warrants not outstanding
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

PLUMAS BANCORP QUINCY CA 4/29/2013 $11,949,000.00 11,949 $1,091.11 $1,088,673.39

PLUMAS BANCORP QUINCY CA 5/22/2013 $234,500.00 237,712

PLUMAS BANCORP QUINCY CA 5/31/2013 ($130,376.73)

20 POPULAR, INC. SAN JUAN PR 12/5/2008 Preferred Stock w/ Warrants $935,000,000.00 $0.00 $1,220,280,000.00 Redeemed, in full; warrants not outstanding

POPULAR, INC. SAN JUAN PR 7/2/2014 $935,000,000.00 935,000 $1,000.00

POPULAR, INC. SAN JUAN PR 7/23/2014 $3,000,000.00 2,093,284

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 11/21/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $8,233,333.33 Sold, in full; warrants outstanding

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/3/2014 $2,693,800.00 26,938 $100.00 ($24,244,200.00)

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/4/2014 $806,200.00 8,062 $100.00 ($7,255,800.00)

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 1/9/2015 ($50,000.00)

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 4/3/2009 Preferred Stock w/ Exercised Warrants $2,800,000.00 $0.00 $3,596,579.20 Sold, in full; warrants not outstanding

PRAIRIE STAR BANCSHARES, INC. OLATHE KS 6/29/2015 $2,800,000.00 2,800 $1,187.61 $525,308.00 $164,018.20 140

PRAIRIE STAR BANCSHARES, INC. OLATHE KS 8/6/2015 ($25,000.00)

9,15,36 PREMIER BANCORP, INC. WILMETTE IL 5/8/2009 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in full; warrants not outstanding

PREMIER BANCORP, INC. WILMETTE IL 8/13/2010 $6,784,000.00 6,784,000 $1.00

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 3/20/2009 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Exited bankruptcy/Receivership

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 8/14/2012 ($9,500,000.00)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10/2/2009 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $28,727,240.29 Sold, in full; warrants not outstanding

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/8/2012 $1,678,618.89 1,863 $901.03 ($184,381.11)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/9/2012 $8,575,102.51 9,517 $901.03 ($941,897.49)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/10/2012 $9,795,998.16 10,872 $901.03 ($1,076,001.84)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9/11/2012 ($200,497.20)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 5/6/2015 $5,675,000.00 636,378

14,15 PREMIER FINANCIAL CORP. DUBUQUE IA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in full; warrants not outstanding

PREMIER FINANCIAL CORP. DUBUQUE IA 7/22/2013 $6,349,000.00 6,349,000 $1.24 $1,507,379.58 $478,590.75 317,000

PREMIER FINANCIAL CORP. DUBUQUE IA 9/12/2013 ($78,563.80)

8 PREMIER SERVICE BANK RIVERSIDE CA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,300,522.22 Redeemed, in full; warrants not outstanding

PREMIER SERVICE BANK RIVERSIDE CA 1/31/2014 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

80 PREMIERWEST BANCORP MEDFORD OR 2/13/2009 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in full; warrants not outstanding

PREMIERWEST BANCORP MEDFORD OR 4/9/2013 $41,400,000.00 41,400 $1,000.00

8,17 PRESIDIO BANK SAN FRANCISCO CA 11/20/2009 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in full; warrants not outstanding

PRESIDIO BANK SAN FRANCISCO CA 12/10/2012 $262,635.10 310 $847.21 ($47,364.90) $83,086.12 97

PRESIDIO BANK SAN FRANCISCO CA 12/11/2012 $8,887,232.90 10,490 $847.21 ($1,602,767.10) $195,295.20 228

PRESIDIO BANK SAN FRANCISCO CA 1/11/2013 ($91,498.68)

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 1/23/2009 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 Currently Not Collectible

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 11/2/2012 ($25,083,000.00)

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 2/27/2009 Preferred Stock w/ Exercised Warrants $4,960,000.00 $0.00 $10,836,280.71 Redeemed, in full; warrants not outstanding

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 12/29/2009 $3,262,000.00

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 6/25/2014 $8,222,000.00 8,222 $1,000.00 $248,000.00 248

12 PRIVATEBANCORP, INC. CHICAGO IL 1/30/2009 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in full; warrants not outstanding

PRIVATEBANCORP, INC. CHICAGO IL 10/24/2012 $243,815,000.00 243,815 $1,000.00

PRIVATEBANCORP, INC. CHICAGO IL 11/14/2012 $1,225,000.00 645,013

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 10/2/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in full; warrants not outstanding

PROVIDENCE BANK ROCKY MOUNT NC 9/15/2011 $4,000,000.00 4,000 $1,000.00 $175,000.00 175

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 11/14/2008 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in full; warrants not outstanding

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 8/21/2012 $151,500,000.00 151,500 $1,000.00

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/20/2013 $71.62

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/25/2013 $19,047,005.12

107 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 3/13/2009 Preferred Stock w/ Warrants $9,266,000.00 $0.00 $5,639,391.00 Sold, in full; warrants not outstanding

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 4/30/2014 $5,096,300.00 9,266 $550.00 ($4,169,700.00)

8,11,14 PSB FINANCIAL CORPORATION MANY LA 2/27/2009 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in full; warrants not outstanding

PSB FINANCIAL CORPORATION MANY LA 9/29/2010 $9,270,000.00 9,270 $1,000.00 $464,000.00 464

8,14,44 PUGET SOUND BANK BELLEVUE WA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in full; warrants not outstanding

PUGET SOUND BANK BELLEVUE WA 8/11/2011 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

PULASKI FINANCIAL CORP. CREVE COEUR MO 1/16/2009 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in full; warrants not outstanding

PULASKI FINANCIAL CORP. CREVE COEUR MO 7/3/2012 $28,893,744.00 ($433,406.16) 32,538 $888.00 ($3,644,256.00)

PULASKI FINANCIAL CORP. CREVE COEUR MO 8/8/2012 $1,100,000.00 778,421

44 QCR HOLDINGS, INC. MOLINE IL 2/13/2009 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in full; warrants not outstanding

QCR HOLDINGS, INC. MOLINE IL 9/15/2011 $38,237,000.00 38,237 $1,000.00

QCR HOLDINGS, INC. MOLINE IL 11/16/2011 $1,100,000.00 521,888

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 10/30/2009 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in full; warrants not outstanding

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 9/30/2013 $6,229,000.00 6,229 $1,000.00 $311,000.00 311

8,17 RCB FINANCIAL CORPORATION ROME GA 6/19/2009 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,139,863.61 Sold, in full; warrants not outstanding

RCB FINANCIAL CORPORATION ROME GA 9/25/2013 $8,073,279.00 8,900 $907.11 ($826,721.00) $253,383.25 268

RCB FINANCIAL CORPORATION ROME GA 10/29/2013 ($80,732.79)

8,14,44 REDWOOD CAPITAL BANCORP EUREKA CA 1/16/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in full; warrants not outstanding

REDWOOD CAPITAL BANCORP EUREKA CA 7/21/2011 $3,800,000.00 3,800 $1,000.00 $190,000.00 190

8,14,44 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 1/9/2009 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in full; warrants not outstanding

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 8/18/2011 $2,995,000.00 2,995 $1,000.00 $150,000.00 150

8,114 REGENT BANCORP, INC. DAVIE FL 3/6/2009 Preferred Stock w/ Exercised Warrants $9,982,000.00 $0.00 $8,755,019.00 Sold, in full; warrants not outstanding

REGENT BANCORP, INC. DAVIE FL 10/17/2014 $7,970,737.50 1,449,225 $5.50 ($2,011,262.50)

8,14,44 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 2/27/2009 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in full; warrants not outstanding

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 7/21/2011 $2,655,000.00 2,655 $1,000.00 $133,000.00 133

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 10/23/2009 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in full; warrants not outstanding

REGENTS BANCSHARES, INC. VANCOUVER WA 1/26/2012 $12,700,000.00 12,700 $1,000.00 $381,000.00 381

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in full; warrants not outstanding

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/8/2012 $246,975.00 267 $925.00 ($20,025.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/9/2012 $1,140,525.00 1,233 $925.00 ($92,475.00) $50,000.00 75

REGIONAL BANKSHARES, INC. HARTSVILLE SC 1/11/2013 ($13,875.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 3/26/2013 ($11,125.00)

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in full; warrants not outstanding

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4/4/2012 $3,500,000,000.00 3,500,000 $1,000.00

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 5/2/2012 $45,000,000.00 48,253,677

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 2/13/2009 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $45,820,950.80 Sold, in full; warrants not outstanding

RELIANCE BANCSHARES, INC. FRONTENAC MO 9/25/2013 $40,000,000.00 40,000 $1,004.90 $196,000.00 $2,199,799.80 2,000

RELIANCE BANCSHARES, INC. FRONTENAC MO 10/29/2013 ($401,960.00)

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/27/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in full; warrants not outstanding

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/20/2013 $8,966,340.00 10,900 $822.60 ($1,933,660.00) $476,206.83 545

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 3/26/2013 ($89,663.40)

8,116 RISING SUN BANCORP RISING SUN MD 1/9/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $195,637.00 Currently Not Collectible

RISING SUN BANCORP RISING SUN MD 10/17/2014 ($5,983,000.00)

11,14,15 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/12/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in full; warrants not outstanding

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/6/2012 $10,500,000.00 10,500,000 $1.00

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 5/15/2013 $4,500,000.00 4,500,000 $1.00 $750,000.00 750,000

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/15/2009 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $0.00 $1,622,708.57 Redeemed, in full; warrants not outstanding

RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/14/2014 $1,100,000.00 1,100,000 $1.00 $55,000.00 55,000

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 1/30/2009 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 Currently Not Collectible

ROGERS BANCSHARES, INC. LITTLE ROCK AR 7/5/2013 ($25,000,000.00)

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2/20/2009 Preferred Stock w/ Warrants $30,407,000.00 $0.00 $36,696,518.83 Sold, in full; warrants outstanding

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/1/2014 $9,000,000.00 9,000 $1,207.11 $1,863,990.00

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/2/2014 $21,407,000.00 21,407 $1,207.11 $4,433,603.77

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 9/26/2014 ($367,045.94)

11 S&T BANCORP, INC. INDIANA PA 1/16/2009 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in full; warrants not outstanding

S&T BANCORP, INC. INDIANA PA 12/7/2011 $108,676,000.00 108,676 $1,000.00

S&T BANCORP, INC. INDIANA PA 6/11/2013 $527,361.00 517,012

8 SAIGON NATIONAL BANK WESTMINSTER CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,549,000.00 $1,549,000.00 $0.00 Full investment outstanding; warrants outstanding

44 SALISBURY BANCORP, INC. LAKEVILLE CT 3/13/2009 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in full; warrants not outstanding

SALISBURY BANCORP, INC. LAKEVILLE CT 8/25/2011 $8,816,000.00 8,816 $1,000.00

SALISBURY BANCORP, INC. LAKEVILLE CT 11/2/2011 $205,000.00 57,671

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 12/5/2008 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in full; warrants not outstanding

SANDY SPRING BANCORP, INC. OLNEY MD 7/21/2010 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 12/15/2010 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 2/23/2011 $4,450,000.00 651,547

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in full; warrants not outstanding

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 3/8/2013 $2,465,029.00 2,900 $850.01 ($434,971.00) $98,251.45 145

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 4/9/2013 ($25,000.00)

SANTA LUCIA BANCORP ATASCADERO CA 12/19/2008 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in full; warrants not outstanding

SANTA LUCIA BANCORP ATASCADERO CA 10/21/2011 $2,800,000.00 4,000 $700.00 ($1,200,000.00)
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

8,14,44 SBT BANCORP, INC. SIMSBURY CT 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

SBT BANCORP, INC. SIMSBURY CT 8/11/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 1/16/2009 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in full; warrants not outstanding

SCBT FINANCIAL CORPORATION COLUMBIA SC 5/20/2009 $64,779,000.00 64,779 $1,000.00

SCBT FINANCIAL CORPORATION COLUMBIA SC 6/24/2009 $1,400,000.00 303,083

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in full; warrants not outstanding

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 4/3/2012 $41,020,000.00 ($615,300.00) 2,000 $20,510.00 ($8,980,000.00)

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 5/30/2012 $55,000.00 589,623

8,14,44 SEACOAST COMMERCE BANK CHULA VISTA CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in full; warrants not outstanding

SEACOAST COMMERCE BANK CHULA VISTA CA 9/1/2011 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 2/13/2009 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in full; warrants not outstanding

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/10/2012 $174,537.72 252 $692.61 ($77,462.28)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/11/2012 $1,315,959.00 1,900 $692.61 ($584,041.00) $69,186.80 108

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 1/11/2013 ($14,904.97)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 3/26/2013 ($10,095.03)

8,14,44 SECURITY BUSINESS BANCORP SAN DIEGO CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in full; warrants not outstanding

SECURITY BUSINESS BANCORP SAN DIEGO CA 7/14/2011 $5,803,000.00 5,803 $1,000.00 $290,000.00 290

8,14,44 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 1/9/2009 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in full; warrants not outstanding

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9/15/2011 $6,815,000.00 6,815 $1,000.00 $341,000.00 341

8,14,36,111 SECURITY CAPITAL CORPORATION BATESVILLE MS 6/26/2009 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in full; warrants not outstanding

SECURITY CAPITAL CORPORATION BATESVILLE MS 9/29/2010 $17,388,000.00 17,388 $1,000.00 $522,000.00 522

11,36 SECURITY FEDERAL CORPORATION AIKEN SC 12/19/2008 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in full; warrants not outstanding

SECURITY FEDERAL CORPORATION AIKEN SC 9/29/2010 $18,000,000.00 18,000 $1,000.00

SECURITY FEDERAL CORPORATION AIKEN SC 7/31/2013 $50,000.00 137,966

8,14,44 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 2/20/2009 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in full; warrants not outstanding

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 9/22/2011 $12,500,000.00 12,500 $1,000.00 $625,000.00 625

14,15 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 5/1/2009 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in full; warrants not outstanding

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 6/24/2013 $10,750,000.00 10,750,000 $1.17 $1,784,607.50 $720,368.55 538,000

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 7/26/2013 ($125,346.08)

SEVERN BANCORP, INC. ANNAPOLIS MD 11/21/2008 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $26,915,463.85 Sold, in full; warrants outstanding

SEVERN BANCORP, INC. ANNAPOLIS MD 9/25/2013 $23,367,267.70 23,393 $998.90 ($25,732.30)

SEVERN BANCORP, INC. ANNAPOLIS MD 10/29/2013 ($233,672.68)

11 SHORE BANCSHARES, INC. EASTON MD 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in full; warrants not outstanding

SHORE BANCSHARES, INC. EASTON MD 4/15/2009 $25,000,000.00 25,000 $1,000.00

SHORE BANCSHARES, INC. EASTON MD 11/16/2011 $25,000.00 172,970

11,14,15 SIGNATURE BANCSHARES, INC. DALLAS TX 6/26/2009 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in full; warrants not outstanding

SIGNATURE BANCSHARES, INC. DALLAS TX 12/15/2010 $1,700,000.00 1,700,000 $1.00 $85,000.00 85,000

11 SIGNATURE BANK NEW YORK NY 12/12/2008 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in full; warrants not outstanding

SIGNATURE BANK NEW YORK NY 3/31/2009 $120,000,000.00 120,000 $1,000.00

SIGNATURE BANK NEW YORK NY 3/16/2010 $11,150,939.74 595,829

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 1/16/2009 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in full; warrants not outstanding

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 5/20/2009 $7,414,000.00 7,414 $1,000.00

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 6/24/2009 $275,000.00 163,065

8,32,97,132 SONOMA VALLEY BANCORP SONOMA CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $497,164.00 Currently Not Collectible

SONOMA VALLEY BANCORP SONOMA CA 8/20/2010 ($8,653,000.00)

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in full; warrants not outstanding

SOUND BANKING COMPANY MOREHEAD CITY NC 11/13/2012 $2,832,412.70 3,070 $922.61 ($237,587.30) $124,412.34 154

SOUND BANKING COMPANY MOREHEAD CITY NC 1/11/2013 ($25,000.00)

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 12/5/2008 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in full; warrants not outstanding

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 9/30/2010 $130,179,218.75 130,179 $1,000.00 ($216,820,781.25) $400,000.00 10,106,796

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 7/17/2009 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in full; warrants not outstanding

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/8/2013 $1,814,620.00 2,000 $907.31 ($185,380.00)

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/11/2013 $9,889,679.00 10,900 $907.31 ($1,010,321.00) $588,264.19 645

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 4/9/2013 ($117,042.99)

9,11,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 1/16/2009 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in full; warrants not outstanding

SOUTHERN BANCORP, INC. ARKADELPHIA AR 8/6/2010 $11,000,000.00 11,000 $1,000.00

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 12/5/2008 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in full; warrants not outstanding

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 10/1/2012 $42,750,000.00 42,750 $1,000.00

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 2/27/2009 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; warrants not outstanding

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/3/2012 $15,638,296.00 ($234,574.44) 17,299 $904.00 ($1,660,704.00)

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/25/2012 $1,100,000.00 399,970

8,14,45 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 5/15/2009 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in full; warrants not outstanding

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 9/8/2011 $4,862,000.00 4,862 $1,000.00 $243,000.00 243

8,14,44 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in full; warrants not outstanding

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 8/25/2011 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 12/5/2008 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $13,504,763.89 Redeemed, in full; warrants not outstanding

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 7/21/2011 $9,550,000.00 9,550 $1,000.00

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5/13/2015 $2,700,000.00 231,891

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/12/2009 Preferred Stock w/ Exercised Warrants $2,760,000.00 $0.00 $3,202,464.28 Sold, in full; warrants not outstanding

SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/29/2015 $2,722,050.00 2,760 $986.25 ($37,950.00) $140,617.94 138

SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 8/6/2015 ($25,000.00)

11 SOUTHWEST BANCORP, INC. STILLWATER OK 12/5/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in full; warrants not outstanding

SOUTHWEST BANCORP, INC. STILLWATER OK 8/8/2012 $70,000,000.00 70,000 $1,000.00

SOUTHWEST BANCORP, INC. STILLWATER OK 5/29/2013 $2,287,197.00 703,753

8,14,44 SOVEREIGN BANCSHARES, INC. DALLAS TX 3/13/2009 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in full; warrants not outstanding

SOVEREIGN BANCSHARES, INC. DALLAS TX 9/22/2011 $18,215,000.00 18,215 $1,000.00 $911,000.00 911

8 SPIRIT BANKCORP, INC. BRISTOW OK 3/27/2009 Preferred Stock w/ Exercised Warrants $30,000,000.00 $0.00 $11,803,691.75 Sold, in full; warrants not outstanding

SPIRIT BANKCORP, INC. BRISTOW OK 10/21/2013 $9,000,000.00 30,000 $300.00 ($21,000,000.00) $631,941.75 1,500

SPIRIT BANKCORP, INC. BRISTOW OK 1/6/2014 ($90,000.00)

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 3/13/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $1,412,658.00 Full investment outstanding; warrants outstanding

8,14,74 STANDARD BANCSHARES, INC. HICKORY HILLS IL 4/24/2009 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in full; warrants not outstanding

STANDARD BANCSHARES, INC. HICKORY HILLS IL 2/22/2013 $60,000,000.00 12,903,226 $4.65 $3,000,000.00

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/5/2008 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,514,919.19 Redeemed, in full; warrants not outstanding

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/14/2011 $36,842,000.00 36,842 $1,000.00

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5/27/2015 $100,566.69 488,847

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 9/4/2009 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in full; warrants not outstanding

STATE BANK OF BARTLEY, THE BARTLEY NE 9/22/2011 $1,697,000.00 1,697,000 $1.00 $51,000.00 51,000

8,11 STATE BANKSHARES, INC. FARGO ND 1/16/2009 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in full; warrants not outstanding

STATE BANKSHARES, INC. FARGO ND 8/12/2009 $12,500,000.00 12,500 $1,000.00

STATE BANKSHARES, INC. FARGO ND 6/29/2011 $37,500,000.00 37,500 $1,000.00 $2,500,000.00 250

8,11,36 STATE CAPITAL CORP. GREENWOOD MS 2/13/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in full; warrants not outstanding

STATE CAPITAL CORP. GREENWOOD MS 9/29/2010 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

12,16 STATE STREET CORPORATION BOSTON MA 10/28/2008 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in full; warrants not outstanding

STATE STREET CORPORATION BOSTON MA 6/17/2009 $2,000,000,000.00 20,000 $100,000.00

STATE STREET CORPORATION BOSTON MA 7/8/2009 $60,000,000.00 2,788,104

11,14,15 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in full; warrants not outstanding

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 1/18/2012 $24,900,000.00 24,900,000 $1.00 $1,245,000.00 1,245,000

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 9/25/2009 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in full; warrants not outstanding

STEELE STREET BANK CORPORATION DENVER CO 9/1/2011 $11,019,000.00 11,019,000 $1.00 $331,000.00 331,000

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, in full; warrants not outstanding

STELLARONE CORPORATION CHARLOTTESVILLE VA 4/13/2011 $7,500,000.00 7,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 12/28/2011 $22,500,000.00 22,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 12/18/2013 $2,920,000.00 302,623

11 STERLING BANCORP NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in full; warrants not outstanding

STERLING BANCORP NEW YORK NY 4/27/2011 $42,000,000.00 42,000 $1,000.00

STERLING BANCORP NEW YORK NY 5/18/2011 $945,775.00 516,817

11 STERLING BANCSHARES, INC. HOUSTON TX 12/12/2008 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in full; warrants not outstanding

STERLING BANCSHARES, INC. HOUSTON TX 5/5/2009 $125,198,000.00 125,198 $1,000.00

STERLING BANCSHARES, INC. HOUSTON TX 6/15/2010 $2,857,914.52 2,615,557

31 STERLING FINANCIAL CORPORATION SPOKANE WA 12/5/2008 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in full; warrants not outstanding

STERLING FINANCIAL CORPORATION SPOKANE WA 8/20/2012 $114,772,740.00 ($1,434,659.25) 5,738,637 $20.00 ($188,227,260.00)

STERLING FINANCIAL CORPORATION SPOKANE WA 9/19/2012 $825,000.00 97,541

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1/30/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in full; warrants not outstanding

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 9/1/2011 $10,000,000.00 10,000 $1,000.00

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 10/26/2011 $107,398.00 133,475

8,11,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 2/6/2009 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in full; warrants not outstanding

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 1/12/2011 $4,000,000.00 4,000 $1,000.00

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 3/16/2011 $11,568,000.00 11,568 $1,000.00 $778,000.00 778
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 1/23/2009 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in full; warrants not outstanding

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/26/2013 $1,796,209.03 10,351 $173.53 ($8,554,790.97) $130,704.17 516

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/27/2013 $107,935.66 622 $173.53 ($514,064.34) $8,358.99 33

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 4/9/2013 ($25,000.00)

15,123 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $24,929,429.70 Redeemed, in full; warrants not outstanding

SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 7/16/2015 $15,000,000.00 15,000,000 $1.00 $750,000.00 750,000

44 SUMMIT STATE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in full; warrants not outstanding

SUMMIT STATE BANK SANTA ROSA CA 8/4/2011 $8,500,000.00 8,500 $1,000.00

SUMMIT STATE BANK SANTA ROSA CA 9/14/2011 $315,000.00 239,212

11 SUN BANCORP, INC. VINELAND NJ 1/9/2009 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in full; warrants not outstanding

SUN BANCORP, INC. VINELAND NJ 4/8/2009 $89,310,000.00 89,310 $1,000.00

SUN BANCORP, INC. VINELAND NJ 5/27/2009 $2,100,000.00 1,620,545

11 SUNTRUST BANKS, INC. ATLANTA GA 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in full; warrants not outstanding

SUNTRUST BANKS, INC. ATLANTA GA 12/31/2008 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 3/30/2011 $4,850,000,000.00 48,500 $100,000.00

SUNTRUST BANKS, INC. ATLANTA GA 9/28/2011 $30,066,661.40 17,900,182

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 12/5/2008 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 Currently Not Collectible

SUPERIOR BANCORP INC. BIRMINGHAM AL 4/15/2011 ($69,000,000.00)

8,11,14 SURREY BANCORP MOUNT AIRY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in full; warrants not outstanding

SURREY BANCORP MOUNT AIRY NC 12/29/2010 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in full; warrants not outstanding

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 4/21/2010 $200,000,000.00 200,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/22/2010 $100,000,000.00 100,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 1/19/2011 $5,269,179.36 3,028,264

8,11,14 SV FINANCIAL, INC. STERLING IL 4/10/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in full; warrants not outstanding

SV FINANCIAL, INC. STERLING IL 8/31/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12/12/2008 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in full; warrants not outstanding

SVB FINANCIAL GROUP SANTA CLARA CA 12/23/2009 $235,000,000.00 235,000 $1,000.00

SVB FINANCIAL GROUP SANTA CLARA CA 6/16/2010 $6,820,000.00 354,058

14,15,44 SWORD FINANCIAL CORPORATION HORICON WI 5/8/2009 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in full; warrants not outstanding

SWORD FINANCIAL CORPORATION HORICON WI 9/15/2011 $13,644,000.00 13,644,000 $1.00 $682,000.00 682,000

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 12/19/2008 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, in full; warrants outstanding

SYNOVUS FINANCIAL CORP. COLUMBUS GA 7/26/2013 $967,870,000.00 967,870 $1,000.00

8,103 SYRINGA BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $8,000,000.00 $0.00 $253,122.22 Currently Not Collectible

SYRINGA BANCORP BOISE ID 1/31/2014 ($8,000,000.00)

TAYLOR CAPITAL GROUP ROSEMONT IL 11/21/2008 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in full; warrants not outstanding

TAYLOR CAPITAL GROUP ROSEMONT IL 6/19/2012 $93,659,350.50 ($1,404,890.26) 104,823 $893.50 ($11,163,649.50)

TAYLOR CAPITAL GROUP ROSEMONT IL 7/18/2012 $9,839,273.00 1,462,647

15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 8/28/2009 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in full; warrants not outstanding

TCB CORPORATION/COUNTY BANK GREENWOOD SC 9/8/2011 $9,720,000.00 9,720,000 $1.00 $292,000.00 292,000

8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 1/16/2009 Preferred Stock w/ Exercised Warrants $11,730,000.00 $0.00 $690,832.08 Currently Not Collectible

TCB HOLDING COMPANY THE WOODLANDS TX 12/13/2013 ($11,730,000.00)

11 TCF FINANCIAL CORPORATION WAYZATA MN 11/14/2008 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in full; warrants not outstanding

TCF FINANCIAL CORPORATION WAYZATA MN 4/22/2009 $361,172,000.00 361,172 $1,000.00

TCF FINANCIAL CORPORATION WAYZATA MN 12/21/2009 $9,449,980.56 3,199,988

8,11,14 TCNB FINANCIAL CORP DAYTON OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in full; warrants not outstanding

TCNB FINANCIAL CORP DAYTON OH 8/3/2011 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 Currently Not Collectible

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 1/27/2012 ($30,000,000.00)

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in full; warrants not outstanding

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/26/2013 $298,000.00 298 $1,022.11 $6,588.78 $19,218.87 20

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/29/2013 $2,702,000.00 2,702 $1,022.11 $59,741.22 $124,922.63 130

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 5/31/2013 ($25,000.00)

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 1/16/2009 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in full; warrants not outstanding

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 5/13/2009 $75,000,000.00 75,000 $1,000.00

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 3/17/2010 $6,559,066.21 758,086

8,11,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 1/9/2009 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in full; warrants not outstanding

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 5/19/2010 $3,981,000.00 3,981 $1,000.00 $199,000.00 199

8,14,44 THE ANB CORPORATION TERRELL TX 8/7/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in full; warrants not outstanding

THE ANB CORPORATION TERRELL TX 8/25/2011 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

12,16 THE BANCORP, INC. WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in full; warrants not outstanding

THE BANCORP, INC. WILMINGTON DE 3/10/2010 $45,220,000.00 45,220 $1,000.00

THE BANCORP, INC. WILMINGTON DE 9/8/2010 $4,753,984.55 980,203

8 THE BANK OF CURRITUCK MOYOCK NC 2/6/2009 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in full; warrants not outstanding

THE BANK OF CURRITUCK MOYOCK NC 12/3/2010 $1,742,850.00 4,021 $433.44 ($2,278,150.00)

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 2/13/2009 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in full; warrants not outstanding

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 12/22/2010 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 11/23/2011 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 5/29/2013 $2,150,648.55 276,078

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 1/16/2009 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in full; warrants not outstanding

THE BARABOO BANCORPORATION, INC. BARABOO WI 12/10/2012 $1,956,900.00 3,000 $652.30 ($1,043,100.00) $403,161.92 487

THE BARABOO BANCORPORATION, INC. BARABOO WI 12/11/2012 $11,577,672.70 17,749 $652.30 ($6,171,327.30) $455,316.35 550

THE BARABOO BANCORPORATION, INC. BARABOO WI 1/11/2013 ($135,345.73)

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 12/19/2008 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in full; warrants not outstanding

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 4/19/2012 $5,448,000.00 5,448 $1,000.00 $792,783.00 175,742

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 12/19/2008 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $11,795,867.07 Redeemed, in full; warrants not outstanding

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 8/25/2011 $9,090,000.00 9,090 $1,000.00

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 5/6/2015 $1,486,292.07 151,030

11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,722,063.78 Redeemed, in full; warrants not outstanding

THE FIRST BANCORP, INC. DAMARISCOTTA ME 8/24/2011 $12,500,000.00 12,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 3/27/2013 $2,500,000.00 2,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/8/2013 $10,000,000.00 10,000 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/28/2015 $389,077.67 226,819

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 2/6/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,714,215.56 Redeemed, in full; warrants not outstanding

THE FIRST BANCSHARES, INC. HATTIESBURG MS 9/29/2010 $5,000,000.00 5,000 $1,000.00

THE FIRST BANCSHARES, INC. HATTIESBURG MS 5/13/2015 $302,410.00 54,705

8,11,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 2/27/2009 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in full; warrants not outstanding

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 4/14/2010 $731,000.00 731 $1,000.00 $37,000.00 37

8,11,14 THE FREEPORT STATE BANK HARPER KS 2/6/2009 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in full; warrants not outstanding

THE FREEPORT STATE BANK HARPER KS 12/19/2012 $301,000.00 301 $1,000.00 $15,000.00 15

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 6/26/2009 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in full; warrants not outstanding

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 3/31/2010 $3,400,000,000.00 3,400,000 $1,000.00

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 9/27/2010 $706,264,559.89 52,093,973

8,14,44 THE LANDRUM COMPANY COLUMBIA MO 5/22/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in full; warrants not outstanding

THE LANDRUM COMPANY COLUMBIA MO 8/18/2011 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 12/23/2008 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in full; warrants not outstanding

THE LITTLE BANK, INCORPORATED KINSTON NC 10/31/2012 $7,359,000.00 7,500 $981.20 ($141,000.00) $371,250.00 375

THE LITTLE BANK, INCORPORATED KINSTON NC 1/11/2013 ($73,590.00)

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 12/31/2008 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in full; warrants not outstanding

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 2/10/2010 $7,579,200,000.00 75,792 $100,000.00

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5/5/2010 $320,372,284.16 16,885,192

8,14,44 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 2/20/2009 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in full; warrants not outstanding

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 9/1/2011 $5,450,000.00 5,450 $1,000.00 $273,000.00 273

8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 1/9/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in full; warrants not outstanding

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/8/2013 $244,225.00 250 $976.90 ($5,775.00) $4,806.455

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/11/2013 $11,478,575.00 11,750 $976.90 ($271,425.00) $571,967.55 595

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 4/9/2013 ($117,228.00)

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 2/27/2009 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in full; warrants not outstanding

THE VICTORY BANCORP, INC. LIMERICK PA 12/11/2009 $1,505,000.00

THE VICTORY BANCORP, INC. LIMERICK PA 9/22/2011 $2,046,000.00 2,046 $1,000.00 $61,000.00 61

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in full; warrants not outstanding

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/8/2012 $1,165,528.32 1,312 $888.36 ($146,471.68)

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/9/2012 $3,877,691.40 4,365 $888.36 ($487,308.60) $282,284.64 284

THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/11/2013 ($50,432.20)

TIB FINANCIAL CORP NAPLES FL 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in full; warrants not outstanding

TIB FINANCIAL CORP NAPLES FL 9/30/2010 $12,119,637.37 12,120 $1,000.00 ($24,880,362.63) $40,000.00 1,106,389

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 12/19/2008 Preferred Stock w/ Warrants $14,448,000.00 $14,448,000.00 $1,195,973.33 Full investment outstanding; warrants outstanding

8,47,97 TIFTON BANKING COMPANY TIFTON GA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Exited bankruptcy/Receivership
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

TIFTON BANKING COMPANY TIFTON GA 11/12/2010 ($3,800,000.00)

TIMBERLAND BANCORP, INC. HOQUIAM WA 12/23/2008 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in full; warrants not outstanding

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/8/2012 $3,290,437.50 3,815 $862.50 ($524,562.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/9/2012 $1,580,962.50 1,833 $862.50 ($252,037.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/13/2012 $9,481,462.50 10,993 $862.50 ($1,511,537.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 1/11/2013 ($143,528.63)

TIMBERLAND BANCORP, INC. HOQUIAM WA 6/11/2013 $1,301,856.00 370,899

8,11,14 TITONKA BANCSHARES, INC. TITONKA IA 4/3/2009 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in full; warrants not outstanding

TITONKA BANCSHARES, INC. TITONKA IA 4/4/2012 $2,117,000.00 2,117 $1,000.00 $106,000.00 106

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 2/6/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in full; warrants not outstanding

TODD BANCSHARES, INC. HOPKINSVILLE KY 9/25/2013 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

45 TOWNEBANK PORTSMOUTH VA 12/12/2008 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in full; warrants not outstanding

TOWNEBANK PORTSMOUTH VA 9/22/2011 $76,458,000.00 76,458 $1,000.00

TOWNEBANK PORTSMOUTH VA 5/15/2013 $1,500,000.00 554,330

8 TREATY OAK BANCORP, INC. AUSTIN TX 1/16/2009 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $2,412,702.03 Sold, in full; warrants outstanding

TREATY OAK BANCORP, INC. AUSTIN TX 2/15/2011 $500,000.00 3,118 $160.36 ($2,618,000.00)

TREATY OAK BANCORP, INC. AUSTIN TX 12/21/2012 $150,000.00 150,000 $1.00

TREATY OAK BANCORP, INC. AUSTIN TX 8/6/2015 $1,570,287.00

8,14,44 TRIAD BANCORP, INC. FRONTENAC MO 3/27/2009 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in full; warrants not outstanding

TRIAD BANCORP, INC. FRONTENAC MO 9/22/2011 $3,700,000.00 3,700 $1,000.00 $185,000.00 185

8,14,44 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 12/19/2008 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in full; warrants not outstanding

TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 9/22/2011 $15,540,000.00 15,540 $1,000.00 $777,000.00 777

8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 3/27/2009 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in full; warrants not outstanding

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/7/2012 $2,639,379.50 3,518 $750.25 ($878,620.50) $163,062.90 175

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/9/2012 $7,038,845.50 9,382 $750.25 ($2,343,154.50) $1,300,776.05 1,396

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/10/2012 $16,984,909.75 22,639 $750.25 ($5,654,090.25) $191,948.33 206

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9/11/2012 ($266,631.35)

8,9,11 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 4/3/2009 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in full; warrants not outstanding

TRI-STATE BANK OF MEMPHIS MEMPHIS TN 8/13/2010 $2,795,000.00 2,795 $1,000.00

8,11 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 2/27/2009 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in full; warrants not outstanding

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 9/26/2012 $23,000,000.00 23,000 $1,000.00 $1,150,000.00 1,150

8,14,18 TRISUMMIT BANK KINGSPORT TN 4/3/2009 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in full; warrants not outstanding

TRISUMMIT BANK KINGSPORT TN 12/22/2009 $4,237,000.00

TRISUMMIT BANK KINGSPORT TN 11/29/2012 $5,251,500.00 7,002 $750.00 ($1,750,500.00) $124,665.75 138

TRISUMMIT BANK KINGSPORT TN 1/11/2013 ($52,515.00)

11 TRUSTMARK CORPORATION JACKSON MS 11/21/2008 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in full; warrants not outstanding

TRUSTMARK CORPORATION JACKSON MS 12/9/2009 $215,000,000.00 215,000 $1,000.00

TRUSTMARK CORPORATION JACKSON MS 12/30/2009 $10,000,000.00 1,647,931

8,14,44 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 5/29/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in full; warrants not outstanding

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 9/1/2011 $12,000,000.00 12,000 $1,000.00 $600,000.00 60

11 U.S. BANCORP MINNEAPOLIS MN 11/14/2008 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in full; warrants not outstanding

U.S. BANCORP MINNEAPOLIS MN 6/17/2009 $6,599,000,000.00 6,599,000 $1,000.00

U.S. BANCORP MINNEAPOLIS MN 7/15/2009 $139,000,000.00 32,679,102

8,122 U.S. CENTURY BANK MIAMI FL 8/7/2009 Preferred Stock w/ Exercised Warrants $50,236,000.00 $0.00 $13,070,409.40 Sold, in full; warrants not outstanding

U.S. CENTURY BANK MIAMI FL 3/17/2015 $11,738,143.76 50,236 $233.66 ($38,497,856.24) $586,953.92 2,512

8,14,44 UBT BANCSHARES, INC. MARYSVILLE KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in full; warrants not outstanding

UBT BANCSHARES, INC. MARYSVILLE KS 8/11/2011 $8,950,000.00 8,950 $1,000.00 $450,000.00 45

22,97 UCBH HOLDINGS INC. SAN FRANCISCO CA 11/14/2008 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,509,920.07 Currently Not Collectible

UCBH HOLDINGS INC. SAN FRANCISCO CA 11/6/2009 ($298,737,000.00)

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 11/14/2008 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in full; warrants not outstanding

UMPQUA HOLDINGS CORP. PORTLAND OR 2/17/2010 $214,181,000.00 214,181 $1,000.00

UMPQUA HOLDINGS CORP. PORTLAND OR 3/31/2010 $4,500,000.00 1,110,898

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 5/1/2009 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in full; warrants not outstanding

UNION BANK & TRUST COMPANY OXFORD NC 12/18/2009 $2,997,000.00

UNION BANK & TRUST COMPANY OXFORD NC 9/22/2011 $6,191,000.00 6,191 $1,000.00 $160,000.00 160

8,11,17 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 12/29/2009 Preferred Stock w/ Exercised Warrants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, in full; warrants not outstanding

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 7/25/2012 $600,000.00 600 $1,000.00

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 10/2/2013 $1,579,000.00 1,579 $1,000.00 $65,000.00 65

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/19/2008 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in full; warrants not outstanding

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 11/18/2009 $59,000,000.00 59,000 $1,000.00

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/23/2009 $450,000.00 211,318

8 UNITED AMERICAN BANK SAN MATEO CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $3,432,657.85 Sold, in full; warrants not outstanding

UNITED AMERICAN BANK SAN MATEO CA 7/2/2014 $3,319,050.00 8,700 $381.50 ($5,380,950.00) $138,607.85 435

UNITED AMERICAN BANK SAN MATEO CA 9/26/2014 ($25,000.00)

UNITED BANCORP, INC. TECUMSEH MI 1/16/2009 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in full; warrants not outstanding

UNITED BANCORP, INC. TECUMSEH MI 6/19/2012 $17,005,300.00 ($255,079.50) 20,600 $825.50 ($3,594,700.00)

UNITED BANCORP, INC. TECUMSEH MI 7/18/2012 $38,000.00 311,492

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 12/23/2008 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,182,763.89 Redeemed, in full; warrants not outstanding

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 9/3/2010 $10,300,000.00 10,300 $1,000.00

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 5/13/2015 $10,125.00 111,258

11,14,15 UNITED BANK CORPORATION BARNESVILLE GA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in full; warrants not outstanding

UNITED BANK CORPORATION BARNESVILLE GA 7/3/2012 $14,400,000.00 14,400,000 $1.00 $720,000.00 720,000

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 12/5/2008 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in full; warrants not outstanding

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/26/2013 $1,516,900.00 1,576 $962.50 ($59,100.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/27/2013 $12,587,575.00 13,078 $962.50 ($490,425.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/28/2013 $159,145,525.00 165,346 $962.50 ($6,200,475.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 4/9/2013 ($1,732,500.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 6/10/2013 $6,677.00 219,908

8,11,44 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 1/16/2009 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in full; warrants not outstanding

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 12/15/2010 $3,000,000.00 3,000 $1,000.00

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 9/15/2011 $2,658,000.00 2,658 $1,000.00 $283,000.00 283

11 UNITY BANCORP, INC. CLINTON NJ 12/5/2008 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in full; warrants not outstanding

UNITY BANCORP, INC. CLINTON NJ 5/15/2013 $10,324,000.00 10,324 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 7/3/2013 $10,325,000.00 10,325 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 8/28/2013 $2,707,314.00 764,778

8 UNIVERSAL BANCORP BLOOMFIELD IN 5/22/2009 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in full; warrants not outstanding

UNIVERSAL BANCORP BLOOMFIELD IN 8/8/2013 $237,527.50 250 $950.11 ($12,472.50)

UNIVERSAL BANCORP BLOOMFIELD IN 8/12/2013 $9,168,561.50 9,650 $950.11 ($481,438.50) $476,573.62 495

UNIVERSAL BANCORP BLOOMFIELD IN 9/12/2013 ($94,060.89)

9,11,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 6/19/2009 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in full; warrants not outstanding

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 7/30/2010 $11,926,000.00 11,926,000 $1.00

8 US METRO BANK GARDEN GROVE CA 2/6/2009 Preferred Stock w/ Exercised Warrants $2,861,000.00 $0.00 $3,465,216.00 Redeemed, in full; warrants not outstanding

US METRO BANK GARDEN GROVE CA 3/23/2016 $2,861,000.00 2,861 $1,000.00 $143,000.00 143

8,11 UWHARRIE CAPITAL CORP ALBEMARLE NC 12/23/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, in full; warrants not outstanding

UWHARRIE CAPITAL CORP ALBEMARLE NC 4/3/2013 $7,742,000.00 7,742 $1,000.00

UWHARRIE CAPITAL CORP ALBEMARLE NC 10/16/2013 $2,258,000.00 2,258 $1,000.00 $500,000.00 500

8,11,14 VALLEY COMMERCE BANCORP VISALIA CA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in full; warrants not outstanding

VALLEY COMMERCE BANCORP VISALIA CA 3/21/2012 $7,700,000.00 7,700 $1,000.00 $385,000.00 385

8 VALLEY COMMUNITY BANK PLEASANTON CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $2,947,090.75 Sold, in full; warrants not outstanding

VALLEY COMMUNITY BANK PLEASANTON CA 10/21/2013 $2,296,800.00 5,500 $417.60 ($3,203,200.00) $45,815.25 275

VALLEY COMMUNITY BANK PLEASANTON CA 1/6/2014 ($25,000.00)

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12/12/2008 Preferred Stock w/ Warrants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL CORPORATION ROANOKE VA 11/14/2012 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 2/20/2013 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 5/15/2013 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 8/14/2013 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 10/16/2013 $9,619,000.00 9,619 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 11/13/2013 $1,547,891.58 344,742

8,14,44 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 12/18/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 9/22/2011 $1,300,000.00 1,300 $1,000.00 $65,000.00 65

11 VALLEY NATIONAL BANCORP WAYNE NJ 11/14/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in full; warrants not outstanding

VALLEY NATIONAL BANCORP WAYNE NJ 6/3/2009 $75,000,000.00 75,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 9/23/2009 $125,000,000.00 125,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 12/23/2009 $100,000,000.00 100,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 5/24/2010 $5,421,615.27 2,532,542

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 6/26/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in full; warrants not outstanding

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 8/25/2011 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 5/1/2009 Preferred Stock w/ Warrants $14,738,000.00 $0.00 $6,933,870.05 Sold, in full; warrants outstanding
Footnote Institution Name City State Date Original Investment Type

1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 11/19/2013 $5,672,361.44 14,738 $384.88 ($9,065,638.56)

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1/6/2014 ($56,723.61)

11 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/12/2008 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $118,453,138.89 Redeemed, in full; warrants not outstanding

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/11/2012 $71,000,000.00 71,000 $1,000.00

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 1/31/2014 $33,263,000.00 2,696,203

8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in full; warrants not outstanding

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/8/2013 $325,353.86 533 $610.42 ($207,646.14)

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/12/2013 $2,543,620.14 4,167 $610.42 ($1,623,379.86) $63,481.25 143

VIRGINIA COMPANY BANK NEWPORT NEWS VA 9/12/2013 ($25,000.00)

8,11,14 VISION BANK - TEXAS RICHARDSON TX 4/24/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in full; warrants not outstanding

VISION BANK - TEXAS RICHARDSON TX 12/28/2012 $787,500.00 788 $1,000.00

VISION BANK - TEXAS RICHARDSON TX 7/10/2013 $712,500.00 713 $1,000.00 $75,000.00 75

VIST FINANCIAL CORP. WYOMISSING PA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in full; warrants not outstanding

VIST FINANCIAL CORP. WYOMISSING PA 8/1/2012 $25,000,000.00 25,000 $1,000.00 $1,189,813.00 367,984

8,14,45 W.T.B. FINANCIAL CORPORATION SPOKANE WA 1/30/2009 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in full; warrants not outstanding

W.T.B. FINANCIAL CORPORATION SPOKANE WA 9/15/2011 $110,000,000.00 110,000 $1,000.00 $5,500,000.00 5,500

8,11,17 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 12/11/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,731,826.23 Redeemed, in full; warrants not outstanding

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/4/2012 $3,000,000.00 3,000 $1,000.00

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 1/30/2013 $4,000,000.00 4,000 $1,000.00

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/23/2014 $5,000,000.00 5,000 $1,000.00 $478,000.00 478

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/19/2008 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in full; warrants not outstanding

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 11/24/2009 $22,000,000.00 22,000 $1,000.00

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/16/2009 $568,700.00 390,071

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 1/16/2009 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in full; warrants not outstanding

WASHINGTON BANKING COMPANY OAK HARBOR WA 1/12/2011 $26,380,000.00 26,380 $1,000.00

WASHINGTON BANKING COMPANY OAK HARBOR WA 3/2/2011 $1,625,000.00 246,082

11 WASHINGTON FEDERAL, INC. SEATTLE WA 11/14/2008 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in full; warrants not outstanding

WASHINGTON FEDERAL, INC. SEATTLE WA 5/27/2009 $200,000,000.00 200,000 $1,000.00

WASHINGTON FEDERAL, INC. SEATTLE WA 3/15/2010 $15,388,874.07 1,707,456

8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 1/30/2009 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in full; warrants not outstanding

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 10/30/2009 $6,842,000.00

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 8/4/2011 $13,475,000.00 13,475 $1,000.00 $332,000.00 332

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 6/26/2009 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in full; warrants not outstanding

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/6/2013 $4,831,002.80 5,212 $926.90 ($380,997.20) $18,644.66 19

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/7/2013 $92,690.00 100 $926.90 ($7,310.00) $147,194.69 150

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/8/2013 $290,119.70 313 $926.90 ($22,880.30)

WAUKESHA BANKSHARES, INC. WAUKESHA WI 3/26/2013 ($52,138.13)

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in full; warrants not outstanding

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3/3/2010 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 10/13/2010 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 12/29/2010 $200,000,000.00 200,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 6/8/2011 $20,388,842.06 3,282,276

11 WELLS FARGO & CO. MINNEAPOLIS MN 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in full; warrants not outstanding

WELLS FARGO & CO. MINNEAPOLIS MN 12/23/2009 $25,000,000,000.00 25,000 $1,000,000.00

WELLS FARGO & CO. MINNEAPOLIS MN 5/26/2010 $840,374,891.73 110,261,688

11 WESBANCO, INC. WHEELING WV 12/5/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in full; warrants not outstanding

WESBANCO, INC. WHEELING WV 9/9/2009 $75,000,000.00 75,000 $1,000.00

WESBANCO, INC. WHEELING WV 12/23/2009 $950,000.00 439,282

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 12/31/2008 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in full; warrants not outstanding

WEST BANCORPORATION, INC. WEST DES MOINES IA 6/29/2011 $36,000,000.00 36,000 $1,000.00

WEST BANCORPORATION, INC. WEST DES MOINES IA 8/31/2011 $700,000.00 474,100

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 2/13/2009 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in full; warrants not outstanding

WESTAMERICA BANCORPORATION SAN RAFAEL CA 9/2/2009 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/18/2009 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/21/2011 $878,256.00 246,698

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/21/2008 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in full; warrants not outstanding

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 9/27/2011 $140,000,000.00 140,000 $1,000.00

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/23/2011 $415,000.00 787,107

8,117 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 12/23/2008 Preferred Stock w/ Exercised Warrants $7,290,000.00 $0.00 $554,083.00 Currently Not Collectible

WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 11/7/2014 ($7,290,000.00)

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/23/2008 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in full; warrants not outstanding

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/29/2009 $4,567,000.00

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/8/2012 $1,050,524.72 1,117 $940.49 ($66,475.28)

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/9/2012 $9,673,015.37 10,305 $938.67 ($631,984.63) $335,417.06 343

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 1/11/2013 ($107,235.41)

8,11,78 WESTERN RESERVE BANCORP, INC. MEDINA OH 5/15/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in full; warrants not outstanding

WESTERN RESERVE BANCORP, INC. MEDINA OH 11/30/2012 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 2/20/2009 Preferred Stock w/ Exercised Warrants $16,800,000.00 $0.00 $20,275,427.10 Sold, in full; warrants not outstanding

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/1/2014 $1,300,000.00 1,300 $1,063.21 $82,173.00

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/2/2014 $15,500,000.00 15,500 $1,063.21 $979,755.00 $1,002,535.38 840

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 9/26/2014 ($178,619.28)

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 12/19/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in full; warrants not outstanding

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 6/3/2011 $300,000,000.00 300,000 $1,000.00 $6,900,000.00 2,631,579

11 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, in full; warrants outstanding

WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 5/13/2011 $330,000,000.00 330,000 $1,000.00

WILSHIRE BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in full; warrants not outstanding

WILSHIRE BANCORP, INC. LOS ANGELES CA 4/3/2012 $58,646,694.58 ($879,700.42) 62,158 $943.51 ($3,511,305.42)

WILSHIRE BANCORP, INC. LOS ANGELES CA 6/20/2012 $760,000.00 949,460

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/19/2008 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in full; warrants not outstanding

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/22/2010 $250,000,000.00 250,000 $1,000.00

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 2/14/2011 $25,600,564.15 1,643,295

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 5/15/2009 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in full; warrants not outstanding

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 6/24/2013 $2,343,851.20 2,720 $861.71 ($376,148.80) $90,940.00 136

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 7/26/2013 ($24,999.99)

WSFS FINANCIAL CORPORATION WILMINGTON DE 1/23/2009 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in full; warrants not outstanding

WSFS FINANCIAL CORPORATION WILMINGTON DE 4/3/2012 $48,157,663.75 ($722,364.96) 52,625 $915.11 ($4,467,336.25)

WSFS FINANCIAL CORPORATION WILMINGTON DE 9/12/2012 $1,800,000.00 175,105

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 1/16/2009 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in full; warrants not outstanding

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 7/24/2009 $13,312,000.00

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 9/18/2012 $44,149,056.00 ($662,235.84) 49,312 $895.30 ($5,162,944.00)

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/10/2013 $55,677.00 91,178

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/11/2013 $20,000.00 128,663

8,14,45 YORK TRADITIONS BANK YORK PA 4/24/2009 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in full; warrants not outstanding

YORK TRADITIONS BANK YORK PA 7/14/2011 $4,871,000.00 4,871 $1,000.00 $244,000.00 244

11 ZIONS BANCORPORATION SALT LAKE CITY UT 11/14/2008 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in full; warrants not outstanding

ZIONS BANCORPORATION SALT LAKE CITY UT 3/28/2012 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 9/26/2012 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 12/5/2012 $7,666,418.51 5,789,909

TOTALS $204,894,726,320.00 $241,383,503.71 $226,656,475,578.43 $199,571,079,284.37 ($38,027,858.19) ($5,082,263,531.92) $6,906,966,060.44 $8,065,534,497.60
Footnote Footnote Description

1 All pricing is at par.

2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).

3 Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.

4 Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000 (per 

issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid approximately one 

month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the "Gain" 

column. Note that "(Fee)" is a negative number.

6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that 

settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on 1/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net 

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010 appear on 

a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 

million or less.

10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

12 Redemption pursuant to a qualified equity offering.

13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

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

16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.

17 This institution participated in the expansion of CPP for small banks.

18 This institution received an additional investment through the expansion of CPP for small banks.

19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 

6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred Stock, Series H (CPP 

Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M 

Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692 shares of common stock and the 

associated warrant terminated on receipt of certain shareholder approvals.

20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, 

administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.

21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding 

companies. The institution in which Treasury's original investment was made is shown in parentheses.
Footnote Footnote Description

22 As of the date of this report, this institution is in bankruptcy proceedings.

23 On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent 

value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital 

Trust II, administrative trustee for Superior Bancorp.

25 On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market 

on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original investment.

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.

27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the conditions related 

to its capital plan, the MCP may be converted to common stock.

28 On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a 

Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.

29 On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), 

which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. On 7/26/13, Treasury entered into a securities 

purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions specified in such 

agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the 

preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave Morgan Stanley & Co. 

Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the 

period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley 

discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or 

on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales 

agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). 

Completion of the sale under this authority occurred on September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary 

authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon 

completion of the sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an 

underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of 

shares sold by Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock 

(MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion conditions set forth in the 

Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of 

common stock.

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Footnote Description

33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by 

First Merchants Capital Trust III.

34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion of the 

conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury 

received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors meetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific 

Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of capitalized previously 

accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was 

converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital common stock. 

Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive 

$46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment 

under the terms of the CDCI program. See "Community Development Capital Initiative" below.

37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. 

Therefore this disposition amount does not represent cash proceeds to Treasury.

38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred 

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the conversion conditions set forth in 

the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury 

for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 

5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the 

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the 

acquiror entered into on 3/23/2011.

42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC 

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc., which is equivalent 

to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 

the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") 

Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, pursuant to the 

terms of the agreement between Treasury and BMO entered into on 05/16/2011.

44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the 

Small Business Lending Fund.
Footnote Footnote Description

45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection 

with the institution’s participation in the Small Business Lending Fund.

46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation 

(FDIC) was named Receiver.

50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit 

Insurance Corporation (FDIC) was named Receiver.

51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which 

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common 

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired 

company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement among Treasury, 

the acquired company and the acquiror entered into on 9/16/2011.

55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending 

Fund, which occurred at a later date.

57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant 

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation 

were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN Bancorp, Inc. 

entered into on 11/30/2011.

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a 

purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of the agreement 

between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was 

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.
Footnote Footnote Description

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount 

together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by Regents.

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions, 

and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the 

Federal Deposit Insurance Corporation (FDIC) as receiver.

65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject 

to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and 

exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the 

acquired company and the acquiror entered into on 7/19/2012.

68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit 

Insurance Corporation (FDIC) as receiver.

69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to Pinnacle 

at a discount subject to the satisfaction of the conditions specified in the agreement.

70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as 

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which 

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of 

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement agency 

agreement executed on 10/23/2012.

73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.

74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with 

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with W 

Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a 

discount subject to the satisfaction of the conditions specified in the agreement.

77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had 

been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant, pursuant 

to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.

78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B 

preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.
Footnote Footnote Description

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant to 

the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.

80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck Bancshares, Inc. 

(“Starbuck”) entered into on 12/11/2012.

81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of 

the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community Financial warrant 

held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00 per 

share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement agency 

agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark 

Corporation (“Trustmark”) entered into on 02/11/2013.

84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of the 

agreement between Treasury and FBG entered into on 2/12/13.

85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97 

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury 

exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.

86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013, 

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers party 

thereto.

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold such 

shares of common stock on 3/19/2013.

89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like amount of 

securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc. entered into on 

4/1/2013.

90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. Corporation, 

pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.

93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury agreed to 

sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.
Footnote Footnote Description

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to implement 

a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its terms, pursuant to 

which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On 9/27/2013, Treasury sold 

the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.

96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation preference of 

the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to common stock upon the 

receipt of certain shareholder approvals.

97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference 

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Monthly-Report-to-Congress.aspx.

98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury's CPP warrant and $6,785,000 of preferred stock for common 

stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the CPP warrant 

and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of 11/15/2013.

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of the 

Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia corporation 

(CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant to the terms of an 

agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.

102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to which 

Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on 12/31/2013.

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been issued to 

Treasury by Alaska Pacific Bancshares, Inc.

105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to 

BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.

106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to securities 

purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.

107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to which 

Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on 4/30/2014.

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 11/25/2014, the bankruptcy court for the District of Idaho confirmed 

Idaho Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 and $3,522.87, respectively, from Idaho Bancorp (after payment 

to the Department of Justice of a 3% litigation fee).
Footnote Footnote Description

109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of 4/29/2014, 

with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase agreements, each dated 

as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P., Endeavour Regional Bank Opportunities 

Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.

110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.

111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant to 

which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.

112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the Bank of 

New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from BNYM to 

Treasury on 7/1/2014.

113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell its 

Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to the 

satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.

114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement, dated as 

of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements dated as of 

10/16/2014.

115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community 

Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.

116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on Friday, 

10/17/2014.

117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday, 

11/7/2014.

118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time 

during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.

119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of 

November 25, 2014.

120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers & 

Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers & 

Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.

121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time 

during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.

122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of $12.3 million, pursuant to a securities purchase agreement dated as of 

March 17, 2015.

123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which Treasury agreed to sell its CPP senior subordinated securities to 

Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specified in such agreement. This transaction was in conjunction with a 

merger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.

124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the 

Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 8/7/2015.
Footnote Footnote Description

125 On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an 

aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.

126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connection with a merger pursuant to which Treasury agreed to sell its Patapsco 

Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus (ii) all accrued and unpaid dividends, subject to the satisfaction of the 

conditions specified in the agreement. The sale was completed on 8/28/2015.

127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which Treasury agreed to sell all of its CPP preferred stock issued by Goldwater 

Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreement. The sale was completed on 9/21/2015.

128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement 

of the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid dividends through June 30, 2015. As part of the exchange 

transaction, Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/2/2015, 

with the purchaser parties thereto.

129 On 11/13/2015, Treasury received $3.88 million from the Department of Justice as a payment related to the United States’ $4.00 million False Claims Act action against the estate and trusts 

of the late Layton P. Stuart, former owner, president, and Chief Executive Officer of One Financial Corporation.

130 On 12/23/2015, Treasury completed the exchange of its CalWest Bancorp preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same 

date with CalWest Bancorp. As part of that transaction, Treasury immediately sold the resulting CalWest Bancorp common stock to purchasers pursuant to securities purchase agreements, 

each dated as of 12/23/2015, with the purchaser parties thereto.

131 On 2/29/2016, Treasury entered into an agreement with HCSB (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a discount subject 

to the satisfaction of the conditions specified in the agreement. The sale was completed on 4/11/2016.

132 Sonoma Valley Bancorp was liquidated and dissolved pursuant to the provision of the California Corporations Code. As part of that liquidation and dissolution, UST received a distribution of 

$150,000 from Sonoma Valley Bancorp on 6/15/2016.
Pricing Mechanism6 Number of Shares Proceeds7

4/26/2010 -

5/26/2010

1

$4.1217 1,500,000,000 $ 6,182,493,158 

5/26/2010 - 

6/30/2010

2

$3.8980 1,108,971,857 $ 4,322,726,825 

7/23/2010 - 

9/30/2010

3

$3.9090 1,500,000,000 $ 5,863,489,587 

10/19/2010 - 

12/6/2010

4

$4.2609 1,165,928,228 $ 4,967,921,811 

12/6/2010

5

$4.3500 2,417,407,607 $ 10,515,723,090 

Total Proceeds: $31,852,354,471

4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.

5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.

6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.

7/ Amount represents the gross proceeds to Treasury.

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.

COMMON STOCK DISPOSITION

Date

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. 

2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. 

3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock 

from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
*Investment Status Definition Key

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

Redeemed – institution has repaid Treasury’s investment

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

Exited bankruptcy/receivership - Treasury has no outstanding investment

Footnote Institution Name City State Date Original Investment Type1 Exchange From CPP Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee) Shares Avg. Price (Realized Loss) / (Write-off) Gain

Alternatives Federal Credit Union Ithaca NY 9/24/2010 Subordinated Debentures $2,234,000.00 $2,234,000.00 $252,069.67 Full investment outstanding

American Bancorp of Illinois, Inc. Oak Brook IL 9/17/2010 Subordinated Debentures $5,457,000.00 $5,457,000.00 $957,673.18 Full investment outstanding

9 Atlantic City Federal Credit Union Lander WY 9/24/2010 Subordinated Debentures $2,500,000.00 $0.00 $2,600,277.77 Redeemed, in Full

Atlantic City Federal Credit Union Lander WY 9/26/2012 $2,500,000.00 2,500,000 $1.00

8 Bainbridge Bancshares, Inc. Bainbridge GA 9/24/2010 Preferred Stock $3,372,000.00 $0.00 $3,645,637.33 Redeemed, in Full

Bainbridge Bancshares, Inc. Bainbridge GA 9/10/2014 $2,372,000.00 2,372 $1,000.00

Bainbridge Bancshares, Inc. Bainbridge GA 1/7/2015 $1,000,000.00 1,000 $1,000.00

11 Bancorp of Okolona, Inc. Okolona MS 9/29/2010 Subordinated Debentures $3,297,000.00 $0.00 $3,547,974.96 Redeemed, in Full

Bancorp of Okolona, Inc. Okolona MS 3/13/2013 $3,297,000.00 3,297,000 $1.00

3,4 BancPlus Corporation Ridgeland MS 9/29/2010 Preferred Stock $50,400,000.00 $30,514,000.00 $80,914,000.00 $9,107,320.22 Full investment outstanding

9,15 BankAsiana Palisades Park NJ 9/29/2010 Preferred Stock $5,250,000.00 $0.00 $5,565,583.34 Redeemed, in Full

BankAsiana Palisades Park NJ 10/1/2013 $5,250,000.00 5,250 $1,000.00

9 Bethex Federal Credit Union Bronx NY 9/29/2010 Subordinated Debentures $502,000.00 $0.00 $553,566.56 Redeemed, in Full

Bethex Federal Credit Union Bronx NY 11/18/2015 $502,000.00 502,000 $1.00

9 Border Federal Credit Union Del Rio TX 9/29/2010 Subordinated Debentures $3,260,000.00 $0.00 $3,523,697.78 Redeemed, in Full

Border Federal Credit Union Del Rio TX 10/15/2014 $3,260,000.00 3,260,000 $1.00

9 Brewery Credit Union Milwaukee WI 9/24/2010 Subordinated Debentures $1,096,000.00 $0.00 $1,140,388.00 Redeemed, in Full

Brewery Credit Union Milwaukee WI 10/3/2012 $1,096,000.00 1,096,000 $1.00

Brooklyn Cooperative Federal Credit Union Brooklyn NY 9/30/2010 Subordinated Debentures $300,000.00 $300,000.00 $33,750.00 Full investment outstanding

Buffalo Cooperative Federal Credit Union Buffalo NY 9/24/2010 Subordinated Debentures $145,000.00 $145,000.00 $16,360.83 Full investment outstanding

9,14 Butte Federal Credit Union Biggs CA 9/24/2010 Subordinated Debentures $1,000,000.00 $0.00 $1,085,388.88 Redeemed, in Full

Butte Federal Credit Union Biggs CA 12/31/2014 $1,000,000.00 1,000,000 $1.00

9 Carter Federal Credit Union Springhill LA 9/29/2010 Subordinated Debentures $6,300,000.00 $3,800,000.00 $3,045,350.00 Redeemed, in part

Carter Federal Credit Union Springhill LA 2/6/2013 $2,500,000.00 2,500,000 $1.00

3,6 Carver Bancorp, Inc New York NY 8/27/2010 Common Stock $18,980,000.00 $18,980,000.00 $446,512.41 Full investment outstanding

CFBanc Corporation Washington DC 9/17/2010 Preferred Stock $5,781,000.00 $5,781,000.00 $654,537.67 Full investment outstanding

3,5 Citizens Bancshares Corporation Atlanta GA 8/13/2010 Preferred Stock $7,462,000.00 $11,841,000.00 $1,354,759.22 Full investment outstanding

Citizens Bancshares Corporation Atlanta GA 9/17/2010 $4,379,000.00

3 Community Bancshares of Mississippi, Inc. Brandon MS 9/29/2010 Preferred Stock $54,600,000.00 $54,600,000.00 $6,145,533.33 Full investment outstanding

3,4 Community Bank of the Bay Oakland CA 9/29/2010 Preferred Stock $1,747,000.00 $2,313,000.00 $4,060,000.00 $436,675.56 Full investment outstanding

Community First Guam Federal Credit Union Hagatna GU 9/24/2010 Subordinated Debentures $2,650,000.00 $2,650,000.00 $299,008.33 Full investment outstanding

Community Plus Federal Credit Union Rantoul IL 9/29/2010 Subordinated Debentures $450,000.00 $450,000.00 $50,650.00 Full investment outstanding

Cooperative Center Federal Credit Union Berkeley CA 9/24/2010 Subordinated Debentures $2,799,000.00 $2,799,000.00 $315,820.50 Full investment outstanding

D.C. Federal Credit Union Washington DC 9/29/2010 Subordinated Debentures $1,522,000.00 $1,522,000.00 $171,309.56 Full investment outstanding

East End Baptist Tabernacle Federal Credit Union Bridgeport CT 9/29/2010 Subordinated Debentures $7,000.00 $7,000.00 $787.89 Full investment outstanding

Episcopal Community Federal Credit Union Los Angeles CA 9/29/2010 Subordinated Debentures $100,000.00 $100,000.00 $11,255.56 Full investment outstanding

Fairfax County Federal Credit Union Fairfax VA 9/24/2010 Subordinated Debentures $8,044,000.00 $8,044,000.00 $907,631.33 Full investment outstanding

9 Faith Based Federal Credit Union Oceanside CA 9/29/2010 Subordinated Debentures $30,000.00 $0.00 $32,933.34 Redeemed, in Full

Faith Based Federal Credit Union Oceanside CA 8/19/2015 $30,000.00 30,000 $1.00

9 Fidelis Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $14,000.00 $0.00 $15,411.67 Redeemed, in Full

Fidelis Federal Credit Union New York NY 10/14/2015 $14,000.00 14,000 $1.00

3 First American International Corp. Brooklyn NY 8/13/2010 Preferred Stock $17,000,000.00 $17,000,000.00 $1,972,975.79 Full investment outstanding

3,10 First Choice Bank Cerritos CA 9/24/2010 Preferred Stock $5,146,000.00 $0.00 $5,413,877.89 Redeemed, in Full

First Choice Bank Cerritos CA 5/1/2013 $5,146,000.00 5,146 $1,000.00

3,12 First Eagle Bancshares, Inc. Hanover Park IL 9/17/2010 Subordinated Debentures $7,875,000.00 $0.00 $9,223,112.50 Redeemed, in Full

First Eagle Bancshares, Inc. Hanover Park IL 3/25/2016 $7,875,000.00 7,875,000 $1.00

9 First Legacy Community Credit Union Charlotte NC 9/29/2010 Subordinated Debentures $1,000,000.00 $0.00 $1,070,166.67 Redeemed, in Full

First Legacy Community Credit Union Charlotte NC 4/2/2014 $1,000,000.00 1,000,000 $1.00

3,10 First M&F Corporation Kosciusko MS 9/29/2010 Preferred Stock $30,000,000.00 $0.00 $31,751,666.67 Redeemed, in Full

First M&F Corporation Kosciusko MS 8/30/2013 $30,000,000.00 30,000 $1,000.00

3 First Vernon Bancshares, Inc. Vernon AL 9/29/2010 Preferred Stock $6,245,000.00 $6,245,000.00 $557,013.90 Full investment outstanding

9 Freedom First Federal Credit Union Roanoke VA 9/29/2010 Subordinated Debentures $9,278,000.00 $0.00 $9,779,527.44 Redeemed, in Full

Freedom First Federal Credit Union Roanoke VA 6/12/2013 $9,278,000.00 9,278,000 $1.00

9 Gateway Community Federal Credit Union Missoula MT 9/24/2010 Subordinated Debentures $1,657,000.00 $0.00 $1,725,397.27 Redeemed, in Full

Gateway Community Federal Credit Union Missoula MT 10/17/2012 $1,657,000.00 1,657,000 $1.00

Genesee Co-op Federal Credit Union Rochester NY 9/17/2010 Subordinated Debentures $300,000.00 $300,000.00 $33,966.67 Full investment outstanding

9 Greater Kinston Credit Union Kinston NC 9/29/2010 Subordinated Debentures $350,000.00 $0.00 $360,714.44 Redeemed, in Full

Greater Kinston Credit Union Kinston NC 4/10/2012 $350,000.00 350,000 $1.00

3 Guaranty Capital Corporation Belzoni MS 7/30/2010 Subordinated Debentures $14,000,000.00 $14,000,000.00 $2,513,583.33 Full investment outstanding

Hill District Federal Credit Union Pittsburgh PA 9/29/2010 Subordinated Debentures $100,000.00 $100,000.00 $11,255.56 Full investment outstanding

Hope Federal Credit Union Jackson MS 9/17/2010 Subordinated Debentures $4,520,000.00 $4,520,000.00 $511,764.44 Full investment outstanding

3,4 IBC Bancorp, Inc. Chicago IL 9/10/2010 Subordinated Debentures $4,205,000.00 $3,881,000.00 $8,086,000.00 $1,423,922.14 Full investment outstanding

3 IBW Financial Corporation Washington DC 9/3/2010 Preferred Stock $6,000,000.00 $6,000,000.00 $684,000.00 Full investment outstanding

9 Independent Employers Group Federal Credit Union Hilo HI 9/29/2010 Subordinated Debentures $698,000.00 $0.00 $769,700.70 Redeemed, in Full

Independent Employers Group Federal Credit Union Hilo HI 11/18/2015 $698,000.00 698,000 $1.00

Kilmichael Bancorp, Inc. Kilmichael MS 9/3/2010 Subordinated Debentures $3,154,000.00 $3,154,000.00 $557,311.80 Full investment outstanding

3,10 Lafayette Bancorp, Inc. Oxford MS 9/29/2010 Preferred Stock $4,551,000.00 $0.00 $5,035,934.33 Redeemed, in Full

Lafayette Bancorp, Inc. Oxford MS 1/27/2016 $4,551,000.00 4,551 $1,000.00

9 Liberty County Teachers Federal Credit Union Liberty TX 9/24/2010 Subordinated Debentures $435,000.00 $174,000.00 $303,286.83 Redeemed, in part

Liberty County Teachers Federal Credit Union Liberty TX 4/2/2014 $87,000.00 87,000 $1.00

Liberty County Teachers Federal Credit Union Liberty TX 12/31/2014 $87,000.00 87,000 $1.00

Capital Repayment / Disposition / Auction

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and 

a corresponding (Realized Loss) / (Write-off)

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

In full – all of Treasury’s investment amount

In part – part of the investment is no longer held by Treasury, but some remains 
Footnote Institution Name City State Date Original Investment Type1 Exchange From CPP Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee) Shares Avg. Price (Realized Loss) / (Write-off) Gain

Liberty County Teachers Federal Credit Union Liberty TX 12/16/2015 $87,000.00 87,000 $1.00

3,4 Liberty Financial Services, Inc. New Orleans LA 9/24/2010 Preferred Stock $5,645,000.00 $5,689,000.00 $11,334,000.00 $1,278,853.00 Full investment outstanding

Lower East Side People's Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $898,000.00 $898,000.00 $110,420.16 Full investment outstanding

3 M&F Bancorp, Inc. Durham NC 8/20/2010 Preferred Stock $11,735,000.00 $11,735,000.00 $1,346,265.28 Full investment outstanding

3,5 Mission Valley Bancorp Sun Valley CA 8/20/2010 Preferred Stock $5,500,000.00 $10,336,000.00 $1,176,634.22 Full investment outstanding

Mission Valley Bancorp Sun Valley CA 9/24/2010 $4,836,000.00

Neighborhood Trust Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $283,000.00 $283,000.00 $31,933.01 Full investment outstanding

North Side Community Federal Credit Union Chicago IL 9/29/2010 Subordinated Debentures $325,000.00 $325,000.00 $36,580.56 Full investment outstanding

Northeast Community Federal Credit Union San Francisco CA 9/24/2010 Subordinated Debentures $350,000.00 $350,000.00 $39,491.67 Full investment outstanding

Opportunities Credit Union Burlington VT 9/29/2010 Subordinated Debentures $1,091,000.00 $1,091,000.00 $122,798.11 Full investment outstanding

3 PGB Holdings, Inc. Chicago IL 8/13/2010 Preferred Stock $3,000,000.00 $3,000,000.00 $351,291.95 Full investment outstanding

Phenix Pride Federal Credit Union Phenix City AL 9/24/2010 Subordinated Debentures $153,000.00 $153,000.00 $17,263.50 Full investment outstanding

3,7 Premier Bancorp, Inc. Wilmette IL 8/13/2010 Subordinated Debentures $6,784,000.00 $0.00 $79,900.00 Sold, in full

Premier Bancorp, Inc. Wilmette IL 1/29/2013 $79,900.00 6,784,000 $0.01 ($6,704,100.00)

9 Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/24/2010 Subordinated Debentures $273,000.00 $0.00 $300,072.50

Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/9/2015 $273,000.00 273,000 $1.00

3,10 PSB Financial Corporation Many LA 9/29/2010 Preferred Stock $9,734,000.00 $0.00 $10,171,489.22 Redeemed, in Full

PSB Financial Corporation Many LA 12/28/2012 $9,734,000.00 9,734 $1,000.00

9 Pyramid Federal Credit Union Tucson AZ 9/24/2010 Subordinated Debentures $2,500,000.00 $1,000,000.00 $1,776,583.33 Redeemed, in part

Pyramid Federal Credit Union Tucson AZ 3/9/2016 $1,500,000.00 1,500,000 $1.00

Renaissance Community Development Credit Union Somerset NJ 9/29/2010 Subordinated Debentures $31,000.00 $31,000.00 $3,489.22 Full investment outstanding

Santa Cruz Community Credit Union Santa Cruz CA 9/24/2010 Subordinated Debentures $2,828,000.00 $2,828,000.00 $319,092.67 Full investment outstanding

3,10 Security Capital Corporation Batesville MS 9/29/2010 Preferred Stock $17,910,000.00 $0.00 $19,794,559.99 Redeemed, in Full

Security Capital Corporation Batesville MS 9/9/2015 $9,250,000.00 9,250 $1,000.00

Security Capital Corporation Batesville MS 3/23/2016 $3,000,000.00 3,000 $1,000.00

Security Capital Corporation Batesville MS 5/27/2016 $5,660,000.00 5,660 $1,000.00

3,4 Security Federal Corporation Aiken SC 9/29/2010 Preferred Stock $18,000,000.00 $4,000,000.00 $22,000,000.00 $2,476,222.22 Full investment outstanding

Shreveport Federal Credit Union Shreveport LA 9/29/2010 Subordinated Debentures $2,646,000.00 $2,646,000.00 $297,822.00 Full investment outstanding

3,4 Southern Bancorp, Inc. Arkadelphia AR 8/6/2010 Preferred Stock $11,000,000.00 $22,800,000.00 $33,800,000.00 $3,903,900.00 Full investment outstanding

Southern Chautauqua Federal Credit Union Lakewood NY 9/29/2010 Subordinated Debentures $1,709,000.00 $1,709,000.00 $192,356.64 Full investment outstanding

9 Southside Credit Union San Antonio TX 9/29/2010 Subordinated Debentures $1,100,000.00 $0.00 $1,167,894.44 Redeemed, in Full

Southside Credit Union San Antonio TX 10/30/2013 $1,100,000.00 1,100,000 $1.00

3 State Capital Corporation Greenwood MS 9/29/2010 Preferred Stock $15,750,000.00 $15,750,000.00 $1,772,750.00 Full investment outstanding

3,4 The First Bancshares, Inc. Hattiesburg MS 9/29/2010 Preferred Stock $5,000,000.00 $12,123,000.00 $17,123,000.00 $1,927,288.78 Full investment outstanding

11 The Magnolia State Corporation Bay Springs MS 9/29/2010 Subordinated Debentures $7,922,000.00 $4,222,000.00 $4,920,226.48 Redeemed, in part

The Magnolia State Corporation Bay Springs MS 12/17/2014 $3,700,000.00 3,700,000 $1.00

Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA 9/24/2010 Subordinated Debentures $75,000.00 $75,000.00 $8,462.50 Full investment outstanding

Tongass Federal Credit Union Ketchikan AK 9/24/2010 Subordinated Debentures $1,600,000.00 $1,600,000.00 $180,533.33 Full investment outstanding

3 Tri-State Bank of Memphis Memphis TN 8/13/2010 Preferred Stock $2,795,000.00 $2,795,000.00 $209,935.56 Full investment outstanding

Tulane-Loyola Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $424,000.00 $424,000.00 $47,841.33 Full investment outstanding

Union Baptist Church Federal Credit Union Fort Wayne IN 9/24/2010 Subordinated Debentures $10,000.00 $10,000.00 $1,128.33 Full investment outstanding

13 Union Settlement Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $295,000.00 $295,000.00 $24,124.45 Full investment outstanding

3 United Bancorporation of Alabama, Inc. Atmore AL 9/3/2010 Preferred Stock $10,300,000.00 $10,300,000.00 $1,174,200.00 Full investment outstanding

9 UNITEHERE Federal Credit Union
(Workers United Federal Credit Union) New York NY 9/29/2010 Subordinated Debentures $57,000.00 $0.00 $59,821.50 Redeemed, in Full

UNITEHERE Federal Credit Union
(Workers United Federal Credit Union) New York NY 3/20/2013 $57,000.00 57,000 $1.00

3,4,12 University Financial Corp, Inc. St. Paul MN 7/30/2010 Subordinated Debentures $11,926,000.00 $10,189,000.00 $0.00 $23,710,842.97 Redeemed, in Full

University Financial Corp, Inc. St. Paul MN 11/28/2012 $22,115,000.00 22,115,000 $1.00

9 UNO Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $743,000.00 $0.00 $786,754.45 Redeemed, in Full

UNO Federal Credit Union New Orleans LA 9/4/2013 $743,000.00 743,000 $1.00

9 Vigo County Federal Credit Union Terre Haute IN 9/29/2010 Subordinated Debentures $1,229,000.00 $491,600.00 $861,774.80 Redeemed, in part

Vigo County Federal Credit Union Terre Haute IN 2/25/2015 $491,600.00 491,600 $1.00

Vigo County Federal Credit Union Terre Haute IN 12/23/2015 $245,800.00 245,800 $1.00

11 Virginia Community Capital, Inc. Christiansburg VA 9/24/2010 Subordinated Debentures $1,915,000.00 $0.00 $2,135,756.94 Redeemed, in Full

Virginia Community Capital, Inc. Christiansburg VA 6/29/2016 $1,915,000.00 1,915,000 $1.00

TOTALS $363,290,000.00 $206,783,000.00 $419,867,600.00 $202,433,398.37 $143,501,300.00 $0.00 ($6,704,100.00) $0.00
Footnote Footnote Description

1 All pricing is at par.

2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).

3

This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of 

investment with Treasury under the CDCI program terms.

4 Treasury made an additional investment in this institution at the time it entered the CDCI program.

5 Treasury made an additional investment in this institution after the time it entered the CDCI program.

6

On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the 

terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

7

On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of 

Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of distributions paid to creditors as 

a result of the liquidation of Premier Bancorp, Inc.

8 Repayment pursuant to Section 5 of the CDCI Certificate of Designation.

9 Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement

10 Repayment pursuant to Section 5 of the CDCI Exchange Agreement.

11 Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.

12 Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.

13

On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury exchanged 

its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities. Accrued dividends on the 

Union senior subordinated securities were paid on the date of the exchange.

14

On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated securities 

for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.

15

On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock that had been issued by BankAsiana (“BankAsiana”) to Treasury for a purchase 

price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasury, Wilshire and BankAsiana entered into on 9/25/2013 in connection with the merger of 

Wilshire and BankAsiana.
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised 

Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

1/23/2014 Partial Disposition40 $ 3,023,750,000 Common Stock 36.96%

4/15/2014 Partial Disposition41 $ 2,375,000,000 Common Stock 17.09%

5/14/2014 Partial Disposition42 $ 181,141,750 Common Stock 15.60%

9/12/2014 Partial Disposition43 $ 218,680,700 Common Stock 13.40%

10/16/2014 Partial Disposition44 $ 245,492,605 Common Stock 11.40%

12/24/2014 Partial Disposition45 $ 1,277,036,382 Common Stock 0.00%

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,667,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,667,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2 5/29/2009 Exchange for equity interest in GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 10, 11, 24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

12/21/2012 Partial Disposition 33 $ 5,500,000,000 Common Stock 21.97%

4/11/2013 Partial Disposition 34 $ 1,637,839,844 Common Stock 17.69%

6/12/2013 Partial Disposition 35 $ 1,031,700,000 Common Stock 13.80%

9/13/2013 Partial Disposition 36 $ 3,822,724,832 Common Stock 7.32%

11/20/2013 Partial Disposition 37 $ 2,563,441,956 Common Stock 2.24%

12/9/2013 Partial Disposition 39 $ 1,208,249,982 Common Stock 0.00%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Right to recover 

proceeds N/A 

4/5/2011 Partial Repayment $ 45,000,000 Right to recover 

proceeds N/A 

5/3/2011 Partial Repayment $ 15,887,795 Right to recover 

proceeds N/A 

12/16/2011 Partial Repayment $ 144,444 Right to recover 

proceeds N/A 

12/23/2011 Partial Repayment $ 18,890,294 Right to recover 

proceeds N/A 

1/11/2012 Partial Repayment $ 6,713,489 Right to recover 

proceeds N/A 

10/23/2012 Partial Repayment $ 435,097 Right to recover 

proceeds N/A 

5/22/2013 Partial Repayment $ 10,048,968 Right to recover 

proceeds N/A 

9/20/2013 Partial Repayment $ 11,832,877 Right to recover 

proceeds N/A 

12/27/2013 Partial Repayment $ 410,705 Right to recover 

proceeds N/A 

1/9/2014 Partial Repayment $ 470,269 Right to recover 

proceeds N/A 

5/22/2015 Partial Repayment $ 8,325,185 Right to recover 

proceeds N/A

$ 3,000,000,000 N/A

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 21, 22 Convertible 

Preferred Stock

Amount

Pricing 

Type Mechanism Obligor Description

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000 Par

5/21/2009 Purchase GMAC

N/A 22, 

26

3, 26, 

32, 38 GMAC (Ally)

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment After Exchange/Transfer/Other

Amount/Equity %

Payment or Disposition1

City, State Date Date Type Amount/ Proceeds

Remaining 

Investment 

Description

Remaining 

Investment 

Transaction Type Seller Description Amount Amount/Equity %

Pricing 

Mechanism Date

$ 5,925,000,000 N/A

Convertible Preferred Stock 

w/ Exercised Warrants

Debt Obligation w/ Additional 

Note

$ 5,937,500,000 $ 0 

Common Stock

12/30/2010 Partial conversion of preferred 

stock for common stock $ 5,500,000,000

22 12/30/2009

11/20/2013

Partial conversion of preferred 

stock for common stock

26

Disposition 38

$ 7,500,000,000 Par

63.45%

60.8%

11, 12

7

Common Stock

7 Debt Obligation $ 7,072,488,605 General Motors Holdings 

LLC

General Motors Company

12/31/2008 Purchase General Motors 

Corporation

$ 360,624,198

Par

5/27/2009

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note

$ 13,400,000,000 Par

Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note

N/A

 $ 360,624,198 

10, 11, 

25 5 7/10/2009

Par 6 7/10/2009 Exchange for preferred and 

common stock in New GM N/A

General 

Motors Detroit, MI

Exchange for preferred and 

common stock in New GM $ 4,000,000,000 $ 4,000,000,000 
1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A -

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A -

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust 23 Right to recover proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - - 17 9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover 

proceeds N/A 

9/21/2015 Proceeds from sale of collateral $ 93,871,306 Right to recover 

proceeds N/A 

9/29/2015 Proceeds from sale of collateral $ 6,341,426 Right to recover 

proceeds N/A 

2/26/2016 Proceeds from sale of collateral $ 2,000,000 Right to recover 

proceeds N/A 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional 

Note, Zero Coupon Note, 

Equity

$ 6,642,000,000 N/A

18

6/10/2009 Issuance of equity in New 

Chrysler $ - N/A Chrysler Group LLC

19, 31 Debt obligation w/ 

additional note & 

zero coupon note

$ 7,142,000,000 5/24/2011 Repayment - Principal $ 5,076,460,000

5/24/2011 Termination of undrawn facility 31 $ 2,065,540,000

5/24/2011 Repayment* - Additional Note $ 288,000,000

5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000

Chrysler Group LLC 30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 64,038,073,315

$ 403,000,000

Total Treasury Investment Amount

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A

Chrysler 

FinCo

Farmington 

Hills, MI

 $ 0 

Additional Proceeds *

 $ 11,753,165,656 

Footnotes appear on following page.

Chrysler Auburn Hills, 

MI

Termination and settlement payment 

20
City State Adjustment Amount Date Type Remaining Investment 

Description Amount

11/20/2009

Partial 

repayment Debt Obligation w/ Additional Note $ 140,000,000 

2/11/2010

Partial 

repayment Debt Obligation w/ Additional Note $ 100,000,000 

3/4/2010 Repayment5 Additional Note $ 50,000,000 

6

4/5/2010 Payment6 None $ 56,541,893 

7/8/2009 3 $ (500,000,000) 3/9/2010 Repayment5 Additional Note $ 123,076,735 7 4/7/2010 Payment7 None $ 44,533,054 

$ 5,000,000,000 $ 101,074,947

As used in this table and its footnotes:

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").

"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.

"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.

"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.

"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".

"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).

"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)

17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated. 

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from Chrysler Holding 

originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.

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

3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)

4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.

5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.

6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.

7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining principal amount reflects the 

final amount of funds disbursed under the Chrysler DIP Loan.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green lines in table above) and (ii) 

$986 million, which remained a debt obligation of Old GM. 

11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General Motors LLC". General 

Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.

12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.

13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.

14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.

19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 

20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and accrued and unpaid 

interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 

23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from time to time of the 

specified collateral security attached to such loan.

24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.

25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common stock from Treasury at the same 

purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.

26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.

$ 3,500,000,000 N/A

7/8/2009 3

1 4/9/2009 Purchase

41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.

42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.

43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.

44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.

45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.

Payment or Disposition4

Date

27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.

GM Supplier Receivables LLC

Seller

Transaction Type

Investment 

Description Investment Amount Pricing Mechanism

Wilmington DE

35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.

36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on 

September 13, 2013.

37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.

38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional shares of common stock to be issued (the 

“Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted from 73.8 percent to 63.45 percent. Treasury continues to own 981,971 shares of common stock in Ally.

39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.

40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000. 

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote

$ 290,000,000

Adjustment Details

$ 413,076,735

2 4/9/2009

28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and restatement through but 

excluding the closing date that Treasury will receive separately at settlement.

29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of Liquidation. Treasury 

retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.

30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the exercise of an 

equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the trust's 

shares in Chrysler.

31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.

33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.

Chrysler Receivables SPV LLC

$ 413,076,735 Total Repayments Total Proceeds from Additional Notes

Wilmington DE

34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.

$ (1,000,000,000) $ 2,500,000,000

Name of Institution

Adjustment 

Date

Adjusted or Final 

Investment Amount

Debt Obligation w/ 

Additional Note

Purchase

ADJUSTED TOTAL

Debt Obligation w/ 

Additional Note $ 1,500,000,000 N/A $ 1,000,000,000

$ 123,076,735

INITIAL TOTAL
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009. 

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC on 7/10/2009.

6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

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

4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

5/ All outstanding principal drawn under the credit agreement was repaid.
Pricing Mechanism1 Number of Shares Proceeds2

01/18/13 – 

04/17/13

3

$28.0490 58,392,078 $ 1,637,839,844 

05/6/13 – 

9/13/2013

4

$34.6461 110,336,510 $ 3,822,724,832 

9/26/13 – 

11/20/13

5

$36.5087 70,214,460 $ 2,563,441,956 

11/21/2013 - 

12/9/2013

6

$38.8228 31,122,206 $ 1,208,249,982 

Total Proceeds: $9,232,256,614

4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell 

subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this 

authority occurred on September 13, 2013.

5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of 

common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.

6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during 

the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.

3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of 

common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.
Pricing Mechanism1 Number of Shares Proceeds2

08/14/14 – 

09/12/14

3

$24.5985 8,890,000 $ 218,680,700 

09/12/14 - 

10/16/14

4

$21.8234 11,249,044 $ 245,492,605 

Total Proceeds: $464,173,305

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.

3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period 

ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.

4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending 

on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining Capital 

Amount

Remaining Capital 

Description Final Disposition Date 3

Final Disposition 

Description

Final Disposition 

Proceeds

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities 

w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2011 A Warrants $ 190,386,428 

1/16/2009

Bank of America 

Corporation Charlotte NC Purchase

Preferred Stock w/ 

Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 A Warrants $ 1,236,804,513 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,427,190,941 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock for 

trust preferred securities

Trust Preferred Securities 

w/ Warrants 3 12/23/2009 Partial cancellation for early termination of guarantee $ (1,800,000,000) Trust Preferred Securities w/ Warrants $ 2,234,000,000 

5 9/30/2010 Disposition $ 2,246,000,000 Warrants $ 0

1/25/2011 Warrant Auction $ 67,197,045 None $ 0

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities 

received from the FDIC Trust Preferred Securities

7 2/4/2013

Exchange Trust preferred 

securities for subordinated 

note

Subordinated Note 8 2/8/2013 Disposition $ 894,000,000.00 None $ 0

TOTAL $ 0 Total Proceeds $ 3,207,197,045 

8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.

2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred 

Securities. 

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the 

conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.

4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.

5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.

6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities. 

7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.

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

 $ 4,034,000,000 

 $ 4,034,000,000 

4 9/29/2010

Exchange trust preferred 

securities for trust preferred 

securities

Trust Preferred Securities 

w/ Warrants $ 2,246,000,000 

3 $ 800,000,000.00 

 $ 894,000,000.00 

Remaining 

Premium 

1 1/16/2009 Citigroup Inc. New York NY Guarantee Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants

Description Footnote Date Type Amount Footnote

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Amount Date Type Amount

Remaining Premium 

Description Description

Seller

Type Description Guarantee Limit

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, 

Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT
Seller 

Name of Institution City State 

Transaction 

Type Investment Amount Date Transaction Type Amount

Pricing 

Mechanism

4/17/2009 Exchange

Preferred Stock w/ Warrants 

(Series E) 1 $ 40,000,000,000 Par 

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

TOTAL $ 69,835,000,000 Date Transaction Type Proceeds

3/1/2013 Repurchase $ 25,150,923.10

3/1/2013 Repurchase $ 5,767.50

Total Warrant Proceeds

Note Date Investment Description Date Transaction Type Pricing Mechanism

$ 2,000,000,000 5/27/2011 Cancellation N/A $ 0 10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

8/17/2011 Payment Par

8/18/2011 Payment Par

9/2/2011 Payment Par

11/1/2011 Payment Par

3/8/2012 Payment Par

3/15/2012 Payment Par

3/22/2012 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2012 Payment Par

1,455,037,962

77%

1,248,141,410

70%

1,084,206,984

63%

1,059,616,821

61%

895,682,395

55%

871,092,231

53%

317,246,078

22%

234,169,156

16%

234,169,156

0%

Footnotes appear on following page.

14

Partial Disposition $ 17,999,999,973 N/A 14

15

11

5/6/2012 Partial Disposition $ 4,999,999,993 N/A 12

3/8/2012 Partial Disposition $ 6,000,000,008

N/A

12/14/2012 Final Disposition

9/10/2012

Partial Disposition $ 2,699,999,965

$ 7,610,497,570 N/A

N/A

8/6/2012

9/11/2012

Partial Disposition

8

$ 1,383,888,037

$ 44,941,843

$ 3,375,328,432

9

7

$ 2,009,932,072

$ 750,000,002 N/A

5/24/2011 Partial Disposition $ 5,800,000,000 N/A

$ 749,999,972

N/A

13

12

8/3/2012 Partial Disposition $ 4,999,999,993 N/A 13

5/7/2012 Partial Disposition

5 1/14/2011 Preferred Stock (Series E) Exchange 924,546,133

4 1/14/2011 Preferred Stock (Series F)

Exchange

N/A Common Stock

6

ALICO Junior Preferred Interests

Exchange Par

 167,623,733

1/14/2011 Common Stock (non-TARP) Transfer 562,868,096

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

AIG POST-RECAPITALIZATION

Recapitalization Treasury Holdings Post-Recapitalization

Preferred Stock (Series G)

N/A

AIA Preferred Units $ 16,916,603,568 7

$ 0

8

Warrants (Series F)

$ 25,156,690.60

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the 

cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

$ 185,726,192

$ 1,493,250,339

Final Disposition

Transaction Type Pricing Mechanism Investment Description Amount / Shares Proceeds 8

Remaining Recap 

Investment Amount, 

Shares, or Equity %

Exchange

$ 55,885,302

$ 971,506,765

$ 5,576,121,382

$ 1,521,632,096

$ -

$ 0

$ 5,511,067,614

$ 55,833,333

$ 97,008,351

$ 2,153,520,000

Pricing Mechanism Investment Description

Warrants (Series D)

$ 40,000,000,000 Par

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description 

Preferred Stock w/ Warrants 

(Series D)

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

Final Disposition

Investment

1 11/25/2008 AIG New York NY Purchase
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.

15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG Common 

Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.

5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.

6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 562,868,096 

shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.

7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.

10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.

11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.

12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
Name of Institution City State Amount Date Description Amount

7/19/2010 2 $ 4,300,000,000

2/6/2013 Contingent Interest Proceeds $ 212,829,610

3/6/2013 Contingent Interest Proceeds $ 97,594,053

4/4/2013 Contingent Interest Proceeds $ 6,069,968

5/6/2013 Contingent Interest Proceeds $ 4,419,259

6/6/2013 Contingent Interest Proceeds $ 96,496,772

7/5/2013 Contingent Interest Proceeds $ 11,799,670

8/6/2013 Contingent Interest Proceeds $ 66,072,965

9/6/2013 Contingent Interest Proceeds $ 74,797,684

10/4/2013 Contingent Interest Proceeds $ 1,114,074

11/6/2013 Contingent Interest Proceeds $ 933,181

12/5/2013 Contingent Interest Proceeds $ 1,102,424

1/7/2014 Contingent Interest Proceeds $ 1,026,569

2/6/2014 Contingent Interest Proceeds $ 1,107,574

3/6/2014 Contingent Interest Proceeds $ 1,225,983

4/4/2014 Contingent Interest Proceeds $ 11,597,602

5/6/2014 Contingent Interest Proceeds $ 1,055,556

6/5/2014 Contingent Interest Proceeds $ 1,343,150

7/7/2014 Contingent Interest Proceeds $ 27,005,139

8/6/2014 Contingent Interest Proceeds $ 14,059,971

9/5/2014 Contingent Interest Proceeds $ 262,036

10/6/2014 Contingent Interest Proceeds $ 17,394,583

11/6/2014 Contingent Interest Proceeds $ 21,835,385

Total Investment Amount $ 100,000,000 Total Repayment Amount 5 $ 771,143,209

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.

2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.

3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.

Purchase Debt Obligation w/ Additional Note

4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary. 

$ 20,000,000,000 N/A $ 100,000,000

2/6/2013 Principal Repayment

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

1 3/3/2009 TALF LLC Wilmington DE

$ 100,000,000

6/28/2012 3 $ 1,400,000,000

1/15/2013 4 $ 100,000,000

Final Investment Amount

Repayment 5

Date

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

Adjusted Investment
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 3Senior Security 

Proceeds 4 Trade Date PMF6

Purchase Face 

Amount 3

Current Face 

Amount 6, 8

Life-to-date 

Principal Received 1, 8Disposition 

Amount 5, 6

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 $ 4,377,249 $ 2,184 6/21/2011 - $ 4,070,000 $ 3,151,186 $ 902,633 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130 10/19/2011 - $ 7,617,617 $ 5,891,602 $ 1,685,710 $ 6,462,972

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 $ 8,716,265 $ 4,348 6/21/2011 - $ 8,030,000 $ 5,964,013 $ 2,022,652 $ 6,555,383

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 $ 26,041,643 $ 12,983 6/7/2011 - $ 23,500,000 $ 22,350,367 $ 1,149,633 $ 25,039,989

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 $ 9,598,523 $ 4,783 6/7/2011 - $ 8,900,014 $ 6,542,218 $ 2,357,796 $ 7,045,774

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 $ 11,511,052 $ 5,741 6/7/2011 - $ 10,751,382 $ 9,819,270 $ 932,112 $ 10,550,917

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 $ 14,151,229 $ 7,057 6/7/2011 - $ 12,898,996 $ 12,570,392 $ 328,604 $ 13,886,504

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 $ 9,717,173 $ 4,844 6/7/2011 - $ 8,744,333 $ 8,483,188 $ 261,145 $ 9,482,247

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 $ 9,294,363 $ 4,635 6/7/2011 - $ 8,417,817 $ 8,171,159 $ 246,658 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377 9/20/2011 - $ 17,119,972 $ 15,030,712 $ 2,089,260 $ 16,658,561

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 $ 38,273,995 $ 19,077 6/21/2011 - $ 34,441,059 $ 32,656,125 $ 1,784,934 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801 9/20/2011 - $ 28,209,085 $ 25,930,433 $ 2,278,652 $ 29,142,474

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 3,200 6/21/2011 - $ 6,004,156 $ 5,656,049 $ 348,107 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722 10/19/2011 - $ 6,860,835 $ 6,520,875 $ 339,960 $ 7,105,304

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 $ 14,789,302 $ 7,373 6/21/2011 - $ 13,183,361 $ 12,704,841 $ 478,520 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408 1/24/2012 - $ 2,598,386 $ 1,903,407 $ 694,979 $ 2,052,702

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 5,187 6/21/2011 - $ 9,719,455 $ 9,531,446 $ 188,009 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561 9/20/2011 - $ 8,279,048 $ 6,425,217 $ 1,853,831 $ 7,078,089

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752 10/19/2011 - $ 5,000,000 $ 4,580,543 $ 419,457 $ 5,029,356

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541 10/19/2011 - $ 10,000,000 $ 9,030,539 $ 969,461 $ 9,994,806

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123 9/20/2011 - $ 9,272,482 $ 8,403,846 $ 868,636 $ 9,230,008

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820 10/19/2011 - $ 10,350,000 $ 10,099,555 $ 250,445 $ 11,314,651

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652 1/24/2012 - $ 6,900,000 $ 6,236,800 $ 663,200 $ 6,556,341

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966 1/24/2012 - $ 8,902,230 $ 7,503,681 $ 1,398,549 $ 8,269,277

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458 1/24/2012 - $ 8,050,000 $ 7,053,867 $ 996,133 $ 7,703,610

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061 1/24/2012 - $ 5,750,000 $ 5,473,724 $ 276,276 $ 5,764,858

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172 1/24/2012 - $ 5,741,753 $ 4,307,881 $ 1,433,872 $ 4,693,918

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912 10/19/2011 - $ 3,450,000 $ 3,367,168 $ 82,832 $ 3,698,411

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535 1/24/2012 - $ 11,482,421 $ 10,592,775 $ 889,646 $ 11,818,944

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632 10/19/2011 - $ 13,402,491 $ 12,963,737 $ 438,754 $ 14,433,039

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521 1/24/2012 - $ 14,950,000 $ 14,562,161 $ 387,839 $ 16,383,544

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 334,924,711

TOTAL INVESTMENT AMOUNT $ 368,145,452 TOTAL PROGRAM PROCEEDS TO DATE7 $ 376,748,302

4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal 

to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth 

in the Master Purchase Agreement.

-

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2026 -

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about 

the 11th business day of each month).

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a 

purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication of 

the applicable month's factor (on or about the 11th business day of each month).

Floating Rate SBA 7a security due 2019 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2017 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2016 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2022 -

Investment Description

TBA or 

PMF3

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Purchase Details 1 Settlement Details Final Disposition
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 $ 156,250,000 1/4/2010 4 $ 156,250,000 $ 156,250,000 1/29/2010 Distribution 5 $ 20,091,872

2/24/2010 Final Distribution 5 $ 48,922

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 1/4/2010 4 $ 200,000,000 1/4/2010 4 $ 200,000,000 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ Contingent 

Proceeds

1/29/2010 Distribution 5

$ 502,302

2/24/2010 Final Distribution 5

$ 1,223

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 856,000,000 $ 580,960,000 2/18/2010 $ 2,444,347 $ 578,515,653 Membership Interest 10

4/15/2010 $ 3,533,199 $ 574,982,454 Membership Interest 10

9/15/2010 $ 30,011,187 $ 544,971,267 Membership Interest 10

11/15/2010 $ 66,463,982 $ 478,507,285 Membership Interest 10

12/14/2010 $ 15,844,536 $ 462,662,749 Membership Interest 10

1/14/2011 $ 13,677,726 $ 448,985,023 Membership Interest 10

2/14/2011 $ 48,523,845 $ 400,461,178 Membership Interest 10

3/14/2011 $ 68,765,544 $ 331,695,634 Membership Interest 10

4/14/2011 $ 77,704,254 $ 253,991,380 Membership Interest 10

5/20/2011 $ 28,883,733 $ 225,107,647 Membership Interest 10

6/14/2011 $ 9,129,709 $ 215,977,938 Membership Interest 10

7/15/2011 $ 31,061,747 $ 184,916,192 Membership Interest 10

8/12/2011 $ 10,381,214 $ 174,534,977 Membership Interest 10

10/17/2011 $ 6,230,731 $ 168,304,246 Membership Interest 10

12/14/2011 $ 1,183,959 $ 167,120,288 Membership Interest 10

1/17/2012 $ 1,096,185 $ 166,024,103 Membership Interest 10

2/14/2012 $ 1,601,688 $ 164,422,415 Membership Interest 10

3/14/2012 $ 3,035,546 $ 161,386,870 Membership Interest 10

3/29/2012 Distribution 5 $ 56,390,209

8/9/2012 Distribution 5 $ 1,056,751

9/28/2012 Final Distribution 5 $ 18,772

6/4/2013 Adjusted Distribution5, 13 $ 69,399

7/8/2013 Distribution 5, 14 $ 64,444

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000 2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ Contingent 

Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ Contingent 

Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ Contingent 

Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ Contingent 

Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ Contingent 

Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ Contingent 

Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ Contingent 

Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ Contingent 

Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ Contingent 

Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ Contingent 

Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ Contingent 

Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ Contingent 

Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ Contingent 

Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ Contingent 

Proceeds

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ Contingent 

Proceeds

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000

$ 0

3/29/2012 $ 161,386,870

Distribution or Disposition

CREDIT MARKET PROGRAMS

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

Footnote Date

Seller

Transaction 

Type Investment Description 

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

Membership Interest

Membership Interest 10

Contingent Proceeds

$ 0

$ 0

1/12/2010 $ 166,000,000
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Transaction 

Type Investment Description 

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ Contingent 

Proceeds

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ Contingent 

Proceeds

3/29/2012 Distribution 5

$ 3,434,460

8/9/2012 Distribution 5

$ 40,556

9/28/2012 Final Distribution 5 $ 469

6/4/2013 Adjusted Distribution5, 13 $ 1,735

7/8/2013 Distribution 5, 14 $ 1,611

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,262,037,500 7/16/2010 $ 1,149,487,000 $ 1,149,487,000 7/16/2012 $ 62,499,688 $ 1,086,987,313 Membership Interest 10

9/17/2012 $ 152,499,238 $ 934,488,075 Membership Interest 10

1/15/2013 $ 254,581,112 $ 679,906,963 Membership Interest 10

2/13/2013 $ 436,447,818 $ 243,459,145 Membership Interest 10

3/13/2013 Distribution 5

$ 479,509,240

7/11/2013 Distribution 5, 11 $ 2,802,754

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,524,075,000 7/16/2010 $ 2,298,974,000 $ 2,298,974,000 6/26/2012 $ 125,000,000 $ 2,173,974,000

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 305,000,000 $ 1,868,974,000

Debt Obligation w/ Contingent 

Proceeds

12/6/2012 $ 800,000,000 $ 1,068,974,000

Debt Obligation w/ Contingent 

Proceeds

12/21/2012 $ 630,000,000 $ 438,974,000

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 97,494,310 $ 341,479,690

Debt Obligation w/ Contingent 

Proceeds

4/17/2013 Distribution 5, 11 $ 16,195,771

7/11/2013 Distribution 5, 11 $ 69,932

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,150,423,500 $ 1,064,141,738 1/15/2010 $ 44,043 $ 1,064,097,694 Membership Interest 10

2/14/2011 $ 712,284 $ 1,063,385,410 Membership Interest 10

3/14/2011 $ 6,716,327 $ 1,056,669,083 Membership Interest 10

4/14/2011 $ 7,118,388 $ 1,049,550,694 Membership Interest 10

5/14/2012 $ 39,999,800 $ 1,009,550,894 Membership Interest 10

6/14/2012 $ 287,098,565 $ 722,452,330 Membership Interest 10

7/16/2012 $ 68,749,656 $ 653,702,674 Membership Interest 10

8/14/2012 $ 361,248,194 $ 292,454,480 Membership Interest 10

8/30/2012 Distribution 5, 11 $ 75,278,664

9/12/2012 Distribution 5, 11 $ 79,071,633

9/19/2012 Distribution 5, 11 $ 106,300,357

10/1/2012 Distribution 5, 11 $ 25,909,972

12/21/2012 Distribution 5, 11 $ 678,683

8/13/2013 Distribution Refund $ (18,405)

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,300,847,000 12 $ 2,128,000,000 5/16/2011 $ 30,244,575 $ 2,097,755,425

Debt Obligation w/ Contingent 

Proceeds

6/14/2011 $ 88,087 $ 2,097,667,339

Debt Obligation w/ Contingent 

Proceeds

5/3/2012 $ 80,000,000 $ 2,017,667,339

Debt Obligation w/ Contingent 

Proceeds

5/14/2012 $ 30,000,000 $ 1,987,667,339

Debt Obligation w/ Contingent 

Proceeds

5/23/2012 $ 500,000,000 $ 1,487,667,339

Debt Obligation w/ Contingent 

Proceeds

6/14/2012 $ 44,200,000 $ 1,443,467,339

Debt Obligation w/ Contingent 

Proceeds

6/25/2012 $ 120,000,000 $ 1,323,467,339

Debt Obligation w/ Contingent 

Proceeds

7/16/2012 $ 17,500,000 $ 1,305,967,339

Debt Obligation w/ Contingent 

Proceeds

7/27/2012 $ 450,000,000 $ 855,967,339

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 272,500,000 $ 583,467,339

Debt Obligation w/ Contingent 

Proceeds

10/3/2012 Distribution 5, 11 $ 12,012,957

 $ - 

$ 284,468,750 $ 0

3/13/2013 $ 243,459,145

$ - Contingent Proceeds

8/30/2012 $ 292,454,480 Membership Interest 10

Contingent Proceeds

1/24/2013 $ 341,479,690

3/14/2012

Membership Interest 10 $ 0
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Transaction 

Type Investment Description 

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

 12/21/2012 Distribution 5, 11 $ 16,967

8/13/2013 Distribution Refund $ (460)

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 694,980,000 $ 528,184,800 8/14/2012 $ 90,269,076 $ 437,915,724 Membership Interest 10

9/17/2012 $ 8,833,632 $ 429,082,092 Membership Interest 10

10/15/2012 $ 10,055,653 $ 419,026,439 Membership Interest 10

11/5/2012 Distribution 5, 11 $ 297,511,708

12/5/2012 Distribution 5, 11 $ 57,378,964

12/6/2013 Distribution 5, 11 $ 1,609,739

2 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,389,960,000 $ 1,053,000,000 7/31/2012 $ 175,000,000 $ 878,000,000

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 5,539,055 $ 872,460,945

Debt Obligation w/ Contingent 

Proceeds

8/31/2012 $ 16,000,000 $ 856,460,945

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 1,667,352 $ 854,793,592

Debt Obligation w/ Contingent 

Proceeds

9/28/2012 $ 35,000,000 $ 819,793,592

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 25,334,218 $ 794,459,374

Debt Obligation w/ Contingent 

Proceeds

11/5/2012 Distribution 5, 11 $ 8,289,431

12/5/2012 Distribution 5, 11 $ 1,433,088

12/6/2013 Distribution 5, 11 $ 141,894

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,271,337,500 7/16/2010 $ 1,243,275,000 $ 1,117,399,170 2/14/2012 $ 87,099,565 $ 1,030,299,606 Membership Interest 10

3/14/2012 $ 99,462,003 $ 930,837,603 Membership Interest 10

5/14/2012 $ 74,999,625 $ 855,837,978 Membership Interest 10

7/16/2012 $ 18,749,906 $ 837,088,072 Membership Interest 10

8/14/2012 $ 68,399,658 $ 768,688,414 Membership Interest 10

9/17/2012 $ 124,999,375 $ 643,689,039 Membership Interest 10

10/15/2012 $ 240,673,797 $ 403,015,242 Membership Interest 10

11/15/2012 $ 45,764,825 $ 357,250,417 Membership Interest 10

12/14/2012 $ 24,588,926 $ 332,661,491 Membership Interest 10

1/15/2013 $ 30,470,429 $ 302,191,061 Membership Interest 10

2/14/2013 $ 295,328,636 $ 6,862,425 Membership Interest 10

2/21/2013 Distribution 5, 11 $ 184,431,858

2/27/2013 Distribution 5, 11 $ 20,999,895

3/14/2013 Distribution 5, 11 $ 156,174,219

4/19/2013 Distribution 5, 11 $ 105,620,441

4/25/2013 Distribution 5, 11 $ 42,099,442

5/29/2013 Distribution 5, 11 $ 49,225,244

9/30/2014 Final Distribution 5, 11 $ 1,748,833

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,542,675,000 7/16/2010 $ 2,486,550,000 $ 2,234,798,340 2/14/2012 $ 174,200,000 $ 2,060,598,340

Debt Obligation w/ Contingent 

Proceeds

3/14/2012 $ 198,925,000 $ 1,861,673,340

Debt Obligation w/ Contingent 

Proceeds

5/14/2012 $ 150,000,000 $ 1,711,673,340

Debt Obligation w/ Contingent 

Proceeds

7/16/2012 $ 37,500,000 $ 1,674,173,340

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 136,800,000 $ 1,537,373,340

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 250,000,000 $ 1,287,373,340

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 481,350,000 $ 806,023,340

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 274,590,324 $ 531,433,016

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 147,534,295 $ 383,898,721

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 182,823,491 $ 201,075,230

Debt Obligation w/ Contingent 

Proceeds

2/21/2013 $ 6,862,425

$ - Contingent Proceeds

$ - Membership Interest 10

$ - Membership Interest 10 11/5/2012 $ 419,026,439

10/18/2012 $ 794,459,374

8/22/2012 $ 583,467,339 $ - Contingent Proceeds
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Transaction 

Type Investment Description 

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

 4/19/2013 Distribution 5, 11 $ 17,118,005

4/25/2013 Distribution 5, 11 $ 1,052,497

5/29/2013 Distribution 5, 11 $ 1,230,643

9/30/2014 Final Distribution 5, 11 $ 41,556

1 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 620,578,258 $ 620,578,258 3/14/2011 $ 1,202,957 $ 619,375,301 Membership Interest 10

4/14/2011 $ 3,521,835 $ 615,853,465 Membership Interest 10

8/14/2012 $ 104,959,251 $ 510,894,215 Membership Interest 10

9/17/2012 $ 72,640,245 $ 438,253,970 Membership Interest 10

9/28/2012 $ 180,999,095 $ 257,254,875 Membership Interest 10

10/15/2012 $ 134,999,325 $ 122,255,550 Membership Interest 10

10/19/2012 Distribution 5, 11 $ 147,464,888

11/2/2012 Distribution 5, 11 $ 148,749,256

12/21/2012 Distribution 5, 11 $ 549,997

12/11/2013 Final Distribution 5, 11 $ 75,372

1/28/2015 Distribution 5, 15 $ 61,767

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,241,156,516 $ 1,241,000,000 5/13/2011 $ 13,531,530 $ 1,227,468,470

Debt Obligation w/ Contingent 

Proceeds

7/31/2012 $ 618,750,000 $ 608,718,470

Debt Obligation w/ Contingent 

Proceeds

8/9/2012 $ 151,006,173 $ 457,712,297

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 11,008,652 $ 446,703,645

Debt Obligation w/ Contingent 

Proceeds

8/23/2012 $ 160,493,230 $ 286,210,415

Debt Obligation w/ Contingent 

Proceeds

8/29/2012 $ 103,706,836 $ 182,503,579

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 20,637,410 $ 161,866,170

Debt Obligation w/ Contingent 

Proceeds

10/19/2012 Distribution 5, 11 $ 6,789,287

11/2/2012 Distribution 5, 11 $ 3,718,769

12/21/2012 Distribution 5, 11 $ 13,750

12/11/2013 Final Distribution 5, 11 $ 1,884

1/28/2015 Distribution 5, 15 $ 1,544

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 474,550,000 $ 474,550,000 9/17/2012 $ 74,499,628 $ 400,050,373 Membership Interest 10

11/15/2012 $ 59,787,459 $ 340,262,914 Membership Interest 10

12/14/2012 $ 40,459,092 $ 299,803,821 Membership Interest 10

1/15/2013 $ 10,409,317 $ 289,394,504 Membership Interest 10

1/30/2013 $ 219,998,900 $ 69,395,604 Membership Interest 10

2/25/2013 $ 39,026,406 $ 30,369,198 Membership Interest 10

3/25/2013 Distribution 5, 11 $ 164,629,827

4/16/2013 Distribution 5, 11 $ 71,462,104

5/16/2013 Distribution 5, 11 $ 38,536,072

7/11/2013 Distribution 5, 11 $ 29,999,850

9/5/2013 Distribution 5, 11 $ 3,999,980

12/27/2013 Distribution 5, 11 $ 5,707,723

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 949,100,000 $ 949,000,000 9/17/2012 $ 149,000,000 $ 800,000,000

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 119,575,516 $ 680,424,484

Debt Obligation w/ Contingent 

Proceeds

11/20/2012 $ 195,000,000 $ 485,424,484

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 47,755,767 $ 437,668,717

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 62,456,214 $ 375,212,503

Debt Obligation w/ Contingent 

Proceeds

4/16/2013 Distribution 5, 11 $ 7,143,340

9/21/2012 $ 161,866,170 $ -

3/25/2013 $ 30,369,198 $ - Membership Interest 10

$ 122,255,550 $ - Membership Interest 10

2/14/2013 $ 201,075,230 $ - Contingent Proceeds

10/19/2012

Contingent Proceeds
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Transaction 

Type Investment Description 

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

 5/16/2013 Distribution 5, 11 $ 963,411

7/11/2013 Distribution 5, 11 $ 750,004

9/5/2013 Distribution 5, 11 $ 100,001

12/27/2013 Distribution 5, 11 $ 142,168

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,160,784,100 $ 555,904,633 7/15/2011 $ 39,499,803 $ 516,404,830 Membership Interest 10

3/14/2012 $ 39,387,753 $ 477,017,077 Membership Interest 10

9/17/2012 $ 22,111,961 $ 454,905,116 Membership Interest 10

10/15/2012 $ 32,496,972 $ 422,408,144 Membership Interest 10

11/15/2012 $ 111,539,536 $ 310,868,608 Membership Interest 10

12/14/2012 $ 55,540,026 $ 255,328,581 Membership Interest 10

1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10

4/12/2013 $ 18,268,328 $ 222,210,343 Membership Interest 10

5/14/2013 $ 70,605,973 $ 151,604,370 Membership Interest 10

5/28/2013 $ 119,769,362 $ 31,835,008 Membership Interest 10

6/3/2013 Distribution 5, 11 $ 46,575,750

6/14/2013 Distribution 5, 11 $ 54,999,725

6/24/2013 Distribution 5, 11 $ 27,999,860

6/26/2013 Distribution 5, 11 $ 11,749,941

7/9/2013 Distribution 5, 11 $ 40,974,795

12/12/2013 Final Distribution 5, 11 $ 539,009

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,321,568,200 $ 1,111,000,000 7/15/2011 $ 79,000,000 $ 1,032,000,000

Debt Obligation w/ Contingent 

Proceeds

3/14/2012 $ 78,775,901 $ 953,224,099

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 44,224,144 $ 908,999,956

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 64,994,269 $ 844,005,687

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 223,080,187 $ 620,925,500

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 111,080,608 $ 509,844,892

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 89,099,906 $ 420,744,985

Debt Obligation w/ Contingent 

Proceeds

4/12/2013 $ 109,610,516 $ 311,134,469

Debt Obligation w/ Contingent 

Proceeds

5/28/2013 Distribution 5, 11 $ 444,393

6/3/2013 Distribution 5, 11 $ 1,960,289

6/14/2013 Distribution 5, 11 $ 1,375,007

6/24/2013 Distribution 5, 11 $ 700,004

6/26/2013 Distribution 5, 11 $ 293,751

7/9/2013 Distribution 5, 11 $ 1,024,380

12/12/2013 Final Distribution 5, 11 $ 13,475

$ 30,000,000,000 $ 21,856,403,574 $ 2,645,169,622

TOTAL CAPITAL REPAYMENT AMOUNT $ 18,625,147,938

5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.

13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012. 

14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.

15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.

6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, respectively. The $356 

million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.

7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.

8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

9/ Cumulative capital drawn at end of the Investment Period.

10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.

11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.

3/ Adjusted to show Treasury's maximum obligations to a fund.

Contingent Proceeds

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT

6/3/2013 $ 31,835,008 $ - Membership Interest 10

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.

2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.

5/14/2013 $ 311,134,469 $ -

TOTAL DISTRIBUTIONS 5

1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.

1/24/2013 $ 375,212,503 $ - Contingent Proceeds