Troubled Asset Relief Program (TARP)

Monthly 105(a) Report – June 2011

July 11, 2011

This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008.
Monthly 105(a) Report June 2011

Section Page

Where are the TARP Funds? ................................................................................................................................................. 1

• Daily TARP Update 

• Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal 

Budget

Program Updates: 

Bank Support Programs................................................................................................................................... 7

• Capital Purchase Program

Credit Market Programs................................................................................................................................. 12

• SBA 7(a) Program

Other Programs................................................................................................................................................ 13

• Automotive Industry Financing Program

Housing Programs............................................................................................................................................... 14

Appendix 1 – Financial Statement

More information is available at FinancialStability.gov.
Monthly 105(a) Report June 2011

1

The Troubled Asset Relief Program was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). Two and a 

half years after the establishment of the TARP, we are making substantial progress in unwinding the extraordinary assistance that had to 

be provided during the crisis. Treasury has moved quickly to reduce the dependence of the financial system on emergency support and to 

return our financial institutions to private hands as quickly as possible. When President Obama took office, the government had made 

investments in financial institutions representing 75 percent of the assets of the entire banking system. Today, the government’s remaining 

investments in banks represent only about 10 percent of the assets of the banking system. Moreover, taxpayers have now recovered more 

than 100 percent of the $245 billion invested in banks, which means that every additional dollar recovered represents a positive return to 

taxpayers. In this month alone, taxpayers have recovered $396 million from investments made in the TARP Capital Purchase Program

through repurchases, warrant sales, dividends and interest. 

By any objective standards, the Troubled Asset Relief Program has worked: it helped stop widespread financial panic, it helped prevent 

what could have been a devastating collapse of our financial system, and it did so at a cost that is far less than what most people expected 

at the time the law was passed. 

Where are TARP Funds?1

 1 Numbers in text and tables in this report may not add because of rounding.

This report contains two charts that provide a complete picture of how TARP funds have been used, the extent to which they have been 

returned, and how much the program will cost.

Daily TARP Update 

The first chart shows for each TARP program the amount of funds obligated, the amount actually disbursed, the repayments and 

income received and any losses. Thus, a reader can quickly see how much cash was disbursed under a particular program and how 

much cash has come back to Treasury. These amounts do not represent lifetime cost estimates, which are shown in the next chart. 

This chart is also available on FinancialStability.gov and is updated after every business day.

Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget

The second chart provides for each program within TARP the amount obligated, the amount disbursed, the outstanding balance, and 

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

taxpayer. Estimated lifetime cost is calculated quarterly in conjunction with the Office of Management and Budget. Because some of 

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

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

from the TARP investment. 
Monthly 105(a) Report June 2011

2

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

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

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

guidance and includes investments and other disbursements expected to be made in the future and includes assumptions regarding 

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

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

Budget, and the report required in 2013 under Section 134 of EESA. 
Monthly 105(a) Report June 2011

3

Figure 1: Daily TARP Update as of July 1, 2011 (through June 30, 2011)

(*Dollars in Billions*) Obligated Disbursed Repayments Write-offs Realized Loss1 Outstanding Dividends2 Interest2

Gain / Other 

Income1 Warrants Sold1 Total Income Total Cash Back3

Bank Support Programs

Capital Purchase Program (CPP)4

 Preferred & Other Securities $ 179.54 $ 179.54 $ 155.20 $ 2.58 $ 0.08 $ 21.68 $ 10.02 $ - $ - $ 7.43 $ 17.45 $ 172.65

 Preferred & Other Securities - Exchanges From CPP to CDCI $ 0.36 $ 0.36 $ 0.36 $ - $ - $ - $ 0.03 $ - $ - $ 0.01 $ 0.03 $ 0.03

 Citigroup Common $ 25.00 $ 25.00 $ 25.00 $ - $ - $ - $ 0.93 $ - $ 6.85 $ 0.05 $ 7.84 $ 32.84

Targeted Investment Program (TIP)

 Bank Of America $ 20.00 $ 20.00 $ 20.00 $ - $ - $ - $ 1.44 $ - $ - $ 1.24 $ 2.67 $ 22.67

 Citigroup $ 20.00 $ 20.00 $ 20.00 $ - $ - $ - $ 1.57 $ - $ - $ 0.19 $ 1.76 $ 21.76

Asset Guarantee Program (AGP)

 Bank Of America $ - $ - $ - $ - $ - $ - $ - $ - $ 0.28 $ - $ 0.28 $ 0.28

 Citigroup5 $ 5.00 $ - $ - $ - $ - $ - $ 0.44 $ - $ 2.25 $ 0.07 $ 2.76 $ 2.76

Community Development Capital Initiative (CDCI)6

 Exchanges From CPP to CDCI $ 0.36 $ 0.36 $ - $ - $ - $ - $ - $ - $ - $ - $ - $ -

 Not From Exchanges $ 0.21 $ 0.21 $ - $ - $ - $ 0.57 $ 0.01 $ - $ - $ - $ 0.01 $ 0.01

Bank Program Totals7 $ 250.46 $ 245.10 $ 220.20 $ 2.58 $ 0.08 $ 22.25 $ 14.43 $ - $ 9.37 $ 8.98 $ 32.79 $ 252.99

Credit Market Programs

Public-Private Investment Program (PPIP)

 Equity $ 7.51 $ 5.73 $ 0.16 $ - $ - $ 5.58 $ 0.73 $ - $ 0.00 $ - $ 0.74 $ 0.89

 Debt $ 14.90 $ 11.26 $ 0.98 $ - $ - $ 10.28 $ - $ 0.15 $ - $ - $ 0.15 $ 1.12

Term Asset Backed Securities Lending Facility $ 4.30 $ 0.10 $ - $ - $ - $ 0.10 $ - $ - $ - $ - $ - $ -

Purchase SBA 7(a) Securities (SBA) $ 0.37 $ 0.37 $ 0.17 $ - $ - $ 0.20 $ - $ 0.01 $ 0.00 $ - $ 0.01 $ 0.18

Credit Market Program Totals $ 27.07 $ 17.46 $ 1.30 $ - $ - $ 16.16 $ 0.73 $ 0.16 $ 0.00 $ - $ 0.89 $ 2.20

Other Programs

American International Group (AIG)8

 Common9 $ 47.54 $ 47.54 $ 3.83 $ - $ 1.92 $ 41.80 $ - $ - $ - $ - $ - $ 3.83

 Preferred $ 20.29 $ 20.29 $ 8.99 $ - $ - $ 11.30 $ 0.15 $ - $ 0.17 $ - $ 0.32 $ 9.31

AIG Totals $ 67.84 $ 67.84 $ 12.82 $ - $ 1.92 $ 53.10 $ 0.15 $ - $ 0.17 $ - $ 0.32 $ 13.14

Automotive Industry Financing Program (AIFP)

 GM10 $ 51.03 $ 51.03 $ 23.18 $ - $ 4.44 $ 23.42 $ - $ 0.77 $ 0.10 $ - $ 0.86 $ 24.04

 Chrysler11 $ 12.37 $ 12.37 $ 8.93 $ 1.60 $ - $ 1.84 $ - $ 1.18 $ 0.45 $ - $ 1.63 $ 10.56

 Ally (GMAC) $ 16.29 $ 16.29 $ 2.54 $ - $ 13.75 $ 2.34 $ - $ 0.13 $ - $ 2.46 $ 5.00

AIFP Totals $ 79.69 $ 79.69 $ 34.65 $ 1.60 $ 4.44 $ 39.01 $ 2.34 $ 1.95 $ 0.67 $ - $ 4.96 $ 39.61

Other Programs Totals $ 147.53 $ 147.53 $ 47.47 $ 1.60 $ 6.36 $ 92.10 $ 2.49 $ 1.95 $ 0.84 $ - $ 5.28 $ 52.74

Treasury Housing Programs Under TARP

Making Homes Affordable $ 29.89 $ 1.43

HFA Hardest-Hit Fund $ 7.60 $ 0.48

FHA Refinance12 $ 8.12 $ 0.05

Housing Totals $ 45.60 $ 1.96

Grand Totals $ 470.67 $ 412.05 $ 268.97 $ 4.18 $ 6.44 $ 130.51 $ 17.66 $ 2.11 $ 10.21 $ 8.98 $ 38.96 $ 307.93

Daily TARP Update for 7/1/2011

Principal/Investment Income/Revenue
Monthly 105(a) Report June 2011

4

Notes to Daily TARP Update

1/ Amounts of "Realized Loss", "Gain / Other Income", and "Warrants Sold" reflect net cash receipts.

2/ For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct loan programs, all dividend and interest 

payments are classified in the “Interest” category. These classifications are consistent with the accounting treatment used to produce OFS’ financial 

statements. 

3/ This column represents the sum of repayments plus income/revenue. These amounts do not represent lifetime cost estimates, which OFS provides 

in a separate table.

4/ Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009. In addition, the 

amount of any repayments from exchanges out of the CPP program into the Small Business Lending Fund will be reflected when they occur.

5/ Gain / Other Income does not include the receivable for up to $800 million in trust preferred securities from the Federal Deposit Insurance 

Corporation (FDIC).

6/ All CDCI collections are grouped in the "Not From Exchanges" row/category. 

7/ The "Bank Program Totals" do not include the disbursements, repayments, or gain on warrants sold for the CPP to CDCI exchanges as they were 

cashless. 

8/ TARP’s investment in AIG was originally made in the form of preferred stock, some of which was converted to common stock in the recapitalization 

in January, 2011. For convenience of the reader, the amount converted into common stock is listed under the “obligated” and “disbursed” columns. 

9/ On May 24, 2011, Treasury sold a total of 200 million AIG common shares at $29 per share, consisting of 131,981,246 TARP shares and 68,018,754 

non-TARP shares based upon the Treasury’s pro-rata holding of those shares. The non-TARP shares are those received from the trust created by 

the Federal Reserve Bank of New York for the benefit of the Treasury. Receipts for non-TARP common stock totaled $1,972,543,866 and are not 

included in TARP collections. The realized loss reflects the price at which TARP sold common shares in AIG and the TARP’s cost basis of $43.53 

per common share. However, the Treasury as a whole realized a gain on the sale of AIG shares as the combined basis for those shares is $28.73.

10/ Treasury’s investment in GM was originally made primarily in the form of loans, some of which were subsequently converted into common and 

preferred stock. Treasury currently holds only common stock. The realized loss reflects the difference between the price at which Treasury sold 

common shares in GM’s initial public offering and the Treasury’s cost basis ($43.52 per common share) for such shares. This calculation is not a 

projection of current or expected losses with respect to dispositions of the remaining shares. 

11/ The Chrysler equity repurchase on 6/2/2011 is not included in this report.

12/ Treasury has entered into a letter of credit (L/C) to fund the FHA Short Refinance Program. Pursuant to this L/C, a reserve account has been prefunded with $50 million in funds for any future loss claim payments. Treasury will be reimbursed for all unused amounts from this account. As of the 

date hereof, no disbursements for loss claim payments under the FHA Short Refinance Program have been made.
Monthly 105(a) Report June 2011

5

Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget

Programs 

as of June 30, 2011

(dollar amounts in billions)

Disbursed 

as of 

June 30

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup $ 25.00 $ 25.00 $ 0.00 $ (6.46)

Other banks with assets $10 billion or greater 165.31 165.30 10.85 (10.37)

Banks with assets less than $10 billion3 14.59 14.59 10.84 3.18

Total $ 204.89 $ 204.89 $ 21.69 $ (13.65)

Targeted Investment Program (TIP) $ 40.00 $ 40.00 $ 0.00 $ (3.99)

Asset Guarantee Program (AGP)4 $ 5.00 $ 0.00 $ 0.00 $ (3.77)

Community Development Capital Initiative (CDCI)5 $ 0.57 $ 0.57 $ 0.57 $ 0.23

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity $ 7.51 $ 5.73 $ 5.58 $ 0.04

Debt 14.90 11.26 10.28 0.40

Total $ 22.41 $ 16.99 $ 15.86 $ 0.44

Term Asset Backed Securities Lending Facility (TALF) $ 4.30 $ 0.10 $ 0.10 $ (0.32)

Purchase SBA 7(a) Securities (SBA) $ 0.37 $ 0.37 $ 0.20 $ 0.00

Other Programs:

American International Group (AIG): 

Preferred Stock $ 20.29 $ 20.29 $ 11.30 $ -

Common Stock 47.54 47.54 41.80 10.86

Total $ 67.84 $ 67.83 $ 53.10 $ 10.86

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 39.01 $ 13.91

Sub-total for Investment Programs $ 425.06 $ 410.44 $ 130.53 $ 3.71

Treasury Housing Programs Under TARP $ 45.61 $ 1.96 $ - $ 45.61

 Total for TARP Programs $ 470.67 $ 412.40 $ 130.53 $ 49.33

Additional AIG Common Shares Held by Treasury6

n/a n/a n/a (19.78)

Total for TARP Programs and Additional AIG Shares $ 470.67 $ 412.40 $ 130.53 $ 29.55

Obligation/

Commitment

Estimated 

Lifetime Cost 

as of Mar 311,2

Outstanding 

Investment 

Balance as 

of Jun 30
Monthly 105(a) Report June 2011

6

Notes to Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget:

1/ Lifetime cost information is as of March 31, 2011 except for PPIP and TALF which are as of December 31, 2010. 

2/ Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and Budget. 

Estimated lifetime cost of investments in publicly-traded securities is calculated by using the aggregate value of the investments at 

market prices as of March 31, 2011. The following common stock value information is provided for the convenience of the reader to 

show the increase or decrease in aggregate value of such investments in light of market prices as of June 30, 2011 and the 

corresponding effect on estimated cost assuming no other changes.

3/ It is anticipated that some CPP banks will convert to the Small Business Lending Fund resulting in full repayment of associate CPP 

investments.

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

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

5/ Disbursement total reflects $0.36 billion in CPP transactions that exchanged into the CDCI program. While the exchange did not 

involve transfer of cash with the public, the CDCI portion is considered a new disbursement for modeling purposes.

6/ This represents an additional 563 million shares of AIG common stock that was received from the trust created by the Federal Reserve 

Bank of New York for the benefit of the Treasury. 

Investment

3/31/2011 

Market 

Value

6/30/2011 

Market Value

Increase 

(Decrease) in 

Cost

AIG Common Stock $ 38.37 $ 28.15 $ 10.22 

GM Common Stock $ 15.52 $ 15.18 $ 0.34 

Additional AIG Common Shares $ 19.78 $ 14.51 $ 5.27 

In billions
Monthly 105(a) Report June 2011

7

Program Updates

Bank Support Programs 

In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. The programs included the

Capital Purchase Program (CPP), the Capital Assistance Program (CAP), the Targeted Investment Program (TIP), the Asset Guarantee 

Program (AGP) and the Community Development Capital Initiative (CDCI). A total of $245 billion was invested in banking institutions, and 

as of March 30, 2011, Treasury has recovered more than 100% of that amount through repayments, dividends, interest, and other income. 

CAP closed on November 9, 2009 with no investments having been made. TIP and AGP have both closed. The programs generated net 

positive returns to the taxpayer totaling $4.0 and $3.8 billion, respectively. CPP closed to new investments in December 2009 and CDCI 

was closed in September 2010. Treasury estimates the bank programs will result in a lifetime positive return for taxpayers of 

approximately $21.2 billion (see Figure 2). 

Capital Purchase Program (CPP)

Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable banks of all 

sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception. Every additional 

dollar recovered from CPP participants represents a positive return for taxpayers.

Figure 3: Capital Purchase Program Snapshot as of June 30, 2011

Notes to Capital Purchase Program Snapshot as of June 30, 2011:

Amount Invested: $204.9 billion Total Amount of Repayments1

: $180.55 billion

Largest Investment: $25 billion

Smallest Investment: $301,000 Total Dividends, Interest, & Fee Income: $10.98 billion

CPP Institutions (Banks in 48 states, D.C and Puerto Rico) June Dividends and Interest: $2.07 million

Number of Institutions Invested In 707

Fully Repaid: 118 Citigroup Gain: $6.85 billion

Partially Repaid: 14

Exchanged to CDCI: 28 CPP Warrant Income2

: $7.5 billion

In Bankruptcy/Receivership: 9

Investments Sold: 10 $205.9 billion

Mergers: 3

Remaining Institutions: 539

CPP Cumulative Investments CPP Income to Treasury

Total CPP Income: 
Monthly 105(a) Report June 2011

8

1/ Includes repayment of $25 billion from completed Citigroup common stock conversion and $335,724,000 from CDCI conversions.

2/ Gross proceeds excluding commissions paid. Includes proceeds from exercised warrants.

Repayments

• On June 8, 2011, Magna Bank repaid $3,455,000 of Treasury’s investment in that institution. Treasury’s remaining investment is 

$6,885,000.

• On June 29, State Bankshares, Inc. repurchased all outstanding Capital Purchase Program (CPP) preferred shares from Treasury’s 

investment in that institution for $37.5 million.

• On June 29, 2011, West Bancorporation, Inc. repurchased all outstanding Capital Purchase Program (CPP) preferred shares from 

Treasury’s investment in that institution totaling $36 million.

Warrant Repurchases 

In June, Treasury disposed of four warrant positions that were received in consideration for investments made under the Capital Purchase 

Program (CPP). These proceeds provide an additional return to the American taxpayer of more than $30 million from Treasury’s

investments in banks beyond any dividend or interest payments. 

• In June, Treasury sold in an auction its remaining 3,282,276 warrants of Webster Financial Corporation for approximately $20.7 million. 

• As described below, on June 3, 2011, Treasury completed the sale of a warrant for Whitney Holding Corporation to Hancock Holding 

Company (HHC) for $6,900,000, as part of HHC’s purchase of all Whitney Holding Corporation preferred stock held by Treasury.

• On June 29, 2011, State Bankshares, Inc. repurchased preferred shares from exercised warrants from Treasury for $2.5 million.

• As described below, in conjunction with Treasury’s sale of its Cascade Financial Corporation preferred stock to Opus Acquisition, Inc 

(“Opus”), the related warrant was also sold to Opus.

Exchanges and Sales

In limited cases, in order to protect the taxpayers’ interest in the value of an investment and to promote the objectives of EESA, 

Treasury may exchange the CPP securities for other securities or may sell its holdings. Treasury evaluates whether to participate in an 

exchange or sale on the basis of enabling the bank to (i) get new investors to provide additional capital, (ii) conduct a capital 
Monthly 105(a) Report June 2011

9

restructuring or (iii) strengthen its capital and financial condition. Exchanges made on this basis may be at a rate less than par, and 

sales by Treasury to a new investor may be made at a discount.

• On June 3, 2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by 

Treasury to Hancock Holding Company (HHC) for an aggregate purchase price equal to (i) the par amount of the preferred stock 

($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the warrant, pursuant to the terms of the agreement 

between Treasury and HHC entered into on 6/3/2011.

• On June 22, 2011, Treasury sold 2,850,000 shares of its Central Pacific Financial Corp. common stock for proceeds of approximately 

$35.9 million. Treasury had received such shares pursuant to an exchange of its preferred stock investment for common stock in 

February 2011.

• On June 29, 2011, Treasury entered into an agreement with Carver Bancorp, Inc. to exchange Treasury’s $18,980,000 of preferred 

stock for an equivalent amount of common stock. The exchange is subject to the fulfillment by Carver Bancorp, Inc. of certain 

conditions, including the satisfactory completion of a capital plan.

• On June 30, 2011, Treasury sold its $38,970,000 of Cascade Financial Corporation preferred stock held by Treasury and the related 

warrant to Opus Acquisition, Inc. for an aggregate purchase price of $16,250,000.

Dividends and Interest

Cumulative dividends, interest and fee income received from Capital Purchase Program investments is approximately $10.98 billion. In 

June, Treasury received dividends and interest income from CPP investments of approximately $2.07 million.
Monthly 105(a) Report June 2011

10

Figure 4: Top 25 Remaining Capital Purchase Program Investments (as of June 30, 2011)

Figure 4 Footnotes

a/ BMO Financial Group, parent company of Bank of Montreal (BMO), and Marshall & Ilsley Corporation (M&I) entered into a definitive 

agreement for M&I to merge into BMO in a stock-for-stock transaction. On 5/16/2011, Treasury entered into an agreement with a 

wholly-owned subsidiary of BMO for the sale of (i) all 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. On July 5, 2011, Bank of Montreal 

purchased CPP preferred shares totaling $1.7 billion, purchased warrants to purchase common stock in M&I Bank for $3.3 million and 

paid accrued dividends totaling $11.9 million. This repayment will be reflected in next month’s 105(a) Report covering July 1-31, 2011.

b/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. Subject to the 

fulfillment by First BanCorp of certain conditions, including those related to its capital plan, the MCP may be converted to common 

stock. 

c/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Sterling fulfilled the conversion conditions, 

including those related to its capital plan, and Treasury's MCP was converted into 378,750,000 shares of common stock. Following a 

subsequent reverse stock split, Treasury now holds 5,738,637 shares of common stock.

d/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. Pacific Capital 

fulfilled the conversion conditions and Treasury's MCP was converted into 360,833,250 shares of common stock. Following a 

subsequent reverse stock split, Treasury now holds 3,608,332 shares of common stock.

Institution City, State

 Investment 

Amount 

($ billions) 

Institution City, State

Investment 

Amount 

($ billions)

1 Regions Financial Corp. Birmingham, AL $ 3.500 14 Cathay General Bancorp Los Angeles, CA $ 0.258

2 Marshall & Ilsley Corporation a Milwaukee, WI $ 1.715 15 PrivateBancorp, Inc. Chicago, IL $ 0.244

3 Zions Bancorporation Salt Lake City, UT $ 1.400 16 International Bancshares Corporation Laredo, TX $ 0.216

4 Synovus Financial Corp. Columbus, GA $ 0.968 17 MB Financial Inc. Chicago, Il $ 0.196

5 Popular, Inc. San Juan, PR $ 0.935 18 Pacific Capital Bancorp d Santa Barbara, CA $ 0.195

6 First Bancorp b San Juan, PR $ 0.424 19 First Midwest Bancorp, Inc. Itasca, IL $ 0.193

7 M&T Bank Corporation Buffalo, NY $ 0.382 20 United Community Banks, Inc. Blairsville, GA $ 0.180

8 Sterling Financial Corporation c Spokane, WA $ 0.303 21 Dickinson Financial Corporation II Kansas City, MO $ 0.150

9 Citizens Republic Bancorp, Inc. Flint, MI $ 0.300 22 Western Alliance Bancorporation Las Vegas, NV $ 0.140

10 First Banks, Inc. Clayton, MO $ 0.295 23 Central Pacific Financial Corp. e Honolulu, HI $ 0.135

11 New York Private Bank & Trust Corp. New York, NY $ 0.267 24 Banner Corporation Walla Walla, WA $ 0.124

12 Flagstar Bancorp, Inc. Troy, MI $ 0.267 25 First Merchants Corporation f Muncie, IN $ 0.116

13 Associated Banc-Corp Green Bay, WI $ 0.263 Total $12.90 billion
Monthly 105(a) Report June 2011

11

e/ Treasury exchanged its preferred stock with capitalized dividends for 5,620,117 shares of common stock, pursuant to an exchange 

agreement dated 2/17/2011. On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock for net proceeds of 

$35,883,281.25. Treasury still owns 2,770,117 shares of Central Pacific Financial Corp. common stock.

f/ Treasury exchanged $46,400,000 of its Series A Preferred Stock for a like amount of non tax-deductible Trust Preferred Securities 

issued by First Merchants Capital Trust III.
Monthly 105(a) Report June 2011

12

Credit Market Programs

Small Business Administration (SBA) 7(a) Securities Portfolio

Small businesses have played an important role in generating new jobs and growth in our economy. To ensure that credit flows to 

entrepreneurs and small business owners, Treasury took measures to complement the Obama Administration’s actions to help small 

businesses recover and grow, including a program to purchase SBA guaranteed securities. Treasury purchased the securities in order to 

help restart the flow of credit to small businesses. Purchasing securities from participating “pool assemblers” enabled them to purchase 

additional small business loans from loan originators. Since Treasury began purchasing SBA 7(a) securities, the SBA 7(a) market has 

recovered, as exhibited by new pool issuance volumes returning to pre-crisis levels.

Treasury originally invested in 31 SBA 7(a) securities with a value of approximately $368 million. Those securities were comprised of 

1,001 loans from 17 different industries, including retail, food services, manufacturing, scientific and technical services, healthcare, 

educational services, and others. 

• Significant progress was made towards the disposition of these securities in the month of June through the sale of twelve SBA 7(a) 

securities executed through a Bid Wanted in Competition (BWIC). Treasury sold the twelve securities for approximately $151.5 

million, representing overall income and gains of approximately $4.5 million.
Monthly 105(a) Report June 2011

13

Other Programs

Automotive Industry Financing Program (AIFP)

When President Obama took office, the American auto industry was on the brink of collapse. The President made the difficult decision to 

provide support to General Motors (GM) and Chrysler on the condition that all stakeholders make the sacrifices necessary to achieve a 

path to viability. By conservative estimates, providing this support saved more than 1 million American jobs. Moreover, the expected costs 

of TARP’s support for the industry have come down dramatically over the last two years as the auto industry has continued to recover and 

strengthen.

On June 2, 2011, Treasury announced that it reached an agreement to sell to Fiat Treasury’s 6 percent fully diluted equity interest in 

Chrysler and Treasury’s interest in an agreement with the UAW retiree trust. The expected total proceeds to Treasury from this transaction 

are $560 million. The closing of this transaction will represent Treasury’s full exit from its TARP investments in Chrysler LLC, as Chrysler 

Group LLC repaid its outstanding Troubled Asset Relief Program (TARP) loans on May 24, 2011, six years before the scheduled maturity 

of those loans in 2017. Following the closing of the equity transaction, Treasury’s combined returns from Chrysler will total $11.2 billion. 

The remaining loss will be $1.3 billion, and as previously stated, Treasury is unlikely to recover any additional material amounts. 
Monthly 105(a) Report June 2011

14

Housing Programs

Making Home Affordable Program Performance Report

On July 1, 2011, the U.S. Department Treasury released the Making Home Affordable (MHA) Program Performance Report through 

May 2011: http://www.treasury.gov/initiatives/financial-stability/results/MHA-Reports/Pages/default.aspx. In a continuing effort to operate 

programs in as transparent a manner as possible, the report has expanded this month to include:

• Summary data on the Principal Reduction Alternative (PRA). While servicers are not required to reduce principal under PRA, 

homeowners who qualify see significant benefits, with the median amount of principal reduced for active permanent modifications 

exceeding $69,000. 

• This month also features expanded detail on the Second Lien Modification and Home Affordable Foreclosure Alternative programs.

Other report highlights include:

• More than 32,000 new permanent modifications were reported in May, as homeowners continue to successfully complete the trial 

modification period. To date, more than 730,000 permanent modifications have been started with homeowners realizing aggregate

savings in monthly mortgage payments of more than $6.8 billion.

• The six-month rate of trial modifications has consistently been about 30,000 per month for nearly a year, even as the overall population

of eligible delinquent homeowners continues to decline. Homeowners who enter a trial modification now have a high likelihood of 

securing a permanent modification and realizing long-term success in the program.

• Of homeowners who have begun trial modifications since June 1, 2010, 71% were granted permanent modifications with an average 

time to convert of 3.5 months – a higher conversion rate and shorter time to convert than earlier in the program. At the same time, the 

number of trials lasting six months or longer continues to decrease.

Second Lien and HAFA Program Results

• The Second Lien Modification Program (2MP) provides assistance to homeowners in a first lien permanent modification who have an 

eligible second lien with a participating servicer. To date, nearly 29,000 homeowners in a first-lien HAMP modification have received 

assistance through the Second Lien Modification Program (2MP). Since homeowners with first lien mortgage modifications under 

HAMP become automatically eligible when their second lien servicer participates in 2MP, this number will continue to grow.

• Over 17,700 homeowners have reached agreements with their servicer to exit their home gracefully under the Home Affordable 

Foreclosure Alternatives (HAFA) Program through a short sale or deed-in-lieu of foreclosure transaction.

• More than 8,500 homeowners have completed a short sale or deed-in-lieu under HAFA, which provides up to $3,000 for relocation 

assistance after a homeowner exits the home.
Monthly 105(a) Report June 2011

15

Hardest Hit Fund

The Hardest Hit Fund provides funding to 18 states and the District of Columbia to provide assistance to struggling homeowners through 

locally-tailored programs administered by each respective Housing Finance Agency (HFA). $7.6 billion has been allocated. These areas 

were chosen because they have experienced steep home price declines or unemployment in the economic downturn. States have 

developed principal reduction, reinstatement, short sale/transition assistance, modification assistance and mortgage payment programs. 

• 70% of funds are targeted to help unemployed borrowers, primarily through reinstatement and programs that help homeowners pay

their mortgage while looking for work.

• Programs in 17 states (AL, AZ, CA, FL, GA, IN, KY, MI, MS, NV, NJ, NC, OH, OR, RI, SC, and TN) and the District of Columbia are 

now out of pilot and are accepting applications widely; the remaining state (IL) is still in pilot and intends to be available in July.

• A total of $478 million has been drawn down from Treasury from the 18 states and DC. Each state has its own timeline for 

implementation of their program and draws down funds as they are needed.

Each state submitted a plan to Treasury regarding how they would use funds and their timeline for implementation. HFAs have been in 

regular communication with servicers about participation in their programs, and Treasury has functioned as a resource through these 

discussions.

• All 19 eligible entities have created extensive infrastructure to operate these programs, including selecting and training networks of 

housing counselors to assist with applications, the creation of homeowner portals to apply for assistance, and the hiring of 

underwriters and other staff to review and approve applications.

• The five largest servicers (Ally Bank, Bank of America, J.P. Morgan Chase, Citibank, and Wells Fargo) are participating in all states.

• In addition to discussions with large servicers, HFAs have had a great deal of success signing hundreds of smaller and mid-size 

servicers onto their programs.

• The GSEs, FHA, VA and USDA have issued guidance strongly encouraging servicers servicing their loans to participate in 

unemployment programs under the Hardest Hit Fund.

• Although most states have started out slowly, many states that have been up and running for several months are starting to show 

substantial growth in the number of borrowers assisted (Ohio, North Carolina, Oregon, California).

Treasury recently approved a new loan purchase model for Illinois, similar to one in Oregon, which will buy loans at discount, modify them 

for an affordable payment at market value, and then eventually sell them.
Monthly 105(a) Report June 2011

16

Appendix 1

Financial Statements
Budget

Object Class 

(BOC) Budget Object Class Title Obligations Expenditures

Projected

Obligations

Projected

Expenditures

PERSONNEL SERVICES 1100 & 1200 PERSONNEL COMPENSATION & BENEFITS $ 67,827,121 $ 67,634,920 $ 70,355,000 $ 70,171,000

PERSONNEL SERVICES Total: $ 67,827,121 $ 67,634,920 $ 70,355,000 $ 70,171,000

2100 TRAVEL & TRANSPORTATION OF PERSONS $ 1,225,255 $ 1,164,264 $ 1,286,000 $ 1,216,000

2200 TRANSPORTATION OF THINGS 11,960 11,960 12,000 12,000

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 753,957 666,107 754,000 674,000

2400 PRINTING & REPRODUCTION 402 402 500 500

2500 OTHER SERVICES 169,343,751 130,332,014 172,841,000 134,263,000

2600 SUPPLIES AND MATERIALS 841,418 820,024 853,000 827,000

3100 EQUIPMENT 244,067 222,675 245,000 223,000

3200 LAND & STRUCTURES - - - -

4300 INTEREST & DIVIDENDS 93 93 100 100

NON-PERSONNEL SERVICES Total: $ 172,420,903 $ 133,217,540 $ 175,991,600 $ 137,215,600

GRAND TOTAL: $ 240,248,024 $ 200,852,460 $ 246,346,600 $ 207,386,600

Note: The amounts presented above are cumulative from the initiation of the TARP.

For Period Ending For Period Ending

June 30, 2011 July 31, 2011

NON-PERSONNEL 

SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expenditures
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period June 30, 2011

Date Approved Type of Transaction Vendor Purpose

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

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

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

10/16/2008 Contract (No Suggestions) LLP-1 Accounting/Internal Controls

10/17/2008 Interagency Agreement Turner Consulting Group, Inc.* Archive Services

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

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

10/29/2008 Contract Squire Sanders & Dempsey LLP Legal Advisory

10/31/2008 Contract Lindholm & Associates Inc.* Human Resources Services

11/7/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory

11/9/2008 Interagency Agreement Internal Revenue Service Detailee

11/17/2008 Interagency Agreement Internal Revenue Service - CSC Information Technology

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

12/3/2008 Interagency Agreement Trade and Tax Bureau - Treasury Information Technology

12/5/2008 Interagency Agreement Washington Post Administrative Support

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

12/10/2008 Contract Thacher Proffitt & Wood** Legal Advisory

12/15/2008 Interagency Agreement Office of Thrift Supervision Detailee

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

12/22/2008 Interagency Agreement Office of Thrift Supervision Detailees

12/24/2008 Contract Cushman And Wakefield Of Va Inc Administrative Support

1/6/2009 Interagency Agreement Securities and Exchange Commission Detailee

1/7/2009 Contract Colonial Parking Inc. Parking

1/27/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

1/27/2009 Contract Whitaker Brothers Bus Machines Inc.* Office Machines

1/30/2009 Interagency Agreement Office of the Controller of the Currency Detailee

2/2/2009 Interagency Agreement Government Accountability Office Oversight Services

2/3/2009 Interagency Agreement Internal Revenue Service Detailees
Date Approved Type of Transaction Vendor Purpose

2/9/2009 Contract Pat Taylor & Assoc Inc.* Administrative Support

2/12/2009 Contract Locke Lord Bissell & Liddell LLP Legal Advisory

2/18/2009 Financial Agent Fannie Mae Homeownership Program

2/18/2009 Financial Agent Freddie Mac Homeownership Program

2/20/2009 Interagency Agreement Financial Clerk U.S. Senate Oversight Services

2/20/2009 Interagency Agreement Office of Thrift Supervision Detailees

2/20/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory

2/20/2009 Contract Venable LLP-1 Legal Advisory

2/26/2009 Interagency Agreement Securities and Exchange Commission Detailee

2/27/2009 Interagency Agreement Pension Benefit Guaranty Corp. Legal Services

3/6/2009 Contract The Boston Consulting Group Inc Financial Advisory

3/16/2009 Financial Agent EARNEST Partners* Small Business Assistance Program

3/23/2009 Interagency Agreement Heery International Inc.* Architectural Services

3/30/2009 Contract Bingham Mccutchen LLP Legal Advisory

3/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

3/30/2009 Contract Haynes and Boone LLP Legal Advisory

3/30/2009 Contract Mckee Nelson LLP*** Legal Advisory

3/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory

3/31/2009 Contract FI Consulting Inc.* Accounting/Internal Controls

4/3/2009 Interagency Agreement American Furniture Rentals* Administrative Support

4/3/2009 Contract The Boston Consulting Group Inc Financial Advisory

4/17/2009 Interagency Agreement Bureau of Engraving and Printing Detailee

4/17/2009 Contract Herman Miller Inc. Facilities Support

4/21/2009 Financial Agent AllianceBernstein L.P. Asset Management Services

4/21/2009 Financial Agent FSI Group, LLC Asset Management Services

4/21/2009 Financial Agent Piedmont Investment Advisors, LLC* Asset Management Services

4/30/2009 Interagency Agreement State Department Detailee

5/5/2009 Interagency Agreement Federal Reserve Board Detailee

5/13/2009 Interagency Agreement Department of Treasury - US Mint Administrative Support

5/14/2009 Contract Knowledgebank Inc.* Administrative Support

5/15/2009 Contract Phacil Inc. FOIA Support Services

5/20/2009 Interagency Agreement Securities and Exchange Commission Detailee

5/22/2009 Interagency Agreement Department of Justice - ATF Detailee

5/26/2009 Contract Anderson Mc Coy & Orta* Legal Advisory

5/26/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory

6/9/2009 Interagency Agreement Financial Management Service - Gartner, Inc. Information Technology

6/29/2009 Interagency Agreement Department of Interior Information Technology
Date Approved Type of Transaction Vendor Purpose

7/15/2009 Interagency Agreement Judicial Watch Legal Advisory

7/17/2009 Contract Korn/Ferry International Administrative Support

7/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

7/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory

7/30/2009 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory

8/10/2009 Interagency Agreement Department of Justice Detailee

8/10/2009 Interagency Agreement NASA Detailee

8/18/2009 Contract Mercer (US) Inc. Subscription Services

8/25/2009 Interagency Agreement Department of Justice Detailee

9/2/2009 Contract Knowledge Mosaic Inc.* Administrative Support

9/10/2009 Contract Equilar Inc.* Subscription Services

9/11/2009 Contract PricewaterhouseCoopers LLP-1 Accounting/Internal Controls

9/18/2009 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

9/30/2009 Interagency Agreement IMMIXTECHNOLOGY INC. Information Technology

9/30/2009 Interagency Agreement IMMIXTECHNOLOGY INC. Information Technology

9/30/2009 Contract NNA Inc. Administrative Support

9/30/2009 Contract SNL Financial LC Subscription Services

11/9/2009 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

12/16/2009 Interagency Agreement Internal Revenue Service Detailee

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

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

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

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

12/22/2009 Financial Agent KBW Asset Management, Inc.* Asset Management Services

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

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

1/14/2010 Interagency Agreement Government Accountability Office Oversight Services

1/15/2010 Contract Association of Govt Accountants Administrative Support

2/16/2010 Interagency Agreement Internal Revenue Service Detailee

2/16/2010 Contract The Mitre Corporation Information Technology

2/18/2010 Interagency Agreement Bureau of the Public Debt - ARC Information Technology

3/8/2010 Contract Qualx Corporation* FOIA Support Services

3/22/2010 Interagency Agreement Financial Management Services - Gartner, Inc. Information Technology

3/26/2010 Interagency Agreement Federal Maritime Commission (FMC) Detailee

3/29/2010 Financial Agent Morgan Stanley & Co. Incorporated Disposition Agent Services

4/2/2010 Interagency Agreement Financial Clerk U.S. Senate Oversight Services

4/8/2010 Contract Squire Sanders & Dempsey LLP Legal Advisory
Date Approved Type of Transaction Vendor Purpose

4/12/2010 Contract Ennis Knupp & Associates Inc Financial Advisory

4/22/2010 Contract Digital Management Inc.* Information Technology

4/22/2010 Contract Microlink Llc Information Technology

4/23/2010 Contract RDA Corporation* Information Technology

5/4/2010 Interagency Agreement Internal Revenue Service Administrative Support

5/17/2010 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services

6/24/2010 Contract Reed Elsevier Inc (dba LexisNexis) Subscription Services

6/30/2010 Contract The George Washington University Administrative Support

7/21/2010 Contract Navigant Consulting Inc. Compliance

7/21/2010 Contract Regis & Associates PC* Compliance

7/22/2010 Contract Ernst & Young LLP Compliance

7/22/2010 Contract PricewaterhouseCoopers LLP-1 Compliance

7/22/2010 Contract Schiff Hardin LLP Legal Advisory

7/27/2010 Contract West Publishing Corporation Administrative Support

8/6/2010 Contract Alston & Bird LLP Legal Advisory

8/6/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

8/6/2010 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory

8/6/2010 Contract Haynes and Boone LLP Legal Advisory

8/6/2010 Contract Hughes Hubbard & Reed LLP Legal Advisory

8/6/2010 Contract Love & Long LLP* Legal Advisory

8/6/2010 Contract Orrick Herrington Sutcliffe LLP Legal Advisory

8/6/2010 Contract Paul Weiss Rfknd Whrtn & Grrsn LLP Legal Advisory

8/6/2010 Contract Perkins Coie LLP Legal Advisory

8/6/2010 Contract Seyfarth Shaw LLP Legal Advisory

8/6/2010 Contract Shulman Rgrs Gndl Pordy & Ecker Pa Legal Advisory

8/6/2010 Contract Sullivan Cove Reign Enterprises JV* Legal Advisory

8/6/2010 Contract Venable LLP-1 Legal Advisory

8/12/2010 Contract Knowledge Mosaic Inc.* Administrative Support

8/30/2010 Interagency Agreement Department of Housing and Urban Development Detailee

9/1/2010 Contract CQ-Roll Call Inc. Administrative Support

9/17/2010 Contract Bingham Mccutchen LLP Legal Advisory

9/27/2010 Contract Davis Audrey Robinette* Administrative Support

9/30/2010 Contract CCH Incorporated Administrative Support

10/1/2010 Interagency Agreement Financial Clerk U.S. Senate Oversight Services

10/8/2010 Contract Management Concepts Inc**** Administrative Support

10/14/2010 Contract Hispanic Assoc Of Coll & Univ* Detailees

10/26/2010 Interagency Agreement Government Accountability Office Oversight Services

11/8/2010 Contract The Mitre Corporation* Information Technology

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

12/2/2010 Contract Addx Corporation* Acquisition Support Services
Date Approved Type of Transaction Vendor Purpose

12/29/2010 Contract Reed Elsevier Inc (dba LexisNexis) Subscription Services

1/5/2011 Interagency Agreement Canon U.S.A. Inc. Administrative Support

1/18/2011 Financial Agent Perella Weinberg Partners & Co. Structuring and Disposition Services

1/24/2011 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

1/26/2011 Contract Association of Govt Accountants Administrative Support

2/24/2011 Contract ESI International Inc. Administrative Support

2/28/2011 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

3/3/2011 Contract Equilar Inc.* Administrative Support

3/10/2011 Contract Mercer (US) Inc. Administrative Support

3/22/2011 Contract Harrison Scott Publications Subscription Services

3/28/2011 Interagency Agreement Fox News Network LLC Litigation Settlement

4/20/2011 Interagency Agreement Federal Reserve Bank of New York Financial Reporting

4/26/2011 Contract PricewaterhouseCoopers LLP-1 Financial Services

4/27/2011 Contract Oculus Group Inc. Financial Services

4/27/2011 Contract MorganFranklin Corporation Financial Services

4/27/2011 Contract Lani Eko & Company CPAs LLC Financial Services

4/27/2011 Contract FI Consulting Inc.* Financial Services

4/27/2011 Contract Ernst & Young LLP Financial Services

4/27/2011 Contract ASR Analytics LLC Financial Services

4/28/2011 Contract Booz Allen Hamilton Inc. Financial Services

4/28/2011 Contract KPMG LLP Financial Services

4/28/2011 Interagency Agreement Office of Personnel Management Training

5/31/2011 Contract Reed Elsevier Inc (dba LexisNexis) Subscription Services

5/31/2011 Contract West Publishing Corporation Subscription Services

` Contract CQ-Roll Call Inc. Subscription Services

6/17/2020 Contract Winvale Group LLC Subscription Services

6/9/2011 Contract ESI International Inc. Administrative Support

* Small or Women-, or Minority-Owned Small Business

**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.

***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.

  Previously listed separate contracts for various training.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending June 30, 2011

Name Amount

Termination of the $5,000,000,000 Master Agreement 

between Citigroup and the UST, and FDIC occurred on 

December 23, 2009 due to the improvement of Citigroup's 

financial condition and financial market stability. 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

1b 10/28/2008 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants $ 15,000,000,000 Par 12/9/2009 4 $ 15,000,000,000 $ 0 Warrants 3/3/2010 Warrants 1b A $ 186,342,969 

10/28/2008 The Bank of New York Mellon Corporation New York NY Preferred Stock w/ Warrants $ 3,000,000,000 Par 6/17/2009 4 $ 3,000,000,000 $ 0 Warrants 8/5/2009 Warrants R $ 136,000,000 

11, 23 - 

5/26/2010 10/28/2008 Citigroup Inc. New York NY Common Stock w/ Warrants $ 25,000,000,000 Par **  23 $ 25,000,000,000 $ 0 Warrants 1/25/2011 Warrants A $ 54,621,849 

10/28/2008 The Goldman Sachs Group, Inc. New York NY Preferred Stock w/ Warrants $ 10,000,000,000 Par 6/17/2009 4 $ 10,000,000,000 $ 0 Warrants 7/22/2009 Warrants R $ 1,100,000,000 

10/28/2008 JPMorgan Chase & Co. New York NY Preferred Stock w/ Warrants $ 25,000,000,000 Par 6/17/2009 4 $ 25,000,000,000 $ 0 Warrants 12/10/2009 Warrants A $ 950,318,243 

10/28/2008 Morgan Stanley New York NY Preferred Stock w/ Warrants $ 10,000,000,000 Par 6/17/2009 4 $ 10,000,000,000 $ 0 Warrants 8/12/2009 Warrants R $ 950,000,000 

10/28/2008 State Street Corporation Boston MA Preferred Stock w/ Warrants $ 2,000,000,000 Par 6/17/2009 5 $ 2,000,000,000 $ 0 Warrants 7/8/2009 Warrants 9 R $ 60,000,000 

10/28/2008 Wells Fargo & Company San Francisco CA Preferred Stock w/ Warrants $ 25,000,000,000 Par 12/23/2009 4 $ 25,000,000,000 $ 0 Warrants 5/20/2010 Warrants A $ 849,014,998 

11/14/2008 Bank of Commerce Holdings Redding CA Preferred Stock w/ Warrants $ 17,000,000 Par 

11/14/2008 1st FS Corporation Hendersonville NC Preferred Stock w/ Warrants $ 16,369,000 Par 

14 11/14/2008 UCBH Holdings, Inc. San Francisco CA Preferred Stock w/ Warrants $ 298,737,000 Par 

11/14/2008 Northern Trust Corporation Chicago IL Preferred Stock w/ Warrants $ 1,576,000,000 Par 6/17/2009 4 $ 1,576,000,000 $ 0 Warrants 8/26/2009 Warrants R $ 87,000,000 

11/14/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants $ 3,500,000,000 Par 3/30/2011 4 $ 3,500,000,000 $ 0 Warrants

3a - 

11/24/2009 11/14/2008 Broadway Financial Corporation Los Angeles CA Preferred Stock $ 9,000,000 Par 

11/14/2008 Washington Federal, Inc. Seattle WA Preferred Stock w/ Warrants $ 200,000,000 Par 5/27/2009 4 $ 200,000,000 $ 0 Warrants 3/9/2010 Warrants A $ 15,623,222 

11/14/2008 BB&T Corp. Winston-Salem NC Preferred Stock w/ Warrants $ 3,133,640,000 Par 6/17/2009 4 $ 3,133,640,000 $ 0 Warrants 7/22/2009 Warrants R $ 67,010,402 

11/14/2008 M&T Bank Corporation (Provident Bancshares 

Corp.) Baltimore MD Preferred Stock w/ Warrants $ 151,500,000 Par 

11/14/2008 Umpqua Holdings Corp. Portland OR Preferred Stock w/ Warrants $ 214,181,000 Par 2/17/2010 5 $ 214,181,000 $ 0 Warrants 3/31/2010 Warrants 9 R $ 4,500,000 

11/14/2008 Comerica Inc. Dallas TX Preferred Stock w/ Warrants $ 2,250,000,000 Par 3/17/2010 4 $ 2,250,000,000 $ 0 Warrants 5/6/2010 Warrants A $ 183,673,472 

11/14/2008 Regions Financial Corporation Birmingham AL Preferred Stock w/ Warrants $ 3,500,000,000 Par 

11/14/2008 Capital One Financial Corporation McLean VA Preferred Stock w/ Warrants $ 3,555,199,000 Par 6/17/2009 4 $ 3,555,199,000 $ 0 Warrants 12/3/2009 Warrants A $ 148,731,030 

11/14/2008 First Horizon National Corporation Memphis TN Preferred Stock w/ Warrants $ 866,540,000 Par 12/22/2010 4 $ 866,540,000 $ 0 Warrants 3/9/2011 Warrants R $ 79,700,000 

11/14/2008 Huntington Bancshares Columbus OH Preferred Stock w/ Warrants $ 1,398,071,000 Par 12/22/2010 4 $ 1,398,071,000 $ 0 Warrants 1/19/2011 Warrants R $ 49,100,000 

11/14/2008 KeyCorp Cleveland OH Preferred Stock w/ Warrants $ 2,500,000,000 Par 3/30/2011 4 $ 2,500,000,000 $ 0 Warrants 4/20/2011 Warrants R $ 70,000,000 

6/3/2009 4 $ 75,000,000 $ 225,000,000 Preferred Stock w/ 

Warrants 

9/23/2009 4 $ 125,000,000 $ 100,000,000 Preferred Stock w/ 

Warrants 

12/23/2009 4 $ 100,000,000 $ 0 Warrants

11/14/2008 Zions Bancorporation Salt Lake City UT Preferred Stock w/ Warrants $ 1,400,000,000 Par 

44 - 

5/16/2011 11/14/2008 Marshall & Ilsley Corporation Milwaukee WI Preferred Stock w/ Warrants $ 1,715,000,000 Par 

11/14/2008 U.S. Bancorp Minneapolis MN Preferred Stock w/ Warrants $ 6,599,000,000 Par 6/17/2009 4 $ 6,599,000,000 $ 0 Warrants 7/15/2009 Warrants R $ 139,000,000 

11/14/2008 TCF Financial Corporation Wayzata MN Preferred Stock w/ Warrants $ 361,172,000 Par 4/22/2009 4 $ 361,172,000 $ 0 Warrants 12/15/2009 Warrants A $ 9,599,964 

11/21/2008 First Niagara Financial Group Lockport NY Preferred Stock w/ Warrants $ 184,011,000 Par 5/27/2009 5 $ 184,011,000 $ 0 Warrants 6/24/2009 Warrants 9 R $ 2,700,000 

11/21/2008 HF Financial Corp. Sioux Falls SD Preferred Stock w/ Warrants $ 25,000,000 Par 6/3/2009 4 $ 25,000,000 $ 0 Warrants 6/30/2009 Warrants R $ 650,000 

11/21/2008 Centerstate Banks of Florida Inc. Davenport FL Preferred Stock w/ Warrants $ 27,875,000 Par 9/30/2009 5 $ 27,875,000 $ 0 Warrants 10/28/2009 Warrants 9 R $ 212,000 

12/30/2009 4 $ 200,000,000 $ 200,000,000 Preferred Stock w/ 

Warrants

3/3/2010 4 $ 200,000,000 $ 0 Warrants

11/21/2008 First Community Bankshares Inc. Bluefield VA Preferred Stock w/ Warrants $ 41,500,000 Par 7/8/2009 5 $ 41,500,000 $ 0 Warrants

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

3/3/2010 4 $ 100,000,000 $ 300,000,000 Preferred Stock w/ 

Warrants

10/13/2010 4 $ 100,000,000 $ 200,000,000 Preferred Stock w/ 

Warrants

12/29/2010 4 $200,000,000 $ 0 Warrants

29 - 

9/24/2010 11/21/2008 Pacific Capital Bancorp Santa Barbara CA Common Stock w/ Warrants $ 195,045,000 Par 

11/21/2008 Heritage Commerce Corp. San Jose CA Preferred Stock w/ Warrants $ 40,000,000 Par 

11/21/2008 Ameris Bancorp Moultrie GA Preferred Stock w/ Warrants $ 52,000,000 Par 

11/21/2008 Porter Bancorp Inc. Louisville KY Preferred Stock w/ Warrants $ 35,000,000 Par 

11/21/2008 Banner Corporation Walla Walla WA Preferred Stock w/ Warrants $ 124,000,000 Par 

47 - 

6/30/2011 11/21/2008 Cascade Financial Corporation Everett WA Preferred Stock w/ Warrants $ 38,970,000 Par 6/30/2011 47 $ 16,250,000 $ 0 N/A N/A N/A 47 - N/A 

11/21/2008 Columbia Banking System, Inc. Tacoma WA Preferred Stock w/ Warrants $ 76,898,000 Par 8/11/2010 4 $ 76,898,000 $ 0 Warrants 9/1/2010 Warrants 9 R $ 3,301,647 

11/21/2008 Heritage Financial Corporation Olympia WA Preferred Stock w/ Warrants $ 24,000,000 Par 12/22/2010 4 $ 24,000,000 $ 0 Warrants

R $ 18,500,000 

6/2/2011 Warrants A $ 20,678,339 

4/7/2010 Warrants

$ 300,000,000 Par 5/18/2010 Warrants A $ 5,571,592 

Purchase Date 

Seller Purchase Details

CA 

Wayne NJ Preferred Stock w/ Warrants 

Preferred Stock w/ Warrants 

Footnote

11/14/2008 Valley National Bancorp

Par 

Beverly Hills $ 400,000,000 Par 

Waterbury CT 

CAPITAL PURCHASE PROGRAM

Capital Repayment Details

Preferred Stock w/ Warrants $ 400,000,000

 Treasury Investment Remaining

After Capital Repayment

11/21/2008 City National Corporation

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending June 30, 2011

11/21/2008 Webster Financial Corporation

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

11/21/2008 First PacTrust Bancorp, Inc. Chula Vista CA Preferred Stock w/ Warrants $ 19,300,000 Par 12/15/2010 4 $ 19,300,000 $ 0 Warrants 1/5/2011 Warrants R $ 1,003,227 

11/21/2008 Severn Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants $ 23,393,000 Par 

1/13/2010 4 $ 50,000,000 $ 104,000,000 Preferred Stock w/ 

Warrants

6/16/2010 4 $ 104,000,000 $ 0 Warrants

11/21/2008 Associated Banc-Corp Green Bay WI Preferred Stock w/ Warrants $ 525,000,000 Par 4/6/2011 4 $ 262,500,000 $ 262,500,000 Preferred Stock w/ 

Warrants

11/21/2008 Trustmark Corporation Jackson MS Preferred Stock w/ Warrants $ 215,000,000 Par 12/9/2009 4 $ 215,000,000 $ 0 Warrants 12/30/2009 Warrants R $ 10,000,000 

11/21/2008 First Community Corporation Lexington SC Preferred Stock w/ Warrants $ 11,350,000 Par 

11/21/2008 Taylor Capital Group Rosemont IL Preferred Stock w/ Warrants $ 104,823,000 Par 

11/21/2008 Nara Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants $ 67,000,000 Par 

14, 20 12/5/2008 Midwest Banc Holdings, Inc. Melrose Park IL Mandatorily Convertible Preferred Stock w/ 

Warrants $ 89,388,000 Par 

12/5/2008 MB Financial Inc. Chicago IL Preferred Stock w/ Warrants $ 196,000,000 Par 

12/5/2008 First Midwest Bancorp, Inc. Itasca IL Preferred Stock w/ Warrants $ 193,000,000 Par 

12/5/2008 United Community Banks, Inc. Blairsville GA Preferred Stock w/ Warrants $ 180,000,000 Par 

12/5/2008 WesBanco, Inc. Wheeling WV Preferred Stock w/ Warrants $ 75,000,000 Par 9/9/2009 4 $ 75,000,000 $ 0 Warrants 12/23/2009 Warrants R $ 950,000 

12/5/2008 Encore Bancshares Inc. Houston TX Preferred Stock w/ Warrants $ 34,000,000 Par 

12/5/2008 Manhattan Bancorp El Segundo CA Preferred Stock w/ Warrants $ 1,700,000 Par 9/16/2009 4 $ 1,700,000 $ 0 Warrants 10/14/2009 Warrants R $ 63,364 

12/5/2008 Iberiabank Corporation Lafayette LA Preferred Stock w/ Warrants $ 90,000,000 Par 3/31/2009 5 $ 90,000,000 $ 0 Warrants 5/20/2009 Warrants 9 R $ 1,200,000 

12/5/2008 Eagle Bancorp, Inc. Bethesda MD Preferred Stock w/ Warrants $ 38,235,000 Par 12/23/2009 5 $ 15,000,000 $ 23,235,000 Preferred Stock w/ 

Warrants

7/21/2010 4 $ 41,547,000 $ 41,547,000 Preferred Stock w/ 

Warrants

12/15/2010 4 $ 41,547,000 $ 0 Warrants

12/5/2008 Coastal Banking Company, Inc. Fernandina Beach FL Preferred Stock w/ Warrants $ 9,950,000 Par 

12/5/2008 East West Bancorp Pasadena CA Preferred Stock w/ Warrants $ 306,546,000 Par 12/29/2010 4 $ 306,546,000 $ 0 Warrants 1/26/2011 Warrants 9 R $ 14,500,000 

26 - 

9/30/2010 12/5/2008 South Financial Group, Inc. Greenville SC Preferred Stock w/ Warrants $ 347,000,000 Par 9/30/2010 26 $ 130,179,219 $ 0 Warrants 9/30/2010 Warrants 26 R $ 400,000 

12/5/2008 Great Southern Bancorp Springfield MO Preferred Stock w/ Warrants $ 58,000,000 Par 

12/5/2008 Cathay General Bancorp Los Angeles CA Preferred Stock w/ Warrants $ 258,000,000 Par 

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

8/26/2009 4 $ 97,500,000 $ 32,500,000 Preferred Stock w/ 

Warrants 

9/2/2009 4 $ 32,500,000 $ 0 Warrants

12/5/2008 First Defiance Financial Corp. Defiance OH Preferred Stock w/ Warrants $ 37,000,000 Par 

12/5/2008 First Financial Holdings Inc. Charleston SC Preferred Stock w/ Warrants $ 65,000,000 Par 

17, 25 12/5/2008 Superior Bancorp Inc. Birmingham AL Trust Preferred Securities w/ Warrants $ 69,000,000 Par 

12/5/2008 Southwest Bancorp, Inc. Stillwater OK Preferred Stock w/ Warrants $ 70,000,000 Par 

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

12/5/2008 Blue Valley Ban Corp Overland Park KS Preferred Stock w/ Warrants $ 21,750,000 Par 

12/5/2008 Central Federal Corporation Fairlawn OH Preferred Stock w/ Warrants $ 7,225,000 Par 

12/5/2008 Bank of Marin Bancorp Novato CA Preferred Stock w/ Warrants $ 28,000,000 Par 3/31/2009 4 $ 28,000,000 $ 0 Warrants

12/5/2008 BNC Bancorp Thomasville NC Preferred Stock w/ Warrants $ 31,260,000 Par 

12/5/2008 Central Bancorp, Inc. Somerville MA Preferred Stock w/ Warrants $ 10,000,000 Par 

12/5/2008 Southern Missouri Bancorp, Inc. Poplar Bluff MO Preferred Stock w/ Warrants $ 9,550,000 Par 

12/5/2008 State Bancorp, Inc. Jericho NY Preferred Stock w/ Warrants $ 36,842,000 Par 

32 - 

9/30/2010 12/5/2008 TIB Financial Corp Naples FL Preferred Stock w/ Warrants $ 37,000,000 Par 9/30/2010 32 $ 12,119,637 $ 0 Warrants 9/30/2010 Warrants 32 R $ 40,000 

12/5/2008 Unity Bancorp, Inc. Clinton NJ Preferred Stock w/ Warrants $ 20,649,000 Par 

12/5/2008 Old Line Bancshares, Inc. Bowie MD Preferred Stock w/ Warrants $ 7,000,000 Par 7/15/2009 4 $ 7,000,000 $ 0 Warrants 9/2/2009 Warrants R $ 225,000 

12/5/2008 FPB Bancorp, Inc. Port St. Lucie FL Preferred Stock w/ Warrants $ 5,800,000 Par 

24 12/5/2008 Sterling Financial Corporation Spokane WA Common Stock w/ Warrants $ 303,000,000 Par 

12/5/2008 Oak Valley Bancorp Oakdale CA Preferred Stock w/ Warrants $ 13,500,000 Par 

12/12/2008 Old National Bancorp Evansville IN Preferred Stock w/ Warrants $ 100,000,000 Par 3/31/2009 4 $ 100,000,000 $ 0 Warrants 5/8/2009 Warrants R $ 1,200,000 

35 12/12/2008 Capital Bank Corporation Raleigh NC Preferred Stock w/ Warrants $ 41,279,000 Par 1/28/2011 35 $ 41,279,000 $ 0 N/A N/A N/A 35 - N/A 

12/12/2008 Pacific International Bancorp Seattle WA Preferred Stock w/ Warrants $ 6,500,000 Par 

12/12/2008 SVB Financial Group Santa Clara CA Preferred Stock w/ Warrants $ 235,000,000 Par 12/23/2009 5 $ 235,000,000 $ 0 Warrants 6/16/2010 Warrants 9 R $ 6,820,000 

12/12/2008 LNB Bancorp Inc. Lorain OH Preferred Stock w/ Warrants $ 25,223,000 Par 

43 - 

5/13/2011 12/12/2008 M&T Bank Corporation (Wilmington Trust Corporation) Wilmington DE Preferred Stock w/ Warrants $ 330,000,000 Par 5/13/2011 43 $ 330,000,000 $ 0 Warrants

4/21/2010 4 $ 200,000,000 $ 100,000,000 Preferred Stock w/ 

Warrants

12/22/2010 4 $ 100,000,000 $ 0 Warrants

12/12/2008 Signature Bank New York NY Preferred Stock w/ Warrants $ 120,000,000 Par 3/31/2009 4 $ 120,000,000 $ 0 Warrants 3/10/2010 Warrants A $ 11,320,751 

12/12/2008 HopFed Bancorp Hopkinsville KY Preferred Stock w/ Warrants $ 18,400,000 Par 

12/12/2008 Citizens Republic Bancorp, Inc. Flint MI Preferred Stock w/ Warrants $ 300,000,000 Par 

12/12/2008 Indiana Community Bancorp Columbus IN Preferred Stock w/ Warrants $ 21,500,000 Par 

12/12/2008 Bank of the Ozarks, Inc. Little Rock AR Preferred Stock w/ Warrants $ 75,000,000 Par 11/4/2009 4 $ 75,000,000 $ 0 Warrants 11/24/2009 Warrants R $ 2,650,000 

12/12/2008 Center Financial Corporation Los Angeles CA Preferred Stock w/ Warrants $ 55,000,000 Par 

12/12/2008 NewBridge Bancorp Greensboro NC Preferred Stock w/ Warrants $ 52,372,000 Par 

12/12/2008 Sterling Bancshares, Inc. Houston TX Preferred Stock w/ Warrants $ 125,198,000 Par 5/5/2009 4 $ 125,198,000 $ 0 Warrants 6/9/2010 Warrants A $ 3,007,891 

$ 300,000,000

Boston Private Financial Holdings, Inc.

10/28/2009

11/21/2008 MA Preferred Stock w/ Warrants $ 154,000,000 Par 2/1/2011 Warrants A $ 6,352,500 

Par 

12/5/2008 Sandy Spring Bancorp, Inc.

CVB Financial Corp

12/12/2008 Susquehanna Bancshares, Inc

12/5/2008

Olney MD Preferred Stock w/ Warrants Par 

$ 130,000,000 Par 

$ 83,094,000

Ontario 

Lititz PA Preferred Stock w/ Warrants 

CA Preferred Stock w/ Warrants 

Boston 

R

R $ 5,269,179 

9

1/19/2011

Warrants

Warrants

2/23/2011 Warrants R $ 4,450,000 

 $ 1,307,000 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

12/12/2008 The Bancorp, Inc. Wilmington DE Preferred Stock w/ Warrants $ 45,220,000 Par 3/10/2010 5 $ 45,220,000 $ 0 Warrants 9/8/2010 Warrants 9 R $ 4,753,985 

12/12/2008 TowneBank Portsmouth VA Preferred Stock w/ Warrants $ 76,458,000 Par 

12/12/2008 Wilshire Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants $ 62,158,000 Par 

12/12/2008 Valley Financial Corporation Roanoke VA Preferred Stock w/ Warrants $ 16,019,000 Par 

22 12/12/2008 Independent Bank Corporation Ionia MI Mandatorily Convertible Preferred Stock w/ 

Warrants $ 74,426,000 Par 

12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/ Warrants $ 95,000,000 Par 

12/12/2008 First Litchfield Financial Corporation Litchfield CT Preferred Stock w/ Warrants $ 10,000,000 Par 4/7/2010 4 $ 10,000,000 $ 0 Warrants 4/7/2010 Warrants R $ 1,488,046 

12/12/2008 National Penn Bancshares, Inc. Boyertown PA Preferred Stock w/ Warrants $ 150,000,000 Par 3/16/2011 4 $ 150,000,000 $ 0 Warrants 4/13/2011 Warrants 9 R $ 1,000,000 

12/12/2008 Northeast Bancorp Lewiston ME Preferred Stock w/ Warrants $ 4,227,000 Par 

12/12/2008 Citizens South Banking Corporation Gastonia NC Preferred Stock w/ Warrants $ 20,500,000 Par 

12/12/2008 Virginia Commerce Bancorp Arlington VA Preferred Stock w/ Warrants $ 71,000,000 Par 

12/12/2008 Fidelity Bancorp, Inc. Pittsburgh PA Preferred Stock w/ Warrants $ 7,000,000 Par 

12/12/2008 LSB Corporation North Andover MA Preferred Stock w/ Warrants $ 15,000,000 Par 11/18/2009 4 $ 15,000,000 $ 0 Warrants 12/16/2009 Warrants R $ 560,000 

12/19/2008 Intermountain Community Bancorp Sandpoint ID Preferred Stock w/ Warrants $ 27,000,000 Par 

12/19/2008 Community West Bancshares Goleta CA Preferred Stock w/ Warrants $ 15,600,000 Par 

12/19/2008 Synovus Financial Corp. Columbus GA Preferred Stock w/ Warrants $ 967,870,000 Par 

12/19/2008 Tennessee Commerce Bancorp, Inc. Franklin TN Preferred Stock w/ Warrants $ 30,000,000 Par 

12/19/2008 Community Bankers Trust Corporation Glen Allen VA Preferred Stock w/ Warrants $ 17,680,000 Par 

12/19/2008 BancTrust Financial Group, Inc. Mobile AL Preferred Stock w/ Warrants $ 50,000,000 Par 

12/19/2008 Enterprise Financial Services Corp. St. Louis MO Preferred Stock w/ Warrants $ 35,000,000 Par 

12/19/2008 Mid Penn Bancorp, Inc. Millersburg PA Preferred Stock w/ Warrants $ 10,000,000 Par 

12/19/2008 Summit State Bank Santa Rosa CA Preferred Stock w/ Warrants $ 8,500,000 Par 

12/19/2008 VIST Financial Corp. Wyomissing PA Preferred Stock w/ Warrants $ 25,000,000 Par 

12/19/2008 Wainwright Bank & Trust Company Boston MA Preferred Stock w/ Warrants $ 22,000,000 Par 11/24/2009 4 $ 22,000,000 $ 0 Warrants 12/16/2009 Warrants R $ 568,700 

45 - 

6/3/2011 12/19/2008 Whitney Holding Corporation New Orleans LA Preferred Stock w/ Warrants $ 300,000,000 Par 6/3/2011 $ 300,000,000 $ 0 Warrants 6/3/2011 Warrants 45 R $ 6,900,000 

12/19/2008 The Connecticut Bank and Trust Company Hartford CT Preferred Stock w/ Warrants $ 5,448,000 Par 

12/19/2008 CoBiz Financial Inc. Denver CO Preferred Stock w/ Warrants $ 64,450,000 Par 

12/19/2008 Santa Lucia Bancorp Atascadero CA Preferred Stock w/ Warrants $ 4,000,000 Par 

12/19/2008 Seacoast Banking Corporation of Florida Stuart FL Preferred Stock w/ Warrants $ 50,000,000 Par 

12/19/2008 Horizon Bancorp Michigan City IN Preferred Stock w/ Warrants $ 25,000,000 Par 11/10/2010 4 $ 6,250,000 $ 18,750,000 Preferred Stock w/ 

Warrants

12/19/2008 Fidelity Southern Corporation Atlanta GA Preferred Stock w/ Warrants $ 48,200,000 Par 

12/19/2008 Community Financial Corporation Staunton VA Preferred Stock w/ Warrants $ 12,643,000 Par 

12/19/2008 Berkshire Hills Bancorp, Inc. Pittsfield MA Preferred Stock w/ Warrants $ 40,000,000 Par 5/27/2009 4 $ 40,000,000 $ 0 Warrants 6/24/2009 Warrants R $ 1,040,000 

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

12/19/2008 AmeriServ Financial, Inc Johnstown PA Preferred Stock w/ Warrants $ 21,000,000 Par 

30 - 

9/29/2010 12/19/2008 Security Federal Corporation Aiken SC Preferred Stock w/ Warrants $ 18,000,000 Par 9/29/2010 4 $ 18,000,000 $ 0 Warrants

12/19/2008 Wintrust Financial Corporation Lake Forest IL Preferred Stock w/ Warrants $ 250,000,000 Par 12/22/2010 4 $ 250,000,000 $ 0 Warrants 2/8/2011 Warrants A $ 25,964,061 

12/19/2008 Flushing Financial Corporation Lake Success NY Preferred Stock w/ Warrants $ 70,000,000 Par 10/28/2009 5 $ 70,000,000 $ 0 Warrants 12/30/2009 Warrants 9 R $ 900,000 

12/19/2008 Monarch Financial Holdings, Inc. Chesapeake VA Preferred Stock w/ Warrants $ 14,700,000 Par 12/23/2009 5 $ 14,700,000 $ 0 Warrants 2/10/2010 Warrants 9 R $ 260,000 

12/19/2008 StellarOne Corporation Charlottesville VA Preferred Stock w/ Warrants $ 30,000,000 Par 4/13/2011 4 $ 7,500,000 $ 22,500,000 Warrants

18 12/19/2008 Union First Market Bankshares Corporation

(Union Bankshares Corporation) Bowling Green VA Preferred Stock w/ Warrants $ 59,000,000 Par 11/18/2009 5 $ 59,000,000 $ 0 Warrants 12/23/2009 Warrants 9 R $ 450,000 

12/19/2008 Tidelands Bancshares, Inc Mt. Pleasant SC Preferred Stock w/ Warrants $ 14,448,000 Par 

12/19/2008 Bancorp Rhode Island, Inc. Providence RI Preferred Stock w/ Warrants $ 30,000,000 Par 8/5/2009 4 $ 30,000,000 $ 0 Warrants 9/30/2009 Warrants R $ 1,400,000 

12/19/2008 Hawthorn Bancshares, Inc. Lee's Summit MO Preferred Stock w/ Warrants $ 30,255,000 Par 

12/19/2008 The Elmira Savings Bank, FSB Elmira NY Preferred Stock w/ Warrants $ 9,090,000 Par 

12/19/2008 Alliance Financial Corporation Syracuse NY Preferred Stock w/ Warrants $ 26,918,000 Par 5/13/2009 4 $ 26,918,000 $ 0 Warrants 6/17/2009 Warrants R $ 900,000 

12/19/2008 Heartland Financial USA, Inc. Dubuque IA Preferred Stock w/ Warrants $ 81,698,000 Par 

12/19/2008 Citizens First Corporation Bowling Green KY Preferred Stock w/ Warrants $ 8,779,000 Par 2/16/2011 4 $ 2,212,308 $ 6,566,692 Preferred Stock w/ 

Warrants

2 12/19/2008 FFW Corporation Wabash IN Preferred Stock w/ Exercised Warrants $ 7,289,000 Par 

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

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

2, 3 12/19/2008 OneUnited Bank Boston MA Preferred Stock $ 12,063,000 Par 

2 12/19/2008 Patriot Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 26,038,000 Par 

2 12/19/2008 Pacific City Financial Corporation Los Angeles CA Preferred Stock w/ Exercised Warrants $ 16,200,000 Par 

2 12/19/2008 Marquette National Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 35,500,000 Par 

2 12/19/2008 Exchange Bank Santa Rosa CA Preferred Stock w/ Exercised Warrants $ 43,000,000 Par 

2 12/19/2008 Monadnock Bancorp, Inc. Peterborough NH Preferred Stock w/ Exercised Warrants $ 1,834,000 Par 

2 12/19/2008 Bridgeview Bancorp, Inc. Bridgeview IL Preferred Stock w/ Exercised Warrants $ 38,000,000 Par 

2 12/19/2008 Fidelity Financial Corporation Wichita KS Preferred Stock w/ Exercised Warrants $ 36,282,000 Par 

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

2 12/19/2008 NCAL Bancorp Los Angeles CA Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

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

12/23/2008 First Financial Bancorp Cincinnati OH Preferred Stock w/ Warrants $ 80,000,000 Par 2/24/2010 5 $ 80,000,000 $ 0 Warrants 6/2/2010 Warrants 9 A $ 3,116,284 

2/23/2011 4 $ 15,000,000 $ 8,864,000 Preferred Stock w/ 

Warrants

3/16/2011 4 $ 8,864,000 $ 0 Warrants

12/23/2008 Bridge Capital Holdings San Jose CA Preferred Stock w/ Warrants $ 23,864,000 Par 4/20/2011 Warrants R $ 1,395,000 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

12/23/2008 International Bancshares Corporation Laredo TX Preferred Stock w/ Warrants $ 216,000,000 Par 

12/23/2008 First Sound Bank Seattle WA Preferred Stock w/ Warrants $ 7,400,000 Par 

12/23/2008 M&T Bank Corporation Buffalo NY Preferred Stock w/ Warrants $ 600,000,000 Par 5/18/2011 4 $ 370,000,000 $ 230,000,000 Preferred Stock w/ 

Warrants

12/23/2008 Emclaire Financial Corp. Emlenton PA Preferred Stock w/ Warrants $ 7,500,000 Par 

12/23/2008 Park National Corporation Newark OH Preferred Stock w/ Warrants $ 100,000,000 Par 

12/23/2008 Green Bankshares, Inc. Greeneville TN Preferred Stock w/ Warrants $ 72,278,000 Par 

12/23/2008 Cecil Bancorp, Inc. Elkton MD Preferred Stock w/ Warrants $ 11,560,000 Par 

2/23/2011 4 $ 12,505,000 $ 25,010,000 Preferred Stock w/ 

Warrants

3/30/2011 4 $ 25,010,000 $ 0 Warrants

12/23/2008 Fulton Financial Corporation Lancaster PA Preferred Stock w/ Warrants $ 376,500,000 Par 7/14/2010 4 $ 376,500,000 $ 0 Warrants 9/8/2010 Warrants R $ 10,800,000 

30 - 

9/3/2010 12/23/2008 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock w/ Warrants $ 10,300,000 Par 9/3/2010 4 $ 10,300,000 $ 0 Warrants

12/23/2008 MutualFirst Financial, Inc. Muncie IN Preferred Stock w/ Warrants $ 32,382,000 Par 

12/23/2008 BCSB Bancorp, Inc. Baltimore MD Preferred Stock w/ Warrants $ 10,800,000 Par 1/26/2011 4 $ 10,800,000 $ 0 Warrants

12/23/2008 HMN Financial, Inc. Rochester MN Preferred Stock w/ Warrants $ 26,000,000 Par 

39- 

3/11/2011 12/23/2008 First Community Bank Corporation of America Pinellas Park FL Preferred Stock w/ Warrants $ 10,685,000 Par 5/31/2011 39 $ 7,754,267 $ 0 N/A N/A N/A - N/A 

12/23/2008 Sterling Bancorp New York NY Preferred Stock w/ Warrants $ 42,000,000 Par 4/27/2011 4 $ 42,000,000 $ 0 Warrants 5/18/2011 Warrants R $ 945,775 

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

12/23/2008 Peoples Bancorp of North Carolina, Inc. Newton NC Preferred Stock w/ Warrants $ 25,054,000 Par 

12/23/2008 Parkvale Financial Corporation Monroeville PA Preferred Stock w/ Warrants $ 31,762,000 Par 

12/23/2008 Timberland Bancorp, Inc. Hoquiam WA Preferred Stock w/ Warrants $ 16,641,000 Par 

12/23/2008 1st Constitution Bancorp Cranbury NJ Preferred Stock w/ Warrants $ 12,000,000 Par 10/27/2010 4 $ 12,000,000 $ 0 Warrants

12/23/2008 Central Jersey Bancorp Oakhurst NJ Preferred Stock w/ Warrants $ 11,300,000 Par 11/24/2010 4 $ 11,300,000 $ 0 Warrants 12/1/2010 Warrants R $ 319,659 

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

2 12/23/2008 Saigon National Bank Westminster CA Preferred Stock w/ Exercised Warrants $ 1,549,000 Par 

2 12/23/2008 Capital Pacific Bancorp Portland OR Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 12/23/2008 Uwharrie Capital Corp Albemarle NC Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

3, 30 - 

8/20/2010 12/23/2008 Mission Valley Bancorp Sun Valley CA Preferred Stock $ 5,500,000 Par 8/20/2010 4 $ 5,500,000 $ 0 N/A N/A N/A - N/A 

2 12/23/2008 The Little Bank, Incorporated Kinston NC Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

2 12/23/2008 Pacific Commerce Bank Los Angeles CA Preferred Stock w/ Exercised Warrants $ 4,060,000 Par 

2 12/23/2008 Citizens Community Bank South Hill VA Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

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

2 12/23/2008 TCNB Financial Corp. Dayton OH Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 

2 12/23/2008 Leader Bancorp, Inc. Arlington MA Preferred Stock w/ Exercised Warrants $ 5,830,000 Par 11/24/2010 4 $ 5,830,000 $ 0 Preferred Stock 2 11/24/2010 Preferred Stock 2, 7 R $ 292,000 

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

11/24/2009 4 $ 3,455,000 $ 10,340,000 Preferred Stock 2

6/8/2011 4 $ 3,455,000 $ 6,885,000 Preferred Stock 2

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

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

2 12/23/2008 Capital Bancorp, Inc. Rockville MD Preferred Stock w/ Exercised Warrants $ 4,700,000 Par 12/30/2010 4 $ 4,700,000 $ 0 Preferred Stock 2 12/30/2010 Preferred Stock 2, 7 R $ 235,000 

2 12/23/2008 Cache Valley Banking Company Logan UT Preferred Stock w/ Exercised Warrants $ 4,767,000 Par 

2 12/23/2008 Citizens Bancorp Nevada City CA Preferred Stock w/ Exercised Warrants $ 10,400,000 Par 

2 12/23/2008 Tennessee Valley Financial Holdings, Inc. Oak Ridge TN Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2 12/23/2008 Pacific Coast Bankers' Bancshares San Francisco CA Preferred Stock w/ Exercised Warrants $ 11,600,000 Par 

12/31/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants $ 1,350,000,000 Par 3/30/2011 4 $ 1,350,000,000 $ 0 Warrants

12/31/2008 The PNC Financial Services Group Inc. Pittsburgh PA Preferred Stock w/ Warrants $ 7,579,200,000 Par 2/10/2010 4 $ 7,579,200,000 $ 0 Warrants 4/29/2010 Warrants A $ 324,195,686 

12/31/2008 Fifth Third Bancorp Cincinnati OH Preferred Stock w/ Warrants $ 3,408,000,000 Par 2/2/2011 4 $ 3,408,000,000 $ 0 Warrants 3/16/2011 Warrants R $ 280,025,936 

31 - 

9/30/2010 12/31/2008 Hampton Roads Bankshares, Inc. Norfolk VA Common Stock w/ Warrants $ 80,347,000 Par 

16 12/31/2008 CIT Group Inc. New York NY Contingent Value Rights $ 2,330,000,000 Par 2/8/2010 16 $ 0 $ 0 N/A N/A N/A N/A 

12/31/2008 West Bancorporation, Inc. West Des Moines IA Preferred Stock w/ Warrants $ 36,000,000 Par 6/29/2011 4 $ 36,000,000 $ 0 Warrants

2 12/31/2008 First Banks, Inc. Clayton MO Preferred Stock w/ Exercised Warrants $ 295,400,000 Par 

1a, 1b 1/9/2009 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants $ 10,000,000,000 Par 12/9/2009 4 $ 10,000,000,000 $ 0 Warrants 3/3/2010 Warrants 1b A $ 124,228,646 

1/9/2009 FirstMerit Corporation Akron OH Preferred Stock w/ Warrants $ 125,000,000 Par 4/22/2009 4 $ 125,000,000 $ 0 Warrants 5/27/2009 Warrants R $ 5,025,000 

1/9/2009 Farmers Capital Bank Corporation Frankfort KY Preferred Stock w/ Warrants $ 30,000,000 Par 

1/6/2010 4 $ 7,172,000 $ 21,513,000 Preferred Stock w/ 

Warrants

3/2/2011 4 $ 7,172,000 $ 14,341,000 Preferred Stock w/ 

Warrants

1/9/2009 Commerce National Bank Newport Beach CA Preferred Stock w/ Warrants $ 5,000,000 Par 10/7/2009 4 $ 5,000,000 $ 0 Warrants

1/9/2009 The First Bancorp, Inc. Damariscotta ME Preferred Stock w/ Warrants $ 25,000,000 Par 

1/9/2009 Sun Bancorp, Inc. Vineland NJ Preferred Stock w/ Warrants $ 89,310,000 Par 4/8/2009 4 $ 89,310,000 $ 0 Warrants 5/27/2009 Warrants R $ 2,100,000 

1/9/2009 Crescent Financial Corporation Cary NC Preferred Stock w/ Warrants $ 24,900,000 Par 

1/9/2009 American Express Company New York NY Preferred Stock w/ Warrants $ 3,388,890,000 Par 6/17/2009 4 $ 3,388,890,000 $ 0 Warrants 7/29/2009 Warrants R $ 340,000,000 

37, 46 - 

6/17/2011 1/9/2009 Central Pacific Financial Corp. Honolulu HI Common Stock w/ Warrants $ 135,000,000 Par 6/17/2011 46 $ 35,883,281 $ 99,116,719 Warrants

1/9/2009 Centrue Financial Corporation St. Louis MO Preferred Stock w/ Warrants $ 32,668,000 Par 

1/9/2009 Eastern Virginia Bankshares, Inc. Tappahannock VA Preferred Stock w/ Warrants $ 24,000,000 Par 

1/9/2009 Colony Bankcorp, Inc. Fitzgerald GA Preferred Stock w/ Warrants $ 28,000,000 Par 

Memphis TN Preferred Stock w/ Exercised Warrants $ 13,795,000 Par 

Preferred Stock w/ Warrants 

2 12/23/2008 Magna Bank

Gladstone NJ 

Warsaw NY 

$ 28,685,000 Par 

Preferred Stock w/ Warrants $ 37,515,000 Par 5/11/2011 Warrants R $ 2,079,963 

1/9/2009 Peapack-Gladstone Financial Corporation

12/23/2008 Financial Institutions, Inc.
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

1/9/2009 Independent Bank Corp. Rockland MA Preferred Stock w/ Warrants $ 78,158,000 Par 4/22/2009 4 $ 78,158,000 $ 0 Warrants 5/27/2009 Warrants R $ 2,200,000 

33 1/9/2009 Cadence Financial Corporation Starkville MS Preferred Stock w/ Warrants $ 44,000,000 Par 3/4/2011 33 $ 38,000,000 $ 0 N/A N/A N/A N/A 

1/9/2009 LCNB Corp. Lebanon OH Preferred Stock w/ Warrants $ 13,400,000 Par 10/21/2009 4 $ 13,400,000 $ 0 Warrants

1/9/2009 Center Bancorp, Inc. Union NJ Preferred Stock w/ Warrants $ 10,000,000 Par 

1/9/2009 F.N.B. Corporation Hermitage PA Preferred Stock w/ Warrants $ 100,000,000 Par 9/9/2009 4 $ 100,000,000 $ 0 Warrants

1/9/2009 C&F Financial Corporation West Point VA Preferred Stock w/ Warrants $ 20,000,000 Par 

1/9/2009 North Central Bancshares, Inc. Fort Dodge IA Preferred Stock w/ Warrants $ 10,200,000 Par 

1/9/2009 Carolina Bank Holdings, Inc. Greensboro NC Preferred Stock w/ Warrants $ 16,000,000 Par 

1/9/2009 First Bancorp Troy NC Preferred Stock w/ Warrants $ 65,000,000 Par 

1/9/2009 First Financial Service Corporation Elizabethtown KY Preferred Stock w/ Warrants $ 20,000,000 Par 

1/9/2009 Codorus Valley Bancorp, Inc. York PA Preferred Stock w/ Warrants $ 16,500,000 Par 

1/9/2009 MidSouth Bancorp, Inc. Lafayette LA Preferred Stock w/ Warrants $ 20,000,000 Par 

1/9/2009 First Security Group, Inc. Chattanooga TN Preferred Stock w/ Warrants $ 33,000,000 Par 

1/9/2009 Shore Bancshares, Inc. Easton MD Preferred Stock w/ Warrants $ 25,000,000 Par 4/15/2009 4 $ 25,000,000 $ 0 Warrants

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

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

2 1/9/2009 Security California Bancorp Riverside CA Preferred Stock w/ Exercised Warrants $ 6,815,000 Par 

2 1/9/2009 Security Business Bancorp San Diego CA Preferred Stock w/ Exercised Warrants $ 5,803,000 Par 

2 1/9/2009 Sound Banking Company Morehead City NC Preferred Stock w/ Exercised Warrants $ 3,070,000 Par 

3 1/9/2009 Mission Community Bancorp San Luis Obispo CA Preferred Stock $ 5,116,000 Par 

2 1/9/2009 Redwood Financial Inc. Redwood Falls MN Preferred Stock w/ Exercised Warrants $ 2,995,000 Par 

2 1/9/2009 Surrey Bancorp Mount Airy NC Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 12/29/2010 4 $ 2,000,000 $ 0 Preferred Stock 2 12/29/2010 Preferred Stock 2, 7 R $ 100,000 

2 1/9/2009 Independence Bank East Greenwich RI Preferred Stock w/ Exercised Warrants $ 1,065,000 Par 

2 1/9/2009 Valley Community Bank Pleasanton CA Preferred Stock w/ Exercised Warrants $ 5,500,000 Par 

2 1/9/2009 Rising Sun Bancorp Rising Sun MD Preferred Stock w/ Exercised Warrants $ 5,983,000 Par 

2 1/9/2009 Community Trust Financial Corporation Ruston LA Preferred Stock w/ Exercised Warrants $ 24,000,000 Par 

2 1/9/2009 GrandSouth Bancorporation Greenville SC Preferred Stock w/ Exercised Warrants $ 9,000,000 Par 

2 1/9/2009 Texas National Bancorporation Jacksonville TX Preferred Stock w/ Exercised Warrants $ 3,981,000 Par 5/19/2010 4 $ 3,981,000 $ 0 Preferred Stock 2 5/19/2010 Preferred Stock 2, 7 R $ 199,000 

2 1/9/2009 Congaree Bancshares, Inc. Cayce SC Preferred Stock w/ Exercised Warrants $ 3,285,000 Par 

2 1/9/2009 New York Private Bank & Trust Corporation New York NY Preferred Stock w/ Exercised Warrants $ 267,274,000 Par 

1/16/2009 Home Bancshares, Inc. Conway AR Preferred Stock w/ Warrants $ 50,000,000 Par 

1/16/2009 Washington Banking Company Oak Harbor WA Preferred Stock w/ Warrants $ 26,380,000 Par 1/12/2011 4 $ 26,380,000 $ 0 Warrants 3/2/2011 Warrants 9 R $ 1,625,000 

1/16/2009 New Hampshire Thrift Bancshares, Inc. Newport NH Preferred Stock w/ Warrants $ 10,000,000 Par 

1/16/2009 Bar Harbor Bankshares Bar Harbor ME Preferred Stock w/ Warrants $ 18,751,000 Par 2/24/2010 5 $ 18,751,000 $ 0 Warrants 7/28/2010 Warrants 9 R $ 250,000 

1/16/2009 Somerset Hills Bancorp Bernardsville NJ Preferred Stock w/ Warrants $ 7,414,000 Par 5/20/2009 4 $ 7,414,000 $ 0 Warrants 6/24/2009 Warrants R $ 275,000 

1/16/2009 SCBT Financial Corporation Columbia SC Preferred Stock w/ Warrants $ 64,779,000 Par 5/20/2009 4 $ 64,779,000 $ 0 Warrants 6/24/2009 Warrants R $ 1,400,000 

1/16/2009 S&T Bancorp Indiana PA Preferred Stock w/ Warrants $ 108,676,000 Par 

1/16/2009 ECB Bancorp, Inc. Engelhard NC Preferred Stock w/ Warrants $ 17,949,000 Par 

28 - 

7/20/2010 1/16/2009 First BanCorp San Juan PR Mandatorily Convertible Preferred Stock w/ Warrants $ 424,174,000 Par 

1/16/2009 Texas Capital Bancshares, Inc. Dallas TX Preferred Stock w/ Warrants $ 75,000,000 Par 5/13/2009 4 $ 75,000,000 $ 0 Warrants 3/11/2010 Warrants A $ 6,709,061 

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

3, 30 - 

8/27/2010, 

48 - 

6/30/2011

1/16/2009 Carver Bancorp, Inc New York NY Preferred Stock $ 18,980,000 Par 8/27/2010 4 $ 18,980,000 $ 0 N/A N/A N/A - N/A 

1/16/2009 Citizens & Northern Corporation Wellsboro PA Preferred Stock w/ Warrants $ 26,440,000 Par 8/4/2010 4 $ 26,440,000 $ 0 Warrants 9/1/2010 Warrants R $ 400,000 

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

1/16/2009 MetroCorp Bancshares, Inc. Houston TX Preferred Stock w/ Warrants $ 45,000,000 Par 

1/16/2009 United Bancorp, Inc. Tecumseh MI Preferred Stock w/ Warrants $ 20,600,000 Par 

1/16/2009 Old Second Bancorp, Inc. Aurora IL Preferred Stock w/ Warrants $ 73,000,000 Par 

1/16/2009 Pulaski Financial Corp Creve Coeur MO Preferred Stock w/ Warrants $ 32,538,000 Par 

1/16/2009 OceanFirst Financial Corp. Toms River NJ Preferred Stock w/ Warrants $ 38,263,000 Par 12/30/2009 5 $ 38,263,000 $ 0 Warrants 2/3/2010 Warrants 9 R $ 430,797 

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

2 1/16/2009 TCB Holding Company, Texas Community Bank The Woodlands TX Preferred Stock w/ Exercised Warrants $ 11,730,000 Par 

2 1/16/2009 Centra Financial Holdings, Inc. Morgantown WV Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 3/31/2009 4 $ 15,000,000 $ 0 Preferred Stock 2 4/15/2009 Preferred Stock 2, 7 R $ 750,000 

2 1/16/2009 First Bankers Trustshares, Inc. Quincy IL Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2, 19 1/16/2009 Pacific Coast National Bancorp San Clemente CA Preferred Stock w/ Exercised Warrants $ 4,120,000 Par 2/11/2010 19 $ 0 $ 0 N/A N/A N/A N/A 

3, 30 - 

9/29/2010 1/16/2009 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 Par 9/29/2010 4 $ 1,747,000 $ 0 N/A N/A N/A - N/A 

2 1/16/2009 Redwood Capital Bancorp Eureka CA Preferred Stock w/ Exercised Warrants $ 3,800,000 Par 

2 1/16/2009 Syringa Bancorp Boise ID Preferred Stock w/ Exercised Warrants $ 8,000,000 Par 

2 1/16/2009 Idaho Bancorp Boise ID Preferred Stock w/ Exercised Warrants $ 6,900,000 Par 

2 1/16/2009 Puget Sound Bank Bellevue WA Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 

2 1/16/2009 United Financial Banking Companies, Inc. Vienna VA Preferred Stock w/ Exercised Warrants $ 5,658,000 Par 12/15/2010 4 $ 3,000,000 $ 2,658,000 Preferred Stock 2

2 1/16/2009 Dickinson Financial Corporation II Kansas City MO Preferred Stock w/ Exercised Warrants $ 146,053,000 Par 

2 1/16/2009 The Baraboo Bancorporation Baraboo WI Preferred Stock w/ Exercised Warrants $ 20,749,000 Par 

2 1/16/2009 Bank of Commerce Charlotte NC Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

8/12/2009 4 $ 12,500,000 $ 37,500,000 Preferred Stock 2

6/29/2011 $ 37,500,000 $ 0 Preferred Stock 2

2 1/16/2009 BNCCORP, Inc. Bismarck ND Preferred Stock w/ Exercised Warrants $ 20,093,000 Par 

2 1/16/2009 First Manitowoc Bancorp, Inc. Manitowoc WI Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 5/27/2009 4 $ 12,000,000 $ 0 Preferred Stock 2 5/27/2009 Preferred Stock 2, 7 R $ 600,000 

2 1/16/2009 State Bankshares, Inc. Fargo ND Preferred Stock w/ Exercised Warrants $ 50,000,000 Par Preferred Stock R $ 2,500,000 2, 7 6/29/2011
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

3, 30 - 

8/6/2010 1/16/2009 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 Par 8/6/2010 4 $ 11,000,000 $ 0 N/A N/A N/A - N/A 

2 1/16/2009 Morrill Bancshares, Inc. Merriam KS Preferred Stock w/ Exercised Warrants $ 13,000,000 Par 

2, 36 1/16/2009 Treaty Oak Bancorp, Inc. Austin TX Warrants $ 3,268,000 Par 2/15/2011 36 $ 500,000 $ 0 Warrants

1/23/2009 1st Source Corporation South Bend IN Preferred Stock w/ Warrants $ 111,000,000 Par 12/29/2010 4 $ 111,000,000 $ 0 Warrants 3/9/2011 Warrants R $ 3,750,000 

1/23/2009 Princeton National Bancorp, Inc. Princeton IL Preferred Stock w/ Warrants $ 25,083,000 Par 

1/23/2009 AB&T Financial Corporation Gastonia NC Preferred Stock w/ Warrants $ 3,500,000 Par 

1/23/2009 First Citizens Banc Corp Sandusky OH Preferred Stock w/ Warrants $ 23,184,000 Par 

1/23/2009 WSFS Financial Corporation Wilmington DE Preferred Stock w/ Warrants $ 52,625,000 Par 

2 1/23/2009 Commonwealth Business Bank Los Angeles CA Preferred Stock w/ Exercised Warrants $ 7,701,000 Par 

2, 13 - 

12/4/2009 1/23/2009 Three Shores Bancorporation, Inc. (Seaside National Bank & Trust) Orlando FL Preferred Stock w/ Exercised Warrants $ 5,677,000 Par 

2 1/23/2009 CalWest Bancorp Rancho Santa 

Margarita CA Preferred Stock w/ Exercised Warrants $ 4,656,000 Par 

2 1/23/2009 Fresno First Bank Fresno CA Preferred Stock w/ Exercised Warrants $ 1,968,000 Par 

2 1/23/2009 First ULB Corp. Oakland CA Preferred Stock w/ Exercised Warrants $ 4,900,000 Par 4/22/2009 4 $ 4,900,000 $ 0 Preferred Stock 2 4/22/2009 Preferred Stock 2, 7 R $ 245,000 

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

2 1/23/2009 Midland States Bancorp, Inc. Effingham IL Preferred Stock w/ Exercised Warrants $ 10,189,000 Par 12/23/2009 4 $ 10,189,000 $ 0 Preferred Stock 2 12/23/2009 Preferred Stock 2, 7 R $ 509,000 

2 1/23/2009 Moscow Bancshares, Inc. Moscow TN Preferred Stock w/ Exercised Warrants $ 6,216,000 Par 

2 1/23/2009 Farmers Bank Windsor VA Preferred Stock w/ Exercised Warrants $ 8,752,000 Par 

2 1/23/2009 California Oaks State Bank Thousand Oaks CA Preferred Stock w/ Exercised Warrants $ 3,300,000 Par 12/8/2010 4 $ 3,300,000 $ 0 Preferred Stock 2 12/8/2010 Preferred Stock 2, 7 R $ 165,000 

2, 25 1/23/2009 Pierce County Bancorp Tacoma WA Preferred Stock w/ Exercised Warrants $ 6,800,000 Par 

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

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

2 1/23/2009 Crosstown Holding Company Blaine MN Preferred Stock w/ Exercised Warrants $ 10,650,000 Par 

2 1/23/2009 BankFirst Capital Corporation Macon MS Preferred Stock w/ Exercised Warrants $ 15,500,000 Par 

2 1/23/2009 Southern Illinois Bancorp, Inc. Carmi IL Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

12/16/2009 4 $ 1,000,000 $ 2,240,000 Preferred Stock 2

6/16/2010 4 $ 2,240,000 $ 0 Preferred Stock 2

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

1/30/2009 Peoples Bancorp Inc. Marietta OH Preferred Stock w/ Warrants $ 39,000,000 Par 2/2/2011 4 $ 21,000,000 $ 18,000,000 Preferred Stock w/ 

Warrants

1/30/2009 Anchor BanCorp Wisconsin Inc. Madison WI Preferred Stock w/ Warrants $ 110,000,000 Par 

1/30/2009 Parke Bancorp, Inc. Sewell NJ Preferred Stock w/ Warrants $ 16,288,000 Par 

1/30/2009 Central Virginia Bankshares, Inc. Powhatan VA Preferred Stock w/ Warrants $ 11,385,000 Par 

1/30/2009 Flagstar Bancorp, Inc. Troy MI Preferred Stock w/ Warrants $ 266,657,000 Par 

1/30/2009 Middleburg Financial Corporation Middleburg VA Preferred Stock w/ Warrants $ 22,000,000 Par 12/23/2009 5 $ 22,000,000 $ 0 Warrants

1/30/2009 Peninsula Bank Holding Co. Palo Alto CA Preferred Stock w/ Warrants $ 6,000,000 Par 

1/30/2009 PrivateBancorp, Inc. Chicago IL Preferred Stock w/ Warrants $ 243,815,000 Par 

1/30/2009 Central Valley Community Bancorp Fresno CA Preferred Stock w/ Warrants $ 7,000,000 Par 

1/30/2009 Plumas Bancorp Quincy CA Preferred Stock w/ Warrants $ 11,949,000 Par 

1/30/2009 Stewardship Financial Corporation Midland Park NJ Preferred Stock w/ Warrants $ 10,000,000 Par 

1/30/2009 Oak Ridge Financial Services, Inc. Oak Ridge NC Preferred Stock w/ Warrants $ 7,700,000 Par 

1/30/2009 First United Corporation Oakland MD Preferred Stock w/ Warrants $ 30,000,000 Par 

1/30/2009 Community Partners Bancorp Middletown NJ Preferred Stock w/ Warrants $ 9,000,000 Par 

1/30/2009 Guaranty Federal Bancshares, Inc. Springfield MO Preferred Stock w/ Warrants $ 17,000,000 Par 

1/30/2009 Annapolis Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants $ 8,152,000 Par 

1/30/2009 DNB Financial Corporation Downingtown PA Preferred Stock w/ Warrants $ 11,750,000 Par 

1/30/2009 Firstbank Corporation Alma MI Preferred Stock w/ Warrants $ 33,000,000 Par 

2 1/30/2009 Valley Commerce Bancorp Visalia CA Preferred Stock w/ Exercised Warrants $ 7,700,000 Par 

2 1/30/2009 Greer Bancshares Incorporated Greer SC Preferred Stock w/ Exercised Warrants $ 9,993,000 Par 

2 1/30/2009 Ojai Community Bank Ojai CA Preferred Stock w/ Exercised Warrants $ 2,080,000 Par 

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

2 1/30/2009 Beach Business Bank Manhattan Beach CA Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 

3, 25 1/30/2009 Legacy Bancorp, Inc. Milwaukee WI Preferred Stock $ 5,498,000 Par 

2 1/30/2009 First Southern Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants $ 10,900,000 Par 6/16/2010 4 $ 10,900,000 $ 0 Preferred Stock 2 6/16/2010 Preferred Stock 2, 7 R $ 545,000 

2 1/30/2009 Country Bank Shares, Inc. Milford NE Preferred Stock w/ Exercised Warrants $ 7,525,000 Par 

2 1/30/2009 Katahdin Bankshares Corp. Houlton ME Preferred Stock w/ Exercised Warrants $ 10,449,000 Par 

2 1/30/2009 Rogers Bancshares, Inc. Little Rock AR Preferred Stock w/ Exercised Warrants $ 25,000,000 Par 

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

2 1/30/2009 Bankers' Bank of the West Bancorp, Inc. Denver CO Preferred Stock w/ Exercised Warrants $ 12,639,000 Par 

2 1/30/2009 W.T.B. Financial Corporation Spokane WA Preferred Stock w/ Exercised Warrants $ 110,000,000 Par 

2 1/30/2009 AMB Financial Corp. Munster IN Preferred Stock w/ Exercised Warrants $ 3,674,000 Par 

2 1/30/2009 Goldwater Bank, N.A. Scottsdale AZ Preferred Stock w/ Exercised Warrants $ 2,568,000 Par 

2 1/30/2009 Equity Bancshares, Inc. Wichita KS Preferred Stock w/ Exercised Warrants $ 8,750,000 Par 

2, 13 - 

10/30/2009 1/30/2009 WashingtonFirst Bankshares, Inc. (WashingtonFirst Bank) Reston VA Preferred Stock w/ Exercised Warrants $ 6,633,000 Par 

2 1/30/2009 Central Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 5,800,000 Par 

2 1/30/2009 Hilltop Community Bancorp, Inc. Summit NJ Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 4/21/2010 4 $ 4,000,000 $ 0 Preferred Stock 2 4/21/2010 Preferred Stock 2, 7 R $ 200,000 

2 1/30/2009 Northway Financial, Inc. Berlin NH Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2 1/30/2009 Monument Bank Bethesda MD Preferred Stock w/ Exercised Warrants $ 4,734,000 Par 

2 1/30/2009 Metro City Bank Doraville GA Preferred Stock w/ Exercised Warrants $ 7,700,000 Par 

2 1/23/2009 FPB Financial Corp. Hammond LA Preferred Stock w/ Exercised Warrants 2, 7 $ 3,240,000 Par 6/16/2010 Preferred Stock R $ 162,000 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

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

2 1/30/2009 First Resource Bank Exton PA Preferred Stock w/ Exercised Warrants $ 2,600,000 Par 

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

8/4/2010 4 $ 20,000,000 $ 39,000,000 Preferred Stock w/ 

Warrants

3/16/2011 4 $ 20,000,000 $ 19,000,000 Preferred Stock w/ 

Warrants

2/6/2009 Monarch Community Bancorp, Inc. Coldwater MI Preferred Stock w/ Warrants $ 6,785,000 Par 

30 - 

9/29/2010 2/6/2009 The First Bancshares, Inc. Hattiesburg MS Preferred Stock w/ Warrants $ 5,000,000 Par 9/29/2010 4 $ 5,000,000 $ 0 Warrants

2/6/2009 Carolina Trust Bank Lincolnton NC Preferred Stock w/ Warrants $ 4,000,000 Par 

2/6/2009 Alaska Pacific Bancshares, Inc. Juneau AK Preferred Stock w/ Warrants $ 4,781,000 Par 

3, 30 - 

8/13/2010 2/6/2009 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 Par 8/13/2010 4 $ 3,000,000 $ 0 N/A N/A N/A - N/A 

2 2/6/2009 The Freeport State Bank Harper KS Preferred Stock w/ Exercised Warrants $ 301,000 Par 

1/14/2011 4 $ 4,000,000 $ 11,568,000 Preferred Stock 2

3/16/2011 4 $ 11,568,000 $ 0 Preferred Stock 2

2 2/6/2009 US Metro Bank Garden Grove CA Preferred Stock w/ Exercised Warrants $ 2,861,000 Par 

2 2/6/2009 First Express of Nebraska, Inc. Gering NE Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2 2/6/2009 Mercantile Capital Corp. Boston MA Preferred Stock w/ Exercised Warrants $ 3,500,000 Par 

2 2/6/2009 Citizens Commerce Bancshares, Inc. Versailles KY Preferred Stock w/ Exercised Warrants $ 6,300,000 Par 

3, 30 - 

9/24/2010 2/6/2009 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 Par 9/24/2010 4 $ 5,645,000 $ 0 N/A N/A N/A - N/A 

2 2/6/2009 Lone Star Bank Houston TX Preferred Stock w/ Exercised Warrants $ 3,072,000 Par 

18 2/6/2009 Union First Market Bankshares Corporation

(First Market Bank, FSB) Bowling Green VA Preferred Stock $ 33,900,000 Par 

2 2/6/2009 Banner County Ban Corporation Harrisburg NE Preferred Stock w/ Exercised Warrants $ 795,000 Par 

2 2/6/2009 Centrix Bank & Trust Bedford NH Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

2 2/6/2009 Todd Bancshares, Inc. Hopkinsville KY Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 2/6/2009 Georgia Commerce Bancshares, Inc. Atlanta GA Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 2/16/2011 4 $ 8,700,000 $ 0 Preferred Stock 2 2/16/2011 Preferred Stock 2, 7 R $ 435,000 

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

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

2, 34 2/6/2009 The Bank of Currituck Moyock NC Preferred Stock w/ Exercised Warrants $ 4,021,000 Par 12/3/2010 34 $ 1,742,850 $ 0 N/A N/A N/A 34 - N/A 

2 2/6/2009 CedarStone Bank Lebanon TN Preferred Stock w/ Exercised Warrants $ 3,564,000 Par 

2 2/6/2009 Community Holding Company of Florida, Inc. Miramar Beach FL Preferred Stock w/ Exercised Warrants $ 1,050,000 Par 

2 2/6/2009 Hyperion Bank Philadelphia PA Preferred Stock w/ Exercised Warrants $ 1,552,000 Par 

2, 13 - 

2/10/2010 2/6/2009 Pascack Bancorp, Inc. (Pascack Community Bank) Westwood NJ Preferred Stock w/ Exercised Warrants $ 3,756,000 Par 

2 2/6/2009 First Western Financial, Inc. Denver CO Preferred Stock w/ Exercised Warrants $ 8,559,000 Par 

2/13/2009 QCR Holdings, Inc. Moline IL Preferred Stock w/ Warrants $ 38,237,000 Par 

9/2/2009 4 $ 41,863,000 $ 41,863,000 Preferred Stock w/ 

Warrants 

11/18/2009 4 $ 41,863,000 $ 0 Warrants

2/13/2009 The Bank of Kentucky Financial Corporation Crestview Hills KY Preferred Stock w/ Warrants $ 34,000,000 Par 12/22/2010 4 $ 17,000,000 $ 17,000,000 Preferred Stock w/ 

Warrants 

2/13/2009 PremierWest Bancorp Medford OR Preferred Stock w/ Warrants $ 41,400,000 Par 

2/13/2009 Carrollton Bancorp Baltimore MD Preferred Stock w/ Warrants $ 9,201,000 Par 

2/13/2009 FNB United Corp. Asheboro NC Preferred Stock w/ Warrants $ 51,500,000 Par 

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

2 2/13/2009 1st Enterprise Bank Los Angeles CA Preferred Stock w/ Exercised Warrants $ 4,400,000 Par 

2 2/13/2009 DeSoto County Bank Horn Lake MS Preferred Stock w/ Exercised Warrants $ 1,173,000 Par 

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

2, 30 - 

9/29/2010 2/13/2009 State Capital Corporation Greenwood MS Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 9/29/2010 4 $ 15,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 750,000 

2 2/13/2009 BankGreenville Greenville SC Preferred Stock w/ Exercised Warrants $ 1,000,000 Par 

2 2/13/2009 Corning Savings and Loan Association Corning AR Preferred Stock w/ Exercised Warrants $ 638,000 Par 

2 2/13/2009 Financial Security Corporation Basin WY Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2 2/13/2009 ColoEast Bankshares, Inc. Lamar CO Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2 2/13/2009 Santa Clara Valley Bank, N.A. Santa Paula CA Preferred Stock w/ Exercised Warrants $ 2,900,000 Par 

2 2/13/2009 Reliance Bancshares, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants $ 40,000,000 Par 

2 2/13/2009 Regional Bankshares, Inc. Hartsville SC Preferred Stock w/ Exercised Warrants $ 1,500,000 Par 

2 2/13/2009 Peoples Bancorp Lynden WA Preferred Stock w/ Exercised Warrants $ 18,000,000 Par 

2, 30 - 

9/24/2010 2/13/2009 First Choice Bank Cerritos CA Preferred Stock w/ Exercised Warrants $ 2,200,000 Par 9/24/2010 4 $ 2,200,000 $ 0 N/A 9/24/2010 Preferred Stock

2, 7, 

30a R $ 110,000 

2 2/13/2009 Gregg Bancshares, Inc. Ozark MO Preferred Stock w/ Exercised Warrants $ 825,000 Par 

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

2 2/13/2009 Midwest Regional Bancorp, Inc. Festus MO Preferred Stock w/ Exercised Warrants $ 700,000 Par 11/10/2009 4 $ 700,000 $ 0 Preferred Stock 2 11/10/2009 Preferred Stock 2, 7 R $ 35,000 

2 2/13/2009 Bern Bancshares, Inc. Bern KS Preferred Stock w/ Exercised Warrants $ 985,000 Par 

2 2/13/2009 Northwest Bancorporation, Inc. Spokane WA Preferred Stock w/ Exercised Warrants $ 10,500,000 Par 

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

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

2 2/13/2009 Meridian Bank Devon PA Preferred Stock w/ Exercised Warrants $ 6,200,000 Par 

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

Par 

2/13/2009 Westamerica Bancorporation San Rafael CA Preferred Stock w/ Warrants 

3/16/2011 Preferred Stock 2, 7 R $ 778,000 

2/6/2009 Lakeland Bancorp, Inc. Oak Ridge

$ 83,726,000 Par 

NJ Preferred Stock w/ Warrants $ 59,000,000 Par 

2 2/6/2009 Stockmens Financial Corporation Rapid City SD Preferred Stock w/ Exercised Warrants $ 15,568,000
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

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

Preferred Stock w/ Warrants $ 69,600,000 Par 

Trust Preferred Securities w/ Warrants $ 46,400,000 Par 

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

2, 25 2/20/2009 Sonoma Valley Bancorp Sonoma CA Preferred Stock w/ Exercised Warrants $ 8,653,000 Par 

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

2 2/20/2009 The Private Bank of California Los Angeles CA Preferred Stock w/ Exercised Warrants $ 5,450,000 Par 

2, 30 - 

9/29/2010 2/20/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock w/ Exercised Warrants $ 1,998,000 Par 9/29/2010 4 $ 1,998,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 100,000 

2 2/20/2009 Liberty Shares, Inc. Hinesville GA Preferred Stock w/ Exercised Warrants $ 17,280,000 Par 

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

2 2/20/2009 United American Bank San Mateo CA Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 

2 2/20/2009 Crazy Woman Creek Bancorp, Inc. Buffalo WY Preferred Stock w/ Exercised Warrants $ 3,100,000 Par 

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

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

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

2 2/20/2009 Hometown Bancorp of Alabama, Inc. Oneonta AL Preferred Stock w/ Exercised Warrants $ 3,250,000 Par 

2 2/20/2009 Security State Bancshares, Inc. Charleston MO Preferred Stock w/ Exercised Warrants $ 12,500,000 Par 

2 2/20/2009 CBB Bancorp Cartersville GA Preferred Stock w/ Exercised Warrants $ 2,644,000 Par 

2, 30 - 

9/29/2010 2/20/2009 BancPlus Corporation Ridgeland MS Preferred Stock w/ Exercised Warrants $ 48,000,000 Par 9/29/2010 4 $ 48,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 2,400,000 

2 2/20/2009 Central Community Corporation Temple TX Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 

2 2/20/2009 First BancTrust Corporation Paris IL Preferred Stock w/ Exercised Warrants $ 7,350,000 Par 

2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 2/20/2009 Florida Business BancGroup, Inc. Tampa FL Preferred Stock w/ Exercised Warrants $ 9,495,000 Par 

2 2/20/2009 Hamilton State Bancshares Hoschton GA Preferred Stock w/ Exercised Warrants $ 7,000,000 Par 4/13/2011 4 $ 7,000,000 $ 0 Preferred Stock 2 4/13/2011 Preferred Stock 2, 7 R $ 350,000 

2/27/2009 Lakeland Financial Corporation Warsaw IN Preferred Stock w/ Warrants $ 56,044,000 Par 6/9/2010 5 $ 56,044,000 $ 0 Warrants

30 - 

9/29/2010 2/27/2009 First M&F Corporation Kosciusko MS Preferred Stock w/ Warrants $ 30,000,000 Par 9/29/2010 4 $ 30,000,000 $ 0 Warrants

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

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

2 2/27/2009 Community First Inc. Columbia TN Preferred Stock w/ Exercised Warrants $ 17,806,000 Par 

2 2/27/2009 BNC Financial Group, Inc. New Canaan CT Preferred Stock w/ Exercised Warrants $ 4,797,000 Par 

2 2/27/2009 California Bank of Commerce Lafayette CA Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 2/27/2009 Columbine Capital Corp. Buena Vista CO Preferred Stock w/ Exercised Warrants $ 2,260,000 Par 

2 2/27/2009 National Bancshares, Inc. Bettendorf IA Preferred Stock w/ Exercised Warrants $ 24,664,000 Par 

2 2/27/2009 First State Bank of Mobeetie Mobeetie TX Preferred Stock w/ Exercised Warrants $ 731,000 Par 4/14/2010 4 $ 731,000 $ 0 Preferred Stock 2 4/14/2010 Preferred Stock 2, 7 R $ 37,000 

2 2/27/2009 Ridgestone Financial Services, Inc. Brookfield WI Preferred Stock w/ Exercised Warrants $ 10,900,000 Par 

2 2/27/2009 Community Business Bank West Sacramento CA Preferred Stock w/ Exercised Warrants $ 3,976,000 Par 

2 2/27/2009 D.L. Evans Bancorp Burley ID Preferred Stock w/ Exercised Warrants $ 19,891,000 Par 

2 2/27/2009 TriState Capital Holdings, Inc. Pittsburgh PA Preferred Stock w/ Exercised Warrants $ 23,000,000 Par 

2 2/27/2009 Green City Bancshares, Inc. Green City MO Preferred Stock w/ Exercised Warrants $ 651,000 Par 7/14/2010 4 $ 651,000 $ 0 Preferred Stock 2 7/14/2010 Preferred Stock 2, 7 R $ 33,000 

2 2/27/2009 First Gothenburg Bancshares, Inc. Gothenburg NE Preferred Stock w/ Exercised Warrants $ 7,570,000 Par 

2 2/27/2009 Green Circle Investments, Inc. Clive IA Preferred Stock w/ Exercised Warrants $ 2,400,000 Par 

2 2/27/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock w/ Exercised Warrants $ 4,960,000 Par 

2 2/27/2009 Regent Capital Corporation Nowata OK Preferred Stock w/ Exercised Warrants $ 2,655,000 Par 

2 2/27/2009 Central Bancorp, Inc. Garland TX Preferred Stock w/ Exercised Warrants $ 22,500,000 Par 

2 2/27/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants $ 11,800,000 Par 

2, 30 - 

9/29/2010 2/27/2009 PSB Financial Corporation Many LA Preferred Stock w/ Exercised Warrants $ 9,270,000 Par 9/29/2010 4 $ 9,270,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 464,000 

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

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

2 2/27/2009 FNB Bancorp South San Francisco CA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 

2, 13 - 

12/4/2009 2/27/2009 The Victory Bancorp, Inc. (The Victory Bank) Limerick PA Preferred Stock w/ Exercised Warrants $ 541,000 Par 

2 2/27/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

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

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

3/6/2009 First Busey Corporation Urbana IL Preferred Stock w/ Warrants $ 100,000,000 Par 

42 - 

5/3/2011 3/6/2009 First Federal Bancshares of Arkansas, Inc. Harrison AR Preferred Stock w/ Warrants $ 16,500,000 Par 5/3/2011 42 $ 6,000,000 $ 0 N/A N/A N/A N/A 

3, 30 - 

8/13/2010 3/6/2009 Citizens Bancshares Corporation Atlanta GA Preferred Stock $ 7,462,000 Par 8/13/2010 4 $ 7,462,000 $ 0 N/A N/A N/A - N/A 

2 3/6/2009 ICB Financial Ontario CA Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 

2 3/6/2009 First Texas BHC, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants $ 13,533,000 Par 

2 3/6/2009 Farmers & Merchants Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 11,000,000 Par 

2 3/6/2009 Blue Ridge Bancshares, Inc. Independence MO Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 

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

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

2 3/6/2009 First Southwest Bancorporation, Inc. Alamosa CO Preferred Stock w/ Exercised Warrants $ 5,500,000 Par 

2 3/6/2009 Germantown Capital Corporation, Inc. Germantown TN Preferred Stock w/ Exercised Warrants $ 4,967,000 Par 

2 3/6/2009 BOH Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

27 2/20/2009 First Merchants Corporation Muncie IN
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

2 3/6/2009 AmeriBank Holding Company Collinsville OK Preferred Stock w/ Exercised Warrants $ 2,492,000 Par 

2 3/6/2009 Highlands Independent Bancshares, Inc. Sebring FL Preferred Stock w/ Exercised Warrants $ 6,700,000 Par 

2 3/6/2009 Pinnacle Bank Holding Company, Inc. Orange City FL Preferred Stock w/ Exercised Warrants $ 4,389,000 Par 

2 3/6/2009 Blue River Bancshares, Inc. Shelbyville IN Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2 3/6/2009 Marine Bank & Trust Company Vero Beach FL Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2 3/6/2009 Community Bancshares of Kansas, Inc. Goff KS Preferred Stock w/ Exercised Warrants $ 500,000 Par 

2 3/6/2009 Regent Bancorp, Inc. Davie FL Preferred Stock w/ Exercised Warrants $ 9,982,000 Par 

2 3/6/2009 Park Bancorporation, Inc. Madison WI Preferred Stock w/ Exercised Warrants $ 23,200,000 Par 

2 3/6/2009 PeoplesSouth Bancshares, Inc. Colquitt GA Preferred Stock w/ Exercised Warrants $ 12,325,000 Par 

3/13/2009 First Place Financial Corp. Warren OH Preferred Stock w/ Warrants $ 72,927,000 Par 

3/13/2009 Salisbury Bancorp, Inc. Lakeville CT Preferred Stock w/ Warrants $ 8,816,000 Par 

3/13/2009 First Northern Community Bancorp Dixon CA Preferred Stock w/ Warrants $ 17,390,000 Par 

3/13/2009 Discover Financial Services Riverwoods IL Preferred Stock w/ Warrants $ 1,224,558,000 Par 4/21/2010 4 $ 1,224,558,000 $ 0 Warrants 7/7/2010 Warrants R $ 172,000,000 

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

3, 30 - 

8/13/2010 3/13/2009 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 Par 8/13/2010 4 $ 17,000,000 $ 0 N/A N/A N/A - N/A 

2 3/13/2009 BancIndependent, Inc. Sheffield AL Preferred Stock w/ Exercised Warrants $ 21,100,000 Par 

2 3/13/2009 Haviland Bancshares, Inc. Haviland KS Preferred Stock w/ Exercised Warrants $ 425,000 Par 12/29/2010 4 $ 425,000 $ 0 Preferred Stock 2 12/29/2010 Preferred Stock 2, 7 R $ 21,000 

2 3/13/2009 1st United Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 11/18/2009 4 $ 10,000,000 $ 0 Preferred Stock 2 11/18/2009 Preferred Stock 2, 7 R $ 500,000 

2 3/13/2009 Madison Financial Corporation Richmond KY Preferred Stock w/ Exercised Warrants $ 3,370,000 Par 

2 3/13/2009 First National Corporation Strasburg VA Preferred Stock w/ Exercised Warrants $ 13,900,000 Par 

2 3/13/2009 St. Johns Bancshares, Inc. St. Louis MO Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2 3/13/2009 Blackhawk Bancorp, Inc. Beloit WI Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2, 3a - 

11/13/2009 

30 - 

9/3/2010

3/13/2009 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 Par 9/3/2010 4 $ 6,000,000 $ 0 N/A N/A N/A - N/A 

2 3/13/2009 Butler Point, Inc. Catlin IL Preferred Stock w/ Exercised Warrants $ 607,000 Par 

2 3/13/2009 Bank of George Las Vegas NV Preferred Stock w/ Exercised Warrants $ 2,672,000 Par 

2 3/13/2009 Moneytree Corporation Lenoir City TN Preferred Stock w/ Exercised Warrants $ 9,516,000 Par 

2 3/13/2009 Sovereign Bancshares, Inc. Dallas TX Preferred Stock w/ Exercised Warrants $ 18,215,000 Par 

2 3/13/2009 First Intercontinental Bank Doraville GA Preferred Stock w/ Exercised Warrants $ 6,398,000 Par 

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

2 3/20/2009 Community First Bancshares Inc. Union City TN Preferred Stock w/ Exercised Warrants $ 20,000,000 Par 

2 3/20/2009 First NBC Bank Holding Company New Orleans LA Preferred Stock w/ Exercised Warrants $ 17,836,000 Par 

2 3/20/2009 First Colebrook Bancorp, Inc. Colebrook NH Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 

2 3/20/2009 Kirksville Bancorp, Inc. Kirksville MO Preferred Stock w/ Exercised Warrants $ 470,000 Par 

2 3/20/2009 Peoples Bancshares of TN, Inc Madisonville TN Preferred Stock w/ Exercised Warrants $ 3,900,000 Par 

2 3/20/2009 Premier Bank Holding Company Tallahassee FL Preferred Stock w/ Exercised Warrants $ 9,500,000 Par 

2 3/20/2009 Citizens Bank & Trust Company Covington LA Preferred Stock w/ Exercised Warrants $ 2,400,000 Par 

2 3/20/2009 Farmers & Merchants Financial Corporation Argonia KS Preferred Stock w/ Exercised Warrants $ 442,000 Par 

2 3/20/2009 Farmers State Bankshares, Inc. Holton KS Preferred Stock w/ Exercised Warrants $ 700,000 Par 

2 3/27/2009 SBT Bancorp, Inc. Simsbury CT Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 3/27/2009 CSRA Bank Corp. Wrens GA Preferred Stock w/ Exercised Warrants $ 2,400,000 Par 

2 3/27/2009 Trinity Capital Corporation Los Alamos NM Preferred Stock w/ Exercised Warrants $ 35,539,000 Par 

2 3/27/2009 Clover Community Bankshares, Inc. Clover SC Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2 3/27/2009 Pathway Bancorp Cairo NE Preferred Stock w/ Exercised Warrants $ 3,727,000 Par 

2 3/27/2009 Colonial American Bank West Conshohocken PA Preferred Stock w/ Exercised Warrants $ 574,000 Par 

2 3/27/2009 MS Financial, Inc. Kingwood TX Preferred Stock w/ Exercised Warrants $ 7,723,000 Par 

2 3/27/2009 Triad Bancorp, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants $ 3,700,000 Par 

2 3/27/2009 Alpine Banks of Colorado Glenwood Springs CO Preferred Stock w/ Exercised Warrants $ 70,000,000 Par 

2 3/27/2009 Naples Bancorp, Inc. Naples FL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 3/27/2009 CBS Banc-Corp. Russellville AL Preferred Stock w/ Exercised Warrants $ 24,300,000 Par 

2 3/27/2009 IBT Bancorp, Inc. Irving TX Preferred Stock w/ Exercised Warrants $ 2,295,000 Par 

2 3/27/2009 Spirit BankCorp, Inc. Bristow OK Preferred Stock w/ Exercised Warrants $ 30,000,000 Par 

2 3/27/2009 Maryland Financial Bank Towson MD Preferred Stock w/ Exercised Warrants $ 1,700,000 Par 

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

2, 3, 30 - 

8/13/2010 4/3/2009 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 Par 8/13/2010 4 $ 2,795,000 $ 0 N/A N/A N/A - N/A 

2 4/3/2009 Fortune Financial Corporation Arnold MO Preferred Stock w/ Exercised Warrants $ 3,100,000 Par 

2 4/3/2009 BancStar, Inc. Festus MO Preferred Stock w/ Exercised Warrants $ 8,600,000 Par 

2 4/3/2009 Titonka Bancshares, Inc Titonka IA Preferred Stock w/ Exercised Warrants $ 2,117,000 Par 

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

2 4/3/2009 TriSummit Bank Kingsport TN Preferred Stock w/ Exercised Warrants $ 2,765,000 Par 

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

2 4/3/2009 Community First Bancshares, Inc. Harrison AR Preferred Stock w/ Exercised Warrants $ 12,725,000 Par 

2 4/3/2009 BCB Holding Company, Inc. Theodore AL Preferred Stock w/ Exercised Warrants $ 1,706,000 Par 

2, 3 4/10/2009 City National Bancshares Corporation Newark NJ Preferred Stock $ 9,439,000 Par 

2 4/10/2009 First Business Bank, N.A. San Diego CA Preferred Stock w/ Exercised Warrants $ 2,211,000 Par 

2 4/10/2009 SV Financial, Inc. Sterling IL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 4/10/2009 Capital Commerce Bancorp, Inc. Milwaukee WI Preferred Stock w/ Exercised Warrants $ 5,100,000 Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

2 4/10/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 2,040,000 Par 

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

2 4/17/2009 Penn Liberty Financial Corp. Wayne PA Preferred Stock w/ Exercised Warrants $ 9,960,000 Par 

2, 25a 4/17/2009 Tifton Banking Company Tifton GA Preferred Stock w/ Exercised Warrants $ 3,800,000 Par 

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

2 4/17/2009 BNB Financial Services Corporation New York NY Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

2 4/17/2009 Omega Capital Corp. Lakewood CO Preferred Stock w/ Exercised Warrants $ 2,816,000 Par 

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

2 4/24/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock w/ Exercised Warrants $ 1,635,000 Par 

2 4/24/2009 Vision Bank - Texas Richardson TX Preferred Stock w/ Exercised Warrants $ 1,500,000 Par 

2 4/24/2009 Oregon Bancorp, Inc. Salem OR Preferred Stock w/ Exercised Warrants $ 3,216,000 Par 

2 4/24/2009 Peoples Bancorporation, Inc. Easley SC Preferred Stock w/ Exercised Warrants $ 12,660,000 Par 

2 4/24/2009 Indiana Bank Corp. Dana IN Preferred Stock w/ Exercised Warrants $ 1,312,000 Par 

2 4/24/2009 Business Bancshares, Inc. Clayton MO Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 

2 4/24/2009 Standard Bancshares, Inc. Hickory Hills IL Preferred Stock w/ Exercised Warrants $ 60,000,000 Par 

2 4/24/2009 York Traditions Bank York PA Preferred Stock w/ Exercised Warrants $ 4,871,000 Par 

2 4/24/2009 Grand Capital Corporation Tulsa OK Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2 4/24/2009 Allied First Bancorp, Inc. Oswego IL Preferred Stock w/ Exercised Warrants $ 3,652,000 Par 

11/24/2009 4 $ 1,600,000 $ 1,400,000 Subordinated 

Debentures 8

10/6/2010 4 $ 1,400,000 $ 0 Subordinated 

Debentures 8

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

2 5/1/2009 CenterBank Milford OH Preferred Stock w/ Exercised Warrants $ 2,250,000 Par 

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

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

2 5/1/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

8 5/1/2009 OSB Financial Services, Inc. Orange TX Subordinated Debentures w/ Exercised 

Warrants $ 6,100,000 Par 

8 5/1/2009 Security State Bank Holding-Company Jamestown ND Subordinated Debentures w/ Exercised 

Warrants $ 10,750,000 Par 

2, 13 - 

8/31/2010 5/8/2009 Highlands Bancorp, Inc. 

(Highlands State Bank) Vernon NJ Preferred Stock w/ Exercised Warrants $ 3,091,000 Par 

2 5/8/2009 One Georgia Bank Atlanta GA Preferred Stock w/ Exercised Warrants $ 5,500,000 Par 

2 5/8/2009 Gateway Bancshares, Inc. Ringgold GA Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 

8 5/8/2009 Freeport Bancshares, Inc. Freeport IL Subordinated Debentures w/ Exercised 

Warrants $ 3,000,000 Par 

8 5/8/2009 Investors Financial Corporation of Pettis County, Inc. Sedalia MO Subordinated Debentures w/ Exercised 

Warrants $ 4,000,000 Par 

8 5/8/2009 Sword Financial Corporation Horicon WI Subordinated Debentures w/ Exercised 

Warrants $ 13,644,000 Par 

3, 8, 30 - 

8/13/2010 5/8/2009 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 Par 8/13/2010 4 $ 6,784,000 $ 0 N/A N/A N/A - N/A 

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

2 5/15/2009 Northern State Bank Closter NJ Preferred Stock w/ Exercised Warrants $ 1,341,000 Par 

2 5/15/2009 Western Reserve Bancorp, Inc Medina OH Preferred Stock w/ Exercised Warrants $ 4,700,000 Par 

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

2 5/15/2009 Worthington Financial Holdings, Inc. Huntsville AL Preferred Stock w/ Exercised Warrants $ 2,720,000 Par 

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

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

2 5/15/2009 Foresight Financial Group, Inc. Rockford IL Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 

3, 8, 30 - 

9/10/2010 5/15/2009 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 Par 9/10/2010 4 $ 4,205,000 $ 0 N/A N/A N/A - N/A 

8 5/15/2009 Boscobel Bancorp, Inc Boscobel WI Subordinated Debentures w/ Exercised 

Warrants $ 5,586,000 Par 

8 5/15/2009 Brogan Bankshares, Inc. Kaukauna WI Subordinated Debentures w/ Exercised 

Warrants $ 2,400,000 Par 

8 5/15/2009 Riverside Bancshares, Inc. Little Rock AR Subordinated Debentures w/ Exercised 

Warrants $ 1,100,000 Par 

8 5/15/2009 Deerfield Financial Corporation Deerfield WI Subordinated Debentures w/ Exercised 

Warrants $ 2,639,000 Par 

8 5/15/2009 Market Street Bancshares, Inc. Mt. Vernon IL Subordinated Debentures w/ Exercised 

Warrants $ 20,300,000 Par 

2 5/22/2009 The Landrum Company Columbia MO Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 

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

2 5/22/2009 Fort Lee Federal Savings Bank Fort Lee NJ Preferred Stock w/ Exercised Warrants $ 1,300,000 Par 

2 5/22/2009 Blackridge Financial, Inc. Fargo ND Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2 5/22/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 6,272,000 Par 

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

2 5/22/2009 Franklin Bancorp, Inc. Washington MO Preferred Stock w/ Exercised Warrants $ 5,097,000 Par 

8 5/22/2009 Commonwealth Bancshares, Inc. Louisville KY Subordinated Debentures w/ Exercised 

Warrants $ 20,400,000 Par 

8 5/22/2009 Premier Financial Corp Dubuque IA Subordinated Debentures w/ Exercised 

Warrants $ 6,349,000 Par 

8 5/22/2009 F & C Bancorp, Inc. Holden MO Subordinated Debentures w/ Exercised 

Warrants $ 2,993,000 Par 

8 4/24/2009 Austin TX R $ 150,000 Subordinated 7

Debentures $ 3,000,000 Par 10/6/2010 8

Subordinated Debentures w/ Exercised 

Warrants Frontier Bancshares, Inc.
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

8 5/22/2009 Diamond Bancorp, Inc. Washington MO Subordinated Debentures w/ Exercised 

Warrants $ 20,445,000 Par 

8 5/22/2009 United Bank Corporation Barnesville GA Subordinated Debentures w/ Exercised 

Warrants $ 14,400,000 Par 

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

2 5/29/2009 American Premier Bancorp Arcadia CA Preferred Stock w/ Exercised Warrants $ 1,800,000 Par 1/26/2011 4 $ 1,800,000 $ 0 Preferred Stock 2 1/26/2011 Preferred Stock 2, 7 R $ 90,000 

2 5/29/2009 CB Holding Corp. Aledo IL Preferred Stock w/ Exercised Warrants $ 4,114,000 Par 

2 5/29/2009 Citizens Bancshares Co. Chillicothe MO Preferred Stock w/ Exercised Warrants $ 24,990,000 Par 

2 5/29/2009 Grand Mountain Bancshares, Inc. Granby CO Preferred Stock w/ Exercised Warrants $ 3,076,000 Par 

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

8 5/29/2009 Fidelity Bancorp, Inc Baton Rouge LA Subordinated Debentures w/ Exercised 

Warrants $ 3,942,000 Par 

8 5/29/2009 Chambers Bancshares, Inc. Danville AR Subordinated Debentures w/ Exercised 

Warrants $ 19,817,000 Par 

2 6/5/2009 Covenant Financial Corporation Clarksdale MS Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

8 6/5/2009 First Trust Corporation New Orleans LA Subordinated Debentures w/ Exercised 

Warrants $ 17,969,000 Par 

8, 10 6/5/2009 OneFinancial Corporation Little Rock AR Subordinated Debentures w/ Exercised 

Warrants $ 17,300,000 Par 

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

2, 10, 30 - 

9/29/2010 6/12/2009 First Vernon Bancshares, Inc. Vernon AL Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 9/29/2010 4 $ 6,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 245,000 

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

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

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

8, 10 6/12/2009 First Financial Bancshares, Inc. Lawrence KS Subordinated Debentures w/ Exercised 

Warrants $ 3,756,000 Par 

8 6/12/2009 River Valley Bancorporation, Inc. Wausau WI Subordinated Debentures w/ Exercised 

Warrants $ 15,000,000 Par 

2 6/19/2009 Merchants and Manufacturers Bank Corporation Joliet IL Preferred Stock w/ Exercised Warrants $ 3,510,000 Par 

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

8 6/19/2009 Manhattan Bancshares, Inc. Manhattan IL Subordinated Debentures w/ Exercised 

Warrants $ 2,639,000 Par 

8, 10 6/19/2009 Biscayne Bancshares, Inc. Coconut Grove FL Subordinated Debentures w/ Exercised 

Warrants $ 6,400,000 Par 

8 6/19/2009 Duke Financial Group, Inc. Minneapolis MN Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

8 6/19/2009 Farmers Enterprises, Inc. Great Bend KS Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

8 6/19/2009 Century Financial Services Corporation Santa Fe NM Subordinated Debentures w/ Exercised 

Warrants $ 10,000,000 Par 

8 6/19/2009 NEMO Bancshares Inc. Madison MO Subordinated Debentures w/ Exercised 

Warrants $ 2,330,000 Par 

3, 8, 30 - 

7/30/2010 6/19/2009 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 Par 7/30/2010 4 $ 11,926,000 $ 0 N/A N/A N/A - N/A 

8 6/19/2009 Suburban Illinois Bancorp, Inc. Elmhurst IL Subordinated Debentures w/ Exercised 

Warrants $ 15,000,000 Par 

6/26/2009 Hartford Financial Services Group, Inc. Hartford CT Preferred Stock w/ Warrants $ 3,400,000,000 Par 3/31/2010 4 $ 3,400,000,000 $ 0 Warrants 9/21/2010 Warrants A $ 713,687,430 

2, 40 - 

3/23/2011 6/26/2009 Veritex Holdings, Inc.(Fidelity Resources Company) Dallas TX Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

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

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

2, 10, 30 - 

9/29/2010 6/26/2009 Security Capital Corporation Batesville MS Preferred Stock w/ Exercised Warrants $ 17,388,000 Par 9/29/2010 4 $ 17,388,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 522,000 

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

2 6/26/2009 Gulfstream Bancshares, Inc. Stuart FL Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

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

2, 3, 10, 30 - 

8/20/2010 6/26/2009 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 Par 8/20/2010 4 $ 11,735,000 $ 0 N/A N/A N/A - N/A 

2, 41 - 

3/30/2011 6/26/2009 Metropolitan Bank Group, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 74,706,000 Par 

2, 41 - 

3/30/2011 6/26/2009 Metropolitan Bank Group, Inc.(NC Bancorp, Inc.) Chicago IL Preferred Stock w/ Exercised Warrants $ 7,186,000 Par 

2 6/26/2009 Alliance Bancshares, Inc. Dalton GA Preferred Stock w/ Exercised Warrants $ 2,986,000 Par 

8 6/26/2009 Stearns Financial Services, Inc. St. Cloud MN Subordinated Debentures w/ Exercised 

Warrants $ 24,900,000 Par 

8 6/26/2009 Signature Bancshares, Inc. Dallas TX Subordinated Debentures w/ Exercised 

Warrants $ 1,700,000 Par 12/15/2010 4 $ 1,700,000 $ 0 Subordinated 

Debentures 8 12/15/2010 Subordinated Debentures 8

7 R $ 85,000 

8 6/26/2009 Fremont Bancorporation Fremont CA Subordinated Debentures w/ Exercised 

Warrants $ 35,000,000 Par 

8 6/26/2009 Alliance Financial Services Inc. Saint Paul MN Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

7/10/2009 Lincoln National Corporation Radnor PA Preferred Stock w/ Warrants $ 950,000,000 Par 6/30/2010 4 $ 950,000,000 $ 0 Warrants 9/16/2010 Warrants A $ 216,620,887 

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

2 7/17/2009 Brotherhood Bancshares, Inc. Kansas City KS Preferred Stock w/ Exercised Warrants $ 11,000,000 Par 

2 7/17/2009 SouthCrest Financial Group, Inc. Fayetteville GA Preferred Stock w/ Exercised Warrants $ 12,900,000 Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

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

8 7/17/2009 First South Bancorp, Inc. Lexington TN Subordinated Debentures w/ Exercised 

Warrants $ 50,000,000 Par 

8 7/17/2009 Great River Holding Company Baxter MN Subordinated Debentures w/ Exercised 

Warrants $ 8,400,000 Par 

8, 10 7/17/2009 Plato Holdings Inc. Saint Paul MN Subordinated Debentures w/ Exercised 

Warrants $ 2,500,000 Par 

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

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

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

8 7/24/2009 First American Bank Corporation Elk Grove Village IL Subordinated Debentures w/ Exercised 

Warrants $ 50,000,000 Par 

2 7/31/2009 Chicago Shore Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 7,000,000 Par 

8, 10 7/31/2009 Financial Services of Winger, Inc. Winger MN Subordinated Debentures w/ Exercised 

Warrants $ 3,742,000 Par 

2 8/7/2009 The ANB Corporation Terrell TX Preferred Stock w/ Exercised Warrants $ 20,000,000 Par 

2 8/7/2009 U.S. Century Bank Miami FL Preferred Stock w/ Exercised Warrants $ 50,236,000 Par 

2 8/14/2009 Bank Financial Services, Inc. Eden Prarie MN Preferred Stock w/ Exercised Warrants $ 1,004,000 Par 

2 8/21/2009 KS Bancorp, Inc. Smithfield NC Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

8 8/21/2009 AmFirst Financial Services, Inc. McCook NE Subordinated Debentures w/ Exercised 

Warrants $ 5,000,000 Par 

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

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

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

8, 10 8/28/2009 TCB Corporation Greenwood SC Subordinated Debentures w/ Exercised 

Warrants $ 9,720,000 Par 

8, 10 9/4/2009 The State Bank of Bartley Bartley NE Subordinated Debentures w/ Exercised 

Warrants $ 1,697,000 Par 

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

2, 30 - 

9/29/2010 9/11/2009 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock w/ Exercised Warrants $ 52,000,000 Par 9/29/2010 4 $ 52,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 2,600,000 

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

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

8, 30 - 

9/17/2010 9/11/2009 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures w/ Exercised Warrants $ 7,500,000 Par 9/17/2010 4 $ 7,500,000 $ 0 Subordinated 

Debentures 8 9/17/2010 Subordinated Debentures 8 30a R $ 375,000 

2, 10 9/18/2009 IA Bancorp, Inc. Iselin NJ Preferred Stock w/ Exercised Warrants $ 5,976,000 Par 

2, 10 9/18/2009 HomeTown Bankshares Corporation Roanoke VA Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2, 10 9/25/2009 Heritage Bankshares, Inc. Norfolk VA Preferred Stock w/ Exercised Warrants $ 10,103,000 Par 3/16/2011 4 $ 2,606,000 $7,497,000 Preferred Stock w/ 

Warrants

2 9/25/2009 Mountain Valley Bancshares, Inc. Cleveland GA Preferred Stock w/ Exercised Warrants $ 3,300,000 Par 

8 9/25/2009 Grand Financial Corporation Hattiesburg MS Subordinated Debentures w/ Exercised 

Warrants $ 2,443,320 Par 

3, 8, 30 - 

7/30/2010 9/25/2009 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 Par 7/30/2010 4 $ 14,000,000 $ 0 N/A N/A N/A - N/A 

10, 21 9/25/2009 GulfSouth Private Bank Destin FL Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

8, 10 9/25/2009 Steele Street Bank Corporation Denver CO Subordinated Debentures w/ Exercised 

Warrants $ 11,019,000 Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Purchase Date Proceeds 

Seller Purchase Details

Footnote

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Description

Final Disposition

10/2/2009 Premier Financial Bancorp, Inc. Huntington WV Preferred Stock w/ Warrants $ 22,252,000 Par 

2, 10 10/2/2009 Providence Bank Rocky Mount NC Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2, 10 10/23/2009 Regents Bancshares, Inc. Vancouver WA Preferred Stock w/ Exercised Warrants $ 12,700,000 Par 

8 10/23/2009 Cardinal Bancorp II, Inc. Washington MO Subordinated Debentures w/ Exercised 

Warrants $ 6,251,000 Par 

2 10/30/2009 Randolph Bank & Trust Company Asheboro NC Preferred Stock w/ Exercised Warrants $ 6,229,000 Par 

2, 10a 10/30/2009 WashingtonFirst Bankshares, Inc. Reston VA Preferred Stock $ 6,842,000 Par 

2, 10a 11/6/2009 F & M Bancshares, Inc. Trezevant TN Preferred Stock $ 3,535,000 Par 

2, 10 11/13/2009 Fidelity Federal Bancorp Evansville IN Preferred Stock w/ Exercised Warrants $ 6,657,000 Par 

8, 10 11/13/2009 Community Pride Bank Corporation Ham Lake MN Subordinated Debentures w/ Exercised 

Warrants $ 4,400,000 Par 

2, 10a 11/13/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2, 10 11/20/2009 Presidio Bank San Francisco CA Preferred Stock w/ Exercised Warrants $ 10,800,000 Par 

2 11/20/2009 McLeod Bancshares, Inc. Shorewood MN Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 

2, 10a 11/20/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock $ 2,348,000 Par 

3, 10a 12/4/2009 Broadway Financial Corporation Los Angeles CA Preferred Stock $ 6,000,000 Par 

2 12/4/2009 Delmar Bancorp Delmar MD Preferred Stock w/ Exercised Warrants $ 9,000,000 Par 

2, 10 12/4/2009 Liberty Bancshares, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants $ 6,500,000 Par 

2 12/11/2009 First Community Financial Partners, Inc. Joliet IL Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 

2, 10 12/11/2009 Wachusett Financial Services, Inc. Clinton MA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 

8 12/11/2009 Nationwide Bankshares, Inc. West Point NE Subordinated Debentures w/ Exercised 

Warrants $ 2,000,000 Par 12/29/2010 4 $ 2,000,000 $ 0 Subordinated 

Debentures 8 12/29/2010 Subordinated Debentures 8

7 R $ 100,000

2, 10a 12/11/2009 GrandSouth Bancorporation Greenville SC Preferred Stock $ 6,319,000 Par 

2, 10a 12/11/2009 1st Enterprise Bank Los Angeles CA Preferred Stock $ 6,000,000 Par 

2, 10a 12/11/2009 First Resource Bank Exton PA Preferred Stock $ 2,417,000 Par 

2, 10a 12/11/2009 First Western Financial, Inc. Denver CO Preferred Stock $ 11,881,000 Par 

2, 10a 12/11/2009 Meridian Bank Devon PA Preferred Stock $ 6,335,000 Par 

2, 10a 12/11/2009 The Victory Bancorp, Inc. Limerick PA Preferred Stock w/ Exercised Warrants $ 1,505,000 Par 

2, 10a 12/11/2009 First Business Bank, N.A. San Diego CA Preferred Stock $ 2,032,000 Par 

2 12/18/2009 Layton Park Financial Group Milwaukee WI Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2, 10 12/18/2009 Centric Financial Corporation Harrisburg PA Preferred Stock w/ Exercised Warrants $ 6,056,000 Par 

2 12/18/2009 Valley Financial Group, Ltd., 1st State Bank Saginaw MI Preferred Stock w/ Exercised Warrants $ 1,300,000 Par 

2, 10a 12/18/2009 Cache Valley Banking Company Logan UT Preferred Stock $ 4,640,000 Par 

2, 10a 12/18/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock $ 1,744,000 Par 

2, 10a 12/18/2009 First Priority Financial Corp. Malvern PA Preferred Stock $ 4,596,000 Par 

2, 10a 12/18/2009 Northern State Bank Closter NJ Preferred Stock $ 1,230,000 Par 

2, 10a 12/18/2009 Union Bank & Trust Company Oxford NC Preferred Stock $ 2,997,000 Par 

2, 10 12/22/2009 First Freedom Bancshares, Inc. Lebanon TN Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 

2, 10a, 30 - 

9/24/2010 12/22/2009 First Choice Bank Cerritos CA Preferred Stock $ 2,836,000 Par 9/24/2010 4 $ 2,836,000 $ 0 N/A N/A N/A - N/A 

2, 10a, 13 - 

8/31/2010 12/22/2009 Highlands Bancorp, Inc. (Highlands State Bank) Vernon NJ Preferred Stock $ 2,359,000 Par 

2, 10a 12/22/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants $ 9,698,000 Par 

2, 10a 12/22/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants $ 3,500,000 Par 

2, 10a 12/22/2009 TriSummit Bank Kingsport TN Preferred Stock $ 4,237,000 Par 

2, 10 12/29/2009 Atlantic Bancshares, Inc. Bluffton SC Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 

2, 10 12/29/2009 Union Financial Corporation Albuquerque NM Preferred Stock w/ Exercised Warrants $ 2,179,000 Par 

2 12/29/2009 Mainline Bancorp, Inc. Ebensburg PA Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 

8, 10, 38 12/29/2009 FBHC Holding Company Boulder CO Subordinated Debentures w/ Exercised 

Warrants $ 3,035,000 Par 3/9/2011 38 $ 650,000 $ 0 N/A N/A N/A N/A 

2, 10a 12/29/2009 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock $ 4,567,000 Par 

2, 10a 12/29/2009 DeSoto County Bank Horn Lake MS Preferred Stock $ 1,508,000 Par 

2, 10a, 30 - 

9/29/2010 12/29/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 2,453,000 Par 9/29/2010 4 $ 2,453,000 $ 0 N/A N/A N/A - N/A 

2, 10a 12/29/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock $ 3,262,000 Par 

2, 10a 12/29/2009 CBB Bancorp Cartersville GA Preferred Stock $ 1,753,000 Par 

2, 10a 12/29/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

Total Purchase Amount * $ 204,943,827,320 $ 180,553,774,563 $ 7,539,055,553

$ (2,613,704,294)

$ 21,776,348,463

Notes appear on the following page.

Total Repaid **

*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale (see Notes 26, 32 and 34), but excludes investment amounts for institutions that have pending receivership or 

bankruptcy proceedings (see Notes 14 and 25).

** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) 

the amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.

Total Warrant Proceeds****

Losses***

**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a).
1a/ 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 

1b/ 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 gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP 

warrants on 3/3/2010 appear on a following page of this report. 

2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.

3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

39/ On 5/31/2011, Treasury completed the sale of all Preferred Stock and Warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to 

other classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.

37/ 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.

29/ 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. Pacific Capital has agreed to have Treasury observers 

attend board of directors meetings.

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

10/ This institution participated in the expansion of CPP for small banks.

10a/ This institution received an additional investment through the expansion of CPP for small banks.

11/ 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.

5/ Redemption pursuant to a qualified equity offering.

6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

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

9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.

38/ On 3/9/2011, Treasury completed the sale of all Subordinated Debentures (including the Subordinated Debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 

3/9/2011.

21/ 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.

16/ 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 

27/ 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.

17/ 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.

18/ 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 

19/ 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.

20/ 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.

23/ 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.

26/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the Preferred Stock and $400,000 for the Warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 

5/18/2010.

33/ 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.

34/ On 12/3/2010, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.

35/ 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.

12/ On 8/24/2009, Treasury exchanged its Series C Preferred Stock issued by Popular, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction. 

14/ As of the date of this report, this institution is in bankruptcy proceedings. 

22/ 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. Subject to the 

fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.

15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

24/ 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. 

30/ 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. 

30a/ 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.

13/ 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.

25/ As of the date of this report, the banking subsidiary of this institution has been placed in receivership and the subsidiary's assets and liabilities were ordered to be sold to another bank.

25a/ As of the date of this report, this institution has been placed in receivership and the assets and liabilities were ordered to be sold to another bank.

40/ 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.

28/ 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. Subject to the fulfillment by 

First BanCorp of certain conditions, including those related to its capital plan, the MCP may be converted to common stock. First BanCorp has agreed to have Treasury observers attend board of directors meetings.

36/ On 2/15/2011, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of 

Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.

32/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the Preferred Stock and $40,000 for the Warrants, pursuant to the terms of the agreement between Treasury and NAFH entered 

into on 9/24/2010.

31/ 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. 
48/ On 6/29/2011, Treasury entered into an agreement with Carver Bancorp, Inc. to exchange Treasury’s $18,980,000 of preferred stock for an equivalent amount of common stock. The exchange is subject to the fulfillment by Carver Bancorp, Inc. of certain conditions, including the satisfactory completion of a capital plan.

45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the 

warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.

44/ On 5/16/2011, Treasury entered into an agreement 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. Closing of the sale is subject to certain conditions.

43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation Preferred Stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation Warrant for an equivalent Warrant issued by M&T Bank Corporation, 

pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.

47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation Preferred Stock held by Treasury and the related Warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.

46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011.

41/ 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.

42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. Preferred Stock and Warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
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.
Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Amount

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ - $ 14,000,000 Par 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 10,189,000 $ 22,115,000 Par 

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 22,800,000 $ 33,800,000 Par 

1 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 $ - $ 6,784,000 Par 

1 8/13/2010 Citizens Bancshares Corporation Atlanta GA Preferred Stock $ 7,462,000 $ - Par 

2a 9/17/2010 Preferred Stock $ - $ 4,379,000 $ 11,841,000 Par 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ - $ 3,000,000 Par 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ - $ 17,000,000 Par 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ - $ 2,795,000 Par 

1 8/20/2010 Mission Valley Bancorp Sun Valley CA Preferred Stock $ 5,500,000 $ - Par 

2a 9/24/2010 Preferred Stock $ - $ 4,836,000 $ 10,336,000 Par 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ - $ 11,735,000 Par 

1 8/27/2010 Carver Bancorp, Inc New York NY Preferred Stock $ 18,980,000 $ - $ 18,980,000 Par 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ - $ 3,154,000 Par 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ - $ 10,300,000 Par 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ - $ 6,000,000 Par 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 $ 3,881,000 $ 8,086,000 Par 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ - $ 5,781,000 Par 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ - $ - $ 5,457,000 Par 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ - $ 4,520,000 Par 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ - $ 300,000 Par 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 7,875,000 $ - $ 7,875,000 Par 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 5,689,000 $ 11,334,000 Par 

1 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ - $ 5,146,000 Par 

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ - $ - $ 3,372,000 Par 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ - $ - $ 1,915,000 Par 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 898,000 Par 

9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ - $ - $ 2,500,000 Par 

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 283,000 Par 

9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ - $ - $ 1,657,000 Par 

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ - $ - $ 10,000 Par 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ - $ - $ 145,000 Par 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 424,000 Par 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ - $ - $ 2,234,000 Par 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ - $ - $ 435,000 Par 

9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 743,000 Par 

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/24/2010 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA Subordinated Debentures $ - $ - $ 75,000 Par 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ - $ - $ 153,000 Par 

9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ - $ - $ 2,500,000 Par 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ - $ - $ 2,799,000 Par 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ - $ - $ 273,000 Par 

9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ - $ - $ 2,650,000 Par 

9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ - $ 1,096,000 Par 

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ - $ - $ 1,600,000 Par 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ - $ - $ 2,828,000 Par 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ - $ - $ 350,000 Par 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ - $ - $ 8,044,000 Par 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 18,000,000 $ 4,000,000 $ 22,000,000 Par 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 $ 2,313,000 $ 4,060,000 Par 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 5,000,000 $ 12,123,000 $ 17,123,000 Par 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 50,400,000 $ 30,514,000 $ 80,914,000 Par 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 30,000,000 $ - $ 30,000,000 Par 

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 15,750,000 $ - $ 15,750,000 Par 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 4,551,000 $ - $ 4,551,000 Par 

1 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ - $ 9,734,000 Par 

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 54,600,000 $ - $ 54,600,000 Par 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 6,245,000 $ - $ 6,245,000 Par 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ - $ 17,910,000 Par 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ - $ 5,250,000 Par 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details Disposition Details

Date
Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Footnote Purchase Date Amount

Seller Purchase Details Disposition Details

Date

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ - $ - $ 7,922,000 Par 

9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ - $ - $ 3,297,000 Par 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ - $ - $ 1,709,000 Par 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 14,000 Par 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ - $ - $ 502,000 Par 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ - $ - $ 2,646,000 Par 

9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ - $ - $ 6,300,000 Par 

9/29/2010 UNITEHERE Federal Credit Union 

(Workers United Federal Credit Union) New York NY Subordinated Debentures $ - $ - $ 57,000 Par 

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ - $ - $ 325,000 Par 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ - $ 7,000 Par 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ - $ - $ 450,000 Par 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ - $ 3,260,000 Par 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ - $ 1,091,000 Par 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 295,000 Par 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ - $ - $ 1,100,000 Par 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ - $ - $ 1,522,000 Par 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ - $ - $ 30,000 Par 

9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ - $ - $ 350,000 Par 

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ - $ 9,278,000 Par 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ - $ - $ 1,229,000 Par 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ - $ - $ 31,000 Par 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ - $ - $ 698,000 Par 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ - $ - $ 300,000 Par 

Total Purchase Amount $ 570,073,000 Total Capital Repayment Amount $0

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT $ 570,073,000

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.

2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.

2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised 

Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000 Par 22, 

26 12/30/2010 Partial conversion of preferred 

stock for common stock $ 5,500,000,000 N/A 26

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,670,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,670,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2 5/29/2009 Exchange for equity interest in GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4 7/10/2009 Exchange for preferred and 

common stock in New GM $ 2,000,000,000 N/A 7 General Motors 

Company

10, 

11, 24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Debt Obligation $ 935,805,085 

4/5/2011 Partial Repayment $ 45,000,000 Debt Obligation $ 890,805,085 

5/3/2011 Partial Repayment $ 15,887,795 Debt Obligation $ 874,917,290 

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 

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 Repayment* - Additional Note $ 288,000,000

5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000

Chrysler Group 

LLC

30 Common equity 6.6%

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 34,299,229,021

$ 403,000,000

Total Treasury Investment Amount

Remaining 

Investment 

Amount/Equity %

Payment or Disposition1

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment After Exchange/Transfer/Other

City, State Date Amount/Equity % Date Type Amount/ Proceeds

Remaining 

Investment 

Type Amount Description

Pricing 

Transaction Type Seller Description Amount Mechanism

Pricing 

Mechanism Date

GMAC 

(Ally) Detroit, MI

$ 3,000,000,000 N/A

GMAC (Ally) 3, 26 Common Stock

21, 22 Convertible 

Preferred Stock

Obligor Description

GMAC (Ally)

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note

73.8%

5/21/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 7,500,000,000

$ 5,937,500,000

Par 22 12/30/2009 Partial conversion of preferred 

stock for common stock

Debt Obligation w/ Additional 

Note $ 13,400,000,000 Par

N/A

7

General Motors 

Company

10, 

11, 25 $ 4,000,000,000 Par 5 7/10/2009 Common Stock 60.8% Exchange for preferred and 

common stock in New GM $ 4,000,000,000 

N/A

General Motors 

Holdings LLC 11, 12 Debt Obligation $ 7,072,488,605

Chrysler 

FinCo

Farmington 

Hills, MI

6 7/10/2009 Exchange for preferred and 

common stock in New GM 5/27/2009 Purchase $ 360,624,198 N/A 7 General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 360,624,198 Par

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors 

Corporation

 $ 0 

 $ 43,557,549,950 

Footnotes appear on following page.

Chrysler Auburn Hills, 

MI

Termination and settlement 

payment 20

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

Additional Proceeds *
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

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

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.

"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.

"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.

"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.

"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".

"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).

"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.

As used in this table and its footnotes:

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").

11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to 

"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.

12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.

13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.

14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

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.

5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.

6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.

7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by 

green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM. 

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.)

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.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated. 

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 

6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.

19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 

20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes 

and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

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. 

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.

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.

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. Under 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 (as of March 31, 2011, $2.1 billion remained undrawn), 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 and Fiat’s ownership automatically increased from 20% to 30%. As a result, 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. Currently, Treasury’s ownership stands at 6.6%.

Pricing Mechanism

Adjustment Details Payment or Disposition4

Name of Institution

Adjustment 

Date

Adjusted or Final 

Footnote Date Investment Amount

Seller

Transaction Type

Investment 

Description 

Investment 

Amount

$ 2,500,000,000

$ 290,000,000

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 1,500,000,000

Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3 $ (1,000,000,000)

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase

Total Proceeds from Additional Notes

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables 

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. 

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

4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

5/ All outstanding principal drawn under the credit agreement was repaid.

N/A

$ 1,000,000,000

$ 123,076,735

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735

6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
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 $ 1,255,639,099 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,446,025,527 

$ 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

3 12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

TOTAL $ 0 Total Proceeds $ 2,313,197,045 

Exchange trust preferred 

securities for trust preferred 

securities

4 9/29/2010 $ 2,246,000,000 

1 1/16/2009 Citigroup Inc. New York NY Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants $ 4,034,000,000 Trust Preferred 

Securities w/ Warrants

Remaining Premium 

Description

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the 

conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.

4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.

 $ 4,034,000,000 

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

2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred 

Securities. 

Type

Remaining 

Description Amount Footnote Date Amount Premium 

Guarantee

Footnote Date Type Amount

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Description

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Seller

Type Description Guarantee Limit

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.

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, before underwriting fees and selling expenses, 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

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.
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 Investment Transaction Type Pricing 

Mechanism

Warrants (Series E)

Warrants (Series F)

Total

Note Date Investment Description Date Transaction Type

Pricing 

Mechanism

5/27/2011 Cancellation N/A $ - 10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

5 1/14/2011 Preferred Stock (Series E)

6 1/14/2011 Common Stock (non-TARP) 77%

Total

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.

1,455,037,962

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

$ 14,946,447,248

8 $ 3,375,328,432 $ 0 7

$ 1,383,888,037

ALICO Junior Preferred Interests

Exchange

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.

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.

$ 55,833,333

$ 11,163,976,429 8

$ 5,511,067,614

Preferred Stock (Series G)

N/A

AIA Preferred Units $ 16,916,603,568 7

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.

4 1/14/2011 Preferred Stock (Series F)

Exchange Par

Exchange

N/A

$ 2,000,000,000 $ -

$ 185,726,192

Proceeds 8

$ 2,009,932,072

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

AIG POST-RECAPITALIZATION

Recapitalization Treasury Holdings Post-Recapitalization Final Disposition

Transaction Type Pricing Mechanism Investment Description Amount / Shares

Remaining Recap 

Investment Amount, 

Shares, or Equity %

Final Disposition

Proceeds

Purchase Par

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

1 11/25/2008 AIG

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description Pricing Mechanism Investment Description

New York NY Preferred Stock w/ Warrants 

(Series D) $ 40,000,000,000

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.

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.

 924,546,133

Transfer 562,868,096

Common Stock

 167,623,733

Exchange

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.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for an aggregate amount equal to $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

5/24/2011 Partial Disposition $ 5,800,000,000 N/A 9
Name of Institution City State Amount

1 3/3/2009 TALF LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 20,000,000,000 7/19/2010

2

$ 4,300,000,000

TOTAL $ 4,300,000,000

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

Footnote Investment Amount

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.

Adjusted Investment

Pricing Mechanism Date

N/A

Date

Seller Transaction 

Type Investment Description 

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.
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, 8

Disposition 

Amount 5, 6

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 $ 4,377,249 $ 2,184 6/21/2011 - $ 4,070,000 $ 3,151,186 $ 888,622 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130

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 $ 1,985,470 $ 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 $ 1,103,935 $ 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 $ 2,250,945 $ 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 $ 869,055 $ 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 $ 300,770 $ 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 $ 243,669 $ 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 $ 223,899 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377

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 $ 1,603,564 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801

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 $ 309,031 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722

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 $ 208,960 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408

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 $ 164,331 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 151,533,849 *

TOTAL INVESTMENT AMOUNT $ 368,145,452 * TOTAL PROGRAM PROCEEDS TO DATE7 $ 181,051,291 *

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount only after the applicable month's factor has been published and trailing principal & interest payments have been received.

-

-

Floating Rate SBA 7a security due 2017

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2019

Floating Rate SBA 7a security due 2020

-

-

-

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020 -

-

-

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2025

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2034

-

-

-

* Subject to adjustment

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. 

If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted 

after publication of the applicable month's factor (on or about the 11th business day of each month).

4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal 

amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms 

and conditions as set forth in the Master Purchase Agreement.

SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE

SBA 7a Securities Purchase Program

Final Disposition

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

-

Floating Rate SBA 7a security due 2026 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2033 -

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor 

(on or about the 11th business day of each month).

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029
Name of Institution City State Date Amount Date 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 4 $ 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 4 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ 

Contingent Proceeds N/A

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

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 7/16/2010 $ 1,712,000,000 2/18/2010 $ 4,888,718 $ 1,707,111,282

Debt Obligation w/ 

Contingent Proceeds

4/15/2010 $ 7,066,434 $ 1,700,044,848

Debt Obligation w/ 

Contingent Proceeds

9/15/2010 $ 60,022,674 $ 1,640,022,174

Debt Obligation w/ 

Contingent Proceeds

11/15/2010 $ 132,928,628 $ 1,507,093,546

Debt Obligation w/ 

Contingent Proceeds

12/14/2010 $ 31,689,230 $ 1,475,404,316

Debt Obligation w/ 

Contingent Proceeds

1/14/2010 $ 27,355,590 $ 1,448,048,726

Debt Obligation w/ 

Contingent Proceeds

2/14/2011 $ 92,300,138 $ 1,355,748,588

Debt Obligation w/ 

Contingent Proceeds

3/14/2011 $ 128,027,536 $ 1,227,721,052

Debt Obligation w/ 

Contingent Proceeds

4/14/2011 $ 155,409,286 $ 1,072,311,766

Debt Obligation w/ 

Contingent Proceeds

5/20/2011 $ 75,085,485 $ 997,226,281

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 18,259,513 $ 978,966,768

Debt Obligation w/ 

Contingent Proceeds

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

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

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

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 5/16/2011 $ 30,244,575 $ 2,270,602,425

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 88,087 $ 2,270,514,339

Debt Obligation w/ 

Contingent Proceeds

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

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 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

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

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

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 5/13/2011 $ 13,531,530 $ 1,227,624,986

Debt Obligation w/ 

Contingent Proceeds

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

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

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

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

INITIAL INVESTMENT AMOUNT $ 30,000,000,000 $ 22,406,483,574 $ 1,133,147,423 $ 20,644,319

$ 166,000,000

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.

Footnote Date

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Adjusted Investment 3 Final Investment Amount Capital Repayment Details Investment After Capital Repayment 7 Distribution or Disposition

$ 156,250,000

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

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.

TOTAL PROCEEDS

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

3/ Adjusted to show Treasury's maximum obligations to a fund.

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.

5/ Profit after capital repayments will be paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in respect of their membership interests.

1/ The equity amount may be incrementally funded. Investment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.

FINAL INVESTMENT AMOUNT TOTAL CAPITAL REPAYMENT AMOUNT

$ 0 Membership Interest 5 1/15/2010

1/12/2010 $ 0 Contingent Proceeds
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 376,000,000 N/A 6/12/2009 $ 284,590,000 $ 660,590,000 Updated portfolio data from servicer

9/30/2009 $ 121,910,000 $ 782,500,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 131,340,000 $ 913,840,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (355,530,000) $ 558,310,000 Updated portfolio data from servicer

7/14/2010 $ 128,690,000 $ 687,000,000 Updated portfolio data from servicer

9/30/2010 $ 4,000,000 $ 691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010 $ 59,807,784 $ 750,807,784 Updated portfolio data from servicer

11/16/2010 $ (700,000) $ 750,107,784 Transfer of cap due to servicing transfer

12/15/2010 $ 64,400,000 $ 814,507,784 Updated portfolio data from servicer

1/6/2011 $ (639) $ 814,507,145 Updated portfolio data from servicer

1/13/2011 $ (2,300,000) $ 812,207,145 Transfer of cap due to servicing transfer

2/16/2011 $ 100,000 $ 812,307,145 Transfer of cap due to servicing transfer

3/16/2011 $ 3,600,000 $ 815,907,145 Transfer of cap due to servicing transfer

3/30/2011 $ (735) $ 815,906,410 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (100,000) $ 815,806,410 Transfer of cap due to servicing transfer

5/13/2011 $ 400,000 $ 816,206,410 Transfer of cap due to servicing transfer

6/16/2011 $ (100,000) $ 816,106,410 Transfer of cap due to servicing transfer

Select Portfolio Servicing 6/29/2011 $ (6,805) $ 816,099,605 

Updated due to quarterly assessment and 

reallocation

4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications $ 2,071,000,000 N/A 6/12/2009 $ (991,580,000) $ 1,079,420,000 Updated portfolio data from servicer

9/30/2009 $ 1,010,180,000 $ 2,089,600,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ (105,410,000) $ 1,984,190,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (199,300,000) $ 1,784,890,000 

Updated portfolio data from servicer & 2MP 

initial cap

4/19/2010 $ (230,000) $ 1,784,660,000 

Transfer of cap to Service One, Inc. due to 

servicing transfer

5/14/2010 $ (3,000,000) $ 1,781,660,000 

Transfer of cap to Specialized Loan Servicing, 

LLC due to servicing transfer

6/16/2010 $ (12,280,000) $ 1,769,380,000 

Transfer of cap to multiple servicers due to 

servicing transfer

7/14/2010 $ (757,680,000) $ 1,011,700,000 Updated portfolio data from servicer

7/16/2010 $ (7,110,000) $ 1,004,590,000 

Transfer of cap to multiple servicers due to 

servicing transfer

8/13/2010 $ (6,300,000) $ 998,290,000 

Transfer of cap to multiple servicers due to 

servicing transfer

9/15/2010 $ (8,300,000) $ 989,990,000 

Transfer of cap to multiple servicers due to 

servicing transfer

9/30/2010 $ 32,400,000 $ 1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010 $ 101,287,484 $ 1,123,677,484 Updated portfolio data from servicer

Adjustment Details

HOME AFFORDABLE MODIFICATION PROGRAM

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

10/15/2010 $ (1,400,000) $ 1,122,277,484 Transfer of cap due to servicing transfer

11/16/2010 $ (3,200,000) $ 1,119,077,484 Transfer of cap due to servicing transfer

1/6/2011 $ (981) $ 1,119,076,503 Updated portfolio data from servicer

1/13/2011 $ (10,500,000) $ 1,108,576,503 Transfer of cap due to servicing transfer

2/16/2011 $ (4,600,000) $ 1,103,976,503 Transfer of cap due to servicing transfer

3/16/2011 $ (30,500,000) $ 1,073,476,503 Transfer of cap due to servicing transfer

3/30/2011 $ (1,031) $ 1,073,475,472 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 100,000 $ 1,073,575,472 Transfer of cap due to servicing transfer

5/13/2011 $ (7,200,000) $ 1,066,375,472 Transfer of cap due to servicing transfer

6/16/2011 $ (400,000) $ 1,065,975,472 Transfer of cap due to servicing transfer

CitiMortgage, Inc. 6/29/2011 $ (9,131) $ 1,065,966,341 

Updated due to quarterly assessment and 

reallocation

4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 2,873,000,000 N/A 6/17/2009 $ (462,990,000) $ 2,410,010,000 Updated portfolio data from servicer

9/30/2009 $ 65,070,000 $ 2,475,080,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 1,213,310,000 $ 3,688,390,000 

Updated portfolio data from servicer & HAFA 

initial cap

2/17/2010 $ 2,050,236,344 $ 5,738,626,344 Transfer of cap (from Wachovia) due to merger

3/12/2010 $ 54,767 $ 5,738,681,110 Transfer of cap (from Wachovia) due to merger

3/19/2010 $ 668,108,890 $ 6,406,790,000 Initial 2MP cap

3/26/2010 $ 683,130,000 $ 7,089,920,000 Updated portfolio data from servicer

7/14/2010 $ (2,038,220,000) $ 5,051,700,000 Updated portfolio data from servicer

9/30/2010 $ (287,348,828) $ 4,764,351,172 Updated portfolio data from servicer

9/30/2010 $ 344,000,000 $ 5,108,351,172 

Initial FHA-HAMP cap, initial FHA-2LP cap, 

and initial RD-HAMP

12/3/2010 $ 8,413,225 $ 5,116,764,397 Transfer of cap (from Wachovia) due to merger

12/15/2010 $ 22,200,000 $ 5,138,964,397 Updated portfolio data from servicer

1/6/2011 $ (6,312) $ 5,138,958,085 Updated portfolio data from servicer

1/13/2011 $ (100,000) $ 5,138,858,085 Transfer of cap due to servicing transfer

3/16/2011 $ (100,000) $ 5,138,758,085 Transfer of cap due to servicing transfer

3/30/2011 $ (7,171) $ 5,138,750,914 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (9,800,000) $ 5,128,950,914 Transfer of cap due to servicing transfer

5/13/2011 $ 100,000 $ 5,129,050,914 Transfer of cap due to servicing transfer

6/16/2011 $ (600,000) $ 5,128,450,914 Transfer of cap due to servicing transfer

Wells Fargo Bank, NA 6/29/2011 $ (63,856) $ 5,128,387,058 

Updated due to quarterly assessment and 

reallocation

4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 N/A 6/12/2009 $ 384,650,000 $ 1,017,650,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/30/2009 $ 2,537,240,000 $ 3,554,890,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ (1,679,520,000) $ 1,875,370,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 190,180,000 $ 2,065,550,000 Updated portfolio data from servicer

5/14/2010 $ 1,880,000 $ 2,067,430,000 

Transfer of cap from Wilshire Credit 

Corporation due to servicing transfer

7/14/2010 $ (881,530,000) $ 1,185,900,000 Updated portfolio data from servicer

8/13/2010 $ (3,700,000) $ 1,182,200,000 Transfer of cap due to servicing transfer

9/30/2010 $ 119,200,000 $ 1,301,400,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, 

and initial 2MP cap

9/30/2010 $ 216,998,139 $ 1,518,398,139 Updated portfolio data from servicer

12/15/2010 $ (500,000) $ 1,517,898,139 Updated portfolio data from servicer

1/6/2011 $ (1,734) $ 1,517,896,405 Updated portfolio data from servicer

3/16/2011 $ (100,000) $ 1,517,796,405 Transfer of cap due to servicing transfer

3/30/2011 $ (2,024) $ 1,517,794,381 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (800,000) $ 1,516,994,381 Transfer of cap due to servicing transfer

5/13/2011 $ (17,900,000) $ 1,499,094,381 Transfer of cap due to servicing transfer

GMAC Mortgage, Inc. 6/29/2011 $ (18,457) $ 1,499,075,924 

Updated due to quarterly assessment and 

reallocation

4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 N/A 6/17/2009 $ 225,040,000 $ 632,040,000 Updated portfolio data from servicer

9/30/2009 $ 254,380,000 $ 886,420,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 355,710,000 $ 1,242,130,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (57,720,000) $ 1,184,410,000 Updated portfolio data from servicer

6/16/2010 $ (156,050,000) $ 1,028,360,000 

Transfer of cap to Ocwen Financial 

Corporation, Inc. due to servicing transfer

7/14/2010 $ (513,660,000) $ 514,700,000 Updated portfolio data from servicer

7/16/2010 $ (22,980,000) $ 491,720,000 

Transfer of cap due to multiple servicing 

transfers

9/15/2010 $ 1,800,000 $ 493,520,000 Transfer of cap due to servicing transfer

9/30/2010 $ 9,800,000 $ 503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010 $ 116,222,668 $ 619,542,668 Updated portfolio data from servicer

10/15/2010 $ 100,000 $ 619,642,668 Transfer of cap due to servicing transfer

12/15/2010 $ 8,900,000 $ 628,542,668 Updated portfolio data from servicer

1/6/2011 $ (556) $ 628,542,112 Updated portfolio data from servicer

1/13/2011 $ 2,300,000 $ 630,842,112 Transfer of cap due to servicing transfer

3/16/2011 $ 700,000 $ 631,542,112 Transfer of cap due to servicing transfer

3/30/2011 $ (654) $ 631,541,458 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 2,100,000 $ 633,641,458 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

Saxon Mortgage Services, Inc. 6/29/2011 $ (6,144) $ 633,635,314 

Updated due to quarterly assessment and 

reallocation

4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications $ 3,552,000,000 N/A 2 7/31/2009 $ (3,552,000,000) $ - Termination of SPA 

4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 N/A 6/12/2009 $ (105,620,000) $ 553,380,000 Updated portfolio data from servicer

9/30/2009 $ 102,580,000 $ 655,960,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 277,640,000 $ 933,600,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 46,860,000 $ 980,460,000 Updated portfolio data from servicer

6/16/2010 $ 156,050,000 $ 1,136,510,000 

Transfer of cap from Saxon Mortgage 

Services, Inc. due to servicing transfer

7/14/2010 $ (191,610,000) $ 944,900,000 Updated portfolio data from servicer

7/16/2010 $ 23,710,000 $ 968,610,000 

Transfer of cap from Saxon Mortgage 

Services, Inc. due to servicing transfer

9/15/2010 $ 100,000 $ 968,710,000 Initial FHA-HAMP cap

9/30/2010 $ 3,742,740 $ 972,452,740 Updated portfolio data from servicer

10/15/2010 $ 170,800,000 $ 1,143,252,740 Transfer of cap due to servicing transfer

1/6/2011 $ (1,020) $ 1,143,251,720 Updated portfolio data from servicer

2/16/2011 $ 900,000 $ 1,144,151,720 Transfer of cap due to servicing transfer

3/30/2011 $ (1,114) $ 1,144,150,606 

Updated due to quarterly assessment and 

reallocation

Ocwen Financial Corporation, Inc. 6/29/2011 $ (10,044) $ 1,144,140,562 

Updated due to quarterly assessment and 

reallocation

Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 N/A 6/12/2009 $ 5,540,000 $ 804,440,000 Updated portfolio data from servicer

9/30/2009 $ 162,680,000 $ 967,120,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 665,510,000 $ 1,632,630,000 

Updated portfolio data from servicer & HAFA 

initial cap

1/26/2010 $ 800,390,000 $ 2,433,020,000 Initial 2MP cap

3/26/2010 $ (829,370,000) $ 1,603,650,000 Updated portfolio data from servicer

7/14/2010 $ (366,750,000) $ 1,236,900,000 Updated portfolio data from servicer

9/30/2010 $ 95,300,000 $ 1,332,200,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, 

and initial RD-HAMP

9/30/2010 $ 222,941,084 $ 1,555,141,084 Updated portfolio data from servicer

1/6/2011 $ (2,199) $ 1,555,138,885 Updated portfolio data from servicer

3/30/2011 $ (2,548) $ 1,555,136,337 

Updated due to quarterly assessment and 

reallocation

Bank of America, N.A. 6/29/2011 $ (23,337) $ 1,555,113,000 

Updated due to quarterly assessment and 

reallocation

Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 1,864,000,000 N/A 6/12/2009 $ 3,318,840,000 $ 5,182,840,000 Updated portfolio data from servicer

9/30/2009 $ (717,420,000) $ 4,465,420,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 2,290,780,000 $ 6,756,200,000 

Updated portfolio data from servicer & HAFA 

initial cap

1/26/2010 $ 450,100,000 $ 7,206,300,000 Initial 2MP cap

3/26/2010 $ 905,010,000 $ 8,111,310,000 Updated portfolio data from servicer

4/17/2009 as 

amended on 

1/26/2010

4/17/2009 as 

amended on 

1/26/2010
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

4/19/2010 $ 10,280,000 $ 8,121,590,000 

Transfer of cap from Wilshire Credit 

Corporation due to servicing transfer

6/16/2010 $ 286,510,000 $ 8,408,100,000 

Transfer of cap from Wilshire Credit 

Corporation due to servicing transfer

7/14/2010 $ (1,787,300,000) $ 6,620,800,000 Updated portfolio data from servicer

9/30/2010 $ 105,500,000 $ 6,726,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, 

and initial RD-HAMP

9/30/2010 $ (614,527,362) $ 6,111,772,638 Updated portfolio data from servicer

12/15/2010 $ 236,000,000 $ 6,347,772,638 Updated portfolio data from servicer

1/6/2011 $ (8,012) $ 6,347,764,626 Updated portfolio data from servicer

2/16/2011 $ 1,800,000 $ 6,349,564,626 Transfer of cap due to servicing transfer

3/16/2011 $ 100,000 $ 6,349,664,626 Transfer of cap due to servicing transfer

3/30/2011 $ (9,190) $ 6,349,655,436 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 200,000 $ 6,349,855,436 Transfer of cap due to servicing transfer

5/13/2011 $ 300,000 $ 6,350,155,436 Transfer of cap due to servicing transfer

6/16/2011 $ (1,000,000) $ 6,349,155,436 Transfer of cap due to servicing transfer

Countrywide Home Loans Servicing LP 6/29/2011 $ (82,347) $ 6,349,073,089 

Updated due to quarterly assessment and 

reallocation

4/20/2009 Home Loan Services, Inc. Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 319,000,000 N/A 6/12/2009 $ 128,300,000 $ 447,300,000 Updated portfolio data from servicer

9/30/2009 $ 46,730,000 $ 494,030,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 145,820,000 $ 639,850,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (17,440,000) $ 622,410,000 Updated portfolio data from servicer

7/14/2010 $ (73,010,000) $ 549,400,000 Updated portfolio data from servicer

9/30/2010 $ 6,700,000 $ 556,100,000 Initial FHA-2LP cap

9/30/2010 $ (77,126,410) $ 478,973,590 Updated portfolio data from servicer

12/15/2010 $ (314,900,000) $ 164,073,590 Updated portfolio data from servicer

1/6/2011 $ (233) $ 164,073,357 Updated portfolio data from servicer

2/16/2011 $ (1,900,000) $ 162,173,357 Transfer of cap due to servicing transfer

3/16/2011 $ (400,000) $ 161,773,357 Transfer of cap due to servicing transfer

3/30/2011 $ (278) $ 161,773,079 

Updated due to quarterly assessment and 

reallocation

5/13/2011 $ (400,000) $ 161,373,079 Transfer of cap due to servicing transfer

Home Loan Services, Inc. 6/29/2011 $ (2,625) $ 161,370,454 

Updated due to quarterly assessment and 

reallocation

4/20/2009 Wilshire Credit Corporation Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 366,000,000 N/A 6/12/2009 $ 87,130,000 $ 453,130,000 Updated portfolio data from servicer

9/30/2009 $ (249,670,000) $ 203,460,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 119,700,000 $ 323,160,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 52,270,000 $ 375,430,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

4/19/2010 $ (10,280,000) $ 365,150,000 

Transfer of cap to Countrywide Home Loans 

due to servicing transfer

5/14/2010 $ (1,880,000) $ 363,270,000 

Transfer of cap to GMAC Mortgage, Inc. due to 

servicing transfer

6/16/2010 $ (286,510,000) $ 76,760,000 

Transfer of cap to Countrywide Home Loans 

due to servicing transfer

7/14/2010 $ 19,540,000 $ 96,300,000 Updated portfolio data from servicer

7/16/2010 $ (210,000) $ 96,090,000 

Transfer of cap to Green Tree Servicing LLC 

due to servicing transfer

8/13/2010 $ (100,000) $ 95,990,000 Transfer of cap due to servicing transfer

9/30/2010 $ 68,565,782 $ 164,555,782 Updated portfolio data from servicer

1/6/2011 $ (247) $ 164,555,535 Updated portfolio data from servicer

3/30/2011 $ (294) $ 164,555,241 

Updated due to quarterly assessment and 

reallocation

Wilshire Credit Corporation 6/29/2011 $ (2,779) $ 164,552,462 

Updated due to quarterly assessment and 

reallocation

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 156,000,000 N/A 6/17/2009 $ (64,990,000) $ 91,010,000 Updated portfolio data from servicer

9/30/2009 $ 130,780,000 $ 221,790,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ (116,750,000) $ 105,040,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 13,080,000 $ 118,120,000 Updated portfolio data from servicer

7/14/2010 $ (24,220,000) $ 93,900,000 Updated portfolio data from servicer

7/16/2010 $ 210,000 $ 94,110,000 

Transfer of cap from Wilshire Credit 

Corporation due to servicing transfer

8/13/2010 $ 2,200,000 $ 96,310,000 Transfer of cap due to servicing transfer

9/10/2010 $ 34,600,000 $ 130,910,000 Initial 2MP cap

9/30/2010 $ 5,600,000 $ 136,510,000 Initial FHA-2LP cap and FHA-HAMP

9/30/2010 $ 10,185,090 $ 146,695,090 Updated portfolio data from servicer

10/15/2010 $ 400,000 $ 147,095,090 Transfer of cap due to servicing transfer

1/6/2011 $ (213) $ 147,094,877 Updated portfolio data from servicer

3/30/2011 $ (250) $ 147,094,627 

Updated due to quarterly assessment and 

reallocation

5/13/2011 $ 1,200,000 $ 148,294,627 Transfer of cap due to servicing transfer

6/16/2011 $ 100,000 $ 148,394,627 Transfer of cap due to servicing transfer

Green Tree Servicing LLC 6/29/2011 $ (2,302) $ 148,392,325 

Updated due to quarterly assessment and 

reallocation

4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financial Instrument for Home Loan Modifications $ 195,000,000 N/A 6/17/2009 $ (63,980,000) $ 131,020,000 Updated portfolio data from servicer

9/30/2009 $ 90,990,000 $ 222,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 57,980,000 $ 279,990,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 74,520,000 $ 354,510,000 Updated portfolio data from servicer

7/14/2010 $ (75,610,000) $ 278,900,000 Updated portfolio data from servicer

8/13/2010 $ 1,100,000 $ 280,000,000 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/30/2010 $ 3,763,685 $ 283,763,685 Updated portfolio data from servicer

12/15/2010 $ 300,000 $ 284,063,685 Updated portfolio data from servicer

1/6/2011 $ (325) $ 284,063,360 Updated portfolio data from servicer

1/13/2011 $ 2,400,000 $ 286,463,360 Transfer of cap due to servicing transfer

3/30/2011 $ (384) $ 286,462,976 

Updated due to quarterly assessment and 

reallocation

Carrington Mortgage Services, LLC 6/29/2011 $ (3,592) $ 286,459,384 

Updated due to quarterly assessment and 

reallocation

5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financial Instrument for Home Loan Modifications $ 798,000,000 N/A 6/17/2009 $ (338,450,000) $ 459,550,000 Updated portfolio data from servicer

9/30/2009 $ (11,860,000) $ 447,690,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 21,330,000 $ 469,020,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 9,150,000 $ 478,170,000 Updated portfolio data from servicer

7/14/2010 $ (76,870,000) $ 401,300,000 Updated portfolio data from servicer

9/1/2010 $ 400,000 $ 401,700,000 Initial FHA-HAMP cap

9/30/2010 $ (8,454,269) $ 393,245,731 Updated portfolio data from servicer

1/6/2011 $ (342) $ 393,245,389 Updated portfolio data from servicer

3/30/2011 $ (374) $ 393,245,015 

Updated due to quarterly assessment and 

reallocation

5/13/2011 $ 18,000,000 $ 411,245,015 Transfer of cap due to servicing transfer

Aurora Loan Services, LLC 6/29/2011 $ (3,273) $ 411,241,742 

Updated due to quarterly assessment and 

reallocation

5/28/2009 Nationstar Mortgage LLC Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 101,000,000 N/A 6/12/2009 $ 16,140,000 $ 117,140,000 Updated portfolio data from servicer

9/30/2009 $ 134,560,000 $ 251,700,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 80,250,000 $ 331,950,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 67,250,000 $ 399,200,000 Updated portfolio data from servicer

7/14/2010 $ (85,900,000) $ 313,300,000 Updated portfolio data from servicer

8/13/2010 $ 100,000 $ 313,400,000 Transfer of cap due to servicing transfer

9/30/2010 $ 2,900,000 $ 316,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, 

initial RD-HAMP, and initial 2MP cap

9/30/2010 $ 33,801,486 $ 350,101,486 Updated portfolio data from servicer

11/16/2010 $ 700,000 $ 350,801,486 Transfer of cap due to servicing transfer

12/15/2010 $ 1,700,000 $ 352,501,486 Updated portfolio data from servicer

1/6/2011 $ (363) $ 352,501,123 Updated portfolio data from servicer

2/16/2011 $ 900,000 $ 353,401,123 Transfer of cap due to servicing transfer

3/16/2011 $ 29,800,000 $ 383,201,123 Transfer of cap due to servicing transfer

3/30/2011 $ (428) $ 383,200,695 

Updated due to quarterly assessment and 

reallocation

5/26/2011 $ 20,077,503 $ 403,278,198 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

Nationstar Mortgage LLC 6/29/2011 $ (4,248) $ 403,273,950 

Updated due to quarterly assessment and 

reallocation

6/12/2009 Residential Credit Solutions Fort Worth TX Purchase Financial Instrument for Home Loan Modifications $ 19,400,000 N/A 9/30/2009 $ (1,860,000) $ 17,540,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 27,920,000 $ 45,460,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (1,390,000) $ 44,070,000 Updated portfolio data from servicer

7/14/2010 $ (13,870,000) $ 30,200,000 Updated portfolio data from servicer

9/30/2010 $ 400,000 $ 30,600,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, 

and initial 2MP cap

9/30/2010 $ 586,954 $ 31,186,954 Updated portfolio data from servicer

1/6/2011 $ (34) $ 31,186,920 Updated portfolio data from servicer

3/30/2011 $ (37) $ 31,186,883 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 100,000 $ 31,286,883 Transfer of cap due to servicing transfer

Residential Credit Solutions 6/29/2011 $ (329) $ 31,286,554 

Updated due to quarterly assessment and 

reallocation

6/17/2009 CCO Mortgage Glen Allen VA Purchase Financial Instrument for Home Loan Modifications $ 16,520,000 N/A 9/30/2009 $ 13,070,000 $ 29,590,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 145,510,000 $ 175,100,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (116,950,000) $ 58,150,000 Updated portfolio data from servicer

7/14/2010 $ (23,350,000) $ 34,800,000 Updated portfolio data from servicer

9/30/2010 $ 7,846,346 $ 42,646,346 Updated portfolio data from servicer

1/6/2011 $ (46) $ 42,646,300 Updated portfolio data from servicer

3/30/2011 $ (55) $ 42,646,245 

Updated due to quarterly assessment and 

reallocation

CCO Mortgage 6/29/2011 $ (452) $ 42,645,793 

Updated due to quarterly assessment and 

reallocation

6/17/2009 RG Mortgage Corporation San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 57,000,000 N/A 9/30/2009 $ (11,300,000) $ 45,700,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ (42,210,000) $ 3,490,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 65,640,000 $ 69,130,000 Updated portfolio data from servicer

4/9/2010 $ (14,470,000) $ 54,660,000 Updated portfolio data from servicer

7/14/2010 $ (8,860,000) $ 45,800,000 Updated portfolio data from servicer

9/30/2010 $ (4,459,154) $ 41,340,846 Updated portfolio data from servicer

12/15/2010 $ (4,300,000) $ 37,040,846 Updated portfolio data from servicer

1/6/2011 $ (51) $ 37,040,795 Updated portfolio data from servicer

3/30/2011 $ (65) $ 37,040,730 

Updated due to quarterly assessment and 

reallocation

RG Mortgage Corporation 6/29/2011 $ (616) $ 37,040,114 

Updated due to quarterly assessment and 

reallocation

6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 12/30/2009 $ 2,020,000 $ 2,790,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 11,370,000 $ 14,160,000 Updated portfolio data from servicer

5/26/2010 $ (14,160,000) $ - Termination of SPA 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 9/30/2009 $ 330,000 $ 870,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 16,490,000 $ 17,360,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (14,260,000) $ 3,100,000 Updated portfolio data from servicer

7/14/2010 $ (1,800,000) $ 1,300,000 Updated portfolio data from servicer

7/30/2010 $ 1,500,000 $ 2,800,000 Updated portfolio data from servicer

9/30/2010 $ 1,551,668 $ 4,351,668 Updated portfolio data from servicer

1/6/2011 $ (2) $ 4,351,666 Updated portfolio data from servicer

3/30/2011 $ (2) $ 4,351,664 

Updated due to quarterly assessment and 

reallocation

Wescom Central Credit Union 5/13/2011 $ (1,800,000) $ 2,551,664 Transfer of cap due to servicing transfer

12 6/3/2011 $ (1,872,787) $ 678,877 Termination of SPA 

6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 9/30/2009 $ (10,000) $ 20,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 590,000 $ 610,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (580,000) $ 30,000 Updated portfolio data from servicer

7/14/2010 $ 70,000 $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

2/17/2011 $ (145,056) $ - Termination of SPA 

6/26/2009 Technology Credit Union San Jose CA Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 12/30/2009 $ 2,180,000 $ 2,250,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (720,000) $ 1,530,000 Updated portfolio data from servicer

7/14/2010 $ (430,000) $ 1,100,000 Updated portfolio data from servicer

9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

3/30/2011 $ (1) $ 1,160,443 

Updated due to quarterly assessment and 

reallocation

Technology Credit Union 6/29/2011 $ (12) $ 1,160,431 

Updated due to quarterly assessment and 

reallocation

6/26/2009 National City Bank Miamisburg OH Purchase Financial Instrument for Home Loan Modifications $ 294,980,000 N/A 9/30/2009 $ 315,170,000 $ 610,150,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 90,280,000 $ 700,430,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (18,690,000) $ 681,740,000 Updated portfolio data from servicer

7/14/2010 $ (272,640,000) $ 409,100,000 Updated portfolio data from servicer

9/30/2010 $ 80,600,000 $ 489,700,000 

Initial FHA-HAMP cap, Initial FHA-2LP cap, 

and initial 2MP cap

9/30/2010 $ 71,230,004 $ 560,930,004 Updated portfolio data from servicer

1/6/2011 $ (828) $ 560,929,176 Updated portfolio data from servicer

2/16/2011 $ 200,000 $ 561,129,176 Transfer of cap due to servicing transfer

3/16/2011 $ (100,000) $ 561,029,176 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/30/2011 $ (981) $ 561,028,195 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (2,300,000) $ 558,728,195 Transfer of cap due to servicing transfer

5/13/2011 $ (200,000) $ 558,528,195 Transfer of cap due to servicing transfer

6/16/2011 $ (200,000) $ 558,328,195 Transfer of cap due to servicing transfer

National City Bank 6/29/2011 $ (9,197) $ 558,318,998 

Updated due to quarterly assessment and 

reallocation

7/1/2009 Wachovia Mortgage, FSB Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 634,010,000 N/A 9/30/2009 $ 723,880,000 $ 1,357,890,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 692,640,000 $ 2,050,530,000 

Updated portfolio data from servicer & HAFA 

initial cap

2/17/2010 $ (2,050,236,344) $ 293,656 

Transfer of cap (to Wells Fargo Bank) due to 

merger

3 3/12/2010 $ (54,767) $ 238,890 

Transfer of cap (to Wells Fargo Bank) due to 

merger

7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44,260,000 N/A 9/30/2009 $ 23,850,000 $ 68,110,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 43,590,000 $ 111,700,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 34,540,000 $ 146,240,000 Updated portfolio data from servicer

5/7/2010 $ 1,010,000 $ 147,250,000 Initial 2MP cap

7/14/2010 $ (34,250,000) $ 113,000,000 Updated portfolio data from servicer

9/30/2010 $ 600,000 $ 113,600,000 Initial FHA-2LP cap

9/30/2010 $ (15,252,303) $ 98,347,697 Updated portfolio data from servicer

1/6/2011 $ (70) $ 98,347,627 Updated portfolio data from servicer

3/30/2011 $ (86) $ 98,347,541 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 400,000 $ 98,747,541 Transfer of cap due to servicing transfer

5/13/2011 $ 100,000 $ 98,847,541 Transfer of cap due to servicing transfer

Bayview Loan Servicing, LLC 6/29/2011 $ (771) $ 98,846,770 

Updated due to quarterly assessment and 

reallocation

7/10/2009 Lake National Bank Mentor OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2009 $ 150,000 $ 250,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 130,000 $ 380,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 50,000 $ 430,000 Updated portfolio data from servicer

7/14/2010 $ (30,000) $ 400,000 Updated portfolio data from servicer

9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer

1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

Lake National Bank 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

7/10/2009 IBM Southeast Employees' Federal Credit Union Delray Beach FL Purchase Financial Instrument for Home Loan Modifications $ 870,000 N/A 9/30/2009 $ (10,000) $ 860,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 250,000 $ 1,110,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (10,000) $ 1,100,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

7/14/2010 $ (400,000) $ 700,000 Updated portfolio data from servicer

9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

IBM Southeast Employees' Federal Credit Union 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

7/17/2009 MorEquity, Inc. Evansville IN Purchase Financial Instrument for Home Loan Modifications $ 23,480,000 N/A 9/30/2009 $ 18,530,000 $ 42,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 24,510,000 $ 66,520,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 18,360,000 $ 84,880,000 Updated portfolio data from servicer

7/14/2010 $ (22,580,000) $ 62,300,000 Updated portfolio data from servicer

9/30/2010 $ (8,194,261) $ 54,105,739 Updated portfolio data from servicer

1/6/2011 $ (37) $ 54,105,702 Updated portfolio data from servicer

3/16/2011 $ (29,400,000) $ 24,705,702 Transfer of cap due to servicing transfer

3/30/2011 $ (34) $ 24,705,668 

Updated due to quarterly assessment and 

reallocation

MorEquity, Inc. 11 5/26/2011 $ (20,077,503) $ 4,628,165 

Termination of SPA 

(remaining cap equals distribution amount)

7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 54,470,000 N/A 9/30/2009 $ (36,240,000) $ 18,230,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 19,280,000 $ 37,510,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 2,470,000 $ 39,980,000 Updated portfolio data from servicer

7/14/2010 $ (17,180,000) $ 22,800,000 Updated portfolio data from servicer

9/30/2010 $ 35,500,000 $ 58,300,000 Initial FHA-2LP cap and initial 2MP cap

9/30/2010 $ 23,076,191 $ 81,376,191 Updated portfolio data from servicer

1/6/2011 $ (123) $ 81,376,068 Updated portfolio data from servicer

3/30/2011 $ (147) $ 81,375,921 

Updated due to quarterly assessment and 

reallocation

5/13/2011 $ (100,000) $ 81,275,921 Transfer of cap due to servicing transfer

PNC Bank, National Association 6/29/2011 $ (1,382) $ 81,274,539 

Updated due to quarterly assessment and 

reallocation

7/17/2009 Farmers State Bank West Salem OH Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 9/30/2009 $ (90,000) $ 80,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 50,000 $ 130,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 100,000 $ 230,000 Updated portfolio data from servicer

7/14/2010 $ (130,000) $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

Farmers State Bank 5/20/2011 $ (145,056) $ - Termination of SPA 

7/17/2009 ShoreBank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 1,410,000 N/A 9/30/2009 $ 890,000 $ 2,300,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 1,260,000 $ 3,560,000 

Updated portfolio data from servicer & HAFA 

initial cap
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/26/2010 $ (20,000) $ 3,540,000 Updated portfolio data from servicer

7/14/2010 $ (240,000) $ 3,300,000 Updated portfolio data from servicer

9/30/2010 $ 471,446 $ 3,771,446 Updated portfolio data from servicer

1/6/2011 $ (3) $ 3,771,443 Updated portfolio data from servicer

3/30/2011 $ (4) $ 3,771,439 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (1,100,000) $ 2,671,439 Transfer of cap due to servicing transfer

ShoreBank 6/29/2011 $ (38) $ 2,671,401 

Updated due to quarterly assessment and 

reallocation

7/22/2009 American Home Mortgage Servicing, Inc Coppell TX Purchase Financial Instrument for Home Loan Modifications $ 1,272,490,000 N/A 9/30/2009 $ (53,670,000) $ 1,218,820,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 250,450,000 $ 1,469,270,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 124,820,000 $ 1,594,090,000 Updated portfolio data from servicer

7/14/2010 $ (289,990,000) $ 1,304,100,000 Updated portfolio data from servicer

9/30/2010 $ 1,690,508 $ 1,305,790,508 Updated portfolio data from servicer

10/15/2010 $ 300,000 $ 1,306,090,508 Transfer of cap due to servicing transfer

11/16/2010 $ (100,000) $ 1,305,990,508 Transfer of cap due to servicing transfer

1/6/2011 $ (1,173) $ 1,305,989,335 Updated portfolio data from servicer

2/16/2011 $ (500,000) $ 1,305,489,335 Transfer of cap due to servicing transfer

3/30/2011 $ (1,400) $ 1,305,487,935 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 3,100,000 $ 1,308,587,935 Transfer of cap due to servicing transfer

American Home Mortgage Servicing, Inc 6/29/2011 $ (12,883) $ 1,308,575,052 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Mortgage Center, LLC Southfield MI Purchase Financial Instrument for Home Loan Modifications $ 4,210,000 N/A 9/30/2009 $ 1,780,000 $ 5,990,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 2,840,000 $ 8,830,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 2,800,000 $ 11,630,000 Updated portfolio data from servicer

7/14/2010 $ (5,730,000) $ 5,900,000 Updated portfolio data from servicer

9/30/2010 $ 2,658,280 $ 8,558,280 Updated portfolio data from servicer

1/6/2011 $ (12) $ 8,558,268 Updated portfolio data from servicer

3/30/2011 $ (14) $ 8,558,254 

Updated due to quarterly assessment and 

reallocation

Mortgage Center, LLC 6/29/2011 $ (129) $ 8,558,125 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 860,000 N/A 9/30/2009 $ (490,000) $ 370,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 6,750,000 $ 7,120,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (6,340,000) $ 780,000 Updated portfolio data from servicer

7/14/2010 $ (180,000) $ 600,000 Updated portfolio data from servicer

9/30/2010 $ 125,278 $ 725,278 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/30/2011 $ (1) $ 725,277 

Updated due to quarterly assessment and 

reallocation

Mission Federal Credit Union 6/29/2011 $ (4) $ 725,273 

Updated due to quarterly assessment and 

reallocation

7/29/2009 First Bank St. Louis MO Purchase Financial Instrument for Home Loan Modifications $ 6,460,000 N/A 9/30/2009 $ (1,530,000) $ 4,930,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 680,000 $ 5,610,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 2,460,000 $ 8,070,000 Updated portfolio data from servicer

7/14/2010 $ (2,470,000) $ 5,600,000 Updated portfolio data from servicer

9/30/2010 $ 2,523,114 $ 8,123,114 Updated portfolio data from servicer

1/6/2011 $ (2) $ 8,123,112 Updated portfolio data from servicer

3/30/2011 $ (2) $ 8,123,110 

Updated due to quarterly assessment and 

reallocation

First Bank 6/29/2011 $ (15) $ 8,123,095 

Updated due to quarterly assessment and 

reallocation

7/29/2009 Purdue Employees Federal Credit Union West Lafayette IN Purchase Financial Instrument for Home Loan Modifications $ 1,090,000 N/A 9/30/2009 $ (60,000) $ 1,030,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 1,260,000 $ 2,290,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 2,070,000 $ 4,360,000 Updated portfolio data from servicer

7/14/2010 $ (3,960,000) $ 400,000 Updated portfolio data from servicer

9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

Purdue Employees Federal Credit Union 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 85,020,000 N/A 9/30/2009 $ (37,700,000) $ 47,320,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 26,160,000 $ 73,480,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 9,820,000 $ 83,300,000 Updated portfolio data from servicer

7/14/2010 $ (46,200,000) $ 37,100,000 Updated portfolio data from servicer

9/30/2010 $ (28,686,775) $ 8,413,225 Updated portfolio data from servicer

12/3/2010 $ (8,413,225) $ - Termination of SPA 

7/31/2009 J.P.Morgan Chase Bank, NA Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 2,699,720,000 N/A 9/30/2009 $ (14,850,000) $ 2,684,870,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 1,178,180,000 $ 3,863,050,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 1,006,580,000 $ 4,869,630,000 

Updated portfolio data from servicer & 2MP 

initial cap

7/14/2010 $ (1,934,230,000) $ 2,935,400,000 Updated portfolio data from servicer

9/30/2010 $ 72,400,000 $ 3,007,800,000 

Initial FHA-HAMP cap, Initial FHA-2LP cap, 

and initial RD-HAMP

9/30/2010 $ 215,625,536 $ 3,223,425,536 Updated portfolio data from servicer

1/6/2011 $ (3,636) $ 3,223,421,900 Updated portfolio data from servicer

3/16/2011 $ (100,000) $ 3,223,321,900 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/30/2011 $ (3,999) $ 3,223,317,901 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (200,000) $ 3,223,117,901 Transfer of cap due to servicing transfer

5/13/2011 $ 122,700,000 $ 3,345,817,901 Transfer of cap due to servicing transfer

J.P.Morgan Chase Bank, NA 6/29/2011 $ (34,606) $ 3,345,783,295 

Updated due to quarterly assessment and 

reallocation

7/31/2009 EMC Mortgage Corporation Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 707,380,000 N/A 9/30/2009 $ (10,000) $ 707,370,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 502,430,000 $ 1,209,800,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (134,560,000) $ 1,075,240,000 

Updated portfolio data from servicer & 2MP 

initial cap

7/14/2010 $ (392,140,000) $ 683,100,000 Updated portfolio data from servicer

7/16/2010 $ (630,000) $ 682,470,000 

Transfer of cap to Saxon Mortgage Services, 

Inc.

9/30/2010 $ 13,100,000 $ 695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010 $ (8,006,457) $ 687,563,543 Updated portfolio data from servicer

10/15/2010 $ (100,000) $ 687,463,543 Transfer of cap due to servicing transfer

12/15/2010 $ (4,400,000) $ 683,063,543 Updated portfolio data from servicer

1/6/2011 $ (802) $ 683,062,741 Updated portfolio data from servicer

2/16/2011 $ (900,000) $ 682,162,741 Transfer of cap due to servicing transfer

3/16/2011 $ (4,000,000) $ 678,162,741 Transfer of cap due to servicing transfer

3/30/2011 $ (925) $ 678,161,816 

Updated due to quarterly assessment and 

reallocation

5/13/2011 $ (122,900,000) $ 555,261,816 Transfer of cap due to servicing transfer

EMC Mortgage Corporation 6/29/2011 $ (8,728) $ 555,253,088 

Updated due to quarterly assessment and 

reallocation

8/5/2009 Lake City Bank Warsaw IN Purchase Financial Instrument for Home Loan Modifications $ 420,000 N/A 9/30/2009 $ 180,000 $ 600,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ (350,000) $ 250,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 20,000 $ 270,000 Updated portfolio data from servicer

7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

Lake City Bank 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 9/30/2009 $ 290,000 $ 430,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 210,000 $ 640,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 170,000 $ 810,000 Updated portfolio data from servicer

7/14/2010 $ (10,000) $ 800,000 Updated portfolio data from servicer

9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

4/13/2011 $ (200,000) $ 525,276 Transfer of cap due to servicing transfer

Oakland Municipal Credit Union 6/29/2011 $ (7) $ 525,269 

Updated due to quarterly assessment and 

reallocation

8/5/2009 HomEq Servicing North Highlands CA Purchase Financial Instrument for Home Loan Modifications $ 674,000,000 N/A 9/30/2009 $ (121,190,000) $ 552,810,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ (36,290,000) $ 516,520,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 199,320,000 $ 715,840,000 Updated portfolio data from servicer

7/14/2010 $ (189,040,000) $ 526,800,000 Updated portfolio data from servicer

9/30/2010 $ 38,626,728 $ 565,426,728 Updated portfolio data from servicer

10/15/2010 $ (170,800,000) $ 394,626,728 Transfer of cap due to servicing transfer

12/15/2010 $ (22,200,000) $ 372,426,728 Updated portfolio data from servicer

1/6/2011 $ (549) $ 372,426,179 Updated portfolio data from servicer

2/16/2011 $ (900,000) $ 371,526,179 Transfer of cap due to servicing transfer

3/30/2011 $ (653) $ 371,525,526 

Updated due to quarterly assessment and 

reallocation

HomEq Servicing 6/29/2011 $ (6,168) $ 371,519,358 

Updated due to quarterly assessment and 

reallocation

8/12/2009 Litton Loan Servicing LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ 774,900,000 N/A 9/30/2009 $ 313,050,000 $ 1,087,950,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 275,370,000 $ 1,363,320,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 278,910,000 $ 1,642,230,000 Updated portfolio data from servicer

7/14/2010 $ (474,730,000) $ 1,167,500,000 Updated portfolio data from servicer

8/13/2010 $ (700,000) $ 1,166,800,000 Transfer of cap to due to servicing transfer

9/15/2010 $ (1,000,000) $ 1,165,800,000 Transfer of cap to due to servicing transfer

9/30/2010 $ (115,017,236) $ 1,050,782,764 Updated portfolio data from servicer

10/15/2010 $ (800,000) $ 1,049,982,764 Transfer of cap due to servicing transfer

12/15/2010 $ 800,000 $ 1,050,782,764 Updated portfolio data from servicer

1/6/2011 $ (1,286) $ 1,050,781,478 Updated portfolio data from servicer

3/16/2011 $ 8,800,000 $ 1,059,581,478 Transfer of cap due to servicing transfer

3/30/2011 $ (1,470) $ 1,059,580,008 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (3,300,000) $ 1,056,280,008 Transfer of cap due to servicing transfer

5/13/2011 $ (300,000) $ 1,055,980,008 Transfer of cap due to servicing transfer

6/16/2011 $ (700,000) $ 1,055,280,008 Transfer of cap due to servicing transfer

Litton Loan Servicing LP 6/29/2011 $ (13,097) $ 1,055,266,911 

Updated due to quarterly assessment and 

reallocation

8/12/2009 PennyMac Loan Services, LLC Calasbasa CA Purchase Financial Instrument for Home Loan Modifications $ 6,210,000 N/A 9/30/2009 $ (1,200,000) $ 5,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 30,800,000 $ 35,810,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 23,200,000 $ 59,010,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

6/16/2010 $ 2,710,000 $ 61,720,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

7/14/2010 $ (18,020,000) $ 43,700,000 Updated portfolio data from servicer

7/16/2010 $ 6,680,000 $ 50,380,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

8/13/2010 $ 2,600,000 $ 52,980,000 Transfer of cap to due to servicing transfer

9/15/2010 $ (100,000) $ 52,880,000 Transfer of cap to due to servicing transfer

9/30/2010 $ 200,000 $ 53,080,000 Initial FHA-HAMP cap and 2MP initial cap

9/30/2010 $ (1,423,197) $ 51,656,803 Updated portfolio data from servicer

11/16/2010 $ 1,400,000 $ 53,056,803 Transfer of cap due to servicing transfer

12/15/2010 $ (100,000) $ 52,956,803 Updated portfolio data from servicer

1/6/2011 $ (72) $ 52,956,731 Updated portfolio data from servicer

1/13/2011 $ 4,100,000 $ 57,056,731 Transfer of cap due to servicing transfer

2/16/2011 $ (100,000) $ 56,956,731 Transfer of cap due to servicing transfer

3/16/2011 $ 4,000,000 $ 60,956,731 Transfer of cap due to servicing transfer

3/30/2011 $ (94) $ 60,956,637 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (100,000) $ 60,856,637 Transfer of cap due to servicing transfer

5/13/2011 $ 5,800,000 $ 66,656,637 Transfer of cap due to servicing transfer

6/16/2011 $ 600,000 $ 67,256,637 Transfer of cap due to servicing transfer

PennyMac Loan Services, LLC 6/29/2011 $ (812) $ 67,255,825 

Updated due to quarterly assessment and 

reallocation

8/12/2009 Servis One, Inc. Titusville PA Purchase Financial Instrument for Home Loan Modifications $ 29,730,000 N/A 9/30/2009 $ (25,510,000) $ 4,220,000 

Updated portfolio data from servicer & HPDP 

initial cap

12/30/2009 $ 520,000 $ 4,740,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 4,330,000 $ 9,070,000 Updated portfolio data from servicer

4/19/2010 $ 230,000 $ 9,300,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

5/19/2010 $ 850,000 $ 10,150,000 Initial 2MP cap

7/14/2010 $ (850,000) $ 9,300,000 Updated portfolio data from servicer

9/15/2010 $ 100,000 $ 9,400,000 Transfer of cap to due to servicing transfer

9/30/2010 $ 100,000 $ 9,500,000 Initial FHA-HAMP cap

9/30/2010 $ 16,755,064 $ 26,255,064 Updated portfolio data from servicer

10/15/2010 $ 100,000 $ 26,355,064 Transfer of cap due to servicing transfer

12/15/2010 $ 100,000 $ 26,455,064 Updated portfolio data from servicer

1/6/2011 $ (40) $ 26,455,024 Updated portfolio data from servicer

1/13/2011 $ 300,000 $ 26,755,024 Transfer of cap due to servicing transfer

2/16/2011 $ 100,000 $ 26,855,024 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/16/2011 $ 2,200,000 $ 29,055,024 Transfer of cap due to servicing transfer

3/30/2011 $ (52) $ 29,054,972 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 1,500,000 $ 30,554,972 Transfer of cap due to servicing transfer

5/13/2011 $ 1,000,000 $ 31,554,972 Transfer of cap due to servicing transfer

6/16/2011 $ 100,000 $ 31,654,972 Transfer of cap due to servicing transfer

Servis One, Inc. 6/29/2011 $ (534) $ 31,654,438 

Updated due to quarterly assessment and 

reallocation

8/28/2009 OneWest Bank Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 668,440,000 N/A 10/2/2009 $ 145,800,000 $ 814,240,000 HPDP initial cap

12/30/2009 $ 1,355,930,000 $ 2,170,170,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 121,180,000 $ 2,291,350,000 Updated portfolio data from servicer

7/14/2010 $ (408,850,000) $ 1,882,500,000 Updated portfolio data from servicer

9/30/2010 $ 5,500,000 $ 1,888,000,000 2MP initial cap

9/30/2010 $ (51,741,163) $ 1,836,258,837 Updated portfolio data from servicer

1/6/2011 $ (2,282) $ 1,836,256,555 Updated portfolio data from servicer

3/30/2011 $ (2,674) $ 1,836,253,881 

Updated due to quarterly assessment and 

reallocation

OneWest Bank 6/29/2011 $ (24,616) $ 1,836,229,265 

Updated due to quarterly assessment and 

reallocation

8/28/2009 Stanford Federal Credit Union Palo Alto CA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 10/2/2009 $ 70,000 $ 370,000 HPDP initial cap

12/30/2009 $ 2,680,000 $ 3,050,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 350,000 $ 3,400,000 Updated portfolio data from servicer

7/14/2010 $ (1,900,000) $ 1,500,000 Updated portfolio data from servicer

9/30/2010 $ (1,209,889) $ 290,111 Updated portfolio data from servicer

3/23/2010 $ (290,111) $ - Termination of SPA 

8/28/2009 RoundPoint Mortgage Servicing Corporation Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 10/2/2009 $ 130,000 $ 700,000 HPDP initial cap

12/30/2009 $ (310,000) $ 390,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 2,110,000 $ 2,500,000 Updated portfolio data from servicer

7/14/2010 $ 8,300,000 $ 10,800,000 Updated portfolio data from servicer

9/30/2010 $ 5,301,172 $ 16,101,172 Updated portfolio data from servicer

1/6/2011 $ (22) $ 16,101,150 Updated portfolio data from servicer

3/16/2011 $ (400,000) $ 15,701,150 Transfer of cap due to servicing transfer

3/30/2011 $ (25) $ 15,701,125 

Updated due to quarterly assessment and 

reallocation

RoundPoint Mortgage Servicing Corporation 6/29/2011 $ (232) $ 15,700,893 

Updated due to quarterly assessment and 

reallocation

9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications $ 560,000 N/A 10/2/2009 $ 130,000 $ 690,000 HPDP initial cap

12/30/2009 $ 1,040,000 $ 1,730,000 

Updated portfolio data from servicer & HAFA 

initial cap
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/26/2010 $ (1,680,000) $ 50,000 Updated portfolio data from servicer

5/12/2010 $ 1,260,000 $ 1,310,000 Updated portfolio data from servicer

7/14/2010 $ (1,110,000) $ 200,000 Updated portfolio data from servicer

9/30/2010 $ 100,000 $ 300,000 Initial RD-HAMP

9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

Horicon Bank 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

Vantium Capital, Inc.dba Acqura Loan Services Plano TX Purchase Financial Instrument for Home Loan Modifications $ 6,000,000 N/A 10 10/2/2009 $ 1,310,000 $ 7,310,000 HPDP initial cap

12/30/2009 $ (3,390,000) $ 3,920,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 410,000 $ 4,330,000 Updated portfolio data from servicer

7/14/2010 $ (730,000) $ 3,600,000 Updated portfolio data from servicer

9/15/2010 $ 4,700,000 $ 8,300,000 Transfer of cap due to servicing transfer

9/30/2010 $ 117,764 $ 8,417,764 Updated portfolio data from servicer

11/16/2010 $ 800,000 $ 9,217,764 Transfer of cap due to servicing transfer

12/15/2010 $ 2,700,000 $ 11,917,764 Updated portfolio data from servicer

1/6/2011 $ (17) $ 11,917,747 Updated portfolio data from servicer

1/13/2011 $ 700,000 $ 12,617,747 Transfer of cap due to servicing transfer

2/16/2011 $ 1,800,000 $ 14,417,747 Transfer of cap due to servicing transfer

3/30/2011 $ (19) $ 14,417,728 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 300,000 $ 14,717,728 Transfer of cap due to servicing transfer

Vantium Capital, Inc.dba Acqura Loan Services 6/29/2011 $ (189) $ 14,717,539 

Updated due to quarterly assessment and 

reallocation

9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,250,000 N/A 10/2/2009 $ 280,000 $ 1,530,000 HPDP initial cap

12/30/2009 $ (750,000) $ 780,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 120,000 $ 900,000 Updated portfolio data from servicer

7/14/2010 $ (300,000) $ 600,000 Updated portfolio data from servicer

9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

Central Florida Educators Federal Credit Union 6/29/2011 $ (5) $ 870,327 

Updated due to quarterly assessment and 

reallocation

9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications $ 114,220,000 N/A 10/2/2009 $ 24,920,000 $ 139,140,000 HPDP initial cap

12/30/2009 $ 49,410,000 $ 188,550,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 41,830,000 $ 230,380,000 Updated portfolio data from servicer

7/14/2010 $ (85,780,000) $ 144,600,000 Updated portfolio data from servicer

9/2/2009 as 

amended on 

8/27/2010
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/30/2010 $ 36,574,444 $ 181,174,444 Updated portfolio data from servicer

1/6/2011 $ (160) $ 181,174,284 Updated portfolio data from servicer

3/30/2011 $ (172) $ 181,174,112 

Updated due to quarterly assessment and 

reallocation

U.S. Bank National Association 6/29/2011 $ (1,431) $ 181,172,681 

Updated due to quarterly assessment and 

reallocation

9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications $ 4,350,000 N/A 10/2/2009 $ 950,000 $ 5,300,000 HPDP initial cap

12/30/2009 $ 5,700,000 $ 11,000,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 740,000 $ 11,740,000 Updated portfolio data from servicer

7/14/2010 $ (1,440,000) $ 10,300,000 Updated portfolio data from servicer

9/30/2010 $ (6,673,610) $ 3,626,390 Updated portfolio data from servicer

1/6/2011 $ (5) $ 3,626,385 Updated portfolio data from servicer

3/30/2011 $ (6) $ 3,626,379 

Updated due to quarterly assessment and 

reallocation

CUC Mortgage Corporation 6/29/2011 $ (52) $ 3,626,327 

Updated due to quarterly assessment and 

reallocation

9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications $ 2,070,000 N/A 10/2/2009 $ 460,000 $ 2,530,000 HPDP initial cap

12/30/2009 $ 2,730,000 $ 5,260,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 13,280,000 $ 18,540,000 Updated portfolio data from servicer

7/14/2010 $ (13,540,000) $ 5,000,000 Updated portfolio data from servicer

9/30/2010 $ 1,817,613 $ 6,817,613 Updated portfolio data from servicer

1/6/2011 $ (10) $ 6,817,603 Updated portfolio data from servicer

3/30/2011 $ (12) $ 6,817,591 

Updated due to quarterly assessment and 

reallocation

ORNL Federal Credit Union 6/29/2011 $ (115) $ 6,817,476 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala FL Purchase Financial Instrument for Home Loan Modifications $ 250,000 N/A 10/2/2009 $ 60,000 $ 310,000 HPDP initial cap

12/30/2009 $ (80,000) $ 230,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 280,000 $ 510,000 Updated portfolio data from servicer

7/14/2010 $ (410,000) $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

Allstate Mortgage Loans & Investments, Inc. 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Metropolitan National Bank Little Rock AR Purchase Financial Instrument for Home Loan Modifications $ 280,000 N/A 10/2/2009 $ 70,000 $ 350,000 HPDP initial cap

12/30/2009 $ 620,000 $ 970,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 100,000 $ 1,070,000 Updated portfolio data from servicer

7/14/2010 $ (670,000) $ 400,000 Updated portfolio data from servicer

9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer

1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

1/26/2011 $ (435,166) $ - Termination of SPA 

9/11/2009 Franklin Credit Management Corporation Jersey City NJ Purchase Financial Instrument for Home Loan Modifications $ 27,510,000 N/A 10/2/2009 $ 6,010,000 $ 33,520,000 HPDP initial cap

12/30/2009 $ (19,750,000) $ 13,770,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (4,780,000) $ 8,990,000 Updated portfolio data from servicer

7/14/2010 $ (2,390,000) $ 6,600,000 Updated portfolio data from servicer

9/30/2010 $ 2,973,670 $ 9,573,670 Updated portfolio data from servicer

1/6/2011 $ (3) $ 9,573,667 Updated portfolio data from servicer

2/16/2011 $ (1,800,000) $ 7,773,667 Transfer of cap due to servicing transfer

3/30/2011 $ (6) $ 7,773,661 

Updated due to quarterly assessment and 

reallocation

Franklin Credit Management Corporation 6/29/2011 $ (61) $ 7,773,600 

Updated due to quarterly assessment and 

reallocation

9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 10/2/2009 $ 90,000 $ 500,000 HPDP initial cap

12/30/2009 $ 1,460,000 $ 1,960,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 160,000 $ 2,120,000 Updated portfolio data from servicer

7/14/2010 $ (120,000) $ 2,000,000 Updated portfolio data from servicer

9/30/2010 $ (1,419,778) $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

Bay Federal Credit Union 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 4,390,000 N/A 10/2/2009 $ 960,000 $ 5,350,000 HPDP initial cap

12/30/2009 $ (3,090,000) $ 2,260,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 230,000 $ 2,490,000 Updated portfolio data from servicer

7/14/2010 $ 5,310,000 $ 7,800,000 Updated portfolio data from servicer

9/30/2010 $ 323,114 $ 8,123,114 Updated portfolio data from servicer

1/6/2011 $ (12) $ 8,123,102 Updated portfolio data from servicer

3/16/2011 $ 600,000 $ 8,723,102 Transfer of cap due to servicing transfer

3/30/2011 $ (16) $ 8,723,086 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 200,000 $ 8,923,086 Transfer of cap due to servicing transfer

5/13/2011 $ 100,000 $ 9,023,086 Transfer of cap due to servicing transfer

AMS Servicing, LLC 6/29/2011 $ (153) $ 9,022,933 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Schools Financial Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 390,000 N/A 10/2/2009 $ 90,000 $ 480,000 HPDP initial cap

12/30/2009 $ 940,000 $ 1,420,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (980,000) $ 440,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

7/14/2010 $ (140,000) $ 300,000 Updated portfolio data from servicer

9/30/2010 $ 1,150,556 $ 1,450,556 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

Schools Financial Credit Union 6/29/2011 $ (22) $ 1,450,530 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Glass City Federal Credit Union Maumee OH Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 10/2/2009 $ 60,000 $ 290,000 HPDP initial cap

12/30/2009 $ (10,000) $ 280,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 130,000 $ 410,000 Updated portfolio data from servicer

7/14/2010 $ (110,000) $ 300,000 Updated portfolio data from servicer

9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

Glass City Federal Credit Union 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 10/2/2009 $ 10,000 $ 40,000 HPDP initial cap

12/30/2009 $ 120,000 $ 160,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 10,000 $ 170,000 Updated portfolio data from servicer

7/14/2010 $ (70,000) $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10/29/2010 $ (145,056) $ - Termination of SPA 

9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 10/2/2009 $ 60,000 $ 300,000 HPDP initial cap

12/30/2009 $ 350,000 $ 650,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ 1,360,000 $ 2,010,000 Updated portfolio data from servicer

7/14/2010 $ (1,810,000) $ 200,000 Updated portfolio data from servicer

9/30/2010 $ 235,167 $ 435,167 Updated portfolio data from servicer

1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

Yadkin Valley Bank 6/29/2011 $ (4) $ 435,162 

Updated due to quarterly assessment and 

reallocation

9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 10/2/2009 $ 100,000 $ 540,000 HPDP initial cap

12/30/2009 $ 20,000 $ 560,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (290,000) $ 270,000 Updated portfolio data from servicer

7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

SEFCU 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10/14/2009 Great Lakes Credit Union North Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 12/30/2009 $ 1,030,000 $ 1,600,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (880,000) $ 720,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

7/14/2010 $ (320,000) $ 400,000 Updated portfolio data from servicer

9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

Great Lakes Credit Union 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

10/14/2009 Mortgage Clearing Corporation Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 4,860,000 N/A 12/30/2009 $ (2,900,000) $ 1,960,000 

Updated portfolio data from servicer & HAFA 

initial cap

3/26/2010 $ (1,600,000) $ 360,000 Updated portfolio data from servicer

7/14/2010 $ (260,000) $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

3/9/2011 $ (145,056) $ - Termination of SPA 

10/21/2009 United Bank Mortgage Corporation Grand Rapids MI Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 1/22/2010 $ 20,000 $ 430,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 400,000 $ 830,000 Updated portfolio data from servicer

7/14/2010 $ (430,000) $ 400,000 Updated portfolio data from servicer

9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

United Bank Mortgage Corporation 6/29/2011 $ (5) $ 580,215 

Updated due to quarterly assessment and 

reallocation

10/23/2009 Bank United Miami Lakes FL Purchase Financial Instrument for Home Loan Modifications $ 93,660,000 N/A 1/22/2010 $ 4,370,000 $ 98,030,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 23,880,000 $ 121,910,000 Updated portfolio data from servicer

7/14/2010 $ (16,610,000) $ 105,300,000 Updated portfolio data from servicer

9/30/2010 $ 1,751,033 $ 107,051,033 Updated portfolio data from servicer

1/6/2011 $ (77) $ 107,050,956 Updated portfolio data from servicer

3/16/2011 $ (9,900,000) $ 97,150,956 Transfer of cap due to servicing transfer

3/30/2011 $ (88) $ 97,150,868 

Updated due to quarterly assessment and 

reallocation

Bank United 6/29/2011 $ (773) $ 97,150,095 

Updated due to quarterly assessment and 

reallocation

10/23/2009 IC Federal Credit Union Fitchburg MA Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (760,000) $ 40,000 Updated portfolio data from servicer

5/12/2010 $ 2,630,000 $ 2,670,000 Updated portfolio data from servicer

7/14/2010 $ (770,000) $ 1,900,000 Updated portfolio data from servicer

9/30/2010 $ 565,945 $ 2,465,945 Updated portfolio data from servicer

1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

IC Federal Credit Union 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

10/28/2009 Harleysville National Bank & Trust Company Harleysville PA Purchase Financial Instrument for Home Loan Modifications $ 1,070,000 N/A 4/21/2010 $ (1,070,000) $ - Termination of SPA 

10/28/2009 Members Mortgage Company, Inc Woburn MA Purchase Financial Instrument for Home Loan Modifications $ 510,000 N/A 4/21/2010 $ (510,000) $ - Termination of SPA 

10/30/2009 DuPage Credit Union Naperville IL Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 1/22/2010 $ 10,000 $ 80,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 10,000 $ 90,000 Updated portfolio data from servicer

7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

DuPage Credit Union 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

11/6/2009 Los Alamos National Bank Los Alamos NM Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 40,000 $ 740,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 50,000 $ 790,000 Updated portfolio data from servicer

7/14/2010 $ 1,310,000 $ 2,100,000 Updated portfolio data from servicer

9/30/2010 $ 75,834 $ 2,175,834 Updated portfolio data from servicer

1/6/2011 $ (3) $ 2,175,831 Updated portfolio data from servicer

3/30/2011 $ (4) $ 2,175,827 

Updated due to quarterly assessment and 

reallocation

Los Alamos National Bank 6/29/2011 $ (35) $ 2,175,792 

Updated due to quarterly assessment and 

reallocation

11/18/2009 Quantum Servicing Corporation Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 18,960,000 N/A 1/22/2010 $ 890,000 $ 19,850,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 3,840,000 $ 23,690,000 Updated portfolio data from servicer

7/14/2010 $ (2,890,000) $ 20,800,000 Updated portfolio data from servicer

9/30/2010 $ 9,661,676 $ 30,461,676 Updated portfolio data from servicer

1/6/2011 $ (46) $ 30,461,630 Updated portfolio data from servicer

1/13/2011 $ 1,600,000 $ 32,061,630 Transfer of cap due to servicing transfer

2/16/2011 $ 1,400,000 $ 33,461,630 Transfer of cap due to servicing transfer

3/30/2011 $ (58) $ 33,461,572 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 100,000 $ 33,561,572 Transfer of cap due to servicing transfer

5/13/2011 $ 100,000 $ 33,661,572 Transfer of cap due to servicing transfer

6/16/2011 $ 800,000 $ 34,461,572 Transfer of cap due to servicing transfer

Quantum Servicing Corporation 6/29/2011 $ (559) $ 34,461,013 

Updated due to quarterly assessment and 

reallocation

11/18/2009 Hillsdale County National Bank Hillsdale MI Purchase Financial Instrument for Home Loan Modifications $ 1,670,000 N/A 1/22/2010 $ 80,000 $ 1,750,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 330,000 $ 2,080,000 Updated portfolio data from servicer

7/14/2010 $ (1,080,000) $ 1,000,000 Updated portfolio data from servicer

9/30/2010 $ 160,445 $ 1,160,445 Updated portfolio data from servicer

1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/30/2011 $ (2) $ 1,160,442 

Updated due to quarterly assessment and 

reallocation

Hillsdale County National Bank 6/29/2011 $ (16) $ 1,160,426 

Updated due to quarterly assessment and 

reallocation

11/18/2009 QLending, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 20,000 N/A 1/22/2010 $ - $ 20,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (10,000) $ 10,000 Updated portfolio data from servicer

7/14/2010 $ 90,000 $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

QLending, Inc. 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

11/25/2009 Marix Servicing, LLC Phoenix AZ Purchase Financial Instrument for Home Loan Modifications $ 20,360,000 N/A 1/22/2010 $ 950,000 $ 21,310,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (17,880,000) $ 3,430,000 Updated portfolio data from servicer

6/16/2010 $ 1,030,000 $ 4,460,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

7/14/2010 $ (1,160,000) $ 3,300,000 Updated portfolio data from servicer

8/13/2010 $ 800,000 $ 4,100,000 Transfer of cap due to servicing transfer

9/30/2010 $ 200,000 $ 4,300,000 Initial FHA-HAMP cap and initial RD-HAMP

9/30/2010 $ 1,357,168 $ 5,657,168 Updated portfolio data from servicer

1/6/2011 $ (1) $ 5,657,167 Updated portfolio data from servicer

3/16/2011 $ 5,700,000 $ 11,357,167 Transfer of cap due to servicing transfer

3/30/2011 $ (6) $ 11,357,161 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 7,300,000 $ 18,657,161 Transfer of cap due to servicing transfer

5/13/2011 $ 300,000 $ 18,957,161 Transfer of cap due to servicing transfer

6/16/2011 $ 900,000 $ 19,857,161 Transfer of cap due to servicing transfer

Marix Servicing, LLC 6/29/2011 $ (154) $ 19,857,007 

Updated due to quarterly assessment and 

reallocation

11/25/2009 Home Financing Center, Inc Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 4/21/2010 $ (230,000) $ - Termination of SPA 

11/25/2009 First Keystone Bank Media PA Purchase Financial Instrument for Home Loan Modifications $ 1,280,000 N/A 1/22/2010 $ 50,000 $ 1,330,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 1,020,000 $ 2,350,000 Updated portfolio data from servicer

7/14/2010 $ (950,000) $ 1,400,000 Updated portfolio data from servicer

9/30/2010 $ 50,556 $ 1,450,556 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

6/16/2011 $ (100,000) $ 1,350,552 Transfer of cap due to servicing transfer

First Keystone Bank 6/29/2011 $ (21) $ 1,350,531 

Updated due to quarterly assessment and 

reallocation

12/4/2009 Community Bank & Trust Company Clarks Summit PA Purchase Financial Instrument for Home Loan Modifications $ 380,000 N/A 1/22/2010 $ 10,000 $ 390,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 520,000 $ 910,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

7/14/2010 $ (810,000) $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

Community Bank & Trust Company 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

12/4/2009 Idaho Housing and Finance Association Boise ID Purchase Financial Instrument for Home Loan Modifications $ 9,430,000 N/A 1/22/2010 $ 440,000 $ 9,870,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 14,480,000 $ 24,350,000 Updated portfolio data from servicer

5/26/2010 $ (24,200,000) $ 150,000 Updated portfolio data from servicer

7/14/2010 $ 150,000 $ 300,000 Updated portfolio data from servicer

9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

Idaho Housing and Finance Association 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Spirit of Alaska Federal Credit Union Fairbanks AK Purchase Financial Instrument for Home Loan Modifications $ 360,000 N/A 1/22/2010 $ 10,000 $ 370,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 850,000 $ 1,220,000 Updated portfolio data from servicer

7/14/2010 $ (120,000) $ 1,100,000 Updated portfolio data from servicer

9/30/2010 $ 100,000 $ 1,200,000 Initial FHA-HAMP cap

9/30/2010 $ 105,500 $ 1,305,500 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,305,498 Updated portfolio data from servicer

2/17/2011 $ (1,305,498) $ - Termination of SPA 

12/9/2009 American Eagle Federal Credit Union East Hartford CT Purchase Financial Instrument for Home Loan Modifications $ 1,590,000 N/A 1/22/2010 $ 70,000 $ 1,660,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (290,000) $ 1,370,000 Updated portfolio data from servicer

7/14/2010 $ (570,000) $ 800,000 Updated portfolio data from servicer

9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

American Eagle Federal Credit Union 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Silver State Schools Credit Union Las Vegas NV Purchase Financial Instrument for Home Loan Modifications $ 1,880,000 N/A 1/22/2010 $ 90,000 $ 1,970,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 1,110,000 $ 3,080,000 Updated portfolio data from servicer

7/14/2010 $ (1,180,000) $ 1,900,000 Updated portfolio data from servicer

9/30/2010 $ 275,834 $ 2,175,834 Updated portfolio data from servicer

1/6/2011 $ (2) $ 2,175,832 Updated portfolio data from servicer

3/30/2011 $ (3) $ 2,175,829 

Updated due to quarterly assessment and 

reallocation

Silver State Schools Credit Union 6/29/2011 $ (26) $ 2,175,803 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Fidelity Homestead Savings Bank New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 2,940,000 N/A 1/22/2010 $ 140,000 $ 3,080,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 6,300,000 $ 9,380,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

7/14/2010 $ (1,980,000) $ 7,400,000 Updated portfolio data from servicer

9/30/2010 $ (6,384,611) $ 1,015,389 Updated portfolio data from servicer

1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,015,386 

Updated due to quarterly assessment and 

reallocation

Fidelity Homestead Savings Bank 6/29/2011 $ (16) $ 1,015,370 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Bay Gulf Credit Union Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 1/22/2010 $ 10,000 $ 240,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 440,000 $ 680,000 Updated portfolio data from servicer

7/14/2010 $ (80,000) $ 600,000 Updated portfolio data from servicer

9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

10/15/2010 $ (580,222) $ - Termination of SPA 

12/9/2009 The Golden 1 Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 6,160,000 N/A 1/22/2010 $ 290,000 $ 6,450,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 40,000 $ 6,490,000 Updated portfolio data from servicer

7/14/2010 $ (2,890,000) $ 3,600,000 Updated portfolio data from servicer

9/30/2010 $ 606,612 $ 4,206,612 Updated portfolio data from servicer

1/6/2011 $ (4) $ 4,206,608 Updated portfolio data from servicer

3/30/2011 $ (4) $ 4,206,604 

Updated due to quarterly assessment and 

reallocation

The Golden 1 Credit Union 6/29/2011 $ (35) $ 4,206,569 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Sterling Savings Bank Spokane WA Purchase Financial Instrument for Home Loan Modifications $ 2,250,000 N/A 1/22/2010 $ 100,000 $ 2,350,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (740,000) $ 1,610,000 Updated portfolio data from servicer

7/14/2010 $ (710,000) $ 900,000 Updated portfolio data from servicer

9/30/2010 $ 550,556 $ 1,450,556 Updated portfolio data from servicer

1/6/2011 $ (1) $ 1,450,555 Updated portfolio data from servicer

3/30/2011 $ (1) $ 1,450,554 

Updated due to quarterly assessment and 

reallocation

Sterling Savings Bank 6/29/2011 $ (11) $ 1,450,543 

Updated due to quarterly assessment and 

reallocation

12/11/2009 HomeStar Bank & Financial Services Manteno IL Purchase Financial Instrument for Home Loan Modifications $ 310,000 N/A 1/22/2010 $ 20,000 $ 330,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 820,000 $ 1,150,000 Updated portfolio data from servicer

7/14/2010 $ (350,000) $ 800,000 Updated portfolio data from servicer

9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

HomeStar Bank & Financial Services 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

12/11/2009 Glenview State Bank Glenview IL Purchase Financial Instrument for Home Loan Modifications $ 370,000 N/A 1/22/2010 $ 20,000 $ 390,000 Updated HPDP cap & HAFA initial cap
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/26/2010 $ 1,250,000 $ 1,640,000 Updated portfolio data from servicer

5/26/2010 $ (1,640,000) $ - Termination of SPA 

12/11/2009 Verity Credit Union Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 1/22/2010 $ 30,000 $ 630,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 400,000 $ 1,030,000 Updated portfolio data from servicer

7/14/2010 $ (330,000) $ 700,000 Updated portfolio data from servicer

9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

2/17/2011 $ (725,277) $ - Termination of SPA 

12/11/2009 Hartford Savings Bank Hartford WI Purchase Financial Instrument for Home Loan Modifications $ 630,000 N/A 1/22/2010 $ 30,000 $ 660,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 800,000 $ 1,460,000 Updated portfolio data from servicer

7/14/2010 $ (360,000) $ 1,100,000 Updated portfolio data from servicer

9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

Hartford Savings Bank 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

12/11/2009 The Bryn Mawr Trust Co. Bryn Mawr PA Purchase Financial Instrument for Home Loan Modifications $ 150,000 N/A 4/21/2010 $ (150,000) $ - Termination of SPA 

The Bryn Mawr Trust Co. 9 6/16/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

12/16/2009 Citizens 1st National Bank Spring Valley IL Purchase Financial Instrument for Home Loan Modifications $ 620,000 N/A 1/22/2010 $ 30,000 $ 650,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (580,000) $ 70,000 Updated portfolio data from servicer

7/14/2010 $ 1,430,000 $ 1,500,000 Updated portfolio data from servicer

9/30/2010 $ 95,612 $ 1,595,612 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,595,610 Updated portfolio data from servicer

3/30/2011 $ (3) $ 1,595,607 

Updated due to quarterly assessment and 

reallocation

Citizens 1st National Bank 6/29/2011 $ (24) $ 1,595,583 

Updated due to quarterly assessment and 

reallocation

12/16/2009 Golden Plains Credit Union Garden City KS Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 1/22/2010 $ 10,000 $ 180,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 30,000 $ 210,000 Updated portfolio data from servicer

7/14/2010 $ (10,000) $ 200,000 Updated portfolio data from servicer

9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

2/17/2011 $ (290,111) $ - Termination of SPA 

12/16/2009 First Federal Savings and Loan Association of Lakewood Lakewood OH Purchase Financial Instrument for Home Loan Modifications $ 3,460,000 N/A 1/22/2010 $ 160,000 $ 3,620,000 Updated HPDP cap & HAFA initial cap

4/21/2010 $ (3,620,000) $ - Termination of SPA 

12/16/2009 Sound Community Bank Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 1/22/2010 $ 20,000 $ 460,000 Updated HPDP cap & HAFA initial cap
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

3/26/2010 $ 1,430,000 $ 1,890,000 Updated portfolio data from servicer

7/14/2010 $ (390,000) $ 1,500,000 Updated portfolio data from servicer

9/8/2010 $ (1,500,000) $ - Termination of SPA 

12/16/2009 Horizon Bank, NA Michigan City IN Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 30,000 $ 730,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 1,740,000 $ 2,470,000 Updated portfolio data from servicer

7/14/2010 $ (1,870,000) $ 600,000 Updated portfolio data from servicer

9/30/2010 $ 850,556 $ 1,450,556 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

Horizon Bank, NA 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

12/16/2009 Park View Federal Savings Bank Solon OH Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 140,000 $ 940,000 Updated portfolio data from servicer

7/14/2010 $ (140,000) $ 800,000 Updated portfolio data from servicer

9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

Park View Federal Savings Bank 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

12/23/2009 Iberiabank Sarasota FL Purchase Financial Instrument for Home Loan Modifications $ 4,230,000 N/A 1/22/2010 $ 200,000 $ 4,430,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (1,470,000) $ 2,960,000 Updated portfolio data from servicer

7/14/2010 $ (1,560,000) $ 1,400,000 Updated portfolio data from servicer

9/30/2010 $ 5,852,780 $ 7,252,780 Updated portfolio data from servicer

1/6/2011 $ (11) $ 7,252,769 Updated portfolio data from servicer

3/30/2011 $ (13) $ 7,252,756 

Updated due to quarterly assessment and 

reallocation

Iberiabank 4/13/2011 $ (300,000) $ 6,952,756 Transfer of cap due to servicing transfer

12 6/3/2011 $ (6,927,254) $ 25,502 Termination of SPA 

12/23/2009 Grafton Suburban Credit Union North Grafton MA Purchase Financial Instrument for Home Loan Modifications $ 340,000 N/A 1/22/2010 $ 20,000 $ 360,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (320,000) $ 40,000 Updated portfolio data from servicer

7/14/2010 $ 760,000 $ 800,000 Updated portfolio data from servicer

9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

Grafton Suburban Credit Union 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

12/23/2009 Eaton National Bank & Trust Company Eaton OH Purchase Financial Instrument for Home Loan Modifications $ 60,000 N/A 1/22/2010 $ - $ 60,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ 90,000 $ 150,000 Updated portfolio data from servicer

7/14/2010 $ 50,000 $ 200,000 Updated portfolio data from servicer

9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

Eaton National Bank & Trust Company 5/20/2011 $ (145,056) $ - Termination of SPA 

12/23/2009 Tempe Schools Credit Union Tempe AZ Purchase Financial Instrument for Home Loan Modifications $ 110,000 N/A 1/22/2010 $ - $ 110,000 Updated HPDP cap & HAFA initial cap

3/26/2010 $ (20,000) $ 90,000 Updated portfolio data from servicer

7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

12/8/2010 $ (145,056) $ - Termination of SPA 

1/13/2010 Fresno County Federal Credit Union Fresno CA Purchase Financial Instrument for Home Loan Modifications $ 260,000 N/A 3/26/2010 $ 480,000 $ 740,000 Updated portfolio data from servicer

7/14/2010 $ (140,000) $ 600,000 Updated portfolio data from servicer

9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

Fresno County Federal Credit Union 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1/13/2010 Roebling Bank Roebling NJ Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 3/26/2010 $ 610,000 $ 850,000 Updated portfolio data from servicer

7/14/2010 $ 50,000 $ 900,000 Updated portfolio data from servicer

9/30/2010 $ (29,666) $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/23/2011 $ (870,333) $ - Termination of SPA 

1/13/2010 First National Bank of Grant Park Grant Park IL Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 3/26/2010 $ 150,000 $ 290,000 Updated portfolio data from servicer

7/14/2010 $ 10,000 $ 300,000 Updated portfolio data from servicer

9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1/26/2011 $ (290,111) $ - Termination of SPA 

1/13/2010 Specialized Loan Servicing, LLC Highlands Ranch CO Purchase Financial Instrument for Home Loan Modifications $ 64,150,000 N/A 3/26/2010 $ (51,240,000) $ 12,910,000 Updated portfolio data from servicer

5/14/2010 $ 3,000,000 $ 15,910,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

6/16/2010 $ 4,860,000 $ 20,770,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

7/14/2010 $ 3,630,000 $ 24,400,000 Updated portfolio data from servicer

7/16/2010 $ 330,000 $ 24,730,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

8/13/2010 $ 700,000 $ 25,430,000 Transfer of cap due to servicing transfer

9/15/2010 $ 200,000 $ 25,630,000 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/30/2010 $ (1,695,826) $ 23,934,174 Updated portfolio data from servicer

11/16/2010 $ 200,000 $ 24,134,174 Transfer of cap due to servicing transfer

1/6/2011 $ (32) $ 24,134,142 Updated portfolio data from servicer

1/13/2011 $ 1,500,000 $ 25,634,142 Transfer of cap due to servicing transfer

3/16/2011 $ 7,100,000 $ 32,734,142 Transfer of cap due to servicing transfer

3/30/2011 $ (36) $ 32,734,106 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 1,000,000 $ 33,734,106 Transfer of cap due to servicing transfer

5/13/2011 $ 100,000 $ 33,834,106 Transfer of cap due to servicing transfer

6/16/2011 $ 300,000 $ 34,134,106 Transfer of cap due to servicing transfer

Specialized Loan Servicing, LLC 6/29/2011 $ (332) $ 34,133,774 

Updated due to quarterly assessment and 

reallocation

1/13/2010 Greater Nevada Mortgage Services Carson City NV Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 3/26/2010 $ 8,680,000 $ 9,450,000 Updated portfolio data from servicer

7/14/2010 $ (8,750,000) $ 700,000 Updated portfolio data from servicer

9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

Greater Nevada Mortgage Services 6/29/2011 $ (8) $ 870,324 

Updated due to quarterly assessment and 

reallocation

1/15/2010 Digital Federal Credit Union Marlborough MA Purchase Financial Instrument for Home Loan Modifications $ 3,050,000 N/A 3/26/2010 $ 12,190,000 $ 15,240,000 Updated portfolio data from servicer

5/14/2010 $ (15,240,000) $ - Termination of SPA 

1/29/2010 iServe Residential Lending, LLC San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 960,000 N/A 3/26/2010 $ (730,000) $ 230,000 Updated portfolio data from servicer

7/14/2010 $ 370,000 $ 600,000 Updated portfolio data from servicer

9/30/2010 $ 200,000 $ 800,000 Initial FHA-HAMP cap and initial 2MP cap

9/30/2010 $ (364,833) $ 435,167 Updated portfolio data from servicer

11/16/2010 $ 100,000 $ 535,167 Transfer of cap due to servicing transfer

1/6/2011 $ (1) $ 535,166 Updated portfolio data from servicer

3/30/2011 $ (1) $ 535,165 

Updated due to quarterly assessment and 

reallocation

iServe Residential Lending, LLC 6/29/2011 $ (7) $ 535,158 

Updated due to quarterly assessment and 

reallocation

1/29/2010 United Bank Griffin GA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 3/26/2010 $ 160,000 $ 700,000 Updated portfolio data from servicer

9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

United Bank 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

3/3/2010 Urban Trust Bank Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,060,000 N/A 7/14/2010 $ 4,440,000 $ 5,500,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/24/2010 $ (5,500,000) $ - Termination of SPA 

3/5/2010 iServe Servicing, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 28,040,000 N/A 5/26/2010 $ 120,000 $ 28,160,000 Initial 2MP cap

7/14/2010 $ (12,660,000) $ 15,500,000 Updated portfolio data from servicer

9/30/2010 $ 100,000 $ 15,600,000 Initial FHA-HAMP cap

9/30/2010 $ (3,125,218) $ 12,474,782 Updated portfolio data from servicer

11/16/2010 $ 800,000 $ 13,274,782 Transfer of cap due to servicing transfer

1/6/2011 $ (20) $ 13,274,762 Updated portfolio data from servicer

3/30/2011 $ (24) $ 13,274,738 

Updated due to quarterly assessment and 

reallocation

iServe Servicing, Inc. 6/29/2011 $ (221) $ 13,274,517 

Updated due to quarterly assessment and 

reallocation

3/10/2010 Navy Federal Credit Union Vienna VA Purchase Financial Instrument for Home Loan Modifications $ 60,780,000 N/A 7/14/2010 $ (44,880,000) $ 15,900,000 Updated portfolio data from servicer

9/30/2010 $ 1,071,505 $ 16,971,505 Updated portfolio data from servicer

1/6/2011 $ (23) $ 16,971,482 Updated portfolio data from servicer

3/30/2011 $ (26) $ 16,971,456 

Updated due to quarterly assessment and 

reallocation

Navy Federal Credit Union 6/29/2011 $ (238) $ 16,971,218 

Updated due to quarterly assessment and 

reallocation

3/10/2010 Vist Financial Corp Wyomissing PA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 400,000 $ 700,000 Updated portfolio data from servicer

9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

Vist Financial Corp 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

4/14/2010 Midwest Bank and Trust Co. Elmwood Park IL Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 300,000 $ 600,000 Updated portfolio data from servicer

9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

Midwest Bank and Trust Co. 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

4/14/2010 Wealthbridge Mortgage Corp Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 6,550,000 N/A 7/14/2010 $ (150,000) $ 6,400,000 Updated portfolio data from servicer

9/15/2010 $ 1,600,000 $ 8,000,000 Transfer of cap due to servicing transfer

9/30/2010 $ (4,352,173) $ 3,647,827 Updated portfolio data from servicer

1/6/2011 $ (5) $ 3,647,822 Updated portfolio data from servicer

3/30/2011 $ (6) $ 3,647,816 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ (3,000,000) $ 647,816 Transfer of cap due to servicing transfer

Wealthbridge Mortgage Corp 6/29/2011 $ (9) $ 647,807 

Updated due to quarterly assessment and 

reallocation

5/21/2010 Aurora Financial Group, Inc. Marlton NJ Purchase Financial Instrument for Home Loan Modifications $ 10,000 N/A 4, 8 5/26/2010 $ 30,000 $ 40,000 Updated FHA-HAMP cap
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/30/2010 $ 250,111 $ 290,111 Updated portfolio data from servicer

Aurora Financial Group, Inc. 6/29/2011 $ 59,889 $ 350,000 

Updated due to quarterly assessment and 

reallocation

6/16/2010 Selene Finance LP Houston TX Transfer Financial Instrument for Home Loan Modifications $ - N/A 9 6/16/2010 $ 3,680,000 $ 3,680,000

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

8/13/2010 $ 3,300,000 $ 6,980,000 Transfer of cap due to servicing transfer

9/30/2010 $ 3,043,831 $ 10,023,831 Updated portfolio data from servicer

10/15/2010 $ 1,400,000 $ 11,423,831 Transfer of cap due to servicing transfer

1/6/2011 $ (17) $ 11,423,814 Updated portfolio data from servicer

3/16/2011 $ 2,100,000 $ 13,523,814 Transfer of cap due to servicing transfer

3/30/2011 $ (24) $ 13,523,790 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 2,900,000 $ 16,423,790 Transfer of cap due to servicing transfer

6/16/2011 $ (200,000) $ 16,223,790 Transfer of cap due to servicing transfer

Selene Financial, L.P. 6/29/2011 $ (273) $ 16,223,517 

Updated due to quarterly assessment and 

reallocation

8/4/2010 Suburban Mortgage Company of New Mexico Albuquerque NM Purchase Financial Instrument for Home Loan Modifications $ 880,000 N/A 9/30/2010 $ 1,585,945 $ 2,465,945 Updated portfolio data from servicer

1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

Suburban Mortgage Company of New Mexico 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

8/20/2010 Bramble Savings Bank Cincinanati OH Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 9/30/2010 $ 1,040,667 $ 1,740,667 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,740,665 Updated portfolio data from servicer

3/30/2011 $ (3) $ 1,740,662 

Updated due to quarterly assessment and 

reallocation

Bramble Savings Bank 6/29/2011 $ (28) $ 1,740,634 

Updated due to quarterly assessment and 

reallocation

8/25/2010 Pathfinder Bank Oswego NY Purchase Financial Instrument for Home Loan Modifications $ 1,300,000 N/A 9/30/2010 $ 2,181,334 $ 3,481,334 Updated portfolio data from servicer

1/6/2011 $ (5) $ 3,481,329 Updated portfolio data from servicer

3/30/2011 $ (6) $ 3,481,323 

Updated due to quarterly assessment and 

reallocation

Pathfinder Bank 6/29/2011 $ (58) $ 3,481,265 

Updated due to quarterly assessment and 

reallocation

8/27/2010 First Financial Bank, N.A. Terre Haute ID Purchase Financial Instrument for Home Loan Modifications $ 4,300,000 N/A 9/30/2010 $ 7,014,337 $ 11,314,337 Updated portfolio data from servicer

1/6/2011 $ (17) $ 11,314,320 Updated portfolio data from servicer

3/30/2011 $ (20) $ 11,314,300 

Updated due to quarterly assessment and 

reallocation

First Financial Bank, N.A. 6/29/2011 $ (192) $ 11,314,108 

Updated due to quarterly assessment and 

reallocation

9/1/2010 RBC Bank (USA) Raleigh NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1/6/2011 $ 34,944 $ 180,000 Updated portfolio data from servicer

3/30/2011 $ 40,000 $ 220,000 

Updated due to quarterly assessment and 

reallocation

RBC Bank (USA) 6/29/2011 $ 50,000 $ 270,000 

Updated due to quarterly assessment and 

reallocation
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/3/2010 Fay Servicing, LLC Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 3,100,000 N/A 9/30/2010 $ 5,168,169 $ 8,268,169 Updated portfolio data from servicer

1/6/2011 $ (12) $ 8,268,157 Updated portfolio data from servicer

3/30/2011 $ (15) $ 8,268,142 

Updated due to quarterly assessment and 

reallocation

4/13/2011 $ 400,000 $ 8,668,142 Transfer of cap due to servicing transfer

Fay Servicing, LLC 6/29/2011 $ (143) $ 8,667,999 

Updated due to quarterly assessment and 

reallocation

9/15/2010 Vericrest Financial, Inc. Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2010 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer

9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

2/16/2011 $ 3,000,000 $ 4,450,554 Transfer of cap due to servicing transfer

3/16/2011 $ 10,200,000 $ 14,650,554 Transfer of cap due to servicing transfer

3/30/2011 $ (24) $ 14,650,530 

Updated due to quarterly assessment and 

reallocation

Vericrest Financial, Inc. 6/29/2011 $ (227) $ 14,650,303 

Updated due to quarterly assessment and 

reallocation

9/15/2010 Midwest Community Bank Freeport IL Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

Midwest Community Bank 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

9/24/2010 American Finance House LARIBA Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

2/2/2011 $ (145,056) $ - Termination of SPA 

9/24/2010 Centrue Bank Ottawa IL Purchase Financial Instrument for Home Loan Modifications $ 1,900,000 N/A 9/30/2010 $ 856,056 $ 2,756,056 Updated portfolio data from servicer

1/6/2011 $ (4) $ 2,756,052 Updated portfolio data from servicer

3/9/2011 $ (2,756,052) $ - Termination of SPA 

9/30/2010 AgFirst Farm Credit Bank Columbia SC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Amarillo National Bank Amarillo TX Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

Amarillo National Bank 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 American Financial Resources Inc. Parsippany NJ Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

American Financial Resources Inc. 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Banco Popular de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4, 5, 8 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1/6/2011 $ (3) $ 2,465,942 Updated portfolio data from servicer

3/30/2011 $ (4) $ 2,465,938 

Updated due to quarterly assessment and 

reallocation

Banco Popular de Puerto Rico 6/29/2011 $ (36) $ 2,465,902 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Capital International Financial, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

Capital International Financial, Inc. 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/24/2010 Citizens Community Bank Freeburg IL Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

3/23/2011 $ (1,160,443) $ - Termination of SPA 

9/30/2010 Community Credit Union of Florida Rockledge FL Purchase Financial Instrument for Home Loan Modifications $ 2,000,000 N/A 6 9/30/2010 $ 901,112 $ 2,901,112 Updated portfolio data from servicer

1/6/2011 $ (4) $ 2,901,108 Updated portfolio data from servicer

3/30/2011 $ (5) $ 2,901,103 

Updated due to quarterly assessment and 

reallocation

Community Credit Union of Florida 6/29/2011 $ (48) $ 2,901,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 CU Mortgage Services, Inc. New Brighton MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

CU Mortgage Services, Inc. 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Federal Bank of Florida Lake City FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

First Federal Bank of Florida 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Mortgage Coporation Diamond Bar CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

First Mortgage Coporation 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Safety Bank Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

3/23/2011 $ (580,221) $ - Termination of SPA 

9/30/2010 Flagstar Capital Markets Corporation Troy MI Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 7, 8 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

Flagstar Capital Markets Corporation 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Franklin Savings Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

Franklin Savings 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Gateway Mortgage Group, LLC Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

Gateway Mortgage Group, LLC 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 GFA Federal Credit Union Gardner MA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Guaranty Bank Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/24/2010 James B. Nutter & Company Kansas City MO Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 4, 8 9/30/2010 $ 135,167 $ 435,167 Updated portfolio data from servicer

1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

James B. Nutter & Company 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Liberty Bank and Trust Co New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 1,000,000 N/A 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

Liberty Bank and Trust Co 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

9/30/2010 M&T Bank Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 4, 8 9/30/2010 $ 315,389 $ 1,015,389 Updated portfolio data from servicer

1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

3/30/2011 $ (1) $ 1,015,387 

Updated due to quarterly assessment and 

reallocation

M&T Bank 6/29/2011 $ (11) $ 1,015,376 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Magna Bank Germantown TN Purchase Financial Instrument for Home Loan Modifications $ 1,400,000 N/A 5 9/30/2010 $ 630,778 $ 2,030,778 Updated portfolio data from servicer

1/6/2011 $ (3) $ 2,030,775 Updated portfolio data from servicer

3/30/2011 $ (3) $ 2,030,772 

Updated due to quarterly assessment and 

reallocation

Magna Bank 6/29/2011 $ (33) $ 2,030,739 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Mainstreet Credit Union Lexena KS Purchase Financial Instrument for Home Loan Modifications $ 500,000 N/A 9/30/2010 $ 225,278 $ 725,278 Updated portfolio data from servicer

1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

3/9/2011 $ (725,277) $ - Termination of SPA 

9/30/2010 Marsh Associates, Inc. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Midland Mortgage Company Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ 43,500,000 N/A 4, 5 9/30/2010 $ 49,915,806 $ 93,415,806 Updated portfolio data from servicer

1/6/2011 $ (125) $ 93,415,681 Updated portfolio data from servicer

3/30/2011 $ (139) $ 93,415,542 

Updated due to quarterly assessment and 

reallocation

Midland Mortgage Company 6/29/2011 $ (1,223) $ 93,414,319 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Schmidt Mortgage Company Rocky River OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Stockman Bank of Montana Miles City MT Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

Stockman Bank of Montana 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 University First Federal Credit Union Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

2/17/2011 $ (870,333) $ - Termination of SPA 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

9/30/2010 Weststar Mortgage, Inc. Woodbridge VA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

12/15/2010 Statebridge Company, LLC Denver CO Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 5,000,000 $ 5,000,000 Updated portfolio data from servicer

1/6/2011 $ (7) $ 4,999,993 Updated portfolio data from servicer

2/16/2011 $ 500,000 $ 5,499,993 Transfer of cap due to servicing transfer

3/16/2011 $ 100,000 $ 5,599,993 Transfer of cap due to servicing transfer

3/30/2011 $ (9) $ 5,599,984 

Updated due to quarterly assessment and 

reallocation

Statebridge Company, LLC 6/29/2011 $ (85) $ 5,599,899 

Updated due to quarterly assessment and 

reallocation

12/15/2010 Scotiabank de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 4,300,000 $ 4,300,000 Updated portfolio data from servicer

1/6/2011 $ (4) $ 4,299,996 Updated portfolio data from servicer

Scotiabank de Puerto Rico 6/29/2011 $ (5) $ 4,299,991 

Updated due to quarterly assessment and 

reallocation

4/13/2011 AmTrust Bank, A Division of New York Community Bank Cleveland OH Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

5/13/2011 $ 100,000 $ 300,000 Transfer of cap due to servicing transfer

6/16/2011 $ 300,000 $ 600,000 Transfer of cap due to servicing transfer

AmTrust Bank, A Division of New York Community Bank 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

4/13/2011 SunTrust Mortgage, Inc. Richmond VA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

4/13/2011 Urban Partnership Bank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer

Urban Partnership Bank 6/29/2011 $ 233,268 $ 1,233,268 

Updated due to quarterly assessment and 

reallocation

4/13/2011 Western Federal Credit Union Hawthorne CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

Western Federal Credit Union 6/29/2011 $ 17,687 $ 217,687 

Updated due to quarterly assessment and 

reallocation

5/13/2011 FCI Lender Services, Inc. Anaheim Hills CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 5/13/2011 $ 500,000 $ 500,000 Transfer of cap due to servicing transfer

6/16/2011 $ 100,000 $ 600,000 Transfer of cap due to servicing transfer

FCI Lender Services, Inc. 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

Total Initial Cap $ 23,831,570,000 $ 6,056,226,119

TOTAL CAP $ 29,887,796,119

5/ Initial cap amount includes RD-HAMP.

6/ Initial cap amount includes 2MP.

7/ Initial cap amount includes FHA-2LP.

Total Cap Adjustments

1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors. 

The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.

2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation. 

3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger. 

4/ Initial cap amount includes FHA-HAMP.

8/ Initial cap does not include HAMP.

9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.

10/ The amendment reflects a change in the legal name of the institution.

11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement. 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Adjustment Details

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

Pricing 

Mechanism Note

12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination. 

"HPDP" means the Home Price Decline Protection program.

"2MP" means the Second Lien Modification Program.

"RD-HAMP" means the Rural Housing Service Home Affordable Modification Program.

"FHA-2LP" means the FHA Second Lien Program

As used in this table:

"HAFA" means the Home Affordable Foreclosure Alternatives program.
Name of Institution Borrowers Lenders/Investors Servicer Total Payments

Allstate Mortgage Loans & Investments, Inc. $ 1,623.05 $ 5,418.85 $ 4,623.05 $ 11,664.95

American Home Mortgage Servicing, Inc. $ 12,023,297.14 $ 49,651,169.11 $ 39,422,434.31 $ 101,096,900.56

Aurora Financial Group, Inc $ 5,783.79 $ - $ 5,867.12 $ 11,650.91

Aurora Loan Services LLC $ 5,362,355.80 $ 17,224,086.31 $ 13,931,039.00 $ 36,517,481.11

BAC Home Loans Servicing, LP $ 27,559,697.84 $ 78,530,233.06 $ 68,216,220.99 $ 174,306,151.89

Bank of America, N.A. $ 3,107,415.50 $ 13,713,244.81 $ 10,080,938.92 $ 26,901,599.23

BANKUNITED $ 1,418,808.71 $ 5,424,052.85 $ 4,275,467.69 $ 11,118,329.25

Bayview Loan Servicing LLC $ 1,847,257.11 $ 4,844,285.98 $ 4,565,504.95 $ 11,257,048.04

Carrington Mortgage Services, LLC. $ 2,048,282.62 $ 7,553,982.26 $ 6,050,351.72 $ 15,652,616.60

CCO Mortgage, a division of RBS Citizens NA $ 477,186.67 $ 1,500,098.84 $ 1,274,504.91 $ 3,251,790.42

Central Florida Educators Federal Credit Union $ 14,185.90 $ 36,035.71 $ 49,820.42 $ 100,042.03

CitiMortgage Inc $ 15,033,316.27 $ 46,787,376.77 $ 41,072,284.04 $ 102,892,977.08

Citizens First National Bank $ 2,750.00 $ 6,280.94 $ 10,916.67 $ 19,947.61

CUC Mortgage Corporation $ 11,881.16 $ 34,771.97 $ 40,848.96 $ 87,502.09

DuPage Credit Union $ 1,000.00 $ 9,587.45 $ 3,500.00 $ 14,087.45

EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ 16,279,383.05 $ 35,441,779.30

FCI Lender Services, Inc. $ - $ 349.32 $ - $ 349.32

FIRST BANK $ 203,935.00 $ 547,447.87 $ 588,724.78 $ 1,340,107.65

First Keystone Bank $ 2,775.62 $ 3,423.27 $ 8,717.90 $ 14,916.79

Franklin Credit Management Corporation $ 116,048.70 $ 274,106.88 $ 418,495.67 $ 808,651.25

Fresno County Federal Credit Union $ 1,000.00 $ 4,596.01 $ 5,000.00 $ 10,596.01

Glass City Federal Credit Union $ 2,000.00 $ 1,949.67 $ 4,000.00 $ 7,949.67

GMAC Mortgage, LLC $ 10,126,737.12 $ 39,142,405.60 $ 30,951,448.77 $ 80,220,591.49

Great Lakes Credit Union $ 916.67 $ 2,008.28 $ 3,000.00 $ 5,924.95

Greater Nevada Mortgage Services $ 14,416.67 $ 38,314.55 $ 37,750.01 $ 90,481.23

Green Tree Servicing LLC $ 181,177.03 $ 547,481.92 $ 815,491.67 $ 1,544,150.62

Guaranty Bank $ 916.67 $ - $ 1,000.00 $ 1,916.67

Hillsdale County National Bank $ 5,142.92 $ 9,159.61 $ 20,788.17 $ 35,090.70

Home Loan Services, Inc. $ 169,857.80 $ 2,440,767.73 $ 3,698,606.99 $ 6,309,232.52

HomEqServicing $ - $ 3,036,319.34 $ 5,272,500.00 $ 8,308,819.34

HomeStar Bank and Financial Services $ 583.33 $ 2,578.43 $ 3,916.67 $ 7,078.43

Horicon Bank $ 1,515.13 $ 4,553.15 $ 4,569.53 $ 10,637.81

Iberiabank $ - $ 10,502.00 $ 15,000.00 $ 25,502.00

IBM Southeast Employees' Federal Credit Union $ 2,916.67 $ 9,814.34 $ 10,000.00 $ 22,731.01

IC Federal Credit Union $ 3,833.34 $ 7,861.10 $ 10,000.00 $ 21,694.44

Idaho Housing and Finance Association $ 4,844.16 $ 3,799.00 $ 7,844.16 $ 16,487.32

JPMorgan Chase Bank, NA $ 42,687,366.02 $ 68,670,462.04 $ 85,201,942.36 $ 196,559,770.42

Lake City Bank $ 833.33 $ 1,078.07 $ 6,000.00 $ 7,911.40

Lake National Bank $ 2,000.00 $ 2,323.65 $ 3,000.00 $ 7,323.65

Supplemental Information [Not Required by EESA §114(a)]

Home Affordable Modification Program

Non-GSE Incentive Payments (through June 2011)
Name of Institution Borrowers Lenders/Investors Servicer Total Payments

Litton Loan Servicing, LP $ 7,805,147.34 $ 23,240,914.60 $ 19,540,214.35 $ 50,586,276.29

Los Alamos National Bank $ 2,276.50 $ 3,451.23 $ 10,474.00 $ 16,201.73

M&T Bank $ 10,735.50 $ - $ 10,902.17 $ 21,637.67

Marix Servicing LLC $ 114,854.56 $ 365,820.30 $ 392,171.44 $ 872,846.30

Midland Mortgage Co. $ 381,358.49 $ 1,427.15 $ 422,637.49 $ 805,423.13

Midwest Community Bank $ - $ 90.88 $ 1,000.00 $ 1,090.88

Mission Federal Credit Union $ 14,500.01 $ 37,433.36 $ 35,000.00 $ 86,933.37

MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ 1,977,320.74 $ 4,628,164.95

Mortgage Center, LLC $ 29,874.73 $ 68,269.57 $ 94,867.17 $ 193,011.47

National City Bank $ 449,054.26 $ 1,757,563.39 $ 1,324,245.30 $ 3,530,862.95

Nationstar Mortgage LLC $ 3,860,680.61 $ 10,904,087.12 $ 10,218,878.84 $ 24,983,646.57

Navy Federal Credit Union $ 16,833.34 $ 118,817.12 $ 128,333.34 $ 263,983.80

Oakland Municipal Credit Union $ - $ 3,568.11 $ 6,500.00 $ 10,068.11

Ocwen Loan Servicing, LLC $ 15,103,344.55 $ 42,459,574.80 $ 36,907,445.31 $ 94,470,364.66

OneWest Bank $ 9,688,319.21 $ 34,003,983.36 $ 24,184,840.94 $ 67,877,143.51

ORNL Federal Credit Union $ - $ - $ 2,000.00 $ 2,000.00

Park View Federal Savings Bank $ 5,000.00 $ 13,807.51 $ 12,000.00 $ 30,807.51

Pathfinder Bank $ 916.67 $ 839.84 $ 1,916.67 $ 3,673.18

PennyMac Loan Services, LLC $ 278,094.23 $ 773,340.40 $ 865,794.21 $ 1,917,228.84

PNC Bank, National Association $ 12,833.34 $ 30,515.75 $ 41,000.00 $ 84,349.09

Quantum Servicing Corporation $ - $ 1,045.60 $ 1,000.00 $ 2,045.60

RBC Bank (USA) $ 3,151.95 $ - $ 3,151.95 $ 6,303.90

Residential Credit Solutions, Inc. $ 235,115.41 $ 732,874.36 $ 746,671.47 $ 1,714,661.24

RG Mortgage $ 164,852.94 $ 227,582.28 $ 401,333.81 $ 793,769.03

RoundPoint Mortgage Servicing Corporation $ 20,000.00 $ 89,319.47 $ 96,000.00 $ 205,319.47

Saxon Mortgage Services, Inc. $ 12,249,384.93 $ 24,114,854.18 $ 29,456,449.76 $ 65,820,688.87

Schools Financial Credit Union $ 3,000.00 $ 18,112.30 $ 11,500.00 $ 32,612.30

Scotiabank de Puerto Rico $ 28,509.38 $ 124,666.62 $ 46,337.43 $ 199,513.43

Select Portfolio Servicing, Inc. $ 15,063,850.07 $ 39,175,513.54 $ 36,766,089.25 $ 91,005,452.86

Selene Finance LP $ 6,750.00 $ 14,653.21 $ 6,500.00 $ 27,903.21

Servis One, Inc., dba BSI Financial Services, Inc. $ 2,000.00 $ 5,353.10 $ 8,000.00 $ 15,353.10

ShoreBank $ 49,915.10 $ 153,906.17 $ 143,165.10 $ 346,986.37

Silver State Schools Credit Union $ 11,677.95 $ 69,291.71 $ 38,844.62 $ 119,814.28

Specialized Loan Servicing LLC $ 311,218.03 $ 788,246.85 $ 761,288.00 $ 1,860,752.88

Sterling Savings Bank $ 16,000.00 $ 41,859.55 $ 54,500.00 $ 112,359.55

Technology Credit Union $ 9,416.67 $ 42,811.10 $ 23,916.67 $ 76,144.44

The Golden 1 Credit Union $ 36,246.34 $ 180,253.27 $ 141,996.34 $ 358,495.95

U.S. Bank National Association $ 2,151,197.76 $ 8,402,636.95 $ 7,410,241.04 $ 17,964,075.75

United Bank Mortgage Corporation $ 12,957.90 $ 26,333.12 $ 31,579.63 $ 70,870.65

Vantium Capital, Inc. d/b/a Acqura Loan Services $ 47,464.24 $ 80,060.74 $ 52,006.64 $ 179,531.62

Vericrest Financial, Inc. $ 6,469.26 $ 19,130.44 $ 20,469.26 $ 46,068.96

Wachovia Mortgage, FSB $ - $ 76,889.58 $ 162,000.00 $ 238,889.58

Wells Fargo Bank, N.A. $ 28,374,162.00 $ 80,352,602.17 $ 69,281,823.39 $ 178,008,587.56

Wescom Central Credit Union $ 93,545.55 $ 374,718.56 $ 210,612.54 $ 678,876.65

Western Federal Credit Union $ - $ 6,091.98 $ 3,000.00 $ 9,091.98

Wilshire Credit Corporation $ - $ 490,394.10 $ 1,167,000.00 $ 1,657,394.10
Name of Institution Borrowers Lenders/Investors Servicer Total Payments

Yadkin Valley Bank $ 2,000.00 $ 2,482.63 $ 14,000.00 $ 18,482.63

Totals $ 227,031,667 $ 623,375,055 $ 575,608,521 $ 1,426,015,243
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 102,800,000 - $ 194,026,240 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 34,056,581 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 57,169,659 N/A

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 699,600,000 - $ 1,975,334,096 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 476,257,070 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 799,477,026 N/A

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 418,000,000 - $ 1,057,839,136 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 238,864,755 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 400,974,381 N/A

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 125,100,000 - $ 267,766,006 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 142,666,006 N/A

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 154,500,000 - $ 498,605,738 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 128,461,559 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 215,644,179 N/A

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 159,000,000 - $ 482,781,786 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 120,874,221 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 202,907,565 N/A

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 172,000,000 - $ 570,395,099 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 148,728,864 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 249,666,235 N/A

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 88,000,000 - $ 220,042,786 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 49,294,215 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 82,748,571 N/A

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 43,000,000 - $ 79,351,573 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 13,570,770 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 22,780,803 N/A

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HHF Program $ 138,000,000 - $ 295,431,547 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 58,772,347 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 98,659,200 N/A

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HHF Program $ 60,672,471 - $ 162,521,345 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 101,848,874 N/A

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 55,588,050 - $ 148,901,875 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 93,313,825 N/A

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 38,036,950 - $ 101,888,323 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 63,851,373 N/A

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 126,650,987 - $ 339,255,819 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 212,604,832 N/A

Date

Seller Transaction 

Type

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets

Hardest Hit Funds (HHF) Program

Note

Additional 

Investment Amount

Investment Amount 1 Investment Description

Initial Investment 

Amount

Pricing 

Mechanism
Date Name of Institution City State

Seller Transaction 

Note Type

Additional 

Investment Amount

Investment Amount 1 Investment Description

Initial Investment 

Amount

Pricing 

Mechanism

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 82,762,859 - $ 221,694,139 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 138,931,280 N/A

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 166,352,726 - $ 445,603,557 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 279,250,831 N/A

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 112,200,637 - $ 300,548,144 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 188,347,507 N/A

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 7,726,678 - $ 20,697,198 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 12,970,520 N/A

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 81,128,260 - $ 217,315,593 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 136,187,333 N/A

$ 7,600,000,000

3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

TOTAL INVESTMENT AMOUNT 

2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

1/ The purchase will be incrementally funded up to the investment amount.
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase

Facility Purchase Agreement, dated as of September 3, 

2010, between the U.S. Department of the Treasury 

and Citibank, N.A $ 8,117,000,000

TOTAL $ 8,117,000,000

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an 

up to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refinanced under the FHA Short Refinance program from time to time 

during the first 2.5 years. At that time, the amount of the L/C will be capped at the then-current level. Under the terms of the L/C Facility Agreement, Treasury will incur fees for the availability and usage of the L/C up to a 

maximum amount of $117 million.

N/A

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(E)]

For Period Ending June 30, 2011

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance contracts 

entered into under the provisions of section 102 of the EESA; 

and the single insurance contract with Citigroup was 

terminated on December 23, 2009.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(3)(F)]

For Period Ending June 30, 2011

Type of Expense Amount

Compensation for financial agents, 

legal firms and compliance contractors $494,673,266
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(3)(H)]

For Period Ending June 30, 2011

Date Vehicle Description

None