UNITED STATES DEPARTMENT OF THE TREASURY 

SIXTH TRANCHE REPORT TO CONGRESS 

APRIL 24, 2009 

I. INTRODUCTION 

This Sixth Tranche Report to Congress meets the requirement for reporting at the $350 billion 

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

(EESA). Recent transactions under the Auto Supplier Support Program, Consumer and Business 

Lending Initiative, Home Affordable Modification Program, and Systemically Significant 

Failing Institutions Program, when combined with $3.6 billion of transactions under the Capital 

Purchase Program, bring the total investment amount to $376.7 billion as April 17, 2009. 

Treasury will submit the next report when transactions reach the $400 billion level. 

The Report addresses the following six areas: 

• A description of all the transactions made during the reporting period. 

• A description of the pricing mechanism for the transactions. 

• A justification of the price paid for, and other financial terms associated with, the 

transactions. 

• A description of the impact of the exercise of such authority on the financial system. 

• A description of the challenges that remain in the financial system, including any 

benchmarks yet to be achieved. 

• An estimate of additional actions under the authority provided pursuant to the EESA that 

may be necessary to address such challenges. 

II. TRANSACTION INFORMATION BY PROGRAM 

This Sixth Tranche Report describes transactions under five programs: the Automotive Industry 

Financing Program, Capital Purchase Program, Consumer and Business Lending Initiative, 

Home Affordable Modification Program, and the Systemically Significant Failing Institutions 

Program. A report listing all transactions under the Troubled Asset Relief Program (TARP) is 

attached as the Appendix and is posted on Treasury’s web site. 

Automotive Industry Financing Program

On March 19, 2009, Treasury released details and eligibility information for the Auto Supplier 

Support Program, which is part of the Automotive Industry Financing Program. The Auto 

Supplier Support Program provides domestic auto suppliers access to government-backed 

protection for accounts receivable attributable to products they ship to participating auto 

manufacturers. Participating suppliers are able to sell their receivables into the program for 

payment at maturity at a modest discount or enhance their liquidity by selling the receivables 

before maturity for an additional discount. The program is expected to help increase liquidity in 

the supplier industry. 
2 

Any supplier that ships to a participating auto manufacturer on qualifying commercial terms is 

eligible to be selected for participation in the program. Participating auto manufacturers decide 

which suppliers and receivables receive protection under the program. 

General Motors Corporation and Chrysler LLC have elected to participate in the Auto Supplier 

Support Program. Under the program, Treasury, through the TARP, will provide up to $5 billion 

of funding through the purchase of debt obligations from special purpose limited liability 

companies (SPLLC) established by GM and Chrysler. Each SPLLC received an allocation of the 

funding from Treasury to provide government backing for supplier receivables, and each was 

required to make a financial commitment of its own funds equal to five percent of the allocation 

it received from Treasury pursuant to the TARP. A third-party servicer administers the program 

for each manufacturer. The programs were launched on April 8, 2009. Receivables for goods 

shipped after March 19, 2009 are eligible for the program. 

These efforts, backed by TARP resources, will help stabilize the auto supply base and restore 

credit flows in a critical sector that employs more than 500,000 American workers across the 

country (though eligible suppliers may also include suppliers that are not domiciled in the United 

States). During this difficult period of restructuring in the auto industry, the Auto Supplier 

Support Program will provide supply companies access to liquidity and protect American jobs 

while giving GM and Chrysler reliable access to the parts they need. 

Capital Purchase Program 

The purpose of the Capital Purchase Program (CPP) is to stabilize the financial system by 

building the capital base of healthy, viable U.S. financial institutions, which in turn will increase 

the capacity of those institutions to lend to businesses and consumers and support the economy. 

Under this program, Treasury is purchasing senior preferred shares from qualifying U.S. 

controlled banks, savings associations, and certain bank and savings and loan holding 

companies. 

Since Treasury’s Fifth Tranche Report to Congress published on February 6, 2009, Treasury has 

closed $3.6 billion in transactions under the CPP, bringing the total amount of funds disbursed 

under the CPP to $198.9 billion. Treasury has completed CPP transactions with 553 United 

States financial institutions and Community Development Financial Institutions in 48 states, 

Puerto Rico, and the District of Columbia. 

The provisions in the American Recovery and Reinvestment Act of 2009 allow CPP 

participating banks to repay capital to Treasury without having to raise equivalent capital as 

stated in the CPP agreements, subject to consultation with their appropriate Federal banking 

agency. As of April 17, 2009, Treasury had received $467 million in principal and $3.1 million 

in accrued dividends associated with repayments. In addition, Treasury received $750,000 in 

proceeds from the sale of preferred shares associated with the exercise of warrants at closing. 

Treasury will continue to work with federal banking regulators to evaluate requests from CPP 

participants interested in repaying Treasury. 
3 

Complete details about the CPP are available at: 

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

Consumer and Business Lending Initiative 

The Consumer Business and Lending Initiative (CBLI) is designed to jumpstart secondary 

markets to make credit available. On March 3, 2009, as part of the CBLI, Treasury, the Board of 

Governors of the Federal Reserve System (Federal Reserve), and the Federal Reserve Bank of 

New York (FRBNY) launched the Term Asset-Backed Securities Loan Facility (TALF), which 

was first announced in November 2008, and released further details, including program terms 

and conditions and Q&As for the first funding of TALF loans to eligible borrowers. The TALF 

is a FRBNY facility designed to increase credit availability and support economic activity by 

facilitating renewed issuance of consumer and small business asset-backed securities (ABS) at 

more normal interest rate spreads. 

Specifically, the FRBNY will lend on a non-recourse basis to holders of certain AAA-rated ABS 

secured by newly and recently originated consumer and small business loans. If the TALF 

borrower defaults on its loan with the FRBNY or voluntarily surrenders the collateral securing 

such loan, the FRBNY will sell that collateral to an asset disposition vehicle (TALF LLC) at a 

price equal to the TALF loan plus accrued but unpaid interest. Treasury, through the TARP, will 

purchase subordinated debt issued by TALF LLC to finance the first $20 billion of these asset 

purchases. Additional purchases of these assets in excess of Treasury’s $20 billion subordinated 

debt will be financed by the FRBNY. 

The TALF loans made by the FRBNY have a term of three years and are secured solely by 

eligible collateral. Haircuts – the percentage of the collateral value that must be advanced by 

the borrower – have been determined based on the riskiness of each type of eligible collateral and 

the maturity of the eligible collateral pledged to the FRBNY. The haircuts provide additional 

protection to taxpayers by protecting the Federal Government from loss. An additional credit 

protection measure includes excess loan spread from the TALF loans that is passed through to 

TALF LLC. 

Complete details about the CBLI are available at: 

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

Home Affordable Modification Program 

On March 4, 2009, Treasury issued preliminary guidelines on a new program, the Home 

Affordable Modification Program (HAMP). Final program guidelines and Servicer Participation 

Agreements were released on April 13, 2009. This program, along with the Home Affordable 

Refinance Program, was announced as part of the Administration’s Homeowner Affordability 

and Stability Plan in February 2009. HAMP is a $50 billion homeowner stability initiative 

designed to offer assistance to as many as three to four million homeowners making a good-faith 

effort to pay their mortgages, helping to prevent the destructive impact of foreclosures on 

families and communities. The program will help borrowers avoid foreclosure by encouraging 
4 

mortgage loan servicers to modify at-risk mortgage loans to achieve a payment the borrower can 

afford. 

Borrowers must meet several eligibility criteria to participate in the program and must 

successfully complete a three-month trial modification period successfully prior to the 

modification becoming permanent. These requirements are designed to protect the taxpayers and 

ensure sound loan modifications. To encourage foreclosure mitigation efforts, fees and incentive 

payments are provided to the servicers, lender/investors, and borrowers. Servicers will receive 

an up-front payment of $1,000 when a modification becomes permanent and “pay for success” 

payments of $1,000 per year for eligible loan modifications for up to three years. The program 

also will provide one-time bonus incentive payments of $1,500 to lenders/investors and $500 to 

servicers for modifications made while a borrower is still current on mortgage payments. 

Additionally, all borrowers are eligible for up to $1,000 of principal reduction payments each 

year for five years as long as they remain current on their monthly modified mortgage payments. 

Fannie Mae and Freddie Mac are responsible for administering the program and monitoring 

servicer compliance with the program guidelines, subject to oversight by Treasury. 

Servicer funding for the HAMP began on April 13, 2009 and, already, over $13 billion (of a total 

potential allocation of $50 billion) have been allocated to implement the program. 

Complete details for HAMP are available at http://www.makinghomeaffordable.gov and 

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

Systemically Significant Failing Institutions Program 

The Systemically Significant Failing Institution (SSFI) Program is intended to provide stability 

and prevent disruptions to financial markets from the failure of a systemically significant 

institution. Treasury provided its second round of assistance to American International Group 

(AIG) under the SSFI Program in the form of a conversion of Treasury’s existing $40 billion 

investment from cumulative to non-cumulative preferred stock and a new commitment to invest 

up to $29.835 billion on April 17, 2009. 

The latest round of assistance involved a restructuring and expansion of Treasury’s assistance to 

AIG through the TARP with the goal of enhancing the company’s capital and liquidity in order 

to stabilize the company and facilitate the orderly completion of its global divestiture program. 

Specific components of the restructuring include: 

• Treasury exchanged its existing $40 billion cumulative perpetual preferred shares for new 

non-cumulative preferred shares with revised terms that more closely resemble common 

equity, improving the quality of AIG’s equity and its financial leverage. The new terms 

provide for non-cumulative dividends and limit AIG’s ability to redeem the preferred 

stock, except with the proceeds from the issuance of equity capital. 

• Treasury’s purchase of additional preferred stock of AIG created a new equity capital 

facility, which will allow AIG to draw up to $29.835 billion (Treasury’s commitment to 
5 

invest up to $30 billion less a reduction of $165 million for retention payments AIG 

Financial Products made to its employees in March 2009) as needed over time. This 

facility will further strengthen AIG’s capital levels and improve its leverage. 

• The Federal Reserve took several actions relating to the Revolving Credit Facility for 

AIG, established in September 2008, to further the goals described above. 

• As required by the credit agreement governing the Revolving Credit Facility, on March 4, 

2009, AIG issued shares of convertible preferred stock representing an approximate 77.9 

percent equity interest in AIG to an independent trust for the sole benefit of Treasury. 

Complete information on the AIG restructuring plan is available at: 

http://www.financialstability.gov/latest/tg44.html. 

III. ASSESSMENT OF CURRENT MEASURES AND THE CHALLENGES AHEAD 

Impact of the Transactions 

Treasury continues to develop, launch, and implement programs under the TARP, which are 

designed to restore stability and liquidity to the U.S. financial system while safeguarding 

taxpayer interests. In this period of unprecedented market instability, Treasury remains focused 

on providing support to financial institutions, increasing credit availability, and preventing the 

disorderly collapse of systemically significant institutions. 

Treasury expects the Auto Supplier Support Program to maintain supplies of parts to GM and 

Chrysler on normal commercial terms while they attempt to restructure their businesses, and to 

help unlock credit in the supplier industry, stabilize the auto supply base, and protect jobs in the 

auto industry. 

Since the inception of the CPP in October 2008, Treasury has strengthened small and large 

regional and national financial institutions, as well as Community Development Financial 

Institutions, through total CPP investments of $198.9 billion in 553 institutions in 48 states, 

Puerto Rico, and the District of Columbia. As of April 17, 2009, Treasury had received $467 

million in principal and $3.1 million in accrued dividends associated with repayments. In 

addition, Treasury received $750,000 in proceeds from the sale of preferred stock associated 

with the exercise of warrants at closing. 

On April 15, 2009, Treasury released the Monthly Intermediation Snapshot for February, 

providing detailed information regarding the lending activities of the top 21 recipients of 

government investment through the CPP. Snapshot results showed that the nation’s largest 

banks continued to originate, refinance, and renew loans in the period from January to February, 

despite a difficult economic environment. Specifically, the survey found that residential 

mortgage origination volume increased from January as a result of lower interest rates. In 

contrast, commercial and industrial lending continued to weaken from the prior month due in 

large part to lower demand from businesses, which were focused on preserving liquidity and 

strengthening their balance sheets. Uncertain economic conditions have resulted in borrowers 
6 

reducing expenses, paying down debt and delaying expenditures. These surveys continue to help 

Treasury monitor the effects its strategy is having on lending and other bank activities. 

In addition to supporting financial institutions, Treasury, in coordination with the Federal 

Reserve, has taken steps to increase credit availability to consumers and businesses. On March 

3, 2009, Treasury committed to provide up to $20 billion in funding to the Term Asset-Backed 

Securities Loan Facility (TALF), a component of the Consumer and Business Lending Initiative 

(CBLI), which is designed to jumpstart credit markets. Total subscriptions received for the first 

funding of TALF loans from eligible borrowers at the March 17-19 operation was $4.7 billion. 

Funding for those loans, which provided increased liquidity for consumer credit by stimulating 

issuance of new consumer ABS, took place on March 25, 2009. 

To promote accountability and oversight for the current facility, the FRBNY has established a 

compliance framework that includes an assurance program related to borrower eligibility 

requirements and on-site inspection rights over borrowers. In addition, the participating sponsor 

must certify that the collateral supporting the ABS is eligible under TALF and that an 

independent accounting firm registered with the Public Company Accounting Oversight Board 

has attested to the sponsor’s assessment of the eligible collateral. 

On March 24, 2009, the FRBNY published the dates for the second funding of TALF loans, 

which took take place on April 7. The FRBNY also announced that the TALF will expand in the 

future to include four additional categories of ABS: (1) ABS backed by mortgage servicing 

advances; (2) ABS backed by loans or leases relating to business equipment; (3) ABS backed by 

leases of vehicle fleets; and (4) ABS backed by floorplan loans. 

The Home Affordable Modification Program, as part of the Administration’s Homeowner 

Affordability and Stability Plan, will assist as many as three to four million homeowners making 

a good-faith effort to stay current on their mortgage payments and will also work to prevent the 

destructive impact of foreclosures on families and communities. 

Treasury's commitment to restructure its existing investment in American International Group 

(AIG) and to invest up to an additional $29.835 billion (Treasury’s commitment to invest up to 

$30 billion less a reduction of $165 million for retention payments AIG Financial Products made 

to its employees in March 2009) was necessary to provide stability and prevent disruption to the 

financial system. On April 17, 2009, Treasury closed these transactions, which will serve to 

strengthen AIG's capital levels, improve its leverage, and facilitate the orderly completion of its 

global divestiture program. 

Challenges That Lie Ahead 

During this period of unprecedented market challenges, Treasury is actively engaged in 

developing, launching, and implementing programs to stabilize the financial system and 

continues to take steps to better measure whether the programs are increasing the flow of credit 

to consumers and businesses. In February 2009, the Administration announced the Financial 

Stability Plan (FSP), a multi-pronged approach aimed at economic recovery, which includes the 

following strategies: (1) a broad program to stabilize the housing market by encouraging lower 
7 

mortgage rates and making it easier for millions to refinance and avoid foreclosure; (2) a new 

capital program under which Treasury stands ready to provide banks with a safeguard to 

establish a capital buffer they would need against a deeper recession; (3) an expansion of TALF 

targeted at the securitization markets critical for consumer and small business lending; (4) a 

program to set up funds to provide a market for the legacy loans and securities that currently 

burden the financial system; and (5) a small-business lending initiative aimed at providing 

increased funding for this important part of our economy. 

While there is no single action the Federal Government can take to end the financial market 

turmoil and the economic downturn, the authorities Congress provided last fall in EESA 

dramatically expanded the tools available to address the needs of the nation’s financial system. 

Treasury is committed to ensuring that a financial crisis of this magnitude does not happen again. 

In that regard, the crisis of the past 18 months has exposed critical gaps and weaknesses in the 

nation’s financial regulatory system. The lack of an appropriate and modern regulatory regime 

and resolution authority contributed to this crisis and it will continue to constrain the Federal 

Government’s capacity to address future crises until we implement fundamental reforms. While 

many challenges lie ahead, Treasury is confident that its continued efforts through existing and 

future programs to restore financial stability, as announced in the FSP, will lay a strong 

foundation for economic recovery and market stability. Treasury is working with the 

President’s Working Group to develop a comprehensive plan of reform. 

Additional Actions 

In its continued effort to ensure participation by a broad range of financial institutions in the 

CPP, Treasury recently issued four term sheets covering mutual holding companies and mutual 

banks. The first term sheet provided for issuance of preferred stock at publicly-traded subsidiary 

holding companies. The second term sheet provided for issuance of preferred stock at privately 

held subsidiary holding companies. The third term sheet provided for issuance of debt by toptier mutual holding companies that do not have subsidiary holding companies. The fourth term 

sheet provided for issuance of debt by mutual banks that do not have holding companies. The 

application deadline for the first three terms sheets to apply to the CPP is May 7, 2009 and the 

deadline for the fourth term sheet is May 14, 2009. The federal banking agencies are evaluating 

all submitted CPP applications and continue to send qualifying applications to Treasury for 

approval. 

On March 23, 2009, Treasury announced the Public-Private Investment Program (PPIP) under 

which Treasury will make targeted investments in multiple public-private investment funds in 

order to purchase legacy real estate-related assets. PPIP will use $75 to $100 billion in TARP 

capital and capital from private investors to generate up to $500 billion in purchasing power to 

buy these assets, with the potential to expand to $1 trillion over time. 

The PPIP is designed to draw new private capital into the market for legacy assets by providing 

government equity co-investment and attractive public financing. This program should allow the 

market to determine the price of an asset and should help, over time, to reduce the excessive 

liquidity discounts embedded in current legacy asset prices. Reducing these discounts should, in 

turn, free up capital and allow U.S. financial institutions to engage in new credit formation. 
8 

Furthermore, enhanced clarity about the value of legacy assets should increase investor 

confidence and enhance the ability of financial institutions to raise new capital from private 

investors. 

The primary areas of focus for the PPIP are the residential and commercial mortgage sectors, 

including both whole loans and securitizations backed by loan portfolios. These legacy assets 

are held by all types of financial institutions, including those that predominantly hold the assets 

in the form of loans, such as banks, and those that predominantly hold assets in the form of 

securities, such as insurers, pension funds, mutual funds, and individual retirement accounts. 

While PPIP may initially target real estate-related assets, it can evolve, based on market demand, 

to include other asset classes. 

The PPIP will operate through two key components: (1) a Legacy Loans Program, which will 

combine a Federal Deposit Insurance Corporation (FDIC) guarantee of debt financing with 

equity capital from the private sector and Treasury to support the purchase of legacy loans from 

insured depository institutions; and (2) a Legacy Securities Program, which will be a standalone Treasury program that will make equity and debt investments in pre-qualified Funds and 

may allow for additional financing from the Federal Reserve through the Legacy TALF (when it 

becomes operational). 

On March 31, 2009, as part of its assessment of the viability plans submitted by GM and 

Chrysler, the Administration announced the Warranty Commitment Program, which is part of the 

Automotive Industry Financing Program. The Warranty Commitment Program will provide 

government-funded protection for warranties issued by auto manufacturers that are in the process 

of restructuring. The program will cover warranties on new vehicles purchased from 

participating auto manufacturers during the period in which those manufacturers are 

restructuring. Both GM and Chrysler have already indicated their intention to participate in the 

program. 

 
9 

APPENDIX 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

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

10/28/2008 Bank of New York Mellon Corporation New York NY Preferred Stock w/Warrants 3,000,000,000 $ Par 10/28/2008 Citigroup Inc. New York NY Preferred Stock w/Warrants 25,000,000,000 $ Par 10/28/2008 The Goldman Sachs Group, Inc. New York NY Preferred Stock w/Warrants 10,000,000,000 $ Par 10/28/2008 JPMorgan Chase & Co. New York NY Preferred Stock w/Warrants 25,000,000,000 $ Par 10/28/2008 Morgan Stanley New York NY Preferred Stock w/Warrants 10,000,000,000 $ Par 10/28/2008 State Street Corporation Boston MA Preferred Stock w/Warrants 2,000,000,000 $ Par 

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

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 

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

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

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

Purchase 

Date 

Seller 

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Purchase Details Capital Repayment Details 

Transactions Report 

For Period Ending April 17, 2009

CAPITAL PURCHASE PROGRAM

Footnote

11/14/2008 BB&T Corp. Winston-Salem NC Preferred Stock w/Warrants 3,133,640,000 $ Par 11/14/2008 Provident Bancshares Corp. Baltimore MD Preferred Stock w/Warrants 151,500,000 $ Par 

11/14/2008 Umpqua Holdings Corp. Portland OR Preferred Stock w/Warrants 214,181,000 $ Par 

11/14/2008 Comerica Inc. Dallas TX Preferred Stock w/Warrants 2,250,000,000 $ Par 11/14/2008 Regions Financial Corp. Birmingham AL Preferred Stock w/Warrants 3,500,000,000 $ Par 11/14/2008 Capital One Financial Corporation McLean VA Preferred Stock w/Warrants 3,555,199,000 $ Par 11/14/2008 First Horizon National Corporation Memphis TN Preferred Stock w/Warrants 866,540,000 $ Par 11/14/2008 Huntington Bancshares Columbus OH Preferred Stock w/Warrants 1,398,071,000 $ Par 

11/14/2008 KeyCorp Cleveland OH Preferred Stock w/Warrants 2,500,000,000 $ Par 

11/14/2008 Valley National Bancorp Wayne NJ Preferred Stock w/Warrants 300,000,000 $ Par 11/14/2008 Zions Bancorporation Salt Lake City UT Preferred Stock w/Warrants 1,400,000,000 $ Par 11/14/2008 Marshall & Ilsley Corporation Milwaukee WI Preferred Stock w/Warrants 1,715,000,000 $ Par 11/14/2008 U.S. Bancorp Minneapolis MN Preferred Stock w/Warrants 6,599,000,000 $ Par 

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

11/21/2008 First Niagara Financial Group Lockport NY Preferred Stock w/Warrants 184,011,000 $ Par 11/21/2008 HF Financial Corp. Sioux Falls SD Preferred Stock w/Warrants 25,000,000 $ Par 11/21/2008 Centerstate Banks of Florida Inc. Davenport FL Preferred Stock w/Warrants 27,875,000 $ Par 11/21/2008 City National Corporation Beverly Hills CA Preferred Stock w/Warrants 400,000,000 $ Par 11/21/2008 First Community Bankshares Inc. Bluefield VA Preferred Stock w/Warrants 41,500,000 $ Par 11/21/2008 Western Alliance Bancorporation Las Vegas NV Preferred Stock w/Warrants 140,000,000 $ Par 11/21/2008 Webster Financial Corporation Waterbury CT Preferred Stock w/Warrants 400,000,000 $ Par 11/21/2008 Pacific Capital Bancorp Santa Barbara CA Preferred Stock w/Warrants 180,634,000 $ Par 11/21/2008 Heritage Commerce Corp. San Jose CA Preferred Stock w/Warrants 40,000,000 $ Par 11/21/2008 Ameris Bancorp Moultrie GA Preferred Stock w/Warrants 52,000,000 $ Par 

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

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

11/21/2008 Cascade Financial Corporation Everett WA Preferred Stock w/Warrants 38,970,000 $ Par 

11/21/2008 Columbia Banking System, Inc. Tacoma WA Preferred Stock w/Warrants 76,898,000 $ Par 

11/21/2008 Heritage Financial Corporation Olympia WA Preferred Stock w/Warrants 24,000,000 $ Par 

11/21/2008 First PacTrust Bancorp, Inc. Chula Vista CA Preferred Stock w/Warrants 19,300,000 $ Par 11/21/2008 Severn Bancorp, Inc. Annapolis MD Preferred Stock w/Warrants 23,393,000 $ Par 

11/21/2008 Boston Private Financial Holdings, Inc. Boston MA Preferred Stock w/Warrants 154,000,000 $ Par 

11/21/2008 Associated Banc-Corp Green Bay WI Preferred Stock w/Warrants 525,000,000 $ Par 11/21/2008 Trustmark Corporation Jackson MS Preferred Stock w/Warrants 215,000,000 $ Par 

11/21/2008 First Community Corporation Lexington SC Preferred Stock w/Warrants 11,350,000 $ Par 11/21/2008 Taylor Capital Group Rosemont IL Preferred Stock w/Warrants 104,823,000 $ Par 

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

12/5/2008 12/5/2008 Midwest Banc Holdings Inc Midwest Banc Holdings, Inc. Melrose Park Melrose Park IL Preferred Stock w/Warrants Preferred Stock w/Warrants $ 84 784 000 84,784,000 Par

12/5/2008 MB Financial Inc. Chicago IL Preferred Stock w/Warrants 196,000,000 $ Par 12/5/2008 First Midwest Bancorp, Inc. Itasca IL Preferred Stock w/Warrants 193,000,000 $ Par 12/5/2008 United Community Banks, Inc. Blairsville GA Preferred Stock w/Warrants 180,000,000 $ Par 12/5/2008 Wesbanco Bank Inc. Wheeling WV Preferred Stock w/Warrants 75,000,000 $ Par 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 

12/5/2008 Iberiabank Corporation Lafayette LA Preferred Stock w/Warrants 90,000,000 $ Par 3/31/2009 5 $ 

12/5/2008 Eagle Bancorp, Inc. Bethesda MD Preferred Stock w/Warrants 38,235,000 $ Par 12/5/2008 Sandy Spring Bancorp, Inc. Olney MD Preferred Stock w/Warrants 83,094,000 $ Par 12/5/2008 Coastal Banking Company, Inc. Fernandina Beach FL Preferred Stock w/Warrants 9,950,000 $ Par 

12/5/2008 East West Bancorp Pasadena CA Preferred Stock w/Warrants 306,546,000 $ Par 

12/5/2008 South Financial Group, Inc. Greenville SC Preferred Stock w/Warrants 347,000,000 $ Par 

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 12/5/2008 CVB Financial Corp Ontario CA Preferred Stock w/Warrants 130,000,000 $ Par 

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

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

12/5/2008 Superior Bancorp Inc. Birmingham AL Preferred Stock w/Warrants 69,000,000 $ Par 

12/5/2008 Southwest Bancorp, Inc. Stillwater OK Preferred Stock w/Warrants 70,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Date 

Seller 

Purchase Details Capital Repayment Details 

Footnote

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

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

12/5/2008 Central Federal Corporation Fairlawn OH Preferred Stock w/Warrants 7,225,000 $ Par 12/5/2008 Bank of Marin Bancorp Novato CA Preferred Stock w/Warrants 28,000,000 $ Par 3/31/2009 4 $ 

12/5/2008 Bank of North Carolina 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 

12/5/2008 TIB Financial Corp Naples FL Preferred Stock w/Warrants 37,000,000 $ Par 

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

12/5/2008 Old Line Bancshares, Inc. Bowie MD Preferred Stock w/Warrants 7,000,000 $ Par 12/5/2008 FPB Bancorp, Inc. Port St. Lucie FL Preferred Stock w/Warrants 5,800,000 $ Par 

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

12/12/2008 Old National Bancorp Evansville IN Preferred Stock w/Warrants 100,000,000 $ Par 3/31/2009 4 $ 

1

12/12/2008 Capital Bank Corporation Raleigh NC Preferred Stock w/Warrants 41,279,000 $ Par 

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

12/12/2008 SVB Financial Group Santa Clara CA Preferred Stock w/Warrants 235,000,000 $ Par 

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

12/12/2008 Wilmington Trust Corporation Wilmington DE Preferred Stock w/Warrants 330,000,000 $ Par 12/12/2008 Susquehanna Bancshares, Inc Lititz PA Preferred Stock w/Warrants 300,000,000 $ Par 12/12/2008 Signature Bank New York NY Preferred Stock w/Warrants 120,000,000 $ Par 3/31/2009 4 $ 

1

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 

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

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

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

12/12/2008 Fidelity Bancorp, Inc. Pittsburgh PA Preferred Stock w/Warrants 7,000,000 $ Par 12/12/2008 LSB Corporation North Andover MA Preferred Stock w/Warrants 15,000,000 $ Par 

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

12/19/2008 Community West Bancshares Goleta CA Preferred Stock w/Warrants 15,600,000 $ Par 12/19/2008 Synovus Financial Corp. Columbus GA Preferred Stock w/Warrants 967,870,000 $ Par 

12/19/2008 Tennessee Commerce Bancorp, Inc. Franklin TN Preferred Stock w/Warrants 30,000,000 $ Par 12/19/2008 Community Bankers Trust Corporation Glen Allen VA Preferred Stock w/Warrants 17,680,000 $ Par 12/19/2008 BancTrust Financial Group, Inc. Mobile AL Preferred Stock w/Warrants 50,000,000 $ Par 12/19/2008 Enterprise Financial Services Corp. St. Louis MO Preferred Stock w/Warrants 35,000,000 $ Par 

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

12/19/2008 Whitney Holding Corporation New Orleans LA Preferred Stock w/Warrants 300,000,000 $ Par 12/19/2008 The Connecticut Bank and Trust Company Hartford CT Preferred Stock w/Warrants 5,448,000 $ Par 12/19/2008 CoBiz Financial Inc. Denver CO Preferred Stock w/Warrants 64,450,000 $ Par 

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

12/19/2008 Seacoast Banking Corporation of Florida Stuart FL Preferred Stock w/Warrants 50,000,000 $ Par 12/19/2008 Horizon Bancorp Michigan City IN Preferred Stock w/Warrants 25,000,000 $ Par 

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

12/19/2008 Community Financial Corporation Staunton VA Preferred Stock w/Warrants 12,643,000 $ Par 12/19/2008 Berkshire Hills Bancorp, Inc. Pittsfield MA Preferred Stock w/Warrants 40,000,000 $ Par 

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

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

12/19/2008 Security Federal Corporation Aiken SC Preferred Stock w/Warrants 18,000,000 $ Par 

12/19/2008 Wintrust Financial Corporation Lake Forest IL Preferred Stock w/Warrants 250,000,000 $ Par 

12/19/2008 Flushing Financial Corporation Lake Success NY Preferred Stock w/Warrants 70,000,000 $ Par 12/19/2008 Monarch Financial Holdings, Inc. Chesapeake VA Preferred Stock w/Warrants 14,700,000 $ Par 12/19/2008 StellarOne Corporation Charlottesville VA Preferred Stock w/Warrants 30,000,000 $ Par 12/19/2008 Union Bankshares Corporation Bowling Green VA Preferred Stock w/Warrants 59,000,000 $ Par 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 

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

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

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

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

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

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

2 12/19/2008 Marquette National Corporation Chicago IL Preferred Stock w/ Exercised Warrants 35,500,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Date 

Seller 

Purchase Details Capital Repayment Details 

Footnote

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 

12/23/2008 Bridge Capital Holdings San Jose CA Preferred Stock w/ Warrants 23,864,000 $ Par 12/23/2008 International Bancshares Corporation Laredo TX Preferred Stock w/ Warrants 216,000,000 $ Par 12/23/2008 First Sound Bank Seattle WA Preferred Stock w/ Warrants 7,400,000 $ Par 

12/23/2008 M&T Bank Corporation Buffalo NY Preferred Stock w/ Warrants 600,000,000 $ Par 12/23/2008 Emclaire Financial Corp. Emlenton PA Preferred Stock w/ Warrants 7,500,000 $ Par 12/23/2008 Park National Corporation Newark OH Preferred Stock w/ Warrants 100,000,000 $ Par 

12/23/2008 Green Bankshares, Inc. Greeneville TN Preferred Stock w/ Warrants 72,278,000 $ Par 12/23/2008 Cecil Bancorp, Inc. Elkton MD Preferred Stock w/ Warrants 11,560,000 $ Par 

12/23/2008 Financial Institutions, Inc. Warsaw NY Preferred Stock w/ Warrants 37,515,000 $ Par 12/23/2008 Fulton Financial Corporation Lancaster PA Preferred Stock w/ Warrants 376,500,000 $ Par 12/23/2008 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock w/ Warrants 10,300,000 $ Par 

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

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

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

12/23/2008 First Community Bank Corporation of America Pinellas Park FL Preferred Stock w/ Warrants 10,685,000 $ Par 12/23/2008 Sterling Bancorp New York NY Preferred Stock w/ Warrants 42,000,000 $ Par 12/23/2008 Intervest Bancshares Corporation New York NY Preferred Stock w/ Warrants 25,000,000 $ Par 12/23/2008 Peoples Bancorp of North Carolina, Inc. Newton NC Preferred Stock w/ Warrants 25,054,000 $ Par 

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

12/23/2008 12/23/2008 Ti b l d B I Timberland Bancorp, Inc. H i oqu am WA P f d St k / W t Preferred Stock w/ Warrants $ 16 641 000 16,641,000 Par 

12/23/2008 1st Constitution Bancorp Cranbury NJ Preferred Stock w/ Warrants 12,000,000 $ Par 

12/23/2008 Central Jersey Bancorp Oakhurst NJ Preferred Stock w/ Warrants 11,300,000 $ Par 

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

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

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

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

3 12/23/2008 Mission Valley Bancorp Sun Valley CA Preferred Stock 5,500,000 $ Par 

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

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

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

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

2 12/23/2008 Magna Bank Memphis TN Preferred Stock w/ Exercised Warrants 13,795,000 $ Par 

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

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

2 12/23/2008 Capital Bancorp, Inc. Rockville MD Preferred Stock w/ Exercised Warrants 4,700,000 $ Par 

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 

12/31/2008 The PNC Financial Services Group Inc. Pittsburgh PA Preferred Stock w/ Warrants 7,579,200,000 $ Par 12/31/2008 Fifth Third Bancorp Cincinnati OH Preferred Stock w/ Warrants 3,408,000,000 $ Par 

12/31/2008 Hampton Roads Bankshares, Inc. Norfolk VA Preferred Stock w/ Warrants 80,347,000 $ Par 12/31/2008 CIT Group Inc. New York NY Preferred Stock w/ Warrants 2,330,000,000 $ Par 12/31/2008 West Bancorporation, Inc. West Des Moines IA Preferred Stock w/ Warrants 36,000,000 $ Par 

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

1 1/9/2009 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants 10,000,000,000 $ Par 

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

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

1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Preferred Stock w/ Warrants 28,685,000 $ Par 

1/9/2009 Commerce National Bank Newport Beach CA Preferred Stock w/ Warrants 5,000,000 $ Par 1/9/2009 The First Bancorp, Inc. Damariscotta ME Preferred Stock w/ Warrants 25,000,000 $ Par 

1/9/2009 Sun Bancorp, Inc. Vineland NJ Preferred Stock w/ Warrants 89,310,000 $ Par 4/8/2009 4 $ 

1/9/2009 1/9/2009 C t Fi i l C ti Crescent Financial Corporation Cary NC P f d St k / W t Preferred Stock w/ Warrants $ 24 900 000 24,900,000 Par

1/9/2009 American Express Company New York NY Preferred Stock w/ Warrants 3,388,890,000 $ Par 1/9/2009 Central Pacific Financial Corp. Honolulu HI Preferred Stock w/ Warrants 135,000,000 $ Par 

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

1/9/2009 Eastern Virginia Bankshares, Inc. Tappahannock VA Preferred Stock w/ Warrants 24,000,000 $ Par 1/9/2009 Colony Bankcorp, Inc. Fitzgerald GA Preferred Stock w/ Warrants 28,000,000 $ Par 

1/9/2009 Independent Bank Corp. Rockland MA Preferred Stock w/ Warrants 78,158,000 $ Par 

1/9/2009 Cadence Financial Corporation Starkville MS Preferred Stock w/ Warrants 44,000,000 $ Par 

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

1/9/2009 Center Bancorp, Inc. Union NJ Preferred Stock w/ Warrants 10,000,000 $ Par 1/9/2009 F.N.B. Corporation Hermitage PA Preferred Stock w/ Warrants 100,000,000 $ Par 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 $ 

2 1/9/2009 The Queensborough Company Louisville GA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Date 

Seller 

Purchase Details Capital Repayment Details 

Footnote

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 

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 

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/ Whidbey Island Bank Oak Harbor WA Preferred Stock w/ Warrants 26,380,000 $ Par 

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

1/16/2009 Bar Harbor Bankshares/Bar Harbor Bank & Trust Bar Harbor ME Preferred Stock w/ Warrants 18,751,000 $ Par 

1/16/2009 Somerset Hills Bancorp Bernardsville NJ Preferred Stock w/ Warrants 7,414,000 $ Par 

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

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

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

1/16/2009 First BanCorp San Juan PR Preferred Stock w/ Warrants 400,000,000 $ Par 

1/16/2009 Texas Capital Bancshares, Inc. Dallas TX Preferred Stock w/ Warrants 75,000,000 $ Par 

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

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

1/16/2009 1/16/2009 Citi & N th C ti Citizens & Northern Corporation W ll b e s oro PA P f d St k / W t Preferred Stock w/ Warrants $ 26 440 000 26,440,000 Par 

1/16/2009 MainSource Financial Group, Inc. Greensburg IN Preferred Stock w/ Warrants 57,000,000 $ Par 1/16/2009 MetroCorp Bancshares, Inc. Houston TX Preferred Stock w/ Warrants 45,000,000 $ Par 

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

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

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

1/16/2009 OceanFirst Financial Corp. Toms River NJ Preferred Stock w/ Warrants 38,263,000 $ Par 

2 1/16/2009 Community 1st Bank Roseville CA Preferred Stock w/ Exercised Warrants 2,550,000 $ 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./Centra Bank, Inc. Morgantown WV Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 3/31/2009 4 $ 

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

2 1/16/2009 Pacific Coast National Bancorp San Clemente CA Preferred Stock w/ Exercised Warrants 4,120,000 $ Par 

3 1/16/2009 Community Bank of the Bay Oakland CA Preferred Stock 1,747,000 $ Par 

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

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

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

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

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

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

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

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

2 1/16/2009 State Bankshares, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 50,000,000 $ Par 

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 

3 1/16/2009 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock 11,000,000 $ Par 

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

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

1/23/2009 1st Source Corporation South Bend IN Preferred Stock w/ Warrants 111,000,000 $ Par 

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

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

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

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

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

2 1/23/2009 Seaside National Bank & Trust Orlando FL Preferred Stock w/ Exercised Warrants 5,677,000 $ Par 

2 1/23/2009 CalWest Bancorp Rancho Santa Margarita CA Preferred Stock w/ Exercised Warrants 4,656,000 $ Par 

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

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

2 1/23/2009 1/23/2009 Al i Fi i l S i I Alarion Financial Services, Inc. Ocala FL P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 6 514 000 6,514,000 Par

2 1/23/2009 Midland States Bancorp, Inc. Effingham IL Preferred Stock w/ Exercised Warrants 10,189,000 $ Par 2 1/23/2009 Moscow Bancshares, Inc. Moscow TN Preferred Stock w/ Exercised Warrants 6,216,000 $ Par 

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

2 1/23/2009 California Oaks State Bank Thousand Oaks CA Preferred Stock w/ Exercised Warrants 3,300,000 $ Par 

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

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

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

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

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

2 1/23/2009 Southern Illinois Bancorp, Inc. Carmi IL Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 2 1/23/2009 FPB Financial Corp. Hammond LA Preferred Stock w/ Exercised Warrants 3,240,000 $ Par 

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

1/30/2009 Peoples Bancorp Inc. Marietta OH Preferred Stock w/Warrants 39,000,000 $ Par 

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

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

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

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

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

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

1/30/2009 PrivateBancorp, Inc. Chicago IL Preferred Stock w/Warrants 243,815,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Date 

Seller 

Purchase Details Capital Repayment Details 

Footnote

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

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

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

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

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

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 1/30/2009 WashingtonFirst Bank Reston VA Preferred Stock w/ Exercised Warrants 6,633,000 $ Par 

2 1/30/2009 1/30/2009 C t lB h I Central Bancshares, Inc. H t ous on TX P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 5 800 000 5,800,000 Par 

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

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

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

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

2/6/2009 Lakeland Bancorp, Inc. Oak Ridge NJ Preferred Stock w/Warrants 59,000,000 $ Par 2/6/2009 Monarch Community Bancorp, Inc. Coldwater MI Preferred Stock w/Warrants 6,785,000 $ Par 

2/6/2009 The First Bancshares, Inc. Hattiesburg MS Preferred Stock w/Warrants 5,000,000 $ Par 

2/6/2009 Carolina Trust Bank Lincolnton NC Preferred Stock w/Warrants 4,000,000 $ Par 

2/6/2009 Alaska Pacific Bancshares, Inc. Juneau AK Preferred Stock w/Warrants 4,781,000 $ Par 

3 2/6/2009 PGB Holdings, Inc. Chicago IL Preferred Stock 3,000,000 $ Par 

2 2/6/2009 The Freeport State Bank Harper KS Preferred Stock w/ Exercised Warrants 301,000 $ Par 

2 2/6/2009 Stockmens Financial Corporation Rapid City SD Preferred Stock w/ Exercised Warrants 15,568,000 $ Par 

2 2/6/2009 US Metro Bank Garden Grove CA Preferred Stock w/ Exercised Warrants 2,861,000 $ Par 

2 2/6/2009 First Express of Nebraska, Inc. Gering NE Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 2/6/2009 Mercantile Capital Corp. Boston MA Preferred Stock w/ Exercised Warrants 3,500,000 $ Par 

2 2/6/2009 Citizens Commerce Bancshares, Inc. Versailles KY Preferred Stock w/ Exercised Warrants 6,300,000 $ Par 

3 2/6/2009 Liberty Financial Services, Inc. New Orleans LA Preferred Stock 5,645,000 $ Par 

2 2/6/2009 Lone Star Bank Houston TX Preferred Stock w/ Exercised Warrants 3,072,000 $ Par 

2 2/6/2009 First Market Bank, FSB Richmond VA Preferred Stock w/ Exercised Warrants 33,900,000 $ Par 

2 2/6/2009 Banner County Ban Corporation Harrisburg NE Preferred Stock w/ Exercised Warrants 795,000 $ Par 

2 2/6/2009 Centrix Bank & Trust Bedford NH Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 

2 2/6/2009 Todd Bancshares, Inc. Hopkinsville KY Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

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

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

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

2 2/6/2009 The Bank of Currituck Moyock NC Preferred Stock w/ Exercised Warrants 4,021,000 $ Par 

2 2/6/2009 CedarStone Bank Lebanon TN Preferred Stock w/ Exercised Warrants 3,564,000 $ Par 

2 2/6/2009 Community Holding Company of Florida, Inc. Miramar Beach FL Preferred Stock w/ Exercised Warrants 1,050,000 $ Par 

2 2/6/2009 Hyperion Bank Philadelphia PA Preferred Stock w/ Exercised Warrants 1,552,000 $ Par 

2 2/6/2009 Pascack Community Bank Westwood NJ Preferred Stock w/ Exercised Warrants 3,756,000 $ Par 

2 2/6/2009 First Western Financial, Inc. Denver CO Preferred Stock w/ Exercised Warrants 8,559,000 $ Par 

2/13/2009 QCR Holdings, Inc. Moline IL Preferred Stock w/Warrants 38,237,000 $ Par 

2/13/2009 Westamerica Bancorporation San Rafael CA Preferred Stock w/Warrants 83,726,000 $ Par 

2/13/2009 2/13/2009 The Bank of Kentucky Financial Corporation The Bank of Kentucky Financial Corporation Crestview Hills Crestview Hills KY Preferred Stock w/Warrants Preferred Stock w/Warrants $ 34,000,000 34,000,000 Par

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

2 2/13/2009 BankGreenville Greenville SC Preferred Stock w/ Exercised Warrants 1,000,000 $ 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 2/13/2009 First Choice Bank Cerritos CA Preferred Stock w/ Exercised Warrants 2,200,000 $ Par 

2 2/13/2009 Gregg Bancshares, Inc. Ozark MO Preferred Stock w/ Exercised Warrants 825,000 $ Par 

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

2 2/13/2009 Midwest Regional Bancorp, Inc. Festus MO Preferred Stock w/ Exercised Warrants 700,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Date 

Seller 

Purchase Details Capital Repayment Details 

Footnote

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 

2/20/2009 Royal Bancshares of Pennsylvania, Inc. Narberth PA Preferred Stock w/Warrants 30,407,000 $ Par 2/20/2009 First Merchants Corporation Muncie IN Preferred Stock w/Warrants 116,000,000 $ Par 

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

2 2/20/2009 Sonoma Valley Bancorp Sonoma CA Preferred Stock w/ Exercised Warrants 8,653,000 $ Par 

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

2 2/20/2009 The Private Bank of California Los Angeles CA Preferred Stock w/ Exercised Warrants 5,450,000 $ Par 

2 2/20/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock w/ Exercised Warrants 1,998,000 $ Par 2 2/20/2009 Liberty Shares, Inc. Hinesville GA Preferred Stock w/ Exercised Warrants 17,280,000 $ 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 2/20/2009 BancPlus Corporation Ridgeland MS Preferred Stock w/ Exercised Warrants 48,000,000 $ Par 

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

2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 2/20/2009 2/20/2009 Fl id B i B G I Florida Business BancGroup, Inc. Tampa FL P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 9 495 000 9,495,000 Par 

2 2/20/2009 Hamilton State Bancshares Hoschton GA Preferred Stock w/ Exercised Warrants 7,000,000 $ Par 

2/27/2009 Lakeland Financial Corporation Warsaw IN Preferred Stock w/Warrants 56,044,000 $ Par 2/27/2009 First M&F Corporation Kosciusko MS Preferred Stock w/Warrants 30,000,000 $ Par 2/27/2009 Southern First Bancshares, Inc. Greenville SC Preferred Stock w/Warrants 17,299,000 $ 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 2 2/27/2009 Ridgestone Financial Services, Inc. Brookfield WI Preferred Stock w/ Exercised Warrants 10,900,000 $ Par 2 2/27/2009 Community Business Bank West Sacramento CA Preferred Stock w/ Exercised Warrants 3,976,000 $ Par 2 2/27/2009 D.L. Evans Bancorp Burley ID Preferred Stock w/ Exercised Warrants 19,891,000 $ Par 

2 2/27/2009 TriState Capital Holdings, Inc. Pittsburgh PA Preferred Stock w/ Exercised Warrants 23,000,000 $ Par 2 2/27/2009 Green City Bancshares, Inc. Green City MO Preferred Stock w/ Exercised Warrants 651,000 $ Par 

2 2/27/2009 First Gothenburg Bancshares, Inc. Gothenburg NE Preferred Stock w/ Exercised Warrants 7,570,000 $ Par 

2 2/27/2009 Green Circle Investments, Inc. Clive IA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 

2 2/27/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock w/ Exercised Warrants 4,960,000 $ Par 

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

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

2 2/27/2009 Avenue Financial Holdings, Inc. Nashville TN Preferred Stock w/ Exercised Warrants 7,400,000 $ 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 2/27/2009 The Victory Bank Limerick PA Preferred Stock w/ Exercised Warrants 541,000 $ Par 

2 2/27/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants 3,000,000 $ 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 

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

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

2 3/6/2009 ICB Financial Ontario CA Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

2 3/6/2009 First Texas BHC, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants 13,533,000 $ Par 

2 3/6/2009 Farmers & Merchants Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 11,000,000 $ Par 

2 3/6/2009 3/6/2009 Blue Ridge Bancshares, Inc. Blue Ridge Bancshares, Inc. Independence Independence MO Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $ 12,000,000 12,000,000 Par

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

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

2 3/6/2009 First Southwest Bancorporation, Inc. Alamosa CO Preferred Stock w/ Exercised Warrants 5,500,000 $ Par 

2 3/6/2009 Germantown Capital Corporation, Inc. Germantown TN Preferred Stock w/ Exercised Warrants 4,967,000 $ Par 

2 3/6/2009 BOH Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 

2 3/6/2009 AmeriBank Holding Company Collinsville OK Preferred Stock w/ Exercised Warrants 2,492,000 $ 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 

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

3 3/13/2009 First American International Corp. Brooklyn NY Preferred Stock 17,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Date 

Seller 

Purchase Details Capital Repayment Details 

Footnote

2 3/13/2009 BancIndependent, Inc. Sheffield AL Preferred Stock w/ Exercised Warrants 21,100,000 $ Par 

2 3/13/2009 Haviland Bancshares, Inc. Haviland KS Preferred Stock w/ Exercised Warrants 425,000 $ Par 

2 3/13/2009 1st United Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 3/13/2009 Madison Financial Corporation Richmond KY Preferred Stock w/ Exercised Warrants 3,370,000 $ Par 

2 3/13/2009 First National Corporation Strasburg VA Preferred Stock w/ Exercised Warrants 13,900,000 $ Par 

2 3/13/2009 St. Johns Bancshares, Inc. St. Louis MO Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

2 3/13/2009 Blackhawk Bancorp, Inc. Beloit WI Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 3/13/2009 IBW Financial Corporation Washington DC Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

2 3/13/2009 Butler Point, Inc. Catlin IL Preferred Stock w/ Exercised Warrants 607,000 $ Par 2 3/13/2009 Bank of George Las Vegas NV Preferred Stock w/ Exercised Warrants 2,672,000 $ Par 

2 3/13/2009 Moneytree Corporation Lenoir City TN Preferred Stock w/ Exercised Warrants 9,516,000 $ Par 

2 3/13/2009 Sovereign Bancshares, Inc. Dallas TX Preferred Stock w/ Exercised Warrants 18,215,000 $ Par 

2 3/13/2009 First Intercontinental Bank Doraville GA Preferred Stock w/ Exercised Warrants 6,398,000 $ 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 3/27/2009 P th B a way Bancorp C i a ro NE P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 3 727 000 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 

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

2 4/3/2009 Fortune Financial Corporation Arnold MO Preferred Stock w/ Exercised Warrants 3,100,000 $ Par 

2 4/3/2009 BancStar, Inc. Festus MO Preferred Stock w/ Exercised Warrants 8,600,000 $ Par 

2 4/3/2009 Titonka Bancshares, Inc Titonka IA Preferred Stock w/ Exercised Warrants 2,117,000 $ Par 

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

2 4/3/2009 TriSummit Bank Kingsport TN Preferred Stock w/ Exercised Warrants 2,765,000 $ Par 

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

2 4/3/2009 Community First Bancshares, Inc. Harrison AR Preferred Stock w/ Exercised Warrants 12,725,000 $ Par 

2 4/3/2009 BCB Holding Company, Inc. Theodore AL Preferred Stock w/ Exercised Warrants 1,706,000 $ Par 

3 4/10/2009 City National Bancshares Corporation Newark NJ Preferred Stock 9,439,000 $ Par 

2 4/10/2009 First Business Bank, N.A. San Diego 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 

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 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 

Total Purchase Amount 198,888,248,000 $ Total Capital Repayment Amount $4

$198,420,938,000

2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock, 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.1/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of A

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.5/ 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.

TOTAL TREASURY CPP INVESTMENT AMOUNT
Seller 

Name of Institution City State 

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism 

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

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

TOTAL $69,835,000,000

SYSTEMICALLY SIGNIFICANT FAILING INSTITUTIONS

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Date 

Foot

note

Purchase Details 

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.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 investmen2/ The investment price reflects Treasury's commitment to invest $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 3/ This transaction does not include AIG's commitment fee of an additional $165 million scheduled to be paid from its operating income in three equal installments over the five-year life of the facility

Name of Institution City State

12/29/2008 GMAC LLC Detroit MI Purchase Preferred Stock w/ Exercised Warrants $5,000,000,000

Liquidation 

Preference

1 12/29/2008 General Motors Corporation Detroit MI Purchase Debt Obligation $884,024,131 N/A

12/31/2008 General Motors Corporation Detroit MI Purchase

Debt Obligation w/ Warrants and Additional Note $13,400,000,000 N/A

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

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

TOTAL $24,784,024,131

Name of Institution City State

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $3 500 000 000 N/A

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

2/ The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler Financial. The amount of $1,500,000,000 represents the maximum 

Foot

note Date

Seller Transaction 

Type Investment Description 

Pricing 

Investment Amount Mechanism

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

Pricing 

Mechanism

Foot

note Date Investment Amount

Seller Transaction 

Type Investment Description 

1 4/9/2009 GM Supplier Receivables, LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $3,500,000,000 N/A2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $1,500,000,000 N/A

TOTAL $5,000,000,000

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum 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. loan amount. The loan will be incrementally funded. The agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009.The loan will be incrementally funded. The agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009.
Seller 

Name of Institution City State 

12/31/2008 Citigroup Inc. New York NY Purchase Preferred Stock w/ Warrants $20,000,000,000 Par

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

TOTAL $40,000,000,000

Name of Institution City State

1/16/2009 Citigroup Inc. New York NY Guarantee Second-Loss Guarantee on Asset Pool $5,000,000,000

Preferred Stock 

and Warrants

TOTAL $5,000,000,000

TARGETED INVESTMENT PROGRAM

ASSET GUARANTEE PROGRAM

Date 

Transaction 

Type 

Investment Description Guarantee Limit

Transaction 

Type

Investment Description Investment Amount

Pricing 

Mechanism

Premium 

Received

Foot

note

Foot

note

Date

Seller

$5,000,000,000

Name of Institution City State

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

TOTAL $20,000,000,000

Investment Description Investment Amount

Foot

note Date

Seller Transaction 

Type

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

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

Pricing 

Mechanism
Servicer

Name of Institution City State 

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications 4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications 4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financial Instrument for Home Loan Modifications 4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications 4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications 4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications 4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications 4/17/2009 Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications 4/17/2009 Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financial Instrument for Home Loan Modifications 

TOTAL 

HOME AFFORDABLE MODIFICATION PROGRAM

Foot

note Date Transaction Type Investment Description 

This Investment Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Any adjustments to the Cap will be reflec1 / The Investment Cap represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments to servicers and lenders/investors as well as pay