Monthly Report to Congress

June 2018

July 10, 2018

Troubled Asset Relief Program

U.S. Department of the Treasury
Table of Contents

Section Page Number Legislative Requirement 1

Program Updates 1 EESA §105(a)(1)

Capital Purchase Program 1

Community Development Capital Initiative 2

Making Home Affordable 3

Hardest Hit Fund 4

Lifetime Costs 5

CPP & CDCI Institutions 6 Additional Information

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

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

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

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

Investment Programs 15

Making Home Affordable Program 68

Projected Costs and Liabilities 172 EESA §105(a)(3)(E)

Programmatic Operating Expenses 173 EESA §105(a)(3)(F)

Description of Vehicles Established 174 EESA §105(a)(3)(H)

HAMP Application Activity by Servicer 175 Dodd-Frank §1483(b)

1

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

Protection Act).
Capital Purchase Program (CPP)

CPP Snapshot

Total Institutions Funded 707 Total CPP Proceeds1 $226.8 billion

Full Repayments 264

SBLF Repayments 137

CDCI Conversions 28

Sold Investments 47

Auctioned Investments 190

In Bankruptcy/Receivership 33

Merged Institutions 4

Total Remaining Institutions 4

Partial Repayments 0

Partial Sales 1

Currently in Common2 1

June 2018 Activity

Institution Date Additional Information Amount

Repurchases & Sales $0 

None

Warrant Repurchases & Sales $0 

None

Monthly Dividends $0 

None

Remaining CPP Institutions

Institution Location Amount Outstanding 

(millions)

1 OneFinancial Corporation Little Rock, AR $17.30 

2 OneUnited Bank Boston, MA $12.06 

3 Harbor Bankshares Corporation Baltimore, MD $6.80 

4 Broadway Financial Corporation3 Los Angeles, CA $3.98 

1

2

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

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

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

stock. On December 22, 2016, Treasury sold part of its CPP common stock (4,702,860 shares) to Broadway Financial Corporation, First Republic 

Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust. On June 28, 2017, Treasury sold part of its CPP common stock (1,832,092) to 

Pacific Western Bank and Community Bank. On September 21, 2017, Treasury sold part of its CPP common stock (916,046) to Pacific Premier Bank. 

Repayments: Actual collections as of June 30, 2018, including (i) $2.21 billion in CPP investments refinanced under the Small Business Lending Fund 

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

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

terms of that program. Auctions: Includes net proceeds from all auctions of CPP preferred and note securities where cash has settled with OFS as of 

June 30, 2018. Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.

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

$196.62 

$3.04 

$19.04 $8.07 

 $-

 $50

 $100

 $150

 $200

Repayments Auctions Total

Dividends,

Interest &

Other Income

Warrant

Income

1
Community Development Capital Initiative (CDCI)

CDCI Snapshot

Total Institutions Funded 84

Full Repayments 41

Early Repurchase1 26

In Bankruptcy/Receivership 1

Merged Institutions 1

Total Remaining Institutions 15

Partial Repayments 2

Partial Early Repurchase 1

Currently in Common 1

June 2018 Activity

Institution Date Additional Information Amount

Repurchases $350,000 

Northeast Community Federal Credit Union 6/13/2018 $350,000 

Monthly Dividends $544 

Top 10 Remaining CDCI Institutions

Institution Location Amount Outstanding 

(millions)

1 Carver Bancorp, Inc2 New York, NY $18.98 

2 First American International Corp. Brooklyn, NY $17.00 

3 Hope Federal Credit Union Jackson, MS $4.52 

4 Community Bank of the Bay Oakland, CA $4.06 

5 Cooperative Center Federal Credit Union Berkeley, CA $2.80 

6 Tri-State Bank of Memphis Memphis, TN $2.80 

7 Community First Guam Federal Credit Union Hagatna, GU $2.65 

8 Opportunities Credit Union Burlington, VT $1.09 

9 D.C. Federal Credit Union Washington, DC $0.50 

10 Tulane-Loyola Federal Credit Union New Orleans, LA $0.42 

1

2 On October 28, 2011, Treasury completed the exchange of all Carver Bancorp, Inc. (Carver) preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on June 29, 2011. Accrued and 

previously unpaid dividends were paid on the date of the exchange.

Institution completed its repurchase either fully or in part through the use of the early repurchase program 

2
Making Home Affordable (MHA)

Program Update1

HAMP Activity through December 20173

All Trials Started 2,537,629 

 Tier 1 2,239,631 

 Tier 2 237,662 

 Streamline HAMP 60,336 

Active Trials 1,263 

All Permanent Modifications Started 1,735,141 

 Tier 1 1,473,195 

 Tier 2 217,939 

 Streamline HAMP 44,007 

Active Permanent Modifications 875,215 

Median Monthly Savings $ (465.90)

Other MHA Program Activity through December 2017

Program-to-Date Reported Since 

Prior Period

FHA and RD-HAMP Permanent Modifications Started 149,117 48

2MP Modifications Started 166,351 64

HAFA Transactions Completed 475,270 1,078

UP Forbearance Plans Started4 46,485 N/A

1

2

3

4 The Unemployment Program Survey was collected monthly through December 2016.

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

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

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

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

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

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

The Consolidated Appropriations Act, 2016, signed into law on December 18, 2015, provided that the MHA Program 

would terminate on December 31, 2016, except with respect to certain loan modification applications made before 

such date. As set forth in program guidelines, MHA servicers were required to design policies and procedures to 

reasonably ensure that all MHA transactions were completed by December 1, 2017. 

As of June 30, 2018, $23.1 billion of MHA funds have been committed for existing MHA transactions. Of this amount, 

$19.2 billion has been disbursed and $3.9 billion is committed for the payment of future financial incentives. 

In total,2 more than 2.9 million homeowner assistance actions have taken place under MHA programs. These include 

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

unemployment forbearance plans. 

Trial 

Modifications

Permanent 

Modifications

Data through December 2017 represents cummulative MHA activity (i.e., from program inception through December 1, 2017, the date by which 

MHA transactions must be completed). MHA servicers may submit corrections to previously reported data on or before May 1, 2018, after which 

Treasury will update the figures reported herein to reflect any such corrections.

3
Hardest Hit Fund (HHF)

Program Changes in June

1

2

Funds Drawn Down in June

State Amount (millions)

Nevada $ 39 

Tennessee $ 22 

Total Drawn to Date $ 8,876 

 

Funds Drawn as of June 30, 2018

State (% Cap Disbursed)

Arizona received approval to change the areas targeted by the Down Payment Assistance (DPA) program 

and to increase DPA funding by $15 million.

North Carolina received approval to reduce the maximum term of their monthly mortgage payment 

assistance program from 36 months to 18 months.

$86,000,000

$261,280,261

$2,334,275,483

$23,234,860

$1,136,616,680

$341,427,278

$588,619,080

$253,306,647

$184,500,000

$650,846,547

$106,338,832

$646,723,211

$376,513,704

$175,685,126

$734,762,067

$280,042,786

$105,851,573

$317,461,821

$272,315,593

$0.00 $1,250,000,000.00 $2,500,000,000.00

Alabama (52.9%)

Arizona (88.2%)

California (98.9%)

Washington D.C. (80.7%)

Florida (100%)

Georgia (92.1%)

Illinois (82.3%)

Indiana (89.2%)

Kentucky (89%)

Michigan (85.5%)

Mississippi (73.6%)

North Carolina (91.5%)

New Jersey (90.6%)

Nevada (89.5%)

Ohio (96.3%)

Oregon (89%)

Rhode Island (91.2%)

South Carolina (99.9%)

Tennessee (90.1%)

Drawndown Remaining

4
Lifetime Costs

Program Update

Programs as of June 30, 2018 (dollar amounts in billions)

Bank Support Programs:

Capital Purchase Program (CPP)5 $ 204.89 $ 204.89 $ 0.04 $ (16.32)

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

Asset Guarantee Program (AGP)6 $ 5.00 $ - $ - $ (4.00)

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.57 $ 0.06 $ 0.07

 Sub-total Bank Support Programs $ 250.46 $ 245.46 $ 0.10 $ (24.25)

Credit Market Programs:

Public-Private Investment Program (PPIP) $ 18.63 $ 18.63 $ - $ (2.73)

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

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

 Sub-total Credit Market Programs $ 19.09 $ 19.09 $ - $ (3.34)

Other Programs:

American International Group (AIG) $ 67.84 $ 67.84 $ - $ 15.18

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ - $ 12.16

 Sub-total Other Programs $ 147.53 $ 147.53 $ - $ 27.34

Sub-total for Investment Programs7 $ 417.09 $ 411.72 $ 0.10 $ (0.25)

Making Home Affordable $ 27.78 $ 19.21 n/a $ 22.91

Hardest Hit Fund8 $ 9.60 $ 8.88 n/a $ 9.60

FHA-Refinance9 $ 0.05 $ 0.02 n/a $ 0.02

Sub-total for Housing Programs $ 37.42 $ 28.11 n/a $ 32.53

 Total for TARP Programs $ 454.51 $ 439.83 $ 0.10 $ 32.28

Additional AIG Common Shares Held by Treasury10 n/a n/a n/a $ (17.55)

Total for TARP Programs and Additional AIG Shares $ 454.51 $ 439.83 $ 0.10 $ 14.72

1

2

3

4

5

6

7

8

9

10

In December, 2015, Congress passed the Consolidated Appropriations Act, 2016, which gave the Secretary of the Treasury the authority to commit up to $2 billion in additional TARP funds to current 

HHF program participants. The additional $2 billion was obligated by Treasury as of June 2016 and is included in the total amount obligated for HHF.

In September 2017 the letter of credit was reduced from $100 million to $27 million. The figures in this line also include $18 million obligated for administrative expenses associated with the letter of 

credit. 

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

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

shares together, and disposed of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost estimate shows a loss based on 

Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled “Additional AIG Common Shares Held by Treasury” because Treasury’s cost 

basis in such shares was deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include 

financing costs (borrowing) from the time of initial investment through the close of the program. 

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

Updates regarding oversight of TARP programs can be found at https://www.treasury.gov/initiatives/financial-stability/about-tarp/Pages/Oversight-and-Accountability.aspx 

Estimated lifetime cost figures for investment programs and FHA-Refinance are as of November 30, 2017. Figures include interest on reestimates. Lifetime cost information for Making Home Affordable 

and Hardest Hit Fund reflect the cost estimates published in the 2019 President's Budget.

The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and CDCI programs with securities issued under the SBLF. A total of 

137 CPP banks refinanced under the SBLF resulting in repayments of $2.21 billion in CPP investments.

Estimated lifetime cost 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.

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

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

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

When Congress created TARP, it authorized up to $700 billion for the programs. That authority was later reduced to $475 billion. To date, a total of $440 billion has 

been disbursed under TARP. As of June 30, 2018, cumulative collections under TARP, together with Treasury’s additional proceeds from the sale of non-TARP shares 

of AIG,1 total $442.6 billion, exceeding disbursements by $2.7 billion.2 Treasury estimates that the combined overall cost of TARP will be approximately $32.3 billion. 

These estimates do not include Treasury’s additional proceeds from its non-TARP AIG shares. For a monthly snapshot of the amount of funds obligated, the amount 

disbursed, repayments, income received and any losses by program, please visit the Monthly TARP Update at: http://www.treasury.gov/initiatives/financialstability/reports/Pages/daily-tarp-reports.aspx.3

Obligation/

Commitment

Disbursed as of 

June 30

Outstanding 

Investment 

Balance as of 

June 30

Estimated Lifetime Cost as of 

November 30 4

5
Institution Name Location

Public/P

rivate

 Amount 

Outstanding 

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

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

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

Broadway Financial Corporation* Los Angeles, CA Public $ 3,984,331.76

Total $ 40,147,331.76 

Institution Name Bankruptcy/ Receivership Date

CIT Group Inc.* 11/1/2009

UCBH Holdings, Inc. 11/6/2009

Pacific Coast National Bancorp* 11/13/2009

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

Sonoma Valley Bancorp 8/20/2010

Pierce County Bancorp 11/5/2010

Tifton Banking Company* 11/12/2010

Legacy Bancorp, Inc. 3/11/2011

Superior Bancorp Inc. 4/15/2011

FPB Bancorp Inc. 7/15/2011

One Georgia Bank* 7/15/2011

Integra Bank Corporation 7/29/2011

Citizens Bancorp 9/23/2011

CB Holding Corp. 10/14/2011

Tennessee Commerce Bancorp, Inc. 1/27/2012

Blue River Bancshares, Inc. 2/10/2012

Fort Lee Federal Savings Bank* 4/20/2012

Gregg Bancshares, Inc. 7/13/2012

GulfSouth Private Bank* 10/19/2012

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

First Place Financial Corporation* 10/29/2012

Princeton National Bancorp 11/2/2012

Premier Bank Holding Company* 8/14/2012

Gold Canyon Bank* 4/5/2013

Indiana Bank Corp.* 4/9/2013

Rogers Bancshares, Inc. 7/5/2013

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

TCB Holding Company 12/13/2013

Syringa Bancorp 1/31/2014

Idaho Bancorp* 4/24/2014

Rising Sun Bancorp 10/17/2014

Western Community Bancshares, Inc. 11/7/2014

Cecil Bancorp, Inc.* 6/30/2017 $ 11,560,000.00

$ 8,000,000.00

$ 6,900,000.00

$ 5,983,000.00

$ 7,290,000.00

*Institution has exited the bankruptcy/receivership process

$ 11,730,000.00

$ 1,300,000.00

$ 825,000.00

$ 7,500,000.00

$ 4,000,000.00

$ 72,927,000.00

$ 25,083,000.00

$ 9,500,000.00

$ 1,607,000.00

$ 1,312,000.00

$ 25,000,000.00

$ 104,000,000.00

$ 83,586,000.00

Troubled Asset Relief Program

CPP & CDCI Institutions

As of June 30, 2018

A. Remaining CPP Portfolio Institutions

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

A. Remaining CPP Portfolio Institutions

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

C. Remaining CDCI Portfolio Institutions

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

D. CDCI Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off

$ 5,000,000.00

$ 8,653,000.00

$ 6,800,000.00

$ 84,784,000.00

 Realized Loss/ Write-Off 

$ 2,330,000,000.00

$ 298,737,000.00

$ 4,120,000.00

$ 3,800,000.00

$ 10,400,000.00

$ 4,114,000.00

$ 30,000,000.00

$ 5,498,000.00

$ 69,000,000.00

$ 5,800,000.00

$ 5,500,000.00

6
Institution Name Location

Carver Bancorp, Inc* New York, NY 

First American International Corp. Brooklyn, NY

Hope Federal Credit Union Jackson, MS

Community Bank of the Bay Oakland, CA

Cooperative Center Federal Credit Union Berkeley, CA

Tri-State Bank of Memphis Memphis, TN

Community First Guam Federal Credit Union Hagatna, GU

Opportunities Credit Union Burlington, VT

D.C. Federal Credit Union Washington, DC

Tulane-Loyola Federal Credit Union New Orleans, LA

North Side Community Federal Credit Union Chicago, IL

Neighborhood Trust Federal Credit Union New York, NY

Buffalo Cooperative Federal Credit Union Buffalo, NY

Union Baptist Church Federal Credit Union Fort Wayne, IN

East End Baptist Tabernacle Federal Credit Union Bridgeport, CT

Total

Institution Name Bankruptcy/ Receivership Date

Premier Bancorp, Inc.* 1/29/2013

$ 1,091,000.00

$ 283,000.00

$ 424,000.00

$ 2,799,000.00

$ 2,795,000.00

$ 2,650,000.00

$ 4,060,000.00

$ 10,000.00

$ 7,000.00

$ 145,000.00

$ 325,000.00

$ 500,000.00

*Institution has exited the bankruptcy/receivership process

$ 4,520,000.00

$ 18,980,000.00

$ 17,000,000.00

C. Remaining CDCI Portfolio Institutions

 Amount Outstanding 

$ 55,589,000.00

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

 Realized Loss/ Write-Off 

Amount 

D. CDCI Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off

$ 6,704,100.00

7
Budget

Object Class (BOC) Budget Object Class Title Obligations Expenditures

Projected

Obligations

Projected

Expenditures

PERSONNEL SERVICES 1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS $ 170,026,188 $ 170,026,188 $ 170,456,000 $ 170,456,000

PERSONNEL SERVICES Total: $ 170,026,188 $ 170,026,188 $ 170,456,000 $ 170,456,000

2100 TRAVEL & TRANSPORTATION OF PERSONS $ 2,930,634 $ 2,928,676 $ 2,933,000 $ 2,931,000

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

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 738,446 738,446 738,900 738,900

2400 PRINTING & REPRODUCTION 1,757 1,757 2,000 2,000

2500 OTHER SERVICES 339,373,576 314,681,576 339,418,000 316,006,000

2600 SUPPLIES AND MATERIALS 2,410,467 2,410,467 2,411,000 2,411,000

3100 EQUIPMENT 323,678 323,678 324,000 324,000

3200 LAND & STRUCTURES - - - -

4200 INSURANCE CLAIMS & INDEMNITIES - - - -

4300 INTEREST & DIVIDENDS 904 904 1,000 1,000

NON-PERSONNEL SERVICES Total: $ 345,791,420 $ 321,097,463 $ 345,839,900 $ 322,425,900

GRAND TOTAL: $ 515,817,608 $ 491,123,651 $ 516,295,900 $ 492,881,900

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

For Period Ending For Period Ending

June 30, 2018 July 31, 2018

NON-PERSONNEL 

SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expenditures

8
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period June 2018

Date Approved Type of Transaction Vendor Purpose Socio-Economic Category

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

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

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

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

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

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

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

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

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

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

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

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

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

12/05/2008 Contract Washington Post Administrative Support Other Than Small Business

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

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

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

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

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

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

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

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

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

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

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

01/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory Other Than Small Business

02/02/2009 Interagency Agreement Government Accountability Office Compliance

02/03/2009 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

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

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

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

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

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

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

02/20/2009 Contract Venable LLP Legal Advisory Other Than Small Business

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

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

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

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

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

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

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

03/30/2009 Contract Haynes and Boone LLP Legal Advisory Other Than Small Business

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

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

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

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

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

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

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

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

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

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

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

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

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

9
05/14/2009 Contract Knowledgebank Inc. Administrative Support Small Disadvantaged Business, Small Business

05/15/2009 Contract Phacil Inc. Contract FOIA Support Services Small Disadvantaged Business, HUBZone Small Business, Small Business

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

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

05/26/2009 Contract Anderson Mc Coy & Orta Legal Advisory Woman-Owned Small Business,Small Disadvantaged Business,Small Business

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

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

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

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

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

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

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

08/10/2009 Interagency Agreement NASA Detailee(s)

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

08/18/2009 Contract The Mercer Group, Inc. Administrative Support Other Than Small Business

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

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

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

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

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

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

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

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

09/30/2009 Contract SNL Financial LC Financial Advisory Other Than Small Business

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

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

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

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

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

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

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

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

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

01/14/2010 Interagency Agreement Government Accountability Office Compliance

01/15/2010 Contract Association of Govt Accountants Administrative Support Other Than Small Business

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

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

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

03/08/2010 Contract QualX Corporation Administrative Support Service-Disabled Veteran-Owned Small Business,Small Business

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

03/22/2010 Interagency Agreement Financial Management Service Information Technology

03/26/2010 Interagency Agreement Federal Maritime Commission Administrative Support

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

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

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

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

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

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

04/23/2010 Contract RDA Corporation Information Technology Other Than Small Business

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

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

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

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

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

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

07/22/2010 Contract PricewaterhouseCoopers LLP Compliance Other Than Small Business

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

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

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

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

08/06/2010 Contract Sullivan Cove Reign Enterprises Jv Legal Advisory Small Disadvantaged Business,Small Business

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

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

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

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

08/06/2010 Contract Love and Long, LLP Legal Advisory Woman-Owned Small Business,Small Disadvantaged Business,Small Business

08/06/2010 Contract Venable LLP Legal Advisory Other Than Small Business

10
08/06/2010 Contract Fox, Swibel, Levin & Carroll, LLP Legal Advisory Other Than Small Business

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

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

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

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

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

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

09/01/2010 Contract CQ-Roll Call Inc. Administrative Support Other Than Small Business

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

09/27/2010 Contract Davis Audrey Robinette Administrative Support Small Disadvantaged Business,Woman-Owned Small Business,Small Business

09/30/2010 Contract CCH Incorporated Administrative Support Other Than Small Business

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

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

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

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

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

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

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

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

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

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

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

10/26/2010 Interagency Agreement Government Accountability Office Compliance

11/08/2010 Contract The Mitre Corporation Information Technology Other Than Small Business

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

12/02/2010 Contract Addx Corporation Acquisition Support Services Service-Disabled Veteran-Owned Small Business, Small Business

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

01/05/2011 Contract Canon U.S.A. Inc. Administrative Support Other Than Small Business

01/18/2011 Financial Agent Perella Weinberg Partners & Co. Structuring and Disposition Services Other Than Small Business

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

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

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

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

03/03/2011 Contract Equilar, Inc. Administrative Support Small Disadvantaged Business,Small Business

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

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

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

04/26/2011 Contract PricewaterhouseCoopers LLP Financial Advisory Other Than Small Business

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

04/27/2011 Contract Oculus Group LLC Financial Advisory Small Disadvantaged Business,Woman-Owned Small Business,Small Business

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

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

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

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

04/28/2011 Contract KPMG LLP Financial Advisory Other Than Small Business

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

04/28/2011 Interagency Agreement Office of Personnel Management (OPM) - Western Management Development Center Administrative Support

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

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

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

06/09/2011 Contract CQ-Roll Call Inc. Administrative Support Other Than Small Business

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

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

09/09/2011 Interagency Agreement Financial Management Service Intern

09/13/2011 Contract ADC LTD NM Compliance Small Disadvantaged Business,HUBZone Small Business,Small Business

09/15/2011 Contract All Business Machines, Inc. Administrative Support Service-Disabled Veteran-Owned Small Business,HUBZone Small Business,Small Business

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

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

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

10/20/2011 Contract All Business Machines, Inc. Administrative Support Service-Disabled Veteran-Owned Small Business,HUBZone Small Business,Small Business

11/18/2011 Contract QualX Corporation Administrative Support Service-Disabled Veteran-Owned Small Business,Small Business

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

12/20/2011 Contract The Allison Group, LLC Professional/Management Training Woman-Owned Small Business,Small Business

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

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

01/04/2012 Interagency Agreement Government Accountability Office Compliance

01/05/2012 Interagency Agreement Office of Personnel Management (OPM) - Western Management Development Center Administrative Support

11
02/02/2012 Contract Moody's Analytics, Inc. Administrative Support Other Than Small Business

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

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

02/27/2012 Contract Diversified Search LLC Financial Advisory Woman-Owned Small Business,Small Business

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

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

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

03/30/2012 Contract E-Launch Multimedia, Inc. Administrative Support Small Disadvantaged Business,Service-Disabled Veteran-Owned Small Business,Small Business

05/02/2012 Contract Cartridge Technologies, Inc. Facilities Support Small Business,Small Disadvantaged Business,Woman-Owned Small Business

05/02/2012 Contract Cartridge Technologies, Inc. Facilities Support Small Disadvantaged Business, Woman-Owned Small Business, Small Business

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

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

06/15/2012 Contract QualX Corporation Administrative Support Service-Disabled Veteran-Owned Small Business,Small Business

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

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

08/01/2012 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

08/03/2012 Contract Harrison Scott Publications, Inc. Administrative Support Small Business

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

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

11/19/2012 Interagency Agreement Government Accountability Office Compliance

12/13/2012 Contract Association of Govt Accountants Administrative Support Other Than Small Business

12/19/2012 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

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

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

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

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

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

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

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

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

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

05/10/2013 Contract Equilar, Inc. Administrative Small Disadvantaged Business,Small Business

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

08/01/2013 Contract Evolution Management, Inc. Administrative Support Small Disadvantaged Business,Woman-Owned Small Business,Small Business

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

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

09/26/2013 Contract SNL Financial LC Administrative Support Other Than Small Business

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

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

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

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

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

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

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

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

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

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

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

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

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

11/07/2014 Interagency Agreement Department of the Treasury - ARC Administrative Support Other Than Small Business

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

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

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

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

09/17/2015 Interagency Agreement Department of the Treasury - ARC Administrative Support Other Than Small Business

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

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

11/02/2015 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

11/23/2015 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

01/12/2016 Contract Hughes Hubbard & Reed LLP Legal Advisory Other than Small Business

01/14/2016 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other than Small Business

01/20/2016 Interagency Agreement Department of the Interior Information Technology

03/18/2016 Contract Hewlett-Packard (HP) Information Technology Other than Small Business

03/24/2016 Contract Advanced Computer Concepts, Inc. Information Technology Small Business,Small Disadvantaged Business,Woman-Owned Small Business

04/22/2016 Contract RDA Corporation Information Technology Other than Small Business

05/09/2016 Interagency Agreement Department of the Interior Administrative Support

12
05/20/2016 Contract Paul, Weiss, Rifkind, Wharton & Garrison LLP Legal Advisory Other than Small Business

09/30/2016 Contract SNL Financial LC Administrative Support Other than Small Business

10/04/2016 Interagency Agreement Government Accountability Office Administrative Support

10/05/2016 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

10/06/2016 Interagency Agreement Government Accountability Office Administrative Support

11/07/2016 Interagency Agreement Department of the Treasury - ARC Administrative Support Other Than Small Business

11/07/2016 Interagency Agreement Department of the Treasury - ARC Administrative Support Other Than Small Business

01/19/2017 Contract Ernst & Young LLP Compliance Other than Small Business

01/19/2017 Contract Navigant Consulting, Inc. Compliance Other than Small Business

02/01/2017 Contract Haynes and Boone LLP Legal Advisory Other than Small Business

02/08/2017 Interagency Agreement U.S. Department of Justice Legal Advisory

02/09/2017 Contract Booz Allen Hamilton Inc. Accounting/Internal Controls Other than Small Business

02/16/2017 Contract Heritage Reporting Corp Administrative Support Small Business,Woman-Owned Small Business

03/09/2017 Contract ASR Analytics LLC Accounting/Internal Controls Small Business

04/25/2017 Contract JTF Business Systems Corporation Facilities Support Small Business

08/15/2017 Interagency Agreement Department of the Interior Administrative Support

08/29/2017 Interagency Agreement Department of the Interior Administrative Support

12/01/2017 Financial Agent The Bank of New York Mellon Custodian and Cash Management Other Than Small Business

12/01/2017 Financial Agent FSI Group, LLC Asset Management Services Other Than Small Business

12/05/2017 Interagency Agreement Government Accountability Office Administrative Support

12/05/2017 Interagency Agreement Government Accountability Office Administrative Support

12/05/2017 Interagency Agreement Department of the Treasury - ARC Administrative Support Other Than Small Business

12/07/2017 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

12/12/2017 Contract The Winvale Group, LLC Compliance Small Business

01/04/2018 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

05/17/2018 Interagency Agreement Department of the Interior Administrative Support

05/17/2018 Interagency Agreement U.S. Department of Justice Legal Advisory

05/22/2018 Interagency Agreement Department of the Interior Administrative Support

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

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

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

-Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation.

13
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending June 30, 2018

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. 

14
*Investment Status Definition Key

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

Redeemed – institution has repaid Treasury’s investment

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

Exited bankruptcy/receivership - Treasury has no outstanding investment

Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

8,137 ALLIED FIRST BANCORP, INC. OSWEGO IL 4/24/2009 Preferred Stock w/ Exercised Warrants $3,652,000.00 $0.00 $1,453,753.00 Sold, in full; warrants not outstanding

ALLIED FIRST BANCORP, INC. OSWEGO IL 12/28/2016 $1,044,000.00 3,652 $285.87 ($2,608,000.00)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Capital Repayment / Disposition / Auction3,5 Warrant Proceeds

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

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

In full – all of Treasury’s investment amount

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

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

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

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

CAPITAL PURCHASE PROGRAM

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending June 13, 2018

15
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

BERN BANCSHARES, INC. BERN KS 9/1/2011 $985,000.00 985 $1,000.00 $50,000.005

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

16
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 4/20/2011 $1,395,000.00 396,412

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

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

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

9,10,18,65,96,99,136,142,145 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 11/14/2008 Preferred Stock w/ Warrants $9,000,000.00 $3,984,331.76 $13,646,833.17 Sold, in part; warrants not outstanding

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

BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 12/22/2016 $6,952,779.42 4,702,860 $1.59 $524,767.98

BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 6/29/2017 $2,708,592.55 1,832,092 $1.90 $772,382.25

BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 9/21/2017 $1,354,296.27 916,046 $2.05 $523,598.03

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

143,146 CECIL BANCORP, INC. ELKTON MD 12/23/2008 Preferred Stock w/ Warrants $11,560,000.00 $0.00 $1,396,988.89 Exited bankruptcy/Receivership

CECIL BANCORP, INC. ELKTON MD 6/30/2017 ($11,560,000.00)

CECIL BANCORP, INC. ELKTON MD 10/26/2017 $880,000.00

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

17
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

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

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

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

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

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

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 9/26/2012 $3,000,000.00 7,225 $415.22 ($4,225,000.00)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

8,138 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 2/6/2009 Preferred Stock w/ Exercised Warrants $6,300,000.00 $0.00 $4,980,258.54 Sold, in full; warrants not outstanding

CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 2/28/2017 $4,800,000.04 10,909,091 $0.44 ($1,499,999.96)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

18
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

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

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

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

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

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

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

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/8/2012 $1,469,250.00 1,959,000 $0.75 ($489,750.00)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

DIAMOND BANCORP, INC. WASHINGTON MO 8/9/2012 $10,197,941.25 13,965,000 $0.73 ($3,767,058.75) $688,041.09 902,000

DIAMOND BANCORP, INC. WASHINGTON MO 8/10/2012 $350,520.00 480,000 $0.73 ($129,480.00) $91,535.40 120,000

DIAMOND BANCORP, INC. WASHINGTON MO 9/11/2012 ($149,299.61)

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 1/16/2009 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in full; warrants not outstanding

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/7/2013 $8,025,555.03 14,523 $552.61 ($6,497,444.97) $3,372.195

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/8/2013 $72,684,793.30 131,530 $552.61 ($58,845,206.70) $4,922,044.87 7,298

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 3/26/2013 ($807,103.48)

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 3/13/2009 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in full; warrants not outstanding

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 4/21/2010 $1,224,558,000.00 1,224,558 $1,000.00

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7/7/2010 $172,000,000.00 20,500,413

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 1/30/2009 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in full; warrants not outstanding

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 8/4/2011 $11,750,000.00 11,750 $1,000.00

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 9/21/2011 $458,000.00 186,311

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $17,424,285.82 Redeemed, in full; warrants not outstanding

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 11/27/2013 $5,000,000.00 5,000,000 $1.00

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 3/5/2014 $2,000,000.00 2,000,000 $1.00

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 4/2/2014 $5,000,000.00 5,000,000 $1.00 $600,000.00 600,000

12,44 EAGLE BANCORP, INC. BETHESDA MD 12/5/2008 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, in full; warrants not outstanding

EAGLE BANCORP, INC. BETHESDA MD 12/23/2009 $15,000,000.00 15,000 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 7/14/2011 $23,235,000.00 23,235 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 11/23/2011 $2,794,422.00 385,434

11,16 EAST WEST BANCORP, INC. PASADENA CA 12/5/2008 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in full; warrants not outstanding

EAST WEST BANCORP, INC. PASADENA CA 12/29/2010 $306,546,000.00 306,546 $1,000.00

EAST WEST BANCORP, INC. PASADENA CA 1/26/2011 $14,500,000.00 1,517,555

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/9/2009 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $28,568,653.60 Sold, in full; warrants not outstanding

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/18/2013 $3,900,000.00 3,900 $1,104.11 $406,029.00

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/21/2013 $20,100,000.00 20,100 $1,104.11 $2,092,611.00

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/6/2014 ($264,986.40)

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 5/13/2015 $115,000.00 384,041

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 1/16/2009 Preferred Stock w/ Warrants $17,949,000.00 $0.00 $23,397,494.08 Redeemed, in full; warrants not outstanding

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 2/19/2014 $17,949,000.00 17,949 $1,000.00

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 6/11/2014 $871,000.00 514,693

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/23/2008 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in full; warrants not outstanding

EMCLAIRE FINANCIAL CORP. EMLENTON PA 8/18/2011 $7,500,000.00 7,500 $1,000.00

EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/7/2011 $51,113.00 50,111

45 ENCORE BANCSHARES INC. HOUSTON TX 12/5/2008 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, in full; warrants not outstanding

ENCORE BANCSHARES INC. HOUSTON TX 9/27/2011 $34,000,000.00 34,000 $1,000.00

ENCORE BANCSHARES INC. HOUSTON TX 11/23/2011 $637,071.00 364,026

11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 12/19/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 11/7/2012 $35,000,000.00 35,000 $1,000.00

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 1/9/2013 $1,006,100.00 324,074

8,14,44 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 8/25/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

8,44,73 EQUITY BANCSHARES, INC. WICHITA KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in full; warrants not outstanding

EQUITY BANCSHARES, INC. WICHITA KS 8/11/2011 $8,750,000.00 8,750 $1,000.00 $438,000.00 438

8,14 EXCHANGE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in full; warrants not outstanding

EXCHANGE BANK SANTA ROSA CA 8/3/2012 $481,387.50 550 $875.25 ($68,612.50)

EXCHANGE BANK SANTA ROSA CA 8/8/2012 $17,505,000.00 20,000 $875.25 ($2,495,000.00) $1,910,898.00 2,000

EXCHANGE BANK SANTA ROSA CA 8/9/2012 $8,725,367.25 9,969 $875.25 ($1,243,632.75) $120,386.57 126

EXCHANGE BANK SANTA ROSA CA 8/10/2012 $420,995.25 481 $875.25 ($60,004.75) $22,930.78 24

EXCHANGE BANK SANTA ROSA CA 8/13/2012 $10,503,000.00 12,000 $875.25 ($1,497,000.00)

EXCHANGE BANK SANTA ROSA CA 9/11/2012 ($376,357.50)

8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 1/30/2009 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in full; warrants not outstanding

F & M BANCSHARES, INC. TREZEVANT TN 11/6/2009 $3,535,000.00

F & M BANCSHARES, INC. TREZEVANT TN 2/6/2013 $4,797,325.00 5,090 $942.50 ($292,675.00)

F & M BANCSHARES, INC. TREZEVANT TN 2/7/2013 $2,734,192.50 2,901 $942.50 ($166,807.50) $222,007.50 230

F & M BANCSHARES, INC. TREZEVANT TN 2/8/2013 $144,202.50 153 $942.50 ($8,797.50)

F & M BANCSHARES, INC. TREZEVANT TN 3/26/2013 ($76,757.21)

8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 2/6/2009 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in full; warrants not outstanding

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/18/2012 $136,813.05 150

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/19/2012 $2,664,750.00 2,805 $950.00 ($140,250.00)

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/20/2012 $13,485,250.00 14,195 $950.00 ($709,750.00) $638,460.90 700

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 11/16/2012 ($161,500.00)

14,15 F&C BANCORP. INC. HOLDEN MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in full; warrants not outstanding

F&C BANCORP. INC. HOLDEN MO 11/8/2012 $1,590,599.43 1,659,000 $0.96 ($68,400.57)

F&C BANCORP. INC. HOLDEN MO 11/13/2012 $1,278,999.18 1,334,000 $0.96 ($55,000.82) $125,000.00 150,000

F&C BANCORP. INC. HOLDEN MO 1/11/2013 ($25,000.00)

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 2/13/2009 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in full; warrants not outstanding

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/19/2012 $96,465.60 112

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/20/2012 $157,500.00 200 $787.50 ($42,500.00)

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/21/2012 $13,421,362.50 17,043 $787.50 ($3,621,637.50) $645,975.00 750

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 11/16/2012 ($135,788.63)

11 F.N.B. CORPORATION HERMITAGE PA 1/9/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in full; warrants not outstanding

F.N.B. CORPORATION HERMITAGE PA 9/9/2009 $100,000,000.00 100,000 $1,000.00

F.N.B. CORPORATION HERMITAGE PA 11/23/2011 $690,100.00 651,042

8,120 FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $15,971,339.07 Redeemed, in full; warrants not outstanding

FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC. HOUSTON TX 7/15/2015 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 3/20/2009 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in full; warrants not outstanding

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 6/24/2013 $425,425.00 442 $962.50 ($16,575.00) ($2,835.00) 22

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 7/26/2013 ($25,000.00)

8,11 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/23/2009 Preferred Stock w/ Exercised Warrants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, in full; warrants not outstanding

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/9/2013 $3,063,000.00 3,063 $1,000.00

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 12/31/2013 $5,689,000.00 5,689 $1,000.00 $438,000.00 438

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 1/9/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in full; warrants not outstanding

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 6/19/2012 $22,196,700.00 ($332,950.50) 30,000 $739.89 ($7,803,300.00)

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 7/18/2012 $75,000.00 223,992

14,15 FARMERS ENTERPRISES, INC. GREAT BEND KS 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in full; warrants not outstanding

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/8/2012 $96,290.00 100,000 $0.96 ($3,710.00)

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/9/2012 $37,387.14 38,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 11/13/2012 $11,458,510.00 11,900,000 $0.96 ($441,490.00) $552,936.00 562,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 1/11/2013 ($115,548.00)

8,14,45 FARMERS STATE BANKSHARES, INC. HOLTON KS 3/20/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in full; warrants not outstanding

FARMERS STATE BANKSHARES, INC. HOLTON KS 7/21/2011 $700,000.00 700 $1,000.00 $40,000.004

15,17 FBHC HOLDING COMPANY BOULDER CO 12/29/2009 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in full; warrants not outstanding

FBHC HOLDING COMPANY BOULDER CO 3/9/2011 $650,000.00 3,035,000 $0.21 ($2,385,000.00)

8,14 FC HOLDINGS, INC. HOUSTON TX 6/26/2009 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; warrants not outstanding

FC HOLDINGS, INC. HOUSTON TX 2/20/2013 $18,874,674.00 21,042 $897.00 ($2,167,326.00) $994,613.40 1,052

FC HOLDINGS, INC. HOUSTON TX 3/26/2013 ($188,746.74)

8,14,45 FCB BANCORP, INC. LOUISVILLE KY 12/19/2008 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in full; warrants not outstanding

FCB BANCORP, INC. LOUISVILLE KY 9/22/2011 $9,294,000.00 9,294 $1,000.00 $465,000.00 465

8,14 FFW CORPORATION WABASH IN 12/19/2008 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in full; warrants not outstanding

FFW CORPORATION WABASH IN 11/28/2012 $879,424.60 974 $902.90 ($94,575.40)

FFW CORPORATION WABASH IN 11/30/2012 $5,701,813.50 6,315 $902.90 ($613,186.50) $358,558.20 364

FFW CORPORATION WABASH IN 1/11/2013 ($65,812.38)

11,15,44 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 5/29/2009 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in full; warrants not outstanding

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 3/27/2013 $3,942,000.00 3,942,000 $1.00 $197,000.00 197,000

77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12/12/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $10,634,864.33 Redeemed, in full; warrants not outstanding

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 11/30/2012 $7,000,000.00 7,000 $1,000.00

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 5/6/2015 $2,246,531.00 101,321

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 11/13/2009 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in full; warrants not outstanding

FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/19/2013 $439,000.00 439 $1,058.90 $25,857.10

FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/22/2013 $6,218,000.00 6,218 $1,058.90 $366,240.20 $242,302.50 200

FIDELITY FEDERAL BANCORP EVANSVILLE IN 9/12/2013 ($70,490.97)

8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 12/19/2008 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; warrants not outstanding

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/1/2012 $120,320.10 135 $891.26 ($14,679.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/2/2012 $26,737.80 30 $891.26 ($3,262.20)

20
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/3/2012 $298,572.10 335 $891.26 ($36,427.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/7/2012 $3,200,514.66 3,591 $891.26 ($390,485.34) $170,227.93 179

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/8/2012 $2,348,470.10 2,635 $891.26 ($286,529.90) $167,374.94 176

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/9/2012 $26,056,877.36 29,236 $891.26 ($3,179,122.64) $1,210,615.36 1,273

FIDELITY FINANCIAL CORPORATION WICHITA KS 8/10/2012 $285,203.20 320 $891.26 ($34,796.80) $176,884.89 186

FIDELITY FINANCIAL CORPORATION WICHITA KS 9/11/2012 ($323,366.95)

FIDELITY SOUTHERN CORPORATION ATLANTA GA 12/19/2008 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $82,715,982.47 Sold, in full; warrants not outstanding

FIDELITY SOUTHERN CORPORATION ATLANTA GA 7/3/2012 $43,408,920.00 ($651,133.80) 48,200 $900.60 ($4,791,080.00)

FIDELITY SOUTHERN CORPORATION ATLANTA GA 5/28/2015 $31,429,313.38 2,693,747

11 FIFTH THIRD BANCORP CINCINNATI OH 12/31/2008 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in full; warrants not outstanding

FIFTH THIRD BANCORP CINCINNATI OH 2/2/2011 $3,408,000,000.00 136,320 $25,000.00

FIFTH THIRD BANCORP CINCINNATI OH 3/16/2011 $280,025,936.00 43,617,747

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 12/23/2008 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in full; warrants not outstanding

FINANCIAL INSTITUTIONS, INC. WARSAW NY 2/23/2011 $12,505,000.00 2,501 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 3/30/2011 $25,010,000.00 5,002 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 5/11/2011 $2,079,962.50 378,175

8,14,45 FINANCIAL SECURITY CORPORATION BASIN WY 2/13/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in full; warrants not outstanding

FINANCIAL SECURITY CORPORATION BASIN WY 7/21/2011 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 7/31/2009 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in full; warrants not outstanding

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 9/1/2011 $3,742,000.00 3,742,000 $1.00 $112,000.00 112,000

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 5/22/2009 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in full; warrants not outstanding

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/10/2012 $690,723.49 769 $898.21 ($78,276.51) $2,979.496

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/11/2012 $366,469.68 408 $898.21 ($41,530.32) $26,318.80 53

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 1/11/2013 ($10,571.93)

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 3/26/2013 ($14,428.07)

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 6/26/2009 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in full; warrants not outstanding

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 12/20/2012 $2,395,742.20 3,422 $700.10 ($1,026,257.80) $94,701.71 171

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 1/11/2013 ($23,957.42)

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 3/26/2013 ($1,042.58)

11,14,15 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 7/24/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in full; warrants not outstanding

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/21/2011 $15,000,000.00 15,000,000 $1.00

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/11/2012 $35,000,000.00 35,000,000 $1.00 $2,500,000.00 2,500,000

9,11,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 3/13/2009 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in full; warrants not outstanding

FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 8/13/2010 $17,000,000.00 17,000 $1,000.00

45 FIRST BANCORP (NC) TROY NC 1/9/2009 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in full; warrants not outstanding

FIRST BANCORP (NC) TROY NC 9/1/2011 $65,000,000.00 65,000 $1,000.00

FIRST BANCORP (NC) TROY NC 11/23/2011 $924,462.00 616,308

34,118,121,140, 147 FIRST BANCORP (PR) SAN JUAN PR 1/16/2009 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $237,563,497.81 Sold, in full; warrants not outstanding

FIRST BANCORP (PR) SAN JUAN PR 8/16/2013 $81,000,000.00 12,000,000 $6.75 ($64,711,540.92)

FIRST BANCORP (PR) SAN JUAN PR 9/13/2013 $8,514,153.00 1,261,356 $6.75 ($6,802,024.20)

FIRST BANCORP (PR) SAN JUAN PR 12/5/2014 $22,063,492.11 ($74,611.09) 4,388,888 $5.03 ($31,229,144.01)

FIRST BANCORP (PR) SAN JUAN PR 3/6/2015 $29,708,351.90 ($85,000.00) 5,000,000 $5.94 ($31,004,790.15)

FIRST BANCORP (PR) SAN JUAN PR 5/15/2017 $57,735,612.33 10,291,553 $5.61 ($67,230,891.51)

FIRST BANCORP (PR) SAN JUAN PR 5/17/2018 $6.58

FIRST BANCORP (PR) SAN JUAN PR 5/21/2018 $5,702,106.66

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 2/20/2009 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in full; warrants not outstanding

FIRST BANCTRUST CORPORATION PARIS IL 1/18/2012 $3,675,000.00 3,675 $1,000.00

FIRST BANCTRUST CORPORATION PARIS IL 10/24/2012 $3,675,000.00 3,675 $1,000.00 $368,000.00 368

8,14,45 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 2/6/2009 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in full; warrants not outstanding

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 7/21/2011 $3,345,000.00 3,345 $1,000.00 $167,000.00 167

8,14,45 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 1/16/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in full; warrants not outstanding

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 9/8/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 FIRST BANKS, INC. CLAYTON MO 12/31/2008 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,071,500.97 Sold, in full; warrants not outstanding

FIRST BANKS, INC. CLAYTON MO 8/8/2013 $105,000.00 300 $350.00 ($195,000.00)

FIRST BANKS, INC. CLAYTON MO 8/9/2013 $12,171,950.00 34,777 $350.00 ($22,605,050.00) $2,430,181.71 4,299

FIRST BANKS, INC. CLAYTON MO 8/12/2013 $87,028,900.00 248,654 $350.00 ($161,625,100.00) $5,919,151.59 10,471

FIRST BANKS, INC. CLAYTON MO 9/12/2013 ($993,058.50)

FIRST BANKS, INC. CLAYTON MO 9/24/2013 $3,209,702.21 5,819 $551.59 ($2,609,297.79)

FIRST BANKS, INC. CLAYTON MO 9/25/2013 $3,226,801.50 5,850 $551.59 ($2,623,198.50)

FIRST BANKS, INC. CLAYTON MO 10/29/2013 ($64,365.04)

45 FIRST BUSEY CORPORATION URBANA IL 3/6/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in full; warrants not outstanding

FIRST BUSEY CORPORATION URBANA IL 8/25/2011 $100,000,000.00 100,000 $1,000.00

FIRST BUSEY CORPORATION URBANA IL 11/23/2011 $63,677.00 573,833

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 4/10/2009 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in full; warrants not outstanding

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/11/2009 $2,032,000.00

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/19/2012 $1,373,084.00 1,500 $915.39 ($126,916.00) $90,461.65 111

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/20/2012 $2,510,399.84 2,743 $915.20 ($232,600.16)

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 1/11/2013 ($33,333.33)

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in full; warrants not outstanding

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 7/14/2011 $25,000,000.00 25,000 $1,000.00

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 8/24/2011 $599,042.00 599,042

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 4/3/2009 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in full; warrants not outstanding

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6/19/2012 $10,082,565.38 ($151,238.48) 10,958 $920.11 ($875,434.62)

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 2/6/2013 $266,041.78 417,648

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in full; warrants not outstanding

FIRST CHOICE BANK CERRITOS CA 12/22/2009 $2,836,000.00

FIRST CHOICE BANK CERRITOS CA 9/24/2010 $5,036,000.00 5,036 $1,000.00 $110,000.00 110

FIRST CITIZENS BANC CORP SANDUSKY OH 1/23/2009 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in full; warrants not outstanding

FIRST CITIZENS BANC CORP SANDUSKY OH 7/3/2012 $21,004,704.00 ($315,070.56) 23,184 $906.00 ($2,179,296.00)

FIRST CITIZENS BANC CORP SANDUSKY OH 9/5/2012 $563,174.00 469,312

8,14,44 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 3/20/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in full; warrants not outstanding

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 9/22/2011 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/21/2008 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in full; warrants not outstanding

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 7/8/2009 $41,500,000.00 41,500 $1,000.00

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/22/2011 $30,600.00 88,273

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 5/15/2009 Preferred Stock w/ Exercised Warrants $14,800,000.00 $0.00 $19,957,763.30 Redeemed, in full; warrants not outstanding

FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 7/16/2014 $14,800,000.00 14,800 $1,000.00 $740,000.00 740

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 12/23/2008 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in full; warrants not outstanding

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 5/31/2011 $7,754,267.48 10,685 $725.72 ($2,930,732.52)

FIRST COMMUNITY CORPORATION LEXINGTON SC 11/21/2008 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in full; warrants not outstanding

FIRST COMMUNITY CORPORATION LEXINGTON SC 8/29/2012 $11,155,120.50 ($167,326.81) 11,350 $982.83 ($194,879.50)

FIRST COMMUNITY CORPORATION LEXINGTON SC 11/1/2012 $297,500.00 195,915

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 12/11/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in full; warrants not outstanding

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/8/2012 $70,727.58 108

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/9/2012 $440,082.72 672

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/10/2012 $209,563.20 320

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/19/2012 $326,250.00 500 $652.50 ($173,750.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/20/2012 $3,051,090.00 4,676 $652.50 ($1,624,910.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/21/2012 $10,977,660.00 16,824 $652.50 ($5,846,340.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11/16/2012 ($143,550.00)

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $53,610,300.92 Sold, in full; warrants not outstanding

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 6/19/2012 $35,618,420.00 ($534,276.30) 37,000 $962.66 ($1,381,580.00)

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 3/11/2015 $11,979,295.00 550,595

11,15,36 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/11/2009 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in full; warrants not outstanding

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/17/2010 $7,500,000.00 7,500,000 $1.00 $375,000.00 375,000

8,11,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/6/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in full; warrants not outstanding

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/15/2012 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3/6/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in full; warrants not outstanding

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 5/3/2011 $6,000,000.00 16,500 $363.64 ($10,500,000.00)

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 12/23/2008 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCORP CINCINNATI OH 2/24/2010 $80,000,000.00 80,000 $1,000.00

FIRST FINANCIAL BANCORP CINCINNATI OH 6/8/2010 $2,966,288.32 465,117

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 6/12/2009 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 9/22/2011 $3,756,000.00 3,756,000 $1.00 $113,000.00 113,000

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 12/5/2008 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in full; warrants not outstanding

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 4/3/2012 $56,778,150.00 ($851,672.25) 65,000 $873.51 ($8,221,850.00)

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5/22/2013 $1,400,000.00 241,696

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,336,278.00 Sold, in full; warrants not outstanding

21
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 4/29/2013 $10,842,200.00 20,000 $542.11 ($9,157,800.00)

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 5/31/2013 ($108,422.00)

FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 7/1/2015 $2,500.00 215,983

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 12/22/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in full; warrants not outstanding

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11/9/2012 $8,025,750.00 8,700 $922.50 ($674,250.00) $256,118.75 261

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 1/11/2013 ($80,257.50)

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 2/27/2009 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in full; warrants not outstanding

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/29/2012 $26,398.99 29 $910.31 ($2,601.01)

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/31/2012 $6,864,647.71 7,541 $910.31 ($676,352.29) $362,118.92 379

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 1/11/2013 ($68,910.46)

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 8/28/2009 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in full; warrants not outstanding

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 9/22/2011 $20,699,000.00 2,070 $10,000.00 $1,030,000.00 103

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 11/14/2008 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in full; warrants not outstanding

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 12/22/2010 $866,540,000.00 866,540 $1,000.00

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 3/9/2011 $79,700,000.00 14,842,321

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 8/28/2009 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in full; warrants not outstanding

FIRST INDEPENDENCE CORPORATION DETROIT MI 12/20/2012 $2,336,675.00 3,223 $725.00 ($886,325.00)

FIRST INDEPENDENCE CORPORATION DETROIT MI 1/11/2013 ($23,366.75)

FIRST INDEPENDENCE CORPORATION DETROIT MI 3/26/2013 ($26,633.25)

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 3/13/2009 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in full; warrants not outstanding

FIRST INTERCONTINENTAL BANK DORAVILLE GA 8/12/2013 $3,247,112.96 6,398 $507.52 ($3,150,887.04) $139,320.00 320

FIRST INTERCONTINENTAL BANK DORAVILLE GA 9/12/2013 ($25,000.00)

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12/12/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in full; warrants not outstanding

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 4/7/2010 $10,000,000.00 10,000 $1,000.00 $1,488,046.41 199,203

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 2/27/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in full; warrants not outstanding

FIRST M&F CORPORATION KOSCIUSKO MS 9/29/2010 $30,000,000.00 30,000 $1,000.00

FIRST M&F CORPORATION KOSCIUSKO MS 8/30/2013 $4,089,510.61 513,113

8,11,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 1/16/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in full; warrants not outstanding

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 5/27/2009 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 2/6/2009 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in full; warrants not outstanding

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 12/7/2011 $33,900,000.00 35,595 $1,000.00 $1,695,000.00

8,14,44 FIRST MENASHA BANCSHARES, INC. NEENAH WI 2/13/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in full; warrants not outstanding

FIRST MENASHA BANCSHARES, INC. NEENAH WI 9/15/2011 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 2/20/2009 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in full; warrants not outstanding

FIRST MERCHANTS CORPORATION MUNCIE IN 9/22/2011 $116,000,000.00 116,000 $1,000.00

FIRST MERCHANTS CORPORATION MUNCIE IN 11/23/2011 $367,500.00 991,453

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 12/5/2008 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in full; warrants not outstanding

FIRST MIDWEST BANCORP, INC. ITASCA IL 11/23/2011 $193,000,000.00 193,000 $1,000.00

FIRST MIDWEST BANCORP, INC. ITASCA IL 12/21/2011 $900,000.00 1,305,230

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 3/13/2009 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in full; warrants not outstanding

FIRST NATIONAL CORPORATION STRASBURG VA 8/29/2012 $12,266,750.00 ($184,001.25) 13,900 $882.50 ($1,633,250.00) $624,674.69 695

8,14,44 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 3/20/2009 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in full; warrants not outstanding

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 8/4/2011 $17,836,000.00 17,836 $1,000.00 $892,000.00 892

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 11/21/2008 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in full; warrants not outstanding

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 5/27/2009 $184,011,000.00 184,011 $1,000.00

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 6/24/2009 $2,700,000.00 953,096

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 3/13/2009 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in full; warrants not outstanding

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 9/15/2011 $17,390,000.00 17,390 $1,000.00

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 11/16/2011 $375,000.00 352,977

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 11/21/2008 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in full; warrants not outstanding

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 12/15/2010 $19,300,000.00 19,300 $1,000.00

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 1/5/2011 $1,003,227.00 280,795

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 3/13/2009 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Exited bankruptcy/Receivership

FIRST PLACE FINANCIAL CORP. WARREN OH 10/29/2012 ($72,927,000.00)

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in full; warrants not outstanding

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 12/18/2009 $4,596,000.00

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/7/2013 $6,682,192.50 7,575 $882.14 ($892,807.50) $48,083.60 49

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/8/2013 $1,410,831.60 1,600 $881.77 ($189,168.40) $176,633.62 180

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 3/26/2013 ($80,930.24)

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/6/2009 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in full; warrants not outstanding

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/11/2013 $10,431,333.89 15,349 $679.61 ($4,917,666.11) $624,632.45 767

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 4/9/2013 ($104,313.34)

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in full; warrants not outstanding

FIRST RESOURCE BANK EXTON PA 12/11/2009 $2,417,000.00

FIRST RESOURCE BANK EXTON PA 9/15/2011 $5,017,000.00 5,017 $1,000.00 $130,000.00 130

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 1/9/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in full; warrants not outstanding

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 4/11/2013 $14,912,862.00 9,941,908 $1.50 ($18,087,138.00)

79 FIRST SOUND BANK SEATTLE WA 12/23/2008 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in full; warrants not outstanding

FIRST SOUND BANK SEATTLE WA 2/20/2013 $3,700,000.00 7,400 $500.00 ($3,700,000.00)

11,14,15 FIRST SOUTH BANCORP, INC. LEXINGTON TN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in full; warrants not outstanding

FIRST SOUTH BANCORP, INC. LEXINGTON TN 9/28/2011 $13,125,000.00 13,125,000 $1.00

FIRST SOUTH BANCORP, INC. LEXINGTON TN 11/28/2012 $36,875,000.00 36,875,000 $1.00 $2,500,000.00 2,500,000

8,11,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 1/30/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in full; warrants not outstanding

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 6/16/2010 $10,900,000.00 10,900 $1,000.00 $545,000.00 545

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/6/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in full; warrants not outstanding

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/26/2013 $315,007.00 350 $900.02 ($34,993.00)

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/27/2013 $2,835,063.00 3,150 $900.02 ($314,937.00) $206,048.21 225

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/28/2013 $1,800,040.00 2,000 $900.02 ($199,960.00) $45,788.48 50

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 4/9/2013 ($49,501.10)

8,14,44 FIRST TEXAS BHC, INC. FORT WORTH TX 3/6/2009 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in full; warrants not outstanding

FIRST TEXAS BHC, INC. FORT WORTH TX 9/15/2011 $13,533,000.00 13,533 $1,000.00 $677,000.00 677

14,15 FIRST TRUST CORPORATION NEW ORLEANS LA 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; warrants not outstanding

FIRST TRUST CORPORATION NEW ORLEANS LA 2/20/2013 $13,750,058.49 17,969,000 $0.77 ($4,218,941.51) $644,726.19 898,000

FIRST TRUST CORPORATION NEW ORLEANS LA 3/26/2013 ($137,500.58)

8,11,14 FIRST ULB CORP. OAKLAND CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in full; warrants not outstanding

FIRST ULB CORP. OAKLAND CA 4/22/2009 $4,900,000.00 4,900 $1,000.00 $245,000.00 245

FIRST UNITED CORPORATION OAKLAND MD 1/30/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $40,183,721.33 Sold, in full; warrants not outstanding

FIRST UNITED CORPORATION OAKLAND MD 12/3/2014 $7,800,000.00 7,800 $1,002.01 $15,678.00

FIRST UNITED CORPORATION OAKLAND MD 12/4/2014 $22,200,000.00 22,200 $1,002.01 $44,622.00

FIRST UNITED CORPORATION OAKLAND MD 1/9/2015 ($300,603.00)

FIRST UNITED CORPORATION OAKLAND MD 5/27/2015 $117,162.42 326,323

8,11,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 6/12/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in full; warrants not outstanding

FIRST VERNON BANCSHARES, INC. VERNON AL 9/29/2010 $6,000,000.00 6,000 $1,000.00 $245,000.00 245

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 2/6/2009 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in full; warrants not outstanding

FIRST WESTERN FINANCIAL, INC. DENVER CO 12/11/2009 $11,881,000.00

FIRST WESTERN FINANCIAL, INC. DENVER CO 8/9/2012 $6,138,000.00 7,920 $775.00 ($1,782,000.00) $311,681.70 380

FIRST WESTERN FINANCIAL, INC. DENVER CO 8/10/2012 $62,000.00 80 $775.00 ($18,000.00) $39,370.32 48

FIRST WESTERN FINANCIAL, INC. DENVER CO 9/11/2012 ($62,000.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 6/24/2013 $10,994,240.00 12,440 $883.78 ($1,445,760.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 7/26/2013 ($109,942.41)

FIRSTBANK CORPORATION ALMA MI 1/30/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in full; warrants not outstanding

FIRSTBANK CORPORATION ALMA MI 7/3/2012 $31,053,330.00 ($465,799.95) 33,000 $941.01 ($1,946,670.00)

FIRSTBANK CORPORATION ALMA MI 7/18/2012 $1,946,670.00 578,947

11 FIRSTMERIT CORPORATION AKRON OH 1/9/2009 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in full; warrants not outstanding

FIRSTMERIT CORPORATION AKRON OH 4/22/2009 $125,000,000.00 125,000 $1,000.00

FIRSTMERIT CORPORATION AKRON OH 5/27/2009 $5,025,000.00 952,260

FLAGSTAR BANCORP, INC. TROY MI 1/30/2009 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in full; warrants not outstanding

FLAGSTAR BANCORP, INC. TROY MI 3/26/2013 $1,439,258.50 1,579 $911.50 ($139,741.50)

FLAGSTAR BANCORP, INC. TROY MI 3/27/2013 $228,401,847.00 250,578 $911.50 ($22,176,153.00)

FLAGSTAR BANCORP, INC. TROY MI 3/28/2013 $13,216,750.00 14,500 $911.50 ($1,283,250.00)

FLAGSTAR BANCORP, INC. TROY MI 4/9/2013 ($2,430,578.56)

FLAGSTAR BANCORP, INC. TROY MI 6/12/2013 $12,905.00 645,138

8,84 FLORIDA BANK GROUP, INC. TAMPA FL 7/24/2009 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in full; warrants not outstanding

FLORIDA BANK GROUP, INC. TAMPA FL 8/14/2013 $8,000,000.00 20,471 $390.80 ($12,471,000.00)

8,14,44 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 2/20/2009 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in full; warrants not outstanding

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 9/22/2011 $9,495,000.00 9,495 $1,000.00 $475,000.00 475

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/19/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in full; warrants not outstanding

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 10/28/2009 $70,000,000.00 70,000 $1,000.00

22
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/30/2009 $900,000.00 375,806

8,14,45 FNB BANCORP SOUTH SAN FRANCISCO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in full; warrants not outstanding

FNB BANCORP SOUTH SAN FRANCISCO CA 9/15/2011 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

8,11,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 5/15/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in full; warrants not outstanding

FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 12/11/2012 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 5/22/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Exited bankruptcy/Receivership

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 4/20/2012 ($1,300,000.00)

8,14,45 FORTUNE FINANCIAL CORPORATION ARNOLD MO 4/3/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in full; warrants not outstanding

FORTUNE FINANCIAL CORPORATION ARNOLD MO 9/15/2011 $3,100,000.00 3,100 $1,000.00 $155,000.00 155

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 12/5/2008 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 Currently Not Collectible

FPB BANCORP, INC. PORT ST. LUCIE FL 7/15/2011 ($5,800,000.00)

8,11,14 FPB FINANCIAL CORP. HAMMOND LA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in full; warrants not outstanding

FPB FINANCIAL CORP. HAMMOND LA 12/16/2009 $1,000,000.00 1,000 $1,000.00

FPB FINANCIAL CORP. HAMMOND LA 6/16/2010 $2,240,000.00 2,240 $1,000.00 $162,000.00 162

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 5/22/2009 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; warrants not outstanding

FRANKLIN BANCORP, INC. WASHINGTON MO 11/9/2012 $594,550.00 940 $632.50 ($345,450.00) $126,798.62 188

FRANKLIN BANCORP, INC. WASHINGTON MO 11/13/2012 $2,629,302.50 4,157 $632.50 ($1,527,697.50) $45,188.88 67

FRANKLIN BANCORP, INC. WASHINGTON MO 1/11/2013 ($25,000.00)

15 FREEPORT BANCSHARES, INC. FREEPORT IL 5/8/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $4,363,022.95 Sold, in full; warrants not outstanding

FREEPORT BANCSHARES, INC. FREEPORT IL 4/11/2014 $2,800,000.00 2,800,000 $1.01 $18,228.00 $84,514.33 100,000

FREEPORT BANCSHARES, INC. FREEPORT IL 4/14/2014 $200,000.00 200,000 $1.01 $1,302.00 $42,257.17 50,000

FREEPORT BANCSHARES, INC. FREEPORT IL 7/18/2014 ($25,000.00)

11,14,15 FREMONT BANCORPORATION FREMONT CA 6/26/2009 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in full; warrants not outstanding

FREMONT BANCORPORATION FREMONT CA 7/25/2012 $35,000,000.00 35,000,000 $1.00 $1,750,000.00 1,750,000

8,14,44 FRESNO FIRST BANK FRESNO CA 1/23/2009 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in full; warrants not outstanding

FRESNO FIRST BANK FRESNO CA 11/1/2012 $1,968,000.00 1,968 $1,000.00 $98,000.00 98

11,14,15 FRONTIER BANCSHARES, INC AUSTIN TX 4/24/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in full; warrants not outstanding

FRONTIER BANCSHARES, INC AUSTIN TX 11/24/2009 $1,600,000.00 1,600,000 $1.00

FRONTIER BANCSHARES, INC AUSTIN TX 10/6/2010 $1,400,000.00 1,400,000 $1.00 $150,000.00 150,000

11 FULTON FINANCIAL CORPORATION LANCASTER PA 12/23/2008 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in full; warrants not outstanding

FULTON FINANCIAL CORPORATION LANCASTER PA 7/14/2010 $376,500,000.00 376,500 $1,000.00

FULTON FINANCIAL CORPORATION LANCASTER PA 9/8/2010 $10,800,000.00 5,509,756

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 5/8/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in full; warrants not outstanding

GATEWAY BANCSHARES, INC. RINGGOLD GA 4/13/2012 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

8,11,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/6/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in full; warrants not outstanding

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/16/2011 $8,700,000.00 8,700 $1,000.00 $435,000.00 435

8 GEORGIA PRIMARY BANK ATLANTA GA 5/1/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $1,576,457.50 Sold, in full; warrants not outstanding

GEORGIA PRIMARY BANK ATLANTA GA 2/10/2014 $1,556,145.00 4,500 $345.81 ($2,943,855.00) $45,312.50 225

GEORGIA PRIMARY BANK ATLANTA GA 3/19/2014 ($25,000.00)

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 3/6/2009 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in full; warrants not outstanding

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/29/2012 $26,393.77 29 $910.13 ($2,606.23)

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/31/2012 $4,494,221.94 4,938 $910.13 ($443,778.06) $214,595.28 248

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 1/11/2013 ($25,000.00)

8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 6/26/2009 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Exited bankruptcy/Receivership

GOLD CANYON BANK GOLD CANYON AZ 4/5/2013 ($1,607,000.00)

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in full; warrants not outstanding

GOLDMAN SACHS GROUP, INC. NEW YORK NY 6/17/2009 $10,000,000,000.00 10,000,000 $1,000.00

GOLDMAN SACHS GROUP, INC. NEW YORK NY 7/22/2009 $1,100,000,000.00 12,205,045

8,127 GOLDWATER BANK, N.A. SCOTTSDALE AZ 1/30/2009 Preferred Stock w/ Exercised Warrants $2,568,000.00 $0.00 $1,493,750.00 Sold, in full; warrants not outstanding

GOLDWATER BANK, N.A. SCOTTSDALE AZ 9/21/2015 $1,348,000.00 2,568 $524.92 ($1,220,000.00)

8,14,44 GRAND CAPITAL CORPORATION TULSA OK 4/24/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

GRAND CAPITAL CORPORATION TULSA OK 9/8/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 9/25/2009 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $0.00 $3,868,471.61 Redeemed, in full; warrants not outstanding

GRAND FINANCIAL CORPORATION HATTIESBURG MS 7/8/2015 $2,443,320.00 2,443,320 $1.00 $122,000.00 122,000

8,144 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 5/29/2009 Preferred Stock w/ Exercised Warrants $3,076,000.00 $0.00 $3,928,001.30 Sold, in full; warrants not outstanding

GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 9/7/2017 $3,076,000.00 2,310,589 $1.70 $852,001.30

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 1/9/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in full; warrants not outstanding

GRANDSOUTH BANCORPORATION GREENVILLE SC 12/11/2009 $6,319,000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 9/8/2011 $15,319,000.00 15,319 $1,000.00 $450,000.00 450

15 GREAT RIVER HOLDING COMPANY BAXTER MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $0.00 $11,306,571.15 Sold, in full; warrants not outstanding

GREAT RIVER HOLDING COMPANY BAXTER MN 4/11/2014 $4,800,000.00 4,800,000 $1.19 $926,400.00

GREAT RIVER HOLDING COMPANY BAXTER MN 4/14/2014 $3,600,000.00 3,600,000 $1.19 $694,800.00 $626,007.69 420,000

GREAT RIVER HOLDING COMPANY BAXTER MN 7/18/2014 ($100,212.00)

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 12/5/2008 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in full; warrants not outstanding

GREAT SOUTHERN BANCORP SPRINGFIELD MO 8/18/2011 $58,000,000.00 58,000 $1,000.00

GREAT SOUTHERN BANCORP SPRINGFIELD MO 9/21/2011 $6,436,364.00 909,091

GREEN BANKSHARES, INC. GREENEVILLE TN 12/23/2008 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in full; warrants not outstanding

GREEN BANKSHARES, INC. GREENEVILLE TN 9/7/2011 $68,700,000.00 72,278 $950.50 ($3,578,000.00)

8,11,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 2/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in full; warrants not outstanding

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 11/14/2012 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 1/23/2013 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 4/24/2013 $800,000.00 800 $1,000.00 $120,000.00 120

8,11,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 2/27/2009 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in full; warrants not outstanding

GREEN CITY BANCSHARES, INC. GREEN CITY MO 7/14/2010 $651,000.00 651 $1,000.00 $33,000.00 33

8 GREER BANCSHARES INCORPORATED GREER SC 1/30/2009 Preferred Stock w/ Exercised Warrants $9,993,000.00 $0.00 $13,693,111.07 Redeemed, in full; warrants not outstanding

GREER BANCSHARES INCORPORATED GREER SC 3/19/2014 $3,150,000.00 3,150 $1,000.00

GREER BANCSHARES INCORPORATED GREER SC 6/11/2014 $1,980,000.00 1,980 $1,000.00

GREER BANCSHARES INCORPORATED GREER SC 7/23/2014 $4,863,000.00 4,863 $1,000.00 $500,000.00 500

8,68,97 GREGG BANCSHARES, INC. OZARK MO 2/13/2009 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 Currently Not Collectible

GREGG BANCSHARES, INC. OZARK MO 7/13/2012 ($825,000.00)

8,14,45 GUARANTY BANCORP, INC. WOODSVILLE NH 2/20/2009 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in full; warrants not outstanding

GUARANTY BANCORP, INC. WOODSVILLE NH 9/15/2011 $6,920,000.00 6,920 $1,000.00 $346,000.00 346

9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 9/25/2009 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in full; warrants not outstanding

GUARANTY CAPITAL CORPORATION BELZONI MS 7/30/2010 $14,000,000.00 14,000,000 $1.00

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 1/30/2009 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in full; warrants not outstanding

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 6/13/2012 $5,000,000.00 5,000 $1,000.00

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/26/2013 $96,750.00 100 $967.50 ($3,250.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/29/2013 $11,513,250.00 11,900 $967.50 ($386,750.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/15/2013 $2,003,250.00 459,459

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/31/2013 ($116,100.00)

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 9/25/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Exited bankruptcy/Receivership

GULFSOUTH PRIVATE BANK DESTIN FL 10/19/2012 ($7,500,000.00)

8,14,45 GULFSTREAM BANCSHARES, INC. STUART FL 6/26/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in full; warrants not outstanding

GULFSTREAM BANCSHARES, INC. STUART FL 8/18/2011 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

8,11,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 2/20/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in full; warrants not outstanding

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 4/13/2011 $7,000,000.00 280 $25,000.00 $350,000.00 35

38 HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC. NORFOLK VA 12/31/2008 Preferred Stock w/ Warrants $80,347,000.00 $0.00 $7,461,608.79 Sold, in full; warrants not outstanding

HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC. NORFOLK VA 4/14/2014 $3,279,764.54 2,089,022 $1.57 ($77,067,235.46)

HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC. NORFOLK VA 9/13/2017 $1,671,000.00 75,763

8,9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 7/17/2009 Preferred Stock $6,800,000.00 $6,800,000.00 $282,744.47 Full investment outstanding; warrants not outstanding

8,11,14 HAVILAND BANCSHARES, INC. HAVILAND KS 3/13/2009 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in full; warrants not outstanding

HAVILAND BANCSHARES, INC. HAVILAND KS 12/29/2010 $425,000.00 425 $1,000.00 $21,000.00 21

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12/19/2008 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in full; warrants not outstanding

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/9/2012 $12,000,000.00 12,000 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/15/2013 $18,255,000.00 18,255 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 6/12/2013 $540,000.00 287,134

131 HCSB FINANCIAL CORPORATION LORIS SC 3/6/2009 Preferred Stock w/ Warrants $12,895,000.00 $0.00 $1,219,652.00 Sold, in full; warrants not outstanding

HCSB FINANCIAL CORPORATION LORIS SC 4/11/2016 $128,950.00 12,895 $10.00 ($12,766,050.00)

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 9/11/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in full; warrants not outstanding

HEARTLAND BANCSHARES, INC. FRANKLIN IN 7/17/2012 $7,000,000.00 7,000 $1,000.00 $248,000.00 248

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 12/19/2008 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in full; warrants not outstanding

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/15/2011 $81,698,000.00 81,698 $1,000.00

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/28/2011 $1,800,000.00 609,687

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 9/25/2009 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in full; warrants not outstanding

HERITAGE BANKSHARES, INC. NORFOLK VA 3/16/2011 $2,606,000.00 2,606 $1,000.00

HERITAGE BANKSHARES, INC. NORFOLK VA 8/11/2011 $7,497,000.00 7,497 $1,000.00 $303,000.00 303

11 HERITAGE COMMERCE CORP. SAN JOSE CA 11/21/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in full; warrants not outstanding

HERITAGE COMMERCE CORP. SAN JOSE CA 3/7/2012 $40,000,000.00 40,000 $1,000.00

23
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

HERITAGE COMMERCE CORP. SAN JOSE CA 6/10/2013 $140,000.00 462,963

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 11/21/2008 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in full; warrants not outstanding

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 12/22/2010 $24,000,000.00 24,000 $1,000.00

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 8/17/2011 $450,000.00 138,037

11 HERITAGE OAKS BANCORP PASO ROBLES CA 3/20/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in full; warrants not outstanding

HERITAGE OAKS BANCORP PASO ROBLES CA 7/17/2013 $21,000,000.00 21,000 $1,000.00

HERITAGE OAKS BANCORP PASO ROBLES CA 8/7/2013 $1,575,000.00 611,650

11 HF FINANCIAL CORP. SIOUX FALLS SD 11/21/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in full; warrants not outstanding

HF FINANCIAL CORP. SIOUX FALLS SD 6/3/2009 $25,000,000.00 25,000 $1,000.00

HF FINANCIAL CORP. SIOUX FALLS SD 6/30/2009 $650,000.00 302,419

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 5/8/2009 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in full; warrants not outstanding

HIGHLANDS BANCORP, INC. VERNON NJ 12/22/2009 $2,359,000.00

HIGHLANDS BANCORP, INC. VERNON NJ 9/22/2011 $5,450,000.00 5,450 $1,000.00 $155,000.00 155

8,111 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 3/6/2009 Preferred Stock w/ Exercised Warrants $6,700,000.00 $0.00 $6,165,312.00 Sold, in full; warrants not outstanding

HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 10/24/2014 $5,547,600.00 6,700 $828.00 ($1,152,400.00)

8,11,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 1/30/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in full; warrants not outstanding

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 4/21/2010 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

HMN FINANCIAL, INC. ROCHESTER MN 12/23/2008 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $26,563,769.78 Sold, in full; warrants not outstanding

HMN FINANCIAL, INC. ROCHESTER MN 2/7/2013 $2,561,325.00 3,550 $721.50 ($988,675.00)

HMN FINANCIAL, INC. ROCHESTER MN 2/8/2013 $16,197,675.00 22,450 $721.50 ($6,252,325.00)

HMN FINANCIAL, INC. ROCHESTER MN 3/26/2013 ($187,590.00)

HMN FINANCIAL, INC. ROCHESTER MN 5/26/2015 $1,843,194.00 277,778

HMN FINANCIAL, INC. ROCHESTER MN 5/28/2015 $3,686,388.00 555,555

11 HOME BANCSHARES, INC. CONWAY AR 1/16/2009 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in full; warrants not outstanding

HOME BANCSHARES, INC. CONWAY AR 7/6/2011 $50,000,000.00 50,000 $1,000.00

HOME BANCSHARES, INC. CONWAY AR 7/27/2011 $1,300,000.00 158,472

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 2/20/2009 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in full; warrants not outstanding

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 8/28/2013 $3,250,000.00 3,250 $1,000.00 $163,000.00 163

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 2/13/2009 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in full; warrants not outstanding

HOMETOWN BANCSHARES, INC. CORBIN KY 11/28/2012 $608,170.50 645 $942.90 ($36,829.50)

HOMETOWN BANCSHARES, INC. CORBIN KY 11/30/2012 $1,183,339.50 1,255 $942.90 ($71,660.50) $70,095.00 95

HOMETOWN BANCSHARES, INC. CORBIN KY 1/11/2013 ($17,915.11)

HOMETOWN BANCSHARES, INC. CORBIN KY 3/26/2013 ($7,084.89)

8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 9/18/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in full; warrants not outstanding

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 10/31/2012 $9,185,000.00 10,000 $918.50 ($815,000.00) $315,461.52 374

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 1/11/2013 ($91,850.00)

11 HOPFED BANCORP HOPKINSVILLE KY 12/12/2008 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in full; warrants not outstanding

HOPFED BANCORP HOPKINSVILLE KY 12/19/2012 $18,400,000.00 18,400 $1,000.00

HOPFED BANCORP HOPKINSVILLE KY 1/16/2013 $256,257.00 253,666

11,45 HORIZON BANCORP MICHIGAN CITY IN 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in full; warrants not outstanding

HORIZON BANCORP MICHIGAN CITY IN 11/10/2010 $6,250,000.00 6,250 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 8/25/2011 $18,750,000.00 18,750 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 11/23/2011 $1,750,551.00 212,188

8,14,44 HOWARD BANCORP, INC. ELLICOTT CITY MD 2/27/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in full; warrants not outstanding

HOWARD BANCORP, INC. ELLICOTT CITY MD 9/22/2011 $5,983,000.00 5,983 $1,000.00 $299,000.00 299

8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 5/1/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in full; warrants not outstanding

HPK FINANCIAL CORPORATION CHICAGO IL 11/13/2009 $5,000,000.00

HPK FINANCIAL CORPORATION CHICAGO IL 12/11/2012 $9,000,000.00 9,000 $1,000.00 $344,000.00 344

11 HUNTINGTON BANCSHARES COLUMBUS OH 11/14/2008 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in full; warrants not outstanding

HUNTINGTON BANCSHARES COLUMBUS OH 12/22/2010 $1,398,071,000.00 1,398,071 $1,000.00

HUNTINGTON BANCSHARES COLUMBUS OH 1/19/2011 $49,100,000.00 23,562,994

8,14 HYPERION BANK PHILADELPHIA PA 2/6/2009 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in full; warrants not outstanding

HYPERION BANK PHILADELPHIA PA 12/20/2012 $1,008,800.00 1,552 $650.00 ($543,200.00) $25,700.00 78

HYPERION BANK PHILADELPHIA PA 1/11/2013 ($10,088.00)

HYPERION BANK PHILADELPHIA PA 3/26/2013 ($14,912.00)

8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 9/18/2009 Preferred Stock w/ Exercised Warrants $5,976,000.00 $0.00 $6,907,223.22 Sold, in full; warrants not outstanding

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/14/2014 $2,717,674.70 2,770 $981.11 ($52,325.30)

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/17/2014 $3,145,438.66 3,206 $981.11 ($60,561.34) $186,513.52 179

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 4/25/2014 ($58,631.13)

9,15,36 IBC BANCORP, INC. CHICAGO IL 5/15/2009 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in full; warrants not outstanding

IBC BANCORP, INC. CHICAGO IL 9/10/2010 $4,205,000.00 4,205,000 $1.00

12,16 IBERIABANK CORPORATION LAFAYETTE LA 12/5/2008 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in full; warrants not outstanding

IBERIABANK CORPORATION LAFAYETTE LA 3/31/2009 $90,000,000.00 90,000 $1,000.00

IBERIABANK CORPORATION LAFAYETTE LA 5/20/2009 $1,200,000.00 138,490

8,14 IBT BANCORP, INC. IRVING TX 3/27/2009 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in full; warrants not outstanding

IBT BANCORP, INC. IRVING TX 6/12/2013 $2,295,000.00 2,295 $1,000.00 $115,000.00 115

8,10,11 IBW FINANCIAL CORPORATION WASHINGTON DC 3/13/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in full; warrants not outstanding

IBW FINANCIAL CORPORATION WASHINGTON DC 9/3/2010 $6,000,000.00 6,000 $1,000.00

8,14,44 ICB FINANCIAL ONTARIO CA 3/6/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in full; warrants not outstanding

ICB FINANCIAL ONTARIO CA 11/1/2012 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

8,108 IDAHO BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $6,900,000.00 $0.00 $555,673.08 Exited bankruptcy/Receivership

IDAHO BANCORP BOISE ID 4/24/2014 ($6,900,000.00)

8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 5/22/2009 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in full; warrants not outstanding

ILLINOIS STATE BANCORP, INC. CHICAGO IL 12/29/2009 $4,000,000.00

ILLINOIS STATE BANCORP, INC. CHICAGO IL 9/22/2011 $10,272,000.00 10,272 $1,000.00 $406,000.00 406

8 INDEPENDENCE BANK EAST GREENWICH RI 1/9/2009 Preferred Stock w/ Exercised Warrants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, in full; warrants not outstanding

INDEPENDENCE BANK EAST GREENWICH RI 10/16/2013 $1,065,000.00 1,065 $1,000.00 $53,000.00 53

11 INDEPENDENT BANK CORP. ROCKLAND MA 1/9/2009 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORP. ROCKLAND MA 4/22/2009 $78,158,000.00 78,158 $1,000.00

INDEPENDENT BANK CORP. ROCKLAND MA 5/27/2009 $2,200,000.00 481,664

29 INDEPENDENT BANK CORPORATION IONIA MI 12/12/2008 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORPORATION IONIA MI 8/30/2013 $72,000,000.00 72,000 $1,000.00 $2,426,000.00

8,22,92,97 INDIANA BANK CORP. DANA IN 4/24/2009 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 Exited bankruptcy/Receivership

INDIANA BANK CORP. DANA IN 4/9/2013 ($1,312,000.00)

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12/12/2008 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in full; warrants not outstanding

INDIANA COMMUNITY BANCORP COLUMBUS IN 9/12/2012 $21,500,000.00 21,500 $1,000.00 $1,800,000.00 188,707

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 2/27/2009 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 Currently Not Collectible

INTEGRA BANK CORPORATION EVANSVILLE IN 7/29/2011 ($83,586,000.00)

115 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 12/19/2008 Preferred Stock w/ Warrants $27,000,000.00 $0.00 $33,955,519.23 Redeemed, in full; warrants not outstanding

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 11/20/2013 $27,000,000.00 27,000 $1,000.00

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 10/31/2014 $10,635.00 65,323

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 12/23/2008 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in full; warrants not outstanding

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 7/11/2012 $40,000,000.00 40,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/1/2012 $45,000,000.00 45,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/28/2012 $131,000,000.00 131,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 6/11/2013 $4,018,511.00 1,326,238

INTERVEST BANCSHARES CORPORATION NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $32,927,621.56 Sold, in full; warrants not outstanding

INTERVEST BANCSHARES CORPORATION NEW YORK NY 6/24/2013 $24,250,000.00 25,000 $970.00 ($750,000.00)

INTERVEST BANCSHARES CORPORATION NEW YORK NY 7/26/2013 ($242,500.00)

INTERVEST BANCSHARES CORPORATION NEW YORK NY 9/3/2014 $2,892,066.00 691,882

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 5/8/2009 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 Currently Not Collectible

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 10/19/2012 ($4,000,000.00)

11 JPMORGAN CHASE & CO. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in full; warrants not outstanding

JPMORGAN CHASE & CO. NEW YORK NY 6/17/2009 $25,000,000,000.00 2,500,000 $10,000.00

JPMORGAN CHASE & CO. NEW YORK NY 12/16/2009 $936,063,469.11 88,401,697

8,14,44 KATAHDIN BANKSHARES CORP. HOULTON ME 1/30/2009 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in full; warrants not outstanding

KATAHDIN BANKSHARES CORP. HOULTON ME 8/18/2011 $10,449,000.00 10,449 $1,000.00 $522,000.00 522

11 KEYCORP CLEVELAND OH 11/14/2008 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in full; warrants not outstanding

KEYCORP CLEVELAND OH 3/30/2011 $2,500,000,000.00 25,000 $100,000.00

KEYCORP CLEVELAND OH 4/20/2011 $70,000,000.00 35,244,361

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/20/2009 Preferred Stock w/ Exercised Warrants $470,000.00 $0.00 $622,228.44 Redeemed, in full; warrants not outstanding

KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/19/2014 $470,000.00 470 $1,000.00 $24,000.00 24

8,14 KS BANCORP, INC SMITHFIELD NC 8/21/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in full; warrants not outstanding

KS BANCORP, INC SMITHFIELD NC 11/30/2012 $3,308,000.00 4,000 $827.00 ($692,000.00) $140,400.00 200

KS BANCORP, INC SMITHFIELD NC 1/11/2013 ($25,000.00)

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 2/20/2009 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in full; warrants not outstanding

LAFAYETTE BANCORP, INC. OXFORD MS 12/29/2009 $2,453,000.00

LAFAYETTE BANCORP, INC. OXFORD MS 9/29/2010 $4,451,000.00 4,451 $1,000.00 $100,000.00 100

24
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 2/6/2009 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in full; warrants not outstanding

LAKELAND BANCORP, INC. OAK RIDGE NJ 8/4/2010 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 3/16/2011 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 2/8/2012 $19,000,000.00 19,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 2/29/2012 $2,800,000.00 997,050

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 2/27/2009 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in full; warrants not outstanding

LAKELAND FINANCIAL CORPORATION WARSAW IN 6/9/2010 $56,044,000.00 56,044 $1,000.00

LAKELAND FINANCIAL CORPORATION WARSAW IN 11/22/2011 $877,557.00 198,269

8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 12/18/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in full; warrants not outstanding

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11/29/2012 $2,370,930.00 3,000 $790.31 ($629,070.00) $104,375.00 150

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 1/11/2013 ($23,709.29)

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 3/26/2013 ($1,290.71)

11 LCNB CORP. LEBANON OH 1/9/2009 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in full; warrants not outstanding

LCNB CORP. LEBANON OH 10/21/2009 $13,400,000.00 13,400 $1,000.00

LCNB CORP. LEBANON OH 11/22/2011 $602,557.00 217,063

8,11,14 LEADER BANCORP, INC. ARLINGTON MA 12/23/2008 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in full; warrants not outstanding

LEADER BANCORP, INC. ARLINGTON MA 11/24/2010 $5,830,000.00 5,830 $1,000.00 $292,000.00 292

9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 1/30/2009 Preferred Stock $5,498,000.00 $0.00 $355,079.00 Currently Not Collectible

LEGACY BANCORP, INC. MILWAUKEE WI 3/11/2011 ($5,498,000.00)

8,14,45 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 1/23/2009 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 7/21/2011 $57,500,000.00 57,500 $1,000.00 $2,875,000.00 2,875

8,14,45 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 2/13/2009 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 8/18/2011 $21,900,000.00 21,900 $1,000.00 $1,095,000.00 1,095

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 12/4/2009 Preferred Stock w/ Exercised Warrants $6,500,000.00 $0.00 $8,447,271.11 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 1/14/2015 $6,500,000.00 6,500 $1,000.00 $196,000.00 196

9,11,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 2/6/2009 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in full; warrants not outstanding

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 9/24/2010 $5,645,000.00 5,645 $1,000.00

8,133 LIBERTY SHARES, INC. HINESVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $17,280,000.00 $0.00 $4,999,560.00 Sold, in full; warrants not outstanding

LIBERTY SHARES, INC. HINESVILLE GA 6/30/2016 $3,600,000.00 480,000 $7.50 ($13,680,000.00)

11 LINCOLN NATIONAL CORPORATION RADNOR PA 7/10/2009 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in full; warrants not outstanding

LINCOLN NATIONAL CORPORATION RADNOR PA 6/30/2010 $950,000,000.00 950,000 $1,000.00

LINCOLN NATIONAL CORPORATION RADNOR PA 9/22/2010 $213,671,319.20 13,049,451

LNB BANCORP, INC. LORAIN OH 12/12/2008 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in full; warrants not outstanding

LNB BANCORP, INC. LORAIN OH 6/19/2012 $21,923,074.91 ($328,846.12) 25,223 $869.17 ($3,299,925.09)

LNB BANCORP, INC. LORAIN OH 7/18/2012 $860,326.00 561,343

8 LONE STAR BANK HOUSTON TX 2/6/2009 Preferred Stock w/ Exercised Warrants $3,072,000.00 $0.00 $1,950,881.54 Sold, in full; warrants not outstanding

LONE STAR BANK HOUSTON TX 12/3/2014 $1,195,906.25 1,925 $621.25 ($729,093.75)

LONE STAR BANK HOUSTON TX 12/4/2014 $712,573.75 1,147 $621.25 ($434,426.25) $67,401.54 154

LONE STAR BANK HOUSTON TX 1/9/2015 ($25,000.00)

11 LSB CORPORATION NORTH ANDOVER MA 12/12/2008 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in full; warrants not outstanding

LSB CORPORATION NORTH ANDOVER MA 11/18/2009 $15,000,000.00 15,000 $1,000.00

LSB CORPORATION NORTH ANDOVER MA 12/16/2009 $560,000.00 209,497

8,9,17 M&F BANCORP, INC. DURHAM NC 6/26/2009 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in full; warrants not outstanding

M&F BANCORP, INC. DURHAM NC 8/20/2010 $11,735,000.00 11,735 $1,000.00

11 M&T BANK CORPORATION BUFFALO NY 12/23/2008 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in full; warrants not outstanding

M&T BANK CORPORATION BUFFALO NY 5/18/2011 $370,000,000.00 370,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 8/21/2012 $230,000,000.00 230,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 12/17/2012 $31,838,761.34 1,218,522

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 4/24/2009 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in full; warrants not outstanding

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 8/29/2012 $10,538,990.00 ($158,084.85) 11,000 $958.09 ($461,010.00)

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 12/19/2012 $1,300,000.00 398,734

8 MADISON FINANCIAL CORPORATION RICHMOND KY 3/13/2009 Preferred Stock w/ Exercised Warrants $3,370,000.00 $0.00 $3,773,495.65 Sold, in full; warrants not outstanding

MADISON FINANCIAL CORPORATION RICHMOND KY 11/19/2013 $3,370,000.00 3,370 $1,022.61 $76,195.70 $182,878.45 169

MADISON FINANCIAL CORPORATION RICHMOND KY 1/6/2014 ($25,000.00)

8,11,44 MAGNA BANK MEMPHIS TN 12/23/2008 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in full; warrants not outstanding

MAGNA BANK MEMPHIS TN 11/24/2009 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 6/8/2011 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 8/18/2011 $6,885,000.00 6,885 $1,000.00 $690,000.00 690

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 12/29/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in full; warrants not outstanding

MAINLINE BANCORP, INC. EBENSBURG PA 3/9/2012 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 1/16/2009 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in full; warrants not outstanding

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 4/3/2012 $53,073,270.00 ($796,099.05) 57,000 $931.11 ($3,926,730.00)

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 6/11/2013 $1,512,177.00 571,906

11 MANHATTAN BANCORP EL SEGUNDO CA 12/5/2008 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in full; warrants not outstanding

MANHATTAN BANCORP EL SEGUNDO CA 9/16/2009 $1,700,000.00 1,700 $1,000.00

MANHATTAN BANCORP EL SEGUNDO CA 10/14/2009 $63,363.90 29,480

14,15 MANHATTAN BANCSHARES, INC. MANHATTAN IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in full; warrants not outstanding

MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/10/2012 $11,385.02 14,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/11/2012 $2,586,404.73 2,639,000 $0.98 ($52,595.27) $95,959.50 118,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 1/11/2013 ($25,000.00)

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 3/6/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,296,213.00 Sold, in full; warrants not outstanding

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/1/2014 $1,504,820.00 2,246 $670.00 ($741,180.00) $55,870.00 111

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/2/2014 $483,740.00 722 $670.00 ($238,260.00) $19,126.67 38

MARINE BANK & TRUST COMPANY VERO BEACH FL 7/3/2014 $21,440.00 32 $670.00 ($10,560.00) $503.331

MARINE BANK & TRUST COMPANY VERO BEACH FL 9/26/2014 ($25,000.00)

8 MARKET BANCORPORATION, INC. NEW MARKET MN 2/20/2009 Preferred Stock w/ Exercised Warrants $2,060,000.00 $0.00 $2,714,911.32 Sold, in full; warrants not outstanding

MARKET BANCORPORATION, INC. NEW MARKET MN 7/2/2014 $2,060,000.00 2,060 $1,210.03 $432,661.80 $108,471.52 103

MARKET BANCORPORATION, INC. NEW MARKET MN 9/26/2014 ($25,000.00)

14,15 MARKET STREET BANCSHARES, INC. MT. VERNON IL 5/15/2009 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in full; warrants not outstanding

MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/9/2012 $17,919,962.10 19,931,000 $0.90 ($2,011,037.90) $727,225.54 895,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/10/2012 $331,767.90 369,000 $0.90 ($37,232.10) $97,505.10 120,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9/11/2012 ($182,517.30)

8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 12/19/2008 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; warrants not outstanding

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/7/2012 $2,530,958.50 3,514 $720.25 ($983,041.50) $142,974.56 175

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/9/2012 $5,904,609.50 8,198 $720.25 ($2,293,390.50) $1,054,743.77 1,291

MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/10/2012 $17,133,307.00 23,788 $720.25 ($6,654,693.00) $252,452.23 309

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9/11/2012 ($255,688.75)

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 11/14/2008 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in full; warrants not outstanding

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 7/5/2011 $1,715,000,000.00 1,715,000 $1,000.00 $3,250,000.00 13,815,789

8 MARYLAND FINANCIAL BANK TOWSON MD 3/27/2009 Preferred Stock w/ Exercised Warrants $1,700,000.00 $0.00 $817,240.50 Sold, in full; warrants not outstanding

MARYLAND FINANCIAL BANK TOWSON MD 7/2/2014 $527,000.00 1,700 $310.00 ($1,173,000.00) $1,775.00 85

MARYLAND FINANCIAL BANK TOWSON MD 9/26/2014 ($25,000.00)

11 MB FINANCIAL INC. CHICAGO IL 12/5/2008 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in full; warrants not outstanding

MB FINANCIAL INC. CHICAGO IL 3/14/2012 $196,000,000.00 196,000 $1,000.00

MB FINANCIAL INC. CHICAGO IL 5/2/2012 $1,518,072.00 506,024

8,14,45 MCLEOD BANCSHARES, INC. SHOREWOOD MN 11/20/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in full; warrants not outstanding

MCLEOD BANCSHARES, INC. SHOREWOOD MN 8/18/2011 $6,000,000.00 600 $10,000.00 $300,000.00 30

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 2/27/2009 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in full; warrants not outstanding

MEDALLION BANK SALT LAKE CITY UT 12/22/2009 $9,698,000.00

MEDALLION BANK SALT LAKE CITY UT 7/21/2011 $21,498,000.00 21,498 $1,000.00 $645,000.00 645

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 5/15/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in full; warrants not outstanding

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4/4/2012 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6/6/2012 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 7/3/2012 $7,465,100.00 616,438

8,14,44 MERCANTILE CAPITAL CORPORATION BOSTON MA 2/6/2009 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in full; warrants not outstanding

MERCANTILE CAPITAL CORPORATION BOSTON MA 8/4/2011 $3,500,000.00 3,500 $1,000.00 $175,000.00 175

8,14,56 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 3/6/2009 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in full; warrants not outstanding

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 9/7/2011 $1,881,000.00 1,881 $1,000.00 $94,000.00 94

8,14,44 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 6/19/2009 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in full; warrants not outstanding

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 9/8/2011 $3,510,000.00 3,510 $1,000.00 $176,000.00 176

8,18 MERIDIAN BANK DEVON PA 2/13/2009 Preferred Stock w/ Exercised Warrants $6,200,000.00 $0.00 $13,582,165.84 Sold, in full; warrants not outstanding

MERIDIAN BANK DEVON PA 12/11/2009 $6,335,000.00

MERIDIAN BANK DEVON PA 3/17/2014 $10,328,152.35 12,535 $823.95 ($2,206,847.65) $262,399.50 310

MERIDIAN BANK DEVON PA 4/25/2014 ($103,281.52)

8,14 METRO CITY BANK DORAVILLE GA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in full; warrants not outstanding

METRO CITY BANK DORAVILLE GA 10/29/2012 $26,102.90 29 $900.10 ($2,897.10)

METRO CITY BANK DORAVILLE GA 11/1/2012 $6,904,667.10 7,671 $900.10 ($766,332.90) $369,948.00 385

METRO CITY BANK DORAVILLE GA 1/11/2013 ($69,307.70)

25
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

METROCORP BANCSHARES, INC. HOUSTON TX 1/16/2009 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in full; warrants not outstanding

METROCORP BANCSHARES, INC. HOUSTON TX 7/3/2012 $44,152,650.00 ($662,289.75) 45,000 $981.17 ($847,350.00)

METROCORP BANCSHARES, INC. HOUSTON TX 6/11/2013 $2,087,368.00 771,429

8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in full; warrants not outstanding

METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 $23,718,541.95 71,526 $331.61 ($47,807,458.05)

8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 4/10/2009 Preferred Stock w/ Exercised Warrants $2,040,000.00 $0.00 $5,663,197.28 Sold, in full; warrants not outstanding

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 11/20/2009 $2,348,000.00

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 6/29/2015 $4,135,655.24 4,388 $942.49 ($252,344.76) $84,445.94 102

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 8/6/2015 ($33,333.34)

11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/19/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in full; warrants not outstanding

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/28/2012 $10,000,000.00 10,000 $1,000.00

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 1/23/2013 $58,479.20 73,099

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 1/30/2009 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in full; warrants not outstanding

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 12/23/2009 $22,000,000.00 22,000 $1,000.00

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 11/18/2011 $301,001.00 104,101

8,11,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 1/23/2009 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in full; warrants not outstanding

MIDLAND STATES BANCORP, INC. EFFINGHAM IL 12/23/2009 $10,189,000.00 10,189 $1,000.00 $509,000.00 509

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in full; warrants not outstanding

MIDSOUTH BANCORP, INC. LAFAYETTE LA 8/25/2011 $20,000,000.00 20,000 $1,000.00

MIDSOUTH BANCORP, INC. LAFAYETTE LA 11/22/2011 $206,557.00 104,384

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 2/27/2009 Preferred Stock w/ Exercised Warrants $5,222,000.00 $0.00 $3,520,137.55 Sold, in full; warrants not outstanding

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 11/19/2013 $3,133,200.00 5,222 $600.00 ($2,088,800.00) $136,833.05 261

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 1/6/2014 ($25,000.00)

22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 12/5/2008 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Exited bankruptcy/Receivership

MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5/14/2010 ($84,784,000.00)

8,11,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 2/13/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in full; warrants not outstanding

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 11/10/2009 $700,000.00 700 $1,000.00 $35,000.00 35

11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 2/6/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in full; warrants not outstanding

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/6/2011 $16,000,000.00 16,000 $1,000.00

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/27/2011 $1,000,000.00 198,675

8,11,14 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 2/20/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in full; warrants not outstanding

MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 4/26/2013 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 MILLENNIUM BANCORP, INC. EDWARDS CO 4/3/2009 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in full; warrants not outstanding

MILLENNIUM BANCORP, INC. EDWARDS CO 8/14/2012 $2,904,000.00 7,260 $400.00 ($4,356,000.00)

9,11 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 1/9/2009 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in full; warrants not outstanding

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 12/28/2011 $5,116,000.00 5,116 $1,000.00

9,11,36 MISSION VALLEY BANCORP SUN VALLEY CA 12/23/2008 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in full; warrants not outstanding

MISSION VALLEY BANCORP SUN VALLEY CA 8/20/2010 $5,500,000.00 5,500 $1,000.00

8,11,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/19/2008 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in full; warrants not outstanding

MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/28/2012 $1,834,000.00 1,834 $1,000.00 $92,000.00 92

98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 2/6/2009 Preferred Stock w/ Warrants $6,785,000.00 $0.00 $4,808,121.00 Sold, in full; warrants not outstanding

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 11/15/2013 $4,545,202.00 2,272,601 $2.00 ($2,239,798.00)

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/19/2008 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in full; warrants not outstanding

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/23/2009 $14,700,000.00 14,700 $1,000.00

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 2/10/2010 $260,000.00 132,353

8,14,45 MONEYTREE CORPORATION LENOIR CITY TN 3/13/2009 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in full; warrants not outstanding

MONEYTREE CORPORATION LENOIR CITY TN 9/15/2011 $9,516,000.00 9,516 $1,000.00 $476,000.00 476

8,14,44 MONUMENT BANK BETHESDA MD 1/30/2009 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in full; warrants not outstanding

MONUMENT BANK BETHESDA MD 8/11/2011 $4,734,000.00 4,734 $1,000.00 $237,000.00 237

11 MORGAN STANLEY NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in full; warrants not outstanding

MORGAN STANLEY NEW YORK NY 6/17/2009 $10,000,000,000.00 10,000,000 $1,000.00

MORGAN STANLEY NEW YORK NY 8/12/2009 $950,000,000.00 65,245,759

8,11,14 MORRILL BANCSHARES, INC. MERRIAM KS 1/16/2009 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in full; warrants not outstanding

MORRILL BANCSHARES, INC. MERRIAM KS 7/20/2011 $13,000,000.00 13,000 $1,000.00 $650,000.00 650

8,11,14 MOSCOW BANCSHARES, INC. MOSCOW TN 1/23/2009 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in full; warrants not outstanding

MOSCOW BANCSHARES, INC. MOSCOW TN 4/25/2012 $1,100,000.00 1,100 $1,000.00

MOSCOW BANCSHARES, INC. MOSCOW TN 12/5/2012 $5,116,000.00 5,116 $1,000.00 $311,000.00 311

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/25/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in full; warrants not outstanding

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 7/22/2013 $3,267,000.00 3,300 $990.00 ($33,000.00) $140,034.65 165

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/12/2013 ($25,000.00)

8,11,14 MS FINANCIAL, INC. KINGWOOD TX 3/27/2009 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in full; warrants not outstanding

MS FINANCIAL, INC. KINGWOOD TX 10/19/2011 $7,723,000.00 7,723 $1,000.00 $386,000.00 386

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 12/23/2008 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in full; warrants not outstanding

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 8/25/2011 $32,382,000.00 32,382 $1,000.00

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 9/28/2011 $900,194.00 625,135

8 NAPLES BANCORP, INC. NAPLES FL 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in full; warrants not outstanding

NAPLES BANCORP, INC. NAPLES FL 7/12/2012 $600,000.00 4,000 $150.00 ($3,400,000.00)

11,59 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 11/21/2008 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in full; warrants not outstanding

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 $67,000,000.00 67,000 $1,000.00

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 8/8/2012 $2,189,317.20 521,266

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/27/2009 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in full; warrants not outstanding

NATIONAL BANCSHARES, INC. BETTENDORF IA 2/19/2013 $2,438,182.50 3,250 $750.21 ($811,817.50) $342,841.95 500

NATIONAL BANCSHARES, INC. BETTENDORF IA 2/20/2013 $16,064,996.94 21,414 $750.21 ($5,349,003.06) $502,606.30 733

NATIONAL BANCSHARES, INC. BETTENDORF IA 3/26/2013 ($185,031.79)

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12/12/2008 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in full; warrants not outstanding

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 3/16/2011 $150,000,000.00 150,000 $1,000.00

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 4/13/2011 $1,000,000.00 735,294

11,14,15 NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/11/2009 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in full; warrants not outstanding

NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/29/2010 $2,000,000.00 2,000,000 $1.00 $100,000.00 100,000

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; warrants not outstanding

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 $2,281,458.05 6,880 $331.61 ($4,598,541.95)

8,119 NCAL BANCORP LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $5,211,027.78 Sold, in full; warrants not outstanding

NCAL BANCORP LOS ANGELES CA 12/10/2014 $3,900,000.00 10,000 $390.00 ($6,100,000.00)

11,14,15 NEMO BANCSHARES, INC. MADISON MO 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in full; warrants not outstanding

NEMO BANCSHARES, INC. MADISON MO 4/24/2013 $2,330,000.00 2,330,000 $1.00 $117,000.00 117,000

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 1/16/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in full; warrants not outstanding

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 8/25/2011 $10,000,000.00 10,000 $1,000.00

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 2/15/2012 $737,100.00 184,275

8,11,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 1/9/2009 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in full; warrants not outstanding

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 7/24/2013 $267,274,000.00 267,274 $1,000.00 $13,364,000.00 13,364

NEWBRIDGE BANCORP GREENSBORO NC 12/12/2008 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in full; warrants not outstanding

NEWBRIDGE BANCORP GREENSBORO NC 4/26/2013 $2,709,121.50 2,763 $980.50 ($53,878.50)

NEWBRIDGE BANCORP GREENSBORO NC 4/29/2013 $48,641,624.50 49,609 $980.50 ($967,375.50)

NEWBRIDGE BANCORP GREENSBORO NC 5/15/2013 $7,778,782.65 2,567,255

NEWBRIDGE BANCORP GREENSBORO NC 5/31/2013 ($513,507.46)

8,14,44 NICOLET BANKSHARES, INC. GREEN BAY WI 12/23/2008 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in full; warrants not outstanding

NICOLET BANKSHARES, INC. GREEN BAY WI 9/1/2011 $14,964,000.00 14,964 $1,000.00 $748,000.00 748

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/9/2009 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in full; warrants not outstanding

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 12/14/2011 $10,200,000.00 10,200 $1,000.00

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/11/2012 $600,000.00 99,157

11 NORTHEAST BANCORP LEWISTON ME 12/12/2008 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in full; warrants not outstanding

NORTHEAST BANCORP LEWISTON ME 11/28/2012 $4,227,000.00 4,227 $1,000.00

NORTHEAST BANCORP LEWISTON ME 12/28/2012 $95,000.00 67,958

8,11,14,18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 5/15/2009 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in full; warrants not outstanding

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 12/18/2009 $1,230,000.00

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 3/28/2012 $2,571,000.00 2,571 $1,000.00 $67,000.00 67

109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 2/20/2009 Preferred Stock w/ Warrants $17,211,000.00 $0.00 $6,442,172.50 Sold, in full; warrants not outstanding

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 4/30/2014 $6,023,850.00 20,079,500 $0.30 ($11,187,150.00)

11 NORTHERN TRUST CORPORATION CHICAGO IL 11/14/2008 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in full; warrants not outstanding

NORTHERN TRUST CORPORATION CHICAGO IL 6/17/2009 $1,576,000,000.00 1,576,000 $1,000.00

NORTHERN TRUST CORPORATION CHICAGO IL 8/26/2009 $87,000,000.00 3,824,624

8,14,44 NORTHWAY FINANCIAL, INC. BERLIN NH 1/30/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in full; warrants not outstanding

NORTHWAY FINANCIAL, INC. BERLIN NH 9/15/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 2/13/2009 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in full; warrants not outstanding

NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/8/2013 $2,000,000.00 2,000 $1,032.11 $64,220.00

NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/11/2013 $8,500,000.00 8,500 $1,032.11 $272,935.00 $587,634.55 525

NORTHWEST BANCORPORATION, INC. SPOKANE WA 4/9/2013 ($108,371.55)

8,11,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 2/13/2009 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in full; warrants not outstanding

26
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 1/9/2013 $1,992,000.00 1,992 $1,000.00 $100,000.00 100

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/30/2009 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in full; warrants not outstanding

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 10/31/2012 $7,095,550.00 7,700 $921.50 ($604,450.00)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/11/2013 ($70,955.50)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 2/6/2013 $122,887.50 163,830

45 OAK VALLEY BANCORP OAKDALE CA 12/5/2008 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in full; warrants not outstanding

OAK VALLEY BANCORP OAKDALE CA 8/11/2011 $13,500,000.00 13,500 $1,000.00

OAK VALLEY BANCORP OAKDALE CA 9/28/2011 $560,000.00 350,346

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 1/16/2009 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in full; warrants not outstanding

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 12/30/2009 $38,263,000.00 38,263 $1,000.00

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 2/3/2010 $430,797.00 190,427

8 OJAI COMMUNITY BANK OJAI CA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in full; warrants not outstanding

OJAI COMMUNITY BANK OJAI CA 9/25/2013 $2,080,000.00 2,080 $1,000.00 $104,000.00 104

11 OLD LINE BANCSHARES, INC. BOWIE MD 12/5/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in full; warrants not outstanding

OLD LINE BANCSHARES, INC. BOWIE MD 7/15/2009 $7,000,000.00 7,000 $1,000.00

OLD LINE BANCSHARES, INC. BOWIE MD 9/2/2009 $225,000.00 141,892

11 OLD NATIONAL BANCORP EVANSVILLE IN 12/12/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in full; warrants not outstanding

OLD NATIONAL BANCORP EVANSVILLE IN 3/31/2009 $100,000,000.00 100,000 $1,000.00

OLD NATIONAL BANCORP EVANSVILLE IN 5/8/2009 $1,200,000.00 813,008

OLD SECOND BANCORP, INC. AURORA IL 1/16/2009 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in full; warrants not outstanding

OLD SECOND BANCORP, INC. AURORA IL 3/11/2013 $24,684,870.00 70,028 $352.50 ($45,343,130.00)

OLD SECOND BANCORP, INC. AURORA IL 3/26/2013 $452,424.00 1,200 $377.02 ($747,576.00)

OLD SECOND BANCORP, INC. AURORA IL 3/27/2013 $668,079.44 1,772 $377.02 ($1,103,920.56)

OLD SECOND BANCORP, INC. AURORA IL 4/9/2013 ($258,053.73)

OLD SECOND BANCORP, INC. AURORA IL 6/11/2013 $106,891.00 815,339

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 4/17/2009 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in full; warrants not outstanding

OMEGA CAPITAL CORP. LAKEWOOD CO 7/19/2013 $1,239,000.00 1,239 $1,142.90 $177,053.10

OMEGA CAPITAL CORP. LAKEWOOD CO 7/22/2013 $1,577,000.00 1,577 $1,142.90 $225,353.30 $159,886.25 141

OMEGA CAPITAL CORP. LAKEWOOD CO 9/12/2013 ($25,000.00)

8,51,97 ONE GEORGIA BANK ATLANTA GA 5/8/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Exited bankruptcy/Receivership

ONE GEORGIA BANK ATLANTA GA 7/15/2011 ($5,500,000.00)

8,9 ONE UNITED BANK BOSTON MA 12/19/2008 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investment outstanding; warrants not outstanding

15,17,129,135,139 ONEFINANCIAL CORPORATION LITTLE ROCK AR 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $17,300,000.00 $7,662,990.59 Full investment outstanding; warrants outstanding 8 OREGON BANCORP, INC. SALEM OR 4/24/2009 Preferred Stock w/ Exercised Warrants $3,216,000.00 $0.00 $4,116,801.92 Sold, in full; warrants not outstanding

OREGON BANCORP, INC. SALEM OR 10/18/2013 $100,000.00 100 $1,000.00 $9,459.13 11

OREGON BANCORP, INC. SALEM OR 10/21/2013 $3,116,000.00 3,116 $1,000.00 $128,988.07 150

OREGON BANCORP, INC. SALEM OR 1/6/2014 ($25,000.00)

11,14,15 OSB FINANCIAL SERVICES, INC. ORANGE TX 5/1/2009 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in full; warrants not outstanding

OSB FINANCIAL SERVICES, INC. ORANGE TX 10/5/2011 $6,100,000.00 6,100,000 $1.00 $305,000.00 305,000

11,35 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/21/2008 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in full; warrants not outstanding

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 2/23/2011 $14.751 $29.50 ($10.28)

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/30/2012 $165,983,272.00 3,608,332 $46.00 ($14,650,702.97) $393,120.78 15,120

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $16,200,000.00 $0.00 $21,003,597.96 Sold, in full; warrants not outstanding

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 11/19/2013 $16,200,000.00 16,200 $1,215.17 $3,485,754.00 $1,156,636.50 810

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 1/6/2014 ($196,857.54)

8,14,45 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 12/23/2008 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in full; warrants not outstanding

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 7/28/2011 $11,600,000.00 11,600 $1,000.00 $580,000.00 580

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Exited bankruptcy/Receivership

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 2/11/2010 ($4,120,000.00)

8 PACIFIC COMMERCE BANK LOS ANGELES CA 12/23/2008 Preferred Stock w/ Exercised Warrants $4,060,000.00 $0.00 $2,991,670.80 Sold, in full; warrants not outstanding

PACIFIC COMMERCE BANK LOS ANGELES CA 2/10/2014 $2,519,960.80 4,060 $620.68 ($1,540,039.20) $109,487.50 203

PACIFIC COMMERCE BANK LOS ANGELES CA 3/19/2014 ($25,000.00)

85 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 12/12/2008 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, in full; warrants outstanding

PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 2/15/2013 $6,500,000.00 6,500 $1,000.00

8,14 PARK BANCORPORATION, INC. MADISON WI 3/6/2009 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in full; warrants not outstanding

PARK BANCORPORATION, INC. MADISON WI 8/7/2012 $1,676,654.00 2,296 $730.25 ($619,346.00) $88,059.01 114

PARK BANCORPORATION, INC. MADISON WI 8/9/2012 $4,048,506.00 5,544 $730.25 ($1,495,494.00) $482,779.69 625

PARK BANCORPORATION, INC. MADISON WI 8/10/2012 $11,216,640.00 15,360 $730.25 ($4,143,360.00) $325,200.40 421

PARK BANCORPORATION, INC. MADISON WI 9/11/2012 ($169,418.00)

11 PARK NATIONAL CORPORATION NEWARK OH 12/23/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in full; warrants not outstanding

PARK NATIONAL CORPORATION NEWARK OH 4/25/2012 $100,000,000.00 100,000 $1,000.00

PARK NATIONAL CORPORATION NEWARK OH 5/2/2012 $2,842,400.00 227,376

PARKE BANCORP, INC. SEWELL NJ 1/30/2009 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in full; warrants not outstanding

PARKE BANCORP, INC. SEWELL NJ 11/28/2012 $394,072.28 548 $719.11 ($153,927.72)

PARKE BANCORP, INC. SEWELL NJ 11/29/2012 $11,318,791.40 15,740 $719.11 ($4,421,208.60)

PARKE BANCORP, INC. SEWELL NJ 1/11/2013 ($117,128.64)

PARKE BANCORP, INC. SEWELL NJ 6/12/2013 $1,650,288.00 438,906

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 12/23/2008 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $42,596,063.59 Redeemed, in full; warrants not outstanding

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 1/3/2012 $31,762,000.00 31,762 $1,000.00

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 5/27/2015 $6,025,649.70 819,640

8,11,21 PASCACK BANCORP, INC. WESTWOOD NJ 2/6/2009 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in full; warrants not outstanding

PASCACK BANCORP, INC. WESTWOOD NJ 10/19/2011 $3,756,000.00 3,756 $1,000.00 $188,000.00 188

8,126 PATAPSCO BANCORP, INC. DUNDALK MD 12/19/2008 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $9,260,824.26 Redeemed, in full; warrants not outstanding

PATAPSCO BANCORP, INC. DUNDALK MD 8/28/2015 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

44 PATHFINDER BANCORP, INC. OSWEGO NY 9/11/2009 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in full; warrants not outstanding

PATHFINDER BANCORP, INC. OSWEGO NY 9/1/2011 $6,771,000.00 6,771 $1,000.00

PATHFINDER BANCORP, INC. OSWEGO NY 2/1/2012 $537,633.00 154,354

8,14 PATHWAY BANCORP CAIRO NE 3/27/2009 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in full; warrants not outstanding

PATHWAY BANCORP CAIRO NE 6/24/2013 $3,727,000.00 3,727 $1,167.01 $622,446.27 $226,565.00 186

PATHWAY BANCORP CAIRO NE 7/26/2013 ($25,000.00)

8 PATRIOT BANCSHARES, INC. HOUSTON TX 12/19/2008 Preferred Stock w/ Exercised Warrants $26,038,000.00 $0.00 $33,824,567.35 Sold, in full; warrants not outstanding

PATRIOT BANCSHARES, INC. HOUSTON TX 4/11/2014 $12,000,000.00 12,000 $1,142.03 $1,704,360.00 $1,035,834.25 802

PATRIOT BANCSHARES, INC. HOUSTON TX 4/14/2014 $14,038,000.00 14,038 $1,142.03 $1,993,817.14 $645,781.95 500

PATRIOT BANCSHARES, INC. HOUSTON TX 7/18/2014 ($297,361.77)

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in full; warrants not outstanding

PATTERSON BANCSHARES, INC. PATTERSON LA 3/7/2012 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 8/22/2012 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 12/5/2012 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 5/8/2013 $500,000.00 500 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 6/5/2013 $2,440,000.00 2,440 $1,000.00 $185,000.00 185

11 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/9/2009 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in full; warrants not outstanding

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/6/2010 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 3/2/2011 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/11/2012 $14,341,000.00 14,341 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4/4/2012 $110,000.00 150,296

8,14,44 PENN LIBERTY FINANCIAL CORP. WAYNE PA 4/17/2009 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in full; warrants not outstanding

PENN LIBERTY FINANCIAL CORP. WAYNE PA 9/1/2011 $9,960,000.00 9,960 $1,000.00 $498,000.00 498

11 PEOPLES BANCORP (OH) MARIETTA OH 1/30/2009 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (OH) MARIETTA OH 2/2/2011 $21,000,000.00 21,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 12/28/2011 $18,000,000.00 18,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 2/15/2012 $1,200,724.15 313,505

8,14,56 PEOPLES BANCORP (WA) LYNDEN WA 2/13/2009 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (WA) LYNDEN WA 8/3/2011 $18,000,000.00 18,000 $1,000.00 $900,000.00 900

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 12/23/2008 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in full; warrants not outstanding

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 7/3/2012 $23,384,401.44 ($350,766.02) 25,054 $933.36 ($1,669,598.56)

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8/8/2012 $425,000.00 357,234

8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2009 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in full; warrants not outstanding

PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2012 $12,660,000.00 12,660 $1,000.00 $633,000.00 633

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 3/20/2009 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in full; warrants not outstanding

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 10/31/2012 $2,944,500.00 3,900 $755.00 ($955,500.00) $122,225.00 195

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 1/11/2013 ($25,000.00)

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 3/6/2009 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in full; warrants not outstanding

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 9/18/2013 $12,325,000.00 12,325 $1,000.00 $616,000.00 616

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 9/11/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in full; warrants not outstanding

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 8/25/2011 $1,500,000.00 1,500 $1,000.00 $71,000.00 71

9,11,36 PGB HOLDINGS, INC. CHICAGO IL 2/6/2009 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in full; warrants not outstanding

PGB HOLDINGS, INC. CHICAGO IL 8/13/2010 $3,000,000.00 3,000 $1,000.00

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 1/23/2009 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 Currently Not Collectible

27
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

PIERCE COUNTY BANCORP TACOMA WA 11/5/2010 ($6,800,000.00)

8,69,148 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 3/6/2009 Preferred Stock w/ Exercised Warrants $4,389,000.00 $0.00 $984,999.00 Sold, in full; warrants not outstanding

PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 5/22/2018 $700,000.00 4,389 $159.49 ($3,689,000.00)

11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/12/2008 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in full; warrants not outstanding

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/28/2011 $23,750,000.00 23,750 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 6/20/2012 $71,250,000.00 71,250 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 7/18/2012 $755,000.00 267,455

8,14,44 PLAINS CAPITAL CORPORATION DALLAS TX 12/19/2008 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in full; warrants not outstanding

PLAINS CAPITAL CORPORATION DALLAS TX 9/27/2011 $87,631,000.00 87,631 $1,000.00 $4,382,000.00 4,382

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; warrants not outstanding

PLATO HOLDINGS INC. SAINT PAUL MN 4/26/2013 $120,000.00 120,000 $1.00 $180.00

PLATO HOLDINGS INC. SAINT PAUL MN 4/29/2013 $2,380,000.00 2,380,000 $1.00 $3,570.00 $90,582.47 107,000

PLATO HOLDINGS INC. SAINT PAUL MN 5/31/2013 ($25,000.00)

PLUMAS BANCORP QUINCY CA 1/30/2009 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; warrants not outstanding

PLUMAS BANCORP QUINCY CA 4/29/2013 $11,949,000.00 11,949 $1,091.11 $1,088,673.39

PLUMAS BANCORP QUINCY CA 5/22/2013 $234,500.00 237,712

PLUMAS BANCORP QUINCY CA 5/31/2013 ($130,376.73)

20 POPULAR, INC. SAN JUAN PR 12/5/2008 Preferred Stock w/ Warrants $935,000,000.00 $0.00 $1,220,280,000.00 Redeemed, in full; warrants not outstanding

POPULAR, INC. SAN JUAN PR 7/2/2014 $935,000,000.00 935,000 $1,000.00

POPULAR, INC. SAN JUAN PR 7/23/2014 $3,000,000.00 2,093,284

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 11/21/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $8,233,333.33 Sold, in full; warrants outstanding

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/3/2014 $2,693,800.00 26,938 $100.00 ($24,244,200.00)

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/4/2014 $806,200.00 8,062 $100.00 ($7,255,800.00)

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 1/9/2015 ($50,000.00)

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 4/3/2009 Preferred Stock w/ Exercised Warrants $2,800,000.00 $0.00 $3,596,579.20 Sold, in full; warrants not outstanding

PRAIRIE STAR BANCSHARES, INC. OLATHE KS 6/29/2015 $2,800,000.00 2,800 $1,187.61 $525,308.00 $164,018.20 140

PRAIRIE STAR BANCSHARES, INC. OLATHE KS 8/6/2015 ($25,000.00)

9,15,36 PREMIER BANCORP, INC. WILMETTE IL 5/8/2009 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in full; warrants not outstanding

PREMIER BANCORP, INC. WILMETTE IL 8/13/2010 $6,784,000.00 6,784,000 $1.00

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 3/20/2009 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Exited bankruptcy/Receivership

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 8/14/2012 ($9,500,000.00)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10/2/2009 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $28,727,240.29 Sold, in full; warrants not outstanding

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/8/2012 $1,678,618.89 1,863 $901.03 ($184,381.11)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/9/2012 $8,575,102.51 9,517 $901.03 ($941,897.49)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/10/2012 $9,795,998.16 10,872 $901.03 ($1,076,001.84)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9/11/2012 ($200,497.20)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 5/6/2015 $5,675,000.00 636,378

14,15 PREMIER FINANCIAL CORP. DUBUQUE IA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in full; warrants not outstanding

PREMIER FINANCIAL CORP. DUBUQUE IA 7/22/2013 $6,349,000.00 6,349,000 $1.24 $1,507,379.58 $478,590.75 317,000

PREMIER FINANCIAL CORP. DUBUQUE IA 9/12/2013 ($78,563.80)

8 PREMIER SERVICE BANK RIVERSIDE CA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,300,522.22 Redeemed, in full; warrants not outstanding

PREMIER SERVICE BANK RIVERSIDE CA 1/31/2014 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

80 PREMIERWEST BANCORP MEDFORD OR 2/13/2009 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in full; warrants not outstanding

PREMIERWEST BANCORP MEDFORD OR 4/9/2013 $41,400,000.00 41,400 $1,000.00

8,17 PRESIDIO BANK SAN FRANCISCO CA 11/20/2009 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in full; warrants not outstanding

PRESIDIO BANK SAN FRANCISCO CA 12/10/2012 $262,635.10 310 $847.21 ($47,364.90) $83,086.12 97

PRESIDIO BANK SAN FRANCISCO CA 12/11/2012 $8,887,232.90 10,490 $847.21 ($1,602,767.10) $195,295.20 228

PRESIDIO BANK SAN FRANCISCO CA 1/11/2013 ($91,498.68)

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 1/23/2009 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 Currently Not Collectible

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 11/2/2012 ($25,083,000.00)

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 2/27/2009 Preferred Stock w/ Exercised Warrants $4,960,000.00 $0.00 $10,836,280.71 Redeemed, in full; warrants not outstanding

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 12/29/2009 $3,262,000.00

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 6/25/2014 $8,222,000.00 8,222 $1,000.00 $248,000.00 248

12 PRIVATEBANCORP, INC. CHICAGO IL 1/30/2009 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in full; warrants not outstanding

PRIVATEBANCORP, INC. CHICAGO IL 10/24/2012 $243,815,000.00 243,815 $1,000.00

PRIVATEBANCORP, INC. CHICAGO IL 11/14/2012 $1,225,000.00 645,013

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 10/2/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in full; warrants not outstanding

PROVIDENCE BANK ROCKY MOUNT NC 9/15/2011 $4,000,000.00 4,000 $1,000.00 $175,000.00 175

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 11/14/2008 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in full; warrants not outstanding

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 8/21/2012 $151,500,000.00 151,500 $1,000.00

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/20/2013 $71.62

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/25/2013 $19,047,005.12

107 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 3/13/2009 Preferred Stock w/ Warrants $9,266,000.00 $0.00 $5,639,391.00 Sold, in full; warrants not outstanding

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 4/30/2014 $5,096,300.00 9,266 $550.00 ($4,169,700.00)

8,11,14 PSB FINANCIAL CORPORATION MANY LA 2/27/2009 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in full; warrants not outstanding

PSB FINANCIAL CORPORATION MANY LA 9/29/2010 $9,270,000.00 9,270 $1,000.00 $464,000.00 464

8,14,44 PUGET SOUND BANK BELLEVUE WA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in full; warrants not outstanding

PUGET SOUND BANK BELLEVUE WA 8/11/2011 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

PULASKI FINANCIAL CORP. CREVE COEUR MO 1/16/2009 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in full; warrants not outstanding

PULASKI FINANCIAL CORP. CREVE COEUR MO 7/3/2012 $28,893,744.00 ($433,406.16) 32,538 $888.00 ($3,644,256.00)

PULASKI FINANCIAL CORP. CREVE COEUR MO 8/8/2012 $1,100,000.00 778,421

44 QCR HOLDINGS, INC. MOLINE IL 2/13/2009 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in full; warrants not outstanding

QCR HOLDINGS, INC. MOLINE IL 9/15/2011 $38,237,000.00 38,237 $1,000.00

QCR HOLDINGS, INC. MOLINE IL 11/16/2011 $1,100,000.00 521,888

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 10/30/2009 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in full; warrants not outstanding

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 9/30/2013 $6,229,000.00 6,229 $1,000.00 $311,000.00 311

8,17 RCB FINANCIAL CORPORATION ROME GA 6/19/2009 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,139,863.61 Sold, in full; warrants not outstanding

RCB FINANCIAL CORPORATION ROME GA 9/25/2013 $8,073,279.00 8,900 $907.11 ($826,721.00) $253,383.25 268

RCB FINANCIAL CORPORATION ROME GA 10/29/2013 ($80,732.79)

8,14,44 REDWOOD CAPITAL BANCORP EUREKA CA 1/16/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in full; warrants not outstanding

REDWOOD CAPITAL BANCORP EUREKA CA 7/21/2011 $3,800,000.00 3,800 $1,000.00 $190,000.00 190

8,14,44 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 1/9/2009 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in full; warrants not outstanding

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 8/18/2011 $2,995,000.00 2,995 $1,000.00 $150,000.00 150

8,114 REGENT BANCORP, INC. DAVIE FL 3/6/2009 Preferred Stock w/ Exercised Warrants $9,982,000.00 $0.00 $8,755,019.00 Sold, in full; warrants not outstanding

REGENT BANCORP, INC. DAVIE FL 10/17/2014 $7,970,737.50 1,449,225 $5.50 ($2,011,262.50)

8,14,44 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 2/27/2009 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in full; warrants not outstanding

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 7/21/2011 $2,655,000.00 2,655 $1,000.00 $133,000.00 133

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 10/23/2009 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in full; warrants not outstanding

REGENTS BANCSHARES, INC. VANCOUVER WA 1/26/2012 $12,700,000.00 12,700 $1,000.00 $381,000.00 381

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in full; warrants not outstanding

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/8/2012 $246,975.00 267 $925.00 ($20,025.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/9/2012 $1,140,525.00 1,233 $925.00 ($92,475.00) $50,000.00 75

REGIONAL BANKSHARES, INC. HARTSVILLE SC 1/11/2013 ($13,875.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 3/26/2013 ($11,125.00)

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in full; warrants not outstanding

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4/4/2012 $3,500,000,000.00 3,500,000 $1,000.00

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 5/2/2012 $45,000,000.00 48,253,677

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 2/13/2009 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $45,820,950.80 Sold, in full; warrants not outstanding

RELIANCE BANCSHARES, INC. FRONTENAC MO 9/25/2013 $40,000,000.00 40,000 $1,004.90 $196,000.00 $2,199,799.80 2,000

RELIANCE BANCSHARES, INC. FRONTENAC MO 10/29/2013 ($401,960.00)

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/27/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in full; warrants not outstanding

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/20/2013 $8,966,340.00 10,900 $822.60 ($1,933,660.00) $476,206.83 545

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 3/26/2013 ($89,663.40)

8,116 RISING SUN BANCORP RISING SUN MD 1/9/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $195,637.00 Currently Not Collectible

RISING SUN BANCORP RISING SUN MD 10/17/2014 ($5,983,000.00)

11,14,15 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/12/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in full; warrants not outstanding

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/6/2012 $10,500,000.00 10,500,000 $1.00

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 5/15/2013 $4,500,000.00 4,500,000 $1.00 $750,000.00 750,000

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/15/2009 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $0.00 $1,622,708.57 Redeemed, in full; warrants not outstanding

RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/14/2014 $1,100,000.00 1,100,000 $1.00 $55,000.00 55,000

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 1/30/2009 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 Currently Not Collectible

ROGERS BANCSHARES, INC. LITTLE ROCK AR 7/5/2013 ($25,000,000.00)

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2/20/2009 Preferred Stock w/ Warrants $30,407,000.00 $0.00 $38,451,518.83 Sold, in full; warrants not outstanding

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/1/2014 $9,000,000.00 9,000 $1,207.11 $1,863,990.00

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/2/2014 $21,407,000.00 21,407 $1,207.11 $4,433,603.77

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 9/26/2014 ($367,045.94)

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2/28/2018 $1,755,000.00 1,368,041

11 S&T BANCORP, INC. INDIANA PA 1/16/2009 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in full; warrants not outstanding

28
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

S&T BANCORP, INC. INDIANA PA 12/7/2011 $108,676,000.00 108,676 $1,000.00

S&T BANCORP, INC. INDIANA PA 6/11/2013 $527,361.00 517,012

8 SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A. WESTMINSTER CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,549,000.00 $0.00 $1,646,325.00 Redeemed, in full; warrants not outstanding

SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A. WESTMINSTER CA 4/5/2017 $1,549,000.00 1,549 $1,000.00 $77,000.00 77

44 SALISBURY BANCORP, INC. LAKEVILLE CT 3/13/2009 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in full; warrants not outstanding

SALISBURY BANCORP, INC. LAKEVILLE CT 8/25/2011 $8,816,000.00 8,816 $1,000.00

SALISBURY BANCORP, INC. LAKEVILLE CT 11/2/2011 $205,000.00 57,671

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 12/5/2008 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in full; warrants not outstanding

SANDY SPRING BANCORP, INC. OLNEY MD 7/21/2010 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 12/15/2010 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 2/23/2011 $4,450,000.00 651,547

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in full; warrants not outstanding

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 3/8/2013 $2,465,029.00 2,900 $850.01 ($434,971.00) $98,251.45 145

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 4/9/2013 ($25,000.00)

SANTA LUCIA BANCORP ATASCADERO CA 12/19/2008 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in full; warrants not outstanding

SANTA LUCIA BANCORP ATASCADERO CA 10/21/2011 $2,800,000.00 4,000 $700.00 ($1,200,000.00)

8,14,44 SBT BANCORP, INC. SIMSBURY CT 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

SBT BANCORP, INC. SIMSBURY CT 8/11/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 1/16/2009 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in full; warrants not outstanding

SCBT FINANCIAL CORPORATION COLUMBIA SC 5/20/2009 $64,779,000.00 64,779 $1,000.00

SCBT FINANCIAL CORPORATION COLUMBIA SC 6/24/2009 $1,400,000.00 303,083

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in full; warrants not outstanding

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 4/3/2012 $41,020,000.00 ($615,300.00) 2,000 $20,510.00 ($8,980,000.00)

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 5/30/2012 $55,000.00 589,623

8,14,44 SEACOAST COMMERCE BANK CHULA VISTA CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in full; warrants not outstanding

SEACOAST COMMERCE BANK CHULA VISTA CA 9/1/2011 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 2/13/2009 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in full; warrants not outstanding

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/10/2012 $174,537.72 252 $692.61 ($77,462.28)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/11/2012 $1,315,959.00 1,900 $692.61 ($584,041.00) $69,186.80 108

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 1/11/2013 ($14,904.97)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 3/26/2013 ($10,095.03)

8,14,44 SECURITY BUSINESS BANCORP SAN DIEGO CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in full; warrants not outstanding

SECURITY BUSINESS BANCORP SAN DIEGO CA 7/14/2011 $5,803,000.00 5,803 $1,000.00 $290,000.00 290

8,14,44 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 1/9/2009 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in full; warrants not outstanding

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9/15/2011 $6,815,000.00 6,815 $1,000.00 $341,000.00 341

8,14,36,111 SECURITY CAPITAL CORPORATION BATESVILLE MS 6/26/2009 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in full; warrants not outstanding

SECURITY CAPITAL CORPORATION BATESVILLE MS 9/29/2010 $17,388,000.00 17,388 $1,000.00 $522,000.00 522

11,36 SECURITY FEDERAL CORPORATION AIKEN SC 12/19/2008 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in full; warrants not outstanding

SECURITY FEDERAL CORPORATION AIKEN SC 9/29/2010 $18,000,000.00 18,000 $1,000.00

SECURITY FEDERAL CORPORATION AIKEN SC 7/31/2013 $50,000.00 137,966

8,14,44 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 2/20/2009 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in full; warrants not outstanding

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 9/22/2011 $12,500,000.00 12,500 $1,000.00 $625,000.00 625

14,15 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 5/1/2009 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in full; warrants not outstanding

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 6/24/2013 $10,750,000.00 10,750,000 $1.17 $1,784,607.50 $720,368.55 538,000

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 7/26/2013 ($125,346.08)

SEVERN BANCORP, INC. ANNAPOLIS MD 11/21/2008 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $27,435,463.85 Sold, in full; warrants not outstanding

SEVERN BANCORP, INC. ANNAPOLIS MD 9/25/2013 $23,367,267.70 23,393 $998.90 ($25,732.30)

SEVERN BANCORP, INC. ANNAPOLIS MD 10/29/2013 ($233,672.68)

SEVERN BANCORP, INC. ANNAPOLIS MD 12/20/2017 $520,000.00 556,976

11 SHORE BANCSHARES, INC. EASTON MD 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in full; warrants not outstanding

SHORE BANCSHARES, INC. EASTON MD 4/15/2009 $25,000,000.00 25,000 $1,000.00

SHORE BANCSHARES, INC. EASTON MD 11/16/2011 $25,000.00 172,970

11,14,15 SIGNATURE BANCSHARES, INC. DALLAS TX 6/26/2009 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in full; warrants not outstanding

SIGNATURE BANCSHARES, INC. DALLAS TX 12/15/2010 $1,700,000.00 1,700,000 $1.00 $85,000.00 85,000

11 SIGNATURE BANK NEW YORK NY 12/12/2008 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in full; warrants not outstanding

SIGNATURE BANK NEW YORK NY 3/31/2009 $120,000,000.00 120,000 $1,000.00

SIGNATURE BANK NEW YORK NY 3/16/2010 $11,150,939.74 595,829

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 1/16/2009 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in full; warrants not outstanding

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 5/20/2009 $7,414,000.00 7,414 $1,000.00

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 6/24/2009 $275,000.00 163,065

8,32,97,132 SONOMA VALLEY BANCORP SONOMA CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $497,164.00 Currently Not Collectible

SONOMA VALLEY BANCORP SONOMA CA 8/20/2010 ($8,653,000.00)

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in full; warrants not outstanding

SOUND BANKING COMPANY MOREHEAD CITY NC 11/13/2012 $2,832,412.70 3,070 $922.61 ($237,587.30) $124,412.34 154

SOUND BANKING COMPANY MOREHEAD CITY NC 1/11/2013 ($25,000.00)

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 12/5/2008 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in full; warrants not outstanding

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 9/30/2010 $130,179,218.75 130,179 $1,000.00 ($216,820,781.25) $400,000.00 10,106,796

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 7/17/2009 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in full; warrants not outstanding

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/8/2013 $1,814,620.00 2,000 $907.31 ($185,380.00)

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/11/2013 $9,889,679.00 10,900 $907.31 ($1,010,321.00) $588,264.19 645

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 4/9/2013 ($117,042.99)

9,11,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 1/16/2009 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in full; warrants not outstanding

SOUTHERN BANCORP, INC. ARKADELPHIA AR 8/6/2010 $11,000,000.00 11,000 $1,000.00

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 12/5/2008 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in full; warrants not outstanding

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 10/1/2012 $42,750,000.00 42,750 $1,000.00

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 2/27/2009 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; warrants not outstanding

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/3/2012 $15,638,296.00 ($234,574.44) 17,299 $904.00 ($1,660,704.00)

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/25/2012 $1,100,000.00 399,970

8,14,45 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 5/15/2009 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in full; warrants not outstanding

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 9/8/2011 $4,862,000.00 4,862 $1,000.00 $243,000.00 243

8,14,44 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in full; warrants not outstanding

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 8/25/2011 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 12/5/2008 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $13,504,763.89 Redeemed, in full; warrants not outstanding

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 7/21/2011 $9,550,000.00 9,550 $1,000.00

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5/13/2015 $2,700,000.00 231,891

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/12/2009 Preferred Stock w/ Exercised Warrants $2,760,000.00 $0.00 $3,202,464.28 Sold, in full; warrants not outstanding

SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/29/2015 $2,722,050.00 2,760 $986.25 ($37,950.00) $140,617.94 138

SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 8/6/2015 ($25,000.00)

11 SOUTHWEST BANCORP, INC. STILLWATER OK 12/5/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in full; warrants not outstanding

SOUTHWEST BANCORP, INC. STILLWATER OK 8/8/2012 $70,000,000.00 70,000 $1,000.00

SOUTHWEST BANCORP, INC. STILLWATER OK 5/29/2013 $2,287,197.00 703,753

8,14,44 SOVEREIGN BANCSHARES, INC. DALLAS TX 3/13/2009 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in full; warrants not outstanding

SOVEREIGN BANCSHARES, INC. DALLAS TX 9/22/2011 $18,215,000.00 18,215 $1,000.00 $911,000.00 911

8 SPIRIT BANKCORP, INC. BRISTOW OK 3/27/2009 Preferred Stock w/ Exercised Warrants $30,000,000.00 $0.00 $11,803,691.75 Sold, in full; warrants not outstanding

SPIRIT BANKCORP, INC. BRISTOW OK 10/21/2013 $9,000,000.00 30,000 $300.00 ($21,000,000.00) $631,941.75 1,500

SPIRIT BANKCORP, INC. BRISTOW OK 1/6/2014 ($90,000.00)

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 3/13/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $5,031,220.50 Redeemed, in full; warrants not outstanding

ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 1/10/2018 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

8,14,74 STANDARD BANCSHARES, INC. HICKORY HILLS IL 4/24/2009 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in full; warrants not outstanding

STANDARD BANCSHARES, INC. HICKORY HILLS IL 2/22/2013 $60,000,000.00 12,903,226 $4.65 $3,000,000.00

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/5/2008 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,514,919.19 Redeemed, in full; warrants not outstanding

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/14/2011 $36,842,000.00 36,842 $1,000.00

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5/27/2015 $100,566.69 488,847

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 9/4/2009 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in full; warrants not outstanding

STATE BANK OF BARTLEY, THE BARTLEY NE 9/22/2011 $1,697,000.00 1,697,000 $1.00 $51,000.00 51,000

8,11 STATE BANKSHARES, INC. FARGO ND 1/16/2009 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in full; warrants not outstanding

STATE BANKSHARES, INC. FARGO ND 8/12/2009 $12,500,000.00 12,500 $1,000.00

STATE BANKSHARES, INC. FARGO ND 6/29/2011 $37,500,000.00 37,500 $1,000.00 $2,500,000.00 250

8,11,36 STATE CAPITAL CORP. GREENWOOD MS 2/13/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in full; warrants not outstanding

STATE CAPITAL CORP. GREENWOOD MS 9/29/2010 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

12,16 STATE STREET CORPORATION BOSTON MA 10/28/2008 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in full; warrants not outstanding

STATE STREET CORPORATION BOSTON MA 6/17/2009 $2,000,000,000.00 20,000 $100,000.00

STATE STREET CORPORATION BOSTON MA 7/8/2009 $60,000,000.00 2,788,104

11,14,15 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in full; warrants not outstanding

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 1/18/2012 $24,900,000.00 24,900,000 $1.00 $1,245,000.00 1,245,000

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 9/25/2009 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in full; warrants not outstanding

STEELE STREET BANK CORPORATION DENVER CO 9/1/2011 $11,019,000.00 11,019,000 $1.00 $331,000.00 331,000

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, in full; warrants not outstanding

29
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

STELLARONE CORPORATION CHARLOTTESVILLE VA 4/13/2011 $7,500,000.00 7,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 12/28/2011 $22,500,000.00 22,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 12/18/2013 $2,920,000.00 302,623

11 STERLING BANCORP NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in full; warrants not outstanding

STERLING BANCORP NEW YORK NY 4/27/2011 $42,000,000.00 42,000 $1,000.00

STERLING BANCORP NEW YORK NY 5/18/2011 $945,775.00 516,817

11 STERLING BANCSHARES, INC. HOUSTON TX 12/12/2008 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in full; warrants not outstanding

STERLING BANCSHARES, INC. HOUSTON TX 5/5/2009 $125,198,000.00 125,198 $1,000.00

STERLING BANCSHARES, INC. HOUSTON TX 6/15/2010 $2,857,914.52 2,615,557

31 STERLING FINANCIAL CORPORATION SPOKANE WA 12/5/2008 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in full; warrants not outstanding

STERLING FINANCIAL CORPORATION SPOKANE WA 8/20/2012 $114,772,740.00 ($1,434,659.25) 5,738,637 $20.00 ($188,227,260.00)

STERLING FINANCIAL CORPORATION SPOKANE WA 9/19/2012 $825,000.00 97,541

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1/30/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in full; warrants not outstanding

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 9/1/2011 $10,000,000.00 10,000 $1,000.00

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 10/26/2011 $107,398.00 133,475

8,11,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 2/6/2009 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in full; warrants not outstanding

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 1/12/2011 $4,000,000.00 4,000 $1,000.00

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 3/16/2011 $11,568,000.00 11,568 $1,000.00 $778,000.00 778

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 1/23/2009 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in full; warrants not outstanding

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/26/2013 $1,796,209.03 10,351 $173.53 ($8,554,790.97) $130,704.17 516

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/27/2013 $107,935.66 622 $173.53 ($514,064.34) $8,358.99 33

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 4/9/2013 ($25,000.00)

15,123 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $24,929,429.70 Redeemed, in full; warrants not outstanding

SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 7/16/2015 $15,000,000.00 15,000,000 $1.00 $750,000.00 750,000

44 SUMMIT STATE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in full; warrants not outstanding

SUMMIT STATE BANK SANTA ROSA CA 8/4/2011 $8,500,000.00 8,500 $1,000.00

SUMMIT STATE BANK SANTA ROSA CA 9/14/2011 $315,000.00 239,212

11 SUN BANCORP, INC. VINELAND NJ 1/9/2009 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in full; warrants not outstanding

SUN BANCORP, INC. VINELAND NJ 4/8/2009 $89,310,000.00 89,310 $1,000.00

SUN BANCORP, INC. VINELAND NJ 5/27/2009 $2,100,000.00 1,620,545

11 SUNTRUST BANKS, INC. ATLANTA GA 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in full; warrants not outstanding

SUNTRUST BANKS, INC. ATLANTA GA 12/31/2008 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 3/30/2011 $4,850,000,000.00 48,500 $100,000.00

SUNTRUST BANKS, INC. ATLANTA GA 9/28/2011 $30,066,661.40 17,900,182

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 12/5/2008 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 Currently Not Collectible

SUPERIOR BANCORP INC. BIRMINGHAM AL 4/15/2011 ($69,000,000.00)

8,11,14 SURREY BANCORP MOUNT AIRY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in full; warrants not outstanding

SURREY BANCORP MOUNT AIRY NC 12/29/2010 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in full; warrants not outstanding

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 4/21/2010 $200,000,000.00 200,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/22/2010 $100,000,000.00 100,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 1/19/2011 $5,269,179.36 3,028,264

8,11,14 SV FINANCIAL, INC. STERLING IL 4/10/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in full; warrants not outstanding

SV FINANCIAL, INC. STERLING IL 8/31/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12/12/2008 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in full; warrants not outstanding

SVB FINANCIAL GROUP SANTA CLARA CA 12/23/2009 $235,000,000.00 235,000 $1,000.00

SVB FINANCIAL GROUP SANTA CLARA CA 6/16/2010 $6,820,000.00 354,058

14,15,44 SWORD FINANCIAL CORPORATION HORICON WI 5/8/2009 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in full; warrants not outstanding

SWORD FINANCIAL CORPORATION HORICON WI 9/15/2011 $13,644,000.00 13,644,000 $1.00 $682,000.00 682,000

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 12/19/2008 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, in full; warrants outstanding

SYNOVUS FINANCIAL CORP. COLUMBUS GA 7/26/2013 $967,870,000.00 967,870 $1,000.00

8,103 SYRINGA BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $8,000,000.00 $0.00 $253,122.22 Currently Not Collectible

SYRINGA BANCORP BOISE ID 1/31/2014 ($8,000,000.00)

TAYLOR CAPITAL GROUP ROSEMONT IL 11/21/2008 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in full; warrants not outstanding

TAYLOR CAPITAL GROUP ROSEMONT IL 6/19/2012 $93,659,350.50 ($1,404,890.26) 104,823 $893.50 ($11,163,649.50)

TAYLOR CAPITAL GROUP ROSEMONT IL 7/18/2012 $9,839,273.00 1,462,647

15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 8/28/2009 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in full; warrants not outstanding

TCB CORPORATION/COUNTY BANK GREENWOOD SC 9/8/2011 $9,720,000.00 9,720,000 $1.00 $292,000.00 292,000

8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 1/16/2009 Preferred Stock w/ Exercised Warrants $11,730,000.00 $0.00 $690,832.08 Currently Not Collectible

TCB HOLDING COMPANY THE WOODLANDS TX 12/13/2013 ($11,730,000.00)

11 TCF FINANCIAL CORPORATION WAYZATA MN 11/14/2008 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in full; warrants not outstanding

TCF FINANCIAL CORPORATION WAYZATA MN 4/22/2009 $361,172,000.00 361,172 $1,000.00

TCF FINANCIAL CORPORATION WAYZATA MN 12/21/2009 $9,449,980.56 3,199,988

8,11,14 TCNB FINANCIAL CORP DAYTON OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in full; warrants not outstanding

TCNB FINANCIAL CORP DAYTON OH 8/3/2011 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 Currently Not Collectible

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 1/27/2012 ($30,000,000.00)

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in full; warrants not outstanding

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/26/2013 $298,000.00 298 $1,022.11 $6,588.78 $19,218.87 20

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/29/2013 $2,702,000.00 2,702 $1,022.11 $59,741.22 $124,922.63 130

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 5/31/2013 ($25,000.00)

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 1/16/2009 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in full; warrants not outstanding

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 5/13/2009 $75,000,000.00 75,000 $1,000.00

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 3/17/2010 $6,559,066.21 758,086

8,11,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 1/9/2009 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in full; warrants not outstanding

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 5/19/2010 $3,981,000.00 3,981 $1,000.00 $199,000.00 199

8,14,44 THE ANB CORPORATION TERRELL TX 8/7/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in full; warrants not outstanding

THE ANB CORPORATION TERRELL TX 8/25/2011 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

12,16 THE BANCORP, INC. WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in full; warrants not outstanding

THE BANCORP, INC. WILMINGTON DE 3/10/2010 $45,220,000.00 45,220 $1,000.00

THE BANCORP, INC. WILMINGTON DE 9/8/2010 $4,753,984.55 980,203

8 THE BANK OF CURRITUCK MOYOCK NC 2/6/2009 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in full; warrants not outstanding

THE BANK OF CURRITUCK MOYOCK NC 12/3/2010 $1,742,850.00 4,021 $433.44 ($2,278,150.00)

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 2/13/2009 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in full; warrants not outstanding

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 12/22/2010 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 11/23/2011 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 5/29/2013 $2,150,648.55 276,078

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 1/16/2009 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in full; warrants not outstanding

THE BARABOO BANCORPORATION, INC. BARABOO WI 12/10/2012 $1,956,900.00 3,000 $652.30 ($1,043,100.00) $403,161.92 487

THE BARABOO BANCORPORATION, INC. BARABOO WI 12/11/2012 $11,577,672.70 17,749 $652.30 ($6,171,327.30) $455,316.35 550

THE BARABOO BANCORPORATION, INC. BARABOO WI 1/11/2013 ($135,345.73)

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 12/19/2008 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in full; warrants not outstanding

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 4/19/2012 $5,448,000.00 5,448 $1,000.00 $792,783.00 175,742

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 12/19/2008 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $11,795,867.07 Redeemed, in full; warrants not outstanding

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 8/25/2011 $9,090,000.00 9,090 $1,000.00

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 5/6/2015 $1,486,292.07 151,030

11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,722,063.78 Redeemed, in full; warrants not outstanding

THE FIRST BANCORP, INC. DAMARISCOTTA ME 8/24/2011 $12,500,000.00 12,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 3/27/2013 $2,500,000.00 2,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/8/2013 $10,000,000.00 10,000 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/28/2015 $389,077.67 226,819

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 2/6/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,714,215.56 Redeemed, in full; warrants not outstanding

THE FIRST BANCSHARES, INC. HATTIESBURG MS 9/29/2010 $5,000,000.00 5,000 $1,000.00

THE FIRST BANCSHARES, INC. HATTIESBURG MS 5/13/2015 $302,410.00 54,705

8,11,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 2/27/2009 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in full; warrants not outstanding

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 4/14/2010 $731,000.00 731 $1,000.00 $37,000.00 37

8,11,14 THE FREEPORT STATE BANK HARPER KS 2/6/2009 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in full; warrants not outstanding

THE FREEPORT STATE BANK HARPER KS 12/19/2012 $301,000.00 301 $1,000.00 $15,000.00 15

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 6/26/2009 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in full; warrants not outstanding

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 3/31/2010 $3,400,000,000.00 3,400,000 $1,000.00

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 9/27/2010 $706,264,559.89 52,093,973

8,14,44 THE LANDRUM COMPANY COLUMBIA MO 5/22/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in full; warrants not outstanding

THE LANDRUM COMPANY COLUMBIA MO 8/18/2011 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 12/23/2008 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in full; warrants not outstanding

THE LITTLE BANK, INCORPORATED KINSTON NC 10/31/2012 $7,359,000.00 7,500 $981.20 ($141,000.00) $371,250.00 375

THE LITTLE BANK, INCORPORATED KINSTON NC 1/11/2013 ($73,590.00)

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 12/31/2008 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in full; warrants not outstanding

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 2/10/2010 $7,579,200,000.00 75,792 $100,000.00

30
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5/5/2010 $320,372,284.16 16,885,192

8,14,44 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 2/20/2009 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in full; warrants not outstanding

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 9/1/2011 $5,450,000.00 5,450 $1,000.00 $273,000.00 273

8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 1/9/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in full; warrants not outstanding

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/8/2013 $244,225.00 250 $976.90 ($5,775.00) $4,806.455

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/11/2013 $11,478,575.00 11,750 $976.90 ($271,425.00) $571,967.55 595

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 4/9/2013 ($117,228.00)

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 2/27/2009 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in full; warrants not outstanding

THE VICTORY BANCORP, INC. LIMERICK PA 12/11/2009 $1,505,000.00

THE VICTORY BANCORP, INC. LIMERICK PA 9/22/2011 $2,046,000.00 2,046 $1,000.00 $61,000.00 61

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in full; warrants not outstanding

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/8/2012 $1,165,528.32 1,312 $888.36 ($146,471.68)

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/9/2012 $3,877,691.40 4,365 $888.36 ($487,308.60) $282,284.64 284

THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/11/2013 ($50,432.20)

TIB FINANCIAL CORP NAPLES FL 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in full; warrants not outstanding

TIB FINANCIAL CORP NAPLES FL 9/30/2010 $12,119,637.37 12,120 $1,000.00 ($24,880,362.63) $40,000.00 1,106,389

134 TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 12/19/2008 Preferred Stock w/ Warrants $14,448,000.00 $0.00 $10,180,200.33 Sold, in full; warrants not outstanding

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 7/1/2016 $8,984,227.00 14,448 $621.83 ($5,463,773.00)

8,47,97 TIFTON BANKING COMPANY TIFTON GA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Exited bankruptcy/Receivership

TIFTON BANKING COMPANY TIFTON GA 11/12/2010 ($3,800,000.00)

TIMBERLAND BANCORP, INC. HOQUIAM WA 12/23/2008 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in full; warrants not outstanding

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/8/2012 $3,290,437.50 3,815 $862.50 ($524,562.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/9/2012 $1,580,962.50 1,833 $862.50 ($252,037.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11/13/2012 $9,481,462.50 10,993 $862.50 ($1,511,537.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 1/11/2013 ($143,528.63)

TIMBERLAND BANCORP, INC. HOQUIAM WA 6/11/2013 $1,301,856.00 370,899

8,11,14 TITONKA BANCSHARES, INC. TITONKA IA 4/3/2009 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in full; warrants not outstanding

TITONKA BANCSHARES, INC. TITONKA IA 4/4/2012 $2,117,000.00 2,117 $1,000.00 $106,000.00 106

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 2/6/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in full; warrants not outstanding

TODD BANCSHARES, INC. HOPKINSVILLE KY 9/25/2013 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

45 TOWNEBANK PORTSMOUTH VA 12/12/2008 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in full; warrants not outstanding

TOWNEBANK PORTSMOUTH VA 9/22/2011 $76,458,000.00 76,458 $1,000.00

TOWNEBANK PORTSMOUTH VA 5/15/2013 $1,500,000.00 554,330

8 TREATY OAK BANCORP, INC. AUSTIN TX 1/16/2009 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $2,412,702.03 Sold, in full; warrants outstanding

TREATY OAK BANCORP, INC. AUSTIN TX 2/15/2011 $500,000.00 3,118 $160.36 ($2,618,000.00)

TREATY OAK BANCORP, INC. AUSTIN TX 12/21/2012 $150,000.00 150,000 $1.00

TREATY OAK BANCORP, INC. AUSTIN TX 8/6/2015 $1,570,287.00

8,14,44 TRIAD BANCORP, INC. FRONTENAC MO 3/27/2009 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in full; warrants not outstanding

TRIAD BANCORP, INC. FRONTENAC MO 9/22/2011 $3,700,000.00 3,700 $1,000.00 $185,000.00 185

8,14,44 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 12/19/2008 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in full; warrants not outstanding

TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 9/22/2011 $15,540,000.00 15,540 $1,000.00 $777,000.00 777

8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 3/27/2009 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in full; warrants not outstanding

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/7/2012 $2,639,379.50 3,518 $750.25 ($878,620.50) $163,062.90 175

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/9/2012 $7,038,845.50 9,382 $750.25 ($2,343,154.50) $1,300,776.05 1,396

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/10/2012 $16,984,909.75 22,639 $750.25 ($5,654,090.25) $191,948.33 206

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9/11/2012 ($266,631.35)

8,9,11 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 4/3/2009 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in full; warrants not outstanding

TRI-STATE BANK OF MEMPHIS MEMPHIS TN 8/13/2010 $2,795,000.00 2,795 $1,000.00

8,11 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 2/27/2009 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in full; warrants not outstanding

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 9/26/2012 $23,000,000.00 23,000 $1,000.00 $1,150,000.00 1,150

8,14,18 TRISUMMIT BANK KINGSPORT TN 4/3/2009 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in full; warrants not outstanding

TRISUMMIT BANK KINGSPORT TN 12/22/2009 $4,237,000.00

TRISUMMIT BANK KINGSPORT TN 11/29/2012 $5,251,500.00 7,002 $750.00 ($1,750,500.00) $124,665.75 138

TRISUMMIT BANK KINGSPORT TN 1/11/2013 ($52,515.00)

11 TRUSTMARK CORPORATION JACKSON MS 11/21/2008 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in full; warrants not outstanding

TRUSTMARK CORPORATION JACKSON MS 12/9/2009 $215,000,000.00 215,000 $1,000.00

TRUSTMARK CORPORATION JACKSON MS 12/30/2009 $10,000,000.00 1,647,931

8,14,44 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 5/29/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in full; warrants not outstanding

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 9/1/2011 $12,000,000.00 12,000 $1,000.00 $600,000.00 60

11 U.S. BANCORP MINNEAPOLIS MN 11/14/2008 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in full; warrants not outstanding

U.S. BANCORP MINNEAPOLIS MN 6/17/2009 $6,599,000,000.00 6,599,000 $1,000.00

U.S. BANCORP MINNEAPOLIS MN 7/15/2009 $139,000,000.00 32,679,102

8,122 U.S. CENTURY BANK MIAMI FL 8/7/2009 Preferred Stock w/ Exercised Warrants $50,236,000.00 $0.00 $13,070,409.40 Sold, in full; warrants not outstanding

U.S. CENTURY BANK MIAMI FL 3/17/2015 $11,738,143.76 50,236 $233.66 ($38,497,856.24) $586,953.92 2,512

8,14,44 UBT BANCSHARES, INC. MARYSVILLE KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in full; warrants not outstanding

UBT BANCSHARES, INC. MARYSVILLE KS 8/11/2011 $8,950,000.00 8,950 $1,000.00 $450,000.00 45

22,97,141 UCBH HOLDINGS INC. SAN FRANCISCO CA 11/14/2008 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,510,095.07 Currently Not Collectible

UCBH HOLDINGS INC. SAN FRANCISCO CA 11/6/2009 ($298,737,000.00)

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 11/14/2008 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in full; warrants not outstanding

UMPQUA HOLDINGS CORP. PORTLAND OR 2/17/2010 $214,181,000.00 214,181 $1,000.00

UMPQUA HOLDINGS CORP. PORTLAND OR 3/31/2010 $4,500,000.00 1,110,898

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 5/1/2009 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in full; warrants not outstanding

UNION BANK & TRUST COMPANY OXFORD NC 12/18/2009 $2,997,000.00

UNION BANK & TRUST COMPANY OXFORD NC 9/22/2011 $6,191,000.00 6,191 $1,000.00 $160,000.00 160

8,11,17 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 12/29/2009 Preferred Stock w/ Exercised Warrants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, in full; warrants not outstanding

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 7/25/2012 $600,000.00 600 $1,000.00

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 10/2/2013 $1,579,000.00 1,579 $1,000.00 $65,000.00 65

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/19/2008 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in full; warrants not outstanding

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 11/18/2009 $59,000,000.00 59,000 $1,000.00

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/23/2009 $450,000.00 211,318

8 UNITED AMERICAN BANK SAN MATEO CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $3,432,657.85 Sold, in full; warrants not outstanding

UNITED AMERICAN BANK SAN MATEO CA 7/2/2014 $3,319,050.00 8,700 $381.50 ($5,380,950.00) $138,607.85 435

UNITED AMERICAN BANK SAN MATEO CA 9/26/2014 ($25,000.00)

UNITED BANCORP, INC. TECUMSEH MI 1/16/2009 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in full; warrants not outstanding

UNITED BANCORP, INC. TECUMSEH MI 6/19/2012 $17,005,300.00 ($255,079.50) 20,600 $825.50 ($3,594,700.00)

UNITED BANCORP, INC. TECUMSEH MI 7/18/2012 $38,000.00 311,492

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 12/23/2008 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,182,763.89 Redeemed, in full; warrants not outstanding

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 9/3/2010 $10,300,000.00 10,300 $1,000.00

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 5/13/2015 $10,125.00 111,258

11,14,15 UNITED BANK CORPORATION BARNESVILLE GA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in full; warrants not outstanding

UNITED BANK CORPORATION BARNESVILLE GA 7/3/2012 $14,400,000.00 14,400,000 $1.00 $720,000.00 720,000

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 12/5/2008 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in full; warrants not outstanding

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/26/2013 $1,516,900.00 1,576 $962.50 ($59,100.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/27/2013 $12,587,575.00 13,078 $962.50 ($490,425.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/28/2013 $159,145,525.00 165,346 $962.50 ($6,200,475.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 4/9/2013 ($1,732,500.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 6/10/2013 $6,677.00 219,908

8,11,44 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 1/16/2009 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in full; warrants not outstanding

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 12/15/2010 $3,000,000.00 3,000 $1,000.00

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 9/15/2011 $2,658,000.00 2,658 $1,000.00 $283,000.00 283

11 UNITY BANCORP, INC. CLINTON NJ 12/5/2008 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in full; warrants not outstanding

UNITY BANCORP, INC. CLINTON NJ 5/15/2013 $10,324,000.00 10,324 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 7/3/2013 $10,325,000.00 10,325 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 8/28/2013 $2,707,314.00 764,778

8 UNIVERSAL BANCORP BLOOMFIELD IN 5/22/2009 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in full; warrants not outstanding

UNIVERSAL BANCORP BLOOMFIELD IN 8/8/2013 $237,527.50 250 $950.11 ($12,472.50)

UNIVERSAL BANCORP BLOOMFIELD IN 8/12/2013 $9,168,561.50 9,650 $950.11 ($481,438.50) $476,573.62 495

UNIVERSAL BANCORP BLOOMFIELD IN 9/12/2013 ($94,060.89)

9,11,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 6/19/2009 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in full; warrants not outstanding

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 7/30/2010 $11,926,000.00 11,926,000 $1.00

8 US METRO BANK GARDEN GROVE CA 2/6/2009 Preferred Stock w/ Exercised Warrants $2,861,000.00 $0.00 $3,465,216.00 Redeemed, in full; warrants not outstanding

US METRO BANK GARDEN GROVE CA 3/23/2016 $2,861,000.00 2,861 $1,000.00 $143,000.00 143

8,11 UWHARRIE CAPITAL CORP ALBEMARLE NC 12/23/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, in full; warrants not outstanding

UWHARRIE CAPITAL CORP ALBEMARLE NC 4/3/2013 $7,742,000.00 7,742 $1,000.00

UWHARRIE CAPITAL CORP ALBEMARLE NC 10/16/2013 $2,258,000.00 2,258 $1,000.00 $500,000.00 500

8,11,14 VALLEY COMMERCE BANCORP VISALIA CA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in full; warrants not outstanding

VALLEY COMMERCE BANCORP VISALIA CA 3/21/2012 $7,700,000.00 7,700 $1,000.00 $385,000.00 385

8 VALLEY COMMUNITY BANK PLEASANTON CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $2,947,090.75 Sold, in full; warrants not outstanding

31
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

VALLEY COMMUNITY BANK PLEASANTON CA 10/21/2013 $2,296,800.00 5,500 $417.60 ($3,203,200.00) $45,815.25 275

VALLEY COMMUNITY BANK PLEASANTON CA 1/6/2014 ($25,000.00)

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12/12/2008 Preferred Stock w/ Warrants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL CORPORATION ROANOKE VA 11/14/2012 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 2/20/2013 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 5/15/2013 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 8/14/2013 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 10/16/2013 $9,619,000.00 9,619 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 11/13/2013 $1,547,891.58 344,742

8,14,44 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 12/18/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 9/22/2011 $1,300,000.00 1,300 $1,000.00 $65,000.00 65

11 VALLEY NATIONAL BANCORP WAYNE NJ 11/14/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in full; warrants not outstanding

VALLEY NATIONAL BANCORP WAYNE NJ 6/3/2009 $75,000,000.00 75,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 9/23/2009 $125,000,000.00 125,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 12/23/2009 $100,000,000.00 100,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 5/24/2010 $5,421,615.27 2,532,542

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 6/26/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in full; warrants not outstanding

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 8/25/2011 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 5/1/2009 Preferred Stock w/ Warrants $14,738,000.00 $0.00 $6,933,870.05 Sold, in full; warrants outstanding

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 11/19/2013 $5,672,361.44 14,738 $384.88 ($9,065,638.56)

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1/6/2014 ($56,723.61)

11 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/12/2008 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $118,453,138.89 Redeemed, in full; warrants not outstanding

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/11/2012 $71,000,000.00 71,000 $1,000.00

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 1/31/2014 $33,263,000.00 2,696,203

8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in full; warrants not outstanding

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/8/2013 $325,353.86 533 $610.42 ($207,646.14)

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/12/2013 $2,543,620.14 4,167 $610.42 ($1,623,379.86) $63,481.25 143

VIRGINIA COMPANY BANK NEWPORT NEWS VA 9/12/2013 ($25,000.00)

8,11,14 VISION BANK - TEXAS RICHARDSON TX 4/24/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in full; warrants not outstanding

VISION BANK - TEXAS RICHARDSON TX 12/28/2012 $787,500.00 788 $1,000.00

VISION BANK - TEXAS RICHARDSON TX 7/10/2013 $712,500.00 713 $1,000.00 $75,000.00 75

VIST FINANCIAL CORP. WYOMISSING PA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in full; warrants not outstanding

VIST FINANCIAL CORP. WYOMISSING PA 8/1/2012 $25,000,000.00 25,000 $1,000.00 $1,189,813.00 367,984

8,14,45 W.T.B. FINANCIAL CORPORATION SPOKANE WA 1/30/2009 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in full; warrants not outstanding

W.T.B. FINANCIAL CORPORATION SPOKANE WA 9/15/2011 $110,000,000.00 110,000 $1,000.00 $5,500,000.00 5,500

8,11,17 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 12/11/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,731,826.23 Redeemed, in full; warrants not outstanding

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/4/2012 $3,000,000.00 3,000 $1,000.00

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 1/30/2013 $4,000,000.00 4,000 $1,000.00

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/23/2014 $5,000,000.00 5,000 $1,000.00 $478,000.00 478

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/19/2008 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in full; warrants not outstanding

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 11/24/2009 $22,000,000.00 22,000 $1,000.00

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/16/2009 $568,700.00 390,071

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 1/16/2009 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in full; warrants not outstanding

WASHINGTON BANKING COMPANY OAK HARBOR WA 1/12/2011 $26,380,000.00 26,380 $1,000.00

WASHINGTON BANKING COMPANY OAK HARBOR WA 3/2/2011 $1,625,000.00 246,082

11 WASHINGTON FEDERAL, INC. SEATTLE WA 11/14/2008 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in full; warrants not outstanding

WASHINGTON FEDERAL, INC. SEATTLE WA 5/27/2009 $200,000,000.00 200,000 $1,000.00

WASHINGTON FEDERAL, INC. SEATTLE WA 3/15/2010 $15,388,874.07 1,707,456

8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 1/30/2009 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in full; warrants not outstanding

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 10/30/2009 $6,842,000.00

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 8/4/2011 $13,475,000.00 13,475 $1,000.00 $332,000.00 332

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 6/26/2009 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in full; warrants not outstanding

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/6/2013 $4,831,002.80 5,212 $926.90 ($380,997.20) $18,644.66 19

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/7/2013 $92,690.00 100 $926.90 ($7,310.00) $147,194.69 150

WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/8/2013 $290,119.70 313 $926.90 ($22,880.30)

WAUKESHA BANKSHARES, INC. WAUKESHA WI 3/26/2013 ($52,138.13)

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in full; warrants not outstanding

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3/3/2010 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 10/13/2010 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 12/29/2010 $200,000,000.00 200,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 6/8/2011 $20,388,842.06 3,282,276

11 WELLS FARGO & CO. MINNEAPOLIS MN 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in full; warrants not outstanding

WELLS FARGO & CO. MINNEAPOLIS MN 12/23/2009 $25,000,000,000.00 25,000 $1,000,000.00

WELLS FARGO & CO. MINNEAPOLIS MN 5/26/2010 $840,374,891.73 110,261,688

11 WESBANCO, INC. WHEELING WV 12/5/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in full; warrants not outstanding

WESBANCO, INC. WHEELING WV 9/9/2009 $75,000,000.00 75,000 $1,000.00

WESBANCO, INC. WHEELING WV 12/23/2009 $950,000.00 439,282

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 12/31/2008 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in full; warrants not outstanding

WEST BANCORPORATION, INC. WEST DES MOINES IA 6/29/2011 $36,000,000.00 36,000 $1,000.00

WEST BANCORPORATION, INC. WEST DES MOINES IA 8/31/2011 $700,000.00 474,100

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 2/13/2009 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in full; warrants not outstanding

WESTAMERICA BANCORPORATION SAN RAFAEL CA 9/2/2009 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/18/2009 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/21/2011 $878,256.00 246,698

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/21/2008 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in full; warrants not outstanding

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 9/27/2011 $140,000,000.00 140,000 $1,000.00

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/23/2011 $415,000.00 787,107

8,117 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 12/23/2008 Preferred Stock w/ Exercised Warrants $7,290,000.00 $0.00 $554,083.00 Currently Not Collectible

WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 11/7/2014 ($7,290,000.00)

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/23/2008 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in full; warrants not outstanding

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/29/2009 $4,567,000.00

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/8/2012 $1,050,524.72 1,117 $940.49 ($66,475.28)

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/9/2012 $9,673,015.37 10,305 $938.67 ($631,984.63) $335,417.06 343

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 1/11/2013 ($107,235.41)

8,11,78 WESTERN RESERVE BANCORP, INC. MEDINA OH 5/15/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in full; warrants not outstanding

WESTERN RESERVE BANCORP, INC. MEDINA OH 11/30/2012 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 2/20/2009 Preferred Stock w/ Exercised Warrants $16,800,000.00 $0.00 $20,275,427.10 Sold, in full; warrants not outstanding

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/1/2014 $1,300,000.00 1,300 $1,063.21 $82,173.00

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/2/2014 $15,500,000.00 15,500 $1,063.21 $979,755.00 $1,002,535.38 840

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 9/26/2014 ($178,619.28)

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 12/19/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in full; warrants not outstanding

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 6/3/2011 $300,000,000.00 300,000 $1,000.00 $6,900,000.00 2,631,579

11 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, in full; warrants outstanding

WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 5/13/2011 $330,000,000.00 330,000 $1,000.00

WILSHIRE BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in full; warrants not outstanding

WILSHIRE BANCORP, INC. LOS ANGELES CA 4/3/2012 $58,646,694.58 ($879,700.42) 62,158 $943.51 ($3,511,305.42)

WILSHIRE BANCORP, INC. LOS ANGELES CA 6/20/2012 $760,000.00 949,460

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/19/2008 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in full; warrants not outstanding

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/22/2010 $250,000,000.00 250,000 $1,000.00

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 2/14/2011 $25,600,564.15 1,643,295

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 5/15/2009 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in full; warrants not outstanding

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 6/24/2013 $2,343,851.20 2,720 $861.71 ($376,148.80) $90,940.00 136

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 7/26/2013 ($24,999.99)

WSFS FINANCIAL CORPORATION WILMINGTON DE 1/23/2009 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in full; warrants not outstanding

WSFS FINANCIAL CORPORATION WILMINGTON DE 4/3/2012 $48,157,663.75 ($722,364.96) 52,625 $915.11 ($4,467,336.25)

WSFS FINANCIAL CORPORATION WILMINGTON DE 9/12/2012 $1,800,000.00 175,105

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 1/16/2009 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in full; warrants not outstanding

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 7/24/2009 $13,312,000.00

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 9/18/2012 $44,149,056.00 ($662,235.84) 49,312 $895.30 ($5,162,944.00)

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/10/2013 $55,677.00 91,178

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/11/2013 $20,000.00 128,663

8,14,45 YORK TRADITIONS BANK YORK PA 4/24/2009 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in full; warrants not outstanding

YORK TRADITIONS BANK YORK PA 7/14/2011 $4,871,000.00 4,871 $1,000.00 $244,000.00 244

11 ZIONS BANCORPORATION SALT LAKE CITY UT 11/14/2008 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in full; warrants not outstanding

ZIONS BANCORPORATION SALT LAKE CITY UT 3/28/2012 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 9/26/2012 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 12/5/2012 $7,666,418.51 5,789,909

TOTALS $204,894,726,320.00 $40,147,331.76 $226,765,897,011.34 ################# ############# ($5,187,995,196.39) $6,916,220,923.24 $8,069,707,497.60

32
AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

33
Footnote Footnote Description

1 All pricing is at par.

2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).

3 Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.

4 Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000 (per 

issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid approximately one 

month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the "Gain" 

column. Note that "(Fee)" is a negative number.

6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that 

settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on 1/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net 

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010 appear on 

a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 

million or less.

10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

12 Redemption pursuant to a qualified equity offering.

13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.

16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.

17 This institution participated in the expansion of CPP for small banks.

18 This institution received an additional investment through the expansion of CPP for small banks.

19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 

6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred Stock, Series H (CPP 

Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M 

Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692 shares of common stock and the 

associated warrant terminated on receipt of certain shareholder approvals.

20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, 

administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.

34
Footnote Footnote Description

21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding 

companies. The institution in which Treasury's original investment was made is shown in parentheses.

22 As of the date of this report, this institution is in bankruptcy proceedings.

23 On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent 

value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital 

Trust II, administrative trustee for Superior Bancorp.

25 On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market 

on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original investment.

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.

27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the conditions related 

to its capital plan, the MCP may be converted to common stock.

28 On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a 

Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.

29 On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), 

which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. On 7/26/13, Treasury entered into a securities 

purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions specified in such 

agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the 

preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave Morgan Stanley & Co. 

Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the 

period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley 

discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or 

on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales 

agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). 

Completion of the sale under this authority occurred on September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary 

authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon 

completion of the sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an 

underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of 

shares sold by Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.

35
Footnote Footnote Description

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock 

(MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion conditions set forth in the 

Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of 

common stock.

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First 

Merchants Capital Trust III.

34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion of the 

conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury 

received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors meetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific 

Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of capitalized previously 

accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was 

converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital common stock. 

Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive 

$46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment 

under the terms of the CDCI program. See "Community Development Capital Initiative" below.

37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. 

Therefore this disposition amount does not represent cash proceeds to Treasury.

38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred 

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the conversion conditions set forth in 

the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury 

for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 

5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the 

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the 

acquiror entered into on 3/23/2011.

42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC 

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc., which is equivalent 

to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the 

acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.

36
Footnote Footnote Description

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") 

Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, pursuant to the 

terms of the agreement between Treasury and BMO entered into on 05/16/2011.

44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the 

Small Business Lending Fund.

45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with 

the institution’s participation in the Small Business Lending Fund.

46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation 

(FDIC) was named Receiver.

50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit 

Insurance Corporation (FDIC) was named Receiver.

51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which 

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common 

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired 

company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement among Treasury, 

the acquired company and the acquiror entered into on 9/16/2011.

55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending 

Fund, which occurred at a later date.

57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant 

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.

37
Footnote Footnote Description

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation 

were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN Bancorp, Inc. 

entered into on 11/30/2011.

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a 

purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of the agreement 

between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was 

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount 

together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by Regents.

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions, 

and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the 

Federal Deposit Insurance Corporation (FDIC) as receiver.

65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject 

to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and 

exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the 

acquired company and the acquiror entered into on 7/19/2012.

68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit 

Insurance Corporation (FDIC) as receiver.

69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to Pinnacle 

at a discount subject to the satisfaction of the conditions specified in the agreement.

70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as 

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which 

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of 

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement agency 

agreement executed on 10/23/2012.

73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.

38
Footnote Footnote Description

74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with 

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with W 

Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a 

discount subject to the satisfaction of the conditions specified in the agreement.

77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had 

been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant, pursuant 

to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.

78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B 

preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant to 

the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.

80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck Bancshares, Inc. 

(“Starbuck”) entered into on 12/11/2012.

81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of 

the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community Financial warrant 

held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00 per 

share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement agency 

agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark 

Corporation (“Trustmark”) entered into on 02/11/2013.

84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of the 

agreement between Treasury and FBG entered into on 2/12/13.

85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97 

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury 

exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.

86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013, 

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers party 

thereto.

39
Footnote Footnote Description

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold such 

shares of common stock on 3/19/2013.

89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like amount of 

securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc. entered into on 

4/1/2013.

90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. Corporation, 

pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.

93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury agreed to 

sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to implement 

a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its terms, pursuant to 

which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On 9/27/2013, Treasury sold 

the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.

96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation preference of 

the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to common stock upon the 

receipt of certain shareholder approvals.

97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference 

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Monthly-Report-to-Congress.aspx.

98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury's CPP warrant and $6,785,000 of preferred stock for common 

stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the CPP warrant 

and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of 11/15/2013.

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of the 

Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia corporation 

(CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant to the terms of an 

agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.

102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to which 

Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on 12/31/2013.

40
Footnote Footnote Description

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been issued to 

Treasury by Alaska Pacific Bancshares, Inc.

105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to 

BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.

106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to securities 

purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.

107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to which 

Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on 4/30/2014.

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 11/25/2014, the bankruptcy court for the District of Idaho confirmed 

Idaho Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 and $3,522.87, respectively, from Idaho Bancorp (after payment 

to the Department of Justice of a 3% litigation fee).

109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of 4/29/2014, 

with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase agreements, each dated 

as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P., Endeavour Regional Bank Opportunities 

Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.

110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.

111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant to 

which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.

112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the Bank of 

New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from BNYM to 

Treasury on 7/1/2014.

113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell its 

Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to the 

satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.

114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement, dated as 

of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements dated as of 

10/16/2014.

115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community 

Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.

116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on Friday, 

10/17/2014.

117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday, 

11/7/2014.

41
Footnote Footnote Description

118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time 

during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.

119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of 

November 25, 2014.

120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers & 

Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers & 

Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.

121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time 

during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.

122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of $12.3 million, pursuant to a securities purchase agreement dated as of 

March 17, 2015.

123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which Treasury agreed to sell its CPP senior subordinated securities to 

Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specified in such agreement. This transaction was in conjunction with a 

merger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.

124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the 

Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 8/7/2015.

125 On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an 

aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.

126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connection with a merger pursuant to which Treasury agreed to sell its Patapsco 

Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus (ii) all accrued and unpaid dividends, subject to the satisfaction of the 

conditions specified in the agreement. The sale was completed on 8/28/2015.

127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which Treasury agreed to sell all of its CPP preferred stock issued by Goldwater 

Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreement. The sale was completed on 9/21/2015.

128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of 

the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid dividends through June 30, 2015. As part of the exchange 

transaction, Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/2/2015, 

with the purchaser parties thereto.

129 On 11/13/2015, Treasury received $3.88 million from the Department of Justice as a payment related to the United States’ $4.00 million False Claims Act action against the estate and trusts 

of the late Layton P. Stuart, former owner, president, and Chief Executive Officer of One Financial Corporation.

130 On 12/23/2015, Treasury completed the exchange of its CalWest Bancorp preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same 

date with CalWest Bancorp. As part of that transaction, Treasury immediately sold the resulting CalWest Bancorp common stock to purchasers pursuant to securities purchase agreements, 

each dated as of 12/23/2015, with the purchaser parties thereto.

131 On 2/29/2016, Treasury entered into an agreement with HCSB (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a discount subject 

to the satisfaction of the conditions specified in the agreement. The sale was completed on 4/11/2016.

132 Sonoma Valley Bancorp was liquidated and dissolved pursuant to the provision of the California Corporations Code. As part of that liquidation and dissolution, UST received a distribution of 

$150,000 from Sonoma Valley Bancorp on 6/15/2016.

42
Footnote Footnote Description

133 On 6/30/2016, Treasury completed the exchange of its Liberty Shares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same 

date with Liberty Shares, Inc. As part of that transaction, Treasury immediately sold the resulting Liberty Shares, Inc. common stock to purchasers pursuant to securities purchase 

agreements, each dated as of 6/30/2016, with the purchaser parties thereto.

134 On 7/1/2016, Treasury completed the sale to United Community Banks, Inc. (UCBI) of all of its CPP preferred stock and associated warrants issued by Tidelands Bancshares, Inc. (Tidelands) 

to UCBI for total proceeds of $8,984,227 subject to the satisfaction of conditions specified in the agreement. This transaction was in conjunction with a merger between Tidelands and UCBI.

135 On 6/28/2016, the United States completed a settlement of several lawsuits related to Treasury’s investment in One Financial Corporation (OFC). As a result of that settlement, it received 

344,227 shares of OFC common stock on 6/23/2016.

136 On 12/21/2016, Treasury entered into an agreement with Broadway Financial Corporation, First Republic Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust, pursuant to 

which Treasury agreed to sell part of its CPP common stock to the three entities for total proceeds of $7,477,547.40 subject to the satisfaction of conditions specified in the agreement. The 

transaction was completed on December 22, 2016.

137 On 12/28/2016, Treasury entered into an agreement with Allied First Bancorp (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a 

discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/28/2016.

138 On 2/28/2017, Treasury completed the exchange of its Citizens Commerce Bancshares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange 

agreement of the same date with Citizens Commerce Bancshares, Inc. As part of that transaction, Treasury immediately sold the resulting Citizens Commerce Bancshares, Inc. common 

stock to purchasers pursuant to securities purchase agreements, each dated as of 2/28/2017, with the purchaser parties thereto.

139 On 5/8/2017, Treasury obtained 344,577 shares of One Bank & Trust common shares in an Execution Sale conducted by the United States Marshal’s Service.

140 On 5/15/2017, Treasury sold 10,291,553 shares of First BanCorp common stock at $5.61 per share for total proceeds of $57,735,612.

141 On 5/31/17, Treasury received a court ordered $100.00 restitution check from a former executive of United Commercial Bank.

142 On 6/28/2017, Treasury entered into agreements with Broadway Financial Corporation, Pacific Western Bank and Community Bank, pursuant to which Treasury agreed to sell part of its CPP 

common stock to Pacific Western Bank and Community Bank for total proceeds of $3,480,975 subject to the satisfaction of conditions specified in the agreement. The transaction was 

completed on 6/29/2017.

143 On 6/30/2017, Cecil Bancorp, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Maryland (Baltimore).

144 On 9/7/2017, Treasury completed the exchange of its Grand Mountain Bancshares, Inc. preferred stock for common stock pursuant to an exchange agreement of the same date with Grand 

Mountain Bancshares, Inc.. As part of that transaction, Treasury immediately sold the resulting Grand Mountain Bancshares, Inc. common stock to purchasers pursuant to securities 

purchase agreements, each dated as of 9/7/2017, with the purchaser parties thereto.

145 On 9/21/2017, Treasury entered into agreements with Broadway Financial Corporation and Pacific Premier Bank, pursuant to which Treasury agreed to sell part of its CPP common stock to 

Pacific Premier Bank for total proceeds of $1,877,894.30 subject to the satisfaction of conditions specified in the agreement. The transaction was completed on 9/21/2017.

146 Pursuant to the 10/11/2017 Confirmation Order of the United States Bankruptcy Court for the District of Maryland, on 10/26/2017 Treasury completed the exchange of its Cecil Bancorp, Inc. 

(Cecil) preferred stock for common stock pursuant to an exchange agreement of the same date with Cecil. As part of that transaction, Treasury immediately (i) sold the resulting Cecil 

common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/26/2017, with the purchaser parties thereto and (ii) cancelled Treasury’s warrant.

147 On 5/17/2018, Treasury exercised its warrant on a cashless basis and received (i) 730,571 shares of common stock and (ii) $6.58 in cash in lieu of fractional shares. Treasury sold such 

shares of common stock on 5/21/2018 for total proceeds of $5,702,106.66.

148 On 5/22/2018, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the 

Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 5/22/2018.

43
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.

44
*Investment Status Definition Key

Full investment outstanding: Treasury's full investment is still outstanding

Redeemed – institution has repaid Treasury’s investment

Sold – by auction, an offering, or through a restructuring

Exited bankruptcy/receivership - Treasury has no outstanding investment

Footnote Institution Name City State Date Original Investment Type1 Exchange From CPP Original Investment Amount Outstanding Investment Total Cash Back2Investment Status* Amount (Fee) Shares Avg. Price (Realized Loss) / (Write-off) Gain

26 Alternatives Federal Credit Union Ithaca NY 9/24/2010 Subordinated Debentures $2,234,000.00 $0.00 $2,334,902.34 Sold, in full

Alternatives Federal Credit Union Ithaca NY 12/27/2016 $2,055,280.00 2,234,000 $0.92 ($178,720.00)

8 American Bancorp of Illinois, Inc. Oak Brook IL 9/17/2010 Subordinated Debentures $5,457,000.00 $0.00 $6,549,066.96 Redeemed, in Full

American Bancorp of Illinois, Inc. Oak Brook IL 3/1/2017 $5,457,000.00 5,457,000 $1.00

8 Atlantic City Federal Credit Union Lander WY 9/24/2010 Subordinated Debentures $2,500,000.00 $0.00 $2,600,277.77 Redeemed, in Full

Atlantic City Federal Credit Union Lander WY 9/26/2012 $2,500,000.00 2,500,000 $1.00

8 Bainbridge Bancshares, Inc. Bainbridge GA 9/24/2010 Preferred Stock $3,372,000.00 $0.00 $3,645,637.33 Redeemed, in Full

Bainbridge Bancshares, Inc. Bainbridge GA 9/10/2014 $2,372,000.00 2,372 $1,000.00

Bainbridge Bancshares, Inc. Bainbridge GA 1/7/2015 $1,000,000.00 1,000 $1,000.00

8 Bancorp of Okolona, Inc. Okolona MS 9/29/2010 Subordinated Debentures $3,297,000.00 $0.00 $3,547,974.96 Redeemed, in Full

Bancorp of Okolona, Inc. Okolona MS 3/13/2013 $3,297,000.00 3,297,000 $1.00

3,4,14 BancPlus Corporation Ridgeland MS 9/29/2010 Preferred Stock $50,400,000.00 $30,514,000.00 $0.00 $85,045,109.22 Sold, in full

BancPlus Corporation Ridgeland MS 10/18/2016 $75,250,020.00 80,914 $930.00 ($5,663,980.00)

8,11 BankAsiana Palisades Park NJ 9/29/2010 Preferred Stock $5,250,000.00 $0.00 $5,565,583.34 Redeemed, in Full

BankAsiana Palisades Park NJ 10/1/2013 $5,250,000.00 5,250 $1,000.00

8 Bethex Federal Credit Union Bronx NY 9/29/2010 Subordinated Debentures $502,000.00 $0.00 $553,566.56 Redeemed, in Full

Bethex Federal Credit Union Bronx NY 11/18/2015 $502,000.00 502,000 $1.00

8 Border Federal Credit Union Del Rio TX 9/29/2010 Subordinated Debentures $3,260,000.00 $0.00 $3,523,697.78 Redeemed, in Full

Border Federal Credit Union Del Rio TX 10/15/2014 $3,260,000.00 3,260,000 $1.00

8 Brewery Credit Union Milwaukee WI 9/24/2010 Subordinated Debentures $1,096,000.00 $0.00 $1,140,388.00 Redeemed, in Full

Brewery Credit Union Milwaukee WI 10/3/2012 $1,096,000.00 1,096,000 $1.00

27 Brooklyn Cooperative Federal Credit Union Brooklyn NY 9/30/2010 Subordinated Debentures $300,000.00 $0.00 $317,450.00 Sold, in full

Brooklyn Cooperative Federal Credit Union Brooklyn NY 12/27/2016 $280,000.00 300,000 $0.93 ($20,000.00)

Buffalo Cooperative Federal Credit Union Buffalo NY 9/24/2010 Subordinated Debentures $145,000.00 $145,000.00 $22,160.83 Full investment outstanding

8,10 Butte Federal Credit Union Biggs CA 9/24/2010 Subordinated Debentures $1,000,000.00 $0.00 $1,085,388.88 Redeemed, in Full

Butte Federal Credit Union Biggs CA 12/31/2014 $1,000,000.00 1,000,000 $1.00

8 Carter Federal Credit Union Springhill LA 9/29/2010 Subordinated Debentures $6,300,000.00 $0.00 $6,990,172.22 Redeemed, in Full

Carter Federal Credit Union Springhill LA 2/6/2013 $2,500,000.00 2,500,000 $1.00

Carter Federal Credit Union Springhill LA 4/11/2018 $3,800,000.00 3,800,000 $1.00

3,6 Carver Bancorp, Inc New York NY 8/27/2010 Common Stock $18,980,000.00 $18,980,000.00 $446,512.41 Full investment outstanding

20 CFBanc Corporation Washington DC 9/17/2010 Preferred Stock $5,781,000.00 $0.00 $6,273,348.50 Sold, in full

CFBanc Corporation Washington DC 12/20/2016 $5,549,760.00 5,781 $960.00 ($231,240.00)

3,5,8,33 Citizens Bancshares Corporation Atlanta GA 8/13/2010 Preferred Stock $7,462,000.00 $0.00 $13,305,408.94 Sold, in full

Citizens Bancshares Corporation Atlanta GA 9/17/2010 $4,379,000.00

Citizens Bancshares Corporation Atlanta GA 12/30/2016 $4,227,049.00 4,379 $965.30 ($151,951.00)

Citizens Bancshares Corporation Atlanta GA 10/4/2017 $7,462,000.00 7,462 $1,000.00

3,12 Community Bancshares of Mississippi, Inc. Brandon MS 9/29/2010 Preferred Stock $54,600,000.00 $0.00 $57,366,400.00 Sold, in full

Community Bancshares of Mississippi, Inc. Brandon MS 10/11/2016 $50,778,000.00 54,600 $930.00 ($3,822,000.00)

3,4 Community Bank of the Bay Oakland CA 9/29/2010 Preferred Stock $1,747,000.00 $2,313,000.00 $4,060,000.00 $599,075.56 Full investment outstanding

Community First Guam Federal Credit Union Hagatna GU 9/24/2010 Subordinated Debentures $2,650,000.00 $2,650,000.00 $405,008.33 Full investment outstanding

21 Community Plus Federal Credit Union Rantoul IL 9/29/2010 Subordinated Debentures $450,000.00 $0.00 $471,025.00 Sold, in full

Community Plus Federal Credit Union Rantoul IL 12/20/2016 $415,000.00 450,000 $0.92 ($35,000.00)

Cooperative Center Federal Credit Union Berkeley CA 9/24/2010 Subordinated Debentures $2,799,000.00 $2,799,000.00 $427,780.50 Full investment outstanding

34 D.C. Federal Credit Union Washington DC 9/29/2010 Subordinated Debentures $1,522,000.00 $500,000.00 $1,174,984.56 Sold, in part

D.C. Federal Credit Union Washington DC 12/30/2016 $970,900.00 1,022,000 $0.95 ($51,100.00)

East End Baptist Tabernacle Federal Credit Union Bridgeport CT 9/29/2010 Subordinated Debentures $7,000.00 $7,000.00 $1,067.89 Full investment outstanding

Episcopal Community Federal Credit Union Los Angeles CA 9/29/2010 Subordinated Debentures $100,000.00 $0.00 $115,066.67 Redeemed, in Full

Episcopal Community Federal Credit Union Los Angeles CA 4/11/2018 $100,000.00 100,000 $1.00

8 Fairfax County Federal Credit Union Fairfax VA 9/24/2010 Subordinated Debentures $8,044,000.00 $0.00 $9,165,244.22 Redeemed, in Full

Fairfax County Federal Credit Union Fairfax VA 9/13/2017 $8,044,000.00 8,044,000 $1.00

8 Faith Based Federal Credit Union Oceanside CA 9/29/2010 Subordinated Debentures $30,000.00 $0.00 $32,933.34 Redeemed, in Full

Faith Based Federal Credit Union Oceanside CA 8/19/2015 $30,000.00 30,000 $1.00

8 Fidelis Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $14,000.00 $0.00 $15,411.67 Redeemed, in Full

Fidelis Federal Credit Union New York NY 10/14/2015 $14,000.00 14,000 $1.00

3 First American International Corp. Brooklyn NY 8/13/2010 Preferred Stock $17,000,000.00 $17,000,000.00 $2,652,975.79 Full investment outstanding

3,8 First Choice Bank Cerritos CA 9/24/2010 Preferred Stock $5,146,000.00 $0.00 $5,413,877.89 Redeemed, in Full

First Choice Bank Cerritos CA 5/1/2013 $5,146,000.00 5,146 $1,000.00

3,8 First Eagle Bancshares, Inc. Hanover Park IL 9/17/2010 Subordinated Debentures $7,875,000.00 $0.00 $9,223,112.50 Redeemed, in Full

First Eagle Bancshares, Inc. Hanover Park IL 3/25/2016 $7,875,000.00 7,875,000 $1.00

8 First Legacy Community Credit Union Charlotte NC 9/29/2010 Subordinated Debentures $1,000,000.00 $0.00 $1,070,166.67 Redeemed, in Full

First Legacy Community Credit Union Charlotte NC 4/2/2014 $1,000,000.00 1,000,000 $1.00

3,8 First M&F Corporation Kosciusko MS 9/29/2010 Preferred Stock $30,000,000.00 $0.00 $31,751,666.67 Redeemed, in Full

First M&F Corporation Kosciusko MS 8/30/2013 $30,000,000.00 30,000 $1,000.00

3,17 First Vernon Bancshares, Inc. Vernon AL 9/29/2010 Preferred Stock $6,245,000.00 $0.00 $6,528,523.06 Sold, in full

First Vernon Bancshares, Inc. Vernon AL 11/29/2016 $5,745,400.00 6,245 $920.00 ($499,600.00)

8 Freedom First Federal Credit Union Roanoke VA 9/29/2010 Subordinated Debentures $9,278,000.00 $0.00 $9,779,527.44 Redeemed, in Full

Freedom First Federal Credit Union Roanoke VA 6/12/2013 $9,278,000.00 9,278,000 $1.00

8 Gateway Community Federal Credit Union Missoula MT 9/24/2010 Subordinated Debentures $1,657,000.00 $0.00 $1,725,397.27 Redeemed, in Full

Gateway Community Federal Credit Union Missoula MT 10/17/2012 $1,657,000.00 1,657,000 $1.00

28 Genesee Co-op Federal Credit Union Rochester NY 9/17/2010 Subordinated Debentures $300,000.00 $0.00 $316,666.67 Sold, in full

Genesee Co-op Federal Credit Union Rochester NY 12/27/2016 $279,000.00 300,000 $0.93 ($21,000.00)

8 Greater Kinston Credit Union Kinston NC 9/29/2010 Subordinated Debentures $350,000.00 $0.00 $360,714.44 Redeemed, in Full

Greater Kinston Credit Union Kinston NC 4/10/2012 $350,000.00 350,000 $1.00

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding 

(Realized Loss) / (Write-off)

In full – all of Treasury’s investment amount

In part – part of the investment is no longer held by Treasury, but some remains 

Capital Repayment / Disposition / Auction

45
BankAsiana Palisades Park NJ 10/1/2013 $5,250,000.00 5,250 $1,000.00

3,8 Guaranty Capital Corporation Belzoni MS 7/30/2010 Subordinated Debentures $14,000,000.00 $0.00 $16,773,983.33 Redeemed, in Full

Guaranty Capital Corporation Belzoni MS 12/21/2016 $14,000,000.00 14,000,000 $1.00

8 Hill District Federal Credit Union Pittsburgh PA 9/29/2010 Subordinated Debentures $100,000.00 $0.00 $113,650.00 Redeemed, in Full

Hill District Federal Credit Union Pittsburgh PA 7/26/2017 $100,000.00 100,000 $1.00

Hope Federal Credit Union Jackson MS 9/17/2010 Subordinated Debentures $4,520,000.00 $4,520,000.00 $692,564.44 Full investment outstanding

3,4,8 IBC Bancorp, Inc. Chicago IL 9/10/2010 Subordinated Debentures $4,205,000.00 $3,881,000.00 $0.00 $9,982,706.07 Redeemed, in Full

IBC Bancorp, Inc. Chicago IL 4/4/2018 $8,086,000.00 8,086,000 $1.00

3,35 IBW Financial Corporation Washington DC 9/3/2010 Preferred Stock $6,000,000.00 $0.00 $6,369,000.00 Sold, in full

IBW Financial Corporation Washington DC 12/30/2016 $5,610,000.00 6,000 $935.00 ($390,000.00)

8 Independent Employers Group Federal Credit Union Hilo HI 9/29/2010 Subordinated Debentures $698,000.00 $0.00 $769,700.70 Redeemed, in Full

Independent Employers Group Federal Credit Union Hilo HI 11/18/2015 $698,000.00 698,000 $1.00

8 Kilmichael Bancorp, Inc. Kilmichael MS 9/3/2010 Subordinated Debentures $3,154,000.00 $0.00 $3,756,668.07 Redeemed, in Full

Kilmichael Bancorp, Inc. Kilmichael MS 11/2/2016 $3,154,000.00 3,154,000 $1.00

3,8 Lafayette Bancorp, Inc. Oxford MS 9/29/2010 Preferred Stock $4,551,000.00 $0.00 $5,035,934.33 Redeemed, in Full

Lafayette Bancorp, Inc. Oxford MS 1/27/2016 $4,551,000.00 4,551 $1,000.00

8 Liberty County Teachers Federal Credit Union Liberty TX 9/24/2010 Subordinated Debentures $435,000.00 $0.00 $481,433.83 Redeemed, in Full

Liberty County Teachers Federal Credit Union Liberty TX 4/2/2014 $87,000.00 87,000 $1.00

Liberty County Teachers Federal Credit Union Liberty TX 12/31/2014 $87,000.00 87,000 $1.00

Liberty County Teachers Federal Credit Union Liberty TX 12/16/2015 $87,000.00 87,000 $1.00

Liberty County Teachers Federal Credit Union Liberty TX 1/11/2017 $87,000.00 87,000 $1.00

Liberty County Teachers Federal Credit Union Liberty TX 2/7/2018 $87,000.00 87,000 $1.00

3,4,22 Liberty Financial Services, Inc. New Orleans LA 9/24/2010 Preferred Stock $5,645,000.00 $5,689,000.00 $0.00 $12,005,854.33 Sold, in full

Liberty Financial Services, Inc. New Orleans LA 12/20/2016 $10,591,623.00 11,334 $934.50 ($742,377.00)

36 Lower East Side People's Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $898,000.00 $0.00 $939,667.55 Sold, in full

Lower East Side People's Federal Credit Union New York NY 12/30/2016 $827,118.22 898,000 $0.92 ($70,881.78)

3,23 M&F Bancorp, Inc. Durham NC 8/20/2010 Preferred Stock $11,735,000.00 $0.00 $10,874,433.34 Sold, in full

M&F Bancorp, Inc. Durham NC 12/20/2016 $9,388,000.00 11,735 $800.00 ($2,347,000.00)

3,5,8 Mission Valley Bancorp Sun Valley CA 8/20/2010 Preferred Stock $5,500,000.00 $0.00 $11,775,627.99 Redeemed, in Full

Mission Valley Bancorp Sun Valley CA 9/24/2010 $4,836,000.00

Mission Valley Bancorp Sun Valley CA 8/23/2017 $10,336,000.00 10,336 $2,000.00

Neighborhood Trust Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $283,000.00 $283,000.00 $43,253.01 Full investment outstanding

North Side Community Federal Credit Union Chicago IL 9/29/2010 Subordinated Debentures $325,000.00 $325,000.00 $49,580.56 Full investment outstanding

Northeast Community Federal Credit Union San Francisco CA 9/24/2010 Subordinated Debentures $350,000.00 $0.00 $404,036.11 Redeemed, in Full

Northeast Community Federal Credit Union San Francisco CA 6/13/2018 $350,000.00 350,000 $1.00

Opportunities Credit Union Burlington VT 9/29/2010 Subordinated Debentures $1,091,000.00 $1,091,000.00 $166,438.11 Full investment outstanding

3,24 PGB Holdings, Inc. Chicago IL 8/13/2010 Preferred Stock $3,000,000.00 $0.00 $3,327,125.28 Sold, in full

PGB Holdings, Inc. Chicago IL 12/20/2016 $2,940,000.00 3,000 $980.00 ($60,000.00)

30 Phenix Pride Federal Credit Union Phenix City AL 9/24/2010 Subordinated Debentures $153,000.00 $0.00 $161,150.50 Sold, in full

Phenix Pride Federal Credit Union Phenix City AL 12/27/2016 $142,000.00 153,000 $0.93 ($11,000.00)

3,7 Premier Bancorp, Inc. Wilmette IL 8/13/2010 Subordinated Debentures $6,784,000.00 $0.00 $79,900.00 Sold, in full

Premier Bancorp, Inc. Wilmette IL 1/29/2013 $79,900.00 6,784,000 $0.01 ($6,704,100.00)

8 Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/24/2010 Subordinated Debentures $273,000.00 $0.00 $300,072.50 Redeemed, in Full

Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/9/2015 $273,000.00 273,000 $1.00

3,8 PSB Financial Corporation Many LA 9/29/2010 Preferred Stock $9,734,000.00 $0.00 $10,171,489.22 Redeemed, in Full

PSB Financial Corporation Many LA 12/28/2012 $9,734,000.00 9,734 $1,000.00

8,16 Pyramid Federal Credit Union Tucson AZ 9/24/2010 Subordinated Debentures $2,500,000.00 $0.00 $2,716,972.22 Sold, in full

Pyramid Federal Credit Union Tucson AZ 3/9/2016 $1,500,000.00 1,500,000 $1.00

Pyramid Federal Credit Union Tucson AZ 11/22/2016 $930,000.00 1,000,000 $0.93 ($70,000.00)

8 Renaissance Community Development Credit Union Somerset NJ 9/29/2010 Subordinated Debentures $31,000.00 $0.00 $35,241.83 Redeemed, in Full

Renaissance Community Development Credit Union Somerset NJ 8/2/2017 $31,000.00 31,000 $1.00

37 Santa Cruz Community Credit Union Santa Cruz CA 9/24/2010 Subordinated Debentures $2,828,000.00 $0.00 $2,963,429.78 Sold, in full

Santa Cruz Community Credit Union Santa Cruz CA 1/10/2017 $2,607,416.00 2,828,000 $0.92 ($220,584.00)

3,8 Security Capital Corporation Batesville MS 9/29/2010 Preferred Stock $17,910,000.00 $0.00 $19,794,559.99 Redeemed, in Full

Security Capital Corporation Batesville MS 9/9/2015 $9,250,000.00 9,250 $1,000.00

Security Capital Corporation Batesville MS 3/23/2016 $3,000,000.00 3,000 $1,000.00

Security Capital Corporation Batesville MS 5/27/2016 $5,660,000.00 5,660 $1,000.00

3,4,15 Security Federal Corporation Aiken SC 9/29/2010 Preferred Stock $18,000,000.00 $4,000,000.00 $0.00 $24,019,111.11 Sold, in full

Security Federal Corporation Aiken SC 10/31/2016 $21,340,000.00 22,000 $970.00 ($660,000.00)

31 Shreveport Federal Credit Union Shreveport LA 9/29/2010 Subordinated Debentures $2,646,000.00 $0.00 $2,764,776.00 Sold, in full

Shreveport Federal Credit Union Shreveport LA 12/27/2016 $2,434,320.00 2,646,000 $0.92 ($211,680.00)

3,4,18 Southern Bancorp, Inc. Arkadelphia AR 8/6/2010 Preferred Stock $11,000,000.00 $22,800,000.00 $0.00 $35,702,188.89 Sold, in full

Southern Bancorp, Inc. Arkadelphia AR 11/29/2016 $31,434,000.00 33,800 $930.00 ($2,366,000.00)

25 Southern Chautauqua Federal Credit Union Lakewood NY 9/29/2010 Subordinated Debentures $1,709,000.00 $0.00 $1,802,139.70 Sold, in full

Southern Chautauqua Federal Credit Union Lakewood NY 12/20/2016 $1,589,370.00 1,709,000 $0.93 ($119,630.00)

8 Southside Credit Union San Antonio TX 9/29/2010 Subordinated Debentures $1,100,000.00 $0.00 $1,167,894.44 Redeemed, in Full

Southside Credit Union San Antonio TX 10/30/2013 $1,100,000.00 1,100,000 $1.00

3,13 State Capital Corporation Greenwood MS 9/29/2010 Preferred Stock $15,750,000.00 $0.00 $16,650,500.00 Sold, in full

State Capital Corporation Greenwood MS 10/11/2016 $14,750,000.00 15,750 $936.51 ($1,000,000.00)

3,4,19 The First Bancshares, Inc. Hattiesburg MS 9/29/2010 Preferred Stock $5,000,000.00 $12,123,000.00 $0.00 $18,043,495.61 Sold, in full

The First Bancshares, Inc. Hattiesburg MS 12/6/2016 $15,925,000.00 17,123 $930.04 ($1,198,000.00)

8 The Magnolia State Corporation Bay Springs MS 9/29/2010 Subordinated Debentures $7,922,000.00 $0.00 $9,276,380.53 Redeemed, in Full

The Magnolia State Corporation Bay Springs MS 12/17/2014 $3,700,000.00 3,700,000 $1.00

The Magnolia State Corporation Bay Springs MS 5/24/2017 $4,222,000.00 4,222,000 $1.00

29 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union / Harborstone Credit Union Olympia WA 9/24/2010 Subordinated Debentures $75,000.00 $0.00 $80,592.50 Sold, in full

Thurston Union of Low-Income People (TULIP) Cooperative Credit Union / Harborstone Credit Union Olympia WA 12/27/2016 $71,205.00 75,000 $0.95 ($3,795.00)

38 Tongass Federal Credit Union Ketchikan AK 9/24/2010 Subordinated Debentures $1,600,000.00 $0.00 $1,754,666.66 Sold, in full

Tongass Federal Credit Union Ketchikan AK 1/24/2017 $1,552,000.00 1,600,000 $0.97 ($48,000.00)

3 Tri-State Bank of Memphis Memphis TN 8/13/2010 Preferred Stock $2,795,000.00 $2,795,000.00 $209,935.56 Full investment outstanding

Tulane-Loyola Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $424,000.00 $424,000.00 $64,801.33 Full investment outstanding

Union Baptist Church Federal Credit Union Fort Wayne IN 9/24/2010 Subordinated Debentures $10,000.00 $10,000.00 $1,528.33 Full investment outstanding

9 Union Settlement Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $295,000.00 $0.00 $308,622.56 Sold, in full

Union Settlement Federal Credit Union New York NY 12/30/2016 $271,714.78 295,000 $0.92 ($23,285.22)

3,8 United Bancorporation of Alabama, Inc. Atmore AL 9/3/2010 Preferred Stock $10,300,000.00 $0.00 $11,577,772.22 Redeemed, in Full

United Bancorporation of Alabama, Inc. Atmore AL 11/16/2016 $10,300,000.00 10,300 $1,000.00

8 UNITEHERE Federal Credit Union (Workers United Federal Credit Union) New York NY 9/29/2010 Subordinated Debentures $57,000.00 $0.00 $59,821.50 Redeemed, in Full

UNITEHERE Federal Credit Union (Workers United Federal Credit Union) New York NY 3/20/2013 $57,000.00 57,000 $1.00

3,4,8 University Financial Corp, Inc. St. Paul MN 7/30/2010 Subordinated Debentures $11,926,000.00 $10,189,000.00 $0.00 $23,710,842.97 Redeemed, in Full

University Financial Corp, Inc. St. Paul MN 11/28/2012 $22,115,000.00 22,115,000 $1.00

8 UNO Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $743,000.00 $0.00 $786,754.45 Redeemed, in Full

UNO Federal Credit Union New Orleans LA 9/4/2013 $743,000.00 743,000 $1.00

46
BankAsiana Palisades Park NJ 10/1/2013 $5,250,000.00 5,250 $1,000.00

8,32 Vigo County Federal Credit Union Terre Haute IN 9/29/2010 Subordinated Debentures $1,229,000.00 $0.00 $1,330,468.70 Sold, in full

Vigo County Federal Credit Union Terre Haute IN 2/25/2015 $491,600.00 491,600 $1.00

Vigo County Federal Credit Union Terre Haute IN 12/23/2015 $245,800.00 245,800 $1.00

Vigo County Federal Credit Union Terre Haute IN 12/27/2016 $358,018.00 389,150 $0.92 ($31,132.00)

Vigo County Federal Credit Union Terre Haute IN 1/17/2018 $102,450.00 102,450 $1.00

8 Virginia Community Capital, Inc. Christiansburg VA 9/24/2010 Subordinated Debentures $1,915,000.00 $0.00 $2,135,756.94 Redeemed, in Full

Virginia Community Capital, Inc. Christiansburg VA 6/29/2016 $1,915,000.00 1,915,000 $1.00

TOTALS $363,290,000.00 $206,783,000.00 $55,589,000.00 $552,775,795.27 $487,531,944.00 $0.00 ($26,952,056.00) $0.00

47
Footnote Footnote Description

1 All pricing is at par.

2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).

3

This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of 

investment with Treasury under the CDCI program terms.

4 Treasury made an additional investment in this institution at the time it entered the CDCI program.

5 Treasury made an additional investment in this institution after the time it entered the CDCI program.

6

On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms 

of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

7

On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of 

Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of distributions paid to creditors as 

a result of the liquidation of Premier Bancorp, Inc.

8

Repayment pursuant to one or more of the following, as appropriate: Section 5 of the CDCI Certificate of Designation, Section 6.10 or 6.11 of the CDCI Securities Purchase Agreement, 

and/or Section 5.11 of the CDCI Exchange Agreement.

9

On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury exchanged 

its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities. Accrued dividends on the 

Union senior subordinated securities were paid on the date of the exchange.

10

On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated securities 

for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.

11

On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock that had been issued by BankAsiana (“BankAsiana”) to Treasury for a purchase 

price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasury, Wilshire and BankAsiana entered into on 9/25/2013 in connection with the merger of 

Wilshire and BankAsiana.

12

On 10/11/2016, Treasury entered into an agreement with Community Bancshares of Mississippi, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to 

the Company for fair value of $50,778,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 10/11/2016.

13

On 10/11/2016, Treasury entered into an agreement with State Capital Corp. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $14,750,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

10/11/2016.

14

On 10/18/2016, Treasury entered into an agreement with BancPlus Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $75,250,020 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

10/18/2016.

15

On 10/31/2016, Treasury entered into an agreement with Security Federal Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company 

for fair value of $21,340,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

10/31/2016.

16

On 11/22/2016, Treasury entered into an agreement with Pyramid Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities to 

the Company for fair value of $930,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 11/22/2016.

48
Footnote Footnote Description

17

On 11/29/2016, Treasury entered into an agreement with First Vernon Bancshares, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company 

for fair value of $5,745,400 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

11/29/2016.

18

On 11/29/2016, Treasury entered into an agreement with Southern Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $31,434,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

11/29/2016.

19

On 12/06/2016, Treasury entered into an agreement with The First Bancshares, Inc. (“the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for 

fair value of $15,925,000.00 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/06/2016.

20

On 12/20/2016, Treasury entered into an agreement with CFBanc Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $5,549,760 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

21

On 12/20/2016, Treasury entered into an agreement with Community Plus Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $415,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/20/2016.

22

On 12/20/2016, Treasury entered into an agreement with Liberty Financial Services, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company 

for fair value of $10,591,623 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

23

On 12/20/2016, Treasury entered into an agreement with M&F Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $9,388,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

24

On 12/20/2016, Treasury entered into an agreement with PGB Holdings, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $2,940,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

25

On 12/20/2016, Treasury entered into an agreement with Southern Chautauqua Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior 

subordinated securities to the Company for fair value of $1,589,370 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/20/2016.

26

On 12/27/2016, Treasury entered into an agreement with Alternatives Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $2,055,280 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The 

sale was completed on 12/27/2016.

27

On 12/27/2016, Treasury entered into an agreement with Brooklyn Cooperative Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $280,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/27/2016.

28

On 12/27/2016, Treasury entered into an agreement with Genesee Co-Op Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $279,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/27/2016.

49
Footnote Footnote Description

29

On 12/27/2016, Treasury entered into an agreement with Harborstone Credit Union (the “Company”), which had purchased Thurston Union of Low-Income People (TULIP) Cooperative Credit 

Union, pursuant to which Treasury agreed to sell its TULIP CDCI senior subordinated securities to the Company for fair value of $71,205 plus accrued and unpaid interest to the date of 

closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/27/2016.

30

On 12/27/2016, Treasury entered into an agreement with Phenix Pride Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $142,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/27/2016.

31

On 12/27/2016, Treasury entered into an agreement with Shreveport Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities 

to the Company for fair value of $2,434,320 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 12/27/2016.

32

On 12/27/2016, Treasury entered into an agreement with Vigo County Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell 389,150 of its CDCI senior 

subordinated securities to the Company for fair value of $358,018 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/27/2016.

33

On 12/30/2016, Treasury entered into an agreement with Citizens Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to State 

Capital Corp. for fair value of $4,227,049 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 12/30/2016.

34

On 12/30/2016, Treasury entered into an agreement with D.C. Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell 1,022,000 of its CDCI senior subordinated 

securities to the Company for fair value of $970,900 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/30/2016.

35

On 12/30/2016, Treasury entered into an agreement with IBW Financial Corporation (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to State Capital 

Corp. for fair value of $5,610,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed 

on 12/30/2016.

36

On 12/30/2016, Treasury entered into an agreement with Lower East Side People's Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior 

subordinated securities to the Company for fair value of $1,098,833 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/30/2016.

37

On 1/10/2017, Treasury entered into an agreement with Santa Cruz Community Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $2,607,416 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The 

sale was completed on 1/10/2017.

38

On 1/24/2017, Treasury entered into an agreement with Tongass Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities to 

the Company for fair value of $1,552,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 1/24/2017.

50
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised 

Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

1/23/2014 Partial Disposition40 $ 3,023,750,000 Common Stock 36.96%

4/15/2014 Partial Disposition41 $ 2,375,000,000 Common Stock 17.09%

5/14/2014 Partial Disposition42 $ 181,141,750 Common Stock 15.60%

9/12/2014 Partial Disposition43 $ 218,680,700 Common Stock 13.40%

10/16/2014 Partial Disposition44 $ 245,492,605 Common Stock 11.40%

12/24/2014 Partial Disposition45 $ 1,277,036,382 Common Stock 0.00%

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,667,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,667,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2

5/29/2009 Exchange for equity interest in 

GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4

7/10/2009 Exchange for preferred and 

common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 10, 11, 

24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

12/21/2012 Partial Disposition 33 $ 5,500,000,000 Common Stock 21.97%

4/11/2013 Partial Disposition 34 $ 1,637,839,844 Common Stock 17.69%

6/12/2013 Partial Disposition 35 $ 1,031,700,000 Common Stock 13.80%

9/13/2013 Partial Disposition 36 $ 3,822,724,832 Common Stock 7.32%

11/20/2013 Partial Disposition 37 $ 2,563,441,956 Common Stock 2.24%

12/9/2013 Partial Disposition 39 $ 1,208,249,982 Common Stock 0.00%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8

7/10/2009 Exchange for preferred and 

common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Right to recover 

proceeds N/A 

4/5/2011 Partial Repayment $ 45,000,000 Right to recover 

proceeds N/A 

5/3/2011 Partial Repayment $ 15,887,795 Right to recover 

proceeds N/A 

12/16/2011 Partial Repayment $ 144,444 Right to recover 

proceeds N/A 

12/23/2011 Partial Repayment $ 18,890,294 Right to recover 

proceeds N/A 

1/11/2012 Partial Repayment $ 6,713,489 Right to recover 

proceeds N/A 

10/23/2012 Partial Repayment $ 435,097 Right to recover 

proceeds N/A 

5/22/2013 Partial Repayment $ 10,048,968 Right to recover 

proceeds N/A 

9/20/2013 Partial Repayment $ 11,832,877 Right to recover 

proceeds N/A 

12/27/2013 Partial Repayment $ 410,705 Right to recover 

proceeds N/A 

1/9/2014 Partial Repayment $ 470,269 Right to recover 

proceeds N/A 

5/22/2015 Partial Repayment $ 8,325,185 Right to recover 

proceeds N/A 

8/1/2016 Partial Repayment $ 2,961,564 Right to recover 

proceeds N/A

11/17/2016 Partial Repayment $ 5,033,898 Right to recover 

proceeds N/A

Par

General 

Motors Detroit, MI

7/10/2009 Exchange for preferred and 

common stock in New GM N/A

Exchange for preferred and 

common stock in New GM

5/27/2009

5/20/2009 Purchase General Motors 

Corporation

Purchase Par 6

General Motors 

Corporation

Debt Obligation w/ Additional 

Note

 $ 360,624,198 

$ 4,000,000,000 Par

$ 360,624,198

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 21, 22 Convertible 

Preferred Stock

11, 12

7

Common Stock

Debt Obligation

5/21/2009 Purchase GMAC

N/A 22, 

26

3, 26, 

32, 38 GMAC (Ally)

N/A

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000

$ 13,400,000,000

Date Date Type Amount/ Proceeds

Remaining 

Investment 

Description

Remaining 

Investment 

Amount/Equity %

Par

Amount

Pricing 

Transaction Type Seller Description Amount Type Mechanism Obligor Description

Pricing 

Mechanism Date

$ 7,500,000,000 Par

$ 5,937,500,000 $ 0 

Common Stock

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details

12/30/2009

11/20/2013

Partial conversion of preferred 

stock for common stock

26

Disposition 38 N/A

Convertible Preferred Stock 

w/ Exercised Warrants

Debt Obligation w/ Additional 

Note 12/31/2008 Purchase General Motors Corporation

Treasury Investment After Exchange/Transfer/Other

Amount/Equity %

Payment or Disposition1

City, State

$ 5,925,000,000

 $ 4,000,000,000 

63.45%

$ 3,000,000,000

7 $ 7,072,488,605 General Motors Holdings 

LLC

12/30/2010 Partial conversion of preferred 

stock for common stock $ 5,500,000,000

22

5 7/10/2009 N/A 60.8% 10, 11, 

25 General Motors Company

Debt Obligation w/ Additional 

Note

51
3/16/2018 Partial Repayment $ 12,912,262 Right to recover 

proceeds N/A

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A -

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A -

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - -

14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust 23 Right to recover proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - -

17 9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover 

proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover 

proceeds N/A 

9/21/2015 Proceeds from sale of collateral $ 93,871,306 Right to recover 

proceeds N/A 

9/29/2015 Proceeds from sale of collateral $ 6,341,426 Right to recover 

proceeds N/A 

2/26/2016 Proceeds from sale of collateral $ 2,000,000 Right to recover 

proceeds N/A 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional 

Note, Zero Coupon Note, 

Equity

$ 6,642,000,000 N/A

18

6/10/2009 Issuance of equity in New 

Chrysler $ - N/A Chrysler Group LLC

19, 31

Debt obligation w/ 

additional note & 

zero coupon note

$ 7,142,000,000 5/24/2011 Repayment - Principal $ 5,076,460,000

5/24/2011 Termination of undrawn facility 31 $ 2,065,540,000

5/24/2011 Repayment* - Additional Note $ 288,000,000

5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000

Chrysler Group LLC 30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 64,058,981,039

$ 403,000,000

Total Treasury Investment Amount

Chrysler 

FinCo

Termination and settlement payment 

20

Farmington 

Hills, MI

 $ 0 

Additional Proceeds *

 $ 11,732,257,932 

Footnotes appear on following page.

Chrysler Auburn Hills, 

MI

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A

52
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

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").

"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.

"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.

As used in this table and its footnotes:

"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.

"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.

"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".

7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining principal amount reflects the 

final amount of funds disbursed under the Chrysler DIP Loan.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green lines in table above) and 

(ii) $986 million, which remained a debt obligation of Old GM. 

11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General Motors LLC". General 

Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.

12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.

13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.

14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.

2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 

3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)

4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.

5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.

6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)

17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated. 

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from Chrysler Holding 

originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.

42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.

43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.

44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.

19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 

20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and accrued and unpaid 

interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 

23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from time to time of the 

specified collateral security attached to such loan.

24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.

28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and restatement through but 

excluding the closing date that Treasury will receive separately at settlement.

29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of Liquidation. Treasury 

retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.

30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the exercise of an 

equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the trust's 

shares in Chrysler.

31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.

33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.

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.

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.

35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.

$ 3,500,000,000 N/A

7/8/2009 3

1 4/9/2009 Purchase

41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.

Investment Amount Pricing Mechanism

Wilmington DE

Footnote

$ 290,000,000

Adjustment Details

Adjustment 

Date

Adjusted or Final 

Investment Amount

Debt Obligation w/ 

Additional Note GM Supplier Receivables LLC

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.

Seller

Transaction Type

Investment 

Description 

34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.

$ (1,000,000,000) $ 2,500,000,000

Name of Institution

36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on 

September 13, 2013.

37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.

38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional shares of common stock to be issued 

(the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted from 73.8 percent to 63.45 percent. Treasury continues to own 981,971 shares of common stock in Ally.

39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.

40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000. 

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.

Payment or Disposition4

Date

$ 1,500,000,000 N/A $ 1,000,000,000

$ 123,076,735

INITIAL TOTAL Total Repayments Total Proceeds from Additional Notes

Debt Obligation w/ 

Additional Note Wilmington

2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009. 

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC on 7/10/2009.

Purchase

ADJUSTED TOTAL

DE

$ 413,076,735

2 4/9/2009 Chrysler Receivables SPV LLC

$ 413,076,735

53
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.

5/ All outstanding principal drawn under the credit agreement was repaid.

54
Pricing Mechanism1

 Number of Shares Proceeds2

01/18/13 – 

04/17/13

3

$28.0490 58,392,078 $ 1,637,839,844 

05/6/13 – 

9/13/2013

4

$34.6461 110,336,510 $ 3,822,724,832 

9/26/13 – 

11/20/13

5

$36.5087 70,214,460 $ 2,563,441,956 

11/21/2013 - 

12/9/2013

6

$38.8228 31,122,206 $ 1,208,249,982 

Total Proceeds: $9,232,256,614

3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of 

common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.

4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell 

subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this 

authority occurred on September 13, 2013.

5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of 

common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.

6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during 

the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.

55
Pricing Mechanism1

 Number of Shares Proceeds2

08/14/14 – 

09/12/14

3

$24.5985 8,890,000 $ 218,680,700 

09/12/14 - 

10/16/14

4

$21.8234 11,249,044 $ 245,492,605 

Total Proceeds: $464,173,305

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.

3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period 

ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.

4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending 

on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.

56
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining Capital 

Amount

Remaining Capital 

Description Final Disposition Date 3

Final Disposition 

Description

Final Disposition 

Proceeds

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities 

w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2011 A Warrants $ 190,386,428 

1/16/2009

Bank of America 

Corporation Charlotte NC Purchase

Preferred Stock w/ 

Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 A Warrants $ 1,236,804,513 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,427,190,941 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock for 

trust preferred securities

Trust Preferred Securities 

w/ Warrants 3 12/23/2009 Partial cancellation for early termination of guarantee $ (1,800,000,000) Trust Preferred Securities w/ Warrants $ 2,234,000,000 

5 9/30/2010 Disposition $ 2,246,000,000 Warrants $ 0

1/25/2011 Warrant Auction $ 67,197,045 None $ 0

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities 

received from the FDIC Trust Preferred Securities

7 2/4/2013

Exchange Trust preferred 

securities for subordinated 

note

Subordinated Note 8 2/8/2013 Disposition $ 894,000,000.00 None $ 0

TOTAL $ 0 Total Proceeds $ 3,207,197,045 

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, 

Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Amount Date Type Amount

Remaining Premium 

Description Description

Seller

Type Description Guarantee Limit

Remaining 

Premium 

1 1/16/2009 Citigroup Inc. New York NY Guarantee Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants

Description Footnote Date Type Amount Footnote

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.

 $ 4,034,000,000 

 $ 4,034,000,000 

4 9/29/2010

Exchange trust preferred 

securities for trust preferred 

securities

Trust Preferred Securities 

w/ Warrants $ 2,246,000,000 

3

 $ 800,000,000.00 

 $ 894,000,000.00 

8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.

2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred 

Securities. 

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the 

conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.

4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.

5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.

6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities. 

7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.

57
Seller 

Name of Institution City State 

Transaction 

Type Investment Amount Date Transaction Type Amount

Pricing 

Mechanism

4/17/2009 Exchange

Preferred Stock w/ Warrants 

(Series E) 1 $ 40,000,000,000 Par 

2, 3 4/17/2009 AIG New York NY Purchase $ 29,835,000,000 Par 2

TOTAL $ 69,835,000,000 Date Transaction Type Proceeds

3/1/2013 Repurchase $ 25,150,923.10

3/1/2013 Repurchase $ 5,767.50

Total Warrant Proceeds

Note Date Investment Description Date Transaction Type Pricing Mechanism

$ 2,000,000,000 5/27/2011 Cancellation N/A $ 0

10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

8/17/2011 Payment Par

8/18/2011 Payment Par

9/2/2011 Payment Par

11/1/2011 Payment Par

3/8/2012 Payment Par

3/15/2012 Payment Par

3/22/2012 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2012 Payment Par

1,455,037,962

77%

1,248,141,410

70%

1,084,206,984

63%

1,059,616,821

61%

895,682,395

55%

871,092,231

53%

317,246,078

22%

234,169,156

16%

234,169,156

0%

Pricing Mechanism Investment Description

Warrants (Series D)

$ 40,000,000,000 Par

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description 

Preferred Stock w/ Warrants 

(Series D)

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

Final Disposition

Investment

1 11/25/2008 AIG New York NY Purchase

8

Warrants (Series F)

$ 25,156,690.60

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the 

cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

$ 185,726,192

$ 1,493,250,339

Final Disposition

Transaction Type Pricing Mechanism Investment Description Amount / Shares Proceeds 8

Remaining Recap 

Investment Amount, 

Shares, or Equity %

Exchange

$ 55,885,302

$ 971,506,765

$ 5,576,121,382

$ 1,521,632,096

$ -

$ 0

$ 5,511,067,614

$ 55,833,333

$ 97,008,351

$ 2,153,520,000

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

AIG POST-RECAPITALIZATION

Recapitalization Treasury Holdings Post-Recapitalization

Preferred Stock (Series G)

N/A

AIA Preferred Units $ 16,916,603,568 7

$ 0

5 1/14/2011 Preferred Stock (Series E) Exchange

 924,546,133

4 1/14/2011 Preferred Stock (Series F)

Exchange

N/A Common Stock

6

ALICO Junior Preferred Interests

Exchange Par

 167,623,733

1/14/2011 Common Stock (non-TARP) Transfer 562,868,096

8

$ 1,383,888,037

$ 44,941,843

$ 3,375,328,432

9

7

$ 2,009,932,072

$ 750,000,002 N/A

5/24/2011 Partial Disposition $ 5,800,000,000 N/A

$ 749,999,972

N/A

13

12

8/3/2012 Partial Disposition $ 4,999,999,993 N/A 13

5/7/2012 Partial Disposition N/A

12/14/2012 Final Disposition

9/10/2012

Partial Disposition $ 2,699,999,965

$ 7,610,497,570 N/A

N/A

8/6/2012

9/11/2012

Partial Disposition

11

5/6/2012 Partial Disposition $ 4,999,999,993 N/A 12

3/8/2012 Partial Disposition $ 6,000,000,008

14

Partial Disposition $ 17,999,999,973 N/A 14

15

58
Footnotes appear on following page.

59
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.

15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG Common 

Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.

5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.

6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 562,868,096 

shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.

7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.

10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.

11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.

12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.

60
Name of Institution City State Amount Date Description Amount

7/19/2010 2 $ 4,300,000,000

2/6/2013 Contingent Interest Proceeds $ 212,829,610

3/6/2013 Contingent Interest Proceeds $ 97,594,053

4/4/2013 Contingent Interest Proceeds $ 6,069,968

5/6/2013 Contingent Interest Proceeds $ 4,419,259

6/6/2013 Contingent Interest Proceeds $ 96,496,772

7/5/2013 Contingent Interest Proceeds $ 11,799,670

8/6/2013 Contingent Interest Proceeds $ 66,072,965

9/6/2013 Contingent Interest Proceeds $ 74,797,684

10/4/2013 Contingent Interest Proceeds $ 1,114,074

11/6/2013 Contingent Interest Proceeds $ 933,181

12/5/2013 Contingent Interest Proceeds $ 1,102,424

1/7/2014 Contingent Interest Proceeds $ 1,026,569

2/6/2014 Contingent Interest Proceeds $ 1,107,574

3/6/2014 Contingent Interest Proceeds $ 1,225,983

4/4/2014 Contingent Interest Proceeds $ 11,597,602

5/6/2014 Contingent Interest Proceeds $ 1,055,556

6/5/2014 Contingent Interest Proceeds $ 1,343,150

7/7/2014 Contingent Interest Proceeds $ 27,005,139

8/6/2014 Contingent Interest Proceeds $ 14,059,971

9/5/2014 Contingent Interest Proceeds $ 262,036

10/6/2014 Contingent Interest Proceeds $ 17,394,583

11/6/2014 Contingent Interest Proceeds $ 21,835,385

Total Investment Amount $ 100,000,000 Total Repayment Amount 5$ 771,143,209

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.

Final Investment Amount

Repayment 5

Date

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

Adjusted Investment

$ 100,000,000

6/28/2012 3 $ 1,400,000,000

1/15/2013 4 $ 100,000,000

2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.

3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.

Purchase Debt Obligation w/ Additional Note

4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary. 

$ 20,000,000,000 N/A $ 100,000,000

2/6/2013 Principal Repayment

1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.

1 3/3/2009 TALF LLC Wilmington DE

61
Date

Purchase Face 

Amount 3

Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 

2, 3

Senior 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 $ 902,633 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130 10/19/2011 - $ 7,617,617 $ 5,891,602 $ 1,685,710 $ 6,462,972

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 $ 8,716,265 $ 4,348 6/21/2011 - $ 8,030,000 $ 5,964,013 $ 2,022,652 $ 6,555,383

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 $ 26,041,643 $ 12,983 6/7/2011 - $ 23,500,000 $ 22,350,367 $ 1,149,633 $ 25,039,989

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 $ 9,598,523 $ 4,783 6/7/2011 - $ 8,900,014 $ 6,542,218 $ 2,357,796 $ 7,045,774

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 $ 11,511,052 $ 5,741 6/7/2011 - $ 10,751,382 $ 9,819,270 $ 932,112 $ 10,550,917

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 $ 14,151,229 $ 7,057 6/7/2011 - $ 12,898,996 $ 12,570,392 $ 328,604 $ 13,886,504

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 $ 9,717,173 $ 4,844 6/7/2011 - $ 8,744,333 $ 8,483,188 $ 261,145 $ 9,482,247

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 $ 9,294,363 $ 4,635 6/7/2011 - $ 8,417,817 $ 8,171,159 $ 246,658 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377 9/20/2011 - $ 17,119,972 $ 15,030,712 $ 2,089,260 $ 16,658,561

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 $ 38,273,995 $ 19,077 6/21/2011 - $ 34,441,059 $ 32,656,125 $ 1,784,934 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801 9/20/2011 - $ 28,209,085 $ 25,930,433 $ 2,278,652 $ 29,142,474

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 3,200 6/21/2011 - $ 6,004,156 $ 5,656,049 $ 348,107 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722 10/19/2011 - $ 6,860,835 $ 6,520,875 $ 339,960 $ 7,105,304

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 $ 14,789,302 $ 7,373 6/21/2011 - $ 13,183,361 $ 12,704,841 $ 478,520 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408 1/24/2012 - $ 2,598,386 $ 1,903,407 $ 694,979 $ 2,052,702

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 5,187 6/21/2011 - $ 9,719,455 $ 9,531,446 $ 188,009 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561 9/20/2011 - $ 8,279,048 $ 6,425,217 $ 1,853,831 $ 7,078,089

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752 10/19/2011 - $ 5,000,000 $ 4,580,543 $ 419,457 $ 5,029,356

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541 10/19/2011 - $ 10,000,000 $ 9,030,539 $ 969,461 $ 9,994,806

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123 9/20/2011 - $ 9,272,482 $ 8,403,846 $ 868,636 $ 9,230,008

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820 10/19/2011 - $ 10,350,000 $ 10,099,555 $ 250,445 $ 11,314,651

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652 1/24/2012 - $ 6,900,000 $ 6,236,800 $ 663,200 $ 6,556,341

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966 1/24/2012 - $ 8,902,230 $ 7,503,681 $ 1,398,549 $ 8,269,277

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458 1/24/2012 - $ 8,050,000 $ 7,053,867 $ 996,133 $ 7,703,610

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061 1/24/2012 - $ 5,750,000 $ 5,473,724 $ 276,276 $ 5,764,858

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172 1/24/2012 - $ 5,741,753 $ 4,307,881 $ 1,433,872 $ 4,693,918

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912 10/19/2011 - $ 3,450,000 $ 3,367,168 $ 82,832 $ 3,698,411

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535 1/24/2012 - $ 11,482,421 $ 10,592,775 $ 889,646 $ 11,818,944

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632 10/19/2011 - $ 13,402,491 $ 12,963,737 $ 438,754 $ 14,433,039

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521 1/24/2012 - $ 14,950,000 $ 14,562,161 $ 387,839 $ 16,383,544

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 334,924,711

TOTAL INVESTMENT AMOUNT $ 368,145,452 TOTAL PROGRAM PROCEEDS TO DATE7$ 376,748,302

Investment Description

TBA or 

PMF3

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Purchase Details 1 Settlement Details Final Disposition

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2016 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2017 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2019 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020 -

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about 

the 11th business day of each month).

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a 

purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication 

of the applicable month's factor (on or about the 11th business day of each month).

4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal 

to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth 

in the Master Purchase Agreement.

-

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2026 -

62
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 $ 156,250,000 1/4/2010 4 $ 156,250,000 $ 156,250,000 1/29/2010 Distribution 5$ 20,091,872

2/24/2010 Final Distribution 5$ 48,922

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 1/4/2010 4 $ 200,000,000 1/4/2010 4 $ 200,000,000 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ Contingent 

Proceeds

1/29/2010 Distribution 5

$ 502,302

2/24/2010 Final Distribution 5

$ 1,223

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 856,000,000 $ 580,960,000

2/18/2010 $ 2,444,347 $ 578,515,653 Membership Interest 10

4/15/2010 $ 3,533,199 $ 574,982,454 Membership Interest 10

9/15/2010 $ 30,011,187 $ 544,971,267 Membership Interest 10

11/15/2010 $ 66,463,982 $ 478,507,285 Membership Interest 10

12/14/2010 $ 15,844,536 $ 462,662,749 Membership Interest 10

1/14/2011 $ 13,677,726 $ 448,985,023 Membership Interest 10

2/14/2011 $ 48,523,845 $ 400,461,178 Membership Interest 10

3/14/2011 $ 68,765,544 $ 331,695,634 Membership Interest 10

4/14/2011 $ 77,704,254 $ 253,991,380 Membership Interest 10

5/20/2011 $ 28,883,733 $ 225,107,647 Membership Interest 10

6/14/2011 $ 9,129,709 $ 215,977,938 Membership Interest 10

7/15/2011 $ 31,061,747 $ 184,916,192 Membership Interest 10

8/12/2011 $ 10,381,214 $ 174,534,977 Membership Interest 10

10/17/2011 $ 6,230,731 $ 168,304,246 Membership Interest 10

12/14/2011 $ 1,183,959 $ 167,120,288 Membership Interest 10

1/17/2012 $ 1,096,185 $ 166,024,103 Membership Interest 10

2/14/2012 $ 1,601,688 $ 164,422,415 Membership Interest 10

3/14/2012 $ 3,035,546 $ 161,386,870 Membership Interest 10

3/29/2012 Distribution 5$ 56,390,209

8/9/2012 Distribution 5$ 1,056,751

9/28/2012 Final Distribution 5$ 18,772

6/4/2013 Adjusted Distribution5, 13 $ 69,399

7/8/2013 Distribution 5, 14 $ 64,444

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000

2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ Contingent 

Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ Contingent 

Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ Contingent 

Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ Contingent 

Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ Contingent 

Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ Contingent 

Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ Contingent 

Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ Contingent 

Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ Contingent 

Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ Contingent 

Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ Contingent 

Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ Contingent 

Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ Contingent 

Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ Contingent 

Proceeds

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ Contingent 

Proceeds

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ Contingent 

Proceeds

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ Contingent 

Proceeds

3/29/2012 Distribution 5

$ 3,434,460

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000 Membership Interest

Membership Interest 10

Distribution or Disposition

CREDIT MARKET PROGRAMS

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

Footnote Date

Seller

$ 0

1/12/2010 $ 166,000,000 $ 0

3/29/2012 $ 161,386,870

3/14/2012 $ 284,468,750 $ 0

Contingent Proceeds

$ 0

Contingent Proceeds

Preliminary Adjusted 

Commitment 3Final Commitment Amount 7

Final Investment 

Amount 9Capital Repayment Details Investment After Capital Repayment

63
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000 Membership Interest

Distribution or Disposition

Footnote Date

Seller

$ 0

Preliminary Adjusted 

Commitment 3Final Commitment Amount 7

Final Investment 

Amount 9Capital Repayment Details Investment After Capital Repayment

8/9/2012 Distribution 5

$ 40,556

9/28/2012 Final Distribution 5$ 469

6/4/2013 Adjusted Distribution5, 13 $ 1,735

7/8/2013 Distribution 5, 14 $ 1,611

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,262,037,500 7/16/2010 $ 1,149,487,000 $ 1,149,487,000

7/16/2012 $ 62,499,688 $ 1,086,987,313 Membership Interest 10

9/17/2012 $ 152,499,238 $ 934,488,075 Membership Interest 10

1/15/2013 $ 254,581,112 $ 679,906,963 Membership Interest 10

2/13/2013 $ 436,447,818 $ 243,459,145 Membership Interest 10

3/13/2013 Distribution 5

$ 479,509,240

7/11/2013

Distribution 5, 11 $ 2,802,754

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,524,075,000 7/16/2010 $ 2,298,974,000 $ 2,298,974,000

6/26/2012 $ 125,000,000 $ 2,173,974,000

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 305,000,000 $ 1,868,974,000

Debt Obligation w/ Contingent 

Proceeds

12/6/2012 $ 800,000,000 $ 1,068,974,000

Debt Obligation w/ Contingent 

Proceeds

12/21/2012 $ 630,000,000 $ 438,974,000

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 97,494,310 $ 341,479,690

Debt Obligation w/ Contingent 

Proceeds

4/17/2013 Distribution 5, 11 $ 16,195,771

7/11/2013 Distribution 5, 11 $ 69,932

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,150,423,500 $ 1,064,141,738

1/15/2010 $ 44,043 $ 1,064,097,694 Membership Interest 10

2/14/2011 $ 712,284 $ 1,063,385,410 Membership Interest 10

3/14/2011 $ 6,716,327 $ 1,056,669,083 Membership Interest 10

4/14/2011 $ 7,118,388 $ 1,049,550,694 Membership Interest 10

5/14/2012 $ 39,999,800 $ 1,009,550,894 Membership Interest 10

6/14/2012 $ 287,098,565 $ 722,452,330 Membership Interest 10

7/16/2012 $ 68,749,656 $ 653,702,674 Membership Interest 10

8/14/2012 $ 361,248,194 $ 292,454,480 Membership Interest 10

8/30/2012 Distribution 5, 11 $ 75,278,664

9/12/2012 Distribution 5, 11 $ 79,071,633

9/19/2012 Distribution 5, 11 $ 106,300,357

10/1/2012 Distribution 5, 11 $ 25,909,972

12/21/2012 Distribution 5, 11 $ 678,683

8/13/2013 Distribution Refund $ (18,405)

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,300,847,000 12 $ 2,128,000,000

5/16/2011 $ 30,244,575 $ 2,097,755,425

Debt Obligation w/ Contingent 

Proceeds

6/14/2011 $ 88,087 $ 2,097,667,339

Debt Obligation w/ Contingent 

Proceeds

5/3/2012 $ 80,000,000 $ 2,017,667,339

Debt Obligation w/ Contingent 

Proceeds

5/14/2012 $ 30,000,000 $ 1,987,667,339

Debt Obligation w/ Contingent 

Proceeds

5/23/2012 $ 500,000,000 $ 1,487,667,339

Debt Obligation w/ Contingent 

Proceeds

6/14/2012 $ 44,200,000 $ 1,443,467,339

Debt Obligation w/ Contingent 

Proceeds

6/25/2012 $ 120,000,000 $ 1,323,467,339

Debt Obligation w/ Contingent 

Proceeds

7/16/2012 $ 17,500,000 $ 1,305,967,339

Debt Obligation w/ Contingent 

Proceeds

7/27/2012 $ 450,000,000 $ 855,967,339

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 272,500,000 $ 583,467,339

Debt Obligation w/ Contingent 

Proceeds

10/3/2012 Distribution 5, 11 $ 12,012,957

12/21/2012 Distribution 5, 11 $ 16,967

8/13/2013 Distribution Refund $ (460)

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 694,980,000 $ 528,184,800

8/14/2012 $ 90,269,076 $ 437,915,724 Membership Interest 10

9/17/2012 $ 8,833,632 $ 429,082,092 Membership Interest 10

10/15/2012 $ 10,055,653 $ 419,026,439 Membership Interest 10

 $ - 

$ - Contingent Proceeds

8/30/2012 $ 292,454,480 Membership Interest 10

Membership Interest 10 3/13/2013 $ 243,459,145 $ 0

$ 284,468,750 $ 0

8/22/2012 $ 583,467,339 $ - Contingent Proceeds

3/14/2012 Contingent Proceeds

1/24/2013 $ 341,479,690

64
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000 Membership Interest

Distribution or Disposition

Footnote Date

Seller

$ 0

Preliminary Adjusted 

Commitment 3Final Commitment Amount 7

Final Investment 

Amount 9Capital Repayment Details Investment After Capital Repayment

11/5/2012 Distribution 5, 11 $ 297,511,708

12/5/2012 Distribution 5, 11 $ 57,378,964

12/6/2013 Distribution 5, 11 $ 1,609,739

2 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,389,960,000 $ 1,053,000,000

7/31/2012 $ 175,000,000 $ 878,000,000

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 5,539,055 $ 872,460,945

Debt Obligation w/ Contingent 

Proceeds

8/31/2012 $ 16,000,000 $ 856,460,945

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 1,667,352 $ 854,793,592

Debt Obligation w/ Contingent 

Proceeds

9/28/2012 $ 35,000,000 $ 819,793,592

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 25,334,218 $ 794,459,374

Debt Obligation w/ Contingent 

Proceeds

11/5/2012 Distribution 5, 11 $ 8,289,431

12/5/2012 Distribution 5, 11 $ 1,433,088

12/6/2013 Distribution 5, 11 $ 141,894

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,271,337,500 7/16/2010 $ 1,243,275,000 $ 1,117,399,170

2/14/2012 $ 87,099,565 $ 1,030,299,606 Membership Interest 10

3/14/2012 $ 99,462,003 $ 930,837,603 Membership Interest 10

5/14/2012 $ 74,999,625 $ 855,837,978 Membership Interest 10

7/16/2012 $ 18,749,906 $ 837,088,072 Membership Interest 10

8/14/2012 $ 68,399,658 $ 768,688,414 Membership Interest 10

9/17/2012 $ 124,999,375 $ 643,689,039 Membership Interest 10

10/15/2012 $ 240,673,797 $ 403,015,242 Membership Interest 10

11/15/2012 $ 45,764,825 $ 357,250,417 Membership Interest 10

12/14/2012 $ 24,588,926 $ 332,661,491 Membership Interest 10

1/15/2013 $ 30,470,429 $ 302,191,061 Membership Interest 10

2/14/2013 $ 295,328,636 $ 6,862,425 Membership Interest 10

2/21/2013 Distribution 5, 11 $ 184,431,858

2/27/2013 Distribution 5, 11 $ 20,999,895

3/14/2013 Distribution 5, 11 $ 156,174,219

4/19/2013 Distribution 5, 11 $ 105,620,441

4/25/2013 Distribution 5, 11 $ 42,099,442

5/29/2013 Distribution 5, 11 $ 49,225,244

9/30/2014 Final Distribution 5, 11 $ 1,748,833

12/8/2017 Final Distribution 5, 16 $ 510,899

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,542,675,000 7/16/2010 $ 2,486,550,000 $ 2,234,798,340

2/14/2012 $ 174,200,000 $ 2,060,598,340

Debt Obligation w/ Contingent 

Proceeds

3/14/2012 $ 198,925,000 $ 1,861,673,340

Debt Obligation w/ Contingent 

Proceeds

5/14/2012 $ 150,000,000 $ 1,711,673,340

Debt Obligation w/ Contingent 

Proceeds

7/16/2012 $ 37,500,000 $ 1,674,173,340

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 136,800,000 $ 1,537,373,340

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 250,000,000 $ 1,287,373,340

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 481,350,000 $ 806,023,340

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 274,590,324 $ 531,433,016

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 147,534,295 $ 383,898,721

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 182,823,491 $ 201,075,230

Debt Obligation w/ Contingent 

Proceeds

4/19/2013 Distribution 5, 11 $ 17,118,005

4/25/2013 Distribution 5, 11 $ 1,052,497

5/29/2013 Distribution 5, 11 $ 1,230,643

9/30/2014 Final Distribution 5, 11 $ 41,556

12/8/2017 Final Distribution 5, 16 $ 12,773

1 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 620,578,258 $ 620,578,258

3/14/2011 $ 1,202,957 $ 619,375,301 Membership Interest 10

2/21/2013 $ 6,862,425

2/14/2013 $ 201,075,230 $ - Contingent Proceeds

$ - Membership Interest 10

11/5/2012 $ 419,026,439 $ - Membership Interest 10

10/18/2012 $ 794,459,374 $ - Contingent Proceeds

65
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000 Membership Interest

Distribution or Disposition

Footnote Date

Seller

$ 0

Preliminary Adjusted 

Commitment 3Final Commitment Amount 7

Final Investment 

Amount 9Capital Repayment Details Investment After Capital Repayment

4/14/2011 $ 3,521,835 $ 615,853,465 Membership Interest 10

8/14/2012 $ 104,959,251 $ 510,894,215 Membership Interest 10

9/17/2012 $ 72,640,245 $ 438,253,970 Membership Interest 10

9/28/2012 $ 180,999,095 $ 257,254,875 Membership Interest 10

10/15/2012 $ 134,999,325 $ 122,255,550 Membership Interest 10

10/19/2012 Distribution 5, 11 $ 147,464,888

11/2/2012 Distribution 5, 11 $ 148,749,256

12/21/2012 Distribution 5, 11 $ 549,997

12/11/2013 Final Distribution 5, 11 $ 75,372

1/28/2015 Distribution 5, 15 $ 61,767

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,241,156,516 $ 1,241,000,000

5/13/2011 $ 13,531,530 $ 1,227,468,470

Debt Obligation w/ Contingent 

Proceeds

7/31/2012 $ 618,750,000 $ 608,718,470

Debt Obligation w/ Contingent 

Proceeds

8/9/2012 $ 151,006,173 $ 457,712,297

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 11,008,652 $ 446,703,645

Debt Obligation w/ Contingent 

Proceeds

8/23/2012 $ 160,493,230 $ 286,210,415

Debt Obligation w/ Contingent 

Proceeds

8/29/2012 $ 103,706,836 $ 182,503,579

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 20,637,410 $ 161,866,170

Debt Obligation w/ Contingent 

Proceeds

10/19/2012 Distribution 5, 11 $ 6,789,287

11/2/2012 Distribution 5, 11 $ 3,718,769

12/21/2012 Distribution 5, 11 $ 13,750

12/11/2013 Final Distribution 5, 11 $ 1,884

1/28/2015 Distribution 5, 15 $ 1,544

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 474,550,000 $ 474,550,000

9/17/2012 $ 74,499,628 $ 400,050,373 Membership Interest 10

11/15/2012 $ 59,787,459 $ 340,262,914 Membership Interest 10

12/14/2012 $ 40,459,092 $ 299,803,821 Membership Interest 10

1/15/2013 $ 10,409,317 $ 289,394,504 Membership Interest 10

1/30/2013 $ 219,998,900 $ 69,395,604 Membership Interest 10

2/25/2013 $ 39,026,406 $ 30,369,198 Membership Interest 10

3/25/2013 Distribution 5, 11 $ 164,629,827

4/16/2013 Distribution 5, 11 $ 71,462,104

5/16/2013 Distribution 5, 11 $ 38,536,072

7/11/2013 Distribution 5, 11 $ 29,999,850

9/5/2013 Distribution 5, 11 $ 3,999,980

12/27/2013 Distribution 5, 11 $ 5,707,723

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 949,100,000 $ 949,000,000

9/17/2012 $ 149,000,000 $ 800,000,000

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 119,575,516 $ 680,424,484

Debt Obligation w/ Contingent 

Proceeds

11/20/2012 $ 195,000,000 $ 485,424,484

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 47,755,767 $ 437,668,717

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 62,456,214 $ 375,212,503

Debt Obligation w/ Contingent 

Proceeds

4/16/2013 Distribution 5, 11 $ 7,143,340

5/16/2013 Distribution 5, 11 $ 963,411

7/11/2013 Distribution 5, 11 $ 750,004

9/5/2013 Distribution 5, 11 $ 100,001

12/27/2013 Distribution 5, 11 $ 142,168

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,160,784,100 $ 555,904,633 7/15/2011 $ 39,499,803 $ 516,404,830 Membership Interest 10

3/14/2012 $ 39,387,753 $ 477,017,077 Membership Interest 10

9/17/2012 $ 22,111,961 $ 454,905,116 Membership Interest 10

3/25/2013 $ 30,369,198 $ - Membership Interest 10

$ 375,212,503 $ - Contingent Proceeds

10/19/2012

9/21/2012 Contingent Proceeds

$ 122,255,550 $ - Membership Interest 10

1/24/2013

$ 161,866,170 $ -

66
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000 Membership Interest

Distribution or Disposition

Footnote Date

Seller

$ 0

Preliminary Adjusted 

Commitment 3Final Commitment Amount 7

Final Investment 

Amount 9Capital Repayment Details Investment After Capital Repayment

10/15/2012 $ 32,496,972 $ 422,408,144 Membership Interest 10

11/15/2012 $ 111,539,536 $ 310,868,608 Membership Interest 10

12/14/2012 $ 55,540,026 $ 255,328,581 Membership Interest 10

1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10

4/12/2013 $ 18,268,328 $ 222,210,343 Membership Interest 10

5/14/2013 $ 70,605,973 $ 151,604,370 Membership Interest 10

5/28/2013 $ 119,769,362 $ 31,835,008 Membership Interest 10

6/3/2013 Distribution 5, 11 $ 46,575,750

6/14/2013 Distribution 5, 11 $ 54,999,725

6/24/2013 Distribution 5, 11 $ 27,999,860

6/26/2013 Distribution 5, 11 $ 11,749,941

7/9/2013 Distribution 5, 11 $ 40,974,795

12/12/2013 Final Distribution 5, 11 $ 539,009

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,321,568,200 $ 1,111,000,000

7/15/2011 $ 79,000,000 $ 1,032,000,000

Debt Obligation w/ Contingent 

Proceeds

3/14/2012 $ 78,775,901 $ 953,224,099

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 44,224,144 $ 908,999,956

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 64,994,269 $ 844,005,687

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 223,080,187 $ 620,925,500

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 111,080,608 $ 509,844,892

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 89,099,906 $ 420,744,985

Debt Obligation w/ Contingent 

Proceeds

4/12/2013 $ 109,610,516 $ 311,134,469

Debt Obligation w/ Contingent 

Proceeds

5/28/2013 Distribution 5, 11 $ 444,393

6/3/2013 Distribution 5, 11 $ 1,960,289

6/14/2013 Distribution 5, 11 $ 1,375,007

6/24/2013 Distribution 5, 11 $ 700,004

6/26/2013 Distribution 5, 11 $ 293,751

7/9/2013 Distribution 5, 11 $ 1,024,380

12/12/2013 Final Distribution 5, 11 $ 13,475

$ 30,000,000,000 $ 21,856,403,574 $ 2,645,693,294

TOTAL CAPITAL REPAYMENT AMOUNT $ 18,625,147,938

16/ On 12/8/2017, AG GECC PPIF Master Fund, L.P. made a distribution to Treasury in respect of certain settlement proceeds.

5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.

13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012. 

14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.

$ 311,134,469 $ -

3/ Adjusted to show Treasury's maximum obligations to a fund.

Contingent Proceeds

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT TOTAL DISTRIBUTIONS 5

15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.

6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, respectively. The $356 

million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.

7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.

8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

9/ Cumulative capital drawn at end of the Investment Period.

10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.

11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.

2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.

5/14/2013

1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.

6/3/2013 $ 31,835,008 $ - Membership Interest 10

67
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending 6/27/2018

MAKING HOME AFFORDABLE PROGRAM

Name of Institution City State Pricing 

Mechanism

Note Reason for Adjustment

21st Mortgage Corporation Knoxville TN - N/A 3 $ 130,000 Transfer of cap due to servicing transfer

$ 129,999 Updated due to quarterly assessment and reallocation

$ 159,999 Transfer of cap due to servicing transfer

$ 159,903 Updated due to quarterly assessment and reallocation

$ 339,903 Transfer of cap due to servicing transfer

$ 339,883 Updated due to quarterly assessment and reallocation

$ 10,339,883 Transfer of cap due to servicing transfer

$ 10,529,883 Transfer of cap due to servicing transfer

$ 10,526,735 Updated due to quarterly assessment and reallocation

$ 10,520,560 Updated due to quarterly assessment and reallocation

$ 10,570,560 Transfer of cap due to servicing transfer

$ 10,700,560 Transfer of cap due to servicing transfer

$ 10,698,414 Updated due to quarterly assessment and reallocation

$ 10,748,414 Transfer of cap due to servicing transfer

$ 14,212,215 Updated due to quarterly assessment and reallocation

$ 14,252,215 Transfer of cap due to servicing transfer

$ 14,333,296 Updated due to quarterly assessment and reallocation

$ 14,383,296 Transfer of cap due to servicing transfer

$ 14,316,775 Updated due to quarterly assessment and reallocation

$ 14,358,643 Updated due to quarterly assessment and reallocation

$ 14,671,585 Updated due to quarterly assessment and reallocation

$ 14,610,796 Updated due to quarterly assessment and reallocation

$ 14,114,277 Reallocation due to MHA program deobligation

$ 14,102,435 Updated due to quarterly assessment and reallocation

$ 17,332,435 Transfer of cap due to servicing transfer

$ 16,548,727 Updated due to quarterly assessment and reallocation

$ 16,137,892 Updated due to quarterly assessment and reallocation

$ 15,825,097 Updated due to quarterly assessment and reallocation

$ 15,746,948 Updated due to quarterly assessment and reallocation

$ 15,836,635 Updated due to quarterly assessment and reallocation

$ 15,836,635 Updated due to quarterly assessment and reallocation

$ 15,832,195 Updated due to quarterly assessment and reallocation

$ 15,831,304 Transfer of cap due to servicing transfer

$ 15,825,716 Transfer of cap due to servicing transfer

$ 15,824,887 Transfer of cap due to servicing transfer

$ 15,814,624 Transfer of cap due to servicing transfer

$ 15,814,307 Transfer of cap due to servicing transfer

$ 15,779,169 Transfer of cap due to servicing transfer

$ 15,756,442 Transfer of cap due to servicing transfer

$ 15,726,818 Transfer of cap due to servicing transfer

$ 15,724,982 Transfer of cap due to servicing transfer

$ 15,718,194 Transfer of cap due to servicing transfer

$ 15,702,400 Transfer of cap due to servicing transfer

$ 15,699,359 Transfer of cap due to servicing transfer

AgFirst Farm Credit Bank Columbia SC $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

- Termination of SPA

Allstate Mortgage Loans & 

Investments, Inc. Ocala FL $ 250,000 N/A $ 310,000 Updated portfolio data from servicer/additional program initial cap

$ 230,000 Updated portfolio data from servicer/additional program initial 

cap $ 510,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

04/28/2015 $ (11,347) $ 122,581 Updated due to quarterly assessment and reallocation

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ (410,000)

03/26/2010 $ 280,000

12/30/2009 $ (80,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 60,000

03/23/2011 $ (145,056)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

06/21/2018 $ (3,041)

04/25/2018 $ (15,794)

03/22/2018 $ (6,788)

02/26/2018 $ (1,836)

12/21/2017 $ (29,624)

10/26/2017 $ (22,727)

09/26/2017 $ (35,138)

07/26/2017 $ (317)

06/26/2017 $ (10,263)

04/26/2017 $ (829)

02/27/2017 $ (5,588)

12/27/2016 $ (891)

11/29/2016 $ (4,440)

11/07/2016 -

10/25/2016 $ 89,687

09/28/2016 $ (78,149)

07/27/2016 $ (312,795)

06/27/2016 $ (410,835)

05/31/2016 $ (783,708)

05/16/2016 $ 3,230,000

03/28/2016 $ (11,842)

02/25/2016 $ (496,519)

12/28/2015 $ (60,789)

09/28/2015 $ 312,942

06/25/2015 $ 41,868

04/28/2015 $ (66,521)

04/16/2015 $ 50,000

03/26/2015 $ 81,081

01/15/2015 $ 40,000

12/29/2014 $ 3,463,801

11/14/2014 $ 50,000

09/29/2014 $ (2,146)

09/16/2014 $ 130,000

08/14/2014 $ 50,000

07/29/2014 $ (6,175)

06/26/2014 $ (3,148)

06/16/2014 $ 190,000

04/16/2014 $ 10,000,000

03/26/2014 $ (20)

01/16/2014 $ 180,000

12/23/2013 $ (96)

12/16/2013 $ 30,000

03/25/2013 $ (1)

CAP Adjustment Amount Adjusted CAP

######## Purchase Financial Instrument for Home Loan Modifications 03/14/2013 $ 130,000

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

68
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

Ally Bank Midvale UT - N/A 3 $ 7,600,000 Transfer of cap due to servicing transfer

$ 7,598,848 Updated due to quarterly assessment and reallocation

$ 9,431,735 Updated due to quarterly assessment and reallocation

$ 9,501,735 Transfer of cap due to servicing transfer

$ 9,611,735 Transfer of cap due to servicing transfer

$ 9,608,497 Updated due to quarterly assessment and reallocation

$ 9,573,953 Updated due to quarterly assessment and reallocation

$ 9,544,669 Updated due to quarterly assessment and reallocation

$ 5,744,669 Transfer of cap due to servicing transfer

$ 5,579,534 Updated due to quarterly assessment and reallocation

$ 5,179,534 Transfer of cap due to servicing transfer

$ 5,015,073 Updated due to quarterly assessment and reallocation

$ 4,398,747 Reallocation due to MHA program deobligation

$ 4,408,747 Transfer of cap due to servicing transfer

$ 4,395,712 Updated due to quarterly assessment and reallocation

$ 45,235,712 Transfer of cap due to servicing transfer

$ 36,502,887 Updated due to quarterly assessment and reallocation

$ 31,285,155 Updated due to quarterly assessment and reallocation

$ 26,052,939 Updated due to quarterly assessment and reallocation

$ 16,963,529 Updated due to quarterly assessment and reallocation

$ 8,404,373 Updated due to quarterly assessment and reallocation

$ 11,704,229 Updated due to quarterly assessment and reallocation

$ 11,645,147 Updated due to quarterly assessment and reallocation

$ 11,636,307 Transfer of cap due to servicing transfer

$ 11,488,734 Transfer of cap due to servicing transfer

$ 11,479,144 Transfer of cap due to servicing transfer

$ 11,406,467 Transfer of cap due to servicing transfer

$ 11,404,187 Transfer of cap due to servicing transfer

$ 8,513,540 Transfer of cap due to servicing transfer

$ 8,152,994 Transfer of cap due to servicing transfer

$ 7,774,447 Transfer of cap due to servicing transfer

$ 7,755,820 Transfer of cap due to servicing transfer

$ 7,694,571 Transfer of cap due to servicing transfer

$ 7,572,787 Transfer of cap due to servicing transfer

$ 7,549,349 Transfer of cap due to servicing transfer

Amarillo National Bank Amarillo TX $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

03/26/2015 $ (2,879) $ 133,928 Updated due to quarterly assessment and reallocation

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

06/21/2018 $ (23,438)

04/25/2018 $ (121,784)

03/22/2018 $ (61,249)

02/26/2018 $ (18,627)

12/21/2017 $ (378,547)

10/26/2017 $ (360,546)

09/26/2017 $ (2,890,647)

07/26/2017 $ (2,280)

06/26/2017 $ (72,677)

04/26/2017 $ (9,590)

02/27/2017 $ (147,573)

12/27/2016 $ (8,840)

11/29/2016 $ (59,082)

11/07/2016 $ 3,299,856

10/25/2016 $ (8,559,156)

09/28/2016 $ (9,089,410)

07/27/2016 $ (5,232,216)

06/27/2016 $ (5,217,732)

05/31/2016 $ (8,732,825)

05/16/2016 $ 40,840,000

03/28/2016 $ (13,035)

03/16/2016 $ 10,000

02/25/2016 $ (616,326)

12/28/2015 $ (164,461)

10/15/2015 $ (400,000)

09/28/2015 $ (165,135)

08/14/2015 $ (3,800,000)

06/25/2015 $ (29,284)

04/28/2015 $ (34,544)

03/26/2015 $ (3,238)

02/13/2015 $ 110,000

01/15/2015 $ 70,000

12/29/2014 $ 1,832,887

09/29/2014 $ (1,152)

######## Purchase Financial Instrument for Home Loan Modifications 08/14/2014 $ 7,600,000

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

69
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

- Termination of SPA

Ameriana Bank New Castle IN - N/A 3 $ 60,000 Transfer of cap due to servicing transfer

$ 50,000 Transfer of cap due to servicing transfer

American Eagle Federal Credit Union East Hartford CT $ 1,590,000 N/A $ 1,660,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,370,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,319 Updated due to quarterly assessment and reallocation

- Termination of SPA

American Finance House LARIBA Pasadena CA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

- Termination of SPA

American Financial Resources Inc. Parsippany NJ $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

- Termination of SPA

Apex Bank (Bank of Camden) Knoxville TN - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$ 140,000 Transfer of cap due to servicing transfer

$ 132,563 Updated due to quarterly assessment and reallocation

$ 119,159 Updated due to quarterly assessment and reallocation

$ 106,493 Updated due to quarterly assessment and reallocation

$ 111,376 Updated due to quarterly assessment and reallocation

$ 111,288 Updated due to quarterly assessment and reallocation

$ 141,288 Transfer of cap due to servicing transfer

$ 141,239 Transfer of cap due to servicing transfer

$ 140,390 Transfer of cap due to servicing transfer

$ 140,334 Transfer of cap due to servicing transfer

06/26/2017 $ (428) $ 139,906 Transfer of cap due to servicing transfer

04/26/2017 $ (56)

02/27/2017 $ (849)

12/27/2016 $ (49)

12/15/2016 $ 30,000

11/29/2016 $ (88)

11/07/2016 $ 4,883

10/25/2016 $ (12,666)

09/28/2016 $ (13,404)

07/27/2016 $ (7,437)

07/14/2016 $ 120,000

######## Purchase Financial Instrument for Home Loan Modifications 04/16/2015 $ 20,000

06/15/2017 $ (101,069)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

02/02/2011 $ (145,056)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

01/25/2012 $ (870,319)

06/29/2011 $ (13)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 70,334

07/14/2010 $ (570,000)

03/26/2010 $ (290,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 70,000

01/13/2017 $ (10,000)

######## Purchase Financial Instrument for Home Loan Modifications 07/16/2014 $ 60,000

06/15/2017 $ (101,069)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

70
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 139,893 Transfer of cap due to servicing transfer

$ 122,824 Transfer of cap due to servicing transfer

$ 120,707 Transfer of cap due to servicing transfer

$ 118,502 Transfer of cap due to servicing transfer

$ 118,395 Transfer of cap due to servicing transfer

$ 118,056 Transfer of cap due to servicing transfer

$ 574,880 Transfer of cap due to servicing transfer

$ 574,595 Transfer of cap due to servicing transfer

Aurora Financial Group, Inc. Marlton NJ $ 10,000 N/A $ 40,000 Updated portfolio data from servicer/additional program initial 

cap $ 290,111 Updated portfolio data from servicer

$ 350,000 Updated due to quarterly assessment and reallocation

$ 349,998 Updated due to quarterly assessment and reallocation

$ 349,993 Updated due to quarterly assessment and reallocation

$ 349,992 Updated due to quarterly assessment and reallocation

$ 349,989 Updated due to quarterly assessment and reallocation

$ 349,988 Updated due to quarterly assessment and reallocation

$ 349,229 Updated due to quarterly assessment and reallocation

$ 349,202 Updated due to quarterly assessment and reallocation

$ 348,887 Updated due to quarterly assessment and reallocation

$ 348,262 Updated due to quarterly assessment and reallocation

$ 348,055 Updated due to quarterly assessment and reallocation

$ 344,559 Updated due to quarterly assessment and reallocation

$ 134,559 Transfer of cap due to servicing transfer

$ 131,856 Updated due to quarterly assessment and reallocation

$ 121,202 Updated due to quarterly assessment and reallocation

$ 118,675 Updated due to quarterly assessment and reallocation

$ 115,300 Updated due to quarterly assessment and reallocation

$ 112,802 Updated due to quarterly assessment and reallocation

$ 105,669 Reallocation due to MHA program deobligation

$ 105,520 Updated due to quarterly assessment and reallocation

$ 104,354 Updated due to quarterly assessment and reallocation

$ 103,657 Updated due to quarterly assessment and reallocation

$ 102,960 Updated due to quarterly assessment and reallocation

$ 101,742 Updated due to quarterly assessment and reallocation

$ 100,590 Updated due to quarterly assessment and reallocation

$ 101,034 Updated due to quarterly assessment and reallocation

$ 101,026 Updated due to quarterly assessment and reallocation

$ 101,025 Transfer of cap due to servicing transfer

$ 101,004 Transfer of cap due to servicing transfer

$ 101,003 Transfer of cap due to servicing transfer

$ 100,992 Transfer of cap due to servicing transfer

$ 100,568 Transfer of cap due to servicing transfer

$ 100,515 Transfer of cap due to servicing transfer

$ 100,460 Transfer of cap due to servicing transfer

$ 100,457 Transfer of cap due to servicing transfer

$ 100,448 Transfer of cap due to servicing transfer

$ 100,431 Transfer of cap due to servicing transfer

$ 100,428 Transfer of cap due to servicing transfer

Aurora Loan Services, LLC Littleton CO $ 798,000,000 N/A $ 459,550,000 Updated portfolio data from servicer

$ 447,690,000 Updated portfolio data from servicer/additional program initial 

cap $ 469,020,000 Updated portfolio data from servicer/additional program initial 

cap $ 478,170,000 Updated portfolio data from servicer

$ 401,300,000 Updated portfolio data from servicer

$ 401,700,000 Updated portfolio data from servicer/additional program initial 

cap $ 393,245,731 Updated portfolio data from servicer

$ 393,245,389 Updated due to quarterly assessment and reallocation

$ 393,245,015 Updated due to quarterly assessment and reallocation

$ 411,245,015 Transfer of cap due to servicing transfer

$ 411,241,742 Updated due to quarterly assessment and reallocation

$ 411,041,742 Transfer of cap due to servicing transfer

$ 411,141,742 Transfer of cap due to servicing transfer

$ 410,641,742 Transfer of cap due to servicing transfer

$ 410,639,974 Updated due to quarterly assessment and reallocation

$ 410,549,974 Transfer of cap due to servicing transfer

$ 276,319,974 Transfer of cap due to servicing transfer

$ 109,343,125 Transfer of cap due to servicing transfer

$ 109,343,126 Updated due to quarterly assessment and reallocation

$ 109,113,126 Transfer of cap due to servicing transfer

$ 109,113,125 Updated due to quarterly assessment and reallocation

05/16/2013 $ (20,000) $ 109,093,125 Transfer of cap due to servicing transfer

03/25/2013 $ (1)

11/15/2012 $ (230,000)

09/27/2012 $ 1

08/23/2012 $ (166,976,849)

08/16/2012 $ (134,230,000)

07/16/2012 $ (90,000)

06/28/2012 $ (1,768)

04/16/2012 $ (500,000)

03/15/2012 $ 100,000

10/14/2011 $ (200,000)

06/29/2011 $ (3,273)

05/13/2011 $ 18,000,000

03/30/2011 $ (374)

01/06/2011 $ (342)

09/30/2010 $ (8,454,269)

09/01/2010 $ 400,000

07/14/2010 $ (76,870,000)

03/26/2010 $ 9,150,000

12/30/2009 $ 21,330,000

09/30/2009 $ (11,860,000)

######## Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (338,450,000)

06/21/2018 $ (3)

04/25/2018 $ (17)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (55)

10/26/2017 $ (53)

09/26/2017 $ (424)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (21)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 444

10/25/2016 $ (1,152)

09/28/2016 $ (1,218)

07/27/2016 $ (697)

06/27/2016 $ (697)

05/31/2016 $ (1,166)

03/28/2016 $ (149)

02/25/2016 $ (7,133)

12/28/2015 $ (2,498)

09/28/2015 $ (3,375)

06/25/2015 $ (2,527)

04/28/2015 $ (10,654)

03/26/2015 $ (2,703)

03/16/2015 $ (210,000)

12/29/2014 $ (3,496)

09/29/2014 $ (207)

07/29/2014 $ (625)

06/26/2014 $ (315)

03/26/2014 $ (27)

12/23/2013 $ (759)

06/27/2013 $ (1)

03/25/2013 $ (3)

12/27/2012 $ (1)

09/27/2012 $ (5)

06/28/2012 $ (2)

06/29/2011 $ 59,889

09/30/2010 $ 250,111

######## Purchase Financial Instrument for Home Loan Modifications 05/26/2010 $ 30,000

06/21/2018 $ (285)

04/25/2018 $ 456,824

03/22/2018 $ (339)

02/26/2018 $ (107)

12/21/2017 $ (2,205)

10/26/2017 $ (2,117)

09/26/2017 $ (17,069)

07/26/2017 $ (13)

71
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 109,043,125 Transfer of cap due to servicing transfer

$ 109,043,110 Updated due to quarterly assessment and reallocation

11 $ 85,863,519 Termination of SPA

Axiom Bank (Urban Trust Bank) Lake Mary FL $ 1,060,000 N/A $ 5,500,000 Updated portfolio data from servicer

- Termination of SPA

3 $ 40,000 Transfer of cap due to servicing transfer

$ 42,719 Updated due to quarterly assessment and reallocation

Banco Popular de Puerto Rico San Juan PR $ 1,700,000 N/A $ 2,465,945 Updated portfolio data from servicer

$ 2,465,942 Updated due to quarterly assessment and reallocation

$ 2,465,938 Updated due to quarterly assessment and reallocation

$ 2,465,902 Updated due to quarterly assessment and reallocation

$ 2,465,872 Updated due to quarterly assessment and reallocation

$ 2,465,789 Updated due to quarterly assessment and reallocation

$ 2,465,775 Updated due to quarterly assessment and reallocation

$ 2,465,722 Updated due to quarterly assessment and reallocation

$ 2,465,702 Updated due to quarterly assessment and reallocation

$ 2,925,702 Transfer of cap due to servicing transfer

$ 2,925,695 Updated due to quarterly assessment and reallocation

$ 2,913,356 Updated due to quarterly assessment and reallocation

$ 2,963,356 Transfer of cap due to servicing transfer

$ 2,962,907 Updated due to quarterly assessment and reallocation

$ 2,972,907 Transfer of cap due to servicing transfer

$ 2,992,907 Transfer of cap due to servicing transfer

$ 2,987,585 Updated due to quarterly assessment and reallocation

$ 2,976,956 Updated due to quarterly assessment and reallocation

$ 2,973,441 Updated due to quarterly assessment and reallocation

$ 2,618,637 Updated due to quarterly assessment and reallocation

$ 2,484,183 Updated due to quarterly assessment and reallocation

$ 1,954,111 Updated due to quarterly assessment and reallocation

$ 1,827,586 Updated due to quarterly assessment and reallocation

$ 1,655,658 Updated due to quarterly assessment and reallocation

$ 1,508,396 Updated due to quarterly assessment and reallocation

$ 1,059,005 Reallocation due to MHA program deobligation

$ 1,049,402 Updated due to quarterly assessment and reallocation

$ 977,449 Updated due to quarterly assessment and reallocation

$ 939,297 Updated due to quarterly assessment and reallocation

$ 904,010 Updated due to quarterly assessment and reallocation

$ 892,088 Updated due to quarterly assessment and reallocation

$ 8,556,210 Updated due to quarterly assessment and reallocation

$ 8,556,210 Updated due to quarterly assessment and reallocation

$ 8,547,437 Updated due to quarterly assessment and reallocation

$ 8,545,945 Transfer of cap due to servicing transfer

$ 14,889,415 Transfer of cap due to servicing transfer

$ 16,865,154 Transfer of cap due to servicing transfer

$ 17,547,824 Transfer of cap due to servicing transfer

$ 17,547,798 Transfer of cap due to servicing transfer

$ 13,528,045 Transfer of cap due to servicing transfer

$ 17,810,060 Transfer of cap due to servicing transfer

$ 17,743,290 Transfer of cap due to servicing transfer

$ 17,739,800 Transfer of cap due to servicing transfer

$ 17,725,872 Transfer of cap due to servicing transfer

$ 17,697,246 Transfer of cap due to servicing transfer

$ 17,690,518 Transfer of cap due to servicing transfer

Bangor Savings Bank Bangor ME - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

- Termination of SPA

Bank of America, N.A. Simi Valley CA $ 798,900,000 N/A $ 804,440,000 Updated portfolio data from servicer

$ 967,120,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,632,630,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,433,020,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,603,650,000 Updated portfolio data from servicer

$ 1,236,900,000 Updated portfolio data from servicer

$ 1,332,200,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,555,141,084 Updated portfolio data from servicer

$ 1,555,138,885 Updated due to quarterly assessment and reallocation

$ 1,555,136,337 Updated due to quarterly assessment and reallocation

$ 1,555,113,000 Updated due to quarterly assessment and reallocation

$ 1,554,813,000 Transfer of cap due to servicing transfer

$ 1,434,113,000 Transfer of cap due to servicing transfer

$ 1,433,213,000 Transfer of cap due to servicing transfer

05/16/2012 $ (200,000) $ 1,433,013,000 Transfer of cap due to servicing transfer

11/16/2011 $ (900,000)

10/14/2011 $ (120,700,000)

08/16/2011 $ (300,000)

06/29/2011 $ (23,337)

03/30/2011 $ (2,548)

01/06/2011 $ (2,199)

09/30/2010 $ 222,941,084

09/30/2010 $ 95,300,000

07/14/2010 $ (366,750,000)

03/26/2010 $ (829,370,000)

01/26/2010 $ 800,390,000

12/30/2009 $ 665,510,000

09/30/2009 $ 162,680,000

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 5,540,000

10/16/2017 $ (100,000)

######## Purchase Financial Instrument for Home Loan Modifications 09/15/2011 $ 100,000

06/21/2018 $ (6,728)

04/25/2018 $ (28,626)

03/22/2018 $ (13,928)

02/26/2018 $ (3,490)

12/21/2017 $ (66,770)

10/26/2017 $ 4,282,015

09/26/2017 $ (4,019,753)

07/26/2017 $ (26)

06/26/2017 $ 682,670

04/26/2017 $ 1,975,739

02/27/2017 $ 6,343,470

12/27/2016 $ (1,492)

11/29/2016 $ (8,773)

11/07/2016 -

10/25/2016 $ 7,664,122

09/28/2016 $ (11,922)

07/27/2016 $ (35,287)

06/27/2016 $ (38,152)

05/31/2016 $ (71,953)

03/28/2016 $ (9,603)

02/25/2016 $ (449,391)

12/28/2015 $ (147,262)

09/28/2015 $ (171,928)

06/25/2015 $ (126,525)

04/28/2015 $ (530,072)

03/26/2015 $ (134,454)

12/29/2014 $ (354,804)

09/29/2014 $ (3,515)

07/29/2014 $ (10,629)

06/26/2014 $ (5,322)

05/15/2014 $ 20,000

04/16/2014 $ 10,000

03/26/2014 $ (449)

01/16/2014 $ 50,000

12/23/2013 $ (12,339)

09/27/2013 $ (7)

09/16/2013 $ 460,000

06/27/2013 $ (20)

03/25/2013 $ (53)

12/27/2012 $ (14)

09/27/2012 $ (83)

06/28/2012 $ (30)

06/29/2011 $ (36)

03/30/2011 $ (4)

01/06/2011 $ (3)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 765,945

12/29/2014 $ 2,719

12/16/2013 $ 40,000

09/24/2010 $ (5,500,000)

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ 4,440,000

07/09/2013 $ (23,179,591)

06/27/2013 $ (15)

06/14/2013 $ (50,000)

72
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,432,995,107 Updated due to quarterly assessment and reallocation

7 $ 31,278,513 Termination of SPA

7 $ 31,017,611 Termination of SPA

Bank of America, N.A. (BAC Home 

Loans Servicing, LP) Simi Valley CA $ 1,864,000,000 N/A $ 5,182,840,000 Updated portfolio data from servicer

$ 4,465,420,000 Updated portfolio data from servicer/additional program initial 

cap $ 6,756,200,000 Updated portfolio data from servicer/additional program initial 

cap $ 7,206,300,000 Updated portfolio data from servicer/additional program initial 

cap $ 8,111,310,000 Updated portfolio data from servicer

$ 8,121,590,000 Transfer of cap due to servicing transfer

$ 8,408,100,000 Transfer of cap due to servicing transfer

$ 6,620,800,000 Updated portfolio data from servicer

$ 6,726,300,000 Updated portfolio data from servicer/additional program initial 

cap $ 6,111,772,638 Updated portfolio data from servicer

$ 6,347,772,638 Transfer of cap due to servicing transfer

$ 6,347,764,626 Updated due to quarterly assessment and reallocation

$ 6,349,564,626 Transfer of cap due to servicing transfer

$ 6,349,664,626 Transfer of cap due to servicing transfer

$ 6,349,655,436 Updated due to quarterly assessment and reallocation

$ 6,349,855,436 Transfer of cap due to servicing transfer

$ 6,350,155,436 Transfer of cap due to servicing transfer

$ 6,349,155,436 Transfer of cap due to servicing transfer

$ 6,349,073,089 Updated due to quarterly assessment and reallocation

$ 6,348,873,089 Transfer of cap due to servicing transfer

$ 6,345,473,089 Transfer of cap due to servicing transfer

$ 6,344,073,089 Transfer of cap due to servicing transfer

$ 6,464,673,089 Transfer of cap due to servicing transfer

$ 6,782,629,378 Transfer of cap due to merger/acquisition

$ 6,783,429,378 Transfer of cap due to servicing transfer

$ 6,765,829,378 Transfer of cap due to servicing transfer

$ 6,763,729,378 Transfer of cap due to servicing transfer

$ 6,739,829,378 Transfer of cap due to servicing transfer

$ 6,676,029,378 Transfer of cap due to servicing transfer

$ 6,676,049,378 Transfer of cap due to servicing transfer

$ 6,667,189,378 Transfer of cap due to servicing transfer

$ 6,667,130,828 Updated due to quarterly assessment and reallocation

$ 6,660,290,828 Transfer of cap due to servicing transfer

$ 8,062,007,423 Transfer of cap due to merger/acquisition

$ 8,057,227,423 Transfer of cap due to servicing transfer

$ 8,057,021,476 Updated due to quarterly assessment and reallocation

$ 7,903,801,476 Transfer of cap due to servicing transfer

$ 7,876,501,476 Transfer of cap due to servicing transfer

$ 7,826,151,476 Transfer of cap due to servicing transfer

$ 7,826,117,961 Updated due to quarterly assessment and reallocation

$ 7,799,117,961 Transfer of cap due to servicing transfer

$ 7,757,287,961 Transfer of cap due to servicing transfer

$ 7,751,387,961 Transfer of cap due to servicing transfer

$ 7,751,265,357 Updated due to quarterly assessment and reallocation

$ 7,749,855,357 Transfer of cap due to servicing transfer

$ 7,748,915,357 Transfer of cap due to servicing transfer

$ 7,731,965,357 Transfer of cap due to servicing transfer

$ 7,731,920,254 Updated due to quarterly assessment and reallocation

$ 7,706,340,254 Transfer of cap due to servicing transfer

$ 7,699,610,254 Transfer of cap due to servicing transfer

$ 7,408,970,254 Transfer of cap due to servicing transfer

$ 7,408,954,843 Updated due to quarterly assessment and reallocation

$ 7,329,754,843 Transfer of cap due to servicing transfer

$ 7,330,015,745 Transfer of cap due to merger/acquisition

$ 7,315,415,745 Transfer of cap due to servicing transfer

$ 7,292,195,745 Transfer of cap due to servicing transfer

$ 7,266,968,885 Updated due to quarterly assessment and reallocation

$ 7,239,898,885 Transfer of cap due to servicing transfer

$ 7,129,788,885 Transfer of cap due to servicing transfer

$ 7,102,148,885 Transfer of cap due to servicing transfer

$ 7,101,280,460 Updated due to quarterly assessment and reallocation

$ 7,083,570,460 Transfer of cap due to servicing transfer

$ 7,053,530,460 Transfer of cap due to servicing transfer

$ 7,043,870,460 Transfer of cap due to servicing transfer

$ 7,033,785,490 Updated due to quarterly assessment and reallocation

07/16/2014 $ (6,180,000) $ 7,027,605,490 Transfer of cap due to servicing transfer

06/26/2014 $ (10,084,970)

06/16/2014 $ (9,660,000)

05/15/2014 $ (30,040,000)

04/16/2014 $ (17,710,000)

03/26/2014 $ (868,425)

03/14/2014 $ (27,640,000)

02/13/2014 $ (110,110,000)

01/16/2014 $ (27,070,000)

12/23/2013 $ (25,226,860)

12/16/2013 $ (23,220,000)

11/14/2013 $ (14,600,000)

10/16/2013 $ 260,902

10/15/2013 $ (79,200,000)

09/27/2013 $ (15,411)

09/16/2013 $ (290,640,000)

08/15/2013 $ (6,730,000)

07/16/2013 $ (25,580,000)

06/27/2013 $ (45,103)

06/14/2013 $ (16,950,000)

05/16/2013 $ (940,000)

04/16/2013 $ (1,410,000)

03/25/2013 $ (122,604)

03/14/2013 $ (5,900,000)

02/14/2013 $ (41,830,000)

01/16/2013 $ (27,000,000)

12/27/2012 $ (33,515)

12/14/2012 $ (50,350,000)

11/15/2012 $ (27,300,000)

10/16/2012 $ (153,220,000)

09/27/2012 $ (205,946)

08/16/2012 $ (4,780,000)

08/10/2012 $ 1,401,716,594

07/16/2012 $ (6,840,000)

06/28/2012 $ (58,550)

06/14/2012 $ (8,860,000)

05/16/2012 $ 20,000

04/16/2012 $ (63,800,000)

03/15/2012 $ (23,900,000)

02/16/2012 $ (2,100,000)

12/15/2011 $ (17,600,000)

11/16/2011 $ 800,000

10/19/2011 $ 317,956,289

10/14/2011 $ 120,600,000

09/15/2011 $ (1,400,000)

08/16/2011 $ (3,400,000)

07/14/2011 $ (200,000)

06/29/2011 $ (82,347)

06/16/2011 $ (1,000,000)

05/13/2011 $ 300,000

04/13/2011 $ 200,000

03/30/2011 $ (9,190)

03/16/2011 $ 100,000

02/16/2011 $ 1,800,000

01/06/2011 $ (8,012)

12/15/2010 $ 236,000,000

09/30/2010 $ (614,527,362)

09/30/2010 $ 105,500,000

07/14/2010 $ (1,787,300,000)

06/16/2010 $ 286,510,000

04/19/2010 $ 10,280,000

03/26/2010 $ 905,010,000

01/26/2010 $ 450,100,000

12/30/2009 $ 2,290,780,000

09/30/2009 $ (717,420,000)

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 3,318,840,000

10/16/2013 $ (260,902)

08/10/2012 $ (1,401,716,594)

06/28/2012 $ (17,893)

73
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 7,007,720,292 Updated due to quarterly assessment and reallocation

$ 6,995,850,292 Transfer of cap due to servicing transfer

$ 6,974,460,292 Transfer of cap due to servicing transfer

$ 6,967,926,873 Updated due to quarterly assessment and reallocation

$ 6,949,476,873 Transfer of cap due to servicing transfer

$ 6,929,086,873 Transfer of cap due to servicing transfer

$ 6,919,556,873 Transfer of cap due to servicing transfer

$ 6,199,740,079 Updated due to quarterly assessment and reallocation

$ 6,198,500,079 Transfer of cap due to servicing transfer

$ 6,163,490,079 Transfer of cap due to servicing transfer

$ 6,158,500,079 Transfer of cap due to servicing transfer

$ 5,893,378,506 Updated due to quarterly assessment and reallocation

$ 5,894,558,506 Transfer of cap due to servicing transfer

$ 4,903,845,569 Updated due to quarterly assessment and reallocation

$ 4,897,775,569 Transfer of cap due to servicing transfer

$ 4,890,385,569 Transfer of cap due to servicing transfer

$ 4,658,277,465 Updated due to quarterly assessment and reallocation

$ 4,661,227,465 Transfer of cap due to servicing transfer

$ 4,654,397,465 Transfer of cap due to servicing transfer

$ 4,645,847,465 Transfer of cap due to servicing transfer

$ 4,337,499,679 Updated due to quarterly assessment and reallocation

$ 4,322,519,679 Transfer of cap due to servicing transfer

$ 4,324,199,679 Transfer of cap due to servicing transfer

$ 4,286,789,679 Transfer of cap due to servicing transfer

$ 4,066,292,150 Updated due to quarterly assessment and reallocation

$ 4,073,772,150 Transfer of cap due to servicing transfer

$ 4,078,732,150 Transfer of cap due to servicing transfer

$ 3,361,741,019 Reallocation due to MHA program deobligation

$ 3,355,031,019 Transfer of cap due to servicing transfer

$ 3,340,257,296 Updated due to quarterly assessment and reallocation

$ 3,344,887,296 Transfer of cap due to servicing transfer

$ 3,346,977,296 Transfer of cap due to servicing transfer

$ 3,235,489,497 Updated due to quarterly assessment and reallocation

$ 3,240,009,497 Transfer of cap due to servicing transfer

$ 3,173,472,284 Updated due to quarterly assessment and reallocation

$ 3,182,592,284 Transfer of cap due to servicing transfer

$ 3,116,908,153 Updated due to quarterly assessment and reallocation

$ 3,109,278,153 Transfer of cap due to servicing transfer

$ 3,098,898,153 Transfer of cap due to servicing transfer

$ 2,989,812,279 Updated due to quarterly assessment and reallocation

$ 2,928,882,279 Transfer of cap due to servicing transfer

$ 2,865,714,751 Updated due to quarterly assessment and reallocation

$ 2,890,068,060 Updated due to quarterly assessment and reallocation

$ 2,882,518,060 Transfer of cap due to servicing transfer

$ 2,880,919,555 Updated due to quarterly assessment and reallocation

$ 2,911,529,555 Transfer of cap due to servicing transfer

$ 2,911,279,951 Transfer of cap due to servicing transfer

$ 2,911,419,951 Transfer of cap due to servicing transfer

$ 2,897,279,951 Transfer of cap due to servicing transfer

$ 2,893,240,979 Transfer of cap due to servicing transfer

$ 2,874,290,979 Transfer of cap due to servicing transfer

$ 2,874,040,726 Transfer of cap due to servicing transfer

$ 2,871,769,076 Transfer of cap due to servicing transfer

$ 2,871,699,100 Transfer of cap due to servicing transfer

$ 2,840,808,618 Transfer of cap due to servicing transfer

$ 2,834,457,037 Transfer of cap due to servicing transfer

$ 2,827,131,721 Transfer of cap due to servicing transfer

$ 2,826,702,006 Transfer of cap due to servicing transfer

$ 2,825,079,837 Transfer of cap due to servicing transfer

$ 2,820,574,431 Transfer of cap due to servicing transfer

$ 2,819,787,559 Transfer of cap due to servicing transfer

Bank United Miami Lakes FL $ 93,660,000 N/A $ 98,030,000 Updated portfolio data from servicer/additional program initial 

cap $ 121,910,000 Updated portfolio data from servicer

$ 105,300,000 Updated portfolio data from servicer

$ 107,051,033 Updated portfolio data from servicer

$ 107,050,956 Updated due to quarterly assessment and reallocation

$ 97,150,956 Transfer of cap due to servicing transfer

$ 97,150,868 Updated due to quarterly assessment and reallocation

$ 97,150,095 Updated due to quarterly assessment and reallocation

03/15/2012 $ (1,400,000) $ 95,750,095 Transfer of cap due to servicing transfer

06/29/2011 $ (773)

03/30/2011 $ (88)

03/16/2011 $ (9,900,000)

01/06/2011 $ (77)

09/30/2010 $ 1,751,033

07/14/2010 $ (16,610,000)

03/26/2010 $ 23,880,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 4,370,000

06/21/2018 $ (786,872)

04/25/2018 $ (4,505,406)

03/22/2018 $ (1,622,169)

02/26/2018 $ (429,715)

12/21/2017 $ (7,325,316)

10/26/2017 $ (6,351,581)

09/26/2017 $ (30,890,482)

07/26/2017 $ (69,976)

06/26/2017 $ (2,271,650)

04/26/2017 $ (250,253)

03/16/2017 $ (18,950,000)

02/27/2017 $ (4,038,972)

02/16/2017 $ (14,140,000)

01/13/2017 $ 140,000

12/27/2016 $ (249,604)

12/15/2016 $ 30,610,000

11/29/2016 $ (1,598,505)

11/16/2016 $ (7,550,000)

11/07/2016 $ 24,353,309

10/25/2016 $ (63,167,528)

10/14/2016 $ (60,930,000)

09/28/2016 $ (109,085,874)

09/15/2016 $ (10,380,000)

08/16/2016 $ (7,630,000)

07/27/2016 $ (65,684,131)

07/14/2016 $ 9,120,000

06/27/2016 $ (66,537,213)

06/16/2016 $ 4,520,000

05/31/2016 $ (111,487,799)

05/16/2016 $ 2,090,000

04/14/2016 $ 4,630,000

03/28/2016 $ (14,773,723)

03/16/2016 $ (6,710,000)

02/25/2016 $ (716,991,131)

02/16/2016 $ 4,960,000

01/14/2016 $ 7,480,000

12/28/2015 $ (220,497,529)

12/16/2015 $ (37,410,000)

11/16/2015 $ 1,680,000

10/15/2015 $ (14,980,000)

09/28/2015 $ (308,347,786)

09/16/2015 $ (8,550,000)

08/14/2015 $ (6,830,000)

07/16/2015 $ 2,950,000

06/25/2015 $ (232,108,104)

06/16/2015 $ (7,390,000)

05/14/2015 $ (6,070,000)

04/28/2015 $ (990,712,937)

04/16/2015 $ 1,180,000

03/26/2015 $ (265,121,573)

03/16/2015 $ (4,990,000)

02/13/2015 $ (35,010,000)

01/15/2015 $ (1,240,000)

12/29/2014 $ (719,816,794)

12/16/2014 $ (9,530,000)

11/14/2014 $ (20,390,000)

10/16/2014 $ (18,450,000)

09/29/2014 $ (6,533,419)

09/16/2014 $ (21,390,000)

08/14/2014 $ (11,870,000)

07/29/2014 $ (19,885,198)

74
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 95,749,818 Updated due to quarterly assessment and reallocation

$ 95,749,269 Updated due to quarterly assessment and reallocation

$ 95,749,204 Updated due to quarterly assessment and reallocation

$ 93,079,204 Transfer of cap due to servicing transfer

$ 93,079,062 Updated due to quarterly assessment and reallocation

$ 92,469,062 Transfer of cap due to servicing transfer

$ 92,469,014 Updated due to quarterly assessment and reallocation

$ 92,429,014 Transfer of cap due to servicing transfer

$ 92,429,000 Updated due to quarterly assessment and reallocation

$ 92,399,000 Transfer of cap due to servicing transfer

$ 91,209,000 Transfer of cap due to servicing transfer

$ 91,194,047 Updated due to quarterly assessment and reallocation

$ 91,024,047 Transfer of cap due to servicing transfer

$ 91,023,326 Updated due to quarterly assessment and reallocation

$ 90,363,326 Transfer of cap due to servicing transfer

$ 90,356,344 Updated due to quarterly assessment and reallocation

$ 90,342,589 Updated due to quarterly assessment and reallocation

$ 89,902,589 Transfer of cap due to servicing transfer

$ 89,898,784 Updated due to quarterly assessment and reallocation

$ 89,648,784 Transfer of cap due to servicing transfer

$ 101,428,113 Updated due to quarterly assessment and reallocation

$ 101,328,113 Transfer of cap due to servicing transfer

$ 100,728,113 Transfer of cap due to servicing transfer

$ 100,720,410 Updated due to quarterly assessment and reallocation

$ 100,390,410 Transfer of cap due to servicing transfer

$ 100,579,549 Updated due to quarterly assessment and reallocation

$ 100,569,549 Transfer of cap due to servicing transfer

$ 100,880,610 Updated due to quarterly assessment and reallocation

$ 103,100,266 Updated due to quarterly assessment and reallocation

$ 103,070,266 Transfer of cap due to servicing transfer

$ 105,698,104 Updated due to quarterly assessment and reallocation

$ 102,194,887 Reallocation due to MHA program deobligation

$ 102,120,373 Updated due to quarterly assessment and reallocation

$ 101,558,159 Updated due to quarterly assessment and reallocation

$ 100,808,159 Transfer of cap due to servicing transfer

$ 100,479,873 Updated due to quarterly assessment and reallocation

$ 99,525,919 Updated due to quarterly assessment and reallocation

$ 98,535,919 Transfer of cap due to servicing transfer

$ 96,656,324 Updated due to quarterly assessment and reallocation

$ 96,626,324 Transfer of cap due to servicing transfer

$ 95,325,739 Updated due to quarterly assessment and reallocation

$ 95,827,160 Updated due to quarterly assessment and reallocation

$ 95,776,262 Updated due to quarterly assessment and reallocation

$ 95,766,595 Transfer of cap due to servicing transfer

$ 95,696,595 Transfer of cap due to servicing transfer

$ 95,514,830 Transfer of cap due to servicing transfer

$ 95,194,830 Transfer of cap due to servicing transfer

$ 95,181,623 Transfer of cap due to servicing transfer

$ 95,068,022 Transfer of cap due to servicing transfer

$ 95,064,569 Transfer of cap due to servicing transfer

$ 91,909,211 Transfer of cap due to servicing transfer

$ 91,517,307 Transfer of cap due to servicing transfer

$ 91,102,694 Transfer of cap due to servicing transfer

$ 91,078,305 Transfer of cap due to servicing transfer

$ 90,997,725 Transfer of cap due to servicing transfer

$ 90,838,403 Transfer of cap due to servicing transfer

$ 90,801,651 Transfer of cap due to servicing transfer

Banner Bank Walla Walla WA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Bay Federal Credit Union Capitola CA $ 410,000 N/A $ 500,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,960,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,120,000 Updated portfolio data from servicer

$ 2,000,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

- Termination of SPA

Bay Gulf Credit Union Tampa FL $ 230,000 N/A $ 240,000 Updated portfolio data from servicer/additional program initial 

cap $ 680,000 Updated portfolio data from servicer

07/14/2010 $ (80,000) $ 600,000 Updated portfolio data from servicer

03/26/2010 $ 440,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

01/25/2012 $ (580,212)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (1,419,778)

07/14/2010 $ (120,000)

03/26/2010 $ 160,000

12/30/2009 $ 1,460,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 90,000

######## Purchase Financial Instrument for Home Loan Modifications 06/16/2016 $ 20,000

06/21/2018 $ (36,752)

04/25/2018 $ (159,322)

03/22/2018 $ (80,580)

02/26/2018 $ (24,389)

12/21/2017 $ (414,613)

10/26/2017 $ (391,904)

09/26/2017 $ (3,155,358)

07/26/2017 $ (3,453)

06/26/2017 $ (113,601)

04/26/2017 $ (13,207)

03/16/2017 $ (320,000)

02/27/2017 $ (181,765)

01/13/2017 $ (70,000)

12/27/2016 $ (9,667)

11/29/2016 $ (50,898)

11/07/2016 $ 501,421

10/25/2016 $ (1,300,585)

10/14/2016 $ (30,000)

09/28/2016 $ (1,879,595)

09/15/2016 $ (990,000)

07/27/2016 $ (953,954)

06/27/2016 $ (328,286)

06/16/2016 $ (750,000)

05/31/2016 $ (562,214)

03/28/2016 $ (74,514)

02/25/2016 $ (3,503,217)

12/28/2015 $ 2,627,838

11/16/2015 $ (30,000)

09/28/2015 $ 2,219,656

06/25/2015 $ 311,061

05/14/2015 $ (10,000)

04/28/2015 $ 189,139

04/16/2015 $ (330,000)

03/26/2015 $ (7,703)

03/16/2015 $ (600,000)

01/15/2015 $ (100,000)

12/29/2014 $ 11,779,329

12/16/2014 $ (250,000)

09/29/2014 $ (3,805)

09/16/2014 $ (440,000)

07/29/2014 $ (13,755)

06/26/2014 $ (6,982)

06/16/2014 $ (660,000)

03/26/2014 $ (721)

02/13/2014 $ (170,000)

12/23/2013 $ (14,953)

12/16/2013 $ (1,190,000)

11/14/2013 $ (30,000)

09/27/2013 $ (14)

09/16/2013 $ (40,000)

06/27/2013 $ (48)

05/16/2013 $ (610,000)

03/25/2013 $ (142)

02/14/2013 $ (2,670,000)

12/27/2012 $ (65)

09/27/2012 $ (549)

06/28/2012 $ (277)

75
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 580,222 Updated portfolio data from servicer

- Termination of SPA

Bayview Loan Servicing, LLC Coral Gables FL $ 44,260,000 N/A $ 68,110,000 Updated portfolio data from servicer/additional program initial 

cap $ 111,700,000 Updated portfolio data from servicer/additional program initial 

cap $ 146,240,000 Updated portfolio data from servicer

$ 147,250,000 Updated portfolio data from servicer/additional program initial 

cap $ 113,000,000 Updated portfolio data from servicer

$ 113,600,000 Updated portfolio data from servicer/additional program initial 

cap $ 98,347,697 Updated portfolio data from servicer

$ 98,347,627 Updated due to quarterly assessment and reallocation

$ 98,347,541 Updated due to quarterly assessment and reallocation

$ 98,747,541 Transfer of cap due to servicing transfer

$ 98,847,541 Transfer of cap due to servicing transfer

$ 98,846,770 Updated due to quarterly assessment and reallocation

$ 99,446,770 Transfer of cap due to servicing transfer

$ 80,546,770 Transfer of cap due to servicing transfer

$ 81,446,770 Transfer of cap due to servicing transfer

$ 83,846,770 Transfer of cap due to servicing transfer

$ 83,746,770 Transfer of cap due to servicing transfer

$ 83,946,770 Transfer of cap due to servicing transfer

$ 83,976,770 Transfer of cap due to servicing transfer

$ 85,786,770 Transfer of cap due to servicing transfer

$ 85,786,262 Updated due to quarterly assessment and reallocation

$ 88,446,262 Transfer of cap due to servicing transfer

$ 88,445,013 Updated due to quarterly assessment and reallocation

$ 88,605,013 Transfer of cap due to servicing transfer

$ 95,575,013 Transfer of cap due to servicing transfer

$ 109,165,013 Transfer of cap due to servicing transfer

$ 109,164,715 Updated due to quarterly assessment and reallocation

$ 109,254,715 Transfer of cap due to servicing transfer

$ 112,504,715 Transfer of cap due to servicing transfer

$ 113,334,715 Transfer of cap due to servicing transfer

$ 113,333,692 Updated due to quarterly assessment and reallocation

$ 114,823,692 Transfer of cap due to servicing transfer

$ 115,483,692 Transfer of cap due to servicing transfer

$ 122,953,692 Transfer of cap due to servicing transfer

$ 122,953,384 Updated due to quarterly assessment and reallocation

$ 144,383,384 Transfer of cap due to servicing transfer

$ 156,113,384 Transfer of cap due to servicing transfer

$ 156,113,293 Updated due to quarterly assessment and reallocation

$ 161,543,293 Transfer of cap due to servicing transfer

$ 182,443,293 Transfer of cap due to servicing transfer

$ 182,703,293 Transfer of cap due to servicing transfer

$ 182,571,740 Updated due to quarterly assessment and reallocation

$ 183,641,740 Transfer of cap due to servicing transfer

$ 186,211,740 Transfer of cap due to servicing transfer

$ 187,741,740 Transfer of cap due to servicing transfer

$ 187,740,690 Updated due to quarterly assessment and reallocation

$ 193,010,690 Transfer of cap due to servicing transfer

$ 193,510,690 Transfer of cap due to servicing transfer

$ 196,110,690 Transfer of cap due to servicing transfer

$ 214,668,341 Updated due to quarterly assessment and reallocation

$ 214,678,341 Transfer of cap due to servicing transfer

$ 228,039,184 Updated due to quarterly assessment and reallocation

$ 232,299,184 Transfer of cap due to servicing transfer

$ 232,559,184 Transfer of cap due to servicing transfer

$ 246,278,025 Updated due to quarterly assessment and reallocation

$ 245,598,025 Transfer of cap due to servicing transfer

$ 251,668,025 Transfer of cap due to servicing transfer

$ 251,678,025 Transfer of cap due to servicing transfer

$ 332,789,154 Updated due to quarterly assessment and reallocation

$ 333,119,154 Transfer of cap due to servicing transfer

$ 333,239,154 Transfer of cap due to servicing transfer

$ 372,669,154 Transfer of cap due to servicing transfer

$ 409,624,966 Updated due to quarterly assessment and reallocation

$ 416,494,966 Transfer of cap due to servicing transfer

$ 415,742,297 Updated due to quarterly assessment and reallocation

$ 421,632,297 Transfer of cap due to servicing transfer

$ 438,572,297 Transfer of cap due to servicing transfer

06/25/2015 $ (180,754) $ 438,391,543 Updated due to quarterly assessment and reallocation

06/16/2015 $ 16,940,000

05/14/2015 $ 5,890,000

04/28/2015 $ (752,669)

04/16/2015 $ 6,870,000

03/26/2015 $ 36,955,812

03/16/2015 $ 39,430,000

02/13/2015 $ 120,000

01/15/2015 $ 330,000

12/29/2014 $ 81,111,129

12/16/2014 $ 10,000

11/14/2014 $ 6,070,000

10/16/2014 $ (680,000)

09/29/2014 $ 13,718,841

09/16/2014 $ 260,000

08/14/2014 $ 4,260,000

07/29/2014 $ 13,360,843

07/16/2014 $ 10,000

06/26/2014 $ 18,557,651

06/16/2014 $ 2,600,000

05/15/2014 $ 500,000

04/16/2014 $ 5,270,000

03/26/2014 $ (1,050)

03/14/2014 $ 1,530,000

02/13/2014 $ 2,570,000

01/16/2014 $ 1,070,000

12/23/2013 $ (131,553)

12/16/2013 $ 260,000

11/14/2013 $ 20,900,000

10/15/2013 $ 5,430,000

09/27/2013 $ (91)

09/16/2013 $ 11,730,000

07/16/2013 $ 21,430,000

06/27/2013 $ (308)

06/14/2013 $ 7,470,000

05/16/2013 $ 660,000

04/16/2013 $ 1,490,000

03/25/2013 $ (1,023)

03/14/2013 $ 830,000

02/14/2013 $ 3,250,000

01/16/2013 $ 90,000

12/27/2012 $ (298)

12/14/2012 $ 13,590,000

11/15/2012 $ 6,970,000

10/16/2012 $ 160,000

09/27/2012 $ (1,249)

07/16/2012 $ 2,660,000

06/28/2012 $ (508)

06/14/2012 $ 1,810,000

05/16/2012 $ 30,000

04/16/2012 $ 200,000

03/15/2012 $ (100,000)

02/16/2012 $ 2,400,000

01/13/2012 $ 900,000

10/14/2011 $ (18,900,000)

09/15/2011 $ 600,000

06/29/2011 $ (771)

05/13/2011 $ 100,000

04/13/2011 $ 400,000

03/30/2011 $ (86)

01/06/2011 $ (70)

09/30/2010 $ (15,252,303)

09/30/2010 $ 600,000

07/14/2010 $ (34,250,000)

05/07/2010 $ 1,010,000

03/26/2010 $ 34,540,000

12/30/2009 $ 43,590,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 23,850,000

10/15/2010 $ (580,222)

09/30/2010 $ (19,778)

76
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 447,891,543 Transfer of cap due to servicing transfer

$ 448,321,543 Transfer of cap due to servicing transfer

$ 444,781,543 Transfer of cap due to servicing transfer

$ 456,945,127 Updated due to quarterly assessment and reallocation

$ 473,585,127 Transfer of cap due to servicing transfer

$ 470,435,127 Transfer of cap due to servicing transfer

$ 481,585,127 Transfer of cap due to servicing transfer

$ 481,149,563 Updated due to quarterly assessment and reallocation

$ 480,969,563 Transfer of cap due to servicing transfer

$ 463,629,563 Transfer of cap due to servicing transfer

$ 462,679,275 Reallocation due to MHA program deobligation

$ 462,149,275 Transfer of cap due to servicing transfer

$ 501,000,627 Updated due to quarterly assessment and reallocation

$ 501,530,627 Transfer of cap due to servicing transfer

$ 508,530,627 Transfer of cap due to servicing transfer

$ 521,747,049 Updated due to quarterly assessment and reallocation

$ 521,867,049 Transfer of cap due to servicing transfer

$ 532,273,680 Updated due to quarterly assessment and reallocation

$ 531,203,680 Transfer of cap due to servicing transfer

$ 529,285,406 Updated due to quarterly assessment and reallocation

$ 528,795,406 Transfer of cap due to servicing transfer

$ 528,575,406 Transfer of cap due to servicing transfer

$ 525,446,120 Updated due to quarterly assessment and reallocation

$ 535,196,120 Transfer of cap due to servicing transfer

$ 529,186,943 Updated due to quarterly assessment and reallocation

$ 531,503,692 Updated due to quarterly assessment and reallocation

$ 529,043,692 Transfer of cap due to servicing transfer

$ 528,708,107 Updated due to quarterly assessment and reallocation

$ 512,338,107 Transfer of cap due to servicing transfer

$ 512,308,838 Transfer of cap due to servicing transfer

$ 510,128,838 Transfer of cap due to servicing transfer

$ 531,998,838 Transfer of cap due to servicing transfer

$ 531,599,027 Transfer of cap due to servicing transfer

$ 531,029,027 Transfer of cap due to servicing transfer

$ 531,010,000 Transfer of cap due to servicing transfer

$ 530,899,738 Transfer of cap due to servicing transfer

$ 530,892,655 Transfer of cap due to servicing transfer

$ 529,988,068 Transfer of cap due to servicing transfer

$ 529,747,726 Transfer of cap due to servicing transfer

$ 528,567,544 Transfer of cap due to servicing transfer

$ 528,489,966 Transfer of cap due to servicing transfer

$ 528,137,511 Transfer of cap due to servicing transfer

$ 527,266,863 Transfer of cap due to servicing transfer

$ 526,967,147 Transfer of cap due to servicing transfer

BMO Harris Bank, NA Chicago IL - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 90,000 Transfer of cap due to servicing transfer

Bramble Savings Bank Cincinanati OH $ 700,000 N/A $ 1,740,667 Updated portfolio data from servicer

$ 1,740,665 Updated due to quarterly assessment and reallocation

$ 1,740,662 Updated due to quarterly assessment and reallocation

$ 1,740,634 Updated due to quarterly assessment and reallocation

- Termination of SPA

Bridgelock Capital dba Peak Loan 

Servicing Woodland Hills CA - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 40,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 110,000 Transfer of cap due to servicing transfer

$ 109,979 Updated due to quarterly assessment and reallocation

$ 109,936 Updated due to quarterly assessment and reallocation

$ 109,922 Updated due to quarterly assessment and reallocation

$ 149,922 Transfer of cap due to servicing transfer

$ 119,922 Transfer of cap due to servicing transfer

$ 116,492 Updated due to quarterly assessment and reallocation

$ 115,202 Updated due to quarterly assessment and reallocation

$ 110,118 Updated due to quarterly assessment and reallocation

$ 108,912 Updated due to quarterly assessment and reallocation

$ 118,912 Transfer of cap due to servicing transfer

$ 128,912 Transfer of cap due to servicing transfer

$ 123,687 Updated due to quarterly assessment and reallocation

10/15/2015 $ 10,000 $ 133,687 Transfer of cap due to servicing transfer

09/28/2015 $ (5,225)

09/16/2015 $ 10,000

08/14/2015 $ 10,000

06/25/2015 $ (1,206)

04/28/2015 $ (5,084)

03/26/2015 $ (1,290)

12/29/2014 $ (3,430)

12/16/2014 $ (30,000)

10/16/2014 $ 40,000

09/29/2014 $ (14)

07/29/2014 $ (43)

06/26/2014 $ (21)

06/16/2014 $ 40,000

04/16/2014 $ 30,000

12/16/2013 $ 30,000

######## Purchase Financial Instrument for Home Loan Modifications 07/16/2013 $ 10,000

08/10/2011 $ (1,740,634)

06/29/2011 $ (28)

03/30/2011 $ (3)

01/06/2011 $ (2)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 1,040,667

04/16/2015 $ 20,000

11/14/2014 $ 40,000

######## Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 30,000

06/21/2018 $ (299,716)

04/25/2018 $ (870,648)

03/22/2018 $ (352,455)

02/26/2018 $ (77,578)

12/21/2017 $ (1,180,182)

10/26/2017 $ (240,342)

09/26/2017 $ (904,587)

07/26/2017 $ (7,083)

06/26/2017 $ (110,262)

04/26/2017 $ (19,027)

03/16/2017 $ (570,000)

02/27/2017 $ (399,811)

02/16/2017 $ 21,870,000

01/13/2017 $ (2,180,000)

12/27/2016 $ (29,269)

12/15/2016 $ (16,370,000)

11/29/2016 $ (335,585)

11/16/2016 $ (2,460,000)

11/07/2016 $ 2,316,749

10/25/2016 $ (6,009,177)

10/14/2016 $ 9,750,000

09/28/2016 $ (3,129,286)

09/15/2016 $ (220,000)

08/16/2016 $ (490,000)

07/27/2016 $ (1,918,274)

07/14/2016 $ (1,070,000)

06/27/2016 $ 10,406,631

06/16/2016 $ 120,000

05/31/2016 $ 13,216,422

05/16/2016 $ 7,000,000

04/14/2016 $ 530,000

03/28/2016 $ 38,851,352

03/16/2016 $ (530,000)

02/25/2016 $ (950,288)

02/16/2016 $ (17,340,000)

01/14/2016 $ (180,000)

12/28/2015 $ (435,564)

12/16/2015 $ 11,150,000

11/16/2015 $ (3,150,000)

10/15/2015 $ 16,640,000

09/28/2015 $ 12,163,584

09/16/2015 $ (3,540,000)

08/14/2015 $ 430,000

07/16/2015 $ 9,500,000

77
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 113,687 Transfer of cap due to servicing transfer

$ 111,453 Updated due to quarterly assessment and reallocation

$ 105,072 Reallocation due to MHA program deobligation

$ 104,939 Updated due to quarterly assessment and reallocation

$ 103,896 Updated due to quarterly assessment and reallocation

$ 263,896 Transfer of cap due to servicing transfer

$ 237,673 Updated due to quarterly assessment and reallocation

$ 211,442 Updated due to quarterly assessment and reallocation

$ 221,442 Transfer of cap due to servicing transfer

$ 231,442 Transfer of cap due to servicing transfer

$ 177,335 Updated due to quarterly assessment and reallocation

$ 126,208 Updated due to quarterly assessment and reallocation

$ 145,919 Updated due to quarterly assessment and reallocation

$ 145,565 Updated due to quarterly assessment and reallocation

$ 145,511 Transfer of cap due to servicing transfer

$ 144,574 Transfer of cap due to servicing transfer

$ 144,513 Transfer of cap due to servicing transfer

$ 144,041 Transfer of cap due to servicing transfer

$ 144,027 Transfer of cap due to servicing transfer

$ 125,189 Transfer of cap due to servicing transfer

$ 122,853 Transfer of cap due to servicing transfer

$ 120,419 Transfer of cap due to servicing transfer

$ 120,301 Transfer of cap due to servicing transfer

$ 119,916 Transfer of cap due to servicing transfer

$ 119,154 Transfer of cap due to servicing transfer

$ 119,011 Transfer of cap due to servicing transfer

Caliber Home Loans, Inc (Vericrest 

Financial, Inc.) Oklahoma City OK - N/A 3 $ 1,000,000 Transfer of cap due to servicing transfer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 4,450,554 Transfer of cap due to servicing transfer

$ 14,650,554 Transfer of cap due to servicing transfer

$ 14,650,530 Updated due to quarterly assessment and reallocation

$ 14,650,303 Updated due to quarterly assessment and reallocation

$ 26,650,303 Transfer of cap due to servicing transfer

$ 30,750,303 Transfer of cap due to servicing transfer

$ 31,650,303 Transfer of cap due to servicing transfer

$ 31,950,303 Transfer of cap due to servicing transfer

$ 31,950,037 Updated due to quarterly assessment and reallocation

$ 31,949,348 Updated due to quarterly assessment and reallocation

$ 32,669,348 Transfer of cap due to servicing transfer

$ 32,669,234 Updated due to quarterly assessment and reallocation

$ 40,689,234 Transfer of cap due to servicing transfer

$ 40,688,643 Updated due to quarterly assessment and reallocation

$ 40,648,643 Transfer of cap due to servicing transfer

$ 40,648,420 Updated due to quarterly assessment and reallocation

$ 40,648,340 Updated due to quarterly assessment and reallocation

$ 40,512,564 Updated due to quarterly assessment and reallocation

$ 39,382,564 Transfer of cap due to servicing transfer

$ 36,882,564 Transfer of cap due to servicing transfer

$ 36,972,564 Transfer of cap due to servicing transfer

$ 36,967,867 Updated due to quarterly assessment and reallocation

$ 36,912,425 Updated due to quarterly assessment and reallocation

$ 39,502,425 Transfer of cap due to servicing transfer

$ 39,381,700 Updated due to quarterly assessment and reallocation

$ 39,340,818 Updated due to quarterly assessment and reallocation

$ 47,020,818 Transfer of cap due to servicing transfer

$ 54,740,818 Transfer of cap due to servicing transfer

$ 58,950,818 Transfer of cap due to servicing transfer

$ 50,883,608 Updated due to quarterly assessment and reallocation

$ 52,983,608 Transfer of cap due to servicing transfer

$ 53,063,608 Transfer of cap due to servicing transfer

$ 62,053,608 Transfer of cap due to servicing transfer

$ 58,271,884 Updated due to quarterly assessment and reallocation

$ 58,251,884 Transfer of cap due to servicing transfer

$ 43,436,764 Updated due to quarterly assessment and reallocation

$ 46,106,764 Transfer of cap due to servicing transfer

$ 46,076,764 Transfer of cap due to servicing transfer

$ 42,443,382 Updated due to quarterly assessment and reallocation

07/16/2015 $ 1,440,000 $ 43,883,382 Transfer of cap due to servicing transfer

06/25/2015 $ (3,633,382)

06/16/2015 $ (30,000)

05/14/2015 $ 2,670,000

04/28/2015 $ (14,815,120)

04/16/2015 $ (20,000)

03/26/2015 $ (3,781,724)

03/16/2015 $ 8,990,000

02/13/2015 $ 80,000

01/15/2015 $ 2,100,000

12/29/2014 $ (8,067,210)

12/16/2014 $ 4,210,000

11/14/2014 $ 7,720,000

10/16/2014 $ 7,680,000

09/29/2014 $ (40,882)

07/29/2014 $ (120,725)

07/16/2014 $ 2,590,000

06/26/2014 $ (55,442)

03/26/2014 $ (4,697)

03/14/2014 $ 90,000

02/13/2014 $ (2,500,000)

01/16/2014 $ (1,130,000)

12/23/2013 $ (135,776)

09/27/2013 $ (80)

06/27/2013 $ (223)

05/16/2013 $ (40,000)

03/25/2013 $ (591)

01/16/2013 $ 8,020,000

12/27/2012 $ (114)

11/15/2012 $ 720,000

09/27/2012 $ (689)

06/28/2012 $ (266)

04/16/2012 $ 300,000

01/13/2012 $ 900,000

12/15/2011 $ 4,100,000

07/14/2011 $ 12,000,000

06/29/2011 $ (227)

03/30/2011 $ (24)

03/16/2011 $ 10,200,000

02/16/2011 $ 3,000,000

01/06/2011 $ (2)

09/30/2010 $ 450,556

######## Purchase Financial Instrument for Home Loan Modifications 09/15/2010 $ 1,000,000

06/21/2018 $ (143)

04/25/2018 $ (762)

03/22/2018 $ (385)

02/26/2018 $ (118)

12/21/2017 $ (2,434)

10/26/2017 $ (2,336)

09/26/2017 $ (18,838)

07/26/2017 $ (14)

06/26/2017 $ (472)

04/26/2017 $ (61)

02/27/2017 $ (937)

12/27/2016 $ (54)

11/29/2016 $ (354)

11/07/2016 $ 19,711

10/25/2016 $ (51,127)

09/28/2016 $ (54,107)

09/15/2016 $ 10,000

08/16/2016 $ 10,000

07/27/2016 $ (26,231)

06/27/2016 $ (26,223)

06/16/2016 $ 160,000

05/31/2016 $ (1,043)

03/28/2016 $ (133)

02/25/2016 $ (6,381)

12/28/2015 $ (2,234)

11/16/2015 $ (20,000)

78
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 43,873,382 Transfer of cap due to servicing transfer

$ 51,133,382 Transfer of cap due to servicing transfer

$ 45,849,177 Updated due to quarterly assessment and reallocation

$ 58,219,177 Transfer of cap due to servicing transfer

$ 62,379,177 Transfer of cap due to servicing transfer

$ 72,879,177 Transfer of cap due to servicing transfer

$ 64,970,188 Updated due to quarterly assessment and reallocation

$ 63,840,188 Transfer of cap due to servicing transfer

$ 63,790,188 Transfer of cap due to servicing transfer

$ 41,067,198 Reallocation due to MHA program deobligation

$ 44,077,198 Transfer of cap due to servicing transfer

$ 43,569,856 Updated due to quarterly assessment and reallocation

$ 43,289,856 Transfer of cap due to servicing transfer

$ 49,729,856 Transfer of cap due to servicing transfer

$ 44,569,110 Updated due to quarterly assessment and reallocation

$ 46,169,110 Transfer of cap due to servicing transfer

$ 42,972,540 Updated due to quarterly assessment and reallocation

$ 57,192,540 Transfer of cap due to servicing transfer

$ 51,787,148 Updated due to quarterly assessment and reallocation

$ 51,757,148 Transfer of cap due to servicing transfer

$ 68,677,148 Transfer of cap due to servicing transfer

$ 52,779,593 Updated due to quarterly assessment and reallocation

$ 71,019,593 Transfer of cap due to servicing transfer

$ 46,289,739 Updated due to quarterly assessment and reallocation

$ 55,823,967 Updated due to quarterly assessment and reallocation

$ 54,733,967 Transfer of cap due to servicing transfer

$ 54,573,676 Updated due to quarterly assessment and reallocation

$ 54,583,676 Transfer of cap due to servicing transfer

$ 54,558,898 Transfer of cap due to servicing transfer

$ 54,578,898 Transfer of cap due to servicing transfer

$ 54,218,898 Transfer of cap due to servicing transfer

$ 53,796,537 Transfer of cap due to servicing transfer

$ 56,056,537 Transfer of cap due to servicing transfer

$ 56,029,029 Transfer of cap due to servicing transfer

$ 55,803,566 Transfer of cap due to servicing transfer

$ 55,796,442 Transfer of cap due to servicing transfer

$ 46,928,271 Transfer of cap due to servicing transfer

$ 45,617,021 Transfer of cap due to servicing transfer

$ 43,959,783 Transfer of cap due to servicing transfer

$ 43,862,798 Transfer of cap due to servicing transfer

$ 43,515,248 Transfer of cap due to servicing transfer

$ 42,824,355 Transfer of cap due to servicing transfer

$ 42,688,119 Transfer of cap due to servicing transfer

California Housing Finance Agency Sacramento CA - N/A 3 $ 210,000 Transfer of cap due to servicing transfer

$ 209,980 Updated due to quarterly assessment and reallocation

$ 219,980 Transfer of cap due to servicing transfer

$ 219,722 Updated due to quarterly assessment and reallocation

$ 219,210 Updated due to quarterly assessment and reallocation

$ 219,041 Updated due to quarterly assessment and reallocation

$ 198,547 Updated due to quarterly assessment and reallocation

$ 308,547 Transfer of cap due to servicing transfer

$ 292,236 Updated due to quarterly assessment and reallocation

$ 227,947 Updated due to quarterly assessment and reallocation

$ 212,700 Updated due to quarterly assessment and reallocation

$ 192,333 Updated due to quarterly assessment and reallocation

$ 177,260 Updated due to quarterly assessment and reallocation

$ 134,213 Reallocation due to MHA program deobligation

$ 133,314 Updated due to quarterly assessment and reallocation

$ 493,314 Transfer of cap due to servicing transfer

$ 410,225 Updated due to quarterly assessment and reallocation

$ 360,589 Updated due to quarterly assessment and reallocation

$ 310,938 Updated due to quarterly assessment and reallocation

$ 224,107 Updated due to quarterly assessment and reallocation

$ 142,058 Updated due to quarterly assessment and reallocation

$ 173,691 Updated due to quarterly assessment and reallocation

$ 173,123 Updated due to quarterly assessment and reallocation

$ 173,036 Transfer of cap due to servicing transfer

$ 171,532 Transfer of cap due to servicing transfer

$ 171,433 Transfer of cap due to servicing transfer

06/26/2017 $ (758) $ 170,675 Transfer of cap due to servicing transfer

04/26/2017 $ (99)

02/27/2017 $ (1,504)

12/27/2016 $ (87)

11/29/2016 $ (568)

11/07/2016 $ 31,633

10/25/2016 $ (82,049)

09/28/2016 $ (86,831)

07/27/2016 $ (49,651)

06/27/2016 $ (49,636)

05/31/2016 $ (83,089)

04/14/2016 $ 360,000

03/28/2016 $ (899)

02/25/2016 $ (43,047)

12/28/2015 $ (15,073)

09/28/2015 $ (20,367)

06/25/2015 $ (15,247)

04/28/2015 $ (64,289)

03/26/2015 $ (16,311)

01/15/2015 $ 110,000

12/29/2014 $ (20,494)

09/29/2014 $ (169)

07/29/2014 $ (512)

06/26/2014 $ (258)

06/16/2014 $ 10,000

03/26/2014 $ (20)

######## Purchase Financial Instrument for Home Loan Modifications 03/14/2014 $ 210,000

06/21/2018 $ (136,236)

04/25/2018 $ (690,893)

03/22/2018 $ (347,550)

02/26/2018 $ (96,985)

12/21/2017 $ (1,657,238)

10/26/2017 $ (1,311,250)

09/26/2017 $ (8,868,171)

07/26/2017 $ (7,124)

06/26/2017 $ (225,463)

04/26/2017 $ (27,508)

03/16/2017 $ 2,260,000

02/27/2017 $ (422,361)

02/16/2017 $ (360,000)

01/13/2017 $ 20,000

12/27/2016 $ (24,778)

12/15/2016 $ 10,000

11/29/2016 $ (160,291)

11/16/2016 $ (1,090,000)

11/07/2016 $ 9,534,228

10/25/2016 $ (24,729,854)

10/14/2016 $ 18,240,000

09/28/2016 $ (15,897,555)

09/15/2016 $ 16,920,000

08/16/2016 $ (30,000)

07/27/2016 $ (5,405,392)

07/14/2016 $ 14,220,000

06/27/2016 $ (3,196,570)

06/16/2016 $ 1,600,000

05/31/2016 $ (5,160,746)

05/16/2016 $ 6,440,000

04/14/2016 $ (280,000)

03/28/2016 $ (507,342)

03/16/2016 $ 3,010,000

02/25/2016 $ (22,722,990)

02/16/2016 $ (50,000)

01/14/2016 $ (1,130,000)

12/28/2015 $ (7,908,989)

12/16/2015 $ 10,500,000

11/16/2015 $ 4,160,000

10/15/2015 $ 12,370,000

09/28/2015 $ (5,284,205)

09/16/2015 $ 7,260,000

08/14/2015 $ (10,000)

79
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 170,652 Transfer of cap due to servicing transfer

$ 140,422 Transfer of cap due to servicing transfer

$ 136,673 Transfer of cap due to servicing transfer

$ 132,768 Transfer of cap due to servicing transfer

$ 132,578 Transfer of cap due to servicing transfer

$ 131,960 Transfer of cap due to servicing transfer

$ 130,738 Transfer of cap due to servicing transfer

$ 130,509 Transfer of cap due to servicing transfer

Capital International Financial, Inc. Coral Gables FL $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

Carrington Mortgage Services, LLC Santa Ana CA $ 195,000,000 N/A $ 131,020,000 Updated portfolio data from servicer

$ 222,010,000 Updated portfolio data from servicer/additional program initial 

cap $ 279,990,000 Updated portfolio data from servicer/additional program initial 

cap $ 354,510,000 Updated portfolio data from servicer

$ 278,900,000 Updated portfolio data from servicer

$ 280,000,000 Transfer of cap due to servicing transfer

$ 283,763,685 Updated portfolio data from servicer

$ 284,063,685 Transfer of cap due to servicing transfer

$ 284,063,360 Updated due to quarterly assessment and reallocation

$ 286,463,360 Transfer of cap due to servicing transfer

$ 286,462,976 Updated due to quarterly assessment and reallocation

$ 286,459,384 Updated due to quarterly assessment and reallocation

$ 288,259,384 Transfer of cap due to servicing transfer

$ 288,359,384 Transfer of cap due to servicing transfer

$ 289,359,384 Transfer of cap due to servicing transfer

$ 290,459,384 Transfer of cap due to servicing transfer

$ 290,559,384 Transfer of cap due to servicing transfer

$ 291,409,384 Transfer of cap due to servicing transfer

$ 293,649,384 Transfer of cap due to servicing transfer

$ 293,646,864 Updated due to quarterly assessment and reallocation

$ 295,336,864 Transfer of cap due to servicing transfer

$ 295,306,864 Transfer of cap due to servicing transfer

$ 295,300,232 Updated due to quarterly assessment and reallocation

$ 298,180,232 Transfer of cap due to servicing transfer

$ 299,680,232 Transfer of cap due to servicing transfer

$ 301,720,232 Transfer of cap due to servicing transfer

$ 301,719,129 Updated due to quarterly assessment and reallocation

$ 301,709,129 Transfer of cap due to servicing transfer

$ 306,669,129 Transfer of cap due to servicing transfer

$ 306,639,129 Transfer of cap due to servicing transfer

$ 306,634,950 Updated due to quarterly assessment and reallocation

04/16/2013 $ (70,000) $ 306,564,950 Transfer of cap due to servicing transfer

03/25/2013 $ (4,179)

03/14/2013 $ (30,000)

02/14/2013 $ 4,960,000

01/16/2013 $ (10,000)

12/27/2012 $ (1,103)

12/14/2012 $ 2,040,000

11/15/2012 $ 1,500,000

10/16/2012 $ 2,880,000

09/27/2012 $ (6,632)

08/16/2012 $ (30,000)

07/16/2012 $ 1,690,000

06/28/2012 $ (2,520)

06/14/2012 $ 2,240,000

05/16/2012 $ 850,000

04/16/2012 $ 100,000

02/16/2012 $ 1,100,000

11/16/2011 $ 1,000,000

09/15/2011 $ 100,000

08/16/2011 $ 1,800,000

06/29/2011 $ (3,592)

03/30/2011 $ (384)

01/13/2011 $ 2,400,000

01/06/2011 $ (325)

12/15/2010 $ 300,000

09/30/2010 $ 3,763,685

08/13/2010 $ 1,100,000

07/14/2010 $ (75,610,000)

03/26/2010 $ 74,520,000

12/30/2009 $ 57,980,000

09/30/2009 $ 90,990,000

######## Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (63,980,000)

08/16/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

06/21/2018 $ (229)

04/25/2018 $ (1,222)

03/22/2018 $ (618)

02/26/2018 $ (190)

12/21/2017 $ (3,905)

10/26/2017 $ (3,749)

09/26/2017 $ (30,230)

07/26/2017 $ (23)

80
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 308,134,950 Transfer of cap due to servicing transfer

$ 306,254,950 Transfer of cap due to servicing transfer

$ 306,253,428 Updated due to quarterly assessment and reallocation

$ 306,523,428 Transfer of cap due to servicing transfer

$ 311,893,428 Transfer of cap due to servicing transfer

$ 311,892,903 Updated due to quarterly assessment and reallocation

$ 311,652,903 Transfer of cap due to servicing transfer

$ 313,652,903 Transfer of cap due to servicing transfer

$ 315,022,903 Transfer of cap due to servicing transfer

$ 314,149,012 Updated due to quarterly assessment and reallocation

$ 314,269,012 Transfer of cap due to servicing transfer

$ 314,549,012 Transfer of cap due to servicing transfer

$ 314,599,012 Transfer of cap due to servicing transfer

$ 314,568,928 Updated due to quarterly assessment and reallocation

$ 317,228,928 Transfer of cap due to servicing transfer

$ 316,798,928 Transfer of cap due to servicing transfer

$ 316,668,928 Transfer of cap due to servicing transfer

$ 316,317,415 Updated due to quarterly assessment and reallocation

$ 292,857,415 Transfer of cap due to servicing transfer

$ 292,235,817 Updated due to quarterly assessment and reallocation

$ 291,675,817 Transfer of cap due to servicing transfer

$ 300,485,817 Transfer of cap due to servicing transfer

$ 300,280,446 Updated due to quarterly assessment and reallocation

$ 280,680,446 Transfer of cap due to servicing transfer

$ 280,690,446 Transfer of cap due to servicing transfer

$ 280,740,446 Transfer of cap due to servicing transfer

$ 265,812,979 Updated due to quarterly assessment and reallocation

$ 298,042,979 Transfer of cap due to servicing transfer

$ 298,022,979 Transfer of cap due to servicing transfer

$ 289,895,859 Updated due to quarterly assessment and reallocation

$ 289,935,859 Transfer of cap due to servicing transfer

$ 258,130,493 Updated due to quarterly assessment and reallocation

$ 258,100,493 Transfer of cap due to servicing transfer

$ 267,890,493 Transfer of cap due to servicing transfer

$ 259,713,227 Updated due to quarterly assessment and reallocation

$ 259,443,227 Transfer of cap due to servicing transfer

$ 259,293,227 Transfer of cap due to servicing transfer

$ 258,613,227 Transfer of cap due to servicing transfer

$ 248,410,187 Updated due to quarterly assessment and reallocation

$ 247,680,187 Transfer of cap due to servicing transfer

$ 247,140,187 Transfer of cap due to servicing transfer

$ 247,090,187 Transfer of cap due to servicing transfer

$ 240,510,502 Updated due to quarterly assessment and reallocation

$ 240,090,502 Transfer of cap due to servicing transfer

$ 240,120,502 Transfer of cap due to servicing transfer

$ 216,098,728 Reallocation due to MHA program deobligation

$ 220,808,728 Transfer of cap due to servicing transfer

$ 220,228,042 Updated due to quarterly assessment and reallocation

$ 226,668,042 Transfer of cap due to servicing transfer

$ 235,218,042 Transfer of cap due to servicing transfer

$ 228,418,173 Updated due to quarterly assessment and reallocation

$ 228,038,173 Transfer of cap due to servicing transfer

$ 224,175,500 Updated due to quarterly assessment and reallocation

$ 227,825,500 Transfer of cap due to servicing transfer

$ 223,717,819 Updated due to quarterly assessment and reallocation

$ 230,247,819 Transfer of cap due to servicing transfer

$ 230,027,819 Transfer of cap due to servicing transfer

$ 221,642,548 Updated due to quarterly assessment and reallocation

$ 284,142,548 Transfer of cap due to servicing transfer

$ 237,006,936 Updated due to quarterly assessment and reallocation

$ 255,179,371 Updated due to quarterly assessment and reallocation

$ 254,989,371 Transfer of cap due to servicing transfer

$ 254,582,423 Updated due to quarterly assessment and reallocation

$ 255,302,423 Transfer of cap due to servicing transfer

$ 255,241,371 Transfer of cap due to servicing transfer

$ 257,131,371 Transfer of cap due to servicing transfer

$ 258,291,371 Transfer of cap due to servicing transfer

$ 257,233,793 Transfer of cap due to servicing transfer

$ 258,213,793 Transfer of cap due to servicing transfer

04/26/2017 $ (69,282) $ 258,144,511 Transfer of cap due to servicing transfer

03/16/2017 $ 980,000

02/27/2017 $ (1,057,578)

02/16/2017 $ 1,160,000

01/13/2017 $ 1,890,000

12/27/2016 $ (61,052)

12/15/2016 $ 720,000

11/29/2016 $ (406,948)

11/16/2016 $ (190,000)

11/07/2016 $ 18,172,435

10/25/2016 $ (47,135,612)

10/14/2016 $ 62,500,000

09/28/2016 $ (8,385,271)

09/15/2016 $ (220,000)

08/16/2016 $ 6,530,000

07/27/2016 $ (4,107,681)

07/14/2016 $ 3,650,000

06/27/2016 $ (3,862,673)

06/16/2016 $ (380,000)

05/31/2016 $ (6,799,869)

05/16/2016 $ 8,550,000

04/14/2016 $ 6,440,000

03/28/2016 $ (580,686)

03/16/2016 $ 4,710,000

02/25/2016 $ (24,021,774)

02/16/2016 $ 30,000

01/14/2016 $ (420,000)

12/28/2015 $ (6,579,685)

12/16/2015 $ (50,000)

11/16/2015 $ (540,000)

10/15/2015 $ (730,000)

09/28/2015 $ (10,203,040)

09/16/2015 $ (680,000)

08/14/2015 $ (150,000)

07/16/2015 $ (270,000)

06/25/2015 $ (8,177,266)

06/16/2015 $ 9,790,000

05/14/2015 $ (30,000)

04/28/2015 $ (31,805,366)

04/16/2015 $ 40,000

03/26/2015 $ (8,127,120)

03/16/2015 $ (20,000)

01/15/2015 $ 32,230,000

12/29/2014 $ (14,927,467)

12/16/2014 $ 50,000

11/14/2014 $ 10,000

10/16/2014 $ (19,600,000)

09/29/2014 $ (205,371)

09/16/2014 $ 8,810,000

08/14/2014 $ (560,000)

07/29/2014 $ (621,598)

07/16/2014 $ (23,460,000)

06/26/2014 $ (351,513)

06/16/2014 $ (130,000)

05/15/2014 $ (430,000)

04/16/2014 $ 2,660,000

03/26/2014 $ (30,084)

03/14/2014 $ 50,000

02/13/2014 $ 280,000

01/16/2014 $ 120,000

12/23/2013 $ (873,891)

12/16/2013 $ 1,370,000

11/14/2013 $ 2,000,000

10/15/2013 $ (240,000)

09/27/2013 $ (525)

09/16/2013 $ 5,370,000

07/16/2013 $ 270,000

06/27/2013 $ (1,522)

06/14/2013 $ (1,880,000)

05/16/2013 $ 1,570,000

81
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 257,782,602 Transfer of cap due to servicing transfer

$ 257,771,526 Transfer of cap due to servicing transfer

$ 248,577,396 Transfer of cap due to servicing transfer

$ 266,562,880 Transfer of cap due to servicing transfer

$ 266,101,819 Transfer of cap due to servicing transfer

$ 266,079,172 Transfer of cap due to servicing transfer

$ 265,941,585 Transfer of cap due to servicing transfer

$ 288,378,888 Transfer of cap due to servicing transfer

$ 288,351,245 Transfer of cap due to servicing transfer

CCO Mortgage, a division of RBS 

Citizens NA Glen Allen VA $ 16,520,000 N/A $ 29,590,000 Updated portfolio data from servicer/additional program initial cap

$ 175,100,000 Updated portfolio data from servicer/additional program initial 

cap $ 58,150,000 Updated portfolio data from servicer

$ 34,800,000 Updated portfolio data from servicer

$ 42,646,346 Updated portfolio data from servicer

$ 42,646,300 Updated due to quarterly assessment and reallocation

$ 42,646,245 Updated due to quarterly assessment and reallocation

$ 42,645,793 Updated due to quarterly assessment and reallocation

$ 42,645,484 Updated due to quarterly assessment and reallocation

$ 42,644,677 Updated due to quarterly assessment and reallocation

$ 42,644,546 Updated due to quarterly assessment and reallocation

$ 42,644,071 Updated due to quarterly assessment and reallocation

$ 42,643,896 Updated due to quarterly assessment and reallocation

$ 42,643,834 Updated due to quarterly assessment and reallocation

$ 42,546,388 Updated due to quarterly assessment and reallocation

$ 42,543,187 Updated due to quarterly assessment and reallocation

$ 42,507,313 Updated due to quarterly assessment and reallocation

$ 42,437,998 Updated due to quarterly assessment and reallocation

$ 42,416,617 Updated due to quarterly assessment and reallocation

$ 41,455,742 Updated due to quarterly assessment and reallocation

$ 41,148,635 Updated due to quarterly assessment and reallocation

$ 44,446,004 Updated due to quarterly assessment and reallocation

$ 44,414,577 Updated due to quarterly assessment and reallocation

$ 46,724,010 Updated due to quarterly assessment and reallocation

$ 46,704,010 Transfer of cap due to servicing transfer

$ 48,015,824 Updated due to quarterly assessment and reallocation

$ 46,348,766 Reallocation due to MHA program deobligation

$ 46,323,844 Updated due to quarterly assessment and reallocation

$ 46,238,637 Updated due to quarterly assessment and reallocation

$ 46,213,962 Updated due to quarterly assessment and reallocation

$ 46,481,808 Updated due to quarterly assessment and reallocation

$ 46,640,547 Updated due to quarterly assessment and reallocation

$ 39,950,547 Transfer of cap due to servicing transfer

$ 39,626,603 Updated due to quarterly assessment and reallocation

$ 39,751,495 Updated due to quarterly assessment and reallocation

$ 39,733,192 Updated due to quarterly assessment and reallocation

$ 38,873,192 Transfer of cap due to servicing transfer

$ 38,871,180 Transfer of cap due to servicing transfer

$ 38,841,438 Transfer of cap due to servicing transfer

$ 38,839,519 Transfer of cap due to servicing transfer

$ 38,823,389 Transfer of cap due to servicing transfer

$ 38,822,888 Transfer of cap due to servicing transfer

$ 39,316,428 Transfer of cap due to servicing transfer

$ 39,307,831 Transfer of cap due to servicing transfer

$ 39,285,085 Transfer of cap due to servicing transfer

$ 39,274,075 Transfer of cap due to servicing transfer

$ 39,235,417 Transfer of cap due to servicing transfer

$ 39,156,846 Transfer of cap due to servicing transfer

$ 39,140,777 Transfer of cap due to servicing transfer

Cenlar FSB Ewing NJ - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

Central Florida Educators Federal 

Credit Union Lake Mary FL $ 1,250,000 N/A $ 1,530,000 Updated portfolio data from servicer/additional program initial cap

$ 780,000 Updated portfolio data from servicer/additional program initial 

cap $ 900,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,327 Updated due to quarterly assessment and reallocation

$ 892,044 Updated due to quarterly assessment and reallocation

09/27/2012 $ 190,077 $ 1,082,121 Updated due to quarterly assessment and reallocation

06/28/2012 $ 21,717

06/29/2011 $ (5)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 270,334

07/14/2010 $ (300,000)

03/26/2010 $ 120,000

12/30/2009 $ (750,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 280,000

######## Purchase Financial Instrument for Home Loan Modifications 11/16/2015 $ 10,000

06/21/2018 $ (16,069)

04/25/2018 $ (78,571)

03/22/2018 $ (38,658)

02/26/2018 $ (11,010)

12/21/2017 $ (22,746)

10/26/2017 $ (8,597)

09/26/2017 $ 493,540

07/26/2017 $ (501)

06/26/2017 $ (16,130)

04/26/2017 $ (1,919)

02/27/2017 $ (29,742)

12/27/2016 $ (2,012)

12/15/2016 $ (860,000)

11/29/2016 $ (18,303)

11/07/2016 $ 124,892

10/25/2016 $ (323,944)

10/14/2016 $ (6,690,000)

09/28/2016 $ 158,739

07/27/2016 $ 267,846

06/27/2016 $ (24,675)

05/31/2016 $ (85,207)

03/28/2016 $ (24,922)

02/25/2016 $ (1,667,058)

12/28/2015 $ 1,311,814

10/15/2015 $ (20,000)

09/28/2015 $ 2,309,433

06/25/2015 $ (31,427)

04/28/2015 $ 3,297,369

03/26/2015 $ (307,107)

12/29/2014 $ (960,875)

09/29/2014 $ (21,381)

07/29/2014 $ (69,315)

06/26/2014 $ (35,874)

03/26/2014 $ (3,201)

12/23/2013 $ (97,446)

09/27/2013 $ (62)

06/27/2013 $ (175)

03/25/2013 $ (475)

12/27/2012 $ (131)

09/27/2012 $ (807)

06/28/2012 $ (309)

06/29/2011 $ (452)

03/30/2011 $ (55)

01/06/2011 $ (46)

09/30/2010 $ 7,846,346

07/14/2010 $ (23,350,000)

03/26/2010 $ (116,950,000)

12/30/2009 $ 145,510,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 13,070,000

06/21/2018 $ (27,643)

04/25/2018 $ 22,437,303

03/22/2018 $ (137,587)

02/26/2018 $ (22,647)

12/21/2017 $ (461,061)

10/26/2017 $ 17,985,484

09/26/2017 $ (9,194,130)

07/26/2017 $ (11,076)

06/26/2017 $ (361,909)

82
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,118,087 Updated due to quarterly assessment and reallocation

$ 1,177,551 Updated due to quarterly assessment and reallocation

$ 1,212,989 Updated due to quarterly assessment and reallocation

$ 1,239,915 Updated due to quarterly assessment and reallocation

$ 1,326,960 Updated due to quarterly assessment and reallocation

$ 1,358,164 Updated due to quarterly assessment and reallocation

$ 1,426,423 Updated due to quarterly assessment and reallocation

$ 1,426,421 Updated due to quarterly assessment and reallocation

$ 1,426,400 Updated due to quarterly assessment and reallocation

$ 1,867,716 Updated due to quarterly assessment and reallocation

$ 1,867,176 Updated due to quarterly assessment and reallocation

$ 1,900,763 Updated due to quarterly assessment and reallocation

$ 1,931,589 Updated due to quarterly assessment and reallocation

$ 1,929,635 Updated due to quarterly assessment and reallocation

$ 1,933,499 Updated due to quarterly assessment and reallocation

$ 1,870,910 Reallocation due to MHA program deobligation

$ 1,869,599 Updated due to quarterly assessment and reallocation

$ 1,864,079 Updated due to quarterly assessment and reallocation

$ 1,860,750 Updated due to quarterly assessment and reallocation

$ 1,857,376 Updated due to quarterly assessment and reallocation

$ 1,848,264 Updated due to quarterly assessment and reallocation

$ 1,839,436 Updated due to quarterly assessment and reallocation

$ 1,842,839 Updated due to quarterly assessment and reallocation

$ 1,841,990 Updated due to quarterly assessment and reallocation

$ 1,841,860 Transfer of cap due to servicing transfer

$ 1,839,289 Transfer of cap due to servicing transfer

$ 1,839,103 Transfer of cap due to servicing transfer

$ 1,837,670 Transfer of cap due to servicing transfer

$ 1,837,627 Transfer of cap due to servicing transfer

$ 1,823,243 Transfer of cap due to servicing transfer

$ 1,821,450 Transfer of cap due to servicing transfer

$ 1,818,060 Transfer of cap due to servicing transfer

$ 1,817,895 Transfer of cap due to servicing transfer

$ 1,817,358 Transfer of cap due to servicing transfer

$ 1,815,420 Transfer of cap due to servicing transfer

$ 1,815,056 Transfer of cap due to servicing transfer

Central Jersey Federal Credit Union Woodbridge NJ $ 30,000 N/A $ 40,000 Updated portfolio data from servicer/additional program initial 

cap $ 160,000 Updated portfolio data from servicer/additional program initial 

cap $ 170,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Central Pacific Bank Honolulu HI - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Centrue Bank Ottawa IL $ 1,900,000 N/A $ 2,756,056 Updated portfolio data from servicer

$ 2,756,052 Updated due to quarterly assessment and reallocation

- Termination of SPA

Chase Home Finance, LLC Iselin NJ $ 3,552,000,000 N/A 1 - Termination of SPA

Cheviot Savings Bank Cincinnati OH - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 11,344 Updated due to quarterly assessment and reallocation

$ 17,594 Updated due to quarterly assessment and reallocation

$ 17,593 Transfer of cap due to servicing transfer

CIT Bank, N.A. (OneWest Bank, N.A.) Pasadena CA $ 668,440,000 N/A $ 814,240,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,170,170,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,291,350,000 Updated portfolio data from servicer

$ 1,882,500,000 Updated portfolio data from servicer

$ 1,888,000,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,836,258,837 Updated portfolio data from servicer

$ 1,836,256,555 Updated due to quarterly assessment and reallocation

$ 1,836,253,881 Updated due to quarterly assessment and reallocation

$ 1,836,229,265 Updated due to quarterly assessment and reallocation

$ 1,836,213,784 Updated due to quarterly assessment and reallocation

$ 1,836,173,178 Updated due to quarterly assessment and reallocation

$ 1,836,166,490 Updated due to quarterly assessment and reallocation

$ 1,836,141,679 Updated due to quarterly assessment and reallocation

$ 1,836,132,621 Updated due to quarterly assessment and reallocation

$ 1,836,129,467 Updated due to quarterly assessment and reallocation

$ 1,835,629,467 Transfer of cap due to servicing transfer

$ 1,831,189,467 Transfer of cap due to servicing transfer

$ 1,553,509,467 Transfer of cap due to servicing transfer

12/23/2013 $ (5,188,787) $ 1,548,320,680 Updated due to quarterly assessment and reallocation

12/16/2013 $ (277,680,000)

11/14/2013 $ (4,440,000)

10/15/2013 $ (500,000)

09/27/2013 $ (3,154)

06/27/2013 $ (9,058)

03/25/2013 $ (24,811)

12/27/2012 $ (6,688)

09/27/2012 $ (40,606)

06/28/2012 $ (15,481)

06/29/2011 $ (24,616)

03/30/2011 $ (2,674)

01/06/2011 $ (2,282)

09/30/2010 $ (51,741,163)

09/30/2010 $ 5,500,000

07/14/2010 $ (408,850,000)

03/26/2010 $ 121,180,000

12/30/2009 $ 1,355,930,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 145,800,000

06/15/2017 $ (1)

12/29/2014 $ 6,250

06/27/2013 $ 1,344

######## Purchase Financial Instrument for Home Loan Modifications 06/14/2013 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 07/31/2009 $ (3,552,000,000)

03/09/2011 $ (2,756,052)

01/06/2011 $ (4)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 856,056

######## Purchase Financial Instrument for Home Loan Modifications 03/16/2016 $ 20,000

10/29/2010 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ (70,000)

03/26/2010 $ 10,000

12/30/2009 $ 120,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 10,000

06/21/2018 $ (364)

04/25/2018 $ (1,938)

03/22/2018 $ (537)

02/26/2018 $ (165)

12/21/2017 $ (3,390)

10/26/2017 $ (1,793)

09/26/2017 $ (14,384)

07/26/2017 $ (43)

06/26/2017 $ (1,433)

04/26/2017 $ (186)

02/27/2017 $ (2,571)

12/27/2016 $ (130)

11/29/2016 $ (849)

11/07/2016 $ 3,403

10/25/2016 $ (8,828)

09/28/2016 $ (9,112)

07/27/2016 $ (3,374)

06/27/2016 $ (3,329)

05/31/2016 $ (5,520)

03/28/2016 $ (1,311)

02/25/2016 $ (62,589)

12/28/2015 $ 3,864

09/28/2015 $ (1,954)

06/25/2015 $ 30,826

04/28/2015 $ 33,587

03/26/2015 $ (540)

12/29/2014 $ 441,316

09/29/2014 $ (21)

07/29/2014 $ (2)

06/26/2014 $ 68,259

03/26/2014 $ 31,204

12/23/2013 $ 87,045

09/27/2013 $ 26,926

06/27/2013 $ 35,438

03/25/2013 $ 59,464

12/27/2012 $ 35,966

83
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,522,570,680 Transfer of cap due to servicing transfer

$ 1,522,560,680 Transfer of cap due to servicing transfer

$ 1,516,320,680 Transfer of cap due to servicing transfer

$ 1,516,138,915 Updated due to quarterly assessment and reallocation

$ 1,516,108,915 Transfer of cap due to servicing transfer

$ 1,513,969,153 Updated due to quarterly assessment and reallocation

$ 1,496,349,153 Transfer of cap due to servicing transfer

$ 1,492,115,551 Updated due to quarterly assessment and reallocation

$ 1,492,765,551 Transfer of cap due to servicing transfer

$ 1,491,371,108 Updated due to quarterly assessment and reallocation

$ 1,491,471,108 Transfer of cap due to servicing transfer

$ 1,491,651,108 Transfer of cap due to servicing transfer

$ 1,327,516,049 Updated due to quarterly assessment and reallocation

$ 1,327,536,049 Transfer of cap due to servicing transfer

$ 1,266,060,328 Updated due to quarterly assessment and reallocation

$ 1,266,070,328 Transfer of cap due to servicing transfer

$ 1,024,257,544 Updated due to quarterly assessment and reallocation

$ 1,024,247,544 Transfer of cap due to servicing transfer

$ 1,024,107,544 Transfer of cap due to servicing transfer

$ 967,079,746 Updated due to quarterly assessment and reallocation

$ 966,859,746 Transfer of cap due to servicing transfer

$ 890,889,926 Updated due to quarterly assessment and reallocation

$ 835,043,797 Updated due to quarterly assessment and reallocation

$ 658,301,825 Reallocation due to MHA program deobligation

$ 654,679,212 Updated due to quarterly assessment and reallocation

$ 627,607,454 Updated due to quarterly assessment and reallocation

$ 611,554,693 Updated due to quarterly assessment and reallocation

$ 595,675,553 Updated due to quarterly assessment and reallocation

$ 568,055,410 Updated due to quarterly assessment and reallocation

$ 542,176,874 Updated due to quarterly assessment and reallocation

$ 552,153,959 Updated due to quarterly assessment and reallocation

$ 551,749,897 Updated due to quarterly assessment and reallocation

$ 551,687,205 Transfer of cap due to servicing transfer

$ 551,677,205 Transfer of cap due to servicing transfer

$ 550,605,921 Transfer of cap due to servicing transfer

$ 549,025,921 Transfer of cap due to servicing transfer

$ 548,956,403 Transfer of cap due to servicing transfer

$ 548,418,774 Transfer of cap due to servicing transfer

$ 548,402,447 Transfer of cap due to servicing transfer

$ 539,179,443 Transfer of cap due to servicing transfer

$ 538,004,210 Transfer of cap due to servicing transfer

$ 536,740,353 Transfer of cap due to servicing transfer

$ 536,675,778 Transfer of cap due to servicing transfer

$ 536,456,623 Transfer of cap due to servicing transfer

$ 536,015,087 Transfer of cap due to servicing transfer

$ 535,929,919 Transfer of cap due to servicing transfer

CitiMortgage, Inc. O'Fallon MO $ 2,071,000,000 N/A $ 1,079,420,000 Updated portfolio data from servicer

$ 2,089,600,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,984,190,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,784,890,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,784,660,000 Transfer of cap due to servicing transfer

$ 1,781,660,000 Transfer of cap due to servicing transfer

$ 1,769,380,000 Transfer of cap due to servicing transfer

$ 1,011,700,000 Updated portfolio data from servicer

$ 1,004,590,000 Transfer of cap due to servicing transfer

$ 998,290,000 Transfer of cap due to servicing transfer

$ 989,990,000 Transfer of cap due to servicing transfer

$ 1,022,390,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,123,677,484 Updated portfolio data from servicer

$ 1,122,277,484 Transfer of cap due to servicing transfer

$ 1,119,077,484 Transfer of cap due to servicing transfer

$ 1,119,076,503 Updated due to quarterly assessment and reallocation

$ 1,108,576,503 Transfer of cap due to servicing transfer

$ 1,103,976,503 Transfer of cap due to servicing transfer

$ 1,073,476,503 Transfer of cap due to servicing transfer

$ 1,073,475,472 Updated due to quarterly assessment and reallocation

$ 1,073,575,472 Transfer of cap due to servicing transfer

$ 1,066,375,472 Transfer of cap due to servicing transfer

$ 1,065,975,472 Transfer of cap due to servicing transfer

06/29/2011 $ (9,131) $ 1,065,966,341 Updated due to quarterly assessment and reallocation

06/16/2011 $ (400,000)

05/13/2011 $ (7,200,000)

04/13/2011 $ 100,000

03/30/2011 $ (1,031)

03/16/2011 $ (30,500,000)

02/16/2011 $ (4,600,000)

01/13/2011 $ (10,500,000)

01/06/2011 $ (981)

11/16/2010 $ (3,200,000)

10/15/2010 $ (1,400,000)

09/30/2010 $ 101,287,484

09/30/2010 $ 32,400,000

09/15/2010 $ (8,300,000)

08/13/2010 $ (6,300,000)

07/16/2010 $ (7,110,000)

07/14/2010 $ (757,680,000)

06/16/2010 $ (12,280,000)

05/14/2010 $ (3,000,000)

04/19/2010 $ (230,000)

03/26/2010 $ (199,300,000)

12/30/2009 $ (105,410,000)

09/30/2009 $ 1,010,180,000

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ (991,580,000)

06/21/2018 $ (85,168)

04/25/2018 $ (441,536)

03/22/2018 $ (219,155)

02/26/2018 $ (64,575)

12/21/2017 $ (1,263,857)

10/26/2017 $ (1,175,233)

09/26/2017 $ (9,223,004)

07/26/2017 $ (16,327)

06/26/2017 $ (537,629)

04/26/2017 $ (69,518)

03/16/2017 $ (1,580,000)

02/27/2017 $ (1,071,284)

02/16/2017 $ (10,000)

12/27/2016 $ (62,692)

11/29/2016 $ (404,062)

11/07/2016 $ 9,977,085

10/25/2016 $ (25,878,536)

09/28/2016 $ (27,620,143)

07/27/2016 $ (15,879,140)

06/27/2016 $ (16,052,761)

05/31/2016 $ (27,071,758)

03/28/2016 $ (3,622,613)

02/25/2016 $ (176,741,972)

12/28/2015 $ (55,846,129)

09/28/2015 $ (75,969,820)

07/16/2015 $ (220,000)

06/25/2015 $ (57,027,798)

06/16/2015 $ (140,000)

05/14/2015 $ (10,000)

04/28/2015 $ (241,812,784)

04/16/2015 $ 10,000

03/26/2015 $ (61,475,721)

01/15/2015 $ 20,000

12/29/2014 $ (164,135,059)

12/16/2014 $ 180,000

11/14/2014 $ 100,000

09/29/2014 $ (1,394,443)

09/16/2014 $ 650,000

07/29/2014 $ (4,233,602)

07/16/2014 $ (17,620,000)

06/26/2014 $ (2,139,762)

06/16/2014 $ (30,000)

03/26/2014 $ (181,765)

03/14/2014 $ (6,240,000)

02/13/2014 $ (10,000)

01/16/2014 $ (25,750,000)

84
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,051,466,341 Transfer of cap due to servicing transfer

$ 1,049,866,341 Transfer of cap due to servicing transfer

$ 1,050,566,341 Transfer of cap due to servicing transfer

$ 1,065,766,341 Transfer of cap due to servicing transfer

$ 1,062,866,341 Transfer of cap due to servicing transfer

$ 1,057,866,341 Transfer of cap due to servicing transfer

$ 1,056,966,341 Transfer of cap due to servicing transfer

$ 1,055,866,341 Transfer of cap due to servicing transfer

$ 1,054,166,341 Transfer of cap due to servicing transfer

$ 1,053,566,341 Transfer of cap due to servicing transfer

$ 1,053,226,341 Transfer of cap due to servicing transfer

$ 1,050,346,341 Transfer of cap due to servicing transfer

$ 1,050,340,843 Updated due to quarterly assessment and reallocation

$ 751,380,843 Transfer of cap due to servicing transfer

$ 1,014,930,843 Transfer of cap due to servicing transfer

$ 1,014,960,843 Transfer of cap due to servicing transfer

$ 1,014,948,121 Updated due to quarterly assessment and reallocation

$ 1,010,928,121 Transfer of cap due to servicing transfer

$ 1,009,468,121 Transfer of cap due to servicing transfer

$ 1,003,468,121 Transfer of cap due to servicing transfer

$ 1,003,466,205 Updated due to quarterly assessment and reallocation

$ 995,016,205 Transfer of cap due to servicing transfer

$ 993,126,205 Transfer of cap due to servicing transfer

$ 993,119,599 Updated due to quarterly assessment and reallocation

$ 989,629,599 Transfer of cap due to servicing transfer

$ 985,999,599 Transfer of cap due to servicing transfer

$ 985,997,438 Updated due to quarterly assessment and reallocation

$ 959,117,438 Transfer of cap due to servicing transfer

$ 946,957,438 Transfer of cap due to servicing transfer

$ 946,956,828 Updated due to quarterly assessment and reallocation

$ 908,006,828 Transfer of cap due to servicing transfer

$ 899,406,828 Transfer of cap due to servicing transfer

$ 898,637,129 Updated due to quarterly assessment and reallocation

$ 893,277,129 Transfer of cap due to servicing transfer

$ 885,597,129 Transfer of cap due to servicing transfer

$ 882,647,129 Transfer of cap due to servicing transfer

$ 882,625,302 Updated due to quarterly assessment and reallocation

$ 882,565,302 Transfer of cap due to servicing transfer

$ 882,535,302 Transfer of cap due to servicing transfer

$ 882,205,302 Transfer of cap due to servicing transfer

$ 882,009,540 Updated due to quarterly assessment and reallocation

$ 881,579,540 Transfer of cap due to servicing transfer

$ 881,201,976 Updated due to quarterly assessment and reallocation

$ 880,121,976 Transfer of cap due to servicing transfer

$ 880,029,481 Updated due to quarterly assessment and reallocation

$ 878,519,481 Transfer of cap due to servicing transfer

$ 878,549,481 Transfer of cap due to servicing transfer

$ 875,639,481 Transfer of cap due to servicing transfer

$ 969,728,706 Updated due to quarterly assessment and reallocation

$ 935,078,706 Transfer of cap due to servicing transfer

$ 932,638,706 Transfer of cap due to servicing transfer

$ 913,528,706 Transfer of cap due to servicing transfer

$ 989,880,066 Updated due to quarterly assessment and reallocation

$ 983,130,066 Transfer of cap due to servicing transfer

$ 1,040,729,990 Updated due to quarterly assessment and reallocation

$ 1,013,649,990 Transfer of cap due to servicing transfer

$ 934,579,990 Transfer of cap due to servicing transfer

$ 1,020,831,396 Updated due to quarterly assessment and reallocation

$ 1,020,801,396 Transfer of cap due to servicing transfer

$ 1,002,481,396 Transfer of cap due to servicing transfer

$ 1,002,191,396 Transfer of cap due to servicing transfer

$ 1,026,222,572 Updated due to quarterly assessment and reallocation

$ 1,026,212,572 Transfer of cap due to servicing transfer

$ 1,023,782,572 Transfer of cap due to servicing transfer

$ 1,010,142,572 Transfer of cap due to servicing transfer

$ 1,030,468,319 Updated due to quarterly assessment and reallocation

$ 1,030,028,319 Transfer of cap due to servicing transfer

$ 1,029,778,319 Transfer of cap due to servicing transfer

$ 995,220,778 Reallocation due to MHA program deobligation

03/16/2016 $ (6,120,000) $ 989,100,778 Transfer of cap due to servicing transfer

02/25/2016 $ (34,557,541)

02/16/2016 $ (250,000)

01/14/2016 $ (440,000)

12/28/2015 $ 20,325,747

12/16/2015 $ (13,640,000)

11/16/2015 $ (2,430,000)

10/15/2015 $ (10,000)

09/28/2015 $ 24,031,176

09/16/2015 $ (290,000)

08/14/2015 $ (18,320,000)

07/16/2015 $ (30,000)

06/25/2015 $ 86,251,406

06/16/2015 $ (79,070,000)

05/14/2015 $ (27,080,000)

04/28/2015 $ 57,599,924

04/16/2015 $ (6,750,000)

03/26/2015 $ 76,351,360

03/16/2015 $ (19,110,000)

02/13/2015 $ (2,440,000)

01/15/2015 $ (34,650,000)

12/29/2014 $ 94,089,225

12/16/2014 $ (2,910,000)

11/14/2014 $ 30,000

10/16/2014 $ (1,510,000)

09/29/2014 $ (92,495)

08/14/2014 $ (1,080,000)

07/29/2014 $ (377,564)

07/16/2014 $ (430,000)

06/26/2014 $ (195,762)

06/16/2014 $ (330,000)

05/15/2014 $ (30,000)

04/16/2014 $ (60,000)

03/26/2014 $ (21,827)

03/14/2014 $ (2,950,000)

02/13/2014 $ (7,680,000)

01/16/2014 $ (5,360,000)

12/23/2013 $ (769,699)

12/16/2013 $ (8,600,000)

11/14/2013 $ (38,950,000)

09/27/2013 $ (610)

09/16/2013 $ (12,160,000)

07/16/2013 $ (26,880,000)

06/27/2013 $ (2,161)

06/14/2013 $ (3,630,000)

04/16/2013 $ (3,490,000)

03/25/2013 $ (6,606)

03/14/2013 $ (1,890,000)

02/14/2013 $ (8,450,000)

12/27/2012 $ (1,916)

12/14/2012 $ (6,000,000)

11/15/2012 $ (1,460,000)

10/16/2012 $ (4,020,000)

09/27/2012 $ (12,722)

08/16/2012 $ 30,000

07/27/2012 $ 263,550,000

07/16/2012 $ (298,960,000)

06/28/2012 $ (5,498)

06/14/2012 $ (2,880,000)

05/16/2012 $ (340,000)

04/16/2012 $ (600,000)

03/15/2012 $ (1,700,000)

02/16/2012 $ (1,100,000)

01/13/2012 $ (900,000)

12/15/2011 $ (5,000,000)

11/16/2011 $ (2,900,000)

10/14/2011 $ 15,200,000

09/15/2011 $ 700,000

08/16/2011 $ (1,600,000)

07/14/2011 $ (14,500,000)

85
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 988,512,313 Updated due to quarterly assessment and reallocation

$ 973,522,313 Transfer of cap due to servicing transfer

$ 953,272,313 Transfer of cap due to servicing transfer

$ 966,696,212 Updated due to quarterly assessment and reallocation

$ 949,956,212 Transfer of cap due to servicing transfer

$ 957,236,216 Updated due to quarterly assessment and reallocation

$ 954,276,216 Transfer of cap due to servicing transfer

$ 959,916,321 Updated due to quarterly assessment and reallocation

$ 926,356,321 Transfer of cap due to servicing transfer

$ 922,376,321 Transfer of cap due to servicing transfer

$ 941,743,327 Updated due to quarterly assessment and reallocation

$ 670,383,327 Transfer of cap due to servicing transfer

$ 942,945,782 Updated due to quarterly assessment and reallocation

$ 942,945,782 Updated due to quarterly assessment and reallocation

$ 942,865,782 Transfer of cap due to servicing transfer

$ 942,506,381 Updated due to quarterly assessment and reallocation

$ 941,246,381 Transfer of cap due to servicing transfer

$ 941,198,637 Transfer of cap due to servicing transfer

$ 941,218,637 Transfer of cap due to servicing transfer

$ 939,258,637 Transfer of cap due to servicing transfer

$ 938,720,372 Transfer of cap due to servicing transfer

$ 938,630,372 Transfer of cap due to servicing transfer

$ 938,592,296 Transfer of cap due to servicing transfer

$ 938,246,014 Transfer of cap due to servicing transfer

$ 938,235,157 Transfer of cap due to servicing transfer

$ 944,474,645 Transfer of cap due to servicing transfer

$ 944,753,756 Transfer of cap due to servicing transfer

$ 944,424,077 Transfer of cap due to servicing transfer

$ 944,346,068 Transfer of cap due to servicing transfer

$ 944,224,078 Transfer of cap due to servicing transfer

$ 946,433,312 Transfer of cap due to servicing transfer

$ 946,429,228 Transfer of cap due to servicing transfer

Citizens Community Bank Freeburg IL $ 800,000 N/A $ 1,160,445 Updated portfolio data from servicer

$ 1,160,443 Updated due to quarterly assessment and reallocation

- Termination of SPA

Citizens First National Bank Spring Valley IL $ 620,000 N/A $ 650,000 Updated portfolio data from servicer/additional program initial 

cap $ 70,000 Updated portfolio data from servicer

$ 1,500,000 Updated portfolio data from servicer

$ 1,595,612 Updated portfolio data from servicer

$ 1,595,610 Updated due to quarterly assessment and reallocation

$ 1,595,607 Updated due to quarterly assessment and reallocation

$ 1,595,583 Updated due to quarterly assessment and reallocation

$ 1,595,567 Updated due to quarterly assessment and reallocation

$ 1,595,522 Updated due to quarterly assessment and reallocation

$ 1,595,514 Updated due to quarterly assessment and reallocation

$ 1,595,484 Updated due to quarterly assessment and reallocation

$ 1,595,473 Updated due to quarterly assessment and reallocation

$ 1,595,469 Updated due to quarterly assessment and reallocation

$ 1,588,736 Updated due to quarterly assessment and reallocation

$ 1,588,499 Updated due to quarterly assessment and reallocation

$ 1,498,499 Transfer of cap due to servicing transfer

$ 1,495,659 Updated due to quarterly assessment and reallocation

6 $ 141,806 Termination of SPA

Citizens First Wholesale Mortgage 

Company The Villages FL $ 30,000 N/A $ 20,000 Updated portfolio data from servicer/additional program initial cap

$ 610,000 Updated portfolio data from servicer/additional program initial 

cap $ 30,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Colorado Federal Savings Bank Greenwood Village CO - N/A 3 $ 70,000 Transfer of cap due to servicing transfer

$ 80,000 Transfer of cap due to servicing transfer

$ 320,000 Transfer of cap due to servicing transfer

$ 284,085 Updated due to quarterly assessment and reallocation

$ 274,085 Transfer of cap due to servicing transfer

$ 177,091 Reallocation due to MHA program deobligation

$ 187,091 Transfer of cap due to servicing transfer

$ 184,802 Updated due to quarterly assessment and reallocation

$ 166,887 Updated due to quarterly assessment and reallocation

06/27/2016 $ (10,702) $ 156,185 Updated due to quarterly assessment and reallocation

05/31/2016 $ (17,915)

03/28/2016 $ (2,289)

03/16/2016 $ 10,000

02/25/2016 $ (96,994)

02/16/2016 $ (10,000)

12/28/2015 $ (35,915)

11/16/2015 $ 240,000

10/15/2015 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 03/16/2015 $ 70,000

02/17/2011 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ 70,000

03/26/2010 $ (580,000)

12/30/2009 $ 590,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (10,000)

07/01/2014 $ (1,353,853)

06/26/2014 $ (2,840)

05/15/2014 $ (90,000)

03/26/2014 $ (237)

12/23/2013 $ (6,733)

09/27/2013 $ (4)

06/27/2013 $ (11)

03/25/2013 $ (30)

12/27/2012 $ (8)

09/27/2012 $ (45)

06/28/2012 $ (16)

06/29/2011 $ (24)

03/30/2011 $ (3)

01/06/2011 $ (2)

09/30/2010 $ 95,612

07/14/2010 $ 1,430,000

03/26/2010 $ (580,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

03/23/2011 $ (1,160,443)

01/06/2011 $ (2)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 360,445

06/21/2018 $ (4,084)

04/25/2018 $ 2,209,234

03/22/2018 $ (121,990)

02/26/2018 $ (78,009)

12/21/2017 $ (329,679)

10/26/2017 $ 279,111

09/26/2017 $ 6,239,488

07/26/2017 $ (10,857)

06/26/2017 $ (346,282)

04/26/2017 $ (38,076)

03/16/2017 $ (90,000)

02/27/2017 $ (538,265)

02/16/2017 $ (1,960,000)

01/13/2017 $ 20,000

12/27/2016 $ (47,744)

12/15/2016 $ (1,260,000)

11/29/2016 $ (359,401)

11/16/2016 $ (80,000)

11/07/2016 -

10/25/2016 $ 272,562,455

10/14/2016 $ (271,360,000)

09/28/2016 $ 19,367,006

09/15/2016 $ (3,980,000)

08/16/2016 $ (33,560,000)

07/27/2016 $ 5,640,105

07/14/2016 $ (2,960,000)

06/27/2016 $ 7,280,004

06/16/2016 $ (16,740,000)

05/31/2016 $ 13,423,899

05/16/2016 $ (20,250,000)

04/14/2016 $ (14,990,000)

03/28/2016 $ (588,465)

86
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 145,480 Updated due to quarterly assessment and reallocation

$ 126,759 Updated due to quarterly assessment and reallocation

$ 109,068 Updated due to quarterly assessment and reallocation

$ 115,889 Updated due to quarterly assessment and reallocation

$ 115,767 Updated due to quarterly assessment and reallocation

$ 115,748 Transfer of cap due to servicing transfer

$ 115,424 Transfer of cap due to servicing transfer

$ 115,403 Transfer of cap due to servicing transfer

$ 115,240 Transfer of cap due to servicing transfer

$ 115,235 Transfer of cap due to servicing transfer

$ 108,716 Transfer of cap due to servicing transfer

$ 107,908 Transfer of cap due to servicing transfer

$ 107,066 Transfer of cap due to servicing transfer

$ 107,025 Transfer of cap due to servicing transfer

$ 106,892 Transfer of cap due to servicing transfer

$ 106,628 Transfer of cap due to servicing transfer

$ 106,579 Transfer of cap due to servicing transfer

Columbia Bank Fair Lawn NJ - N/A 3 $ 160,000 Transfer of cap due to servicing transfer

$ 159,928 Updated due to quarterly assessment and reallocation

$ 159,785 Updated due to quarterly assessment and reallocation

$ 159,738 Updated due to quarterly assessment and reallocation

$ 195,347 Updated due to quarterly assessment and reallocation

$ 193,506 Updated due to quarterly assessment and reallocation

$ 182,162 Reallocation due to MHA program deobligation

$ 181,922 Updated due to quarterly assessment and reallocation

$ 180,026 Updated due to quarterly assessment and reallocation

$ 178,862 Updated due to quarterly assessment and reallocation

$ 177,661 Updated due to quarterly assessment and reallocation

$ 175,439 Updated due to quarterly assessment and reallocation

$ 173,274 Updated due to quarterly assessment and reallocation

$ 174,109 Updated due to quarterly assessment and reallocation

$ 173,978 Updated due to quarterly assessment and reallocation

$ 173,958 Transfer of cap due to servicing transfer

$ 173,610 Transfer of cap due to servicing transfer

$ 213,610 Transfer of cap due to servicing transfer

$ 213,540 Transfer of cap due to servicing transfer

$ 213,000 Transfer of cap due to servicing transfer

$ 212,984 Transfer of cap due to servicing transfer

$ 195,519 Transfer of cap due to servicing transfer

$ 193,353 Transfer of cap due to servicing transfer

$ 191,097 Transfer of cap due to servicing transfer

$ 190,987 Transfer of cap due to servicing transfer

$ 190,630 Transfer of cap due to servicing transfer

$ 189,924 Transfer of cap due to servicing transfer

$ 189,792 Transfer of cap due to servicing transfer

Community Bank & Trust Company Clarks Summit PA $ 380,000 N/A $ 390,000 Updated portfolio data from servicer/additional program initial 

cap $ 910,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

- Termination of SPA

Community Credit Union of Florida Rockledge FL $ 2,000,000 N/A $ 2,901,112 Updated portfolio data from servicer

$ 2,901,108 Updated due to quarterly assessment and reallocation

$ 2,901,103 Updated due to quarterly assessment and reallocation

$ 2,901,055 Updated due to quarterly assessment and reallocation

$ 2,901,019 Updated due to quarterly assessment and reallocation

6 $ 12,632 Termination of SPA

CU Mortgage Services, Inc. New Brighton MN $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

12/23/2013 $ (232) $ 144,819 Updated due to quarterly assessment and reallocation

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

09/14/2012 $ (2,888,387)

06/28/2012 $ (36)

06/29/2011 $ (48)

03/30/2011 $ (5)

01/06/2011 $ (4)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 901,112

08/26/2014 $ (144,524)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ (810,000)

03/26/2010 $ 520,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

06/21/2018 $ (132)

04/25/2018 $ (706)

03/22/2018 $ (357)

02/26/2018 $ (110)

12/21/2017 $ (2,256)

10/26/2017 $ (2,166)

09/26/2017 $ (17,465)

07/26/2017 $ (16)

06/26/2017 $ (540)

04/26/2017 $ (70)

03/16/2017 $ 40,000

02/27/2017 $ (348)

12/27/2016 $ (20)

11/29/2016 $ (131)

11/07/2016 $ 835

10/25/2016 $ (2,165)

09/28/2016 $ (2,222)

07/27/2016 $ (1,201)

06/27/2016 $ (1,164)

05/31/2016 $ (1,896)

03/28/2016 $ (240)

02/25/2016 $ (11,344)

12/28/2015 $ (1,841)

12/29/2014 $ 35,609

09/29/2014 $ (47)

07/29/2014 $ (143)

06/26/2014 $ (72)

######## Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 160,000

06/21/2018 $ (49)

04/25/2018 $ (264)

03/22/2018 $ (133)

02/26/2018 $ (41)

12/21/2017 $ (842)

10/26/2017 $ (808)

09/26/2017 $ (6,519)

07/26/2017 $ (5)

06/26/2017 $ (163)

04/26/2017 $ (21)

02/27/2017 $ (324)

12/27/2016 $ (19)

11/29/2016 $ (122)

11/07/2016 $ 6,821

10/25/2016 $ (17,691)

09/28/2016 $ (18,721)

07/27/2016 $ (10,705)

87
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

Desjardins Bank N.A. Hallandale Beach FL - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 40,000 Transfer of cap due to servicing transfer

Digital Federal Credit Union Marlborough MA $ 3,050,000 N/A $ 15,240,000 Updated portfolio data from servicer

- Termination of SPA

Ditech Financial LLC (Green Tree 

Servicing LLC) Saint Paul MN $ 156,000,000 N/A $ 91,010,000 Updated portfolio data from servicer

$ 221,790,000 Updated portfolio data from servicer/additional program initial 

cap $ 105,040,000 Updated portfolio data from servicer/additional program initial 

cap $ 118,120,000 Updated portfolio data from servicer

$ 93,900,000 Updated portfolio data from servicer

$ 94,110,000 Transfer of cap due to servicing transfer

$ 96,310,000 Transfer of cap due to servicing transfer

$ 130,910,000 Updated portfolio data from servicer/additional program initial 

cap $ 136,510,000 Updated portfolio data from servicer/additional program initial 

cap $ 146,695,090 Updated portfolio data from servicer

$ 147,095,090 Transfer of cap due to servicing transfer

$ 147,094,877 Updated due to quarterly assessment and reallocation

$ 147,094,627 Updated due to quarterly assessment and reallocation

$ 148,294,627 Transfer of cap due to servicing transfer

$ 148,394,627 Transfer of cap due to servicing transfer

$ 148,392,325 Updated due to quarterly assessment and reallocation

$ 150,292,325 Transfer of cap due to servicing transfer

$ 150,492,325 Transfer of cap due to servicing transfer

$ 150,692,325 Transfer of cap due to servicing transfer

$ 151,092,325 Transfer of cap due to servicing transfer

$ 151,992,325 Transfer of cap due to servicing transfer

$ 152,092,325 Transfer of cap due to servicing transfer

$ 155,352,325 Transfer of cap due to servicing transfer

$ 156,272,325 Transfer of cap due to servicing transfer

$ 156,270,703 Updated due to quarterly assessment and reallocation

$ 156,380,703 Transfer of cap due to servicing transfer

$ 161,500,703 Transfer of cap due to servicing transfer

$ 161,496,194 Updated due to quarterly assessment and reallocation

$ 170,306,194 Transfer of cap due to servicing transfer

$ 173,216,194 Transfer of cap due to servicing transfer

$ 173,215,392 Updated due to quarterly assessment and reallocation

$ 183,425,392 Transfer of cap due to servicing transfer

$ 183,422,369 Updated due to quarterly assessment and reallocation

$ 183,562,369 Transfer of cap due to servicing transfer

$ 183,561,292 Updated due to quarterly assessment and reallocation

$ 190,771,292 Transfer of cap due to servicing transfer

$ 197,501,292 Transfer of cap due to servicing transfer

$ 197,500,904 Updated due to quarterly assessment and reallocation

$ 201,110,904 Transfer of cap due to servicing transfer

$ 200,790,904 Transfer of cap due to servicing transfer

12/16/2013 $ 21,280,000 $ 222,070,904 Transfer of cap due to servicing transfer

11/14/2013 $ (320,000)

10/15/2013 $ 3,610,000

09/27/2013 $ (388)

08/15/2013 $ 6,730,000

07/16/2013 $ 7,210,000

06/27/2013 $ (1,077)

05/16/2013 $ 140,000

03/25/2013 $ (3,023)

02/14/2013 $ 10,210,000

12/27/2012 $ (802)

11/15/2012 $ 2,910,000

10/16/2012 $ 8,810,000

09/27/2012 $ (4,509)

08/16/2012 $ 5,120,000

07/16/2012 $ 110,000

06/28/2012 $ (1,622)

06/14/2012 $ 920,000

05/16/2012 $ 3,260,000

03/15/2012 $ 100,000

02/16/2012 $ 900,000

11/16/2011 $ 400,000

10/14/2011 $ 200,000

09/15/2011 $ 200,000

07/14/2011 $ 1,900,000

06/29/2011 $ (2,302)

06/16/2011 $ 100,000

05/13/2011 $ 1,200,000

03/30/2011 $ (250)

01/06/2011 $ (213)

10/15/2010 $ 400,000

09/30/2010 $ 10,185,090

09/30/2010 $ 5,600,000

09/10/2010 $ 34,600,000

08/13/2010 $ 2,200,000

07/16/2010 $ 210,000

07/14/2010 $ (24,220,000)

03/26/2010 $ 13,080,000

12/30/2009 $ (116,750,000)

09/30/2009 $ 130,780,000

######## Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (64,990,000)

05/14/2010 $ (15,240,000)

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 12,190,000

09/16/2014 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 12/16/2013 $ 30,000

07/14/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

88
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 221,360,553 Updated due to quarterly assessment and reallocation

$ 223,060,553 Transfer of cap due to servicing transfer

$ 223,038,153 Updated due to quarterly assessment and reallocation

$ 225,318,153 Transfer of cap due to servicing transfer

$ 238,128,153 Transfer of cap due to servicing transfer

$ 236,128,153 Transfer of cap due to servicing transfer

$ 235,865,618 Updated due to quarterly assessment and reallocation

$ 235,995,618 Transfer of cap due to servicing transfer

$ 235,495,832 Updated due to quarterly assessment and reallocation

$ 233,555,832 Transfer of cap due to servicing transfer

$ 233,935,832 Transfer of cap due to servicing transfer

$ 233,785,166 Updated due to quarterly assessment and reallocation

$ 232,665,166 Transfer of cap due to servicing transfer

$ 233,425,166 Transfer of cap due to servicing transfer

$ 239,335,166 Transfer of cap due to servicing transfer

$ 229,163,417 Updated due to quarterly assessment and reallocation

$ 228,393,417 Transfer of cap due to servicing transfer

$ 234,393,417 Transfer of cap due to servicing transfer

$ 232,993,417 Transfer of cap due to servicing transfer

$ 229,994,077 Updated due to quarterly assessment and reallocation

$ 228,554,077 Transfer of cap due to servicing transfer

$ 635,437,651 Updated due to quarterly assessment and reallocation

$ 639,277,651 Transfer of cap due to servicing transfer

$ 641,210,946 Updated due to quarterly assessment and reallocation

$ 647,690,946 Transfer of cap due to servicing transfer

$ 647,850,946 Transfer of cap due to servicing transfer

$ 647,120,946 Transfer of cap due to servicing transfer

$ 648,435,577 Updated due to quarterly assessment and reallocation

$ 648,405,577 Transfer of cap due to servicing transfer

$ 646,605,577 Transfer of cap due to servicing transfer

$ 646,114,055 Updated due to quarterly assessment and reallocation

$ 646,104,055 Transfer of cap due to servicing transfer

$ 643,284,055 Transfer of cap due to servicing transfer

$ 585,466,086 Reallocation due to MHA program deobligation

$ 586,996,086 Transfer of cap due to servicing transfer

$ 585,610,807 Updated due to quarterly assessment and reallocation

$ 589,470,807 Transfer of cap due to servicing transfer

$ 587,930,807 Transfer of cap due to servicing transfer

$ 576,554,183 Updated due to quarterly assessment and reallocation

$ 570,774,183 Transfer of cap due to servicing transfer

$ 561,807,631 Updated due to quarterly assessment and reallocation

$ 555,267,631 Transfer of cap due to servicing transfer

$ 545,694,448 Updated due to quarterly assessment and reallocation

$ 549,844,448 Transfer of cap due to servicing transfer

$ 551,324,448 Transfer of cap due to servicing transfer

$ 533,392,776 Updated due to quarterly assessment and reallocation

$ 529,022,776 Transfer of cap due to servicing transfer

$ 510,500,542 Updated due to quarterly assessment and reallocation

$ 517,641,514 Updated due to quarterly assessment and reallocation

$ 517,051,514 Transfer of cap due to servicing transfer

$ 516,776,425 Updated due to quarterly assessment and reallocation

$ 514,306,425 Transfer of cap due to servicing transfer

$ 514,257,854 Transfer of cap due to servicing transfer

$ 513,137,854 Transfer of cap due to servicing transfer

$ 512,957,854 Transfer of cap due to servicing transfer

$ 511,998,915 Transfer of cap due to servicing transfer

$ 508,518,915 Transfer of cap due to servicing transfer

$ 508,444,563 Transfer of cap due to servicing transfer

$ 507,767,173 Transfer of cap due to servicing transfer

$ 507,745,277 Transfer of cap due to servicing transfer

$ 483,950,878 Transfer of cap due to servicing transfer

$ 479,265,132 Transfer of cap due to servicing transfer

$ 473,226,024 Transfer of cap due to servicing transfer

$ 472,834,691 Transfer of cap due to servicing transfer

$ 471,525,262 Transfer of cap due to servicing transfer

$ 468,873,782 Transfer of cap due to servicing transfer

$ 468,356,113 Transfer of cap due to servicing transfer

DuPage Credit Union Naperville IL $ 70,000 N/A $ 80,000 Updated portfolio data from servicer/additional program initial 

cap $ 90,000 Updated portfolio data from servicer

07/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

03/26/2010 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

06/21/2018 $ (517,669)

04/25/2018 $ (2,651,480)

03/22/2018 $ (1,309,429)

02/26/2018 $ (391,333)

12/21/2017 $ (6,039,108)

10/26/2017 $ (4,685,746)

09/26/2017 $ (23,794,399)

07/26/2017 $ (21,896)

06/26/2017 $ (677,390)

04/26/2017 $ (74,352)

03/16/2017 $ (3,480,000)

02/27/2017 $ (958,939)

02/16/2017 $ (180,000)

01/13/2017 $ (1,120,000)

12/27/2016 $ (48,571)

12/15/2016 $ (2,470,000)

11/29/2016 $ (275,089)

11/16/2016 $ (590,000)

11/07/2016 $ 7,140,972

10/25/2016 $ (18,522,234)

10/14/2016 $ (4,370,000)

09/28/2016 $ (17,931,672)

09/15/2016 $ 1,480,000

08/16/2016 $ 4,150,000

07/27/2016 $ (9,573,183)

07/14/2016 $ (6,540,000)

06/27/2016 $ (8,966,552)

06/16/2016 $ (5,780,000)

05/31/2016 $ (11,376,624)

05/16/2016 $ (1,540,000)

04/14/2016 $ 3,860,000

03/28/2016 $ (1,385,279)

03/16/2016 $ 1,530,000

02/25/2016 $ (57,817,969)

02/16/2016 $ (2,820,000)

01/14/2016 $ (10,000)

12/28/2015 $ (491,522)

12/16/2015 $ (1,800,000)

11/16/2015 $ (30,000)

09/28/2015 $ 1,314,631

09/16/2015 $ (730,000)

08/14/2015 $ 160,000

07/16/2015 $ 6,480,000

06/25/2015 $ 1,933,295

05/14/2015 $ 3,840,000

04/28/2015 $ 406,883,574

04/16/2015 $ (1,440,000)

03/26/2015 $ (2,999,340)

03/16/2015 $ (1,400,000)

02/13/2015 $ 6,000,000

01/15/2015 $ (770,000)

12/29/2014 $ (10,171,749)

12/16/2014 $ 5,910,000

11/14/2014 $ 760,000

10/16/2014 $ (1,120,000)

09/29/2014 $ (150,666)

09/16/2014 $ 380,000

08/14/2014 $ (1,940,000)

07/29/2014 $ (499,786)

07/16/2014 $ 130,000

06/26/2014 $ (262,535)

06/16/2014 $ (2,000,000)

05/15/2014 $ 12,810,000

04/16/2014 $ 2,280,000

03/26/2014 $ (22,400)

02/13/2014 $ 1,700,000

12/23/2013 $ (710,351)

89
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,053 Updated due to quarterly assessment and reallocation

$ 144,908 Updated due to quarterly assessment and reallocation

$ 144,903 Updated due to quarterly assessment and reallocation

$ 144,844 Updated due to quarterly assessment and reallocation

$ 144,727 Updated due to quarterly assessment and reallocation

$ 144,688 Updated due to quarterly assessment and reallocation

$ 144,311 Updated due to quarterly assessment and reallocation

$ 144,169 Updated due to quarterly assessment and reallocation

$ 217,497 Updated due to quarterly assessment and reallocation

$ 215,238 Updated due to quarterly assessment and reallocation

$ 213,566 Updated due to quarterly assessment and reallocation

$ 202,073 Reallocation due to MHA program deobligation

$ 201,833 Updated due to quarterly assessment and reallocation

$ 199,954 Updated due to quarterly assessment and reallocation

$ 198,831 Updated due to quarterly assessment and reallocation

$ 197,708 Updated due to quarterly assessment and reallocation

$ 195,744 Updated due to quarterly assessment and reallocation

$ 193,889 Updated due to quarterly assessment and reallocation

$ 194,604 Updated due to quarterly assessment and reallocation

$ 194,509 Updated due to quarterly assessment and reallocation

$ 194,494 Transfer of cap due to servicing transfer

$ 194,241 Transfer of cap due to servicing transfer

$ 194,224 Transfer of cap due to servicing transfer

$ 194,097 Transfer of cap due to servicing transfer

$ 194,093 Transfer of cap due to servicing transfer

$ 193,599 Transfer of cap due to servicing transfer

$ 193,538 Transfer of cap due to servicing transfer

$ 193,474 Transfer of cap due to servicing transfer

$ 193,437 Transfer of cap due to servicing transfer

$ 193,316 Transfer of cap due to servicing transfer

$ 193,077 Transfer of cap due to servicing transfer

$ 193,032 Transfer of cap due to servicing transfer

Eastern Bank Boston MA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Eaton National Bank & Trust Company Eaton OH $ 60,000 N/A $ 150,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

EMC Mortgage Corporation Lewisville TX $ 707,380,000 N/A $ 707,370,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,209,800,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,075,240,000 Updated portfolio data from servicer/additional program initial 

cap $ 683,100,000 Updated portfolio data from servicer

$ 682,470,000 Transfer of cap due to servicing transfer

$ 695,570,000 Updated portfolio data from servicer/additional program initial 

cap $ 687,563,543 Updated portfolio data from servicer

$ 687,463,543 Transfer of cap due to servicing transfer

$ 683,063,543 Transfer of cap due to servicing transfer

$ 683,062,741 Updated due to quarterly assessment and reallocation

$ 682,162,741 Transfer of cap due to servicing transfer

$ 678,162,741 Transfer of cap due to servicing transfer

$ 678,161,816 Updated due to quarterly assessment and reallocation

$ 555,261,816 Transfer of cap due to servicing transfer

$ 555,253,088 Updated due to quarterly assessment and reallocation

$ 554,653,088 Transfer of cap due to servicing transfer

8 $ 35,441,779 Termination of SPA

Everbank Jacksonville FL - N/A 3 $ 60,000 Transfer of cap due to servicing transfer

$ 90,000 Transfer of cap due to servicing transfer

$ 170,000 Transfer of cap due to servicing transfer

$ 161,308 Updated due to quarterly assessment and reallocation

$ 151,300 Updated due to quarterly assessment and reallocation

$ 122,717 Reallocation due to MHA program deobligation

$ 122,120 Updated due to quarterly assessment and reallocation

$ 117,447 Updated due to quarterly assessment and reallocation

$ 114,655 Updated due to quarterly assessment and reallocation

$ 111,863 Updated due to quarterly assessment and reallocation

$ 106,980 Updated due to quarterly assessment and reallocation

10/25/2016 $ (4,615) $ 102,365 Updated due to quarterly assessment and reallocation

09/28/2016 $ (4,883)

07/27/2016 $ (2,792)

06/27/2016 $ (2,792)

05/31/2016 $ (4,673)

03/28/2016 $ (597)

02/25/2016 $ (28,583)

12/28/2015 $ (10,008)

09/28/2015 $ (8,692)

08/14/2015 $ 80,000

09/16/2014 $ 30,000

######## Purchase Financial Instrument for Home Loan Modifications 07/16/2013 $ 60,000

10/19/2011 $ (519,211,309)

07/14/2011 $ (600,000)

06/29/2011 $ (8,728)

05/13/2011 $ (122,900,000)

03/30/2011 $ (925)

03/16/2011 $ (4,000,000)

02/16/2011 $ (900,000)

01/06/2011 $ (802)

12/15/2010 $ (4,400,000)

10/15/2010 $ (100,000)

09/30/2010 $ (8,006,457)

09/30/2010 $ 13,100,000

07/16/2010 $ (630,000)

07/14/2010 $ (392,140,000)

03/26/2010 $ (134,560,000)

12/30/2009 $ 502,430,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (10,000)

05/20/2011 $ (145,056)

09/30/2010 $ (54,944)

07/14/2010 $ 50,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 90,000

######## Purchase Financial Instrument for Home Loan Modifications 03/16/2016 $ 20,000

06/21/2018 $ (45)

04/25/2018 $ (239)

03/22/2018 $ (121)

02/26/2018 $ (37)

12/21/2017 $ (64)

10/26/2017 $ (61)

09/26/2017 $ (494)

07/26/2017 $ (4)

06/26/2017 $ (127)

04/26/2017 $ (17)

02/27/2017 $ (253)

12/27/2016 $ (15)

11/29/2016 $ (95)

11/07/2016 $ 715

10/25/2016 $ (1,855)

09/28/2016 $ (1,964)

07/27/2016 $ (1,123)

06/27/2016 $ (1,123)

05/31/2016 $ (1,879)

03/28/2016 $ (240)

02/25/2016 $ (11,493)

12/28/2015 $ (1,672)

09/28/2015 $ (2,259)

04/28/2015 $ 73,328

03/26/2015 $ (142)

12/29/2014 $ (377)

09/29/2014 $ (39)

07/29/2014 $ (117)

06/26/2014 $ (59)

03/26/2014 $ (5)

12/23/2013 $ (145)

03/25/2013 $ (1)

09/27/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

90
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 104,144 Updated due to quarterly assessment and reallocation

$ 104,112 Updated due to quarterly assessment and reallocation

$ 104,107 Transfer of cap due to servicing transfer

$ 104,022 Transfer of cap due to servicing transfer

$ 104,016 Transfer of cap due to servicing transfer

$ 103,973 Transfer of cap due to servicing transfer

$ 103,972 Transfer of cap due to servicing transfer

$ 102,272 Transfer of cap due to servicing transfer

$ 102,061 Transfer of cap due to servicing transfer

$ 101,842 Transfer of cap due to servicing transfer

$ 101,831 Transfer of cap due to servicing transfer

$ 101,796 Transfer of cap due to servicing transfer

$ 101,727 Transfer of cap due to servicing transfer

$ 101,726 Transfer of cap due to servicing transfer

$ 101,713 Transfer of cap due to servicing transfer

Farmers State Bank West Salem OH $ 170,000 N/A $ 80,000 Updated portfolio data from servicer/additional program initial 

cap $ 130,000 Updated portfolio data from servicer/additional program initial 

cap $ 230,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Fay Servicing, LLC Chicago IL $ 3,100,000 N/A $ 8,268,169 Updated portfolio data from servicer

$ 8,268,157 Updated due to quarterly assessment and reallocation

$ 8,268,142 Updated due to quarterly assessment and reallocation

$ 8,668,142 Transfer of cap due to servicing transfer

$ 8,667,999 Updated due to quarterly assessment and reallocation

$ 9,367,999 Transfer of cap due to servicing transfer

$ 9,467,999 Transfer of cap due to servicing transfer

$ 9,667,999 Transfer of cap due to servicing transfer

$ 11,367,999 Transfer of cap due to servicing transfer

$ 12,967,999 Transfer of cap due to servicing transfer

$ 13,007,999 Transfer of cap due to servicing transfer

$ 12,797,999 Transfer of cap due to servicing transfer

$ 12,797,894 Updated due to quarterly assessment and reallocation

$ 12,847,894 Transfer of cap due to servicing transfer

$ 12,937,894 Transfer of cap due to servicing transfer

$ 12,937,600 Updated due to quarterly assessment and reallocation

$ 14,747,600 Transfer of cap due to servicing transfer

$ 14,747,539 Updated due to quarterly assessment and reallocation

$ 14,777,539 Transfer of cap due to servicing transfer

$ 14,187,539 Transfer of cap due to servicing transfer

$ 14,107,539 Transfer of cap due to servicing transfer

$ 14,107,325 Updated due to quarterly assessment and reallocation

$ 14,307,325 Transfer of cap due to servicing transfer

$ 18,017,325 Transfer of cap due to servicing transfer

$ 19,777,325 Transfer of cap due to servicing transfer

$ 19,777,239 Updated due to quarterly assessment and reallocation

$ 26,427,239 Transfer of cap due to servicing transfer

$ 26,447,239 Transfer of cap due to servicing transfer

$ 31,287,239 Transfer of cap due to servicing transfer

$ 31,287,185 Updated due to quarterly assessment and reallocation

$ 32,007,185 Transfer of cap due to servicing transfer

$ 33,047,185 Transfer of cap due to servicing transfer

$ 33,187,185 Transfer of cap due to servicing transfer

$ 33,102,809 Updated due to quarterly assessment and reallocation

$ 41,452,809 Transfer of cap due to servicing transfer

$ 47,342,809 Transfer of cap due to servicing transfer

$ 53,062,809 Transfer of cap due to servicing transfer

$ 53,058,764 Updated due to quarterly assessment and reallocation

$ 53,128,764 Transfer of cap due to servicing transfer

$ 53,768,764 Transfer of cap due to servicing transfer

$ 69,548,764 Transfer of cap due to servicing transfer

$ 69,479,204 Updated due to quarterly assessment and reallocation

$ 69,189,204 Transfer of cap due to servicing transfer

$ 69,051,020 Updated due to quarterly assessment and reallocation

$ 70,041,020 Transfer of cap due to servicing transfer

$ 72,931,020 Transfer of cap due to servicing transfer

$ 72,892,870 Updated due to quarterly assessment and reallocation

$ 71,062,870 Transfer of cap due to servicing transfer

11/14/2014 $ 5,980,000 $ 77,042,870 Transfer of cap due to servicing transfer

10/16/2014 $ (1,830,000)

09/29/2014 $ (38,150)

09/16/2014 $ 2,890,000

08/14/2014 $ 990,000

07/29/2014 $ (138,184)

07/16/2014 $ (290,000)

06/26/2014 $ (69,560)

06/16/2014 $ 15,780,000

05/15/2014 $ 640,000

04/16/2014 $ 70,000

03/26/2014 $ (4,045)

03/14/2014 $ 5,720,000

02/13/2014 $ 5,890,000

01/16/2014 $ 8,350,000

12/23/2013 $ (84,376)

12/16/2013 $ 140,000

11/14/2013 $ 1,040,000

10/15/2013 $ 720,000

09/27/2013 $ (54)

09/16/2013 $ 4,840,000

08/15/2013 $ 20,000

07/16/2013 $ 6,650,000

06/27/2013 $ (86)

06/14/2013 $ 1,760,000

05/16/2013 $ 3,710,000

04/16/2013 $ 200,000

03/25/2013 $ (214)

03/14/2013 $ (80,000)

02/14/2013 $ (590,000)

01/16/2013 $ 30,000

12/27/2012 $ (61)

10/16/2012 $ 1,810,000

09/27/2012 $ (294)

08/16/2012 $ 90,000

07/16/2012 $ 50,000

06/28/2012 $ (105)

06/14/2012 $ (210,000)

05/16/2012 $ 40,000

04/16/2012 $ 1,600,000

12/15/2011 $ 1,700,000

11/16/2011 $ 200,000

10/14/2011 $ 100,000

09/15/2011 $ 700,000

06/29/2011 $ (143)

04/13/2011 $ 400,000

03/30/2011 $ (15)

01/06/2011 $ (12)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 5,168,169

05/20/2011 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ (130,000)

03/26/2010 $ 100,000

12/30/2009 $ 50,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (90,000)

06/21/2018 $ (13)

06/14/2018 $ (1)

04/25/2018 $ (69)

03/22/2018 $ (35)

02/26/2018 $ (11)

12/21/2017 $ (219)

10/26/2017 $ (211)

09/26/2017 $ (1,700)

07/26/2017 $ (1)

06/26/2017 $ (43)

04/26/2017 $ (6)

02/27/2017 $ (85)

12/27/2016 $ (5)

11/29/2016 $ (32)

11/07/2016 $ 1,779

91
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 71,112,870 Transfer of cap due to servicing transfer

$ 70,783,986 Updated due to quarterly assessment and reallocation

$ 70,863,986 Transfer of cap due to servicing transfer

$ 72,393,986 Transfer of cap due to servicing transfer

$ 71,623,986 Transfer of cap due to servicing transfer

$ 72,694,591 Updated due to quarterly assessment and reallocation

$ 73,324,591 Transfer of cap due to servicing transfer

$ 73,206,401 Updated due to quarterly assessment and reallocation

$ 73,386,401 Transfer of cap due to servicing transfer

$ 73,916,401 Transfer of cap due to servicing transfer

$ 73,736,587 Updated due to quarterly assessment and reallocation

$ 67,236,587 Transfer of cap due to servicing transfer

$ 73,516,587 Transfer of cap due to servicing transfer

$ 75,266,587 Transfer of cap due to servicing transfer

$ 76,297,146 Updated due to quarterly assessment and reallocation

$ 81,607,146 Transfer of cap due to servicing transfer

$ 85,487,146 Transfer of cap due to servicing transfer

$ 89,407,146 Transfer of cap due to servicing transfer

$ 88,249,178 Updated due to quarterly assessment and reallocation

$ 95,649,178 Transfer of cap due to servicing transfer

$ 94,909,178 Transfer of cap due to servicing transfer

$ 86,889,652 Reallocation due to MHA program deobligation

$ 89,869,652 Transfer of cap due to servicing transfer

$ 89,689,802 Updated due to quarterly assessment and reallocation

$ 90,799,802 Transfer of cap due to servicing transfer

$ 92,329,802 Transfer of cap due to servicing transfer

$ 91,165,511 Updated due to quarterly assessment and reallocation

$ 94,215,511 Transfer of cap due to servicing transfer

$ 93,612,463 Updated due to quarterly assessment and reallocation

$ 92,842,463 Transfer of cap due to servicing transfer

$ 92,290,387 Updated due to quarterly assessment and reallocation

$ 92,970,387 Transfer of cap due to servicing transfer

$ 96,250,387 Transfer of cap due to servicing transfer

$ 97,200,157 Updated due to quarterly assessment and reallocation

$ 98,340,157 Transfer of cap due to servicing transfer

$ 96,999,233 Updated due to quarterly assessment and reallocation

$ 97,516,206 Updated due to quarterly assessment and reallocation

$ 100,216,206 Transfer of cap due to servicing transfer

$ 100,156,425 Updated due to quarterly assessment and reallocation

$ 100,396,425 Transfer of cap due to servicing transfer

$ 100,387,041 Transfer of cap due to servicing transfer

$ 103,397,041 Transfer of cap due to servicing transfer

$ 106,457,041 Transfer of cap due to servicing transfer

$ 106,251,004 Transfer of cap due to servicing transfer

$ 106,231,004 Transfer of cap due to servicing transfer

$ 106,218,041 Transfer of cap due to servicing transfer

$ 108,603,471 Transfer of cap due to servicing transfer

$ 109,096,647 Transfer of cap due to servicing transfer

$ 113,700,539 Transfer of cap due to servicing transfer

$ 116,953,344 Transfer of cap due to servicing transfer

$ 118,541,841 Transfer of cap due to servicing transfer

$ 119,618,182 Transfer of cap due to servicing transfer

$ 119,618,181 Transfer of cap due to servicing transfer

$ 120,379,792 Transfer of cap due to servicing transfer

$ 120,849,484 Transfer of cap due to servicing transfer

$ 126,457,485 Transfer of cap due to servicing transfer

FCI Lender Services, Inc. Anaheim Hills CA - N/A 3 $ 500,000 Transfer of cap due to servicing transfer

$ 600,000 Transfer of cap due to servicing transfer

$ 599,991 Updated due to quarterly assessment and reallocation

$ 799,991 Transfer of cap due to servicing transfer

$ 899,991 Transfer of cap due to servicing transfer

$ 3,399,991 Transfer of cap due to servicing transfer

$ 4,909,991 Transfer of cap due to servicing transfer

$ 5,359,991 Transfer of cap due to servicing transfer

$ 5,359,925 Updated due to quarterly assessment and reallocation

$ 5,609,925 Transfer of cap due to servicing transfer

$ 5,699,925 Transfer of cap due to servicing transfer

$ 5,699,734 Updated due to quarterly assessment and reallocation

$ 5,839,734 Transfer of cap due to servicing transfer

11/15/2012 $ 70,000 $ 5,909,734 Transfer of cap due to servicing transfer

10/16/2012 $ 140,000

09/27/2012 $ (191)

08/16/2012 $ 90,000

07/16/2012 $ 250,000

06/28/2012 $ (66)

06/14/2012 $ 450,000

05/16/2012 $ 1,510,000

11/16/2011 $ 2,500,000

09/15/2011 $ 100,000

07/14/2011 $ 200,000

06/29/2011 $ (9)

06/16/2011 $ 100,000

######## Purchase Financial Instrument for Home Loan Modifications 05/13/2011 $ 500,000

06/21/2018 $ 5,608,001

04/25/2018 $ 469,692

03/22/2018 $ 761,611

03/15/2018 $ (1)

02/26/2018 $ 1,076,341

12/21/2017 $ 1,588,497

10/26/2017 $ 3,252,805

09/26/2017 $ 4,603,892

07/26/2017 $ 493,176

06/26/2017 $ 2,385,430

04/26/2017 $ (12,963)

03/16/2017 $ (20,000)

02/27/2017 $ (206,037)

02/16/2017 $ 3,060,000

01/13/2017 $ 3,010,000

12/27/2016 $ (9,384)

12/15/2016 $ 240,000

11/29/2016 $ (59,781)

11/16/2016 $ 2,700,000

11/07/2016 $ 516,973

10/25/2016 $ (1,340,924)

10/14/2016 $ 1,140,000

09/28/2016 $ 949,770

09/15/2016 $ 3,280,000

08/16/2016 $ 680,000

07/27/2016 $ (552,076)

07/14/2016 $ (770,000)

06/27/2016 $ (603,048)

06/16/2016 $ 3,050,000

05/31/2016 $ (1,164,291)

05/16/2016 $ 1,530,000

04/14/2016 $ 1,110,000

03/28/2016 $ (179,850)

03/16/2016 $ 2,980,000

02/25/2016 $ (8,019,526)

02/16/2016 $ (740,000)

01/14/2016 $ 7,400,000

12/28/2015 $ (1,157,968)

12/16/2015 $ 3,920,000

11/16/2015 $ 3,880,000

10/15/2015 $ 5,310,000

09/28/2015 $ 1,030,559

09/16/2015 $ 1,750,000

08/14/2015 $ 6,280,000

07/16/2015 $ (6,500,000)

06/25/2015 $ (179,814)

06/16/2015 $ 530,000

05/14/2015 $ 180,000

04/28/2015 $ (118,190)

04/16/2015 $ 630,000

03/26/2015 $ 1,070,605

03/16/2015 $ (770,000)

02/13/2015 $ 1,530,000

01/15/2015 $ 80,000

12/29/2014 $ (328,884)

12/16/2014 $ (5,930,000)

92
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 5,949,734 Transfer of cap due to servicing transfer

$ 5,949,700 Updated due to quarterly assessment and reallocation

$ 5,989,700 Transfer of cap due to servicing transfer

$ 6,039,700 Transfer of cap due to servicing transfer

$ 6,399,700 Transfer of cap due to servicing transfer

$ 6,399,565 Updated due to quarterly assessment and reallocation

$ 6,389,565 Transfer of cap due to servicing transfer

$ 6,429,565 Transfer of cap due to servicing transfer

$ 6,629,565 Transfer of cap due to servicing transfer

$ 6,629,512 Updated due to quarterly assessment and reallocation

$ 6,649,512 Transfer of cap due to servicing transfer

$ 6,649,493 Updated due to quarterly assessment and reallocation

$ 6,909,493 Transfer of cap due to servicing transfer

$ 6,939,493 Transfer of cap due to servicing transfer

$ 6,905,738 Updated due to quarterly assessment and reallocation

$ 7,015,738 Transfer of cap due to servicing transfer

$ 7,655,738 Transfer of cap due to servicing transfer

$ 7,654,433 Updated due to quarterly assessment and reallocation

$ 7,774,433 Transfer of cap due to servicing transfer

$ 7,814,433 Transfer of cap due to servicing transfer

$ 7,924,433 Transfer of cap due to servicing transfer

$ 7,908,595 Updated due to quarterly assessment and reallocation

$ 8,348,595 Transfer of cap due to servicing transfer

$ 8,315,304 Updated due to quarterly assessment and reallocation

$ 9,425,304 Transfer of cap due to servicing transfer

$ 9,465,304 Transfer of cap due to servicing transfer

$ 9,452,850 Updated due to quarterly assessment and reallocation

$ 9,472,850 Transfer of cap due to servicing transfer

$ 9,492,850 Transfer of cap due to servicing transfer

$ 9,682,850 Transfer of cap due to servicing transfer

$ 8,118,179 Updated due to quarterly assessment and reallocation

$ 8,128,179 Transfer of cap due to servicing transfer

$ 8,138,179 Transfer of cap due to servicing transfer

$ 7,545,170 Updated due to quarterly assessment and reallocation

$ 5,204,049 Updated due to quarterly assessment and reallocation

$ 5,254,049 Transfer of cap due to servicing transfer

$ 5,314,049 Transfer of cap due to servicing transfer

$ 4,747,883 Updated due to quarterly assessment and reallocation

$ 4,827,883 Transfer of cap due to servicing transfer

$ 5,047,883 Transfer of cap due to servicing transfer

$ 5,307,883 Transfer of cap due to servicing transfer

$ 4,460,330 Updated due to quarterly assessment and reallocation

$ 4,540,330 Transfer of cap due to servicing transfer

$ 4,960,330 Transfer of cap due to servicing transfer

$ 5,380,330 Transfer of cap due to servicing transfer

$ 4,600,203 Updated due to quarterly assessment and reallocation

$ 4,830,203 Transfer of cap due to servicing transfer

$ 5,080,203 Transfer of cap due to servicing transfer

$ 2,543,797 Reallocation due to MHA program deobligation

$ 2,573,797 Transfer of cap due to servicing transfer

$ 2,519,447 Updated due to quarterly assessment and reallocation

$ 2,869,447 Transfer of cap due to servicing transfer

$ 2,869,447 Transfer of cap due to servicing transfer

$ 2,396,749 Updated due to quarterly assessment and reallocation

$ 2,476,749 Transfer of cap due to servicing transfer

$ 2,186,547 Updated due to quarterly assessment and reallocation

$ 2,086,547 Transfer of cap due to servicing transfer

$ 1,805,531 Updated due to quarterly assessment and reallocation

$ 1,905,531 Transfer of cap due to servicing transfer

$ 2,265,531 Transfer of cap due to servicing transfer

$ 1,553,439 Updated due to quarterly assessment and reallocation

$ 1,673,439 Transfer of cap due to servicing transfer

$ 943,418 Updated due to quarterly assessment and reallocation

$ 1,224,867 Updated due to quarterly assessment and reallocation

$ 1,304,867 Transfer of cap due to servicing transfer

$ 1,298,887 Updated due to quarterly assessment and reallocation

$ 2,148,887 Transfer of cap due to servicing transfer

$ 2,146,965 Transfer of cap due to servicing transfer

$ 2,666,965 Transfer of cap due to servicing transfer

02/16/2017 $ 200,000 $ 2,866,965 Transfer of cap due to servicing transfer

01/13/2017 $ 520,000

12/27/2016 $ (1,922)

12/15/2016 $ 850,000

11/29/2016 $ (5,980)

11/16/2016 $ 80,000

11/07/2016 $ 281,449

10/25/2016 $ (730,021)

10/14/2016 $ 120,000

09/28/2016 $ (712,092)

09/15/2016 $ 360,000

08/16/2016 $ 100,000

07/27/2016 $ (281,016)

07/14/2016 $ (100,000)

06/27/2016 $ (290,202)

06/16/2016 $ 80,000

05/31/2016 $ (472,698)

05/16/2016 -

04/14/2016 $ 350,000

03/28/2016 $ (54,350)

03/16/2016 $ 30,000

02/25/2016 $ (2,536,406)

02/16/2016 $ 250,000

01/14/2016 $ 230,000

12/28/2015 $ (780,127)

12/16/2015 $ 420,000

11/16/2015 $ 420,000

10/15/2015 $ 80,000

09/28/2015 $ (847,553)

09/16/2015 $ 260,000

08/14/2015 $ 220,000

07/16/2015 $ 80,000

06/25/2015 $ (566,166)

06/16/2015 $ 60,000

05/14/2015 $ 50,000

04/28/2015 $ (2,341,121)

03/26/2015 $ (593,009)

02/13/2015 $ 10,000

01/15/2015 $ 10,000

12/29/2014 $ (1,564,671)

12/16/2014 $ 190,000

11/14/2014 $ 20,000

10/16/2014 $ 20,000

09/29/2014 $ (12,454)

09/16/2014 $ 40,000

08/14/2014 $ 1,110,000

07/29/2014 $ (33,291)

07/16/2014 $ 440,000

06/26/2014 $ (15,838)

06/16/2014 $ 110,000

05/15/2014 $ 40,000

04/16/2014 $ 120,000

03/26/2014 $ (1,305)

03/14/2014 $ 640,000

02/13/2014 $ 110,000

12/23/2013 $ (33,755)

11/14/2013 $ 30,000

10/15/2013 $ 260,000

09/27/2013 $ (19)

07/16/2013 $ 20,000

06/27/2013 $ (53)

06/14/2013 $ 200,000

05/16/2013 $ 40,000

04/16/2013 $ (10,000)

03/25/2013 $ (135)

03/14/2013 $ 360,000

02/14/2013 $ 50,000

01/16/2013 $ 40,000

12/27/2012 $ (34)

12/14/2012 $ 40,000

93
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 2,820,743 Transfer of cap due to servicing transfer

$ 2,830,743 Transfer of cap due to servicing transfer

$ 2,827,700 Transfer of cap due to servicing transfer

$ 2,805,423 Transfer of cap due to servicing transfer

$ 2,804,742 Transfer of cap due to servicing transfer

$ 1,920,074 Transfer of cap due to servicing transfer

$ 1,808,472 Transfer of cap due to servicing transfer

$ 1,695,480 Transfer of cap due to servicing transfer

$ 1,689,994 Transfer of cap due to servicing transfer

$ 1,671,534 Transfer of cap due to servicing transfer

$ 1,633,947 Transfer of cap due to servicing transfer

$ 1,627,467 Transfer of cap due to servicing transfer

Fidelity Bank (Fidelity Homestead 

SavingsBank) New Orleans LA $ 2,940,000 N/A $ 3,080,000 Updated portfolio data from servicer/additional program initial cap

$ 9,380,000 Updated portfolio data from servicer

$ 7,400,000 Updated portfolio data from servicer

$ 1,015,389 Updated portfolio data from servicer

$ 1,015,388 Updated due to quarterly assessment and reallocation

$ 1,015,386 Updated due to quarterly assessment and reallocation

$ 1,015,370 Updated due to quarterly assessment and reallocation

$ 1,015,358 Updated due to quarterly assessment and reallocation

$ 1,015,326 Updated due to quarterly assessment and reallocation

$ 1,015,321 Updated due to quarterly assessment and reallocation

$ 1,015,300 Updated due to quarterly assessment and reallocation

$ 1,015,292 Updated due to quarterly assessment and reallocation

$ 1,015,289 Updated due to quarterly assessment and reallocation

$ 1,010,573 Updated due to quarterly assessment and reallocation

$ 1,010,408 Updated due to quarterly assessment and reallocation

$ 1,008,464 Updated due to quarterly assessment and reallocation

$ 1,004,602 Updated due to quarterly assessment and reallocation

$ 1,003,326 Updated due to quarterly assessment and reallocation

$ 872,692 Updated due to quarterly assessment and reallocation

$ 823,555 Updated due to quarterly assessment and reallocation

$ 636,149 Updated due to quarterly assessment and reallocation

$ 590,545 Updated due to quarterly assessment and reallocation

$ 529,607 Updated due to quarterly assessment and reallocation

$ 488,383 Updated due to quarterly assessment and reallocation

$ 361,409 Reallocation due to MHA program deobligation

$ 358,754 Updated due to quarterly assessment and reallocation

$ 333,114 Updated due to quarterly assessment and reallocation

$ 317,797 Updated due to quarterly assessment and reallocation

$ 302,475 Updated due to quarterly assessment and reallocation

$ 275,640 Updated due to quarterly assessment and reallocation

$ 250,217 Updated due to quarterly assessment and reallocation

$ 260,019 Updated due to quarterly assessment and reallocation

$ 259,741 Updated due to quarterly assessment and reallocation

$ 259,698 Transfer of cap due to servicing transfer

$ 258,959 Transfer of cap due to servicing transfer

$ 258,893 Transfer of cap due to servicing transfer

$ 258,224 Transfer of cap due to servicing transfer

$ 258,204 Transfer of cap due to servicing transfer

$ 236,441 Transfer of cap due to servicing transfer

$ 233,742 Transfer of cap due to servicing transfer

$ 230,930 Transfer of cap due to servicing transfer

$ 230,759 Transfer of cap due to servicing transfer

$ 230,202 Transfer of cap due to servicing transfer

$ 229,101 Transfer of cap due to servicing transfer

$ 228,894 Transfer of cap due to servicing transfer

Fifth Third Bank Cincinnati OH $ 1 N/A $ 15,000 Transfer of cap due to servicing transfer

FIRST BANK St. Louis MO $ 6,460,000 N/A $ 4,930,000 Updated portfolio data from servicer/additional program initial 

cap $ 5,610,000 Updated portfolio data from servicer/additional program initial 

cap $ 8,070,000 Updated portfolio data from servicer

$ 5,600,000 Updated portfolio data from servicer

$ 8,123,114 Updated portfolio data from servicer

$ 8,123,112 Updated due to quarterly assessment and reallocation

$ 8,123,110 Updated due to quarterly assessment and reallocation

$ 8,123,095 Updated due to quarterly assessment and reallocation

$ 8,123,092 Updated due to quarterly assessment and reallocation

$ 8,123,087 Updated due to quarterly assessment and reallocation

12/27/2012 $ (1) $ 8,123,086 Updated due to quarterly assessment and reallocation

09/27/2012 $ (5)

06/28/2012 $ (3)

06/29/2011 $ (15)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 2,523,114

07/14/2010 $ (2,470,000)

03/26/2010 $ 2,460,000

12/30/2009 $ 680,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (1,530,000)

######## Purchase Financial Instrument for Home Loan Modifications 06/21/2018 $ 14,999

06/21/2018 $ (207)

04/25/2018 $ (1,101)

03/22/2018 $ (557)

02/26/2018 $ (171)

12/21/2017 $ (2,812)

10/26/2017 $ (2,699)

09/26/2017 $ (21,763)

07/26/2017 $ (20)

06/26/2017 $ (669)

04/26/2017 $ (66)

02/27/2017 $ (739)

12/27/2016 $ (43)

11/29/2016 $ (278)

11/07/2016 $ 9,802

10/25/2016 $ (25,423)

09/28/2016 $ (26,835)

07/27/2016 $ (15,322)

06/27/2016 $ (15,317)

05/31/2016 $ (25,640)

03/28/2016 $ (2,655)

02/25/2016 $ (126,974)

12/28/2015 $ (41,224)

09/28/2015 $ (60,938)

06/25/2015 $ (45,604)

04/28/2015 $ (187,406)

03/26/2015 $ (49,137)

12/29/2014 $ (130,634)

09/29/2014 $ (1,276)

07/29/2014 $ (3,862)

06/26/2014 $ (1,944)

03/26/2014 $ (165)

12/23/2013 $ (4,716)

09/27/2013 $ (3)

06/27/2013 $ (8)

03/25/2013 $ (21)

12/27/2012 $ (5)

09/27/2012 $ (32)

06/28/2012 $ (12)

06/29/2011 $ (16)

03/30/2011 $ (2)

01/06/2011 $ (1)

09/30/2010 $ (6,384,611)

07/14/2010 $ (1,980,000)

03/26/2010 $ 6,300,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 140,000

06/21/2018 $ (6,480)

04/25/2018 $ (37,587)

03/22/2018 $ (18,460)

02/26/2018 $ (5,486)

12/21/2017 $ (112,992)

10/26/2017 $ (111,602)

09/26/2017 $ (884,668)

07/26/2017 $ (681)

06/26/2017 $ (22,277)

04/26/2017 $ (3,043)

03/16/2017 $ 10,000

02/27/2017 $ (46,222)

94
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 8,123,081 Updated due to quarterly assessment and reallocation

$ 8,123,080 Updated due to quarterly assessment and reallocation

$ 8,122,606 Updated due to quarterly assessment and reallocation

$ 8,122,588 Updated due to quarterly assessment and reallocation

$ 8,122,553 Updated due to quarterly assessment and reallocation

$ 8,124,275 Updated due to quarterly assessment and reallocation

$ 8,157,474 Updated due to quarterly assessment and reallocation

$ 10,461,807 Updated due to quarterly assessment and reallocation

$ 10,466,222 Updated due to quarterly assessment and reallocation

$ 10,962,208 Updated due to quarterly assessment and reallocation

$ 11,000,545 Updated due to quarterly assessment and reallocation

$ 11,016,767 Updated due to quarterly assessment and reallocation

$ 11,029,056 Updated due to quarterly assessment and reallocation

$ 10,636,309 Reallocation due to MHA program deobligation

$ 10,628,199 Updated due to quarterly assessment and reallocation

$ 10,648,199 Transfer of cap due to servicing transfer

$ 10,586,948 Updated due to quarterly assessment and reallocation

$ 10,553,534 Updated due to quarterly assessment and reallocation

$ 10,516,006 Updated due to quarterly assessment and reallocation

$ 10,471,344 Updated due to quarterly assessment and reallocation

$ 10,438,125 Updated due to quarterly assessment and reallocation

$ 10,450,932 Updated due to quarterly assessment and reallocation

$ 9,180,932 Transfer of cap due to servicing transfer

$ 9,176,164 Updated due to quarterly assessment and reallocation

$ 9,175,472 Transfer of cap due to servicing transfer

$ 9,163,782 Transfer of cap due to servicing transfer

$ 9,163,024 Transfer of cap due to servicing transfer

$ 9,157,078 Transfer of cap due to servicing transfer

$ 9,156,898 Transfer of cap due to servicing transfer

$ 9,133,728 Transfer of cap due to servicing transfer

$ 9,130,855 Transfer of cap due to servicing transfer

$ 9,127,862 Transfer of cap due to servicing transfer

$ 9,127,717 Transfer of cap due to servicing transfer

$ 9,127,243 Transfer of cap due to servicing transfer

$ 9,126,306 Transfer of cap due to servicing transfer

$ 9,126,130 Transfer of cap due to servicing transfer

First Citizens Bank & Trust Company Hendersonville NC - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

First Federal Bank of Florida Lake City FL $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

First Federal Savings and Loan Port Angeles WA $ 770,000 N/A $ 2,790,000 Updated portfolio data from servicer/additional program initial 

cap 03/26/2010 $ 11,370,000 $ 14,160,000 Updated portfolio data from servicer

######## Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ 2,020,000

07/14/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

12/15/2016 $ 20,000

######## Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 10,000

06/21/2018 $ (176)

04/25/2018 $ (937)

03/22/2018 $ (474)

02/26/2018 $ (145)

12/21/2017 $ (2,993)

10/26/2017 $ (2,873)

09/26/2017 $ (23,170)

07/26/2017 $ (180)

06/26/2017 $ (5,946)

04/26/2017 $ (758)

02/27/2017 $ (11,690)

12/27/2016 $ (692)

11/29/2016 $ (4,768)

11/16/2016 $ (1,270,000)

11/07/2016 $ 12,807

10/25/2016 $ (33,219)

09/28/2016 $ (44,662)

07/27/2016 $ (37,528)

06/27/2016 $ (33,414)

05/31/2016 $ (61,251)

05/16/2016 $ 20,000

03/28/2016 $ (8,110)

02/25/2016 $ (392,747)

12/28/2015 $ 12,289

09/28/2015 $ 16,222

06/25/2015 $ 38,337

04/28/2015 $ 495,986

03/26/2015 $ 4,415

12/29/2014 $ 2,304,333

09/29/2014 $ 33,199

07/29/2014 $ 1,722

06/26/2014 $ (35)

03/26/2014 $ (18)

12/23/2013 $ (474)

06/27/2013 $ (1)

03/25/2013 $ (5)

95
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

- Termination of SPA

First Federal Savings and Loan 

Association of Lakewood Lakewood OH $ 3,460,000 N/A $ 3,620,000 Updated portfolio data from servicer/additional program initial cap

- Termination of SPA

First Financial Bank, N.A. Terre Haute ID $ 4,300,000 N/A $ 11,314,337 Updated portfolio data from servicer

$ 11,314,320 Updated due to quarterly assessment and reallocation

$ 11,314,300 Updated due to quarterly assessment and reallocation

$ 11,314,108 Updated due to quarterly assessment and reallocation

$ 11,313,964 Updated due to quarterly assessment and reallocation

$ 11,313,568 Updated due to quarterly assessment and reallocation

$ 11,313,501 Updated due to quarterly assessment and reallocation

$ 11,313,248 Updated due to quarterly assessment and reallocation

$ 11,313,153 Updated due to quarterly assessment and reallocation

$ 11,313,119 Updated due to quarterly assessment and reallocation

$ 11,255,343 Updated due to quarterly assessment and reallocation

$ 11,253,312 Updated due to quarterly assessment and reallocation

$ 11,229,340 Updated due to quarterly assessment and reallocation

$ 11,181,727 Updated due to quarterly assessment and reallocation

$ 11,165,999 Updated due to quarterly assessment and reallocation

$ 9,260,871 Updated due to quarterly assessment and reallocation

$ 8,544,383 Updated due to quarterly assessment and reallocation

$ 5,720,330 Updated due to quarterly assessment and reallocation

$ 5,050,576 Updated due to quarterly assessment and reallocation

$ 5,060,576 Transfer of cap due to servicing transfer

$ 4,164,101 Updated due to quarterly assessment and reallocation

$ 3,500,639 Updated due to quarterly assessment and reallocation

$ 1,605,921 Reallocation due to MHA program deobligation

$ 1,566,343 Updated due to quarterly assessment and reallocation

$ 1,256,573 Updated due to quarterly assessment and reallocation

$ 1,071,522 Updated due to quarterly assessment and reallocation

$ 886,415 Updated due to quarterly assessment and reallocation

$ 562,694 Updated due to quarterly assessment and reallocation

$ 256,800 Updated due to quarterly assessment and reallocation

$ 374,733 Updated due to quarterly assessment and reallocation

$ 372,617 Updated due to quarterly assessment and reallocation

$ 372,294 Transfer of cap due to servicing transfer

$ 366,688 Transfer of cap due to servicing transfer

$ 366,321 Transfer of cap due to servicing transfer

$ 363,495 Transfer of cap due to servicing transfer

$ 363,410 Transfer of cap due to servicing transfer

$ 250,704 Transfer of cap due to servicing transfer

$ 236,727 Transfer of cap due to servicing transfer

$ 222,166 Transfer of cap due to servicing transfer

$ 221,459 Transfer of cap due to servicing transfer

$ 219,154 Transfer of cap due to servicing transfer

$ 214,598 Transfer of cap due to servicing transfer

$ 213,744 Transfer of cap due to servicing transfer

First Keystone Bank Media PA $ 1,280,000 N/A $ 1,330,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,350,000 Updated portfolio data from servicer

$ 1,400,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

$ 1,350,552 Transfer of cap due to servicing transfer

$ 1,350,531 Updated due to quarterly assessment and reallocation

6 $ 14,917 Termination of SPA

First Merchants Bank Muncie IN - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

First Mortgage Company, LLC Oklahoma City OK - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

- Termination of SPA

First Mortgage Corporation Diamond Bar CA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

12/29/2014 $ (7,654) $ 136,807 Updated due to quarterly assessment and reallocation

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

08/16/2017 $ (20,000)

######## Purchase Financial Instrument for Home Loan Modifications 06/16/2014 $ 20,000

######## Purchase Financial Instrument for Home Loan Modifications 01/13/2017 $ 10,000

07/22/2011 $ (1,335,614)

06/29/2011 $ (21)

06/16/2011 $ (100,000)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 50,556

07/14/2010 $ (950,000)

03/26/2010 $ 1,020,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 50,000

06/21/2018 $ (854)

04/25/2018 $ (4,556)

03/22/2018 $ (2,305)

02/26/2018 $ (707)

12/21/2017 $ (14,561)

10/26/2017 $ (13,977)

09/26/2017 $ (112,706)

07/26/2017 $ (85)

06/26/2017 $ (2,826)

04/26/2017 $ (367)

02/27/2017 $ (5,606)

12/27/2016 $ (323)

11/29/2016 $ (2,116)

11/07/2016 $ 117,933

10/25/2016 $ (305,894)

09/28/2016 $ (323,721)

07/27/2016 $ (185,107)

06/27/2016 $ (185,051)

05/31/2016 $ (309,770)

03/28/2016 $ (39,578)

02/25/2016 $ (1,894,718)

12/28/2015 $ (663,462)

09/28/2015 $ (896,475)

07/16/2015 $ 10,000

06/25/2015 $ (669,754)

04/28/2015 $ (2,824,053)

03/26/2015 $ (716,488)

12/29/2014 $ (1,905,128)

09/29/2014 $ (15,728)

07/29/2014 $ (47,613)

06/26/2014 $ (23,972)

03/26/2014 $ (2,031)

12/23/2013 $ (57,776)

09/27/2013 $ (34)

06/27/2013 $ (95)

03/25/2013 $ (253)

12/27/2012 $ (67)

09/27/2012 $ (396)

06/28/2012 $ (144)

06/29/2011 $ (192)

03/30/2011 $ (20)

01/06/2011 $ (17)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 7,014,337

04/21/2010 $ (3,620,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 160,000

05/26/2010 $ (14,160,000)

96
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 103,635 Transfer of cap due to servicing transfer

$ 101,610 Reallocation due to MHA program deobligation

$ 101,568 Updated due to quarterly assessment and reallocation

$ 81,568 Transfer of cap due to servicing transfer

$ 71,568 Transfer of cap due to servicing transfer

First National Bank of Grant Park Grant Park IL $ 140,000 N/A $ 290,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

- Termination of SPA

First National Bank of Pennsylvania Hermitage PA $ 1 N/A $ 29,233 Transfer of cap due to servicing transfer

$ 30,757 Transfer of cap due to servicing transfer

First Safety Bank Cincinnati OH $ 400,000 N/A $ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

- Termination of SPA

First State Bank Mendota IL - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 30,588 Updated due to quarterly assessment and reallocation

Flagstar Capital Markets Corporation Troy MI $ 800,000 N/A $ 1,160,445 Updated portfolio data from servicer

$ 1,160,443 Updated due to quarterly assessment and reallocation

$ 1,160,441 Updated due to quarterly assessment and reallocation

$ 1,160,423 Updated due to quarterly assessment and reallocation

$ 1,160,409 Updated due to quarterly assessment and reallocation

$ 1,160,372 Updated due to quarterly assessment and reallocation

$ 1,160,366 Updated due to quarterly assessment and reallocation

$ 1,160,342 Updated due to quarterly assessment and reallocation

$ 1,160,333 Updated due to quarterly assessment and reallocation

$ 1,160,330 Updated due to quarterly assessment and reallocation

$ 1,154,867 Updated due to quarterly assessment and reallocation

$ 1,154,675 Updated due to quarterly assessment and reallocation

$ 1,152,408 Updated due to quarterly assessment and reallocation

- Termination of SPA

3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

$ 40,000 Transfer of cap due to servicing transfer

$ 50,000 Transfer of cap due to servicing transfer

Florida Community Bank, NA Weston FL - N/A 3 $ 150,000 Transfer of cap due to servicing transfer

$ 149,998 Updated due to quarterly assessment and reallocation

$ 169,998 Transfer of cap due to servicing transfer

$ 169,961 Updated due to quarterly assessment and reallocation

$ 169,888 Updated due to quarterly assessment and reallocation

$ 169,863 Updated due to quarterly assessment and reallocation

$ 197,023 Updated due to quarterly assessment and reallocation

$ 197,007 Updated due to quarterly assessment and reallocation

$ 196,943 Updated due to quarterly assessment and reallocation

$ 196,928 Updated due to quarterly assessment and reallocation

$ 196,908 Updated due to quarterly assessment and reallocation

$ 182,372 Updated due to quarterly assessment and reallocation

$ 137,326 Reallocation due to MHA program deobligation

$ 127,326 Transfer of cap due to servicing transfer

$ 126,608 Updated due to quarterly assessment and reallocation

$ 120,987 Updated due to quarterly assessment and reallocation

$ 117,629 Updated due to quarterly assessment and reallocation

$ 114,270 Updated due to quarterly assessment and reallocation

$ 84,270 Transfer of cap due to servicing transfer

FNF Servicing, Inc Virginia Beach VA - N/A 3 $ 3,650,000 Transfer of cap due to servicing transfer

$ 3,578,915 Transfer of cap due to servicing transfer

$ 3,574,199 Transfer of cap due to servicing transfer

$ 3,537,831 Transfer of cap due to servicing transfer

$ 3,536,730 Transfer of cap due to servicing transfer

$ 2,089,469 Transfer of cap due to servicing transfer

$ 1,909,976 Transfer of cap due to servicing transfer

$ 1,722,333 Transfer of cap due to servicing transfer

$ 1,713,222 Transfer of cap due to servicing transfer

$ 1,683,518 Transfer of cap due to servicing transfer

04/25/2018 $ (58,728) $ 1,624,790 Transfer of cap due to servicing transfer

03/22/2018 $ (29,704)

02/26/2018 $ (9,111)

12/21/2017 $ (187,643)

10/26/2017 $ (179,493)

09/26/2017 $ (1,447,261)

07/26/2017 $ (1,101)

06/26/2017 $ (36,368)

04/26/2017 $ (4,716)

02/27/2017 $ (71,085)

######## Purchase Financial Instrument for Home Loan Modifications 02/16/2017 $ 3,650,000

09/15/2016 $ (30,000)

07/27/2016 $ (3,359)

06/27/2016 $ (3,358)

05/31/2016 $ (5,621)

03/28/2016 $ (718)

03/16/2016 $ (10,000)

02/25/2016 $ (45,046)

12/28/2015 $ (14,536)

09/28/2015 $ (20)

06/25/2015 $ (15)

04/28/2015 $ (64)

03/26/2015 $ (16)

12/29/2014 $ 27,160

09/29/2014 $ (25)

07/29/2014 $ (73)

06/26/2014 $ (37)

04/16/2014 $ 20,000

03/26/2014 $ (2)

######## Purchase Financial Instrument for Home Loan Modifications 02/13/2014 $ 150,000

01/13/2017 $ 10,000

09/15/2016 $ 10,000

01/14/2016 $ 10,000

05/14/2015 $ 10,000

04/16/2015 $ 10,000

07/01/2014 $ (1,152,408)

06/26/2014 $ (2,267)

03/26/2014 $ (192)

12/23/2013 $ (5,463)

09/27/2013 $ (3)

06/27/2013 $ (9)

03/25/2013 $ (24)

12/27/2012 $ (6)

09/27/2012 $ (37)

06/28/2012 $ (14)

06/29/2011 $ (18)

03/30/2011 $ (2)

01/06/2011 $ (2)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 360,445

05/31/2016 $ 588

######## Purchase Financial Instrument for Home Loan Modifications 04/14/2016 $ 30,000

03/23/2011 $ (580,221)

01/06/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 180,222

09/26/2017 $ 1,524

######## Purchase Financial Instrument for Home Loan Modifications 07/26/2017 $ 29,232

01/26/2011 $ (290,111)

09/30/2010 $ (9,889)

07/14/2010 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 150,000

07/14/2016 $ (10,000)

05/16/2016 $ (20,000)

03/28/2016 $ (42)

02/25/2016 $ (2,025)

02/16/2016 $ (10,000)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

97
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,620,338 Transfer of cap due to servicing transfer

Franklin Credit Management 

Corporation Jersey City NJ $ 27,510,000 N/A $ 33,520,000 Updated portfolio data from servicer/additional program initial cap

$ 13,770,000 Updated portfolio data from servicer/additional program initial 

cap $ 8,990,000 Updated portfolio data from servicer

$ 6,600,000 Updated portfolio data from servicer

$ 9,573,670 Updated portfolio data from servicer

$ 9,573,667 Updated due to quarterly assessment and reallocation

$ 7,773,667 Transfer of cap due to servicing transfer

$ 7,773,661 Updated due to quarterly assessment and reallocation

$ 7,773,600 Updated due to quarterly assessment and reallocation

$ 7,673,600 Transfer of cap due to servicing transfer

$ 7,673,542 Updated due to quarterly assessment and reallocation

$ 7,673,378 Updated due to quarterly assessment and reallocation

$ 7,673,349 Updated due to quarterly assessment and reallocation

$ 7,673,239 Updated due to quarterly assessment and reallocation

$ 7,673,197 Updated due to quarterly assessment and reallocation

$ 7,673,182 Updated due to quarterly assessment and reallocation

$ 7,647,458 Updated due to quarterly assessment and reallocation

$ 7,687,458 Transfer of cap due to servicing transfer

$ 7,686,545 Updated due to quarterly assessment and reallocation

$ 7,675,767 Updated due to quarterly assessment and reallocation

$ 7,654,357 Updated due to quarterly assessment and reallocation

$ 7,647,284 Updated due to quarterly assessment and reallocation

$ 6,890,088 Updated due to quarterly assessment and reallocation

$ 6,605,319 Updated due to quarterly assessment and reallocation

$ 6,595,319 Transfer of cap due to servicing transfer

$ 5,473,220 Updated due to quarterly assessment and reallocation

$ 5,207,102 Updated due to quarterly assessment and reallocation

$ 5,197,102 Transfer of cap due to servicing transfer

$ 4,843,425 Updated due to quarterly assessment and reallocation

$ 4,833,425 Transfer of cap due to servicing transfer

$ 4,575,548 Updated due to quarterly assessment and reallocation

$ 3,732,460 Reallocation due to MHA program deobligation

$ 3,714,849 Updated due to quarterly assessment and reallocation

$ 3,577,011 Updated due to quarterly assessment and reallocation

$ 3,494,670 Updated due to quarterly assessment and reallocation

$ 3,411,183 Updated due to quarterly assessment and reallocation

$ 3,281,183 Transfer of cap due to servicing transfer

$ 3,185,545 Updated due to quarterly assessment and reallocation

$ 3,095,173 Updated due to quarterly assessment and reallocation

$ 3,130,015 Updated due to quarterly assessment and reallocation

$ 3,128,085 Updated due to quarterly assessment and reallocation

$ 3,127,790 Transfer of cap due to servicing transfer

$ 3,122,678 Transfer of cap due to servicing transfer

$ 3,122,343 Transfer of cap due to servicing transfer

$ 3,119,766 Transfer of cap due to servicing transfer

$ 3,119,688 Transfer of cap due to servicing transfer

$ 3,089,378 Transfer of cap due to servicing transfer

$ 3,085,619 Transfer of cap due to servicing transfer

$ 3,081,703 Transfer of cap due to servicing transfer

$ 3,081,513 Transfer of cap due to servicing transfer

$ 3,080,893 Transfer of cap due to servicing transfer

$ 3,079,668 Transfer of cap due to servicing transfer

$ 3,079,438 Transfer of cap due to servicing transfer

Franklin Savings Cincinnati OH $ 1,700,000 N/A $ 2,465,945 Updated portfolio data from servicer

$ 2,465,941 Updated due to quarterly assessment and reallocation

$ 2,465,937 Updated due to quarterly assessment and reallocation

$ 2,465,897 Updated due to quarterly assessment and reallocation

$ 2,465,867 Updated due to quarterly assessment and reallocation

$ 2,465,784 Updated due to quarterly assessment and reallocation

$ 2,465,770 Updated due to quarterly assessment and reallocation

$ 2,465,717 Updated due to quarterly assessment and reallocation

$ 2,455,717 Transfer of cap due to servicing transfer

$ 2,455,697 Updated due to quarterly assessment and reallocation

$ 2,455,690 Updated due to quarterly assessment and reallocation

6 $ 9,615 Termination of SPA

Freedom Mortgage Corporation Fishers IN - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

01/13/2017 $ 10,000 $ 30,000 Transfer of cap due to servicing transfer

07/14/2016 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 02/16/2016 $ 10,000

10/24/2013 $ (2,446,075)

09/27/2013 $ (7)

06/27/2013 $ (20)

06/14/2013 $ (10,000)

03/25/2013 $ (53)

12/27/2012 $ (14)

09/27/2012 $ (83)

06/28/2012 $ (30)

06/29/2011 $ (40)

03/30/2011 $ (4)

01/06/2011 $ (4)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 765,945

06/21/2018 $ (230)

04/25/2018 $ (1,225)

03/22/2018 $ (620)

02/26/2018 $ (190)

12/21/2017 $ (3,916)

10/26/2017 $ (3,759)

09/26/2017 $ (30,310)

07/26/2017 $ (78)

06/26/2017 $ (2,577)

04/26/2017 $ (335)

02/27/2017 $ (5,112)

12/27/2016 $ (295)

11/29/2016 $ (1,930)

11/07/2016 $ 34,842

10/25/2016 $ (90,372)

09/28/2016 $ (95,638)

08/16/2016 $ (130,000)

07/27/2016 $ (83,487)

06/27/2016 $ (82,341)

05/31/2016 $ (137,838)

03/28/2016 $ (17,611)

02/25/2016 $ (843,088)

12/28/2015 $ (257,877)

11/16/2015 $ (10,000)

09/28/2015 $ (353,677)

08/14/2015 $ (10,000)

06/25/2015 $ (266,118)

04/28/2015 $ (1,122,099)

04/16/2015 $ (10,000)

03/26/2015 $ (284,769)

12/29/2014 $ (757,196)

09/29/2014 $ (7,073)

07/29/2014 $ (21,410)

06/26/2014 $ (10,778)

03/26/2014 $ (913)

03/14/2014 $ 40,000

12/23/2013 $ (25,724)

09/27/2013 $ (15)

06/27/2013 $ (42)

03/25/2013 $ (110)

12/27/2012 $ (29)

09/27/2012 $ (164)

06/28/2012 $ (58)

10/14/2011 $ (100,000)

06/29/2011 $ (61)

03/30/2011 $ (6)

02/16/2011 $ (1,800,000)

01/06/2011 $ (3)

09/30/2010 $ 2,973,670

07/14/2010 $ (2,390,000)

03/26/2010 $ (4,780,000)

12/30/2009 $ (19,750,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 6,010,000

06/21/2018 $ (4,452)

98
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

Fresno County Federal Credit Union Fresno CA $ 260,000 N/A $ 740,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

6 $ 24,954 Termination of SPA

Gateway Mortgage Group, LLC Tulsa OK $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

Georgia Housing & Finance Authority 

DBA State Home Mortgage Atlanta GA - N/A 3 $ 40,000 Transfer of cap due to servicing transfer

GFA Federal Credit Union Gardner MA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

- Termination of SPA

Glass City Federal Credit Union Maumee OH $ 230,000 N/A $ 290,000 Updated portfolio data from servicer/additional program initial 

cap $ 280,000 Updated portfolio data from servicer/additional program initial 

cap $ 410,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,098 Updated due to quarterly assessment and reallocation

$ 290,094 Updated due to quarterly assessment and reallocation

$ 290,092 Updated due to quarterly assessment and reallocation

$ 290,091 Updated due to quarterly assessment and reallocation

$ 289,112 Updated due to quarterly assessment and reallocation

$ 289,078 Updated due to quarterly assessment and reallocation

$ 288,672 Updated due to quarterly assessment and reallocation

$ 287,865 Updated due to quarterly assessment and reallocation

$ 287,598 Updated due to quarterly assessment and reallocation

6 $ 12,474 Termination of SPA

Glenview State Bank Glenview IL $ 370,000 N/A $ 390,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,640,000 Updated portfolio data from servicer

- Termination of SPA

Golden Plains Credit Union Garden City KS $ 170,000 N/A $ 180,000 Updated portfolio data from servicer/additional program initial 

cap $ 210,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

- Termination of SPA

Grafton Suburban Credit Union North Grafton MA $ 340,000 N/A $ 360,000 Updated portfolio data from servicer/additional program initial 

cap 03/26/2010 $ (320,000) $ 40,000 Updated portfolio data from servicer

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

02/17/2011 $ (290,111)

09/30/2010 $ 90,111

07/14/2010 $ (10,000)

03/26/2010 $ 30,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

05/26/2010 $ (1,640,000)

03/26/2010 $ 1,250,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

11/03/2014 $ (275,124)

09/29/2014 $ (267)

07/29/2014 $ (807)

06/26/2014 $ (406)

03/26/2014 $ (34)

12/23/2013 $ (979)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (4)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ (9,889)

07/14/2010 $ (110,000)

03/26/2010 $ 130,000

12/30/2009 $ (10,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 60,000

03/23/2011 $ (145,056)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

######## Purchase Financial Instrument for Home Loan Modifications 05/14/2015 $ 40,000

08/16/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

07/06/2012 $ (555,252)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (19,778)

07/14/2010 $ (140,000)

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 480,000

99
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 800,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 725,265 Updated due to quarterly assessment and reallocation

- Termination of SPA

Great Lakes Credit Union North Chicago IL $ 570,000 N/A $ 1,600,000 Updated portfolio data from servicer/additional program initial 

cap $ 720,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,186 Updated due to quarterly assessment and reallocation

$ 580,175 Updated due to quarterly assessment and reallocation

$ 580,171 Updated due to quarterly assessment and reallocation

$ 580,170 Updated due to quarterly assessment and reallocation

$ 577,732 Updated due to quarterly assessment and reallocation

$ 577,646 Updated due to quarterly assessment and reallocation

$ 576,721 Updated due to quarterly assessment and reallocation

$ 574,932 Updated due to quarterly assessment and reallocation

$ 574,325 Updated due to quarterly assessment and reallocation

$ 509,427 Updated due to quarterly assessment and reallocation

$ 484,048 Updated due to quarterly assessment and reallocation

$ 398,646 Updated due to quarterly assessment and reallocation

$ 379,644 Updated due to quarterly assessment and reallocation

$ 356,376 Updated due to quarterly assessment and reallocation

$ 336,315 Updated due to quarterly assessment and reallocation

$ 265,238 Reallocation due to MHA program deobligation

$ 263,753 Updated due to quarterly assessment and reallocation

$ 252,133 Updated due to quarterly assessment and reallocation

$ 244,250 Updated due to quarterly assessment and reallocation

$ 236,364 Updated due to quarterly assessment and reallocation

$ 222,574 Updated due to quarterly assessment and reallocation

$ 209,543 Updated due to quarterly assessment and reallocation

$ 214,567 Updated due to quarterly assessment and reallocation

$ 214,390 Updated due to quarterly assessment and reallocation

$ 214,389 Transfer of cap due to servicing transfer

$ 214,223 Transfer of cap due to servicing transfer

$ 214,197 Transfer of cap due to servicing transfer

$ 213,996 Transfer of cap due to servicing transfer

$ 213,992 Transfer of cap due to servicing transfer

$ 213,302 Transfer of cap due to servicing transfer

$ 213,216 Transfer of cap due to servicing transfer

$ 213,127 Transfer of cap due to servicing transfer

$ 213,123 Transfer of cap due to servicing transfer

$ 213,109 Transfer of cap due to servicing transfer

$ 213,081 Transfer of cap due to servicing transfer

$ 213,076 Transfer of cap due to servicing transfer

Greater Nevada LLC dba Greater 

Nevada Mortgage Carson City NV $ 770,000 N/A $ 9,450,000 Updated portfolio data from servicer

$ 700,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,324 Updated due to quarterly assessment and reallocation

$ 870,320 Updated due to quarterly assessment and reallocation

$ 870,310 Updated due to quarterly assessment and reallocation

$ 870,308 Updated due to quarterly assessment and reallocation

$ 870,301 Updated due to quarterly assessment and reallocation

$ 870,299 Updated due to quarterly assessment and reallocation

$ 870,298 Updated due to quarterly assessment and reallocation

$ 868,794 Updated due to quarterly assessment and reallocation

$ 868,751 Updated due to quarterly assessment and reallocation

$ 868,260 Updated due to quarterly assessment and reallocation

$ 867,285 Updated due to quarterly assessment and reallocation

$ 866,963 Updated due to quarterly assessment and reallocation

12/29/2014 $ (10,113) $ 856,850 Updated due to quarterly assessment and reallocation

09/29/2014 $ (322)

07/29/2014 $ (975)

06/26/2014 $ (491)

03/26/2014 $ (43)

12/23/2013 $ (1,504)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (7)

12/27/2012 $ (2)

09/27/2012 $ (10)

06/28/2012 $ (4)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 170,334

07/14/2010 $ (8,750,000)

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 8,680,000

06/21/2018 $ (5)

04/25/2018 $ (28)

03/22/2018 $ (14)

02/26/2018 $ (4)

12/21/2017 $ (89)

10/26/2017 $ (86)

09/26/2017 $ (690)

07/26/2017 $ (4)

06/26/2017 $ (201)

04/26/2017 $ (26)

02/27/2017 $ (166)

12/27/2016 $ (1)

11/29/2016 $ (177)

11/07/2016 $ 5,024

10/25/2016 $ (13,031)

09/28/2016 $ (13,790)

07/27/2016 $ (7,886)

06/27/2016 $ (7,883)

05/31/2016 $ (11,620)

03/28/2016 $ (1,485)

02/25/2016 $ (71,077)

12/28/2015 $ (20,061)

09/28/2015 $ (23,268)

06/25/2015 $ (19,002)

04/28/2015 $ (85,402)

03/26/2015 $ (25,379)

12/29/2014 $ (64,898)

09/29/2014 $ (607)

07/29/2014 $ (1,789)

06/26/2014 $ (925)

03/26/2014 $ (86)

12/23/2013 $ (2,438)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (11)

12/27/2012 $ (3)

09/27/2012 $ (17)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 180,222

07/14/2010 $ (320,000)

03/26/2010 $ (880,000)

######## Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ 1,030,000

01/25/2012 $ (725,265)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (74,722)

07/14/2010 $ 760,000

100
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 855,078 Updated due to quarterly assessment and reallocation

$ 1,352,737 Updated due to quarterly assessment and reallocation

$ 1,351,980 Updated due to quarterly assessment and reallocation

$ 1,346,394 Updated due to quarterly assessment and reallocation

$ 1,336,121 Updated due to quarterly assessment and reallocation

$ 1,120,511 Reallocation due to MHA program deobligation

$ 1,115,386 Updated due to quarterly assessment and reallocation

$ 1,067,819 Updated due to quarterly assessment and reallocation

$ 1,036,580 Updated due to quarterly assessment and reallocation

$ 1,005,332 Updated due to quarterly assessment and reallocation

$ 972,342 Updated due to quarterly assessment and reallocation

$ 1,048,719 Updated due to quarterly assessment and reallocation

$ 1,048,719 Updated due to quarterly assessment and reallocation

$ 1,048,483 Updated due to quarterly assessment and reallocation

$ 1,048,453 Transfer of cap due to servicing transfer

$ 1,047,713 Transfer of cap due to servicing transfer

$ 1,047,664 Transfer of cap due to servicing transfer

$ 1,047,232 Transfer of cap due to servicing transfer

$ 1,047,219 Transfer of cap due to servicing transfer

$ 1,066,160 Transfer of cap due to servicing transfer

$ 1,065,614 Transfer of cap due to servicing transfer

$ 1,065,046 Transfer of cap due to servicing transfer

$ 1,086,160 Transfer of cap due to servicing transfer

Gregory Funding, LLC Beaverton OR - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 1,100,000 Transfer of cap due to servicing transfer

$ 1,200,000 Transfer of cap due to servicing transfer

$ 1,199,991 Updated due to quarterly assessment and reallocation

$ 1,219,991 Transfer of cap due to servicing transfer

$ 1,219,965 Updated due to quarterly assessment and reallocation

$ 1,269,965 Transfer of cap due to servicing transfer

$ 1,279,965 Transfer of cap due to servicing transfer

$ 1,279,960 Updated due to quarterly assessment and reallocation

$ 1,409,960 Transfer of cap due to servicing transfer

$ 1,529,960 Transfer of cap due to servicing transfer

$ 1,529,940 Updated due to quarterly assessment and reallocation

$ 1,609,940 Transfer of cap due to servicing transfer

$ 2,029,940 Transfer of cap due to servicing transfer

$ 2,029,930 Updated due to quarterly assessment and reallocation

$ 2,029,926 Updated due to quarterly assessment and reallocation

$ 2,149,926 Transfer of cap due to servicing transfer

$ 2,142,241 Updated due to quarterly assessment and reallocation

$ 2,152,241 Transfer of cap due to servicing transfer

$ 2,151,967 Updated due to quarterly assessment and reallocation

$ 2,391,967 Transfer of cap due to servicing transfer

$ 2,421,967 Transfer of cap due to servicing transfer

$ 2,418,571 Updated due to quarterly assessment and reallocation

$ 2,412,030 Updated due to quarterly assessment and reallocation

$ 2,502,030 Transfer of cap due to servicing transfer

$ 2,532,030 Transfer of cap due to servicing transfer

$ 2,529,880 Updated due to quarterly assessment and reallocation

$ 2,629,880 Transfer of cap due to servicing transfer

$ 2,889,880 Transfer of cap due to servicing transfer

$ 2,767,248 Updated due to quarterly assessment and reallocation

$ 2,827,248 Transfer of cap due to servicing transfer

$ 3,517,248 Transfer of cap due to servicing transfer

$ 3,479,843 Updated due to quarterly assessment and reallocation

$ 3,335,359 Updated due to quarterly assessment and reallocation

$ 3,294,130 Updated due to quarterly assessment and reallocation

$ 3,334,130 Transfer of cap due to servicing transfer

$ 5,194,130 Transfer of cap due to servicing transfer

$ 6,754,130 Transfer of cap due to servicing transfer

$ 6,345,866 Updated due to quarterly assessment and reallocation

$ 7,085,866 Transfer of cap due to servicing transfer

$ 7,635,866 Transfer of cap due to servicing transfer

$ 7,166,600 Updated due to quarterly assessment and reallocation

$ 7,796,600 Transfer of cap due to servicing transfer

$ 8,536,600 Transfer of cap due to servicing transfer

$ 6,147,489 Reallocation due to MHA program deobligation

$ 6,327,489 Transfer of cap due to servicing transfer

03/28/2016 $ (53,531) $ 6,273,958 Updated due to quarterly assessment and reallocation

03/16/2016 $ 180,000

02/25/2016 $ (2,389,111)

02/16/2016 $ 740,000

01/14/2016 $ 630,000

12/28/2015 $ (469,266)

12/16/2015 $ 550,000

10/15/2015 $ 740,000

09/28/2015 $ (408,264)

09/16/2015 $ 1,560,000

08/14/2015 $ 1,860,000

07/16/2015 $ 40,000

06/25/2015 $ (41,229)

04/28/2015 $ (144,484)

03/26/2015 $ (37,405)

03/16/2015 $ 690,000

01/15/2015 $ 60,000

12/29/2014 $ (122,632)

12/16/2014 $ 260,000

11/14/2014 $ 100,000

09/29/2014 $ (2,150)

09/16/2014 $ 30,000

08/14/2014 $ 90,000

07/29/2014 $ (6,541)

06/26/2014 $ (3,396)

06/16/2014 $ 30,000

04/16/2014 $ 240,000

03/26/2014 $ (274)

03/14/2014 $ 10,000

12/23/2013 $ (7,685)

11/14/2013 $ 120,000

09/27/2013 $ (4)

06/27/2013 $ (10)

06/14/2013 $ 420,000

05/16/2013 $ 80,000

03/25/2013 $ (20)

02/14/2013 $ 120,000

01/16/2013 $ 130,000

12/27/2012 $ (5)

12/14/2012 $ 10,000

10/16/2012 $ 50,000

09/27/2012 $ (26)

08/16/2012 $ 20,000

06/28/2012 $ (9)

01/13/2012 $ 100,000

11/16/2011 $ 900,000

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2011 $ 200,000

02/26/2018 $ 21,114

12/21/2017 $ (568)

10/26/2017 $ (546)

09/26/2017 $ 18,941

07/26/2017 $ (13)

06/26/2017 $ (432)

04/26/2017 $ (49)

02/27/2017 $ (740)

12/27/2016 $ (30)

11/29/2016 $ (236)

11/07/2016 -

10/25/2016 $ 76,377

09/28/2016 $ (32,990)

07/27/2016 $ (31,248)

06/27/2016 $ (31,239)

05/31/2016 $ (47,567)

03/28/2016 $ (5,125)

02/25/2016 $ (215,610)

12/28/2015 $ (10,273)

09/28/2015 $ (5,586)

06/25/2015 $ (757)

04/28/2015 $ 497,659

03/26/2015 $ (1,772)

101
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 7,023,958 Transfer of cap due to servicing transfer

$ 7,173,958 Transfer of cap due to servicing transfer

$ 6,573,340 Updated due to quarterly assessment and reallocation

$ 7,133,340 Transfer of cap due to servicing transfer

$ 6,774,610 Updated due to quarterly assessment and reallocation

$ 6,894,610 Transfer of cap due to servicing transfer

$ 6,512,418 Updated due to quarterly assessment and reallocation

$ 6,652,418 Transfer of cap due to servicing transfer

$ 6,702,418 Transfer of cap due to servicing transfer

$ 5,914,953 Updated due to quarterly assessment and reallocation

$ 7,104,953 Transfer of cap due to servicing transfer

$ 6,117,959 Updated due to quarterly assessment and reallocation

$ 6,498,480 Updated due to quarterly assessment and reallocation

$ 6,488,331 Updated due to quarterly assessment and reallocation

$ 7,878,331 Transfer of cap due to servicing transfer

$ 7,875,780 Transfer of cap due to servicing transfer

$ 8,845,780 Transfer of cap due to servicing transfer

$ 8,786,829 Transfer of cap due to servicing transfer

$ 10,076,829 Transfer of cap due to servicing transfer

$ 10,071,865 Transfer of cap due to servicing transfer

$ 10,033,512 Transfer of cap due to servicing transfer

$ 10,032,436 Transfer of cap due to servicing transfer

$ 8,793,586 Transfer of cap due to servicing transfer

$ 8,648,519 Transfer of cap due to servicing transfer

$ 8,482,109 Transfer of cap due to servicing transfer

$ 10,801,939 Transfer of cap due to servicing transfer

$ 10,796,739 Transfer of cap due to servicing transfer

$ 10,788,906 Transfer of cap due to servicing transfer

$ 10,788,533 Transfer of cap due to servicing transfer

Guaranty Bank Saint Paul MN $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

Guardian Mortgage Company, Inc Richardson TX $ 1 N/A $ 88,275 Transfer of cap due to servicing transfer

Harleysville National Bank & Trust 

Company Harleysville PA $ 1,070,000 N/A - Termination of SPA

Hartford Savings Bank Hartford WI $ 630,000 N/A $ 660,000 Updated portfolio data from servicer/additional program initial 

cap 03/26/2010 $ 800,000 $ 1,460,000 Updated portfolio data from servicer

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

######## Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (1,070,000)

######## Purchase Financial Instrument for Home Loan Modifications 03/22/2018 $ 88,274

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

06/21/2018 $ (373)

04/25/2018 $ (7,833)

03/22/2018 $ (5,200)

02/26/2018 $ 2,319,830

12/21/2017 $ (166,410)

10/26/2017 $ (145,067)

09/26/2017 $ (1,238,850)

07/26/2017 $ (1,076)

06/26/2017 $ (38,353)

04/26/2017 $ (4,964)

03/16/2017 $ 1,290,000

02/27/2017 $ (58,951)

01/13/2017 $ 970,000

12/27/2016 $ (2,551)

12/15/2016 $ 1,390,000

11/29/2016 $ (10,149)

11/07/2016 $ 380,521

10/25/2016 $ (986,994)

10/14/2016 $ 1,190,000

09/28/2016 $ (787,465)

09/15/2016 $ 50,000

08/16/2016 $ 140,000

07/27/2016 $ (382,192)

07/14/2016 $ 120,000

06/27/2016 $ (358,730)

06/16/2016 $ 560,000

05/31/2016 $ (600,618)

05/16/2016 $ 150,000

04/14/2016 $ 750,000

102
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,100,000 Updated portfolio data from servicer

$ 1,160,445 Updated portfolio data from servicer

$ 1,160,443 Updated due to quarterly assessment and reallocation

$ 1,160,441 Updated due to quarterly assessment and reallocation

$ 1,160,423 Updated due to quarterly assessment and reallocation

$ 1,160,409 Updated due to quarterly assessment and reallocation

$ 1,160,372 Updated due to quarterly assessment and reallocation

$ 1,160,366 Updated due to quarterly assessment and reallocation

$ 1,160,342 Updated due to quarterly assessment and reallocation

$ 1,160,333 Updated due to quarterly assessment and reallocation

$ 1,160,330 Updated due to quarterly assessment and reallocation

$ 1,154,867 Updated due to quarterly assessment and reallocation

$ 1,154,675 Updated due to quarterly assessment and reallocation

$ 1,152,408 Updated due to quarterly assessment and reallocation

$ 1,147,906 Updated due to quarterly assessment and reallocation

$ 1,146,419 Updated due to quarterly assessment and reallocation

$ 966,267 Updated due to quarterly assessment and reallocation

$ 898,515 Updated due to quarterly assessment and reallocation

- Termination of SPA

Heartland Bank & Trust Company Bloomington IL - N/A 3 $ 90,000 Transfer of cap due to servicing transfer

$ 110,556 Updated due to quarterly assessment and reallocation

$ 110,555 Updated due to quarterly assessment and reallocation

$ 190,556 Updated due to quarterly assessment and reallocation

$ 190,532 Updated due to quarterly assessment and reallocation

$ 190,401 Updated due to quarterly assessment and reallocation

$ 190,345 Updated due to quarterly assessment and reallocation

$ 190,214 Updated due to quarterly assessment and reallocation

$ 188,276 Updated due to quarterly assessment and reallocation

$ 176,896 Reallocation due to MHA program deobligation

$ 176,658 Updated due to quarterly assessment and reallocation

$ 174,798 Updated due to quarterly assessment and reallocation

$ 173,687 Updated due to quarterly assessment and reallocation

$ 172,575 Updated due to quarterly assessment and reallocation

$ 170,631 Updated due to quarterly assessment and reallocation

$ 168,793 Updated due to quarterly assessment and reallocation

$ 169,502 Updated due to quarterly assessment and reallocation

$ 169,417 Updated due to quarterly assessment and reallocation

$ 169,404 Transfer of cap due to servicing transfer

$ 169,180 Transfer of cap due to servicing transfer

$ 169,165 Transfer of cap due to servicing transfer

$ 169,052 Transfer of cap due to servicing transfer

$ 169,049 Transfer of cap due to servicing transfer

$ 168,537 Transfer of cap due to servicing transfer

$ 168,473 Transfer of cap due to servicing transfer

$ 168,407 Transfer of cap due to servicing transfer

$ 168,404 Transfer of cap due to servicing transfer

$ 168,394 Transfer of cap due to servicing transfer

$ 168,373 Transfer of cap due to servicing transfer

$ 168,369 Transfer of cap due to servicing transfer

Hillsdale County National Bank Hillsdale MI $ 1,670,000 N/A $ 1,750,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,080,000 Updated portfolio data from servicer

$ 1,000,000 Updated portfolio data from servicer

$ 1,160,445 Updated portfolio data from servicer

$ 1,160,444 Updated due to quarterly assessment and reallocation

$ 1,160,442 Updated due to quarterly assessment and reallocation

$ 1,160,426 Updated due to quarterly assessment and reallocation

$ 1,160,414 Updated due to quarterly assessment and reallocation

$ 1,160,381 Updated due to quarterly assessment and reallocation

$ 1,160,375 Updated due to quarterly assessment and reallocation

$ 1,160,354 Updated due to quarterly assessment and reallocation

$ 1,160,346 Updated due to quarterly assessment and reallocation

$ 1,160,343 Updated due to quarterly assessment and reallocation

$ 1,155,546 Updated due to quarterly assessment and reallocation

$ 1,155,377 Updated due to quarterly assessment and reallocation

$ 1,153,381 Updated due to quarterly assessment and reallocation

$ 1,149,416 Updated due to quarterly assessment and reallocation

$ 1,148,105 Updated due to quarterly assessment and reallocation

$ 1,004,094 Updated due to quarterly assessment and reallocation

$ 949,074 Updated due to quarterly assessment and reallocation

04/28/2015 $ (152,138) $ 796,936 Updated due to quarterly assessment and reallocation

03/26/2015 $ (55,020)

12/29/2014 $ (144,011)

09/29/2014 $ (1,311)

07/29/2014 $ (3,965)

06/26/2014 $ (1,996)

03/26/2014 $ (169)

12/23/2013 $ (4,797)

09/27/2013 $ (3)

06/27/2013 $ (8)

03/25/2013 $ (21)

12/27/2012 $ (6)

09/27/2012 $ (33)

06/28/2012 $ (12)

06/29/2011 $ (16)

03/30/2011 $ (2)

01/06/2011 $ (1)

09/30/2010 $ 160,445

07/14/2010 $ (1,080,000)

03/26/2010 $ 330,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 80,000

06/21/2018 $ (4)

04/25/2018 $ (21)

03/22/2018 $ (10)

02/26/2018 $ (3)

12/21/2017 $ (66)

10/26/2017 $ (64)

09/26/2017 $ (512)

07/26/2017 $ (3)

06/26/2017 $ (113)

04/26/2017 $ (15)

02/27/2017 $ (224)

12/27/2016 $ (13)

11/29/2016 $ (85)

11/07/2016 $ 709

10/25/2016 $ (1,838)

09/28/2016 $ (1,944)

07/27/2016 $ (1,112)

06/27/2016 $ (1,111)

05/31/2016 $ (1,860)

03/28/2016 $ (238)

02/25/2016 $ (11,380)

12/28/2015 $ (1,938)

09/28/2015 $ (131)

06/25/2015 $ (56)

04/28/2015 $ (131)

03/26/2015 $ (24)

12/29/2014 $ 80,001

09/29/2014 $ (1)

06/26/2014 $ 20,556

######## Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 90,000

04/02/2015 $ (898,515)

03/26/2015 $ (67,752)

12/29/2014 $ (180,152)

09/29/2014 $ (1,487)

07/29/2014 $ (4,502)

06/26/2014 $ (2,267)

03/26/2014 $ (192)

12/23/2013 $ (5,463)

09/27/2013 $ (3)

06/27/2013 $ (9)

03/25/2013 $ (24)

12/27/2012 $ (6)

09/27/2012 $ (37)

06/28/2012 $ (14)

06/29/2011 $ (18)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 60,445

07/14/2010 $ (360,000)

103
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 763,511 Updated due to quarterly assessment and reallocation

$ 718,805 Updated due to quarterly assessment and reallocation

$ 684,699 Updated due to quarterly assessment and reallocation

$ 505,039 Reallocation due to MHA program deobligation

$ 501,132 Updated due to quarterly assessment and reallocation

$ 470,549 Updated due to quarterly assessment and reallocation

$ 452,279 Updated due to quarterly assessment and reallocation

$ 432,883 Updated due to quarterly assessment and reallocation

$ 450,481 Updated due to quarterly assessment and reallocation

$ 450,288 Updated due to quarterly assessment and reallocation

$ 450,259 Transfer of cap due to servicing transfer

$ 449,748 Transfer of cap due to servicing transfer

$ 449,715 Transfer of cap due to servicing transfer

$ 449,458 Transfer of cap due to servicing transfer

$ 449,450 Transfer of cap due to servicing transfer

$ 450,481 Transfer of cap due to servicing transfer

$ 450,369 Transfer of cap due to servicing transfer

$ 450,148 Transfer of cap due to servicing transfer

$ 450,481 Transfer of cap due to servicing transfer

Home Financing Center, Inc Coral Gables FL $ 230,000 N/A - Termination of SPA

Home Loan Services, Inc. Pittsburgh PA $ 319,000,000 N/A $ 447,300,000 Updated portfolio data from servicer

$ 494,030,000 Updated portfolio data from servicer/additional program initial 

cap $ 639,850,000 Updated portfolio data from servicer/additional program initial 

cap $ 622,410,000 Updated portfolio data from servicer

$ 549,400,000 Updated portfolio data from servicer

$ 556,100,000 Updated portfolio data from servicer/additional program initial 

cap $ 478,973,590 Updated portfolio data from servicer

$ 164,073,590 Transfer of cap due to servicing transfer

$ 164,073,357 Updated due to quarterly assessment and reallocation

$ 162,173,357 Transfer of cap due to servicing transfer

$ 161,773,357 Transfer of cap due to servicing transfer

$ 161,773,079 Updated due to quarterly assessment and reallocation

$ 161,373,079 Transfer of cap due to servicing transfer

$ 161,370,454 Updated due to quarterly assessment and reallocation

7 $ 6,309,233 Termination of SPA

Home Servicing, LLC Baton Rouge LA - N/A 3 $ 510,000 Transfer of cap due to servicing transfer

$ 509,991 Updated due to quarterly assessment and reallocation

$ 709,991 Transfer of cap due to servicing transfer

$ 749,991 Transfer of cap due to servicing transfer

$ 749,987 Updated due to quarterly assessment and reallocation

$ 629,987 Transfer of cap due to servicing transfer

$ 629,985 Updated due to quarterly assessment and reallocation

$ 627,365 Updated due to quarterly assessment and reallocation

$ 627,273 Updated due to quarterly assessment and reallocation

$ 626,185 Updated due to quarterly assessment and reallocation

$ 624,024 Updated due to quarterly assessment and reallocation

$ 334,024 Transfer of cap due to servicing transfer

$ 333,692 Updated due to quarterly assessment and reallocation

$ 293,459 Updated due to quarterly assessment and reallocation

$ 278,328 Updated due to quarterly assessment and reallocation

$ 218,690 Updated due to quarterly assessment and reallocation

$ 288,690 Transfer of cap due to servicing transfer

$ 266,205 Updated due to quarterly assessment and reallocation

$ 286,205 Transfer of cap due to servicing transfer

$ 636,205 Transfer of cap due to servicing transfer

$ 559,923 Updated due to quarterly assessment and reallocation

$ 589,923 Transfer of cap due to servicing transfer

$ 525,810 Updated due to quarterly assessment and reallocation

$ 336,254 Reallocation due to MHA program deobligation

$ 766,254 Transfer of cap due to servicing transfer

$ 751,387 Updated due to quarterly assessment and reallocation

$ 761,387 Transfer of cap due to servicing transfer

$ 636,466 Updated due to quarterly assessment and reallocation

$ 966,466 Transfer of cap due to servicing transfer

$ 842,781 Updated due to quarterly assessment and reallocation

$ 719,058 Updated due to quarterly assessment and reallocation

$ 999,058 Transfer of cap due to servicing transfer

$ 1,489,058 Transfer of cap due to servicing transfer

$ 1,010,956 Updated due to quarterly assessment and reallocation

10/25/2016 $ (451,774) $ 559,182 Updated due to quarterly assessment and reallocation

09/28/2016 $ (478,102)

09/15/2016 $ 490,000

08/16/2016 $ 280,000

07/27/2016 $ (123,723)

06/27/2016 $ (123,685)

06/16/2016 $ 330,000

05/31/2016 $ (124,921)

05/16/2016 $ 10,000

03/28/2016 $ (14,867)

03/16/2016 $ 430,000

02/25/2016 $ (189,556)

12/28/2015 $ (64,113)

12/16/2015 $ 30,000

09/28/2015 $ (76,282)

08/14/2015 $ 350,000

07/16/2015 $ 20,000

06/25/2015 $ (22,485)

06/16/2015 $ 70,000

04/28/2015 $ (59,638)

03/26/2015 $ (15,131)

12/29/2014 $ (40,233)

09/29/2014 $ (332)

09/16/2014 $ (290,000)

07/29/2014 $ (2,161)

06/26/2014 $ (1,088)

03/26/2014 $ (92)

12/23/2013 $ (2,620)

09/27/2013 $ (2)

07/16/2013 $ (120,000)

06/27/2013 $ (4)

05/16/2013 $ 40,000

04/16/2013 $ 200,000

03/25/2013 $ (9)

######## Purchase Financial Instrument for Home Loan Modifications 02/14/2013 $ 510,000

10/19/2011 $ (155,061,221)

06/29/2011 $ (2,625)

05/13/2011 $ (400,000)

03/30/2011 $ (278)

03/16/2011 $ (400,000)

02/16/2011 $ (1,900,000)

01/06/2011 $ (233)

12/15/2010 $ (314,900,000)

09/30/2010 $ (77,126,410)

09/30/2010 $ 6,700,000

07/14/2010 $ (73,010,000)

03/26/2010 $ (17,440,000)

12/30/2009 $ 145,820,000

09/30/2009 $ 46,730,000

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 128,300,000

######## Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (230,000)

06/21/2018 $ 333

04/25/2018 $ (221)

03/22/2018 $ (112)

09/26/2017 $ 1,031

07/26/2017 $ (8)

06/26/2017 $ (257)

04/26/2017 $ (33)

02/27/2017 $ (511)

12/27/2016 $ (29)

11/29/2016 $ (193)

09/28/2016 $ 17,598

07/27/2016 $ (19,396)

06/27/2016 $ (18,270)

05/31/2016 $ (30,583)

03/28/2016 $ (3,907)

02/25/2016 $ (179,660)

12/28/2015 $ (34,106)

09/28/2015 $ (44,706)

06/25/2015 $ (33,425)

104
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 733,357 Updated due to quarterly assessment and reallocation

$ 730,091 Updated due to quarterly assessment and reallocation

$ 729,592 Transfer of cap due to servicing transfer

$ 1,439,592 Transfer of cap due to servicing transfer

$ 1,469,592 Transfer of cap due to servicing transfer

$ 1,446,783 Transfer of cap due to servicing transfer

$ 1,456,783 Transfer of cap due to servicing transfer

$ 1,455,288 Transfer of cap due to servicing transfer

$ 1,443,252 Transfer of cap due to servicing transfer

$ 1,442,888 Transfer of cap due to servicing transfer

$ 970,881 Transfer of cap due to servicing transfer

$ 912,345 Transfer of cap due to servicing transfer

$ 851,365 Transfer of cap due to servicing transfer

$ 848,405 Transfer of cap due to servicing transfer

$ 838,753 Transfer of cap due to servicing transfer

$ 819,671 Transfer of cap due to servicing transfer

$ 815,239 Transfer of cap due to servicing transfer

HomEq Servicing North Highlands CA $ 674,000,000 N/A $ 552,810,000 Updated portfolio data from servicer/additional program initial 

cap $ 516,520,000 Updated portfolio data from servicer/additional program initial 

cap $ 715,840,000 Updated portfolio data from servicer

$ 526,800,000 Updated portfolio data from servicer

$ 565,426,728 Updated portfolio data from servicer

$ 394,626,728 Transfer of cap due to servicing transfer

$ 372,426,728 Transfer of cap due to servicing transfer

$ 372,426,179 Updated due to quarterly assessment and reallocation

$ 371,526,179 Transfer of cap due to servicing transfer

$ 371,525,526 Updated due to quarterly assessment and reallocation

$ 371,519,358 Updated due to quarterly assessment and reallocation

$ 371,514,724 Updated due to quarterly assessment and reallocation

$ 371,084,724 Transfer of cap due to servicing transfer

$ 371,071,996 Updated due to quarterly assessment and reallocation

$ 371,051,996 Transfer of cap due to servicing transfer

$ 371,049,848 Updated due to quarterly assessment and reallocation

$ 371,041,711 Updated due to quarterly assessment and reallocation

$ 371,038,640 Updated due to quarterly assessment and reallocation

$ 371,037,539 Updated due to quarterly assessment and reallocation

$ 371,027,539 Transfer of cap due to servicing transfer

$ 369,169,319 Updated due to quarterly assessment and reallocation

13 $ 8,308,819 Termination of SPA

HomeStar Bank & Financial Services Manteno IL $ 310,000 N/A $ 330,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,150,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,319 Updated due to quarterly assessment and reallocation

$ 870,309 Updated due to quarterly assessment and reallocation

6 $ 13,323 Termination of SPA

Homeward Residential, Inc. (American 

Home Mortgage Servicing, Inc) Coppell TX $ 1,272,490,000 N/A $ 1,218,820,000 Updated portfolio data from servicer/additional program initial cap

$ 1,469,270,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,594,090,000 Updated portfolio data from servicer

$ 1,304,100,000 Updated portfolio data from servicer

$ 1,305,790,508 Updated portfolio data from servicer

$ 1,306,090,508 Transfer of cap due to servicing transfer

$ 1,305,990,508 Transfer of cap due to servicing transfer

$ 1,305,989,335 Updated due to quarterly assessment and reallocation

$ 1,305,489,335 Transfer of cap due to servicing transfer

$ 1,305,487,935 Updated due to quarterly assessment and reallocation

$ 1,308,587,935 Transfer of cap due to servicing transfer

$ 1,308,575,052 Updated due to quarterly assessment and reallocation

$ 1,307,575,052 Transfer of cap due to servicing transfer

$ 1,307,475,052 Transfer of cap due to servicing transfer

$ 1,306,375,052 Transfer of cap due to servicing transfer

$ 1,306,365,052 Transfer of cap due to servicing transfer

$ 1,306,356,674 Updated due to quarterly assessment and reallocation

$ 1,305,886,674 Transfer of cap due to servicing transfer

$ 1,305,806,674 Transfer of cap due to servicing transfer

$ 1,305,784,180 Updated due to quarterly assessment and reallocation

10/16/2012 $ (260,000) $ 1,305,524,180 Transfer of cap due to servicing transfer

09/27/2012 $ (22,494)

08/16/2012 $ (80,000)

07/16/2012 $ (470,000)

06/28/2012 $ (8,378)

05/16/2012 $ (10,000)

11/16/2011 $ (1,100,000)

10/14/2011 $ (100,000)

09/15/2011 $ (1,000,000)

06/29/2011 $ (12,883)

04/13/2011 $ 3,100,000

03/30/2011 $ (1,400)

02/16/2011 $ (500,000)

01/06/2011 $ (1,173)

11/16/2010 $ (100,000)

10/15/2010 $ 300,000

09/30/2010 $ 1,690,508

07/14/2010 $ (289,990,000)

03/26/2010 $ 124,820,000

12/30/2009 $ 250,450,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (53,670,000)

07/06/2012 $ (856,986)

06/28/2012 $ (10)

06/29/2011 $ (13)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 70,334

07/14/2010 $ (350,000)

03/26/2010 $ 820,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

02/27/2014 $ (360,860,500)

12/23/2013 $ (1,858,220)

11/14/2013 $ (10,000)

09/27/2013 $ (1,101)

06/27/2013 $ (3,071)

03/25/2013 $ (8,137)

12/27/2012 $ (2,148)

12/14/2012 $ (20,000)

09/27/2012 $ (12,728)

08/16/2012 $ (430,000)

06/28/2012 $ (4,634)

06/29/2011 $ (6,168)

03/30/2011 $ (653)

02/16/2011 $ (900,000)

01/06/2011 $ (549)

12/15/2010 $ (22,200,000)

10/15/2010 $ (170,800,000)

09/30/2010 $ 38,626,728

07/14/2010 $ (189,040,000)

03/26/2010 $ 199,320,000

12/30/2009 $ (36,290,000)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (121,190,000)

06/21/2018 $ (4,432)

04/25/2018 $ (19,082)

03/22/2018 $ (9,652)

02/26/2018 $ (2,960)

12/21/2017 $ (60,980)

10/26/2017 $ (58,536)

09/26/2017 $ (472,007)

07/26/2017 $ (364)

06/26/2017 $ (12,036)

04/26/2017 $ (1,495)

03/16/2017 $ 10,000

02/27/2017 $ (22,809)

02/16/2017 $ 30,000

01/13/2017 $ 710,000

12/27/2016 $ (499)

11/29/2016 $ (3,266)

11/07/2016 $ 174,175

105
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,305,494,180 Transfer of cap due to servicing transfer

$ 1,305,444,180 Transfer of cap due to servicing transfer

$ 1,305,440,504 Updated due to quarterly assessment and reallocation

$ 1,305,360,504 Transfer of cap due to servicing transfer

$ 1,305,380,504 Transfer of cap due to servicing transfer

$ 1,221,220,504 Transfer of cap due to servicing transfer

$ 1,221,207,683 Updated due to quarterly assessment and reallocation

$ 600,097,683 Transfer of cap due to servicing transfer

$ 580,977,683 Transfer of cap due to servicing transfer

$ 580,975,736 Updated due to quarterly assessment and reallocation

$ 566,105,736 Transfer of cap due to servicing transfer

$ 566,105,081 Updated due to quarterly assessment and reallocation

$ 566,125,081 Transfer of cap due to servicing transfer

$ 565,014,892 Updated due to quarterly assessment and reallocation

$ 564,975,861 Updated due to quarterly assessment and reallocation

$ 564,965,861 Transfer of cap due to servicing transfer

14 $ 280,490,773 Termination of SPA

Horicon Bank Horicon WI $ 560,000 N/A $ 690,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,730,000 Updated portfolio data from servicer/additional program initial 

cap $ 50,000 Updated portfolio data from servicer

$ 1,310,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer/additional program initial 

cap $ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,098 Updated due to quarterly assessment and reallocation

$ 290,094 Updated due to quarterly assessment and reallocation

$ 290,092 Updated due to quarterly assessment and reallocation

$ 290,091 Updated due to quarterly assessment and reallocation

$ 289,112 Updated due to quarterly assessment and reallocation

$ 289,078 Updated due to quarterly assessment and reallocation

$ 288,672 Updated due to quarterly assessment and reallocation

$ 287,865 Updated due to quarterly assessment and reallocation

$ 287,598 Updated due to quarterly assessment and reallocation

$ 255,301 Updated due to quarterly assessment and reallocation

$ 243,155 Updated due to quarterly assessment and reallocation

$ 195,280 Updated due to quarterly assessment and reallocation

$ 183,926 Updated due to quarterly assessment and reallocation

$ 168,759 Updated due to quarterly assessment and reallocation

$ 157,534 Updated due to quarterly assessment and reallocation

$ 125,478 Reallocation due to MHA program deobligation

$ 124,808 Updated due to quarterly assessment and reallocation

$ 119,567 Updated due to quarterly assessment and reallocation

$ 116,436 Updated due to quarterly assessment and reallocation

$ 113,304 Updated due to quarterly assessment and reallocation

$ 107,828 Updated due to quarterly assessment and reallocation

$ 102,653 Updated due to quarterly assessment and reallocation

$ 104,648 Updated due to quarterly assessment and reallocation

$ 104,612 Updated due to quarterly assessment and reallocation

$ 104,607 Transfer of cap due to servicing transfer

$ 104,512 Transfer of cap due to servicing transfer

$ 104,506 Transfer of cap due to servicing transfer

$ 104,458 Transfer of cap due to servicing transfer

$ 104,457 Transfer of cap due to servicing transfer

$ 102,550 Transfer of cap due to servicing transfer

$ 102,313 Transfer of cap due to servicing transfer

$ 102,067 Transfer of cap due to servicing transfer

$ 102,055 Transfer of cap due to servicing transfer

$ 102,016 Transfer of cap due to servicing transfer

$ 101,939 Transfer of cap due to servicing transfer

$ 101,925 Transfer of cap due to servicing transfer

Horizon Bank, NA Michigan City IN $ 700,000 N/A $ 730,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,470,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

06/29/2011 $ (23) $ 1,450,529 Updated due to quarterly assessment and reallocation

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 850,556

07/14/2010 $ (1,870,000)

03/26/2010 $ 1,740,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

06/21/2018 $ (14)

04/25/2018 $ (77)

03/22/2018 $ (39)

02/26/2018 $ (12)

12/21/2017 $ (246)

10/26/2017 $ (237)

09/26/2017 $ (1,907)

07/26/2017 $ (1)

06/26/2017 $ (48)

04/26/2017 $ (6)

02/27/2017 $ (95)

12/27/2016 $ (5)

11/29/2016 $ (36)

11/07/2016 $ 1,995

10/25/2016 $ (5,175)

09/28/2016 $ (5,476)

07/27/2016 $ (3,132)

06/27/2016 $ (3,131)

05/31/2016 $ (5,241)

03/28/2016 $ (670)

02/25/2016 $ (32,056)

12/28/2015 $ (11,225)

09/28/2015 $ (15,167)

06/25/2015 $ (11,354)

04/28/2015 $ (47,875)

03/26/2015 $ (12,146)

12/29/2014 $ (32,297)

09/29/2014 $ (267)

07/29/2014 $ (807)

06/26/2014 $ (406)

03/26/2014 $ (34)

12/23/2013 $ (979)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (4)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ (9,889)

09/30/2010 $ 100,000

07/14/2010 $ (1,110,000)

05/12/2010 $ 1,260,000

03/26/2010 $ (1,680,000)

12/30/2009 $ 1,040,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 130,000

05/28/2014 $ (284,475,088)

04/16/2014 $ (10,000)

03/26/2014 $ (39,031)

12/23/2013 $ (1,110,189)

12/16/2013 $ 20,000

09/27/2013 $ (655)

07/16/2013 $ (14,870,000)

06/27/2013 $ (1,947)

05/16/2013 $ (19,120,000)

04/16/2013 $ (621,110,000)

03/25/2013 $ (12,821)

03/14/2013 $ (84,160,000)

02/14/2013 $ 20,000

01/16/2013 $ (80,000)

12/27/2012 $ (3,676)

12/14/2012 $ (50,000)

11/15/2012 $ (30,000)

106
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,450,512 Updated due to quarterly assessment and reallocation

- Termination of SPA

Iberiabank Sarasota FL $ 4,230,000 N/A $ 4,430,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,960,000 Updated portfolio data from servicer

$ 1,400,000 Updated portfolio data from servicer

$ 7,252,780 Updated portfolio data from servicer

$ 7,252,769 Updated due to quarterly assessment and reallocation

$ 7,252,756 Updated due to quarterly assessment and reallocation

$ 6,952,756 Transfer of cap due to servicing transfer

6 $ 25,502 Termination of SPA

IBM Southeast Employees' Federal 

Credit Union Delray Beach FL $ 870,000 N/A $ 860,000 Updated portfolio data from servicer/additional program initial cap

$ 1,110,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,100,000 Updated portfolio data from servicer

$ 700,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,320 Updated due to quarterly assessment and reallocation

$ 870,311 Updated due to quarterly assessment and reallocation

6 $ 48,589 Termination of SPA

IC Federal Credit Union Fitchburg MA $ 760,000 N/A $ 800,000 Updated portfolio data from servicer/additional program initial 

cap $ 40,000 Updated portfolio data from servicer

$ 2,670,000 Updated portfolio data from servicer

$ 1,900,000 Updated portfolio data from servicer

$ 2,465,945 Updated portfolio data from servicer

$ 2,465,941 Updated due to quarterly assessment and reallocation

$ 2,465,937 Updated due to quarterly assessment and reallocation

$ 2,465,897 Updated due to quarterly assessment and reallocation

$ 2,465,868 Updated due to quarterly assessment and reallocation

$ 2,465,788 Updated due to quarterly assessment and reallocation

$ 2,465,774 Updated due to quarterly assessment and reallocation

$ 2,465,722 Updated due to quarterly assessment and reallocation

$ 2,465,703 Updated due to quarterly assessment and reallocation

$ 2,465,696 Updated due to quarterly assessment and reallocation

$ 2,454,138 Updated due to quarterly assessment and reallocation

$ 2,453,728 Updated due to quarterly assessment and reallocation

$ 2,448,891 Updated due to quarterly assessment and reallocation

$ 2,439,284 Updated due to quarterly assessment and reallocation

$ 2,436,111 Updated due to quarterly assessment and reallocation

$ 2,061,394 Updated due to quarterly assessment and reallocation

$ 1,920,445 Updated due to quarterly assessment and reallocation

$ 1,385,792 Updated due to quarterly assessment and reallocation

$ 1,257,510 Updated due to quarterly assessment and reallocation

$ 1,084,535 Updated due to quarterly assessment and reallocation

$ 956,520 Updated due to quarterly assessment and reallocation

$ 574,533 Reallocation due to MHA program deobligation

$ 566,245 Updated due to quarterly assessment and reallocation

$ 501,353 Updated due to quarterly assessment and reallocation

$ 461,646 Updated due to quarterly assessment and reallocation

$ 421,927 Updated due to quarterly assessment and reallocation

$ 350,045 Updated due to quarterly assessment and reallocation

$ 282,121 Updated due to quarterly assessment and reallocation

$ 308,308 Updated due to quarterly assessment and reallocation

$ 307,732 Updated due to quarterly assessment and reallocation

$ 307,644 Transfer of cap due to servicing transfer

$ 306,005 Transfer of cap due to servicing transfer

$ 305,898 Transfer of cap due to servicing transfer

$ 305,072 Transfer of cap due to servicing transfer

$ 305,047 Transfer of cap due to servicing transfer

$ 277,823 Transfer of cap due to servicing transfer

$ 274,447 Transfer of cap due to servicing transfer

$ 269,677 Transfer of cap due to servicing transfer

$ 269,445 Transfer of cap due to servicing transfer

$ 268,690 Transfer of cap due to servicing transfer

$ 267,197 Transfer of cap due to servicing transfer

$ 266,819 Transfer of cap due to servicing transfer

Idaho Housing and Finance 

Association Boise ID $ 9,430,000 N/A $ 9,870,000 Updated portfolio data from servicer/additional program initial cap

$ 24,350,000 Updated portfolio data from servicer

05/26/2010 $ (24,200,000) $ 150,000 Updated portfolio data from servicer

03/26/2010 $ 14,480,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 440,000

06/21/2018 $ (378)

04/25/2018 $ (1,493)

03/22/2018 $ (755)

02/26/2018 $ (232)

12/21/2017 $ (4,770)

10/26/2017 $ (3,376)

09/26/2017 $ (27,224)

07/26/2017 $ (25)

06/26/2017 $ (826)

04/26/2017 $ (107)

02/27/2017 $ (1,639)

12/27/2016 $ (88)

11/29/2016 $ (576)

11/07/2016 $ 26,187

10/25/2016 $ (67,924)

09/28/2016 $ (71,882)

07/27/2016 $ (39,719)

06/27/2016 $ (39,707)

05/31/2016 $ (64,892)

03/28/2016 $ (8,288)

02/25/2016 $ (381,987)

12/28/2015 $ (128,015)

09/28/2015 $ (172,975)

06/25/2015 $ (128,282)

04/28/2015 $ (534,653)

03/26/2015 $ (140,949)

12/29/2014 $ (374,717)

09/29/2014 $ (3,173)

07/29/2014 $ (9,607)

06/26/2014 $ (4,837)

03/26/2014 $ (410)

12/23/2013 $ (11,558)

09/27/2013 $ (7)

06/27/2013 $ (19)

03/25/2013 $ (52)

12/27/2012 $ (14)

09/27/2012 $ (80)

06/28/2012 $ (29)

06/29/2011 $ (40)

03/30/2011 $ (4)

01/06/2011 $ (4)

09/30/2010 $ 565,945

07/14/2010 $ (770,000)

05/12/2010 $ 2,630,000

03/26/2010 $ (760,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 40,000

09/14/2012 $ (821,722)

06/28/2012 $ (9)

06/29/2011 $ (12)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 170,334

07/14/2010 $ (400,000)

03/26/2010 $ (10,000)

12/30/2009 $ 250,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (10,000)

06/03/2011 $ (6,927,254)

04/13/2011 $ (300,000)

03/30/2011 $ (13)

01/06/2011 $ (11)

09/30/2010 $ 5,852,780

07/14/2010 $ (1,560,000)

03/26/2010 $ (1,470,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 200,000

09/21/2012 $ (1,450,512)

06/28/2012 $ (17)

107
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 300,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,100 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,096 Updated due to quarterly assessment and reallocation

$ 290,095 Updated due to quarterly assessment and reallocation

$ 289,348 Updated due to quarterly assessment and reallocation

$ 289,322 Updated due to quarterly assessment and reallocation

$ 289,008 Updated due to quarterly assessment and reallocation

$ 288,382 Updated due to quarterly assessment and reallocation

$ 288,156 Updated due to quarterly assessment and reallocation

$ 269,304 Updated due to quarterly assessment and reallocation

$ 262,168 Updated due to quarterly assessment and reallocation

$ 521,716 Updated due to quarterly assessment and reallocation

$ 521,681 Updated due to quarterly assessment and reallocation

$ 520,384 Updated due to quarterly assessment and reallocation

$ 514,210 Updated due to quarterly assessment and reallocation

$ 477,432 Reallocation due to MHA program deobligation

$ 476,509 Updated due to quarterly assessment and reallocation

$ 466,780 Updated due to quarterly assessment and reallocation

$ 460,968 Updated due to quarterly assessment and reallocation

$ 454,034 Updated due to quarterly assessment and reallocation

$ 434,642 Updated due to quarterly assessment and reallocation

$ 416,318 Updated due to quarterly assessment and reallocation

$ 423,383 Updated due to quarterly assessment and reallocation

$ 423,082 Updated due to quarterly assessment and reallocation

$ 423,010 Transfer of cap due to servicing transfer

$ 422,442 Transfer of cap due to servicing transfer

$ 422,397 Transfer of cap due to servicing transfer

$ 421,934 Transfer of cap due to servicing transfer

$ 421,920 Transfer of cap due to servicing transfer

$ 410,471 Transfer of cap due to servicing transfer

$ 409,051 Transfer of cap due to servicing transfer

$ 406,319 Transfer of cap due to servicing transfer

$ 406,118 Transfer of cap due to servicing transfer

$ 405,352 Transfer of cap due to servicing transfer

$ 403,838 Transfer of cap due to servicing transfer

$ 403,554 Transfer of cap due to servicing transfer

iServe Residential Lending, LLC San Diego CA $ 960,000 N/A $ 230,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer/additional program initial 

cap $ 435,167 Updated portfolio data from servicer

$ 535,167 Transfer of cap due to servicing transfer

$ 535,166 Updated due to quarterly assessment and reallocation

$ 535,165 Updated due to quarterly assessment and reallocation

$ 535,158 Updated due to quarterly assessment and reallocation

$ 535,152 Updated due to quarterly assessment and reallocation

$ 535,137 Updated due to quarterly assessment and reallocation

$ 535,134 Updated due to quarterly assessment and reallocation

$ 535,124 Updated due to quarterly assessment and reallocation

$ 535,120 Updated due to quarterly assessment and reallocation

$ 535,119 Updated due to quarterly assessment and reallocation

$ 532,877 Updated due to quarterly assessment and reallocation

$ 532,798 Updated due to quarterly assessment and reallocation

$ 531,868 Updated due to quarterly assessment and reallocation

$ 530,020 Updated due to quarterly assessment and reallocation

$ 529,410 Updated due to quarterly assessment and reallocation

$ 455,483 Updated due to quarterly assessment and reallocation

$ 427,680 Updated due to quarterly assessment and reallocation

$ 318,094 Updated due to quarterly assessment and reallocation

$ 292,105 Updated due to quarterly assessment and reallocation

$ 257,388 Updated due to quarterly assessment and reallocation

$ 231,695 Updated due to quarterly assessment and reallocation

$ 158,319 Reallocation due to MHA program deobligation

$ 156,786 Updated due to quarterly assessment and reallocation

$ 144,790 Updated due to quarterly assessment and reallocation

$ 137,624 Updated due to quarterly assessment and reallocation

07/27/2016 $ (7,169) $ 130,455 Updated due to quarterly assessment and reallocation

06/27/2016 $ (7,166)

05/31/2016 $ (11,996)

03/28/2016 $ (1,533)

02/25/2016 $ (73,376)

12/28/2015 $ (25,693)

09/28/2015 $ (34,717)

06/25/2015 $ (25,989)

04/28/2015 $ (109,586)

03/26/2015 $ (27,803)

12/29/2014 $ (73,927)

09/29/2014 $ (610)

07/29/2014 $ (1,848)

06/26/2014 $ (930)

03/26/2014 $ (79)

12/23/2013 $ (2,242)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (10)

12/27/2012 $ (3)

09/27/2012 $ (15)

06/28/2012 $ (6)

06/29/2011 $ (7)

03/30/2011 $ (1)

01/06/2011 $ (1)

11/16/2010 $ 100,000

09/30/2010 $ (364,833)

09/30/2010 $ 200,000

07/14/2010 $ 370,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (730,000)

06/21/2018 $ (284)

04/25/2018 $ (1,514)

03/22/2018 $ (766)

02/26/2018 $ (201)

12/21/2017 $ (2,732)

10/26/2017 $ (1,420)

09/26/2017 $ (11,449)

07/26/2017 $ (14)

06/26/2017 $ (463)

04/26/2017 $ (45)

02/27/2017 $ (568)

12/27/2016 $ (72)

11/29/2016 $ (301)

11/07/2016 $ 7,065

10/25/2016 $ (18,324)

09/28/2016 $ (19,392)

07/27/2016 $ (6,934)

06/27/2016 $ (5,812)

05/31/2016 $ (9,729)

03/28/2016 $ (923)

02/25/2016 $ (36,778)

12/28/2015 $ (6,174)

09/28/2015 $ (1,297)

06/25/2015 $ (35)

04/28/2015 $ 259,548

03/26/2015 $ (7,136)

12/29/2014 $ (18,852)

09/29/2014 $ (226)

07/29/2014 $ (626)

06/26/2014 $ (314)

03/26/2014 $ (26)

12/23/2013 $ (747)

06/27/2013 $ (1)

03/25/2013 $ (3)

12/27/2012 $ (1)

09/27/2012 $ (6)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ (9,889)

07/14/2010 $ 150,000

108
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 117,918 Updated due to quarterly assessment and reallocation

$ 106,072 Updated due to quarterly assessment and reallocation

$ 110,639 Updated due to quarterly assessment and reallocation

$ 110,557 Updated due to quarterly assessment and reallocation

$ 110,544 Transfer of cap due to servicing transfer

$ 110,327 Transfer of cap due to servicing transfer

$ 110,313 Transfer of cap due to servicing transfer

$ 110,204 Transfer of cap due to servicing transfer

$ 110,201 Transfer of cap due to servicing transfer

$ 105,836 Transfer of cap due to servicing transfer

$ 105,295 Transfer of cap due to servicing transfer

$ 104,731 Transfer of cap due to servicing transfer

$ 104,704 Transfer of cap due to servicing transfer

$ 104,615 Transfer of cap due to servicing transfer

$ 104,439 Transfer of cap due to servicing transfer

$ 104,406 Transfer of cap due to servicing transfer

iServe Servicing, Inc. Irving TX $ 28,040,000 N/A $ 28,160,000 Updated portfolio data from servicer/additional program initial 

cap $ 15,500,000 Updated portfolio data from servicer

$ 15,600,000 Updated portfolio data from servicer/additional program initial 

cap $ 12,474,782 Updated portfolio data from servicer

$ 13,274,782 Transfer of cap due to servicing transfer

$ 13,274,762 Updated due to quarterly assessment and reallocation

$ 13,274,738 Updated due to quarterly assessment and reallocation

$ 13,274,517 Updated due to quarterly assessment and reallocation

$ 13,274,348 Updated due to quarterly assessment and reallocation

$ 13,273,883 Updated due to quarterly assessment and reallocation

$ 13,273,805 Updated due to quarterly assessment and reallocation

$ 13,273,508 Updated due to quarterly assessment and reallocation

$ 13,273,396 Updated due to quarterly assessment and reallocation

$ 13,263,396 Transfer of cap due to servicing transfer

$ 13,263,356 Updated due to quarterly assessment and reallocation

$ 13,203,356 Updated due to quarterly assessment and reallocation

$ 13,135,840 Updated due to quarterly assessment and reallocation

$ 13,133,467 Updated due to quarterly assessment and reallocation

$ 13,105,453 Updated due to quarterly assessment and reallocation

$ 13,049,813 Updated due to quarterly assessment and reallocation

$ 13,031,434 Updated due to quarterly assessment and reallocation

$ 10,805,151 Updated due to quarterly assessment and reallocation

$ 9,967,882 Updated due to quarterly assessment and reallocation

- Termination of SPA

James B. Nutter & Company Kansas City MO $ 300,000 N/A $ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

$ 435,165 Updated due to quarterly assessment and reallocation

$ 435,159 Updated due to quarterly assessment and reallocation

$ 435,155 Updated due to quarterly assessment and reallocation

$ 435,143 Updated due to quarterly assessment and reallocation

$ 435,141 Updated due to quarterly assessment and reallocation

$ 435,133 Updated due to quarterly assessment and reallocation

$ 435,130 Updated due to quarterly assessment and reallocation

$ 435,129 Updated due to quarterly assessment and reallocation

$ 433,402 Updated due to quarterly assessment and reallocation

$ 433,341 Updated due to quarterly assessment and reallocation

$ 432,625 Updated due to quarterly assessment and reallocation

$ 431,202 Updated due to quarterly assessment and reallocation

$ 430,732 Updated due to quarterly assessment and reallocation

$ 373,793 Updated due to quarterly assessment and reallocation

$ 352,379 Updated due to quarterly assessment and reallocation

$ 267,976 Updated due to quarterly assessment and reallocation

$ 247,959 Updated due to quarterly assessment and reallocation

$ 221,220 Updated due to quarterly assessment and reallocation

$ 201,431 Updated due to quarterly assessment and reallocation

$ 144,917 Reallocation due to MHA program deobligation

$ 143,737 Updated due to quarterly assessment and reallocation

$ 134,497 Updated due to quarterly assessment and reallocation

$ 128,978 Updated due to quarterly assessment and reallocation

$ 124,104 Updated due to quarterly assessment and reallocation

$ 120,938 Updated due to quarterly assessment and reallocation

$ 889,633 Updated due to quarterly assessment and reallocation

$ 889,633 Updated due to quarterly assessment and reallocation

11/29/2016 $ (942) $ 888,691 Updated due to quarterly assessment and reallocation

11/07/2016 -

10/25/2016 $ 768,695

09/28/2016 $ (3,166)

07/27/2016 $ (4,874)

06/27/2016 $ (5,519)

05/31/2016 $ (9,240)

03/28/2016 $ (1,180)

02/25/2016 $ (56,514)

12/28/2015 $ (19,789)

09/28/2015 $ (26,739)

06/25/2015 $ (20,017)

04/28/2015 $ (84,403)

03/26/2015 $ (21,414)

12/29/2014 $ (56,939)

09/29/2014 $ (470)

07/29/2014 $ (1,423)

06/26/2014 $ (716)

03/26/2014 $ (61)

12/23/2013 $ (1,727)

09/27/2013 $ (1)

06/27/2013 $ (3)

03/25/2013 $ (8)

12/27/2012 $ (2)

09/27/2012 $ (12)

06/28/2012 $ (4)

06/29/2011 $ (6)

03/30/2011 $ (1)

01/06/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 135,167

04/02/2015 $ (9,967,882)

03/26/2015 $ (837,269)

12/29/2014 $ (2,226,283)

09/29/2014 $ (18,379)

07/29/2014 $ (55,640)

06/26/2014 $ (28,014)

03/26/2014 $ (2,373)

12/23/2013 $ (67,516)

11/14/2013 $ (60,000)

09/27/2013 $ (40)

07/16/2013 $ (10,000)

06/27/2013 $ (112)

03/25/2013 $ (297)

12/27/2012 $ (78)

09/27/2012 $ (465)

06/28/2012 $ (169)

06/29/2011 $ (221)

03/30/2011 $ (24)

01/06/2011 $ (20)

11/16/2010 $ 800,000

09/30/2010 $ (3,125,218)

09/30/2010 $ 100,000

07/14/2010 $ (12,660,000)

######## Purchase Financial Instrument for Home Loan Modifications 05/26/2010 $ 120,000

06/21/2018 $ (33)

04/25/2018 $ (176)

03/22/2018 $ (89)

02/26/2018 $ (27)

12/21/2017 $ (564)

10/26/2017 $ (541)

09/26/2017 $ (4,365)

07/26/2017 $ (3)

06/26/2017 $ (109)

04/26/2017 $ (14)

02/27/2017 $ (217)

12/27/2016 $ (13)

11/29/2016 $ (82)

11/07/2016 $ 4,567

10/25/2016 $ (11,846)

09/28/2016 $ (12,537)

109
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 888,570 Transfer of cap due to servicing transfer

$ 885,807 Transfer of cap due to servicing transfer

$ 885,624 Transfer of cap due to servicing transfer

$ 884,123 Transfer of cap due to servicing transfer

$ 884,075 Transfer of cap due to servicing transfer

$ 828,863 Transfer of cap due to servicing transfer

$ 820,931 Transfer of cap due to servicing transfer

$ 810,340 Transfer of cap due to servicing transfer

$ 809,635 Transfer of cap due to servicing transfer

$ 806,907 Transfer of cap due to servicing transfer

$ 801,495 Transfer of cap due to servicing transfer

$ 800,404 Transfer of cap due to servicing transfer

JP Morgan Chase Bank, NA Lewisville TX $ 2,699,720,000 N/A $ 2,684,870,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,863,050,000 Updated portfolio data from servicer/additional program initial 

cap $ 4,869,630,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,935,400,000 Updated portfolio data from servicer

$ 3,007,800,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,223,425,536 Updated portfolio data from servicer

$ 3,223,421,900 Updated due to quarterly assessment and reallocation

$ 3,223,321,900 Transfer of cap due to servicing transfer

$ 3,223,317,901 Updated due to quarterly assessment and reallocation

$ 3,223,117,901 Transfer of cap due to servicing transfer

$ 3,345,817,901 Transfer of cap due to servicing transfer

$ 3,345,783,295 Updated due to quarterly assessment and reallocation

$ 3,346,383,295 Transfer of cap due to servicing transfer

$ 3,345,983,295 Transfer of cap due to servicing transfer

$ 3,345,883,295 Transfer of cap due to servicing transfer

$ 3,346,083,295 Transfer of cap due to servicing transfer

$ 3,865,294,604 Transfer of cap due to servicing transfer

$ 3,862,494,604 Transfer of cap due to servicing transfer

$ 3,862,394,604 Transfer of cap due to servicing transfer

$ 3,862,294,604 Transfer of cap due to servicing transfer

$ 3,736,214,604 Transfer of cap due to servicing transfer

$ 3,734,594,604 Transfer of cap due to servicing transfer

$ 3,734,578,412 Updated due to quarterly assessment and reallocation

$ 3,732,278,412 Transfer of cap due to servicing transfer

$ 3,732,258,412 Transfer of cap due to servicing transfer

$ 3,732,221,071 Updated due to quarterly assessment and reallocation

$ 3,731,091,071 Transfer of cap due to servicing transfer

$ 3,727,321,071 Transfer of cap due to servicing transfer

$ 3,727,141,071 Transfer of cap due to servicing transfer

$ 3,727,136,536 Updated due to quarterly assessment and reallocation

$ 3,727,076,536 Transfer of cap due to servicing transfer

$ 3,726,556,536 Transfer of cap due to servicing transfer

$ 3,726,466,536 Transfer of cap due to servicing transfer

$ 3,726,452,226 Updated due to quarterly assessment and reallocation

$ 3,726,342,226 Transfer of cap due to servicing transfer

$ 3,726,222,226 Transfer of cap due to servicing transfer

$ 3,726,172,226 Transfer of cap due to servicing transfer

$ 3,726,168,448 Updated due to quarterly assessment and reallocation

$ 3,622,928,448 Transfer of cap due to servicing transfer

$ 3,622,908,448 Transfer of cap due to servicing transfer

$ 3,522,948,448 Transfer of cap due to servicing transfer

$ 3,522,947,724 Updated due to quarterly assessment and reallocation

$ 3,444,957,724 Transfer of cap due to servicing transfer

$ 3,429,347,724 Transfer of cap due to servicing transfer

$ 3,429,297,724 Transfer of cap due to servicing transfer

$ 3,428,457,328 Updated due to quarterly assessment and reallocation

$ 3,422,667,328 Transfer of cap due to servicing transfer

$ 3,369,997,328 Transfer of cap due to servicing transfer

$ 3,366,267,328 Transfer of cap due to servicing transfer

$ 3,366,245,916 Updated due to quarterly assessment and reallocation

$ 3,352,245,916 Transfer of cap due to servicing transfer

$ 3,333,275,916 Transfer of cap due to servicing transfer

$ 3,303,105,916 Transfer of cap due to servicing transfer

$ 3,303,004,164 Updated due to quarterly assessment and reallocation

$ 3,290,024,164 Transfer of cap due to servicing transfer

$ 3,289,869,871 Updated due to quarterly assessment and reallocation

$ 3,282,689,871 Transfer of cap due to servicing transfer

09/16/2014 $ (9,640,000) $ 3,273,049,871 Transfer of cap due to servicing transfer

08/14/2014 $ (7,180,000)

07/29/2014 $ (154,293)

07/16/2014 $ (12,980,000)

06/26/2014 $ (101,752)

06/16/2014 $ (30,170,000)

05/15/2014 $ (18,970,000)

04/16/2014 $ (14,000,000)

03/26/2014 $ (21,412)

03/14/2014 $ (3,730,000)

02/13/2014 $ (52,670,000)

01/16/2014 $ (5,790,000)

12/23/2013 $ (840,396)

12/16/2013 $ (50,000)

11/14/2013 $ (15,610,000)

10/15/2013 $ (77,990,000)

09/27/2013 $ (724)

09/16/2013 $ (99,960,000)

08/15/2013 $ (20,000)

07/16/2013 $ (103,240,000)

06/27/2013 $ (3,778)

06/14/2013 $ (50,000)

05/16/2013 $ (120,000)

04/16/2013 $ (110,000)

03/25/2013 $ (14,310)

03/14/2013 $ (90,000)

02/14/2013 $ (520,000)

01/16/2013 $ (60,000)

12/27/2012 $ (4,535)

12/14/2012 $ (180,000)

11/15/2012 $ (3,770,000)

10/16/2012 $ (1,130,000)

09/27/2012 $ (37,341)

08/16/2012 $ (20,000)

07/16/2012 $ (2,300,000)

06/28/2012 $ (16,192)

06/14/2012 $ (1,620,000)

05/16/2012 $ (126,080,000)

02/16/2012 $ (100,000)

01/13/2012 $ (100,000)

11/16/2011 $ (2,800,000)

10/19/2011 $ 519,211,309

10/14/2011 $ 200,000

09/15/2011 $ (100,000)

08/16/2011 $ (400,000)

07/14/2011 $ 600,000

06/29/2011 $ (34,606)

05/13/2011 $ 122,700,000

04/13/2011 $ (200,000)

03/30/2011 $ (3,999)

03/16/2011 $ (100,000)

01/06/2011 $ (3,636)

09/30/2010 $ 215,625,536

09/30/2010 $ 72,400,000

07/14/2010 $ (1,934,230,000)

03/26/2010 $ 1,006,580,000

12/30/2009 $ 1,178,180,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (14,850,000)

06/21/2018 $ (1,091)

04/25/2018 $ (5,412)

03/22/2018 $ (2,728)

02/26/2018 $ (705)

12/21/2017 $ (10,591)

10/26/2017 $ (7,932)

09/26/2017 $ (55,212)

07/26/2017 $ (48)

06/26/2017 $ (1,501)

04/26/2017 $ (183)

02/27/2017 $ (2,763)

12/27/2016 $ (121)

110
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 3,273,031,783 Updated due to quarterly assessment and reallocation

$ 3,272,641,783 Transfer of cap due to servicing transfer

$ 3,262,491,783 Transfer of cap due to servicing transfer

$ 3,257,691,783 Transfer of cap due to servicing transfer

$ 3,807,624,890 Updated due to quarterly assessment and reallocation

$ 3,796,904,890 Transfer of cap due to servicing transfer

$ 3,792,874,890 Transfer of cap due to servicing transfer

$ 3,745,854,890 Transfer of cap due to servicing transfer

$ 3,786,558,851 Updated due to quarterly assessment and reallocation

$ 3,783,548,851 Transfer of cap due to servicing transfer

$ 4,116,209,608 Updated due to quarterly assessment and reallocation

$ 4,107,999,608 Transfer of cap due to servicing transfer

$ 4,093,869,608 Transfer of cap due to servicing transfer

$ 4,134,458,490 Updated due to quarterly assessment and reallocation

$ 4,116,938,490 Transfer of cap due to servicing transfer

$ 4,116,928,490 Transfer of cap due to servicing transfer

$ 4,117,688,490 Transfer of cap due to servicing transfer

$ 4,144,914,375 Updated due to quarterly assessment and reallocation

$ 4,137,174,375 Transfer of cap due to servicing transfer

$ 4,131,124,375 Transfer of cap due to servicing transfer

$ 4,129,394,375 Transfer of cap due to servicing transfer

$ 4,166,795,473 Updated due to quarterly assessment and reallocation

$ 4,130,095,473 Transfer of cap due to servicing transfer

$ 4,129,895,473 Transfer of cap due to servicing transfer

$ 3,997,374,866 Reallocation due to MHA program deobligation

$ 3,988,054,866 Transfer of cap due to servicing transfer

$ 3,985,776,271 Updated due to quarterly assessment and reallocation

$ 3,975,336,271 Transfer of cap due to servicing transfer

$ 3,968,606,271 Transfer of cap due to servicing transfer

$ 3,958,673,048 Updated due to quarterly assessment and reallocation

$ 3,946,333,048 Transfer of cap due to servicing transfer

$ 3,943,497,685 Updated due to quarterly assessment and reallocation

$ 3,939,387,685 Transfer of cap due to servicing transfer

$ 3,938,439,528 Updated due to quarterly assessment and reallocation

$ 3,934,859,528 Transfer of cap due to servicing transfer

$ 3,920,589,528 Transfer of cap due to servicing transfer

$ 3,935,964,809 Updated due to quarterly assessment and reallocation

$ 3,926,854,809 Transfer of cap due to servicing transfer

$ 3,947,641,314 Updated due to quarterly assessment and reallocation

$ 3,947,641,314 Updated due to quarterly assessment and reallocation

$ 3,945,541,314 Transfer of cap due to servicing transfer

$ 3,943,964,078 Updated due to quarterly assessment and reallocation

$ 3,928,894,078 Transfer of cap due to servicing transfer

$ 3,928,670,439 Transfer of cap due to servicing transfer

$ 3,928,200,439 Transfer of cap due to servicing transfer

$ 3,916,410,439 Transfer of cap due to servicing transfer

$ 3,912,639,791 Transfer of cap due to servicing transfer

$ 3,903,229,791 Transfer of cap due to servicing transfer

$ 3,902,981,852 Transfer of cap due to servicing transfer

$ 3,900,948,808 Transfer of cap due to servicing transfer

$ 3,900,886,761 Transfer of cap due to servicing transfer

$ 3,915,087,881 Transfer of cap due to servicing transfer

$ 3,914,313,103 Transfer of cap due to servicing transfer

$ 3,946,340,298 Transfer of cap due to servicing transfer

$ 3,946,159,417 Transfer of cap due to servicing transfer

$ 3,945,359,554 Transfer of cap due to servicing transfer

$ 3,943,606,465 Transfer of cap due to servicing transfer

$ 3,943,210,317 Transfer of cap due to servicing transfer

Kondaur Capital Corporation Orange CA - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 100,000 Transfer of cap due to servicing transfer

$ 90,000 Transfer of cap due to servicing transfer

$ 80,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 200,000 Transfer of cap due to servicing transfer

$ 150,000 Transfer of cap due to servicing transfer

$ 130,000 Transfer of cap due to servicing transfer

$ 129,845 Updated due to quarterly assessment and reallocation

$ 2,369,845 Transfer of cap due to servicing transfer

$ 2,369,472 Updated due to quarterly assessment and reallocation

06/26/2014 $ (4,497) $ 2,364,975 Updated due to quarterly assessment and reallocation

03/26/2014 $ (373)

03/14/2014 $ 2,240,000

12/23/2013 $ (155)

07/16/2013 $ (20,000)

06/14/2013 $ (50,000)

05/16/2013 $ 130,000

04/16/2013 $ (10,000)

02/14/2013 $ (10,000)

01/16/2013 $ (10,000)

12/14/2012 $ 70,000

######## Purchase Financial Instrument for Home Loan Modifications 11/15/2012 $ 30,000

06/21/2018 $ (396,148)

04/25/2018 $ (1,753,089)

03/22/2018 $ (799,863)

02/26/2018 $ (180,881)

12/21/2017 $ 32,027,195

10/26/2017 $ (774,778)

09/26/2017 $ 14,201,120

07/26/2017 $ (62,047)

06/26/2017 $ (2,033,044)

04/26/2017 $ (247,939)

03/16/2017 $ (9,410,000)

02/27/2017 $ (3,770,648)

02/16/2017 $ (11,790,000)

01/13/2017 $ (470,000)

12/27/2016 $ (223,639)

12/15/2016 $ (15,070,000)

11/29/2016 $ (1,577,236)

11/16/2016 $ (2,100,000)

11/07/2016 -

10/25/2016 $ 20,786,505

10/14/2016 $ (9,110,000)

09/28/2016 $ 15,375,281

09/15/2016 $ (14,270,000)

08/16/2016 $ (3,580,000)

07/27/2016 $ (948,157)

07/14/2016 $ (4,110,000)

06/27/2016 $ (2,835,363)

06/16/2016 $ (12,340,000)

05/31/2016 $ (9,933,223)

05/16/2016 $ (6,730,000)

04/14/2016 $ (10,440,000)

03/28/2016 $ (2,278,595)

03/16/2016 $ (9,320,000)

02/25/2016 $ (132,520,607)

02/16/2016 $ (200,000)

01/14/2016 $ (36,700,000)

12/28/2015 $ 37,401,098

12/16/2015 $ (1,730,000)

11/16/2015 $ (6,050,000)

10/15/2015 $ (7,740,000)

09/28/2015 $ 27,225,885

09/16/2015 $ 760,000

08/14/2015 $ (10,000)

07/16/2015 $ (17,520,000)

06/25/2015 $ 40,588,882

06/16/2015 $ (14,130,000)

05/14/2015 $ (8,210,000)

04/28/2015 $ 332,660,757

04/16/2015 $ (3,010,000)

03/26/2015 $ 40,703,961

03/16/2015 $ (47,020,000)

02/13/2015 $ (4,030,000)

01/15/2015 $ (10,720,000)

12/29/2014 $ 549,933,107

12/16/2014 $ (4,800,000)

11/14/2014 $ (10,150,000)

10/16/2014 $ (390,000)

09/29/2014 $ (18,088)

111
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 2,356,043 Updated due to quarterly assessment and reallocation

$ 2,316,043 Transfer of cap due to servicing transfer

$ 2,313,089 Updated due to quarterly assessment and reallocation

$ 1,973,089 Transfer of cap due to servicing transfer

$ 1,923,089 Transfer of cap due to servicing transfer

$ 1,626,995 Updated due to quarterly assessment and reallocation

$ 1,526,995 Transfer of cap due to servicing transfer

$ 1,506,995 Transfer of cap due to servicing transfer

$ 1,414,408 Updated due to quarterly assessment and reallocation

$ 7,774,408 Transfer of cap due to servicing transfer

$ 5,401,715 Updated due to quarterly assessment and reallocation

$ 4,971,715 Transfer of cap due to servicing transfer

$ 4,731,715 Transfer of cap due to servicing transfer

$ 4,225,844 Updated due to quarterly assessment and reallocation

$ 4,195,844 Transfer of cap due to servicing transfer

$ 4,035,844 Transfer of cap due to servicing transfer

$ 4,015,844 Transfer of cap due to servicing transfer

$ 3,367,858 Updated due to quarterly assessment and reallocation

$ 3,537,858 Transfer of cap due to servicing transfer

$ 3,277,858 Transfer of cap due to servicing transfer

$ 3,737,858 Transfer of cap due to servicing transfer

$ 3,191,719 Updated due to quarterly assessment and reallocation

$ 3,241,719 Transfer of cap due to servicing transfer

$ 1,641,297 Reallocation due to MHA program deobligation

$ 291,297 Transfer of cap due to servicing transfer

$ 334,002 Updated due to quarterly assessment and reallocation

$ 284,002 Transfer of cap due to servicing transfer

$ 234,002 Transfer of cap due to servicing transfer

$ 519,061 Updated due to quarterly assessment and reallocation

$ 596,928 Updated due to quarterly assessment and reallocation

$ 566,928 Transfer of cap due to servicing transfer

$ 694,955 Updated due to quarterly assessment and reallocation

$ 664,955 Transfer of cap due to servicing transfer

$ 674,955 Transfer of cap due to servicing transfer

$ 671,394 Updated due to quarterly assessment and reallocation

$ 639,728 Updated due to quarterly assessment and reallocation

$ 651,936 Updated due to quarterly assessment and reallocation

$ 621,936 Transfer of cap due to servicing transfer

$ 621,695 Updated due to quarterly assessment and reallocation

$ 431,695 Transfer of cap due to servicing transfer

$ 561,222 Transfer of cap due to servicing transfer

$ 621,222 Transfer of cap due to servicing transfer

$ 611,222 Transfer of cap due to servicing transfer

$ 609,957 Transfer of cap due to servicing transfer

$ 599,957 Transfer of cap due to servicing transfer

$ 599,809 Transfer of cap due to servicing transfer

$ 596,255 Transfer of cap due to servicing transfer

$ 596,147 Transfer of cap due to servicing transfer

$ 563,100 Transfer of cap due to servicing transfer

$ 552,847 Transfer of cap due to servicing transfer

$ 542,907 Transfer of cap due to servicing transfer

$ 542,424 Transfer of cap due to servicing transfer

$ 540,851 Transfer of cap due to servicing transfer

$ 1,213,740 Transfer of cap due to servicing transfer

$ 1,212,817 Transfer of cap due to servicing transfer

Lake City Bank Warsaw IN $ 420,000 N/A $ 600,000 Updated portfolio data from servicer/additional program initial 

cap $ 250,000 Updated portfolio data from servicer/additional program initial 

cap $ 270,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,098 Updated due to quarterly assessment and reallocation

$ 290,094 Updated due to quarterly assessment and reallocation

$ 290,092 Updated due to quarterly assessment and reallocation

$ 290,091 Updated due to quarterly assessment and reallocation

$ 289,112 Updated due to quarterly assessment and reallocation

$ 289,078 Updated due to quarterly assessment and reallocation

06/26/2014 $ (406) $ 288,672 Updated due to quarterly assessment and reallocation

03/26/2014 $ (34)

12/23/2013 $ (979)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (4)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ 90,111

07/14/2010 $ (70,000)

03/26/2010 $ 20,000

12/30/2009 $ (350,000)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 180,000

06/21/2018 $ (923)

04/25/2018 $ 672,889

03/22/2018 $ (1,573)

02/26/2018 $ (483)

12/21/2017 $ (9,940)

10/26/2017 $ (10,253)

09/26/2017 $ (33,047)

07/26/2017 $ (108)

06/26/2017 $ (3,554)

04/26/2017 $ (148)

03/16/2017 $ (10,000)

02/27/2017 $ (1,265)

02/16/2017 $ (10,000)

01/13/2017 $ 60,000

12/27/2016 $ 129,527

12/15/2016 $ (190,000)

11/29/2016 $ (241)

11/16/2016 $ (30,000)

11/07/2016 $ 12,208

10/25/2016 $ (31,666)

09/28/2016 $ (3,561)

09/15/2016 $ 10,000

08/16/2016 $ (30,000)

07/27/2016 $ 128,027

07/14/2016 $ (30,000)

06/27/2016 $ 77,867

05/31/2016 $ 285,059

05/16/2016 $ (50,000)

04/14/2016 $ (50,000)

03/28/2016 $ 42,705

03/16/2016 $ (1,350,000)

02/25/2016 $ (1,600,422)

01/14/2016 $ 50,000

12/28/2015 $ (546,139)

12/16/2015 $ 460,000

11/16/2015 $ (260,000)

10/15/2015 $ 170,000

09/28/2015 $ (647,986)

09/16/2015 $ (20,000)

08/14/2015 $ (160,000)

07/16/2015 $ (30,000)

06/25/2015 $ (505,871)

06/16/2015 $ (240,000)

05/14/2015 $ (430,000)

04/28/2015 $ (2,372,693)

04/16/2015 $ 6,360,000

03/26/2015 $ (92,587)

02/13/2015 $ (20,000)

01/15/2015 $ (100,000)

12/29/2014 $ (296,094)

12/16/2014 $ (50,000)

11/14/2014 $ (340,000)

09/29/2014 $ (2,954)

09/16/2014 $ (40,000)

07/29/2014 $ (8,932)

112
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 287,865 Updated due to quarterly assessment and reallocation

$ 287,598 Updated due to quarterly assessment and reallocation

$ 261,541 Updated due to quarterly assessment and reallocation

$ 251,735 Updated due to quarterly assessment and reallocation

$ 233,987 Updated due to quarterly assessment and reallocation

$ 229,024 Updated due to quarterly assessment and reallocation

$ 222,375 Updated due to quarterly assessment and reallocation

$ 217,403 Updated due to quarterly assessment and reallocation

$ 193,637 Reallocation due to MHA program deobligation

$ 193,295 Updated due to quarterly assessment and reallocation

$ 189,335 Updated due to quarterly assessment and reallocation

$ 186,953 Updated due to quarterly assessment and reallocation

$ 183,450 Updated due to quarterly assessment and reallocation

$ 177,283 Updated due to quarterly assessment and reallocation

$ 171,391 Updated due to quarterly assessment and reallocation

$ 173,663 Updated due to quarterly assessment and reallocation

$ 173,549 Updated due to quarterly assessment and reallocation

$ 173,522 Transfer of cap due to servicing transfer

$ 173,048 Transfer of cap due to servicing transfer

$ 173,017 Transfer of cap due to servicing transfer

$ 172,719 Transfer of cap due to servicing transfer

$ 172,710 Transfer of cap due to servicing transfer

$ 164,352 Transfer of cap due to servicing transfer

$ 163,306 Transfer of cap due to servicing transfer

$ 161,570 Transfer of cap due to servicing transfer

$ 161,485 Transfer of cap due to servicing transfer

$ 161,205 Transfer of cap due to servicing transfer

$ 160,651 Transfer of cap due to servicing transfer

$ 160,547 Transfer of cap due to servicing transfer

Lake National Bank Mentor OH $ 100,000 N/A $ 250,000 Updated portfolio data from servicer/additional program initial 

cap $ 380,000 Updated portfolio data from servicer/additional program initial 

cap $ 430,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

$ 435,165 Updated due to quarterly assessment and reallocation

$ 435,159 Updated due to quarterly assessment and reallocation

$ 435,155 Updated due to quarterly assessment and reallocation

6 $ 10,651 Termination of SPA

Land/Home Financial Services, Inc. Concord CA - N/A 3 $ 40,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

LenderLive Network, Inc Glendale CO - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

$ 110,000 Transfer of cap due to servicing transfer

$ 109,998 Updated due to quarterly assessment and reallocation

$ 129,998 Transfer of cap due to servicing transfer

$ 209,998 Transfer of cap due to servicing transfer

$ 209,762 Updated due to quarterly assessment and reallocation

$ 349,762 Transfer of cap due to servicing transfer

$ 348,693 Updated due to quarterly assessment and reallocation

$ 408,693 Transfer of cap due to servicing transfer

$ 408,255 Updated due to quarterly assessment and reallocation

$ 377,648 Updated due to quarterly assessment and reallocation

$ 366,105 Updated due to quarterly assessment and reallocation

$ 320,537 Updated due to quarterly assessment and reallocation

$ 309,668 Updated due to quarterly assessment and reallocation

$ 319,668 Transfer of cap due to servicing transfer

$ 303,285 Updated due to quarterly assessment and reallocation

$ 313,285 Transfer of cap due to servicing transfer

$ 299,494 Updated due to quarterly assessment and reallocation

$ 659,494 Transfer of cap due to servicing transfer

$ 407,934 Reallocation due to MHA program deobligation

$ 427,934 Transfer of cap due to servicing transfer

$ 422,154 Updated due to quarterly assessment and reallocation

$ 352,154 Transfer of cap due to servicing transfer

$ 306,657 Updated due to quarterly assessment and reallocation

$ 279,478 Updated due to quarterly assessment and reallocation

$ 252,291 Updated due to quarterly assessment and reallocation

$ 204,745 Updated due to quarterly assessment and reallocation

10/14/2016 - $ 204,745 Transfer of cap due to servicing transfer

09/28/2016 $ (47,546)

07/27/2016 $ (27,187)

06/27/2016 $ (27,179)

05/31/2016 $ (45,497)

04/14/2016 $ (70,000)

03/28/2016 $ (5,780)

03/16/2016 $ 20,000

02/25/2016 $ (251,560)

02/16/2016 $ 360,000

12/28/2015 $ (13,791)

11/16/2015 $ 10,000

09/28/2015 $ (16,383)

07/16/2015 $ 10,000

06/25/2015 $ (10,869)

04/28/2015 $ (45,568)

03/26/2015 $ (11,543)

12/29/2014 $ (30,607)

09/29/2014 $ (438)

08/14/2014 $ 60,000

07/29/2014 $ (1,069)

07/16/2014 $ 140,000

06/26/2014 $ (236)

06/16/2014 $ 80,000

05/15/2014 $ 20,000

03/26/2014 $ (2)

03/14/2014 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 01/16/2014 $ 100,000

07/14/2016 $ 10,000

09/16/2014 $ 20,000

######## Purchase Financial Instrument for Home Loan Modifications 06/16/2014 $ 40,000

08/23/2012 $ (424,504)

06/28/2012 $ (4)

06/29/2011 $ (6)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 35,167

07/14/2010 $ (30,000)

03/26/2010 $ 50,000

12/30/2009 $ 130,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 150,000

06/21/2018 $ (104)

04/25/2018 $ (554)

03/22/2018 $ (280)

02/26/2018 $ (85)

12/21/2017 $ (1,736)

10/26/2017 $ (1,046)

09/26/2017 $ (8,358)

07/26/2017 $ (9)

06/26/2017 $ (298)

04/26/2017 $ (31)

02/27/2017 $ (474)

12/27/2016 $ (27)

11/29/2016 $ (114)

11/07/2016 $ 2,272

10/25/2016 $ (5,892)

09/28/2016 $ (6,167)

07/27/2016 $ (3,503)

06/27/2016 $ (2,382)

05/31/2016 $ (3,960)

03/28/2016 $ (342)

02/25/2016 $ (23,766)

12/28/2015 $ (4,972)

09/28/2015 $ (6,649)

06/25/2015 $ (4,963)

04/28/2015 $ (17,748)

03/26/2015 $ (9,806)

12/29/2014 $ (26,057)

09/29/2014 $ (267)

07/29/2014 $ (807)

113
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 159,817 Updated due to quarterly assessment and reallocation

$ 177,139 Updated due to quarterly assessment and reallocation

$ 176,770 Updated due to quarterly assessment and reallocation

$ 176,714 Transfer of cap due to servicing transfer

$ 175,736 Transfer of cap due to servicing transfer

$ 175,672 Transfer of cap due to servicing transfer

$ 175,179 Transfer of cap due to servicing transfer

$ 175,164 Transfer of cap due to servicing transfer

$ 158,744 Transfer of cap due to servicing transfer

$ 156,708 Transfer of cap due to servicing transfer

$ 154,587 Transfer of cap due to servicing transfer

$ 154,484 Transfer of cap due to servicing transfer

$ 154,148 Transfer of cap due to servicing transfer

$ 153,484 Transfer of cap due to servicing transfer

$ 153,360 Transfer of cap due to servicing transfer

Liberty Bank and Trust Co New Orleans LA $ 1,000,000 N/A $ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

$ 1,450,529 Updated due to quarterly assessment and reallocation

$ 1,450,512 Updated due to quarterly assessment and reallocation

$ 1,450,464 Updated due to quarterly assessment and reallocation

$ 1,450,456 Updated due to quarterly assessment and reallocation

$ 1,450,426 Updated due to quarterly assessment and reallocation

$ 1,450,415 Updated due to quarterly assessment and reallocation

$ 1,450,411 Updated due to quarterly assessment and reallocation

$ 1,443,453 Updated due to quarterly assessment and reallocation

$ 1,443,208 Updated due to quarterly assessment and reallocation

$ 1,440,321 Updated due to quarterly assessment and reallocation

$ 1,434,587 Updated due to quarterly assessment and reallocation

$ 1,432,693 Updated due to quarterly assessment and reallocation

$ 1,203,256 Updated due to quarterly assessment and reallocation

$ 1,116,968 Updated due to quarterly assessment and reallocation

$ 776,864 Updated due to quarterly assessment and reallocation

$ 696,205 Updated due to quarterly assessment and reallocation

$ 588,459 Updated due to quarterly assessment and reallocation

$ 508,718 Updated due to quarterly assessment and reallocation

$ 280,994 Reallocation due to MHA program deobligation

$ 276,237 Updated due to quarterly assessment and reallocation

$ 239,006 Updated due to quarterly assessment and reallocation

$ 216,765 Updated due to quarterly assessment and reallocation

$ 194,517 Updated due to quarterly assessment and reallocation

$ 155,610 Updated due to quarterly assessment and reallocation

$ 118,845 Updated due to quarterly assessment and reallocation

$ 133,019 Updated due to quarterly assessment and reallocation

$ 132,765 Updated due to quarterly assessment and reallocation

$ 132,726 Transfer of cap due to servicing transfer

$ 132,052 Transfer of cap due to servicing transfer

$ 132,008 Transfer of cap due to servicing transfer

$ 131,668 Transfer of cap due to servicing transfer

$ 131,658 Transfer of cap due to servicing transfer

- Termination of SPA

Liberty Savings Bank, FSB Wilmington OH - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

- Termination of SPA

Litton Loan Servicing, LP Houston TX $ 774,900,000 N/A $ 1,087,950,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,363,320,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,642,230,000 Updated portfolio data from servicer

$ 1,167,500,000 Updated portfolio data from servicer

$ 1,166,800,000 Transfer of cap due to servicing transfer

$ 1,165,800,000 Transfer of cap due to servicing transfer

$ 1,050,782,764 Updated portfolio data from servicer

$ 1,049,982,764 Transfer of cap due to servicing transfer

$ 1,050,782,764 Transfer of cap due to servicing transfer

$ 1,050,781,478 Updated due to quarterly assessment and reallocation

$ 1,059,581,478 Transfer of cap due to servicing transfer

$ 1,059,580,008 Updated due to quarterly assessment and reallocation

$ 1,056,280,008 Transfer of cap due to servicing transfer

$ 1,055,980,008 Transfer of cap due to servicing transfer

$ 1,055,280,008 Transfer of cap due to servicing transfer

$ 1,055,266,911 Updated due to quarterly assessment and reallocation

07/14/2011 $ (200,000) $ 1,055,066,911 Transfer of cap due to servicing transfer

06/29/2011 $ (13,097)

06/16/2011 $ (700,000)

05/13/2011 $ (300,000)

04/13/2011 $ (3,300,000)

03/30/2011 $ (1,470)

03/16/2011 $ 8,800,000

01/06/2011 $ (1,286)

12/15/2010 $ 800,000

10/15/2010 $ (800,000)

09/30/2010 $ (115,017,236)

09/15/2010 $ (1,000,000)

08/13/2010 $ (700,000)

07/14/2010 $ (474,730,000)

03/26/2010 $ 278,910,000

12/30/2009 $ 275,370,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 313,050,000

08/16/2017 $ (10,000)

######## Purchase Financial Instrument for Home Loan Modifications 12/16/2014 $ 10,000

08/16/2017 $ (131,658)

07/26/2017 $ (10)

06/26/2017 $ (340)

04/26/2017 $ (44)

02/27/2017 $ (674)

12/27/2016 $ (39)

11/29/2016 $ (254)

11/07/2016 $ 14,174

10/25/2016 $ (36,765)

09/28/2016 $ (38,907)

07/27/2016 $ (22,248)

06/27/2016 $ (22,241)

05/31/2016 $ (37,231)

03/28/2016 $ (4,757)

02/25/2016 $ (227,724)

12/28/2015 $ (79,741)

09/28/2015 $ (107,746)

06/25/2015 $ (80,659)

04/28/2015 $ (340,104)

03/26/2015 $ (86,288)

12/29/2014 $ (229,437)

09/29/2014 $ (1,894)

07/29/2014 $ (5,734)

06/26/2014 $ (2,887)

03/26/2014 $ (245)

12/23/2013 $ (6,958)

09/27/2013 $ (4)

06/27/2013 $ (11)

03/25/2013 $ (30)

12/27/2012 $ (8)

09/27/2012 $ (48)

06/28/2012 $ (17)

06/29/2011 $ (23)

03/30/2011 $ (2)

01/06/2011 $ (2)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 450,556

06/21/2018 $ (124)

04/25/2018 $ (664)

03/22/2018 $ (336)

02/26/2018 $ (103)

12/21/2017 $ (2,121)

10/26/2017 $ (2,036)

09/26/2017 $ (16,420)

07/26/2017 $ (15)

06/26/2017 $ (493)

04/26/2017 $ (64)

02/27/2017 $ (978)

12/27/2016 $ (56)

11/29/2016 $ (369)

11/07/2016 $ 17,322

10/25/2016 $ (44,928)

114
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,052,166,911 Transfer of cap due to servicing transfer

$ 1,051,866,911 Transfer of cap due to servicing transfer

$ 1,051,366,911 Transfer of cap due to servicing transfer

$ 1,048,766,911 Transfer of cap due to servicing transfer

$ 853,966,911 Transfer of cap due to servicing transfer

$ 853,566,911 Transfer of cap due to servicing transfer

$ 853,557,183 Updated due to quarterly assessment and reallocation

$ 845,567,183 Transfer of cap due to servicing transfer

$ 845,540,716 Updated due to quarterly assessment and reallocation

$ 845,536,250 Updated due to quarterly assessment and reallocation

$ 845,519,328 Updated due to quarterly assessment and reallocation

$ 845,512,942 Updated due to quarterly assessment and reallocation

$ 845,510,653 Updated due to quarterly assessment and reallocation

$ 845,450,653 Transfer of cap due to servicing transfer

$ 841,586,150 Updated due to quarterly assessment and reallocation

$ 841,556,150 Transfer of cap due to servicing transfer

12 $ 76,324,760 Termination of SPA

Los Alamos National Bank Los Alamos NM $ 700,000 N/A $ 740,000 Updated portfolio data from servicer/additional program initial 

cap $ 790,000 Updated portfolio data from servicer

$ 2,100,000 Updated portfolio data from servicer

$ 2,175,834 Updated portfolio data from servicer

$ 2,175,831 Updated due to quarterly assessment and reallocation

$ 2,175,827 Updated due to quarterly assessment and reallocation

$ 2,175,792 Updated due to quarterly assessment and reallocation

$ 2,175,766 Updated due to quarterly assessment and reallocation

$ 2,175,696 Updated due to quarterly assessment and reallocation

$ 2,175,684 Updated due to quarterly assessment and reallocation

$ 2,175,639 Updated due to quarterly assessment and reallocation

$ 2,175,622 Updated due to quarterly assessment and reallocation

$ 2,175,616 Updated due to quarterly assessment and reallocation

$ 2,165,684 Updated due to quarterly assessment and reallocation

$ 2,165,338 Updated due to quarterly assessment and reallocation

$ 2,161,251 Updated due to quarterly assessment and reallocation

$ 2,153,132 Updated due to quarterly assessment and reallocation

$ 2,150,450 Updated due to quarterly assessment and reallocation

$ 1,844,275 Updated due to quarterly assessment and reallocation

$ 1,728,224 Updated due to quarterly assessment and reallocation

$ 1,377,372 Updated due to quarterly assessment and reallocation

$ 1,294,139 Updated due to quarterly assessment and reallocation

$ 1,182,955 Updated due to quarterly assessment and reallocation

$ 1,100,670 Updated due to quarterly assessment and reallocation

$ 834,613 Reallocation due to MHA program deobligation

$ 829,055 Updated due to quarterly assessment and reallocation

$ 781,787 Updated due to quarterly assessment and reallocation

$ 754,460 Updated due to quarterly assessment and reallocation

$ 725,985 Updated due to quarterly assessment and reallocation

$ 668,574 Updated due to quarterly assessment and reallocation

$ 602,657 Updated due to quarterly assessment and reallocation

$ 628,070 Updated due to quarterly assessment and reallocation

$ 627,371 Updated due to quarterly assessment and reallocation

$ 627,258 Transfer of cap due to servicing transfer

$ 625,177 Transfer of cap due to servicing transfer

$ 625,041 Transfer of cap due to servicing transfer

$ 623,992 Transfer of cap due to servicing transfer

$ 623,960 Transfer of cap due to servicing transfer

$ 595,354 Transfer of cap due to servicing transfer

$ 591,261 Transfer of cap due to servicing transfer

$ 586,997 Transfer of cap due to servicing transfer

$ 586,382 Transfer of cap due to servicing transfer

$ 584,376 Transfer of cap due to servicing transfer

$ 580,409 Transfer of cap due to servicing transfer

$ 579,665 Transfer of cap due to servicing transfer

M&T Bank Buffalo NY $ 700,000 N/A $ 1,015,389 Updated portfolio data from servicer

$ 1,015,388 Updated due to quarterly assessment and reallocation

$ 1,015,387 Updated due to quarterly assessment and reallocation

$ 1,015,376 Updated due to quarterly assessment and reallocation

$ 1,015,365 Updated due to quarterly assessment and reallocation

$ 1,015,335 Updated due to quarterly assessment and reallocation

$ 1,015,330 Updated due to quarterly assessment and reallocation

03/25/2013 $ (20) $ 1,015,310 Updated due to quarterly assessment and reallocation

12/27/2012 $ (5)

09/27/2012 $ (30)

06/28/2012 $ (11)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 315,389

06/21/2018 $ (744)

04/25/2018 $ (3,967)

03/22/2018 $ (2,006)

02/26/2018 $ (615)

12/21/2017 $ (4,264)

10/26/2017 $ (4,093)

09/26/2017 $ (28,606)

07/26/2017 $ (32)

06/26/2017 $ (1,049)

04/26/2017 $ (136)

02/27/2017 $ (2,081)

12/27/2016 $ (113)

11/29/2016 $ (699)

11/07/2016 $ 25,413

10/25/2016 $ (65,917)

09/28/2016 $ (57,411)

07/27/2016 $ (28,475)

06/27/2016 $ (27,327)

05/31/2016 $ (47,268)

03/28/2016 $ (5,558)

02/25/2016 $ (266,057)

12/28/2015 $ (82,285)

09/28/2015 $ (111,184)

06/25/2015 $ (83,233)

04/28/2015 $ (350,852)

03/26/2015 $ (116,051)

12/29/2014 $ (306,175)

09/29/2014 $ (2,682)

07/29/2014 $ (8,119)

06/26/2014 $ (4,087)

03/26/2014 $ (346)

12/23/2013 $ (9,932)

09/27/2013 $ (6)

06/27/2013 $ (17)

03/25/2013 $ (45)

12/27/2012 $ (12)

09/27/2012 $ (70)

06/28/2012 $ (26)

06/29/2011 $ (35)

03/30/2011 $ (4)

01/06/2011 $ (3)

09/30/2010 $ 75,834

07/14/2010 $ 1,310,000

03/26/2010 $ 50,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 40,000

01/31/2014 $ (765,231,390)

01/16/2014 $ (30,000)

12/23/2013 $ (3,864,503)

12/16/2013 $ (60,000)

09/27/2013 $ (2,289)

06/27/2013 $ (6,386)

03/25/2013 $ (16,922)

12/27/2012 $ (4,466)

09/27/2012 $ (26,467)

08/16/2012 $ (7,990,000)

06/28/2012 $ (9,728)

02/16/2012 $ (400,000)

01/13/2012 $ (194,800,000)

12/15/2011 $ (2,600,000)

11/16/2011 $ (500,000)

10/14/2011 $ (300,000)

09/15/2011 $ (2,900,000)

115
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,015,303 Updated due to quarterly assessment and reallocation

$ 1,015,300 Updated due to quarterly assessment and reallocation

$ 1,010,919 Updated due to quarterly assessment and reallocation

$ 2,290,919 Transfer of cap due to servicing transfer

$ 2,416,065 Updated due to quarterly assessment and reallocation

$ 2,436,065 Transfer of cap due to servicing transfer

$ 2,516,065 Transfer of cap due to servicing transfer

$ 2,656,065 Transfer of cap due to servicing transfer

$ 2,886,781 Updated due to quarterly assessment and reallocation

$ 3,575,101 Updated due to quarterly assessment and reallocation

$ 5,885,101 Transfer of cap due to servicing transfer

$ 5,905,101 Transfer of cap due to servicing transfer

$ 7,373,965 Updated due to quarterly assessment and reallocation

$ 7,433,965 Transfer of cap due to servicing transfer

$ 13,350,693 Updated due to quarterly assessment and reallocation

$ 17,143,872 Updated due to quarterly assessment and reallocation

$ 16,889,896 Updated due to quarterly assessment and reallocation

$ 19,617,693 Updated due to quarterly assessment and reallocation

$ 24,561,405 Updated due to quarterly assessment and reallocation

$ 25,391,405 Transfer of cap due to servicing transfer

$ 25,411,405 Transfer of cap due to servicing transfer

$ 25,298,976 Updated due to quarterly assessment and reallocation

$ 26,478,976 Transfer of cap due to servicing transfer

$ 24,175,308 Reallocation due to MHA program deobligation

$ 24,130,503 Updated due to quarterly assessment and reallocation

$ 24,140,503 Transfer of cap due to servicing transfer

$ 24,588,515 Updated due to quarterly assessment and reallocation

$ 25,888,338 Updated due to quarterly assessment and reallocation

$ 25,874,456 Updated due to quarterly assessment and reallocation

$ 25,593,972 Updated due to quarterly assessment and reallocation

$ 25,613,972 Transfer of cap due to servicing transfer

$ 24,933,609 Updated due to quarterly assessment and reallocation

$ 25,195,913 Updated due to quarterly assessment and reallocation

$ 25,178,768 Updated due to quarterly assessment and reallocation

$ 24,708,768 Transfer of cap due to servicing transfer

$ 24,705,820 Transfer of cap due to servicing transfer

$ 24,647,744 Transfer of cap due to servicing transfer

$ 24,645,191 Transfer of cap due to servicing transfer

$ 24,631,090 Transfer of cap due to servicing transfer

$ 24,630,676 Transfer of cap due to servicing transfer

$ 24,563,590 Transfer of cap due to servicing transfer

$ 24,527,554 Transfer of cap due to servicing transfer

$ 24,448,996 Transfer of cap due to servicing transfer

$ 24,444,743 Transfer of cap due to servicing transfer

$ 24,429,831 Transfer of cap due to servicing transfer

$ 24,397,473 Transfer of cap due to servicing transfer

$ 24,388,401 Transfer of cap due to servicing transfer

Magna Bank Germantown TN $ 1,400,000 N/A $ 2,030,778 Updated portfolio data from servicer

$ 2,030,775 Updated due to quarterly assessment and reallocation

$ 2,030,772 Updated due to quarterly assessment and reallocation

$ 2,030,739 Updated due to quarterly assessment and reallocation

$ 2,030,714 Updated due to quarterly assessment and reallocation

$ 2,030,646 Updated due to quarterly assessment and reallocation

$ 2,030,635 Updated due to quarterly assessment and reallocation

$ 2,030,591 Updated due to quarterly assessment and reallocation

$ 2,030,575 Updated due to quarterly assessment and reallocation

$ 2,030,569 Updated due to quarterly assessment and reallocation

$ 2,020,622 Updated due to quarterly assessment and reallocation

$ 2,020,272 Updated due to quarterly assessment and reallocation

$ 2,016,145 Updated due to quarterly assessment and reallocation

$ 2,007,947 Updated due to quarterly assessment and reallocation

$ 2,005,239 Updated due to quarterly assessment and reallocation

$ 1,677,232 Updated due to quarterly assessment and reallocation

$ 1,553,874 Updated due to quarterly assessment and reallocation

$ 1,067,655 Updated due to quarterly assessment and reallocation

$ 952,343 Updated due to quarterly assessment and reallocation

$ 798,308 Updated due to quarterly assessment and reallocation

$ 684,310 Updated due to quarterly assessment and reallocation

$ 358,753 Reallocation due to MHA program deobligation

03/28/2016 $ (6,800) $ 351,953 Updated due to quarterly assessment and reallocation

02/25/2016 $ (325,557)

12/28/2015 $ (113,998)

09/28/2015 $ (154,035)

06/25/2015 $ (115,312)

04/28/2015 $ (486,219)

03/26/2015 $ (123,358)

12/29/2014 $ (328,007)

09/29/2014 $ (2,708)

07/29/2014 $ (8,198)

06/26/2014 $ (4,127)

03/26/2014 $ (350)

12/23/2013 $ (9,947)

09/27/2013 $ (6)

06/27/2013 $ (16)

03/25/2013 $ (44)

12/27/2012 $ (11)

09/27/2012 $ (68)

06/28/2012 $ (25)

06/29/2011 $ (33)

03/30/2011 $ (3)

01/06/2011 $ (3)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 630,778

06/21/2018 $ (9,072)

04/25/2018 $ (32,358)

03/22/2018 $ (14,912)

02/26/2018 $ (4,253)

12/21/2017 $ (78,558)

10/26/2017 $ (36,036)

09/26/2017 $ (67,086)

07/26/2017 $ (414)

06/26/2017 $ (14,101)

04/26/2017 $ (2,553)

02/27/2017 $ (58,076)

12/27/2016 $ (2,948)

12/15/2016 $ (470,000)

11/29/2016 $ (17,145)

11/07/2016 $ 262,304

10/25/2016 $ (680,363)

10/14/2016 $ 20,000

09/28/2016 $ (280,484)

07/27/2016 $ (13,882)

06/27/2016 $ 1,299,823

05/31/2016 $ 448,012

05/16/2016 $ 10,000

03/28/2016 $ (44,805)

02/25/2016 $ (2,303,668)

02/16/2016 $ 1,180,000

12/28/2015 $ (112,429)

12/16/2015 $ 20,000

11/16/2015 $ 830,000

09/28/2015 $ 4,943,712

06/25/2015 $ 2,727,797

04/28/2015 $ (253,976)

03/26/2015 $ 3,793,179

12/29/2014 $ 5,916,728

11/14/2014 $ 60,000

09/29/2014 $ 1,468,864

09/16/2014 $ 20,000

08/14/2014 $ 2,310,000

07/29/2014 $ 688,320

06/26/2014 $ 230,716

06/16/2014 $ 140,000

05/15/2014 $ 80,000

04/16/2014 $ 20,000

03/26/2014 $ 125,146

02/13/2014 $ 1,280,000

12/23/2013 $ (4,381)

09/27/2013 $ (3)

06/27/2013 $ (7)

116
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 298,727 Updated due to quarterly assessment and reallocation

$ 266,931 Updated due to quarterly assessment and reallocation

$ 235,125 Updated due to quarterly assessment and reallocation

- Termination of SPA

Mainsource Bank Greensburg IN $ 1 N/A 3 $ 5,556 Updated due to quarterly assessment and reallocation

$ 5,882 Transfer of cap due to servicing transfer

Mainstreet Credit Union Lexena KS $ 500,000 N/A $ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

- Termination of SPA

Marix Servicing, LLC Phoenix AZ $ 20,360,000 N/A $ 21,310,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,430,000 Updated portfolio data from servicer

$ 4,460,000 Transfer of cap due to servicing transfer

$ 3,300,000 Updated portfolio data from servicer

$ 4,100,000 Transfer of cap due to servicing transfer

$ 4,300,000 Updated portfolio data from servicer/additional program initial 

cap $ 5,657,168 Updated portfolio data from servicer

$ 5,657,167 Updated due to quarterly assessment and reallocation

$ 11,357,167 Transfer of cap due to servicing transfer

$ 11,357,161 Updated due to quarterly assessment and reallocation

$ 18,657,161 Transfer of cap due to servicing transfer

$ 18,957,161 Transfer of cap due to servicing transfer

$ 19,857,161 Transfer of cap due to servicing transfer

$ 19,857,007 Updated due to quarterly assessment and reallocation

$ 19,957,007 Transfer of cap due to servicing transfer

$ 20,257,007 Transfer of cap due to servicing transfer

$ 18,757,007 Transfer of cap due to servicing transfer

$ 16,657,007 Transfer of cap due to servicing transfer

$ 15,357,007 Transfer of cap due to servicing transfer

$ 7,007,007 Transfer of cap due to servicing transfer

$ 7,006,969 Updated due to quarterly assessment and reallocation

$ 6,916,969 Transfer of cap due to servicing transfer

$ 6,916,866 Updated due to quarterly assessment and reallocation

$ 5,896,866 Transfer of cap due to servicing transfer

$ 6,066,866 Transfer of cap due to servicing transfer

$ 6,066,851 Updated due to quarterly assessment and reallocation

$ 5,966,851 Transfer of cap due to servicing transfer

$ 5,476,851 Transfer of cap due to servicing transfer

$ 5,476,790 Updated due to quarterly assessment and reallocation

$ 5,466,790 Transfer of cap due to servicing transfer

$ 5,436,790 Transfer of cap due to servicing transfer

$ 5,426,790 Transfer of cap due to servicing transfer

$ 5,426,767 Updated due to quarterly assessment and reallocation

$ 5,406,767 Transfer of cap due to servicing transfer

$ 5,406,759 Updated due to quarterly assessment and reallocation

$ 5,392,825 Updated due to quarterly assessment and reallocation

$ 5,392,335 Updated due to quarterly assessment and reallocation

$ 5,386,554 Updated due to quarterly assessment and reallocation

$ 5,375,071 Updated due to quarterly assessment and reallocation

$ 5,371,278 Updated due to quarterly assessment and reallocation

$ 4,911,825 Updated due to quarterly assessment and reallocation

$ 4,739,032 Updated due to quarterly assessment and reallocation

$ 4,057,966 Updated due to quarterly assessment and reallocation

$ 3,896,444 Updated due to quarterly assessment and reallocation

$ 3,680,680 Updated due to quarterly assessment and reallocation

$ 3,520,998 Updated due to quarterly assessment and reallocation

$ 2,976,403 Reallocation due to MHA program deobligation

$ 2,965,027 Updated due to quarterly assessment and reallocation

$ 2,875,990 Updated due to quarterly assessment and reallocation

$ 2,822,801 Updated due to quarterly assessment and reallocation

$ 2,769,596 Updated due to quarterly assessment and reallocation

$ 2,676,550 Updated due to quarterly assessment and reallocation

$ 2,588,628 Updated due to quarterly assessment and reallocation

$ 2,622,525 Updated due to quarterly assessment and reallocation

$ 2,620,828 Updated due to quarterly assessment and reallocation

$ 2,620,569 Transfer of cap due to servicing transfer

$ 2,616,074 Transfer of cap due to servicing transfer

$ 2,615,779 Transfer of cap due to servicing transfer

$ 2,613,514 Transfer of cap due to servicing transfer

$ 2,613,445 Transfer of cap due to servicing transfer

09/26/2017 $ (29,902) $ 2,583,543 Transfer of cap due to servicing transfer

07/26/2017 $ (69)

06/26/2017 $ (2,265)

04/26/2017 $ (295)

02/27/2017 $ (4,495)

12/27/2016 $ (259)

11/29/2016 $ (1,697)

11/07/2016 $ 33,897

10/25/2016 $ (87,922)

09/28/2016 $ (93,046)

07/27/2016 $ (53,205)

06/27/2016 $ (53,189)

05/31/2016 $ (89,037)

03/28/2016 $ (11,376)

02/25/2016 $ (544,595)

12/28/2015 $ (159,682)

09/28/2015 $ (215,764)

06/25/2015 $ (161,522)

04/28/2015 $ (681,066)

03/26/2015 $ (172,793)

12/29/2014 $ (459,453)

09/29/2014 $ (3,793)

07/29/2014 $ (11,483)

06/26/2014 $ (5,781)

03/26/2014 $ (490)

12/23/2013 $ (13,934)

09/27/2013 $ (8)

07/16/2013 $ (20,000)

06/27/2013 $ (23)

06/14/2013 $ (10,000)

05/16/2013 $ (30,000)

04/16/2013 $ (10,000)

03/25/2013 $ (61)

03/14/2013 $ (490,000)

02/14/2013 $ (100,000)

12/27/2012 $ (15)

11/15/2012 $ 170,000

10/16/2012 $ (1,020,000)

09/27/2012 $ (103)

08/16/2012 $ (90,000)

06/28/2012 $ (38)

06/14/2012 $ (8,350,000)

04/16/2012 $ (1,300,000)

02/16/2012 $ (2,100,000)

01/13/2012 $ (1,500,000)

08/16/2011 $ 300,000

07/14/2011 $ 100,000

06/29/2011 $ (154)

06/16/2011 $ 900,000

05/13/2011 $ 300,000

04/13/2011 $ 7,300,000

03/30/2011 $ (6)

03/16/2011 $ 5,700,000

01/06/2011 $ (1)

09/30/2010 $ 1,357,168

09/30/2010 $ 200,000

08/13/2010 $ 800,000

07/14/2010 $ (1,160,000)

06/16/2010 $ 1,030,000

03/26/2010 $ (17,880,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 950,000

03/09/2011 $ (725,277)

01/06/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 225,278

09/26/2017 $ 326

######## Purchase Financial Instrument for Home Loan Modifications 06/26/2017 $ 5,555

08/04/2016 $ (235,125)

07/27/2016 $ (31,806)

06/27/2016 $ (31,796)

05/31/2016 $ (53,226)

117
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 2,579,835 Transfer of cap due to servicing transfer

$ 2,575,972 Transfer of cap due to servicing transfer

$ 2,575,784 Transfer of cap due to servicing transfer

$ 2,575,173 Transfer of cap due to servicing transfer

$ 2,573,964 Transfer of cap due to servicing transfer

$ 2,573,737 Transfer of cap due to servicing transfer

Marsh Associates, Inc. Charlotte NC $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,053 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 85,052 Transfer of cap due to servicing transfer

Maryland Community Development 

Administration Lanham MD - N/A 3 $ 470,000 Transfer of cap due to servicing transfer

$ 478,805 Transfer of cap due to servicing transfer

$ 476,810 Transfer of cap due to servicing transfer

$ 476,665 Transfer of cap due to servicing transfer

$ 475,397 Transfer of cap due to servicing transfer

$ 475,359 Transfer of cap due to servicing transfer

$ 433,503 Transfer of cap due to servicing transfer

$ 428,270 Transfer of cap due to servicing transfer

$ 426,875 Transfer of cap due to servicing transfer

$ 426,804 Transfer of cap due to servicing transfer

$ 426,569 Transfer of cap due to servicing transfer

$ 426,101 Transfer of cap due to servicing transfer

$ 425,934 Transfer of cap due to servicing transfer

Matrix Financial Services Corp Phoenix AZ - N/A 3 $ 500,000 Transfer of cap due to servicing transfer

$ 495,221 Transfer of cap due to servicing transfer

$ 494,892 Transfer of cap due to servicing transfer

$ 492,439 Transfer of cap due to servicing transfer

$ 492,365 Transfer of cap due to servicing transfer

$ 397,626 Transfer of cap due to servicing transfer

$ 384,802 Transfer of cap due to servicing transfer

$ 370,638 Transfer of cap due to servicing transfer

$ 369,950 Transfer of cap due to servicing transfer

$ 367,582 Transfer of cap due to servicing transfer

$ 362,900 Transfer of cap due to servicing transfer

$ 362,021 Transfer of cap due to servicing transfer

Members Mortgage Company, Inc Woburn MA $ 510,000 N/A - Termination of SPA

Metropolitan National Bank Little Rock AR $ 280,000 N/A $ 350,000 Updated portfolio data from servicer/additional program initial 

cap $ 970,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,070,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

- Termination of SPA

Mid America Mortgage, Inc. (Schmidt 

Mortgage Company) Rocky River OH $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

11/07/2016 $ 472 $ 101,101 Updated due to quarterly assessment and reallocation

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

01/26/2011 $ (435,166)

01/06/2011 $ (1)

09/30/2010 $ 35,167

07/14/2010 $ (670,000)

03/26/2010 $ 100,000

12/30/2009 $ 620,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 70,000

######## Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (510,000)

06/21/2018 $ (879)

04/25/2018 $ (4,682)

03/22/2018 $ (2,368)

02/26/2018 $ (688)

12/21/2017 $ (14,164)

10/26/2017 $ (12,824)

09/26/2017 $ (94,739)

07/26/2017 $ (74)

06/26/2017 $ (2,453)

04/26/2017 $ (329)

02/27/2017 $ (4,779)

######## Purchase Financial Instrument for Home Loan Modifications 01/13/2017 $ 500,000

06/21/2018 $ (167)

04/25/2018 $ (468)

03/22/2018 $ (235)

02/26/2018 $ (71)

12/21/2017 $ (1,395)

10/26/2017 $ (5,233)

09/26/2017 $ (41,856)

07/26/2017 $ (38)

06/26/2017 $ (1,268)

04/26/2017 $ (145)

02/27/2017 $ (1,995)

12/27/2016 $ 8,805

######## Purchase Financial Instrument for Home Loan Modifications 12/15/2016 $ 470,000

10/15/2013 $ (60,000)

03/25/2013 $ (1)

09/27/2012 $ (1)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

06/21/2018 $ (227)

04/25/2018 $ (1,209)

03/22/2018 $ (611)

02/26/2018 $ (188)

12/21/2017 $ (3,863)

10/26/2017 $ (3,708)

118
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

- Termination of SPA

MidFirst Bank (Midland Mortgage Co.) Oklahoma City OK $ 43,500,000 N/A $ 93,415,806 Updated portfolio data from servicer

$ 93,415,681 Updated due to quarterly assessment and reallocation

$ 93,415,542 Updated due to quarterly assessment and reallocation

$ 93,414,319 Updated due to quarterly assessment and reallocation

$ 93,413,522 Updated due to quarterly assessment and reallocation

$ 387,953,522 Transfer of cap due to servicing transfer

$ 124,403,522 Transfer of cap due to servicing transfer

$ 124,400,352 Updated due to quarterly assessment and reallocation

$ 124,399,845 Updated due to quarterly assessment and reallocation

$ 124,398,116 Updated due to quarterly assessment and reallocation

$ 124,397,523 Updated due to quarterly assessment and reallocation

$ 124,397,324 Updated due to quarterly assessment and reallocation

$ 124,117,263 Updated due to quarterly assessment and reallocation

$ 124,108,329 Updated due to quarterly assessment and reallocation

$ 124,012,977 Updated due to quarterly assessment and reallocation

$ 154,905,162 Updated due to quarterly assessment and reallocation

$ 154,895,917 Updated due to quarterly assessment and reallocation

$ 230,510,241 Updated due to quarterly assessment and reallocation

$ 230,269,873 Updated due to quarterly assessment and reallocation

$ 229,590,468 Updated due to quarterly assessment and reallocation

$ 256,670,468 Transfer of cap due to servicing transfer

$ 264,920,468 Transfer of cap due to servicing transfer

$ 264,833,089 Updated due to quarterly assessment and reallocation

$ 278,753,089 Transfer of cap due to servicing transfer

$ 312,970,599 Updated due to quarterly assessment and reallocation

$ 315,070,599 Transfer of cap due to servicing transfer

$ 327,498,892 Updated due to quarterly assessment and reallocation

$ 319,278,360 Reallocation due to MHA program deobligation

$ 319,198,360 Updated due to quarterly assessment and reallocation

$ 322,518,360 Transfer of cap due to servicing transfer

$ 322,502,552 Updated due to quarterly assessment and reallocation

$ 328,642,792 Updated due to quarterly assessment and reallocation

$ 331,597,718 Updated due to quarterly assessment and reallocation

$ 334,067,718 Transfer of cap due to servicing transfer

$ 338,997,886 Updated due to quarterly assessment and reallocation

$ 342,862,254 Updated due to quarterly assessment and reallocation

$ 342,862,254 Updated due to quarterly assessment and reallocation

$ 342,737,747 Updated due to quarterly assessment and reallocation

$ 343,957,747 Transfer of cap due to servicing transfer

$ 343,938,797 Transfer of cap due to servicing transfer

$ 343,576,441 Transfer of cap due to servicing transfer

$ 343,547,791 Transfer of cap due to servicing transfer

$ 343,344,085 Transfer of cap due to servicing transfer

$ 343,337,212 Transfer of cap due to servicing transfer

$ 339,759,548 Transfer of cap due to servicing transfer

$ 338,974,585 Transfer of cap due to servicing transfer

$ 337,628,433 Transfer of cap due to servicing transfer

$ 337,525,194 Transfer of cap due to servicing transfer

$ 337,149,348 Transfer of cap due to servicing transfer

$ 336,364,937 Transfer of cap due to servicing transfer

$ 336,194,292 Transfer of cap due to servicing transfer

Midwest Bank and Trust Co. Elmwood Park IL $ 300,000 N/A $ 600,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

- Termination of SPA

Midwest Community Bank Freeport IL $ 400,000 N/A $ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,186 Updated due to quarterly assessment and reallocation

03/25/2013 $ (11) $ 580,175 Updated due to quarterly assessment and reallocation

12/27/2012 $ (3)

09/27/2012 $ (17)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 180,222

07/14/2011 $ (580,212)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (19,778)

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ 300,000

06/21/2018 $ (170,645)

04/25/2018 $ (784,411)

03/22/2018 $ (375,846)

02/26/2018 $ (103,239)

12/21/2017 $ (1,346,152)

10/26/2017 $ (784,963)

09/26/2017 $ (3,577,664)

07/26/2017 $ (6,873)

06/26/2017 $ (203,706)

04/26/2017 $ (28,650)

02/27/2017 $ (362,356)

12/27/2016 $ (18,950)

12/15/2016 $ 1,220,000

11/29/2016 $ (124,507)

11/07/2016 -

10/25/2016 $ 3,864,368

09/28/2016 $ 4,930,168

08/16/2016 $ 2,470,000

07/27/2016 $ 2,954,926

06/27/2016 $ 6,140,240

05/31/2016 $ (15,808)

04/14/2016 $ 3,320,000

03/28/2016 $ (80,000)

02/25/2016 $ (8,220,532)

12/28/2015 $ 12,428,293

12/16/2015 $ 2,100,000

09/28/2015 $ 34,217,510

08/14/2015 $ 13,920,000

06/25/2015 $ (87,379)

06/16/2015 $ 8,250,000

05/14/2015 $ 27,080,000

04/28/2015 $ (679,405)

03/26/2015 $ (240,368)

12/29/2014 $ 75,614,324

09/29/2014 $ (9,245)

07/29/2014 $ 30,892,185

06/26/2014 $ (95,352)

03/26/2014 $ (8,934)

12/23/2013 $ (280,061)

09/27/2013 $ (199)

06/27/2013 $ (593)

03/25/2013 $ (1,729)

12/27/2012 $ (507)

09/27/2012 $ (3,170)

07/27/2012 $ (263,550,000)

07/16/2012 $ 294,540,000

06/28/2012 $ (797)

06/29/2011 $ (1,223)

03/30/2011 $ (139)

01/06/2011 $ (125)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 49,915,806

06/15/2017 $ (101,069)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

119
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 580,171 Updated due to quarterly assessment and reallocation

$ 580,170 Updated due to quarterly assessment and reallocation

$ 577,696 Updated due to quarterly assessment and reallocation

$ 577,609 Updated due to quarterly assessment and reallocation

$ 576,582 Updated due to quarterly assessment and reallocation

$ 574,543 Updated due to quarterly assessment and reallocation

$ 573,870 Updated due to quarterly assessment and reallocation

$ 492,288 Updated due to quarterly assessment and reallocation

$ 461,606 Updated due to quarterly assessment and reallocation

$ 340,674 Updated due to quarterly assessment and reallocation

$ 311,994 Updated due to quarterly assessment and reallocation

$ 273,682 Updated due to quarterly assessment and reallocation

$ 245,329 Updated due to quarterly assessment and reallocation

$ 164,357 Reallocation due to MHA program deobligation

$ 162,666 Updated due to quarterly assessment and reallocation

$ 149,428 Updated due to quarterly assessment and reallocation

$ 141,520 Updated due to quarterly assessment and reallocation

$ 133,609 Updated due to quarterly assessment and reallocation

$ 119,774 Updated due to quarterly assessment and reallocation

$ 106,701 Updated due to quarterly assessment and reallocation

$ 111,741 Updated due to quarterly assessment and reallocation

$ 111,651 Updated due to quarterly assessment and reallocation

$ 111,637 Transfer of cap due to servicing transfer

$ 111,397 Transfer of cap due to servicing transfer

$ 111,381 Transfer of cap due to servicing transfer

$ 111,260 Transfer of cap due to servicing transfer

$ 111,256 Transfer of cap due to servicing transfer

$ 106,440 Transfer of cap due to servicing transfer

$ 105,843 Transfer of cap due to servicing transfer

$ 105,221 Transfer of cap due to servicing transfer

$ 105,191 Transfer of cap due to servicing transfer

$ 105,093 Transfer of cap due to servicing transfer

$ 104,898 Transfer of cap due to servicing transfer

$ 104,861 Transfer of cap due to servicing transfer

Mission Federal Credit Union San Diego CA $ 860,000 N/A $ 370,000 Updated portfolio data from servicer/additional program initial 

cap $ 7,120,000 Updated portfolio data from servicer/additional program initial 

cap $ 780,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,273 Updated due to quarterly assessment and reallocation

$ 725,272 Updated due to quarterly assessment and reallocation

$ 725,271 Updated due to quarterly assessment and reallocation

$ 772,934 Updated due to quarterly assessment and reallocation

$ 772,785 Updated due to quarterly assessment and reallocation

$ 772,780 Updated due to quarterly assessment and reallocation

$ 772,716 Updated due to quarterly assessment and reallocation

$ 772,697 Updated due to quarterly assessment and reallocation

$ 772,690 Updated due to quarterly assessment and reallocation

$ 993,848 Updated due to quarterly assessment and reallocation

$ 992,968 Updated due to quarterly assessment and reallocation

$ 990,138 Updated due to quarterly assessment and reallocation

$ 988,102 Updated due to quarterly assessment and reallocation

$ 1,003,395 Updated due to quarterly assessment and reallocation

$ 1,025,609 Updated due to quarterly assessment and reallocation

$ 991,886 Reallocation due to MHA program deobligation

$ 991,179 Updated due to quarterly assessment and reallocation

$ 985,645 Updated due to quarterly assessment and reallocation

$ 982,339 Updated due to quarterly assessment and reallocation

$ 979,014 Updated due to quarterly assessment and reallocation

$ 970,777 Updated due to quarterly assessment and reallocation

$ 1,000,239 Updated due to quarterly assessment and reallocation

$ 1,000,239 Updated due to quarterly assessment and reallocation

$ 999,811 Updated due to quarterly assessment and reallocation

$ 999,752 Transfer of cap due to servicing transfer

$ 998,847 Transfer of cap due to servicing transfer

$ 998,758 Transfer of cap due to servicing transfer

$ 998,075 Transfer of cap due to servicing transfer

$ 998,054 Transfer of cap due to servicing transfer

09/26/2017 $ (3,723) $ 994,331 Transfer of cap due to servicing transfer

07/26/2017 $ (21)

06/26/2017 $ (683)

04/26/2017 $ (89)

02/27/2017 $ (905)

12/27/2016 $ (59)

11/29/2016 $ (428)

11/07/2016 -

10/25/2016 $ 29,462

09/28/2016 $ (8,237)

07/27/2016 $ (3,325)

06/27/2016 $ (3,306)

05/31/2016 $ (5,534)

03/28/2016 $ (707)

02/25/2016 $ (33,723)

12/28/2015 $ 22,214

09/28/2015 $ 15,293

06/25/2015 $ (2,036)

04/28/2015 $ (2,830)

03/26/2015 $ (880)

12/29/2014 $ 221,158

09/29/2014 $ (7)

07/29/2014 $ (19)

06/26/2014 $ (64)

03/26/2014 $ (5)

12/23/2013 $ (149)

03/25/2013 $ 47,663

09/27/2012 $ (1)

06/28/2012 $ (1)

06/29/2011 $ (4)

03/30/2011 $ (1)

09/30/2010 $ 125,278

07/14/2010 $ (180,000)

03/26/2010 $ (6,340,000)

12/30/2009 $ 6,750,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (490,000)

06/21/2018 $ (37)

04/25/2018 $ (195)

03/22/2018 $ (98)

02/26/2018 $ (30)

12/21/2017 $ (622)

10/26/2017 $ (597)

09/26/2017 $ (4,816)

07/26/2017 $ (4)

06/26/2017 $ (121)

04/26/2017 $ (16)

02/27/2017 $ (240)

12/27/2016 $ (14)

11/29/2016 $ (90)

11/07/2016 $ 5,040

10/25/2016 $ (13,073)

09/28/2016 $ (13,835)

07/27/2016 $ (7,911)

06/27/2016 $ (7,908)

05/31/2016 $ (13,238)

03/28/2016 $ (1,691)

02/25/2016 $ (80,972)

12/28/2015 $ (28,353)

09/28/2015 $ (38,312)

06/25/2015 $ (28,680)

04/28/2015 $ (120,932)

03/26/2015 $ (30,682)

12/29/2014 $ (81,582)

09/29/2014 $ (673)

07/29/2014 $ (2,039)

06/26/2014 $ (1,027)

03/26/2014 $ (87)

12/23/2013 $ (2,474)

09/27/2013 $ (1)

06/27/2013 $ (4)

120
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 993,869 Transfer of cap due to servicing transfer

$ 993,388 Transfer of cap due to servicing transfer

$ 993,365 Transfer of cap due to servicing transfer

$ 993,289 Transfer of cap due to servicing transfer

$ 993,138 Transfer of cap due to servicing transfer

$ 993,108 Transfer of cap due to servicing transfer

MorEquity, Inc. Evansville IN $ 23,480,000 N/A $ 42,010,000 Updated portfolio data from servicer/additional program initial 

cap $ 66,520,000 Updated portfolio data from servicer/additional program initial 

cap $ 84,880,000 Updated portfolio data from servicer

$ 62,300,000 Updated portfolio data from servicer

$ 54,105,739 Updated portfolio data from servicer

$ 54,105,702 Updated due to quarterly assessment and reallocation

$ 24,705,702 Transfer of cap due to servicing transfer

$ 24,705,668 Updated due to quarterly assessment and reallocation

5 $ 4,628,165 Termination of SPA

Mortgage Center, LLC Southfield MI $ 4,210,000 N/A $ 5,990,000 Updated portfolio data from servicer/additional program initial 

cap $ 8,830,000 Updated portfolio data from servicer/additional program initial 

cap $ 11,630,000 Updated portfolio data from servicer

$ 5,900,000 Updated portfolio data from servicer

$ 8,558,280 Updated portfolio data from servicer

$ 8,558,268 Updated due to quarterly assessment and reallocation

$ 8,558,254 Updated due to quarterly assessment and reallocation

$ 8,558,125 Updated due to quarterly assessment and reallocation

$ 8,558,031 Updated due to quarterly assessment and reallocation

$ 8,557,775 Updated due to quarterly assessment and reallocation

$ 8,557,732 Updated due to quarterly assessment and reallocation

$ 8,557,570 Updated due to quarterly assessment and reallocation

$ 8,557,510 Updated due to quarterly assessment and reallocation

$ 8,557,489 Updated due to quarterly assessment and reallocation

$ 8,521,738 Updated due to quarterly assessment and reallocation

$ 8,520,492 Updated due to quarterly assessment and reallocation

$ 8,505,832 Updated due to quarterly assessment and reallocation

$ 8,476,846 Updated due to quarterly assessment and reallocation

$ 8,467,356 Updated due to quarterly assessment and reallocation

$ 7,457,995 Updated due to quarterly assessment and reallocation

$ 7,081,866 Updated due to quarterly assessment and reallocation

$ 5,702,360 Updated due to quarterly assessment and reallocation

$ 5,379,763 Updated due to quarterly assessment and reallocation

$ 4,963,599 Updated due to quarterly assessment and reallocation

$ 4,668,599 Updated due to quarterly assessment and reallocation

$ 3,679,608 Reallocation due to MHA program deobligation

$ 3,659,239 Updated due to quarterly assessment and reallocation

$ 3,510,798 Updated due to quarterly assessment and reallocation

$ 3,426,340 Updated due to quarterly assessment and reallocation

$ 3,340,718 Updated due to quarterly assessment and reallocation

$ 3,216,404 Updated due to quarterly assessment and reallocation

$ 3,145,493 Updated due to quarterly assessment and reallocation

$ 3,172,832 Updated due to quarterly assessment and reallocation

$ 3,171,226 Updated due to quarterly assessment and reallocation

$ 3,170,981 Transfer of cap due to servicing transfer

$ 3,167,857 Transfer of cap due to servicing transfer

$ 3,167,655 Transfer of cap due to servicing transfer

$ 3,165,905 Transfer of cap due to servicing transfer

$ 3,165,854 Transfer of cap due to servicing transfer

$ 3,130,048 Transfer of cap due to servicing transfer

$ 3,125,608 Transfer of cap due to servicing transfer

$ 3,117,734 Transfer of cap due to servicing transfer

$ 3,117,352 Transfer of cap due to servicing transfer

$ 3,116,106 Transfer of cap due to servicing transfer

$ 3,112,808 Transfer of cap due to servicing transfer

$ 3,112,072 Transfer of cap due to servicing transfer

Mortgage Clearing Corporation Tulsa OK $ 4,860,000 N/A $ 1,960,000 Updated portfolio data from servicer/additional program initial 

cap $ 360,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Mortgage Investors Group Knoxville TN - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 16,042 Updated due to quarterly assessment and reallocation

Nationstar Mortgage, LLC dba Mr 

Cooper ######## Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 101,000,000 N/A 06/12/2009 $ 16,140,000 $ 117,140,000 Updated portfolio data from servicer

12/29/2014 $ 6,042

######## Purchase Financial Instrument for Home Loan Modifications 07/16/2014 $ 10,000

03/09/2011 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ (260,000)

03/26/2010 $ (1,600,000)

######## Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ (2,900,000)

06/21/2018 $ (736)

04/25/2018 $ (3,298)

03/22/2018 $ (1,246)

02/26/2018 $ (382)

12/21/2017 $ (7,874)

10/26/2017 $ (4,440)

09/26/2017 $ (35,806)

07/26/2017 $ (51)

06/26/2017 $ (1,750)

04/26/2017 $ (202)

02/27/2017 $ (3,124)

12/27/2016 $ (245)

11/29/2016 $ (1,606)

11/07/2016 $ 27,339

10/25/2016 $ (70,911)

09/28/2016 $ (124,314)

07/27/2016 $ (85,622)

06/27/2016 $ (84,458)

05/31/2016 $ (148,441)

03/28/2016 $ (20,369)

02/25/2016 $ (988,991)

12/28/2015 $ (295,000)

09/28/2015 $ (416,164)

06/25/2015 $ (322,597)

04/28/2015 $ (1,379,506)

03/26/2015 $ (376,129)

12/29/2014 $ (1,009,361)

09/29/2014 $ (9,490)

07/29/2014 $ (28,986)

06/26/2014 $ (14,660)

03/26/2014 $ (1,246)

12/23/2013 $ (35,751)

09/27/2013 $ (21)

06/27/2013 $ (60)

03/25/2013 $ (162)

12/27/2012 $ (43)

09/27/2012 $ (256)

06/28/2012 $ (94)

06/29/2011 $ (129)

03/30/2011 $ (14)

01/06/2011 $ (12)

09/30/2010 $ 2,658,280

07/14/2010 $ (5,730,000)

03/26/2010 $ 2,800,000

12/30/2009 $ 2,840,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 1,780,000

05/26/2011 $ (20,077,503)

03/30/2011 $ (34)

03/16/2011 $ (29,400,000)

01/06/2011 $ (37)

09/30/2010 $ (8,194,261)

07/14/2010 $ (22,580,000)

03/26/2010 $ 18,360,000

12/30/2009 $ 24,510,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 18,530,000

06/21/2018 $ (30)

04/25/2018 $ (151)

03/22/2018 $ (76)

02/26/2018 $ (23)

12/21/2017 $ (481)

10/26/2017 $ (462)

121
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 251,700,000 Updated portfolio data from servicer/additional program initial 

cap $ 331,950,000 Updated portfolio data from servicer/additional program initial 

cap $ 399,200,000 Updated portfolio data from servicer

$ 313,300,000 Updated portfolio data from servicer

$ 313,400,000 Transfer of cap due to servicing transfer

$ 316,300,000 Updated portfolio data from servicer/additional program initial 

cap $ 350,101,486 Updated portfolio data from servicer

$ 350,801,486 Transfer of cap due to servicing transfer

$ 352,501,486 Transfer of cap due to servicing transfer

$ 352,501,123 Updated due to quarterly assessment and reallocation

$ 353,401,123 Transfer of cap due to servicing transfer

$ 383,201,123 Transfer of cap due to servicing transfer

$ 383,200,695 Updated due to quarterly assessment and reallocation

$ 403,278,198 Transfer of cap due to servicing transfer

$ 403,273,950 Updated due to quarterly assessment and reallocation

$ 403,373,950 Transfer of cap due to servicing transfer

$ 403,273,950 Transfer of cap due to servicing transfer

$ 403,363,950 Transfer of cap due to servicing transfer

$ 400,983,950 Transfer of cap due to servicing transfer

$ 400,980,993 Updated due to quarterly assessment and reallocation

$ 398,400,993 Transfer of cap due to servicing transfer

$ 529,850,993 Transfer of cap due to servicing transfer

$ 696,827,842 Transfer of cap due to servicing transfer

$ 696,815,036 Updated due to quarterly assessment and reallocation

$ 696,975,036 Transfer of cap due to servicing transfer

$ 697,025,036 Transfer of cap due to servicing transfer

$ 697,023,154 Updated due to quarterly assessment and reallocation

$ 697,013,154 Transfer of cap due to servicing transfer

$ 696,733,154 Transfer of cap due to servicing transfer

$ 696,726,717 Updated due to quarterly assessment and reallocation

$ 696,756,717 Transfer of cap due to servicing transfer

$ 695,246,717 Transfer of cap due to servicing transfer

$ 694,176,717 Transfer of cap due to servicing transfer

$ 694,174,618 Updated due to quarterly assessment and reallocation

$ 717,354,209 Transfer of cap due to servicing transfer

$ 717,844,209 Transfer of cap due to servicing transfer

$ 1,006,914,209 Transfer of cap due to servicing transfer

$ 1,006,913,091 Updated due to quarterly assessment and reallocation

$ 1,070,353,091 Transfer of cap due to servicing transfer

$ 1,075,413,091 Transfer of cap due to servicing transfer

$ 1,078,623,091 Transfer of cap due to servicing transfer

$ 1,076,925,840 Updated due to quarterly assessment and reallocation

$ 1,076,825,840 Transfer of cap due to servicing transfer

$ 1,109,195,840 Transfer of cap due to servicing transfer

$ 1,109,175,840 Transfer of cap due to servicing transfer

$ 1,109,128,663 Updated due to quarterly assessment and reallocation

$ 1,109,498,663 Transfer of cap due to servicing transfer

$ 1,150,538,663 Transfer of cap due to servicing transfer

$ 1,150,658,663 Transfer of cap due to servicing transfer

$ 1,150,161,847 Updated due to quarterly assessment and reallocation

$ 1,150,251,847 Transfer of cap due to servicing transfer

$ 1,149,334,396 Updated due to quarterly assessment and reallocation

$ 1,196,334,396 Transfer of cap due to servicing transfer

$ 1,200,584,396 Transfer of cap due to servicing transfer

$ 1,200,238,542 Updated due to quarterly assessment and reallocation

$ 1,223,798,542 Transfer of cap due to servicing transfer

$ 1,224,148,542 Transfer of cap due to servicing transfer

$ 1,222,978,542 Transfer of cap due to servicing transfer

$ 1,338,850,026 Updated due to quarterly assessment and reallocation

$ 1,339,240,026 Transfer of cap due to servicing transfer

$ 1,339,220,026 Transfer of cap due to servicing transfer

$ 1,342,990,026 Transfer of cap due to servicing transfer

$ 1,420,465,805 Updated due to quarterly assessment and reallocation

$ 1,421,865,805 Transfer of cap due to servicing transfer

$ 1,858,431,842 Updated due to quarterly assessment and reallocation

$ 1,858,431,842 Transfer of cap due to servicing transfer

$ 1,858,501,842 Transfer of cap due to servicing transfer

$ 1,906,408,529 Updated due to quarterly assessment and reallocation

$ 1,904,928,529 Transfer of cap due to servicing transfer

08/14/2015 $ (10,000) $ 1,904,918,529 Transfer of cap due to servicing transfer

07/16/2015 $ (1,480,000)

06/25/2015 $ 47,906,687

06/16/2015 $ 70,000

05/14/2015 -

04/28/2015 $ 436,566,037

04/16/2015 $ 1,400,000

03/26/2015 $ 77,475,779

03/16/2015 $ 3,770,000

02/13/2015 $ (20,000)

01/15/2015 $ 390,000

12/29/2014 $ 115,871,484

12/16/2014 $ (1,170,000)

11/14/2014 $ 350,000

10/16/2014 $ 23,560,000

09/29/2014 $ (345,854)

09/16/2014 $ 4,250,000

08/14/2014 $ 47,000,000

07/29/2014 $ (917,451)

07/16/2014 $ 90,000

06/26/2014 $ (496,816)

06/16/2014 $ 120,000

05/15/2014 $ 41,040,000

04/16/2014 $ 370,000

03/26/2014 $ (47,177)

03/14/2014 $ (20,000)

02/13/2014 $ 32,370,000

01/16/2014 $ (100,000)

12/23/2013 $ (1,697,251)

12/16/2013 $ 3,210,000

11/14/2013 $ 5,060,000

10/15/2013 $ 63,440,000

09/27/2013 $ (1,118)

09/16/2013 $ 289,070,000

07/16/2013 $ 490,000

07/09/2013 $ 23,179,591

06/27/2013 $ (2,099)

06/14/2013 $ (1,070,000)

05/16/2013 $ (1,510,000)

04/16/2013 $ 30,000

03/25/2013 $ (6,437)

03/14/2013 $ (280,000)

02/14/2013 $ (10,000)

12/27/2012 $ (1,882)

12/14/2012 $ 50,000

11/15/2012 $ 160,000

09/27/2012 $ (12,806)

08/23/2012 $ 166,976,849

08/16/2012 $ 131,450,000

07/16/2012 $ (2,580,000)

06/28/2012 $ (2,957)

06/14/2012 $ (2,380,000)

05/16/2012 $ 90,000

03/15/2012 $ (100,000)

11/16/2011 $ 100,000

06/29/2011 $ (4,248)

05/26/2011 $ 20,077,503

03/30/2011 $ (428)

03/16/2011 $ 29,800,000

02/16/2011 $ 900,000

01/06/2011 $ (363)

12/15/2010 $ 1,700,000

11/16/2010 $ 700,000

09/30/2010 $ 33,801,486

09/30/2010 $ 2,900,000

08/13/2010 $ 100,000

07/14/2010 $ (85,900,000)

03/26/2010 $ 67,250,000

12/30/2009 $ 80,250,000

09/30/2009 $ 134,560,000

122
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,903,048,529 Transfer of cap due to servicing transfer

$ 2,064,799,149 Updated due to quarterly assessment and reallocation

$ 2,065,149,149 Transfer of cap due to servicing transfer

$ 2,065,089,149 Transfer of cap due to servicing transfer

$ 2,064,999,149 Transfer of cap due to servicing transfer

$ 2,195,703,846 Updated due to quarterly assessment and reallocation

$ 2,192,843,846 Transfer of cap due to servicing transfer

$ 2,196,243,846 Transfer of cap due to servicing transfer

$ 2,094,134,339 Reallocation due to MHA program deobligation

$ 2,095,184,339 Transfer of cap due to servicing transfer

$ 2,093,330,538 Updated due to quarterly assessment and reallocation

$ 2,093,210,538 Transfer of cap due to servicing transfer

$ 2,094,570,538 Transfer of cap due to servicing transfer

$ 2,085,238,181 Updated due to quarterly assessment and reallocation

$ 2,085,048,181 Transfer of cap due to servicing transfer

$ 2,083,959,356 Updated due to quarterly assessment and reallocation

$ 2,079,669,356 Transfer of cap due to servicing transfer

$ 2,083,752,629 Updated due to quarterly assessment and reallocation

$ 2,083,412,629 Transfer of cap due to servicing transfer

$ 2,091,152,629 Transfer of cap due to servicing transfer

$ 2,108,661,218 Updated due to quarterly assessment and reallocation

$ 2,373,921,218 Transfer of cap due to servicing transfer

$ 2,198,698,147 Updated due to quarterly assessment and reallocation

$ 2,108,879,936 Updated due to quarterly assessment and reallocation

$ 2,109,269,936 Transfer of cap due to servicing transfer

$ 2,108,792,843 Updated due to quarterly assessment and reallocation

$ 2,110,402,843 Transfer of cap due to servicing transfer

$ 2,110,333,824 Transfer of cap due to servicing transfer

$ 2,110,473,824 Transfer of cap due to servicing transfer

$ 2,111,643,824 Transfer of cap due to servicing transfer

$ 2,110,608,566 Transfer of cap due to servicing transfer

$ 2,112,668,566 Transfer of cap due to servicing transfer

$ 2,112,593,150 Transfer of cap due to servicing transfer

$ 2,111,955,660 Transfer of cap due to servicing transfer

$ 2,111,933,006 Transfer of cap due to servicing transfer

$ 2,149,987,229 Transfer of cap due to servicing transfer

$ 2,149,987,228 Transfer of cap due to servicing transfer

$ 2,149,043,448 Transfer of cap due to servicing transfer

$ 2,146,543,221 Transfer of cap due to servicing transfer

$ 2,146,329,769 Transfer of cap due to servicing transfer

$ 2,145,452,451 Transfer of cap due to servicing transfer

$ 2,143,796,801 Transfer of cap due to servicing transfer

$ 2,143,393,201 Transfer of cap due to servicing transfer

Nationwide Advantage Mortgage 

Company Des Moines IA - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

Navy Federal Credit Union Vienna VA $ 60,780,000 N/A $ 15,900,000 Updated portfolio data from servicer

$ 16,971,505 Updated portfolio data from servicer

$ 16,971,482 Updated due to quarterly assessment and reallocation

$ 16,971,456 Updated due to quarterly assessment and reallocation

$ 16,971,218 Updated due to quarterly assessment and reallocation

$ 16,971,073 Updated due to quarterly assessment and reallocation

$ 16,970,699 Updated due to quarterly assessment and reallocation

$ 16,970,641 Updated due to quarterly assessment and reallocation

$ 16,970,442 Updated due to quarterly assessment and reallocation

$ 16,970,374 Updated due to quarterly assessment and reallocation

$ 16,970,352 Updated due to quarterly assessment and reallocation

$ 16,934,035 Updated due to quarterly assessment and reallocation

$ 16,932,805 Updated due to quarterly assessment and reallocation

$ 16,919,097 Updated due to quarterly assessment and reallocation

$ 16,892,497 Updated due to quarterly assessment and reallocation

$ 16,883,850 Updated due to quarterly assessment and reallocation

$ 16,410,047 Updated due to quarterly assessment and reallocation

$ 16,268,642 Updated due to quarterly assessment and reallocation

$ 17,258,493 Updated due to quarterly assessment and reallocation

$ 17,337,262 Updated due to quarterly assessment and reallocation

$ 17,596,453 Updated due to quarterly assessment and reallocation

$ 17,876,506 Updated due to quarterly assessment and reallocation

$ 17,265,315 Reallocation due to MHA program deobligation

03/28/2016 $ (7,004) $ 17,258,311 Updated due to quarterly assessment and reallocation

02/25/2016 $ (611,191)

12/28/2015 $ 280,053

09/28/2015 $ 259,191

06/25/2015 $ 78,769

04/28/2015 $ 989,851

03/26/2015 $ (141,405)

12/29/2014 $ (473,803)

09/29/2014 $ (8,647)

07/29/2014 $ (26,600)

06/26/2014 $ (13,708)

03/26/2014 $ (1,230)

12/23/2013 $ (36,317)

09/27/2013 $ (22)

06/27/2013 $ (68)

03/25/2013 $ (199)

12/27/2012 $ (58)

09/27/2012 $ (374)

06/28/2012 $ (145)

06/29/2011 $ (238)

03/30/2011 $ (26)

01/06/2011 $ (23)

09/30/2010 $ 1,071,505

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ (44,880,000)

05/15/2014 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 12/16/2013 $ 10,000

06/21/2018 $ (403,600)

04/25/2018 $ (1,655,650)

03/22/2018 $ (877,318)

02/26/2018 $ (213,452)

12/21/2017 $ (2,500,227)

10/26/2017 $ (943,780)

10/16/2017 $ (1)

09/26/2017 $ 38,054,223

07/26/2017 $ (22,654)

06/26/2017 $ (637,490)

04/26/2017 $ (75,416)

03/16/2017 $ 2,060,000

02/27/2017 $ (1,035,258)

02/16/2017 $ 1,170,000

01/13/2017 $ 140,000

12/27/2016 $ (69,019)

12/15/2016 $ 1,610,000

11/29/2016 $ (477,093)

11/16/2016 $ 390,000

11/07/2016 $ (89,818,211)

10/25/2016 $ (175,223,071)

10/14/2016 $ 265,260,000

09/28/2016 $ 17,508,589

09/15/2016 $ 7,740,000

08/16/2016 $ (340,000)

07/27/2016 $ 4,083,273

07/14/2016 $ (4,290,000)

06/27/2016 $ (1,088,825)

06/16/2016 $ (190,000)

05/31/2016 $ (9,332,357)

05/16/2016 $ 1,360,000

04/14/2016 $ (120,000)

03/28/2016 $ (1,853,801)

03/16/2016 $ 1,050,000

02/25/2016 $ (102,109,507)

02/16/2016 $ 3,400,000

01/14/2016 $ (2,860,000)

12/28/2015 $ 130,704,697

12/16/2015 $ (90,000)

11/16/2015 $ (60,000)

10/15/2015 $ 350,000

09/28/2015 $ 161,750,620

09/16/2015 $ (1,870,000)

123
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 17,220,151 Updated due to quarterly assessment and reallocation

$ 17,201,697 Updated due to quarterly assessment and reallocation

$ 17,178,355 Updated due to quarterly assessment and reallocation

$ 17,137,062 Updated due to quarterly assessment and reallocation

$ 17,059,998 Updated due to quarterly assessment and reallocation

$ 17,089,709 Updated due to quarterly assessment and reallocation

$ 17,081,855 Updated due to quarterly assessment and reallocation

$ 17,080,713 Transfer of cap due to servicing transfer

$ 17,062,255 Transfer of cap due to servicing transfer

$ 17,060,937 Transfer of cap due to servicing transfer

$ 17,050,052 Transfer of cap due to servicing transfer

$ 17,049,701 Transfer of cap due to servicing transfer

$ 16,931,898 Transfer of cap due to servicing transfer

$ 16,910,025 Transfer of cap due to servicing transfer

$ 16,879,677 Transfer of cap due to servicing transfer

$ 16,877,157 Transfer of cap due to servicing transfer

$ 16,868,752 Transfer of cap due to servicing transfer

$ 16,844,735 Transfer of cap due to servicing transfer

$ 16,839,404 Transfer of cap due to servicing transfer

New Penn Financial, LLC dba 

Shellpoint Mortgage Servicing Greenville SC - N/A 3 $ 240,000 Transfer of cap due to servicing transfer

$ 59,470,004 Transfer of cap due to servicing transfer

$ 59,400,166 Updated due to quarterly assessment and reallocation

$ 70,880,166 Transfer of cap due to servicing transfer

$ 71,680,846 Transfer of cap due to merger/acquisition

$ 73,430,846 Transfer of cap due to servicing transfer

$ 73,870,846 Transfer of cap due to servicing transfer

$ 66,761,485 Updated due to quarterly assessment and reallocation

$ 67,061,485 Transfer of cap due to servicing transfer

$ 70,441,485 Transfer of cap due to servicing transfer

$ 71,741,485 Transfer of cap due to servicing transfer

$ 68,664,391 Updated due to quarterly assessment and reallocation

$ 66,604,391 Transfer of cap due to servicing transfer

$ 55,011,060 Updated due to quarterly assessment and reallocation

$ 56,421,060 Transfer of cap due to servicing transfer

$ 62,141,060 Transfer of cap due to servicing transfer

$ 59,283,248 Updated due to quarterly assessment and reallocation

$ 72,413,248 Transfer of cap due to servicing transfer

$ 69,603,248 Transfer of cap due to servicing transfer

$ 70,883,248 Transfer of cap due to servicing transfer

$ 67,174,918 Updated due to quarterly assessment and reallocation

$ 67,854,918 Transfer of cap due to servicing transfer

$ 67,554,918 Transfer of cap due to servicing transfer

$ 68,964,918 Transfer of cap due to servicing transfer

$ 66,108,417 Updated due to quarterly assessment and reallocation

$ 69,138,417 Transfer of cap due to servicing transfer

$ 73,908,417 Transfer of cap due to servicing transfer

$ 60,503,085 Reallocation due to MHA program deobligation

$ 80,493,085 Transfer of cap due to servicing transfer

$ 79,734,493 Updated due to quarterly assessment and reallocation

$ 87,534,493 Transfer of cap due to servicing transfer

$ 91,584,493 Transfer of cap due to servicing transfer

$ 83,906,643 Updated due to quarterly assessment and reallocation

$ 88,476,643 Transfer of cap due to servicing transfer

$ 83,913,005 Updated due to quarterly assessment and reallocation

$ 84,293,005 Transfer of cap due to servicing transfer

$ 79,754,321 Updated due to quarterly assessment and reallocation

$ 82,184,321 Transfer of cap due to servicing transfer

$ 82,634,321 Transfer of cap due to servicing transfer

$ 76,039,406 Updated due to quarterly assessment and reallocation

$ 77,359,406 Transfer of cap due to servicing transfer

$ 77,199,011 Updated due to quarterly assessment and reallocation

$ 77,260,849 Updated due to quarterly assessment and reallocation

$ 78,210,849 Transfer of cap due to servicing transfer

$ 90,022,589 Updated due to quarterly assessment and reallocation

$ 92,762,589 Transfer of cap due to servicing transfer

$ 94,385,009 Transfer of cap due to servicing transfer

$ 95,015,009 Transfer of cap due to servicing transfer

$ 166,445,009 Transfer of cap due to servicing transfer

02/27/2017 $ (768,780) $ 165,676,229 Transfer of cap due to servicing transfer

02/16/2017 $ 71,430,000

01/13/2017 $ 630,000

12/27/2016 $ 1,622,420

12/15/2016 $ 2,740,000

11/29/2016 $ 11,811,740

11/16/2016 $ 950,000

11/07/2016 $ 61,838

10/25/2016 $ (160,395)

10/14/2016 $ 1,320,000

09/28/2016 $ (6,594,915)

09/15/2016 $ 450,000

08/16/2016 $ 2,430,000

07/27/2016 $ (4,538,684)

07/14/2016 $ 380,000

06/27/2016 $ (4,563,638)

06/16/2016 $ 4,570,000

05/31/2016 $ (7,677,850)

05/16/2016 $ 4,050,000

04/14/2016 $ 7,800,000

03/28/2016 $ (758,592)

03/16/2016 $ 19,990,000

02/25/2016 $ (13,405,332)

02/16/2016 $ 4,770,000

01/14/2016 $ 3,030,000

12/28/2015 $ (2,856,501)

12/16/2015 $ 1,410,000

11/16/2015 $ (300,000)

10/15/2015 $ 680,000

09/28/2015 $ (3,708,330)

09/16/2015 $ 1,280,000

08/14/2015 $ (2,810,000)

07/16/2015 $ 13,130,000

06/25/2015 $ (2,857,812)

06/16/2015 $ 5,720,000

05/14/2015 $ 1,410,000

04/28/2015 $ (11,593,331)

04/16/2015 $ (2,060,000)

03/26/2015 $ (3,077,094)

03/16/2015 $ 1,300,000

02/13/2015 $ 3,380,000

01/15/2015 $ 300,000

12/29/2014 $ (7,109,361)

12/16/2014 $ 440,000

11/14/2014 $ 1,750,000

11/03/2014 $ 800,680

10/16/2014 $ 11,480,000

09/29/2014 $ (69,838)

09/16/2014 $ 59,230,004

######## Purchase Financial Instrument for Home Loan Modifications 08/14/2014 $ 240,000

06/21/2018 $ (5,331)

04/25/2018 $ (24,017)

03/22/2018 $ (8,405)

02/26/2018 $ (2,520)

12/21/2017 $ (30,348)

10/26/2017 $ (21,873)

09/26/2017 $ (117,803)

07/26/2017 $ (351)

06/26/2017 $ (10,885)

04/26/2017 $ (1,318)

02/27/2017 $ (18,458)

12/27/2016 $ (1,142)

11/29/2016 $ (7,854)

11/07/2016 $ 29,711

10/25/2016 $ (77,064)

09/28/2016 $ (41,293)

07/27/2016 $ (23,342)

06/27/2016 $ (18,454)

05/31/2016 $ (38,160)

124
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 167,946,229 Transfer of cap due to servicing transfer

$ 167,896,794 Transfer of cap due to servicing transfer

$ 167,554,024 Transfer of cap due to servicing transfer

$ 167,544,082 Transfer of cap due to servicing transfer

$ 158,624,818 Transfer of cap due to servicing transfer

$ 157,271,437 Transfer of cap due to servicing transfer

$ 155,635,556 Transfer of cap due to servicing transfer

$ 155,571,286 Transfer of cap due to servicing transfer

$ 155,357,084 Transfer of cap due to servicing transfer

$ 154,951,612 Transfer of cap due to servicing transfer

$ 154,847,772 Transfer of cap due to servicing transfer

New York Community Bank (AmTrust 

Bank) Cleveland OH - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 300,000 Transfer of cap due to servicing transfer

$ 600,000 Transfer of cap due to servicing transfer

$ 599,991 Updated due to quarterly assessment and reallocation

$ 799,991 Transfer of cap due to servicing transfer

$ 799,984 Updated due to quarterly assessment and reallocation

$ 799,965 Updated due to quarterly assessment and reallocation

$ 799,962 Updated due to quarterly assessment and reallocation

$ 799,950 Updated due to quarterly assessment and reallocation

$ 799,945 Updated due to quarterly assessment and reallocation

$ 949,945 Transfer of cap due to servicing transfer

$ 949,943 Updated due to quarterly assessment and reallocation

$ 946,489 Updated due to quarterly assessment and reallocation

$ 946,368 Updated due to quarterly assessment and reallocation

$ 944,935 Updated due to quarterly assessment and reallocation

$ 942,089 Updated due to quarterly assessment and reallocation

$ 941,149 Updated due to quarterly assessment and reallocation

$ 847,698 Updated due to quarterly assessment and reallocation

$ 809,418 Updated due to quarterly assessment and reallocation

$ 658,536 Updated due to quarterly assessment and reallocation

$ 622,008 Updated due to quarterly assessment and reallocation

$ 573,213 Updated due to quarterly assessment and reallocation

$ 537,101 Updated due to quarterly assessment and reallocation

$ 422,435 Reallocation due to MHA program deobligation

$ 420,040 Updated due to quarterly assessment and reallocation

$ 401,293 Updated due to quarterly assessment and reallocation

$ 441,293 Transfer of cap due to servicing transfer

$ 430,654 Updated due to quarterly assessment and reallocation

$ 417,022 Updated due to quarterly assessment and reallocation

$ 393,181 Updated due to quarterly assessment and reallocation

$ 370,653 Updated due to quarterly assessment and reallocation

$ 379,338 Updated due to quarterly assessment and reallocation

$ 379,028 Updated due to quarterly assessment and reallocation

$ 378,981 Transfer of cap due to servicing transfer

$ 378,161 Transfer of cap due to servicing transfer

$ 378,099 Transfer of cap due to servicing transfer

$ 377,625 Transfer of cap due to servicing transfer

$ 377,611 Transfer of cap due to servicing transfer

$ 367,113 Transfer of cap due to servicing transfer

$ 365,811 Transfer of cap due to servicing transfer

$ 364,455 Transfer of cap due to servicing transfer

$ 364,287 Transfer of cap due to servicing transfer

$ 363,739 Transfer of cap due to servicing transfer

$ 362,656 Transfer of cap due to servicing transfer

$ 362,453 Transfer of cap due to servicing transfer

NJ Housing & Mortgage Finance Trenton NJ - N/A 3 $ 210,000 Transfer of cap due to servicing transfer

$ 262,082 Updated due to quarterly assessment and reallocation

$ 241,822 Updated due to quarterly assessment and reallocation

$ 237,002 Updated due to quarterly assessment and reallocation

$ 230,696 Updated due to quarterly assessment and reallocation

$ 225,945 Updated due to quarterly assessment and reallocation

$ 205,714 Reallocation due to MHA program deobligation

$ 205,291 Updated due to quarterly assessment and reallocation

$ 201,984 Updated due to quarterly assessment and reallocation

$ 200,008 Updated due to quarterly assessment and reallocation

$ 198,013 Updated due to quarterly assessment and reallocation

$ 194,484 Updated due to quarterly assessment and reallocation

10/25/2016 $ (3,400) $ 191,084 Updated due to quarterly assessment and reallocation

09/28/2016 $ (3,529)

07/27/2016 $ (1,995)

06/27/2016 $ (1,976)

05/31/2016 $ (3,307)

03/28/2016 $ (423)

02/25/2016 $ (20,231)

12/28/2015 $ (4,751)

09/28/2015 $ (6,306)

06/25/2015 $ (4,820)

04/28/2015 $ (20,260)

03/26/2015 $ 52,082

######## Purchase Financial Instrument for Home Loan Modifications 03/16/2015 $ 210,000

06/21/2018 $ (203)

04/25/2018 $ (1,083)

03/22/2018 $ (548)

02/26/2018 $ (168)

12/21/2017 $ (1,356)

10/26/2017 $ (1,302)

09/26/2017 $ (10,498)

07/26/2017 $ (14)

06/26/2017 $ (474)

04/26/2017 $ (62)

02/27/2017 $ (820)

12/27/2016 $ (47)

11/29/2016 $ (310)

11/07/2016 $ 8,685

10/25/2016 $ (22,528)

09/28/2016 $ (23,841)

07/27/2016 $ (13,632)

06/27/2016 $ (10,639)

06/16/2016 $ 40,000

05/31/2016 $ (18,747)

03/28/2016 $ (2,395)

02/25/2016 $ (114,666)

12/28/2015 $ (36,112)

09/28/2015 $ (48,795)

06/25/2015 $ (36,528)

04/28/2015 $ (150,882)

03/26/2015 $ (38,280)

12/29/2014 $ (93,451)

09/29/2014 $ (940)

07/29/2014 $ (2,846)

06/26/2014 $ (1,433)

03/26/2014 $ (121)

12/23/2013 $ (3,454)

09/27/2013 $ (2)

07/16/2013 $ 150,000

06/27/2013 $ (5)

03/25/2013 $ (12)

12/27/2012 $ (3)

09/27/2012 $ (19)

06/28/2012 $ (7)

08/16/2011 $ 200,000

06/29/2011 $ (9)

06/16/2011 $ 300,000

05/13/2011 $ 100,000

######## Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 200,000

06/21/2018 $ (103,840)

04/25/2018 $ (405,472)

03/22/2018 $ (214,202)

02/26/2018 $ (64,270)

12/21/2017 $ (1,635,881)

10/26/2017 $ (1,353,381)

09/26/2017 $ (8,919,264)

07/26/2017 $ (9,942)

06/26/2017 $ (342,770)

04/26/2017 $ (49,435)

03/16/2017 $ 2,270,000

125
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 192,395 Updated due to quarterly assessment and reallocation

$ 192,290 Updated due to quarterly assessment and reallocation

$ 192,274 Transfer of cap due to servicing transfer

$ 191,995 Transfer of cap due to servicing transfer

$ 191,977 Transfer of cap due to servicing transfer

$ 191,836 Transfer of cap due to servicing transfer

$ 191,832 Transfer of cap due to servicing transfer

$ 190,556 Transfer of cap due to servicing transfer

$ 190,389 Transfer of cap due to servicing transfer

$ 190,194 Transfer of cap due to servicing transfer

$ 190,183 Transfer of cap due to servicing transfer

$ 190,147 Transfer of cap due to servicing transfer

$ 190,071 Transfer of cap due to servicing transfer

$ 190,055 Transfer of cap due to servicing transfer

North American Savings Bank Grandview MO $ 1 N/A 3 $ 51,483 Transfer of cap due to servicing transfer

Oakland Municipal Credit Union Oakland CA $ 140,000 N/A $ 430,000 Updated portfolio data from servicer/additional program initial 

cap $ 640,000 Updated portfolio data from servicer/additional program initial 

cap $ 810,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 525,276 Transfer of cap due to servicing transfer

$ 525,269 Updated due to quarterly assessment and reallocation

6 $ 10,068 Termination of SPA

Ocwen Loan Servicing LLC West Palm Beach FL $ 659,000,000 N/A $ 553,380,000 Updated portfolio data from servicer

$ 655,960,000 Updated portfolio data from servicer/additional program initial 

cap $ 933,600,000 Updated portfolio data from servicer/additional program initial 

cap $ 980,460,000 Updated portfolio data from servicer

$ 1,136,510,000 Transfer of cap due to servicing transfer

$ 944,900,000 Updated portfolio data from servicer

$ 968,610,000 Transfer of cap due to servicing transfer

$ 968,710,000 Updated portfolio data from servicer/additional program initial 

cap $ 972,452,740 Updated portfolio data from servicer

$ 1,143,252,740 Transfer of cap due to servicing transfer

$ 1,143,251,720 Updated due to quarterly assessment and reallocation

$ 1,144,151,720 Transfer of cap due to servicing transfer

$ 1,144,150,606 Updated due to quarterly assessment and reallocation

$ 1,144,140,562 Updated due to quarterly assessment and reallocation

$ 1,144,040,562 Transfer of cap due to servicing transfer

$ 1,338,840,562 Transfer of cap due to servicing transfer

$ 1,339,240,562 Transfer of cap due to servicing transfer

$ 1,339,340,562 Transfer of cap due to servicing transfer

$ 1,462,870,562 Transfer of cap due to servicing transfer

$ 1,817,160,562 Transfer of cap due to servicing transfer

$ 1,817,154,254 Updated due to quarterly assessment and reallocation

$ 1,827,234,254 Transfer of cap due to servicing transfer

$ 1,835,624,254 Transfer of cap due to servicing transfer

$ 1,835,613,521 Updated due to quarterly assessment and reallocation

$ 1,850,173,521 Transfer of cap due to servicing transfer

$ 1,863,413,521 Transfer of cap due to servicing transfer

$ 1,865,493,521 Transfer of cap due to servicing transfer

$ 1,865,492,506 Updated due to quarterly assessment and reallocation

$ 1,865,902,506 Transfer of cap due to servicing transfer

$ 1,866,862,506 Transfer of cap due to servicing transfer

$ 1,950,742,506 Transfer of cap due to servicing transfer

$ 1,950,740,629 Updated due to quarterly assessment and reallocation

$ 2,107,978,558 Transfer of cap due to servicing transfer

$ 2,728,838,558 Transfer of cap due to servicing transfer

$ 2,747,808,558 Transfer of cap due to servicing transfer

$ 2,747,618,558 Transfer of cap due to servicing transfer

$ 2,747,615,741 Updated due to quarterly assessment and reallocation

$ 2,762,325,741 Transfer of cap due to servicing transfer

$ 2,828,495,741 Transfer of cap due to servicing transfer

$ 2,828,495,465 Updated due to quarterly assessment and reallocation

$ 3,096,075,465 Transfer of cap due to servicing transfer

$ 3,100,365,465 Transfer of cap due to servicing transfer

$ 3,380,735,465 Transfer of cap due to servicing transfer

$ 3,430,022,197 Updated due to quarterly assessment and reallocation

01/16/2014 $ 51,180,000 $ 3,481,202,197 Transfer of cap due to servicing transfer

12/23/2013 $ 49,286,732

12/16/2013 $ 280,370,000

11/14/2013 $ 4,290,000

10/15/2013 $ 267,580,000

09/27/2013 $ (276)

09/16/2013 $ 66,170,000

07/16/2013 $ 14,710,000

06/27/2013 $ (2,817)

06/14/2013 $ (190,000)

05/16/2013 $ 18,970,000

04/16/2013 $ 620,860,000

04/09/2013 $ 157,237,929

03/25/2013 $ (1,877)

03/14/2013 $ 83,880,000

02/14/2013 $ 960,000

01/16/2013 $ 410,000

12/27/2012 $ (1,015)

12/14/2012 $ 2,080,000

11/15/2012 $ 13,240,000

10/16/2012 $ 14,560,000

09/27/2012 $ (10,733)

08/16/2012 $ 8,390,000

07/16/2012 $ 10,080,000

06/28/2012 $ (6,308)

06/14/2012 $ 354,290,000

05/16/2012 $ 123,530,000

03/15/2012 $ 100,000

02/16/2012 $ 400,000

01/13/2012 $ 194,800,000

10/14/2011 $ (100,000)

06/29/2011 $ (10,044)

03/30/2011 $ (1,114)

02/16/2011 $ 900,000

01/06/2011 $ (1,020)

10/15/2010 $ 170,800,000

09/30/2010 $ 3,742,740

09/15/2010 $ 100,000

07/16/2010 $ 23,710,000

07/14/2010 $ (191,610,000)

06/16/2010 $ 156,050,000

03/26/2010 $ 46,860,000

12/30/2009 $ 277,640,000

09/30/2009 $ 102,580,000

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ (105,620,000)

07/22/2011 $ (515,201)

06/29/2011 $ (7)

04/13/2011 $ (200,000)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (74,722)

07/14/2010 $ (10,000)

03/26/2010 $ 170,000

12/30/2009 $ 210,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 290,000

######## Purchase Financial Instrument for Home Loan Modifications 10/26/2017 $ 51,482

06/21/2018 $ (16)

04/25/2018 $ (76)

03/22/2018 $ (36)

02/26/2018 $ (11)

12/21/2017 $ (195)

10/26/2017 $ (167)

09/26/2017 $ (1,276)

07/26/2017 $ (4)

06/26/2017 $ (141)

04/26/2017 $ (18)

02/27/2017 $ (279)

12/27/2016 $ (16)

11/29/2016 $ (105)

11/07/2016 $ 1,311

126
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 4,246,433,587 Transfer of cap due to merger/acquisition

$ 4,285,333,587 Transfer of cap due to servicing transfer

$ 4,646,194,086 Transfer of cap due to merger/acquisition

$ 4,671,274,086 Transfer of cap due to servicing transfer

$ 4,671,106,435 Updated due to quarterly assessment and reallocation

$ 4,683,086,435 Transfer of cap due to servicing transfer

$ 4,683,216,435 Transfer of cap due to servicing transfer

$ 4,967,691,523 Transfer of cap due to merger/acquisition

$ 4,968,381,523 Transfer of cap due to servicing transfer

$ 4,966,096,845 Updated due to quarterly assessment and reallocation

$ 4,966,086,845 Transfer of cap due to servicing transfer

$ 4,961,750,425 Updated due to quarterly assessment and reallocation

$ 4,962,780,425 Transfer of cap due to servicing transfer

$ 4,965,070,425 Transfer of cap due to servicing transfer

$ 4,963,738,069 Updated due to quarterly assessment and reallocation

$ 4,908,128,069 Transfer of cap due to servicing transfer

$ 4,907,568,069 Transfer of cap due to servicing transfer

$ 4,908,678,069 Transfer of cap due to servicing transfer

$ 5,210,082,654 Updated due to quarterly assessment and reallocation

$ 5,210,182,654 Transfer of cap due to servicing transfer

$ 5,241,722,654 Transfer of cap due to servicing transfer

$ 5,427,667,399 Updated due to quarterly assessment and reallocation

$ 5,423,127,399 Transfer of cap due to servicing transfer

$ 5,850,401,149 Updated due to quarterly assessment and reallocation

$ 5,847,611,149 Transfer of cap due to servicing transfer

$ 5,839,481,149 Transfer of cap due to servicing transfer

$ 6,005,895,469 Updated due to quarterly assessment and reallocation

$ 5,998,785,469 Transfer of cap due to servicing transfer

$ 5,988,285,469 Transfer of cap due to servicing transfer

$ 5,980,515,469 Transfer of cap due to servicing transfer

$ 6,139,173,720 Updated due to quarterly assessment and reallocation

$ 6,133,513,720 Transfer of cap due to servicing transfer

$ 6,132,913,720 Transfer of cap due to servicing transfer

$ 6,123,043,720 Transfer of cap due to servicing transfer

$ 6,208,664,981 Updated due to quarterly assessment and reallocation

$ 6,208,314,981 Transfer of cap due to servicing transfer

$ 6,208,344,981 Transfer of cap due to servicing transfer

$ 6,039,706,096 Reallocation due to MHA program deobligation

$ 6,201,232,131 Transfer of cap due to merger/acquisition

$ 6,179,842,131 Transfer of cap due to servicing transfer

$ 6,174,045,892 Updated due to quarterly assessment and reallocation

$ 6,173,585,892 Transfer of cap due to servicing transfer

$ 6,129,095,892 Transfer of cap due to servicing transfer

$ 6,208,052,238 Updated due to quarterly assessment and reallocation

$ 6,207,182,238 Transfer of cap due to servicing transfer

$ 6,291,769,478 Updated due to quarterly assessment and reallocation

$ 6,291,749,478 Transfer of cap due to servicing transfer

$ 6,386,000,092 Updated due to quarterly assessment and reallocation

$ 6,369,410,092 Transfer of cap due to servicing transfer

$ 6,471,408,988 Updated due to quarterly assessment and reallocation

$ 6,465,068,988 Transfer of cap due to servicing transfer

$ 6,513,210,084 Updated due to quarterly assessment and reallocation

$ 6,513,210,084 Updated due to quarterly assessment and reallocation

$ 6,509,430,084 Transfer of cap due to servicing transfer

$ 6,507,051,666 Updated due to quarterly assessment and reallocation

$ 6,506,111,666 Transfer of cap due to servicing transfer

$ 6,505,727,724 Transfer of cap due to servicing transfer

$ 6,505,457,724 Transfer of cap due to servicing transfer

$ 6,500,347,724 Transfer of cap due to servicing transfer

$ 6,494,217,712 Transfer of cap due to servicing transfer

$ 6,488,777,712 Transfer of cap due to servicing transfer

$ 6,488,287,668 Transfer of cap due to servicing transfer

$ 6,483,823,236 Transfer of cap due to servicing transfer

$ 6,483,680,690 Transfer of cap due to servicing transfer

$ 6,424,096,117 Transfer of cap due to servicing transfer

$ 6,414,914,802 Transfer of cap due to servicing transfer

$ 6,401,563,300 Transfer of cap due to servicing transfer

$ 6,400,787,900 Transfer of cap due to servicing transfer

$ 6,397,597,594 Transfer of cap due to servicing transfer

04/25/2018 $ (6,910,282) $ 6,390,687,312 Transfer of cap due to servicing transfer

03/22/2018 $ (3,190,306)

02/26/2018 $ (775,400)

12/21/2017 $ (13,351,502)

10/26/2017 $ (9,181,315)

09/26/2017 $ (59,584,573)

07/26/2017 $ (142,546)

06/26/2017 $ (4,464,432)

04/26/2017 $ (490,044)

03/16/2017 $ (5,440,000)

02/27/2017 $ (6,130,012)

02/16/2017 $ (5,110,000)

01/13/2017 $ (270,000)

12/27/2016 $ (383,942)

12/15/2016 $ (940,000)

11/29/2016 $ (2,378,418)

11/16/2016 $ (3,780,000)

11/07/2016 -

10/25/2016 $ 48,141,096

10/14/2016 $ (6,340,000)

09/28/2016 $ 101,998,896

09/15/2016 $ (16,590,000)

07/27/2016 $ 94,250,614

07/14/2016 $ (20,000)

06/27/2016 $ 84,587,240

06/16/2016 $ (870,000)

05/31/2016 $ 78,956,346

05/16/2016 $ (44,490,000)

04/14/2016 $ (460,000)

03/28/2016 $ (5,796,239)

03/16/2016 $ (21,390,000)

03/04/2016 $ 161,526,035

02/25/2016 $ (168,638,885)

02/16/2016 $ 30,000

01/14/2016 $ (350,000)

12/28/2015 $ 85,621,261

12/16/2015 $ (9,870,000)

11/16/2015 $ (600,000)

10/15/2015 $ (5,660,000)

09/28/2015 $ 158,658,251

09/16/2015 $ (7,770,000)

08/14/2015 $ (10,500,000)

07/16/2015 $ (7,110,000)

06/25/2015 $ 166,414,320

06/16/2015 $ (8,130,000)

05/14/2015 $ (2,790,000)

04/28/2015 $ 427,273,750

04/16/2015 $ (4,540,000)

03/26/2015 $ 185,944,745

02/13/2015 $ 31,540,000

01/15/2015 $ 100,000

12/29/2014 $ 301,404,585

12/16/2014 $ 1,110,000

11/14/2014 $ (560,000)

10/16/2014 $ (55,610,000)

09/29/2014 $ (1,332,356)

09/16/2014 $ 2,290,000

08/14/2014 $ 1,030,000

07/29/2014 $ (4,336,420)

07/16/2014 $ (10,000)

06/26/2014 $ (2,284,678)

06/16/2014 $ 690,000

05/28/2014 $ 284,475,088

05/15/2014 $ 130,000

04/16/2014 $ 11,980,000

03/26/2014 $ (167,651)

03/14/2014 $ 25,080,000

02/27/2014 $ 360,860,500

02/13/2014 $ 38,900,000

01/31/2014 $ 765,231,390

127
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 6,389,229,471 Transfer of cap due to servicing transfer

Ocwen Loan Servicing, LLC (as 

successor in interest to GMAC 

Mortgage, LLC)

Ft. Washington PA $ 633,000,000 N/A $ 1,017,650,000 Updated portfolio data from servicer

$ 3,554,890,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,875,370,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,065,550,000 Updated portfolio data from servicer

$ 2,067,430,000 Transfer of cap due to servicing transfer

$ 1,185,900,000 Updated portfolio data from servicer

$ 1,182,200,000 Transfer of cap due to servicing transfer

$ 1,301,400,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,518,398,139 Updated portfolio data from servicer

$ 1,517,898,139 Transfer of cap due to servicing transfer

$ 1,517,896,405 Updated due to quarterly assessment and reallocation

$ 1,517,796,405 Transfer of cap due to servicing transfer

$ 1,517,794,381 Updated due to quarterly assessment and reallocation

$ 1,516,994,381 Transfer of cap due to servicing transfer

$ 1,499,094,381 Transfer of cap due to servicing transfer

$ 1,499,075,924 Updated due to quarterly assessment and reallocation

$ 1,498,875,924 Transfer of cap due to servicing transfer

$ 1,502,275,924 Transfer of cap due to servicing transfer

$ 1,502,475,924 Transfer of cap due to servicing transfer

$ 1,501,675,924 Transfer of cap due to servicing transfer

$ 1,501,475,924 Transfer of cap due to servicing transfer

$ 1,504,075,924 Transfer of cap due to servicing transfer

$ 1,502,475,924 Transfer of cap due to servicing transfer

$ 1,502,075,924 Transfer of cap due to servicing transfer

$ 1,501,975,924 Transfer of cap due to servicing transfer

$ 1,501,175,924 Transfer of cap due to servicing transfer

$ 1,500,185,924 Transfer of cap due to servicing transfer

$ 1,500,173,461 Updated due to quarterly assessment and reallocation

$ 1,500,183,461 Transfer of cap due to servicing transfer

$ 1,500,150,251 Updated due to quarterly assessment and reallocation

$ 1,498,950,251 Transfer of cap due to servicing transfer

$ 1,498,990,251 Transfer of cap due to servicing transfer

$ 1,498,984,819 Updated due to quarterly assessment and reallocation

$ 1,499,044,819 Transfer of cap due to servicing transfer

$ 1,499,014,819 Transfer of cap due to servicing transfer

$ 1,498,934,819 Transfer of cap due to servicing transfer

$ 1,498,914,981 Updated due to quarterly assessment and reallocation

$ 1,498,944,981 Transfer of cap due to servicing transfer

$ 1,498,937,876 Updated due to quarterly assessment and reallocation

$ 1,432,437,876 Transfer of cap due to servicing transfer

$ 1,432,435,446 Updated due to quarterly assessment and reallocation

$ 1,235,215,446 Transfer of cap due to servicing transfer

$ 1,235,185,446 Transfer of cap due to servicing transfer

$ 1,232,955,446 Transfer of cap due to servicing transfer

$ 1,229,052,628 Updated due to quarterly assessment and reallocation

$ 1,219,702,628 Transfer of cap due to servicing transfer

$ 1,183,142,628 Transfer of cap due to servicing transfer

$ 1,165,972,628 Transfer of cap due to servicing transfer

$ 1,165,836,421 Updated due to quarterly assessment and reallocation

$ 1,145,266,421 Transfer of cap due to servicing transfer

$ 1,145,006,421 Transfer of cap due to servicing transfer

$ 1,144,606,421 Transfer of cap due to servicing transfer

$ 1,143,020,889 Updated due to quarterly assessment and reallocation

$ 1,142,950,889 Transfer of cap due to servicing transfer

$ 1,139,851,445 Updated due to quarterly assessment and reallocation

$ 1,131,951,445 Transfer of cap due to servicing transfer

$ 1,129,471,445 Transfer of cap due to servicing transfer

$ 1,128,449,437 Updated due to quarterly assessment and reallocation

$ 1,128,209,437 Transfer of cap due to servicing transfer

$ 1,127,949,437 Transfer of cap due to servicing transfer

$ 1,126,749,437 Transfer of cap due to servicing transfer

$ 1,006,334,360 Updated due to quarterly assessment and reallocation

$ 1,006,244,360 Transfer of cap due to servicing transfer

$ 974,204,360 Transfer of cap due to servicing transfer

$ 928,462,547 Updated due to quarterly assessment and reallocation

$ 928,542,547 Transfer of cap due to servicing transfer

04/28/2015 $ (180,258,444) $ 748,284,103 Updated due to quarterly assessment and reallocation

04/16/2015 $ 80,000

03/26/2015 $ (45,741,813)

02/13/2015 $ (32,040,000)

01/15/2015 $ (90,000)

12/29/2014 $ (120,415,077)

12/16/2014 $ (1,200,000)

11/14/2014 $ (260,000)

10/16/2014 $ (240,000)

09/29/2014 $ (1,022,008)

09/16/2014 $ (2,480,000)

08/14/2014 $ (7,900,000)

07/29/2014 $ (3,099,444)

07/16/2014 $ (70,000)

06/26/2014 $ (1,585,532)

06/16/2014 $ (400,000)

05/15/2014 $ (260,000)

04/16/2014 $ (20,570,000)

03/26/2014 $ (136,207)

03/14/2014 $ (17,170,000)

02/13/2014 $ (36,560,000)

01/16/2014 $ (9,350,000)

12/23/2013 $ (3,902,818)

12/16/2013 $ (2,230,000)

11/14/2013 $ (30,000)

10/15/2013 $ (197,220,000)

09/27/2013 $ (2,430)

09/16/2013 $ (66,500,000)

06/27/2013 $ (7,105)

06/14/2013 $ 30,000

03/25/2013 $ (19,838)

03/14/2013 $ (80,000)

02/14/2013 $ (30,000)

01/16/2013 $ 60,000

12/27/2012 $ (5,432)

12/14/2012 $ 40,000

11/15/2012 $ (1,200,000)

09/27/2012 $ (33,210)

08/16/2012 $ 10,000

06/28/2012 $ (12,463)

06/14/2012 $ (990,000)

05/16/2012 $ (800,000)

04/16/2012 $ (100,000)

03/15/2012 $ (400,000)

01/13/2012 $ (1,600,000)

12/15/2011 $ 2,600,000

11/16/2011 $ (200,000)

10/14/2011 $ (800,000)

09/15/2011 $ 200,000

08/16/2011 $ 3,400,000

07/14/2011 $ (200,000)

06/29/2011 $ (18,457)

05/13/2011 $ (17,900,000)

04/13/2011 $ (800,000)

03/30/2011 $ (2,024)

03/16/2011 $ (100,000)

01/06/2011 $ (1,734)

12/15/2010 $ (500,000)

09/30/2010 $ 216,998,139

09/30/2010 $ 119,200,000

08/13/2010 $ (3,700,000)

07/14/2010 $ (881,530,000)

05/14/2010 $ 1,880,000

03/26/2010 $ 190,180,000

12/30/2009 $ (1,679,520,000)

09/30/2009 $ 2,537,240,000

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 384,650,000

06/21/2018 $ (1,457,841)

128
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 748,104,103 Transfer of cap due to servicing transfer

$ 705,348,627 Updated due to quarterly assessment and reallocation

$ 648,232,399 Updated due to quarterly assessment and reallocation

$ 605,579,042 Updated due to quarterly assessment and reallocation

$ 471,085,703 Reallocation due to MHA program deobligation

16 $ 309,559,668 Termination of SPA

ORNL Federal Credit Union Oak Ridge TN $ 2,070,000 N/A $ 2,530,000 Updated portfolio data from servicer/additional program initial 

cap $ 5,260,000 Updated portfolio data from servicer/additional program initial 

cap $ 18,540,000 Updated portfolio data from servicer

$ 5,000,000 Updated portfolio data from servicer

$ 6,817,613 Updated portfolio data from servicer

$ 6,817,603 Updated due to quarterly assessment and reallocation

$ 6,817,591 Updated due to quarterly assessment and reallocation

$ 6,817,476 Updated due to quarterly assessment and reallocation

$ 6,817,390 Updated due to quarterly assessment and reallocation

$ 6,817,154 Updated due to quarterly assessment and reallocation

$ 6,817,114 Updated due to quarterly assessment and reallocation

$ 6,816,965 Updated due to quarterly assessment and reallocation

$ 6,816,909 Updated due to quarterly assessment and reallocation

$ 6,816,889 Updated due to quarterly assessment and reallocation

$ 6,782,910 Updated due to quarterly assessment and reallocation

$ 6,781,718 Updated due to quarterly assessment and reallocation

$ 6,767,669 Updated due to quarterly assessment and reallocation

$ 6,739,781 Updated due to quarterly assessment and reallocation

$ 6,730,551 Updated due to quarterly assessment and reallocation

$ 5,625,727 Updated due to quarterly assessment and reallocation

$ 5,209,184 Updated due to quarterly assessment and reallocation

$ 3,608,317 Updated due to quarterly assessment and reallocation

$ 3,228,631 Updated due to quarterly assessment and reallocation

$ 2,720,333 Updated due to quarterly assessment and reallocation

$ 2,344,153 Updated due to quarterly assessment and reallocation

$ 1,252,943 Reallocation due to MHA program deobligation

$ 1,230,145 Updated due to quarterly assessment and reallocation

$ 1,051,687 Updated due to quarterly assessment and reallocation

$ 945,053 Updated due to quarterly assessment and reallocation

$ 838,355 Updated due to quarterly assessment and reallocation

$ 644,987 Updated due to quarterly assessment and reallocation

$ 462,268 Updated due to quarterly assessment and reallocation

$ 532,713 Updated due to quarterly assessment and reallocation

$ 531,291 Updated due to quarterly assessment and reallocation

$ 531,073 Transfer of cap due to servicing transfer

$ 527,295 Transfer of cap due to servicing transfer

$ 527,036 Transfer of cap due to servicing transfer

$ 524,679 Transfer of cap due to servicing transfer

$ 524,608 Transfer of cap due to servicing transfer

$ 435,731 Transfer of cap due to servicing transfer

$ 425,255 Transfer of cap due to servicing transfer

$ 414,341 Transfer of cap due to servicing transfer

$ 413,777 Transfer of cap due to servicing transfer

$ 411,937 Transfer of cap due to servicing transfer

$ 408,296 Transfer of cap due to servicing transfer

$ 407,613 Transfer of cap due to servicing transfer

OwnersChoice Funding, Inc. (CUC 

Mortgage Corporation) Albany NY $ 4,350,000 N/A $ 5,300,000 Updated portfolio data from servicer/additional program initial cap

$ 11,000,000 Updated portfolio data from servicer/additional program initial 

cap $ 11,740,000 Updated portfolio data from servicer

$ 10,300,000 Updated portfolio data from servicer

$ 3,626,390 Updated portfolio data from servicer

$ 3,626,385 Updated due to quarterly assessment and reallocation

$ 3,626,379 Updated due to quarterly assessment and reallocation

$ 3,626,327 Updated due to quarterly assessment and reallocation

$ 3,626,289 Updated due to quarterly assessment and reallocation

$ 3,626,182 Updated due to quarterly assessment and reallocation

$ 3,626,164 Updated due to quarterly assessment and reallocation

$ 3,626,095 Updated due to quarterly assessment and reallocation

$ 3,626,069 Updated due to quarterly assessment and reallocation

$ 3,626,060 Updated due to quarterly assessment and reallocation

$ 3,610,321 Updated due to quarterly assessment and reallocation

$ 3,609,767 Updated due to quarterly assessment and reallocation

06/26/2014 $ (6,538) $ 3,603,229 Updated due to quarterly assessment and reallocation

03/26/2014 $ (554)

12/23/2013 $ (15,739)

09/27/2013 $ (9)

06/27/2013 $ (26)

03/25/2013 $ (69)

12/27/2012 $ (18)

09/27/2012 $ (107)

06/28/2012 $ (38)

06/29/2011 $ (52)

03/30/2011 $ (6)

01/06/2011 $ (5)

09/30/2010 $ (6,673,610)

07/14/2010 $ (1,440,000)

03/26/2010 $ 740,000

12/30/2009 $ 5,700,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 950,000

06/21/2018 $ (683)

04/25/2018 $ (3,641)

03/22/2018 $ (1,840)

02/26/2018 $ (564)

12/21/2017 $ (10,914)

10/26/2017 $ (10,476)

09/26/2017 $ (88,877)

07/26/2017 $ (71)

06/26/2017 $ (2,357)

04/26/2017 $ (259)

02/27/2017 $ (3,778)

12/27/2016 $ (218)

11/29/2016 $ (1,422)

11/07/2016 $ 70,445

10/25/2016 $ (182,719)

09/28/2016 $ (193,368)

07/27/2016 $ (106,698)

06/27/2016 $ (106,634)

05/31/2016 $ (178,458)

03/28/2016 $ (22,798)

02/25/2016 $ (1,091,210)

12/28/2015 $ (376,180)

09/28/2015 $ (508,298)

06/25/2015 $ (379,686)

04/28/2015 $ (1,600,867)

03/26/2015 $ (416,543)

12/29/2014 $ (1,104,824)

09/29/2014 $ (9,230)

07/29/2014 $ (27,888)

06/26/2014 $ (14,049)

03/26/2014 $ (1,192)

12/23/2013 $ (33,979)

09/27/2013 $ (20)

06/27/2013 $ (56)

03/25/2013 $ (149)

12/27/2012 $ (40)

09/27/2012 $ (236)

06/28/2012 $ (86)

06/29/2011 $ (115)

03/30/2011 $ (12)

01/06/2011 $ (10)

09/30/2010 $ 1,817,613

07/14/2010 $ (13,540,000)

03/26/2010 $ 13,280,000

12/30/2009 $ 2,730,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 460,000

03/04/2016 $ (161,526,035)

02/25/2016 $ (134,493,339)

12/28/2015 $ (42,653,357)

09/28/2015 $ (57,116,228)

06/25/2015 $ (42,755,476)

06/16/2015 $ (180,000)

129
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 3,590,240 Updated due to quarterly assessment and reallocation

$ 3,585,948 Updated due to quarterly assessment and reallocation

$ 3,087,778 Updated due to quarterly assessment and reallocation

$ 2,904,722 Updated due to quarterly assessment and reallocation

$ 2,199,829 Updated due to quarterly assessment and reallocation

$ 2,032,736 Updated due to quarterly assessment and reallocation

$ 1,808,529 Updated due to quarterly assessment and reallocation

$ 1,657,567 Updated due to quarterly assessment and reallocation

$ 1,191,012 Reallocation due to MHA program deobligation

$ 1,181,259 Updated due to quarterly assessment and reallocation

$ 1,111,332 Updated due to quarterly assessment and reallocation

$ 1,068,587 Updated due to quarterly assessment and reallocation

$ 1,025,773 Updated due to quarterly assessment and reallocation

$ 959,091 Updated due to quarterly assessment and reallocation

$ 896,017 Updated due to quarterly assessment and reallocation

$ 920,334 Updated due to quarterly assessment and reallocation

$ 919,383 Updated due to quarterly assessment and reallocation

$ 919,238 Transfer of cap due to servicing transfer

$ 916,598 Transfer of cap due to servicing transfer

$ 916,410 Transfer of cap due to servicing transfer

$ 914,959 Transfer of cap due to servicing transfer

$ 914,915 Transfer of cap due to servicing transfer

$ 876,679 Transfer of cap due to servicing transfer

$ 871,937 Transfer of cap due to servicing transfer

$ 864,846 Transfer of cap due to servicing transfer

$ 864,502 Transfer of cap due to servicing transfer

$ 863,380 Transfer of cap due to servicing transfer

$ 861,161 Transfer of cap due to servicing transfer

$ 860,744 Transfer of cap due to servicing transfer

Park View Federal Savings Bank Solon OH $ 760,000 N/A $ 800,000 Updated portfolio data from servicer/additional program initial 

cap $ 940,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,320 Updated due to quarterly assessment and reallocation

$ 870,310 Updated due to quarterly assessment and reallocation

6 $ 53,937 Termination of SPA

Pathfinder Bank Oswego NY $ 1,300,000 N/A $ 3,481,334 Updated portfolio data from servicer

$ 3,481,329 Updated due to quarterly assessment and reallocation

$ 3,481,323 Updated due to quarterly assessment and reallocation

$ 3,481,265 Updated due to quarterly assessment and reallocation

$ 3,481,222 Updated due to quarterly assessment and reallocation

$ 3,481,103 Updated due to quarterly assessment and reallocation

$ 3,481,083 Updated due to quarterly assessment and reallocation

$ 3,481,007 Updated due to quarterly assessment and reallocation

$ 3,480,978 Updated due to quarterly assessment and reallocation

$ 3,480,968 Updated due to quarterly assessment and reallocation

$ 3,463,547 Updated due to quarterly assessment and reallocation

$ 3,462,935 Updated due to quarterly assessment and reallocation

$ 3,455,707 Updated due to quarterly assessment and reallocation

$ 3,441,351 Updated due to quarterly assessment and reallocation

$ 3,436,609 Updated due to quarterly assessment and reallocation

$ 2,873,173 Updated due to quarterly assessment and reallocation

$ 2,661,796 Updated due to quarterly assessment and reallocation

$ 1,832,830 Updated due to quarterly assessment and reallocation

$ 1,635,318 Updated due to quarterly assessment and reallocation

$ 1,370,037 Updated due to quarterly assessment and reallocation

$ 1,171,199 Updated due to quarterly assessment and reallocation

$ 596,803 Reallocation due to MHA program deobligation

$ 584,805 Updated due to quarterly assessment and reallocation

$ 491,787 Updated due to quarterly assessment and reallocation

$ 436,220 Updated due to quarterly assessment and reallocation

$ 380,636 Updated due to quarterly assessment and reallocation

$ 281,007 Updated due to quarterly assessment and reallocation

$ 196,282 Updated due to quarterly assessment and reallocation

$ 228,946 Updated due to quarterly assessment and reallocation

$ 228,294 Updated due to quarterly assessment and reallocation

$ 228,194 Transfer of cap due to servicing transfer

02/27/2017 $ (1,726) $ 226,468 Transfer of cap due to servicing transfer

12/27/2016 $ (100)

11/29/2016 $ (652)

11/07/2016 $ 32,664

10/25/2016 $ (84,725)

09/28/2016 $ (99,629)

07/27/2016 $ (55,584)

06/27/2016 $ (55,567)

05/31/2016 $ (93,018)

03/28/2016 $ (11,998)

02/25/2016 $ (574,396)

12/28/2015 $ (198,838)

09/28/2015 $ (265,281)

06/25/2015 $ (197,512)

04/28/2015 $ (828,966)

03/26/2015 $ (211,377)

12/29/2014 $ (563,436)

09/29/2014 $ (4,742)

07/29/2014 $ (14,356)

06/26/2014 $ (7,228)

03/26/2014 $ (612)

12/23/2013 $ (17,421)

09/27/2013 $ (10)

06/27/2013 $ (29)

03/25/2013 $ (76)

12/27/2012 $ (20)

09/27/2012 $ (119)

06/28/2012 $ (43)

06/29/2011 $ (58)

03/30/2011 $ (6)

01/06/2011 $ (5)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 2,181,334

09/14/2012 $ (816,373)

06/28/2012 $ (10)

06/29/2011 $ (12)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 70,334

07/14/2010 $ (140,000)

03/26/2010 $ 140,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 40,000

06/21/2018 $ (417)

04/25/2018 $ (2,219)

03/22/2018 $ (1,122)

02/26/2018 $ (344)

12/21/2017 $ (7,091)

10/26/2017 $ (4,742)

09/26/2017 $ (38,236)

07/26/2017 $ (44)

06/26/2017 $ (1,451)

04/26/2017 $ (188)

02/27/2017 $ (2,640)

12/27/2016 $ (145)

11/29/2016 $ (951)

11/07/2016 $ 24,317

10/25/2016 $ (63,074)

09/28/2016 $ (66,682)

07/27/2016 $ (42,814)

06/27/2016 $ (42,745)

05/31/2016 $ (69,927)

03/28/2016 $ (9,753)

02/25/2016 $ (466,555)

12/28/2015 $ (150,962)

09/28/2015 $ (224,207)

06/25/2015 $ (167,093)

04/28/2015 $ (704,893)

03/26/2015 $ (183,056)

12/29/2014 $ (498,170)

09/29/2014 $ (4,292)

07/29/2014 $ (12,989)

130
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 226,346 Transfer of cap due to servicing transfer

$ 225,407 Transfer of cap due to servicing transfer

$ 225,379 Transfer of cap due to servicing transfer

$ 187,957 Transfer of cap due to servicing transfer

$ 183,316 Transfer of cap due to servicing transfer

$ 178,481 Transfer of cap due to servicing transfer

$ 178,246 Transfer of cap due to servicing transfer

$ 177,481 Transfer of cap due to servicing transfer

$ 175,968 Transfer of cap due to servicing transfer

$ 175,684 Transfer of cap due to servicing transfer

PennyMac Loan Services, LLC Calasbasa CA $ 6,210,000 N/A $ 5,010,000 Updated portfolio data from servicer/additional program initial 

cap $ 35,810,000 Updated portfolio data from servicer/additional program initial 

cap $ 59,010,000 Updated portfolio data from servicer

$ 61,720,000 Transfer of cap due to servicing transfer

$ 43,700,000 Updated portfolio data from servicer

$ 50,380,000 Transfer of cap due to servicing transfer

$ 52,980,000 Transfer of cap due to servicing transfer

$ 52,880,000 Transfer of cap due to servicing transfer

$ 53,080,000 Updated portfolio data from servicer/additional program initial 

cap $ 51,656,803 Updated portfolio data from servicer

$ 53,056,803 Transfer of cap due to servicing transfer

$ 52,956,803 Transfer of cap due to servicing transfer

$ 52,956,731 Updated due to quarterly assessment and reallocation

$ 57,056,731 Transfer of cap due to servicing transfer

$ 56,956,731 Transfer of cap due to servicing transfer

$ 60,956,731 Transfer of cap due to servicing transfer

$ 60,956,637 Updated due to quarterly assessment and reallocation

$ 60,856,637 Transfer of cap due to servicing transfer

$ 66,656,637 Transfer of cap due to servicing transfer

$ 67,256,637 Transfer of cap due to servicing transfer

$ 67,255,825 Updated due to quarterly assessment and reallocation

$ 69,755,825 Transfer of cap due to servicing transfer

$ 72,555,825 Transfer of cap due to servicing transfer

$ 72,855,825 Transfer of cap due to servicing transfer

$ 73,755,825 Transfer of cap due to servicing transfer

$ 74,555,825 Transfer of cap due to servicing transfer

$ 74,755,825 Transfer of cap due to servicing transfer

$ 76,655,825 Transfer of cap due to servicing transfer

$ 76,855,825 Transfer of cap due to servicing transfer

$ 78,195,825 Transfer of cap due to servicing transfer

$ 78,195,485 Updated due to quarterly assessment and reallocation

$ 81,125,485 Transfer of cap due to servicing transfer

$ 82,015,485 Transfer of cap due to servicing transfer

$ 82,014,511 Updated due to quarterly assessment and reallocation

$ 83,814,511 Transfer of cap due to servicing transfer

$ 87,674,511 Transfer of cap due to servicing transfer

$ 87,674,357 Updated due to quarterly assessment and reallocation

$ 90,654,357 Transfer of cap due to servicing transfer

$ 90,653,851 Updated due to quarterly assessment and reallocation

$ 92,813,851 Transfer of cap due to servicing transfer

$ 95,253,851 Transfer of cap due to servicing transfer

$ 95,253,723 Updated due to quarterly assessment and reallocation

$ 95,253,716 Updated due to quarterly assessment and reallocation

$ 99,703,716 Transfer of cap due to servicing transfer

$ 115,529,931 Updated due to quarterly assessment and reallocation

$ 120,659,931 Transfer of cap due to servicing transfer

$ 118,269,931 Transfer of cap due to servicing transfer

$ 120,287,357 Updated due to quarterly assessment and reallocation

$ 120,277,357 Transfer of cap due to servicing transfer

$ 122,637,357 Transfer of cap due to servicing transfer

$ 128,596,558 Updated due to quarterly assessment and reallocation

$ 128,606,558 Transfer of cap due to servicing transfer

$ 132,314,939 Updated due to quarterly assessment and reallocation

$ 132,464,939 Transfer of cap due to servicing transfer

$ 129,854,939 Transfer of cap due to servicing transfer

$ 129,847,722 Updated due to quarterly assessment and reallocation

$ 104,757,722 Transfer of cap due to servicing transfer

$ 104,777,722 Transfer of cap due to servicing transfer

$ 121,577,569 Updated due to quarterly assessment and reallocation

02/13/2015 $ 20,000 $ 121,597,569 Transfer of cap due to servicing transfer

12/29/2014 $ 16,799,847

11/14/2014 $ 20,000

10/16/2014 $ (25,090,000)

09/29/2014 $ (7,217)

09/16/2014 $ (2,610,000)

08/14/2014 $ 150,000

07/29/2014 $ 3,708,381

07/16/2014 $ 10,000

06/26/2014 $ 5,959,201

06/16/2014 $ 2,360,000

05/15/2014 $ (10,000)

03/26/2014 $ 2,017,426

03/14/2014 $ (2,390,000)

02/13/2014 $ 5,130,000

12/23/2013 $ 15,826,215

10/15/2013 $ 4,450,000

09/27/2013 $ (7)

06/27/2013 $ (128)

06/14/2013 $ 2,440,000

04/16/2013 $ 2,160,000

03/25/2013 $ (506)

02/14/2013 $ 2,980,000

12/27/2012 $ (154)

12/14/2012 $ 3,860,000

10/16/2012 $ 1,800,000

09/27/2012 $ (974)

08/16/2012 $ 890,000

07/16/2012 $ 2,930,000

06/28/2012 $ (340)

06/14/2012 $ 1,340,000

04/16/2012 $ 200,000

03/15/2012 $ 1,900,000

01/13/2012 $ 200,000

12/15/2011 $ 800,000

11/16/2011 $ 900,000

10/14/2011 $ 300,000

09/15/2011 $ 2,800,000

07/14/2011 $ 2,500,000

06/29/2011 $ (812)

06/16/2011 $ 600,000

05/13/2011 $ 5,800,000

04/13/2011 $ (100,000)

03/30/2011 $ (94)

03/16/2011 $ 4,000,000

02/16/2011 $ (100,000)

01/13/2011 $ 4,100,000

01/06/2011 $ (72)

12/15/2010 $ (100,000)

11/16/2010 $ 1,400,000

09/30/2010 $ (1,423,197)

09/30/2010 $ 200,000

09/15/2010 $ (100,000)

08/13/2010 $ 2,600,000

07/16/2010 $ 6,680,000

07/14/2010 $ (18,020,000)

06/16/2010 $ 2,710,000

03/26/2010 $ 23,200,000

12/30/2009 $ 30,800,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (1,200,000)

06/21/2018 $ (284)

04/25/2018 $ (1,513)

03/22/2018 $ (765)

02/26/2018 $ (235)

12/21/2017 $ (4,835)

10/26/2017 $ (4,641)

09/26/2017 $ (37,422)

07/26/2017 $ (28)

06/26/2017 $ (939)

04/26/2017 $ (122)

131
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 124,064,673 Updated due to quarterly assessment and reallocation

$ 127,274,673 Transfer of cap due to servicing transfer

$ 128,678,718 Updated due to quarterly assessment and reallocation

$ 125,308,718 Transfer of cap due to servicing transfer

$ 128,688,718 Transfer of cap due to servicing transfer

$ 131,052,770 Updated due to quarterly assessment and reallocation

$ 131,502,770 Transfer of cap due to servicing transfer

$ 135,912,770 Transfer of cap due to servicing transfer

$ 142,525,577 Updated due to quarterly assessment and reallocation

$ 146,604,247 Updated due to quarterly assessment and reallocation

$ 141,173,792 Reallocation due to MHA program deobligation

$ 141,193,792 Transfer of cap due to servicing transfer

$ 141,068,531 Updated due to quarterly assessment and reallocation

$ 141,098,531 Transfer of cap due to servicing transfer

$ 141,088,531 Transfer of cap due to servicing transfer

$ 143,062,498 Updated due to quarterly assessment and reallocation

$ 126,192,498 Transfer of cap due to servicing transfer

$ 126,065,545 Updated due to quarterly assessment and reallocation

$ 126,025,545 Transfer of cap due to servicing transfer

$ 125,747,732 Updated due to quarterly assessment and reallocation

$ 129,571,219 Updated due to quarterly assessment and reallocation

$ 129,621,219 Transfer of cap due to servicing transfer

$ 131,838,441 Updated due to quarterly assessment and reallocation

$ 131,838,441 Updated due to quarterly assessment and reallocation

$ 138,278,441 Transfer of cap due to servicing transfer

$ 138,193,907 Updated due to quarterly assessment and reallocation

$ 138,180,429 Transfer of cap due to servicing transfer

$ 146,930,429 Transfer of cap due to servicing transfer

$ 146,536,448 Transfer of cap due to servicing transfer

$ 142,476,448 Transfer of cap due to servicing transfer

$ 142,455,431 Transfer of cap due to servicing transfer

$ 142,262,893 Transfer of cap due to servicing transfer

$ 142,257,204 Transfer of cap due to servicing transfer

$ 138,764,808 Transfer of cap due to servicing transfer

$ 138,061,655 Transfer of cap due to servicing transfer

$ 136,816,012 Transfer of cap due to servicing transfer

$ 136,748,552 Transfer of cap due to servicing transfer

$ 136,442,665 Transfer of cap due to servicing transfer

$ 135,818,909 Transfer of cap due to servicing transfer

$ 135,664,553 Transfer of cap due to servicing transfer

PHH Mortgage Corporation Mt. Laurel NJ - N/A 3 $ 1,300,000 Transfer of cap due to servicing transfer

$ 1,299,985 Updated due to quarterly assessment and reallocation

$ 1,299,943 Updated due to quarterly assessment and reallocation

$ 1,439,943 Transfer of cap due to servicing transfer

$ 1,439,935 Updated due to quarterly assessment and reallocation

$ 1,439,905 Updated due to quarterly assessment and reallocation

$ 1,439,894 Updated due to quarterly assessment and reallocation

$ 7,289,894 Transfer of cap due to servicing transfer

$ 7,289,874 Updated due to quarterly assessment and reallocation

$ 7,255,329 Updated due to quarterly assessment and reallocation

$ 7,254,113 Updated due to quarterly assessment and reallocation

$ 7,239,742 Updated due to quarterly assessment and reallocation

$ 7,211,181 Updated due to quarterly assessment and reallocation

$ 7,201,745 Updated due to quarterly assessment and reallocation

$ 6,123,537 Updated due to quarterly assessment and reallocation

$ 5,717,157 Updated due to quarterly assessment and reallocation

$ 4,115,297 Updated due to quarterly assessment and reallocation

$ 3,732,877 Updated due to quarterly assessment and reallocation

$ 3,722,877 Transfer of cap due to servicing transfer

$ 3,210,281 Updated due to quarterly assessment and reallocation

$ 2,822,450 Updated due to quarterly assessment and reallocation

$ 1,687,457 Reallocation due to MHA program deobligation

$ 1,663,748 Updated due to quarterly assessment and reallocation

$ 1,478,187 Updated due to quarterly assessment and reallocation

$ 1,366,341 Updated due to quarterly assessment and reallocation

$ 1,254,456 Updated due to quarterly assessment and reallocation

$ 1,058,788 Updated due to quarterly assessment and reallocation

$ 869,960 Updated due to quarterly assessment and reallocation

$ 942,760 Updated due to quarterly assessment and reallocation

11/29/2016 $ (1,637) $ 941,123 Updated due to quarterly assessment and reallocation

11/07/2016 $ 72,800

10/25/2016 $ (188,828)

09/28/2016 $ (195,668)

07/27/2016 $ (111,885)

06/27/2016 $ (111,846)

05/31/2016 $ (185,561)

03/28/2016 $ (23,709)

02/25/2016 $ (1,134,993)

12/28/2015 $ (387,831)

09/28/2015 $ (512,596)

08/14/2015 $ (10,000)

06/25/2015 $ (382,420)

04/28/2015 $ (1,601,860)

03/26/2015 $ (406,380)

12/29/2014 $ (1,078,208)

09/29/2014 $ (9,436)

07/29/2014 $ (28,561)

06/26/2014 $ (14,371)

03/26/2014 $ (1,216)

12/23/2013 $ (34,545)

09/27/2013 $ (20)

07/16/2013 $ 5,850,000

06/27/2013 $ (11)

03/25/2013 $ (30)

12/27/2012 $ (8)

10/16/2012 $ 140,000

09/27/2012 $ (42)

06/28/2012 $ (15)

######## Purchase Financial Instrument for Home Loan Modifications 09/15/2011 $ 1,300,000

06/21/2018 $ (154,356)

04/25/2018 $ (623,756)

03/22/2018 $ (305,887)

02/26/2018 $ (67,460)

12/21/2017 $ (1,245,643)

10/26/2017 $ (703,153)

09/26/2017 $ (3,492,396)

07/26/2017 $ (5,689)

06/26/2017 $ (192,538)

04/26/2017 $ (21,017)

03/16/2017 $ (4,060,000)

02/27/2017 $ (393,981)

02/16/2017 $ 8,750,000

12/27/2016 $ (13,478)

11/29/2016 $ (84,534)

11/16/2016 $ 6,440,000

11/07/2016 -

10/25/2016 $ 2,217,222

10/14/2016 $ 50,000

09/28/2016 $ 3,823,487

07/27/2016 $ (277,813)

07/14/2016 $ (40,000)

06/27/2016 $ (126,953)

06/16/2016 $ (16,870,000)

05/31/2016 $ 1,973,967

05/16/2016 $ (10,000)

04/14/2016 $ 30,000

03/28/2016 $ (125,261)

03/16/2016 $ 20,000

02/25/2016 $ (5,430,455)

12/28/2015 $ 4,078,670

09/28/2015 $ 6,612,807

08/14/2015 $ 4,410,000

07/16/2015 $ 450,000

06/25/2015 $ 2,364,052

06/16/2015 $ 3,380,000

05/14/2015 $ (3,370,000)

04/28/2015 $ 1,404,045

04/16/2015 $ 3,210,000

03/26/2015 $ 2,467,104

132
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 940,873 Transfer of cap due to servicing transfer

$ 936,388 Transfer of cap due to servicing transfer

$ 936,094 Transfer of cap due to servicing transfer

$ 933,833 Transfer of cap due to servicing transfer

$ 933,765 Transfer of cap due to servicing transfer

$ 852,098 Transfer of cap due to servicing transfer

$ 841,420 Transfer of cap due to servicing transfer

$ 830,286 Transfer of cap due to servicing transfer

$ 829,745 Transfer of cap due to servicing transfer

$ 827,981 Transfer of cap due to servicing transfer

$ 824,493 Transfer of cap due to servicing transfer

$ 823,839 Transfer of cap due to servicing transfer

Planet Home Lending, LLC Meriden CT - N/A 3 - Transfer of cap due to servicing transfer

$ 1,110,000 Transfer of cap due to servicing transfer

$ 1,109,756 Updated due to quarterly assessment and reallocation

$ 1,109,673 Transfer of cap due to servicing transfer

$ 1,106,221 Transfer of cap due to servicing transfer

$ 1,106,014 Transfer of cap due to servicing transfer

$ 1,103,638 Transfer of cap due to servicing transfer

$ 1,103,581 Transfer of cap due to servicing transfer

$ 1,113,116 Transfer of cap due to servicing transfer

$ 1,110,129 Transfer of cap due to servicing transfer

$ 1,102,386 Transfer of cap due to servicing transfer

$ 1,101,358 Transfer of cap due to servicing transfer

$ 5,201,494 Transfer of cap due to servicing transfer

$ 5,192,284 Transfer of cap due to servicing transfer

$ 5,188,611 Transfer of cap due to servicing transfer

Plaza Home Mortgage, Inc San Diego CA - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

PNC Bank, National Association Pittsburgh PA $ 54,470,000 N/A $ 18,230,000 Updated portfolio data from servicer/additional program initial 

cap $ 37,510,000 Updated portfolio data from servicer/additional program initial 

cap $ 39,980,000 Updated portfolio data from servicer

$ 22,800,000 Updated portfolio data from servicer

$ 58,300,000 Updated portfolio data from servicer/additional program initial 

cap $ 81,376,191 Updated portfolio data from servicer

$ 81,376,068 Updated due to quarterly assessment and reallocation

$ 81,375,921 Updated due to quarterly assessment and reallocation

$ 81,275,921 Transfer of cap due to servicing transfer

$ 81,274,539 Updated due to quarterly assessment and reallocation

$ 80,974,539 Transfer of cap due to servicing transfer

$ 80,973,536 Updated due to quarterly assessment and reallocation

$ 80,970,791 Updated due to quarterly assessment and reallocation

$ 80,970,331 Updated due to quarterly assessment and reallocation

$ 80,968,591 Updated due to quarterly assessment and reallocation

$ 81,028,591 Transfer of cap due to merger/acquisition

$ 81,027,935 Updated due to quarterly assessment and reallocation

$ 81,027,701 Updated due to quarterly assessment and reallocation

$ 80,632,775 Updated due to quarterly assessment and reallocation

$ 80,618,930 Updated due to quarterly assessment and reallocation

$ 80,456,529 Updated due to quarterly assessment and reallocation

$ 80,134,049 Updated due to quarterly assessment and reallocation

$ 80,027,644 Updated due to quarterly assessment and reallocation

$ 67,155,756 Updated due to quarterly assessment and reallocation

$ 62,329,552 Updated due to quarterly assessment and reallocation

$ 43,326,638 Updated due to quarterly assessment and reallocation

$ 38,825,193 Updated due to quarterly assessment and reallocation

$ 32,853,022 Updated due to quarterly assessment and reallocation

$ 28,431,750 Updated due to quarterly assessment and reallocation

$ 15,624,512 Reallocation due to MHA program deobligation

$ 15,356,173 Updated due to quarterly assessment and reallocation

$ 13,277,174 Updated due to quarterly assessment and reallocation

$ 12,037,805 Updated due to quarterly assessment and reallocation

$ 10,807,965 Updated due to quarterly assessment and reallocation

$ 8,650,140 Updated due to quarterly assessment and reallocation

$ 6,605,970 Updated due to quarterly assessment and reallocation

$ 7,394,069 Updated due to quarterly assessment and reallocation

$ 7,377,450 Updated due to quarterly assessment and reallocation

$ 7,374,906 Transfer of cap due to servicing transfer

$ 7,333,067 Transfer of cap due to servicing transfer

04/26/2017 $ (2,604) $ 7,330,463 Transfer of cap due to servicing transfer

02/27/2017 $ (41,839)

12/27/2016 $ (2,544)

11/29/2016 $ (16,619)

11/07/2016 $ 788,099

10/25/2016 $ (2,044,170)

09/28/2016 $ (2,157,825)

07/27/2016 $ (1,229,840)

06/27/2016 $ (1,239,369)

05/31/2016 $ (2,078,999)

03/28/2016 $ (268,339)

02/25/2016 $ (12,807,238)

12/28/2015 $ (4,421,272)

09/28/2015 $ (5,972,171)

06/25/2015 $ (4,501,445)

04/28/2015 $ (19,002,914)

03/26/2015 $ (4,826,204)

12/29/2014 $ (12,871,888)

09/29/2014 $ (106,405)

07/29/2014 $ (322,480)

06/26/2014 $ (162,401)

03/26/2014 $ (13,845)

12/23/2013 $ (394,926)

09/27/2013 $ (234)

06/27/2013 $ (656)

04/09/2013 $ 60,000

03/25/2013 $ (1,740)

12/27/2012 $ (460)

09/27/2012 $ (2,745)

06/28/2012 $ (1,003)

10/14/2011 $ (300,000)

06/29/2011 $ (1,382)

05/13/2011 $ (100,000)

03/30/2011 $ (147)

01/06/2011 $ (123)

09/30/2010 $ 23,076,191

09/30/2010 $ 35,500,000

07/14/2010 $ (17,180,000)

03/26/2010 $ 2,470,000

12/30/2009 $ 19,280,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (36,240,000)

07/16/2014 $ 20,000

######## Purchase Financial Instrument for Home Loan Modifications 11/14/2013 $ 10,000

06/21/2018 $ (3,673)

04/25/2018 $ (9,210)

03/22/2018 $ 4,100,136

02/26/2018 $ (1,028)

12/21/2017 $ (7,743)

10/26/2017 $ (2,987)

09/26/2017 $ 9,535

07/26/2017 $ (57)

06/26/2017 $ (2,376)

04/26/2017 $ (207)

02/27/2017 $ (3,452)

12/27/2016 $ (83)

11/29/2016 $ (244)

11/16/2016 $ 1,110,000

######## Purchase Financial Instrument for Home Loan Modifications 10/14/2016 -

06/21/2018 $ (654)

04/25/2018 $ (3,488)

03/22/2018 $ (1,764)

02/26/2018 $ (541)

12/21/2017 $ (11,134)

10/26/2017 $ (10,678)

09/26/2017 $ (81,667)

07/26/2017 $ (68)

06/26/2017 $ (2,261)

04/26/2017 $ (294)

02/27/2017 $ (4,485)

12/27/2016 $ (250)

133
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 7,310,882 Transfer of cap due to servicing transfer

$ 7,310,286 Transfer of cap due to servicing transfer

$ 6,659,019 Transfer of cap due to servicing transfer

$ 6,577,691 Transfer of cap due to servicing transfer

$ 6,491,556 Transfer of cap due to servicing transfer

$ 6,487,219 Transfer of cap due to servicing transfer

$ 6,473,064 Transfer of cap due to servicing transfer

$ 6,444,835 Transfer of cap due to servicing transfer

$ 6,439,509 Transfer of cap due to servicing transfer

PNC Bank, National Association 

(successor to National City Bank) Miamisburg OH $ 294,980,000 N/A $ 610,150,000 Updated portfolio data from servicer/additional program initial cap

$ 700,430,000 Updated portfolio data from servicer/additional program initial 

cap $ 681,740,000 Updated portfolio data from servicer

$ 409,100,000 Updated portfolio data from servicer

$ 489,700,000 Updated portfolio data from servicer/additional program initial 

cap $ 560,930,004 Updated portfolio data from servicer

$ 560,929,176 Updated due to quarterly assessment and reallocation

$ 561,129,176 Transfer of cap due to servicing transfer

$ 561,029,176 Transfer of cap due to servicing transfer

$ 561,028,195 Updated due to quarterly assessment and reallocation

$ 558,728,195 Transfer of cap due to servicing transfer

$ 558,528,195 Transfer of cap due to servicing transfer

$ 558,328,195 Transfer of cap due to servicing transfer

$ 558,318,998 Updated due to quarterly assessment and reallocation

$ 558,618,998 Transfer of cap due to servicing transfer

$ 558,318,998 Transfer of cap due to servicing transfer

$ 558,518,998 Transfer of cap due to servicing transfer

$ 558,418,998 Transfer of cap due to servicing transfer

$ 558,618,998 Transfer of cap due to servicing transfer

$ 558,608,998 Transfer of cap due to servicing transfer

$ 558,602,227 Updated due to quarterly assessment and reallocation

$ 558,583,760 Updated due to quarterly assessment and reallocation

$ 558,580,655 Updated due to quarterly assessment and reallocation

$ 558,568,942 Updated due to quarterly assessment and reallocation

$ 558,564,549 Updated due to quarterly assessment and reallocation

$ 558,562,984 Updated due to quarterly assessment and reallocation

$ 555,940,059 Updated due to quarterly assessment and reallocation

$ 563,620,059 Transfer of cap due to servicing transfer

$ 563,527,223 Updated due to quarterly assessment and reallocation

$ 562,437,054 Updated due to quarterly assessment and reallocation

$ 560,296,196 Updated due to quarterly assessment and reallocation

$ 559,356,196 Transfer of cap due to servicing transfer

$ 558,651,680 Updated due to quarterly assessment and reallocation

$ 558,661,680 Transfer of cap due to servicing transfer

$ 557,281,680 Transfer of cap due to servicing transfer

$ 475,385,181 Updated due to quarterly assessment and reallocation

$ 474,545,181 Transfer of cap due to servicing transfer

$ 444,139,837 Updated due to quarterly assessment and reallocation

$ 334,960,186 Updated due to quarterly assessment and reallocation

$ 309,534,498 Updated due to quarterly assessment and reallocation

$ 276,339,667 Updated due to quarterly assessment and reallocation

$ 276,309,667 Transfer of cap due to servicing transfer

$ 273,499,667 Transfer of cap due to servicing transfer

$ 248,637,253 Updated due to quarterly assessment and reallocation

$ 172,732,104 Reallocation due to MHA program deobligation

$ 171,144,658 Updated due to quarterly assessment and reallocation

$ 171,174,658 Transfer of cap due to servicing transfer

$ 159,647,815 Updated due to quarterly assessment and reallocation

$ 158,837,815 Transfer of cap due to servicing transfer

$ 151,704,386 Updated due to quarterly assessment and reallocation

$ 144,488,027 Updated due to quarterly assessment and reallocation

$ 144,508,027 Transfer of cap due to servicing transfer

$ 132,336,717 Updated due to quarterly assessment and reallocation

$ 120,869,119 Updated due to quarterly assessment and reallocation

$ 125,290,281 Updated due to quarterly assessment and reallocation

$ 125,164,412 Updated due to quarterly assessment and reallocation

$ 124,774,412 Transfer of cap due to servicing transfer

$ 124,756,434 Transfer of cap due to servicing transfer

$ 124,346,434 Transfer of cap due to servicing transfer

02/27/2017 $ (303,316) $ 124,043,118 Transfer of cap due to servicing transfer

01/13/2017 $ (410,000)

12/27/2016 $ (17,978)

12/15/2016 $ (390,000)

11/29/2016 $ (125,869)

11/07/2016 $ 4,421,162

10/25/2016 $ (11,467,598)

09/28/2016 $ (12,171,310)

09/15/2016 $ 20,000

07/27/2016 $ (7,216,359)

06/27/2016 $ (7,133,429)

06/16/2016 $ (810,000)

05/31/2016 $ (11,526,843)

04/14/2016 $ 30,000

03/28/2016 $ (1,587,446)

02/25/2016 $ (75,905,149)

12/28/2015 $ (24,862,414)

11/16/2015 $ (2,810,000)

10/15/2015 $ (30,000)

09/28/2015 $ (33,194,831)

06/25/2015 $ (25,425,688)

04/28/2015 $ (109,179,651)

03/26/2015 $ (30,405,344)

03/16/2015 $ (840,000)

12/29/2014 $ (81,896,499)

11/14/2014 $ (1,380,000)

10/16/2014 $ 10,000

09/29/2014 $ (704,516)

08/14/2014 $ (940,000)

07/29/2014 $ (2,140,858)

06/26/2014 $ (1,090,169)

03/26/2014 $ (92,836)

03/14/2014 $ 7,680,000

12/23/2013 $ (2,622,925)

09/27/2013 $ (1,565)

06/27/2013 $ (4,393)

03/25/2013 $ (11,713)

12/27/2012 $ (3,105)

09/27/2012 $ (18,467)

06/28/2012 $ (6,771)

06/14/2012 $ (10,000)

03/15/2012 $ 200,000

02/16/2012 $ (100,000)

01/13/2012 $ 200,000

11/16/2011 $ (300,000)

10/14/2011 $ 300,000

06/29/2011 $ (9,197)

06/16/2011 $ (200,000)

05/13/2011 $ (200,000)

04/13/2011 $ (2,300,000)

03/30/2011 $ (981)

03/16/2011 $ (100,000)

02/16/2011 $ 200,000

01/06/2011 $ (828)

09/30/2010 $ 71,230,004

09/30/2010 $ 80,600,000

07/14/2010 $ (272,640,000)

03/26/2010 $ (18,690,000)

12/30/2009 $ 90,280,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 315,170,000

06/21/2018 $ (5,326)

04/25/2018 $ (28,229)

03/22/2018 $ (14,155)

02/26/2018 $ (4,337)

12/21/2017 $ (86,135)

10/26/2017 $ (81,328)

09/26/2017 $ (651,267)

07/26/2017 $ (596)

06/26/2017 $ (19,581)

134
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 123,953,118 Transfer of cap due to servicing transfer

$ 123,933,158 Transfer of cap due to servicing transfer

$ 123,775,412 Transfer of cap due to servicing transfer

$ 123,770,527 Transfer of cap due to servicing transfer

$ 118,289,989 Transfer of cap due to servicing transfer

$ 117,580,892 Transfer of cap due to servicing transfer

$ 116,750,104 Transfer of cap due to servicing transfer

$ 116,704,995 Transfer of cap due to servicing transfer

$ 116,552,074 Transfer of cap due to servicing transfer

$ 116,235,126 Transfer of cap due to servicing transfer

$ 116,171,702 Transfer of cap due to servicing transfer

PrimeWest Mortgage Corporation Lubbock TX - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

- Termination of SPA

Purdue Federal Credit Union (Purdue 

Employees Federal Credit Union) West Lafayette IN $ 1,090,000 N/A $ 1,030,000 Updated portfolio data from servicer/additional program initial cap

$ 2,290,000 Updated portfolio data from servicer/additional program initial 

cap $ 4,360,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,186 Updated due to quarterly assessment and reallocation

$ 580,175 Updated due to quarterly assessment and reallocation

$ 580,171 Updated due to quarterly assessment and reallocation

$ 580,170 Updated due to quarterly assessment and reallocation

$ 577,696 Updated due to quarterly assessment and reallocation

$ 577,609 Updated due to quarterly assessment and reallocation

$ 576,582 Updated due to quarterly assessment and reallocation

$ 574,543 Updated due to quarterly assessment and reallocation

$ 573,870 Updated due to quarterly assessment and reallocation

$ 492,288 Updated due to quarterly assessment and reallocation

$ 461,606 Updated due to quarterly assessment and reallocation

$ 340,674 Updated due to quarterly assessment and reallocation

$ 311,994 Updated due to quarterly assessment and reallocation

$ 273,682 Updated due to quarterly assessment and reallocation

$ 245,329 Updated due to quarterly assessment and reallocation

$ 164,357 Reallocation due to MHA program deobligation

$ 162,666 Updated due to quarterly assessment and reallocation

$ 149,428 Updated due to quarterly assessment and reallocation

$ 141,520 Updated due to quarterly assessment and reallocation

$ 133,609 Updated due to quarterly assessment and reallocation

$ 119,774 Updated due to quarterly assessment and reallocation

$ 106,701 Updated due to quarterly assessment and reallocation

$ 111,741 Updated due to quarterly assessment and reallocation

$ 111,651 Updated due to quarterly assessment and reallocation

$ 111,637 Transfer of cap due to servicing transfer

$ 111,397 Transfer of cap due to servicing transfer

$ 111,381 Transfer of cap due to servicing transfer

$ 111,260 Transfer of cap due to servicing transfer

$ 111,256 Transfer of cap due to servicing transfer

$ 106,440 Transfer of cap due to servicing transfer

$ 105,843 Transfer of cap due to servicing transfer

$ 105,221 Transfer of cap due to servicing transfer

$ 105,191 Transfer of cap due to servicing transfer

$ 105,093 Transfer of cap due to servicing transfer

$ 104,898 Transfer of cap due to servicing transfer

$ 104,861 Transfer of cap due to servicing transfer

QLending, Inc. Coral Gables FL $ 20,000 N/A $ 10,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

06/26/2014 $ (96) $ 144,715 Updated due to quarterly assessment and reallocation

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ 90,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (10,000)

06/21/2018 $ (37)

04/25/2018 $ (195)

03/22/2018 $ (98)

02/26/2018 $ (30)

12/21/2017 $ (622)

10/26/2017 $ (597)

09/26/2017 $ (4,816)

07/26/2017 $ (4)

06/26/2017 $ (121)

04/26/2017 $ (16)

02/27/2017 $ (240)

12/27/2016 $ (14)

11/29/2016 $ (90)

11/07/2016 $ 5,040

10/25/2016 $ (13,073)

09/28/2016 $ (13,835)

07/27/2016 $ (7,911)

06/27/2016 $ (7,908)

05/31/2016 $ (13,238)

03/28/2016 $ (1,691)

02/25/2016 $ (80,972)

12/28/2015 $ (28,353)

09/28/2015 $ (38,312)

06/25/2015 $ (28,680)

04/28/2015 $ (120,932)

03/26/2015 $ (30,682)

12/29/2014 $ (81,582)

09/29/2014 $ (673)

07/29/2014 $ (2,039)

06/26/2014 $ (1,027)

03/26/2014 $ (87)

12/23/2013 $ (2,474)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (11)

12/27/2012 $ (3)

09/27/2012 $ (17)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 180,222

07/14/2010 $ (3,960,000)

03/26/2010 $ 2,070,000

12/30/2009 $ 1,260,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (60,000)

06/15/2017 $ (100,000)

######## Purchase Financial Instrument for Home Loan Modifications 03/15/2012 $ 100,000

06/21/2018 $ (63,424)

04/25/2018 $ (316,948)

03/22/2018 $ (152,921)

02/26/2018 $ (45,109)

12/21/2017 $ (830,788)

10/26/2017 $ (709,097)

09/26/2017 $ (5,480,538)

07/26/2017 $ (4,885)

06/26/2017 $ (157,746)

04/26/2017 $ (19,960)

03/16/2017 $ (90,000)

135
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

- Termination of SPA

Quantum Servicing Corporation Tampa FL $ 18,960,000 N/A $ 19,850,000 Updated portfolio data from servicer/additional program initial 

cap $ 23,690,000 Updated portfolio data from servicer

$ 20,800,000 Updated portfolio data from servicer

$ 30,461,676 Updated portfolio data from servicer

$ 30,461,630 Updated due to quarterly assessment and reallocation

$ 32,061,630 Transfer of cap due to servicing transfer

$ 33,461,630 Transfer of cap due to servicing transfer

$ 33,461,572 Updated due to quarterly assessment and reallocation

$ 33,561,572 Transfer of cap due to servicing transfer

$ 33,661,572 Transfer of cap due to servicing transfer

$ 34,461,572 Transfer of cap due to servicing transfer

$ 34,461,013 Updated due to quarterly assessment and reallocation

$ 34,761,013 Transfer of cap due to servicing transfer

$ 34,961,013 Transfer of cap due to servicing transfer

$ 35,061,013 Transfer of cap due to servicing transfer

$ 35,161,013 Transfer of cap due to servicing transfer

$ 35,491,013 Transfer of cap due to servicing transfer

$ 35,490,585 Updated due to quarterly assessment and reallocation

$ 35,489,401 Updated due to quarterly assessment and reallocation

$ 33,579,401 Transfer of cap due to servicing transfer

$ 32,599,401 Transfer of cap due to servicing transfer

$ 32,599,214 Updated due to quarterly assessment and reallocation

$ 32,598,507 Updated due to quarterly assessment and reallocation

$ 32,358,507 Transfer of cap due to servicing transfer

$ 32,358,239 Updated due to quarterly assessment and reallocation

$ 32,368,239 Transfer of cap due to servicing transfer

$ 32,368,143 Updated due to quarterly assessment and reallocation

$ 32,348,143 Transfer of cap due to servicing transfer

$ 32,185,625 Updated due to quarterly assessment and reallocation

6 $ 645,439 Termination of SPA

Quicken Loans Inc Detroit MI - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

$ 50,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

RBC Bank (USA) Raleigh NC $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 180,000 Updated due to quarterly assessment and reallocation

$ 220,000 Updated due to quarterly assessment and reallocation

$ 270,000 Updated due to quarterly assessment and reallocation

$ 70,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

9 - Termination of SPA

Residential Credit Solutions, Inc. Fort Worth TX $ 19,400,000 N/A $ 17,540,000 Updated portfolio data from servicer/additional program initial 

cap $ 45,460,000 Updated portfolio data from servicer/additional program initial 

cap $ 44,070,000 Updated portfolio data from servicer

$ 30,200,000 Updated portfolio data from servicer

$ 30,600,000 Updated portfolio data from servicer/additional program initial 

cap $ 31,186,954 Updated portfolio data from servicer

$ 31,186,920 Updated due to quarterly assessment and reallocation

$ 31,186,883 Updated due to quarterly assessment and reallocation

$ 31,286,883 Transfer of cap due to servicing transfer

$ 31,286,554 Updated due to quarterly assessment and reallocation

$ 29,386,554 Transfer of cap due to servicing transfer

$ 32,186,554 Transfer of cap due to servicing transfer

$ 32,606,554 Transfer of cap due to servicing transfer

06/14/2012 $ 8,060,000 $ 40,666,554 Transfer of cap due to servicing transfer

05/16/2012 $ 420,000

11/16/2011 $ 2,800,000

09/15/2011 $ (1,900,000)

06/29/2011 $ (329)

04/13/2011 $ 100,000

03/30/2011 $ (37)

01/06/2011 $ (34)

09/30/2010 $ 586,954

09/30/2010 $ 400,000

07/14/2010 $ (13,870,000)

03/26/2010 $ (1,390,000)

12/30/2009 $ 27,920,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (1,860,000)

04/09/2013 $ (60,000)

06/14/2012 $ (10,000)

03/15/2012 $ (200,000)

06/29/2011 $ 50,000

03/30/2011 $ 40,000

01/06/2011 $ 34,944

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

01/15/2015 $ 10,000

05/15/2014 $ 10,000

03/14/2014 $ 30,000

08/15/2013 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 12/14/2012 $ 10,000

02/27/2014 $ (31,540,186)

12/23/2013 $ (162,518)

11/14/2013 $ (20,000)

09/27/2013 $ (96)

07/16/2013 $ 10,000

06/27/2013 $ (268)

04/16/2013 $ (240,000)

03/25/2013 $ (707)

12/27/2012 $ (187)

11/15/2012 $ (980,000)

10/16/2012 $ (1,910,000)

09/27/2012 $ (1,184)

06/28/2012 $ (428)

06/14/2012 $ 330,000

01/13/2012 $ 100,000

09/15/2011 $ 100,000

08/16/2011 $ 200,000

07/14/2011 $ 300,000

06/29/2011 $ (559)

06/16/2011 $ 800,000

05/13/2011 $ 100,000

04/13/2011 $ 100,000

03/30/2011 $ (58)

02/16/2011 $ 1,400,000

01/13/2011 $ 1,600,000

01/06/2011 $ (46)

09/30/2010 $ 9,661,676

07/14/2010 $ (2,890,000)

03/26/2010 $ 3,840,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 890,000

08/29/2016 $ (103,153)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

136
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 40,666,241 Updated due to quarterly assessment and reallocation

$ 42,826,241 Transfer of cap due to servicing transfer

$ 42,825,330 Updated due to quarterly assessment and reallocation

$ 48,515,330 Transfer of cap due to servicing transfer

$ 48,535,330 Transfer of cap due to servicing transfer

$ 48,535,152 Updated due to quarterly assessment and reallocation

$ 51,725,152 Transfer of cap due to servicing transfer

$ 51,465,152 Transfer of cap due to servicing transfer

$ 51,464,439 Updated due to quarterly assessment and reallocation

$ 52,794,439 Transfer of cap due to servicing transfer

$ 52,894,439 Transfer of cap due to servicing transfer

$ 52,914,439 Transfer of cap due to servicing transfer

$ 52,914,175 Updated due to quarterly assessment and reallocation

$ 58,994,175 Transfer of cap due to servicing transfer

$ 56,864,175 Transfer of cap due to servicing transfer

$ 56,864,074 Updated due to quarterly assessment and reallocation

$ 63,774,074 Transfer of cap due to servicing transfer

$ 62,724,074 Transfer of cap due to servicing transfer

$ 62,550,490 Updated due to quarterly assessment and reallocation

$ 63,860,490 Transfer of cap due to servicing transfer

$ 61,650,490 Transfer of cap due to servicing transfer

$ 60,260,490 Transfer of cap due to servicing transfer

$ 60,254,858 Updated due to quarterly assessment and reallocation

$ 60,034,858 Transfer of cap due to servicing transfer

$ 60,974,858 Transfer of cap due to servicing transfer

$ 60,334,858 Transfer of cap due to servicing transfer

$ 60,271,119 Updated due to quarterly assessment and reallocation

$ 61,271,119 Transfer of cap due to servicing transfer

$ 61,142,801 Updated due to quarterly assessment and reallocation

$ 58,442,801 Transfer of cap due to servicing transfer

$ 55,582,801 Transfer of cap due to servicing transfer

$ 55,545,754 Updated due to quarterly assessment and reallocation

$ 56,235,754 Transfer of cap due to servicing transfer

$ 56,275,754 Transfer of cap due to servicing transfer

$ 55,495,754 Transfer of cap due to servicing transfer

$ 52,454,172 Updated due to quarterly assessment and reallocation

$ 52,184,172 Transfer of cap due to servicing transfer

$ 53,484,172 Transfer of cap due to servicing transfer

$ 53,344,172 Transfer of cap due to servicing transfer

$ 52,209,757 Updated due to quarterly assessment and reallocation

$ 52,199,757 Transfer of cap due to servicing transfer

$ 48,187,047 Updated due to quarterly assessment and reallocation

$ 48,757,047 Transfer of cap due to servicing transfer

$ 49,107,047 Transfer of cap due to servicing transfer

$ 48,170,727 Updated due to quarterly assessment and reallocation

$ 48,130,727 Transfer of cap due to servicing transfer

$ 48,140,727 Transfer of cap due to servicing transfer

$ 47,840,727 Transfer of cap due to servicing transfer

$ 46,840,919 Updated due to quarterly assessment and reallocation

$ 47,130,919 Transfer of cap due to servicing transfer

$ 47,010,919 Transfer of cap due to servicing transfer

$ 46,760,919 Transfer of cap due to servicing transfer

$ 46,100,207 Updated due to quarterly assessment and reallocation

$ 42,850,207 Transfer of cap due to servicing transfer

$ 39,715,668 Reallocation due to MHA program deobligation

$ 37,645,668 Transfer of cap due to servicing transfer

$ 37,559,310 Updated due to quarterly assessment and reallocation

$ 28,829,310 Transfer of cap due to servicing transfer

$ 28,479,310 Transfer of cap due to servicing transfer

$ 28,399,145 Updated due to quarterly assessment and reallocation

$ 28,419,145 Transfer of cap due to servicing transfer

$ 28,372,196 Updated due to quarterly assessment and reallocation

$ 26,492,196 Transfer of cap due to servicing transfer

$ 26,519,717 Updated due to quarterly assessment and reallocation

$ 26,509,717 Transfer of cap due to servicing transfer

$ 26,499,717 Transfer of cap due to servicing transfer

$ 26,519,717 Updated due to quarterly assessment and reallocation

$ 26,219,717 Transfer of cap due to servicing transfer

$ 26,178,992 Updated due to quarterly assessment and reallocation

11/07/2016 $ 15,701 $ 26,194,693 Updated due to quarterly assessment and reallocation

10/25/2016 $ (40,725)

10/14/2016 $ (300,000)

09/28/2016 $ 20,000

09/15/2016 $ (10,000)

08/16/2016 $ (10,000)

07/27/2016 $ 27,521

07/14/2016 $ (1,880,000)

06/27/2016 $ (46,949)

06/16/2016 $ 20,000

05/31/2016 $ (80,165)

05/16/2016 $ (350,000)

04/14/2016 $ (8,730,000)

03/28/2016 $ (86,358)

03/16/2016 $ (2,070,000)

02/25/2016 $ (3,134,539)

02/16/2016 $ (3,250,000)

12/28/2015 $ (660,712)

12/16/2015 $ (250,000)

11/16/2015 $ (120,000)

10/15/2015 $ 290,000

09/28/2015 $ (999,808)

09/16/2015 $ (300,000)

08/14/2015 $ 10,000

07/16/2015 $ (40,000)

06/25/2015 $ (936,320)

06/16/2015 $ 350,000

05/14/2015 $ 570,000

04/28/2015 $ (4,012,710)

04/16/2015 $ (10,000)

03/26/2015 $ (1,134,415)

03/16/2015 $ (140,000)

02/13/2015 $ 1,300,000

01/15/2015 $ (270,000)

12/29/2014 $ (3,041,582)

12/16/2014 $ (780,000)

11/14/2014 $ 40,000

10/16/2014 $ 690,000

09/29/2014 $ (37,047)

09/16/2014 $ (2,860,000)

08/14/2014 $ (2,700,000)

07/29/2014 $ (128,318)

07/16/2014 $ 1,000,000

06/26/2014 $ (63,739)

06/16/2014 $ (640,000)

05/15/2014 $ 940,000

04/16/2014 $ (220,000)

03/26/2014 $ (5,632)

03/14/2014 $ (1,390,000)

02/13/2014 $ (2,210,000)

01/16/2014 $ 1,310,000

12/23/2013 $ (173,584)

12/16/2013 $ (1,050,000)

10/15/2013 $ 6,910,000

09/27/2013 $ (101)

09/16/2013 $ (2,130,000)

07/16/2013 $ 6,080,000

06/27/2013 $ (264)

06/14/2013 $ 20,000

05/16/2013 $ 100,000

04/16/2013 $ 1,330,000

03/25/2013 $ (713)

03/14/2013 $ (260,000)

02/14/2013 $ 3,190,000

12/27/2012 $ (178)

11/15/2012 $ 20,000

10/16/2012 $ 5,690,000

09/27/2012 $ (911)

07/16/2012 $ 2,160,000

06/28/2012 $ (313)

137
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 26,134,693 Transfer of cap due to servicing transfer

$ 26,123,661 Updated due to quarterly assessment and reallocation

$ 26,113,661 Transfer of cap due to servicing transfer

$ 26,111,926 Transfer of cap due to servicing transfer

$ 26,121,926 Transfer of cap due to servicing transfer

$ 26,091,516 Transfer of cap due to servicing transfer

$ 26,041,516 Transfer of cap due to servicing transfer

$ 26,039,489 Transfer of cap due to servicing transfer

$ 26,023,684 Transfer of cap due to servicing transfer

$ 26,023,195 Transfer of cap due to servicing transfer

$ 25,995,230 Transfer of cap due to servicing transfer

$ 25,991,762 Transfer of cap due to servicing transfer

6 $ 22,063,690 Termination of SPA

Resurgent Capital Solutions L.P. Greenville SC - N/A 3 $ 940,000 Transfer of cap due to servicing transfer

$ 1,145,242 Updated due to quarterly assessment and reallocation

$ 1,145,239 Updated due to quarterly assessment and reallocation

$ 1,145,238 Updated due to quarterly assessment and reallocation

$ 1,155,238 Transfer of cap due to servicing transfer

$ 9,845,238 Transfer of cap due to servicing transfer

$ 11,235,238 Transfer of cap due to servicing transfer

$ 11,235,019 Updated due to quarterly assessment and reallocation

$ 11,855,019 Transfer of cap due to servicing transfer

$ 12,845,019 Transfer of cap due to servicing transfer

$ 12,844,923 Updated due to quarterly assessment and reallocation

$ 18,624,923 Transfer of cap due to servicing transfer

$ 18,624,873 Updated due to quarterly assessment and reallocation

$ 19,504,873 Transfer of cap due to servicing transfer

$ 26,114,873 Transfer of cap due to servicing transfer

$ 26,134,873 Transfer of cap due to servicing transfer

$ 26,016,544 Updated due to quarterly assessment and reallocation

$ 27,786,544 Transfer of cap due to servicing transfer

$ 51,706,544 Transfer of cap due to servicing transfer

$ 53,166,544 Transfer of cap due to servicing transfer

$ 53,159,358 Updated due to quarterly assessment and reallocation

$ 55,529,358 Transfer of cap due to servicing transfer

$ 57,519,358 Transfer of cap due to servicing transfer

$ 59,239,358 Transfer of cap due to servicing transfer

$ 59,142,643 Updated due to quarterly assessment and reallocation

$ 60,452,643 Transfer of cap due to servicing transfer

$ 60,254,693 Updated due to quarterly assessment and reallocation

$ 3,514,689 Transfer of cap due to servicing transfer

$ 4,003,402 Updated due to quarterly assessment and reallocation

15 $ 3,202,722 Termination of SPA

RG Mortgage Corporation San Juan PR $ 57,000,000 N/A $ 45,700,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,490,000 Updated portfolio data from servicer/additional program initial 

cap $ 69,130,000 Updated portfolio data from servicer

$ 54,660,000 Updated portfolio data from servicer

$ 45,800,000 Updated portfolio data from servicer

$ 41,340,846 Updated portfolio data from servicer

$ 37,040,846 Transfer of cap due to servicing transfer

$ 37,040,795 Updated due to quarterly assessment and reallocation

$ 37,040,730 Updated due to quarterly assessment and reallocation

$ 37,040,114 Updated due to quarterly assessment and reallocation

$ 37,039,652 Updated due to quarterly assessment and reallocation

$ 37,038,382 Updated due to quarterly assessment and reallocation

$ 37,038,168 Updated due to quarterly assessment and reallocation

$ 37,037,356 Updated due to quarterly assessment and reallocation

$ 37,037,050 Updated due to quarterly assessment and reallocation

$ 37,036,940 Updated due to quarterly assessment and reallocation

$ 36,851,517 Updated due to quarterly assessment and reallocation

$ 36,844,999 Updated due to quarterly assessment and reallocation

$ 36,767,995 Updated due to quarterly assessment and reallocation

$ 36,615,052 Updated due to quarterly assessment and reallocation

$ 36,564,532 Updated due to quarterly assessment and reallocation

$ 36,534,532 Transfer of cap due to servicing transfer

6 $ 793,769 Termination of SPA

Rockland Trust Company Rockland MA - N/A 3 $ 40,000 Transfer of cap due to servicing transfer

Roebling Bank Roebling NJ $ 240,000 N/A $ 850,000 Updated portfolio data from servicer

$ 900,000 Updated portfolio data from servicer

09/30/2010 $ (29,666) $ 870,334 Updated portfolio data from servicer

07/14/2010 $ 50,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 610,000

######## Purchase Financial Instrument for Home Loan Modifications 06/16/2016 $ 40,000

11/03/2014 $ (35,740,763)

10/16/2014 $ (30,000)

09/29/2014 $ (50,520)

07/29/2014 $ (152,943)

06/26/2014 $ (77,004)

03/26/2014 $ (6,518)

12/23/2013 $ (185,423)

09/27/2013 $ (110)

06/27/2013 $ (306)

03/25/2013 $ (812)

12/27/2012 $ (214)

09/27/2012 $ (1,270)

06/28/2012 $ (462)

06/29/2011 $ (616)

03/30/2011 $ (65)

01/06/2011 $ (51)

12/15/2010 $ (4,300,000)

09/30/2010 $ (4,459,154)

07/14/2010 $ (8,860,000)

04/09/2010 $ (14,470,000)

03/26/2010 $ 65,640,000

12/30/2009 $ (42,210,000)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (11,300,000)

11/03/2014 $ (800,680)

09/29/2014 $ 488,713

09/16/2014 $ (56,740,004)

07/29/2014 $ (197,950)

07/16/2014 $ 1,310,000

06/26/2014 $ (96,715)

06/16/2014 $ 1,720,000

05/15/2014 $ 1,990,000

04/16/2014 $ 2,370,000

03/26/2014 $ (7,186)

03/14/2014 $ 1,460,000

02/13/2014 $ 23,920,000

01/16/2014 $ 1,770,000

12/23/2013 $ (118,329)

12/16/2013 $ 20,000

11/14/2013 $ 6,610,000

10/15/2013 $ 880,000

09/27/2013 $ (50)

07/16/2013 $ 5,780,000

06/27/2013 $ (96)

06/14/2013 $ 990,000

05/16/2013 $ 620,000

03/25/2013 $ (219)

03/14/2013 $ 1,390,000

02/14/2013 $ 8,690,000

01/16/2013 $ 10,000

12/27/2012 $ (1)

09/27/2012 $ (3)

06/28/2012 $ 205,242

######## Purchase Financial Instrument for Home Loan Modifications 06/14/2012 $ 940,000

11/16/2017 $ (3,928,073)

10/26/2017 $ (3,468)

09/26/2017 $ (27,965)

07/26/2017 $ (489)

06/26/2017 $ (15,805)

04/26/2017 $ (2,027)

03/16/2017 $ (50,000)

02/27/2017 $ (30,410)

02/16/2017 $ 10,000

12/27/2016 $ (1,735)

12/15/2016 $ (10,000)

11/29/2016 $ (11,032)

11/16/2016 $ (60,000)

138
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 870,333 Updated due to quarterly assessment and reallocation

- Termination of SPA

RoundPoint Mortgage Servicing 

Corporation Charlotte NC $ 570,000 N/A $ 700,000 Updated portfolio data from servicer/additional program initial cap

$ 390,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,500,000 Updated portfolio data from servicer

$ 10,800,000 Updated portfolio data from servicer

$ 16,101,172 Updated portfolio data from servicer

$ 16,101,150 Updated due to quarterly assessment and reallocation

$ 15,701,150 Transfer of cap due to servicing transfer

$ 15,701,125 Updated due to quarterly assessment and reallocation

$ 15,700,893 Updated due to quarterly assessment and reallocation

$ 15,700,719 Updated due to quarterly assessment and reallocation

$ 15,700,240 Updated due to quarterly assessment and reallocation

$ 15,350,240 Transfer of cap due to servicing transfer

$ 15,350,158 Updated due to quarterly assessment and reallocation

$ 15,349,850 Updated due to quarterly assessment and reallocation

$ 15,429,850 Transfer of cap due to servicing transfer

$ 15,449,850 Transfer of cap due to servicing transfer

$ 15,449,742 Updated due to quarterly assessment and reallocation

$ 15,479,742 Transfer of cap due to servicing transfer

$ 16,119,742 Transfer of cap due to servicing transfer

$ 16,119,702 Updated due to quarterly assessment and reallocation

$ 16,309,702 Transfer of cap due to servicing transfer

$ 16,242,416 Updated due to quarterly assessment and reallocation

$ 16,762,416 Transfer of cap due to servicing transfer

$ 16,772,416 Transfer of cap due to servicing transfer

$ 16,742,416 Transfer of cap due to servicing transfer

$ 16,739,953 Updated due to quarterly assessment and reallocation

$ 16,719,953 Transfer of cap due to servicing transfer

$ 16,691,080 Updated due to quarterly assessment and reallocation

$ 17,171,080 Transfer of cap due to servicing transfer

$ 17,112,025 Updated due to quarterly assessment and reallocation

$ 17,472,025 Transfer of cap due to servicing transfer

$ 17,452,033 Updated due to quarterly assessment and reallocation

$ 17,982,033 Transfer of cap due to servicing transfer

$ 17,862,033 Transfer of cap due to servicing transfer

$ 15,509,355 Updated due to quarterly assessment and reallocation

$ 14,618,052 Updated due to quarterly assessment and reallocation

$ 11,167,319 Updated due to quarterly assessment and reallocation

$ 11,117,319 Transfer of cap due to servicing transfer

$ 10,295,068 Updated due to quarterly assessment and reallocation

$ 10,315,068 Transfer of cap due to servicing transfer

$ 9,250,817 Updated due to quarterly assessment and reallocation

$ 9,260,817 Transfer of cap due to servicing transfer

$ 8,528,527 Updated due to quarterly assessment and reallocation

$ 8,578,527 Transfer of cap due to servicing transfer

$ 8,588,527 Transfer of cap due to servicing transfer

$ 6,273,698 Reallocation due to MHA program deobligation

$ 6,473,698 Transfer of cap due to servicing transfer

$ 6,418,123 Updated due to quarterly assessment and reallocation

$ 6,438,123 Transfer of cap due to servicing transfer

$ 5,982,823 Updated due to quarterly assessment and reallocation

$ 5,972,823 Transfer of cap due to servicing transfer

$ 5,701,331 Updated due to quarterly assessment and reallocation

$ 5,432,936 Updated due to quarterly assessment and reallocation

$ 6,662,936 Transfer of cap due to servicing transfer

$ 5,734,094 Updated due to quarterly assessment and reallocation

$ 4,836,510 Updated due to quarterly assessment and reallocation

$ 5,182,560 Updated due to quarterly assessment and reallocation

$ 5,174,747 Updated due to quarterly assessment and reallocation

$ 4,494,747 Transfer of cap due to servicing transfer

$ 4,493,577 Transfer of cap due to servicing transfer

$ 4,343,577 Transfer of cap due to servicing transfer

$ 4,303,577 Transfer of cap due to servicing transfer

$ 4,284,848 Transfer of cap due to servicing transfer

$ 4,283,659 Transfer of cap due to servicing transfer

$ 4,274,905 Transfer of cap due to servicing transfer

$ 4,274,647 Transfer of cap due to servicing transfer

09/26/2017 $ (266,556) $ 4,008,091 Transfer of cap due to servicing transfer

07/26/2017 $ (258)

06/26/2017 $ (8,754)

04/26/2017 $ (1,189)

02/27/2017 $ (18,729)

02/16/2017 $ (40,000)

01/13/2017 $ (150,000)

12/27/2016 $ (1,170)

12/15/2016 $ (680,000)

11/29/2016 $ (7,813)

11/07/2016 $ 346,050

10/25/2016 $ (897,584)

09/28/2016 $ (928,842)

09/15/2016 $ 1,230,000

07/27/2016 $ (268,395)

06/27/2016 $ (271,492)

06/16/2016 $ (10,000)

05/31/2016 $ (455,300)

05/16/2016 $ 20,000

03/28/2016 $ (55,575)

03/16/2016 $ 200,000

02/25/2016 $ (2,314,829)

02/16/2016 $ 10,000

01/14/2016 $ 50,000

12/28/2015 $ (732,290)

12/16/2015 $ 10,000

09/28/2015 $ (1,064,251)

08/14/2015 $ 20,000

06/25/2015 $ (822,251)

05/14/2015 $ (50,000)

04/28/2015 $ (3,450,733)

03/26/2015 $ (891,303)

12/29/2014 $ (2,352,678)

12/16/2014 $ (120,000)

10/16/2014 $ 530,000

09/29/2014 $ (19,992)

08/14/2014 $ 360,000

07/29/2014 $ (59,055)

07/16/2014 $ 480,000

06/26/2014 $ (28,873)

04/16/2014 $ (20,000)

03/26/2014 $ (2,463)

03/14/2014 $ (30,000)

02/13/2014 $ 10,000

01/16/2014 $ 520,000

12/23/2013 $ (67,286)

12/16/2013 $ 190,000

09/27/2013 $ (40)

09/16/2013 $ 640,000

07/16/2013 $ 30,000

06/27/2013 $ (108)

06/14/2013 $ 20,000

04/16/2013 $ 80,000

03/25/2013 $ (308)

12/27/2012 $ (82)

11/15/2012 $ (350,000)

09/27/2012 $ (479)

06/28/2012 $ (174)

06/29/2011 $ (232)

03/30/2011 $ (25)

03/16/2011 $ (400,000)

01/06/2011 $ (22)

09/30/2010 $ 5,301,172

07/14/2010 $ 8,300,000

03/26/2010 $ 2,110,000

12/30/2009 $ (310,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 130,000

03/23/2011 $ (870,333)

01/06/2011 $ (1)

139
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 3,973,768 Transfer of cap due to servicing transfer

$ 3,934,191 Transfer of cap due to servicing transfer

$ 3,932,336 Transfer of cap due to servicing transfer

$ 3,926,711 Transfer of cap due to servicing transfer

$ 3,915,133 Transfer of cap due to servicing transfer

$ 3,912,543 Transfer of cap due to servicing transfer

Rushmore Loan Management 

Services LLC Irvine CA - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 800,000 Transfer of cap due to servicing transfer

$ 799,997 Updated due to quarterly assessment and reallocation

$ 909,997 Transfer of cap due to servicing transfer

$ 909,984 Updated due to quarterly assessment and reallocation

$ 2,179,984 Transfer of cap due to servicing transfer

$ 2,409,984 Transfer of cap due to servicing transfer

$ 2,409,979 Updated due to quarterly assessment and reallocation

$ 3,399,979 Transfer of cap due to servicing transfer

$ 3,999,979 Transfer of cap due to servicing transfer

$ 5,979,979 Transfer of cap due to servicing transfer

$ 5,979,902 Updated due to quarterly assessment and reallocation

$ 6,319,902 Transfer of cap due to servicing transfer

$ 7,839,902 Transfer of cap due to servicing transfer

$ 10,579,902 Transfer of cap due to servicing transfer

$ 10,579,849 Updated due to quarterly assessment and reallocation

$ 13,149,849 Transfer of cap due to servicing transfer

$ 13,149,823 Updated due to quarterly assessment and reallocation

$ 13,159,823 Transfer of cap due to servicing transfer

$ 32,299,823 Transfer of cap due to servicing transfer

$ 33,629,823 Transfer of cap due to servicing transfer

$ 33,569,179 Updated due to quarterly assessment and reallocation

$ 33,579,179 Transfer of cap due to servicing transfer

$ 33,629,179 Transfer of cap due to servicing transfer

$ 33,627,089 Updated due to quarterly assessment and reallocation

$ 38,067,089 Transfer of cap due to servicing transfer

$ 38,127,089 Transfer of cap due to servicing transfer

$ 38,507,089 Transfer of cap due to servicing transfer

$ 38,471,784 Updated due to quarterly assessment and reallocation

$ 38,741,784 Transfer of cap due to servicing transfer

$ 38,671,810 Updated due to quarterly assessment and reallocation

$ 42,711,810 Transfer of cap due to servicing transfer

$ 44,381,810 Transfer of cap due to servicing transfer

$ 44,353,828 Updated due to quarterly assessment and reallocation

$ 58,223,828 Transfer of cap due to servicing transfer

$ 66,573,828 Transfer of cap due to servicing transfer

$ 69,093,828 Transfer of cap due to servicing transfer

$ 67,569,055 Updated due to quarterly assessment and reallocation

$ 69,789,055 Transfer of cap due to servicing transfer

$ 70,769,055 Transfer of cap due to servicing transfer

$ 70,909,055 Transfer of cap due to servicing transfer

$ 69,846,600 Updated due to quarterly assessment and reallocation

$ 67,796,600 Transfer of cap due to servicing transfer

$ 64,259,871 Updated due to quarterly assessment and reallocation

$ 64,469,871 Transfer of cap due to servicing transfer

$ 73,009,871 Transfer of cap due to servicing transfer

$ 71,344,492 Updated due to quarterly assessment and reallocation

$ 73,394,492 Transfer of cap due to servicing transfer

$ 83,784,492 Transfer of cap due to servicing transfer

$ 89,084,492 Transfer of cap due to servicing transfer

$ 85,882,245 Updated due to quarterly assessment and reallocation

$ 84,622,245 Transfer of cap due to servicing transfer

$ 84,722,245 Transfer of cap due to servicing transfer

$ 85,072,245 Transfer of cap due to servicing transfer

$ 82,996,771 Updated due to quarterly assessment and reallocation

$ 83,246,771 Transfer of cap due to servicing transfer

$ 85,416,771 Transfer of cap due to servicing transfer

$ 75,648,710 Reallocation due to MHA program deobligation

$ 81,148,710 Transfer of cap due to servicing transfer

$ 80,801,696 Updated due to quarterly assessment and reallocation

$ 79,761,696 Transfer of cap due to servicing transfer

$ 78,021,696 Transfer of cap due to servicing transfer

05/31/2016 $ (2,271,991) $ 75,749,705 Updated due to quarterly assessment and reallocation

05/16/2016 $ (1,740,000)

04/14/2016 $ (1,040,000)

03/28/2016 $ (347,014)

03/16/2016 $ 5,500,000

02/25/2016 $ (9,768,061)

02/16/2016 $ 2,170,000

01/14/2016 $ 250,000

12/28/2015 $ (2,075,474)

12/16/2015 $ 350,000

11/16/2015 $ 100,000

10/15/2015 $ (1,260,000)

09/28/2015 $ (3,202,247)

09/16/2015 $ 5,300,000

08/14/2015 $ 10,390,000

07/16/2015 $ 2,050,000

06/25/2015 $ (1,665,379)

06/16/2015 $ 8,540,000

05/14/2015 $ 210,000

04/28/2015 $ (3,536,729)

04/16/2015 $ (2,050,000)

03/26/2015 $ (1,062,455)

03/16/2015 $ 140,000

02/13/2015 $ 980,000

01/15/2015 $ 2,220,000

12/29/2014 $ (1,524,773)

12/16/2014 $ 2,520,000

11/14/2014 $ 8,350,000

10/16/2014 $ 13,870,000

09/29/2014 $ (27,982)

09/16/2014 $ 1,670,000

08/14/2014 $ 4,040,000

07/29/2014 $ (69,974)

07/16/2014 $ 270,000

06/26/2014 $ (35,305)

06/16/2014 $ 380,000

05/15/2014 $ 60,000

04/16/2014 $ 4,440,000

03/26/2014 $ (2,090)

03/14/2014 $ 50,000

01/16/2014 $ 10,000

12/23/2013 $ (60,644)

12/16/2013 $ 1,330,000

11/14/2013 $ 19,140,000

10/15/2013 $ 10,000

09/27/2013 $ (26)

09/16/2013 $ 2,570,000

06/27/2013 $ (53)

06/14/2013 $ 2,740,000

05/16/2013 $ 1,520,000

04/16/2013 $ 340,000

03/25/2013 $ (77)

03/14/2013 $ 1,980,000

02/14/2013 $ 600,000

01/16/2013 $ 990,000

12/27/2012 $ (5)

11/15/2012 $ 230,000

10/16/2012 $ 1,270,000

09/27/2012 $ (13)

08/16/2012 $ 110,000

06/28/2012 $ (3)

04/16/2012 $ 600,000

######## Purchase Financial Instrument for Home Loan Modifications 12/15/2011 $ 200,000

06/21/2018 $ (2,590)

04/25/2018 $ (11,578)

03/22/2018 $ (5,625)

02/26/2018 $ (1,855)

12/21/2017 $ (39,577)

10/26/2017 $ (34,323)

140
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 81,229,705 Transfer of cap due to servicing transfer

$ 79,424,057 Updated due to quarterly assessment and reallocation

$ 81,124,057 Transfer of cap due to servicing transfer

$ 79,104,278 Updated due to quarterly assessment and reallocation

$ 77,604,278 Transfer of cap due to servicing transfer

$ 75,974,278 Transfer of cap due to servicing transfer

$ 73,656,011 Updated due to quarterly assessment and reallocation

$ 74,826,011 Transfer of cap due to servicing transfer

$ 72,106,324 Updated due to quarterly assessment and reallocation

$ 73,154,859 Updated due to quarterly assessment and reallocation

$ 74,794,859 Transfer of cap due to servicing transfer

$ 74,732,819 Updated due to quarterly assessment and reallocation

$ 75,482,819 Transfer of cap due to servicing transfer

$ 75,472,125 Transfer of cap due to servicing transfer

$ 76,802,125 Transfer of cap due to servicing transfer

$ 78,552,125 Transfer of cap due to servicing transfer

$ 78,323,796 Transfer of cap due to servicing transfer

$ 79,373,796 Transfer of cap due to servicing transfer

$ 79,357,461 Transfer of cap due to servicing transfer

$ 79,232,853 Transfer of cap due to servicing transfer

$ 79,229,017 Transfer of cap due to servicing transfer

$ 78,610,725 Transfer of cap due to servicing transfer

$ 78,544,064 Transfer of cap due to servicing transfer

$ 78,193,776 Transfer of cap due to servicing transfer

$ 78,176,860 Transfer of cap due to servicing transfer

$ 78,133,332 Transfer of cap due to servicing transfer

$ 78,038,543 Transfer of cap due to servicing transfer

$ 78,038,416 Transfer of cap due to servicing transfer

Santander Bank, N.A. Reading PA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$ 110,000 Transfer of cap due to servicing transfer

$ 109,986 Transfer of cap due to servicing transfer

$ 115,250 Transfer of cap due to servicing transfer

$ 122,030 Transfer of cap due to servicing transfer

Saxon Mortgage Services, Inc. Irving TX $ 407,000,000 N/A $ 632,040,000 Updated portfolio data from servicer

$ 886,420,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,242,130,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,184,410,000 Updated portfolio data from servicer

$ 1,028,360,000 Transfer of cap due to servicing transfer

$ 514,700,000 Updated portfolio data from servicer

$ 491,720,000 Transfer of cap due to servicing transfer

$ 493,520,000 Transfer of cap due to servicing transfer

$ 503,320,000 Updated portfolio data from servicer/additional program initial 

cap $ 619,542,668 Updated portfolio data from servicer

$ 619,642,668 Transfer of cap due to servicing transfer

$ 628,542,668 Transfer of cap due to servicing transfer

$ 628,542,112 Updated due to quarterly assessment and reallocation

$ 630,842,112 Transfer of cap due to servicing transfer

$ 631,542,112 Transfer of cap due to servicing transfer

$ 631,541,458 Updated due to quarterly assessment and reallocation

$ 633,641,458 Transfer of cap due to servicing transfer

$ 633,635,314 Updated due to quarterly assessment and reallocation

$ 633,835,314 Transfer of cap due to servicing transfer

$ 633,735,314 Transfer of cap due to servicing transfer

$ 633,035,314 Transfer of cap due to servicing transfer

$ 650,535,314 Transfer of cap due to servicing transfer

$ 650,435,314 Transfer of cap due to servicing transfer

$ 650,535,314 Transfer of cap due to servicing transfer

$ 633,035,314 Transfer of cap due to servicing transfer

$ 632,275,314 Transfer of cap due to servicing transfer

$ 277,985,314 Transfer of cap due to servicing transfer

$ 277,983,483 Updated due to quarterly assessment and reallocation

$ 267,863,483 Transfer of cap due to servicing transfer

$ 267,853,483 Transfer of cap due to servicing transfer

$ 267,848,782 Updated due to quarterly assessment and reallocation

$ 258,628,782 Transfer of cap due to servicing transfer

$ 258,598,782 Transfer of cap due to servicing transfer

$ 258,658,782 Transfer of cap due to servicing transfer

$ 258,657,994 Updated due to quarterly assessment and reallocation

$ 258,047,994 Transfer of cap due to servicing transfer

03/25/2013 $ (2,979) $ 258,045,015 Updated due to quarterly assessment and reallocation

01/16/2013 $ (610,000)

12/27/2012 $ (788)

12/14/2012 $ 60,000

11/15/2012 $ (30,000)

10/16/2012 $ (9,220,000)

09/27/2012 $ (4,701)

08/16/2012 $ (10,000)

07/16/2012 $ (10,120,000)

06/28/2012 $ (1,831)

06/14/2012 $ (354,290,000)

05/16/2012 $ (760,000)

04/16/2012 $ (17,500,000)

03/15/2012 $ 100,000

02/16/2012 $ (100,000)

12/15/2011 $ 17,500,000

09/15/2011 $ (700,000)

08/16/2011 $ (100,000)

07/14/2011 $ 200,000

06/29/2011 $ (6,144)

04/13/2011 $ 2,100,000

03/30/2011 $ (654)

03/16/2011 $ 700,000

01/13/2011 $ 2,300,000

01/06/2011 $ (556)

12/15/2010 $ 8,900,000

10/15/2010 $ 100,000

09/30/2010 $ 116,222,668

09/30/2010 $ 9,800,000

09/15/2010 $ 1,800,000

07/16/2010 $ (22,980,000)

07/14/2010 $ (513,660,000)

06/16/2010 $ (156,050,000)

03/26/2010 $ (57,720,000)

12/30/2009 $ 355,710,000

09/30/2009 $ 254,380,000

######## Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ 225,040,000

09/26/2017 $ 6,780

06/26/2017 $ 5,264

04/26/2017 $ (14)

03/16/2017 $ 90,000

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2016 $ 20,000

06/21/2018 $ (127)

04/25/2018 $ (94,789)

03/22/2018 $ (43,528)

02/26/2018 $ (16,916)

12/21/2017 $ (350,288)

10/26/2017 $ (66,661)

09/26/2017 $ (618,292)

07/26/2017 $ (3,836)

06/26/2017 $ (124,608)

04/26/2017 $ (16,335)

03/16/2017 $ 1,050,000

02/27/2017 $ (228,329)

02/16/2017 $ 1,750,000

01/13/2017 $ 1,330,000

12/27/2016 $ (10,694)

12/15/2016 $ 750,000

11/29/2016 $ (62,040)

11/16/2016 $ 1,640,000

11/07/2016 $ 1,048,535

10/25/2016 $ (2,719,687)

10/14/2016 $ 1,170,000

09/28/2016 $ (2,318,267)

09/15/2016 $ (1,630,000)

08/16/2016 $ (1,500,000)

07/27/2016 $ (2,019,779)

07/14/2016 $ 1,700,000

06/27/2016 $ (1,805,648)

06/16/2016 $ 5,480,000

141
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

10 $ 100,807,086 Termination of SPA

Schools Financial Credit Union Sacramento CA $ 390,000 N/A $ 480,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,420,000 Updated portfolio data from servicer/additional program initial 

cap $ 440,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

$ 1,450,530 Updated due to quarterly assessment and reallocation

$ 1,450,514 Updated due to quarterly assessment and reallocation

$ 1,450,470 Updated due to quarterly assessment and reallocation

$ 1,450,463 Updated due to quarterly assessment and reallocation

$ 1,450,435 Updated due to quarterly assessment and reallocation

$ 1,450,424 Updated due to quarterly assessment and reallocation

$ 1,450,420 Updated due to quarterly assessment and reallocation

$ 1,444,009 Updated due to quarterly assessment and reallocation

$ 1,443,784 Updated due to quarterly assessment and reallocation

$ 1,441,123 Updated due to quarterly assessment and reallocation

$ 1,435,838 Updated due to quarterly assessment and reallocation

$ 1,434,092 Updated due to quarterly assessment and reallocation

$ 1,232,275 Updated due to quarterly assessment and reallocation

$ 1,155,855 Updated due to quarterly assessment and reallocation

$ 854,645 Updated due to quarterly assessment and reallocation

$ 783,185 Updated due to quarterly assessment and reallocation

$ 687,671 Updated due to quarterly assessment and reallocation

$ 616,966 Updated due to quarterly assessment and reallocation

$ 406,704 Reallocation due to MHA program deobligation

$ 402,312 Updated due to quarterly assessment and reallocation

$ 366,638 Updated due to quarterly assessment and reallocation

$ 345,327 Updated due to quarterly assessment and reallocation

$ 324,010 Updated due to quarterly assessment and reallocation

$ 286,729 Updated due to quarterly assessment and reallocation

$ 251,501 Updated due to quarterly assessment and reallocation

$ 265,083 Updated due to quarterly assessment and reallocation

$ 264,739 Updated due to quarterly assessment and reallocation

$ 264,687 Transfer of cap due to servicing transfer

$ 263,777 Transfer of cap due to servicing transfer

$ 263,717 Transfer of cap due to servicing transfer

$ 263,258 Transfer of cap due to servicing transfer

$ 263,244 Transfer of cap due to servicing transfer

$ 250,493 Transfer of cap due to servicing transfer

$ 248,912 Transfer of cap due to servicing transfer

$ 247,265 Transfer of cap due to servicing transfer

$ 247,185 Transfer of cap due to servicing transfer

$ 246,924 Transfer of cap due to servicing transfer

$ 246,409 Transfer of cap due to servicing transfer

$ 246,312 Transfer of cap due to servicing transfer

Scotiabank de Puerto Rico San Juan PR - N/A 3 $ 4,300,000 Transfer of cap due to servicing transfer

$ 4,299,996 Updated due to quarterly assessment and reallocation

$ 4,299,991 Updated due to quarterly assessment and reallocation

$ 4,299,968 Updated due to quarterly assessment and reallocation

$ 4,299,905 Updated due to quarterly assessment and reallocation

$ 4,299,894 Updated due to quarterly assessment and reallocation

$ 4,299,853 Updated due to quarterly assessment and reallocation

$ 4,299,837 Updated due to quarterly assessment and reallocation

$ 4,299,831 Updated due to quarterly assessment and reallocation

$ 4,290,152 Updated due to quarterly assessment and reallocation

$ 4,289,808 Updated due to quarterly assessment and reallocation

$ 4,285,721 Updated due to quarterly assessment and reallocation

$ 4,277,595 Updated due to quarterly assessment and reallocation

$ 4,274,905 Updated due to quarterly assessment and reallocation

$ 4,304,905 Transfer of cap due to servicing transfer

$ 4,141,444 Updated due to quarterly assessment and reallocation

$ 4,075,980 Updated due to quarterly assessment and reallocation

$ 3,815,861 Updated due to quarterly assessment and reallocation

$ 3,752,682 Updated due to quarterly assessment and reallocation

$ 3,664,897 Updated due to quarterly assessment and reallocation

$ 3,598,909 Updated due to quarterly assessment and reallocation

$ 3,300,316 Reallocation due to MHA program deobligation

03/28/2016 $ (6,237) $ 3,294,079 Updated due to quarterly assessment and reallocation

02/25/2016 $ (298,593)

12/28/2015 $ (65,988)

09/28/2015 $ (87,785)

06/25/2015 $ (63,179)

04/28/2015 $ (260,119)

03/26/2015 $ (65,464)

12/29/2014 $ (163,461)

10/16/2014 $ 30,000

09/29/2014 $ (2,690)

07/29/2014 $ (8,126)

06/26/2014 $ (4,087)

03/26/2014 $ (344)

12/23/2013 $ (9,679)

09/27/2013 $ (6)

06/27/2013 $ (16)

03/25/2013 $ (41)

12/27/2012 $ (11)

09/27/2012 $ (63)

06/28/2012 $ (23)

06/29/2011 $ (5)

01/06/2011 $ (4)

######## Purchase Financial Instrument for Home Loan Modifications 12/15/2010 $ 4,300,000

06/21/2018 $ (97)

04/25/2018 $ (515)

03/22/2018 $ (261)

02/26/2018 $ (80)

12/21/2017 $ (1,647)

10/26/2017 $ (1,581)

09/26/2017 $ (12,751)

07/26/2017 $ (14)

06/26/2017 $ (459)

04/26/2017 $ (60)

02/27/2017 $ (910)

12/27/2016 $ (52)

11/29/2016 $ (344)

11/07/2016 $ 13,582

10/25/2016 $ (35,228)

09/28/2016 $ (37,281)

07/27/2016 $ (21,317)

06/27/2016 $ (21,311)

05/31/2016 $ (35,674)

03/28/2016 $ (4,392)

02/25/2016 $ (210,262)

12/28/2015 $ (70,705)

09/28/2015 $ (95,514)

06/25/2015 $ (71,460)

04/28/2015 $ (301,210)

03/26/2015 $ (76,420)

12/29/2014 $ (201,817)

09/29/2014 $ (1,746)

07/29/2014 $ (5,285)

06/26/2014 $ (2,661)

03/26/2014 $ (225)

12/23/2013 $ (6,411)

09/27/2013 $ (4)

06/27/2013 $ (11)

03/25/2013 $ (28)

12/27/2012 $ (7)

09/27/2012 $ (44)

06/28/2012 $ (16)

06/29/2011 $ (22)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 1,150,556

07/14/2010 $ (140,000)

03/26/2010 $ (980,000)

12/30/2009 $ 940,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 90,000

04/09/2013 $ (157,237,929)

142
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 3,245,262 Updated due to quarterly assessment and reallocation

$ 3,216,099 Updated due to quarterly assessment and reallocation

$ 3,186,928 Updated due to quarterly assessment and reallocation

$ 3,135,912 Updated due to quarterly assessment and reallocation

$ 3,087,705 Updated due to quarterly assessment and reallocation

$ 3,106,291 Updated due to quarterly assessment and reallocation

$ 3,104,647 Updated due to quarterly assessment and reallocation

$ 3,104,396 Transfer of cap due to servicing transfer

$ 3,100,040 Transfer of cap due to servicing transfer

$ 3,099,755 Transfer of cap due to servicing transfer

$ 3,097,560 Transfer of cap due to servicing transfer

$ 3,097,494 Transfer of cap due to servicing transfer

$ 3,082,733 Transfer of cap due to servicing transfer

$ 3,080,902 Transfer of cap due to servicing transfer

$ 3,078,995 Transfer of cap due to servicing transfer

$ 3,078,902 Transfer of cap due to servicing transfer

$ 3,078,600 Transfer of cap due to servicing transfer

$ 3,078,003 Transfer of cap due to servicing transfer

$ 3,077,891 Transfer of cap due to servicing transfer

SEFCU Albany NY $ 440,000 N/A $ 540,000 Updated portfolio data from servicer/additional program initial 

cap $ 560,000 Updated portfolio data from servicer/additional program initial 

cap $ 270,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

- Termination of SPA

Select Portfolio Servicing, Inc. Salt Lake City UT $ 376,000,000 N/A $ 660,590,000 Updated portfolio data from servicer

$ 782,500,000 Updated portfolio data from servicer/additional program initial 

cap $ 913,840,000 Updated portfolio data from servicer/additional program initial 

cap $ 558,310,000 Updated portfolio data from servicer

$ 687,000,000 Updated portfolio data from servicer

$ 691,000,000 Updated portfolio data from servicer/additional program initial 

cap $ 750,807,784 Updated portfolio data from servicer

$ 750,107,784 Transfer of cap due to servicing transfer

$ 814,507,784 Transfer of cap due to servicing transfer

$ 814,507,145 Updated due to quarterly assessment and reallocation

$ 812,207,145 Transfer of cap due to servicing transfer

$ 812,307,145 Transfer of cap due to servicing transfer

$ 815,907,145 Transfer of cap due to servicing transfer

$ 815,906,410 Updated due to quarterly assessment and reallocation

$ 815,806,410 Transfer of cap due to servicing transfer

$ 816,206,410 Transfer of cap due to servicing transfer

$ 816,106,410 Transfer of cap due to servicing transfer

$ 816,099,605 Updated due to quarterly assessment and reallocation

$ 815,999,605 Transfer of cap due to servicing transfer

$ 815,799,605 Transfer of cap due to servicing transfer

$ 815,699,605 Transfer of cap due to servicing transfer

$ 815,599,605 Transfer of cap due to servicing transfer

$ 815,799,605 Transfer of cap due to servicing transfer

$ 840,599,605 Transfer of cap due to servicing transfer

$ 842,499,605 Transfer of cap due to servicing transfer

$ 842,579,605 Transfer of cap due to servicing transfer

$ 851,289,605 Transfer of cap due to servicing transfer

$ 851,284,429 Updated due to quarterly assessment and reallocation

$ 853,714,429 Transfer of cap due to servicing transfer

$ 856,024,429 Transfer of cap due to servicing transfer

$ 856,010,468 Updated due to quarterly assessment and reallocation

$ 982,950,468 Transfer of cap due to servicing transfer

$ 992,940,468 Transfer of cap due to servicing transfer

$ 1,003,590,468 Transfer of cap due to servicing transfer

$ 1,003,587,805 Updated due to quarterly assessment and reallocation

$ 1,022,237,805 Transfer of cap due to servicing transfer

$ 1,032,527,805 Transfer of cap due to servicing transfer

$ 1,036,847,805 Transfer of cap due to servicing transfer

$ 1,036,837,689 Updated due to quarterly assessment and reallocation

$ 1,037,677,689 Transfer of cap due to servicing transfer

$ 1,039,007,689 Transfer of cap due to servicing transfer

$ 1,042,627,689 Transfer of cap due to servicing transfer

$ 1,042,624,125 Updated due to quarterly assessment and reallocation

07/16/2013 $ 105,080,000 $ 1,147,704,125 Transfer of cap due to servicing transfer

06/27/2013 $ (3,564)

06/14/2013 $ 3,620,000

05/16/2013 $ 1,330,000

04/16/2013 $ 840,000

03/25/2013 $ (10,116)

03/14/2013 $ 4,320,000

02/14/2013 $ 10,290,000

01/16/2013 $ 18,650,000

12/27/2012 $ (2,663)

12/14/2012 $ 10,650,000

11/15/2012 $ 9,990,000

10/16/2012 $ 126,940,000

09/27/2012 $ (13,961)

08/16/2012 $ 2,310,000

07/16/2012 $ 2,430,000

06/28/2012 $ (5,176)

06/14/2012 $ 8,710,000

05/16/2012 $ 80,000

04/16/2012 $ 1,900,000

03/15/2012 $ 24,800,000

01/13/2012 $ 200,000

11/16/2011 $ (100,000)

10/14/2011 $ (100,000)

09/15/2011 $ (200,000)

08/16/2011 $ (100,000)

06/29/2011 $ (6,805)

06/16/2011 $ (100,000)

05/13/2011 $ 400,000

04/13/2011 $ (100,000)

03/30/2011 $ (735)

03/16/2011 $ 3,600,000

02/16/2011 $ 100,000

01/13/2011 $ (2,300,000)

01/06/2011 $ (639)

12/15/2010 $ 64,400,000

11/16/2010 $ (700,000)

09/30/2010 $ 59,807,784

09/30/2010 $ 4,000,000

07/14/2010 $ 128,690,000

03/26/2010 $ (355,530,000)

12/30/2009 $ 131,340,000

09/30/2009 $ 121,910,000

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 284,590,000

04/11/2012 $ (145,055)

06/29/2011 $ (1)

09/30/2010 $ (54,944)

07/14/2010 $ (70,000)

03/26/2010 $ (290,000)

12/30/2009 $ 20,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 100,000

06/21/2018 $ (112)

04/25/2018 $ (597)

03/22/2018 $ (302)

02/26/2018 $ (93)

12/21/2017 $ (1,907)

10/26/2017 $ (1,831)

09/26/2017 $ (14,761)

07/26/2017 $ (66)

06/26/2017 $ (2,195)

04/26/2017 $ (285)

02/27/2017 $ (4,356)

12/27/2016 $ (251)

11/29/2016 $ (1,644)

11/07/2016 $ 18,586

10/25/2016 $ (48,207)

09/28/2016 $ (51,016)

07/27/2016 $ (29,171)

06/27/2016 $ (29,163)

05/31/2016 $ (48,817)

143
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,147,714,125 Transfer of cap due to servicing transfer

$ 1,246,324,125 Transfer of cap due to servicing transfer

$ 1,246,322,584 Updated due to quarterly assessment and reallocation

$ 1,247,602,584 Transfer of cap due to servicing transfer

$ 1,262,732,584 Transfer of cap due to servicing transfer

$ 1,269,022,584 Transfer of cap due to servicing transfer

$ 1,266,540,807 Updated due to quarterly assessment and reallocation

$ 1,268,120,807 Transfer of cap due to servicing transfer

$ 1,343,470,807 Transfer of cap due to servicing transfer

$ 1,360,370,807 Transfer of cap due to servicing transfer

$ 1,360,285,111 Updated due to quarterly assessment and reallocation

$ 1,372,755,111 Transfer of cap due to servicing transfer

$ 1,393,715,111 Transfer of cap due to servicing transfer

$ 1,407,935,111 Transfer of cap due to servicing transfer

$ 1,406,911,724 Updated due to quarterly assessment and reallocation

$ 1,419,601,724 Transfer of cap due to servicing transfer

$ 1,417,633,541 Updated due to quarterly assessment and reallocation

$ 1,375,423,541 Transfer of cap due to servicing transfer

$ 1,382,843,541 Transfer of cap due to servicing transfer

$ 1,382,303,176 Updated due to quarterly assessment and reallocation

$ 1,439,713,176 Transfer of cap due to servicing transfer

$ 1,441,203,176 Transfer of cap due to servicing transfer

$ 1,444,943,176 Transfer of cap due to servicing transfer

$ 1,451,934,554 Updated due to quarterly assessment and reallocation

$ 1,462,564,554 Transfer of cap due to servicing transfer

$ 1,466,684,554 Transfer of cap due to servicing transfer

$ 1,465,784,554 Transfer of cap due to servicing transfer

$ 1,537,149,713 Updated due to quarterly assessment and reallocation

$ 1,537,859,713 Transfer of cap due to servicing transfer

$ 1,574,757,253 Updated due to quarterly assessment and reallocation

$ 1,578,647,253 Transfer of cap due to servicing transfer

$ 1,613,267,253 Transfer of cap due to servicing transfer

$ 1,654,764,999 Updated due to quarterly assessment and reallocation

$ 1,638,334,999 Transfer of cap due to servicing transfer

$ 1,641,854,999 Transfer of cap due to servicing transfer

$ 1,652,134,999 Transfer of cap due to servicing transfer

$ 1,739,631,639 Updated due to quarterly assessment and reallocation

$ 1,722,991,639 Transfer of cap due to servicing transfer

$ 1,722,731,639 Transfer of cap due to servicing transfer

$ 1,768,691,639 Transfer of cap due to servicing transfer

$ 1,812,597,827 Updated due to quarterly assessment and reallocation

$ 1,837,307,827 Transfer of cap due to servicing transfer

$ 1,839,977,827 Transfer of cap due to servicing transfer

$ 1,792,201,961 Reallocation due to MHA program deobligation

$ 1,790,891,961 Transfer of cap due to servicing transfer

$ 1,790,697,397 Updated due to quarterly assessment and reallocation

$ 1,791,637,397 Transfer of cap due to servicing transfer

$ 1,802,517,397 Transfer of cap due to servicing transfer

$ 1,921,519,987 Updated due to quarterly assessment and reallocation

$ 1,960,249,987 Transfer of cap due to servicing transfer

$ 1,979,441,118 Updated due to quarterly assessment and reallocation

$ 1,977,161,118 Transfer of cap due to servicing transfer

$ 1,975,206,945 Updated due to quarterly assessment and reallocation

$ 2,001,716,945 Transfer of cap due to servicing transfer

$ 2,018,256,945 Transfer of cap due to servicing transfer

$ 2,054,407,505 Updated due to quarterly assessment and reallocation

$ 2,064,467,505 Transfer of cap due to servicing transfer

$ 2,079,232,215 Updated due to quarterly assessment and reallocation

$ 2,079,232,215 Updated due to quarterly assessment and reallocation

$ 2,084,302,215 Transfer of cap due to servicing transfer

$ 2,083,386,904 Updated due to quarterly assessment and reallocation

$ 2,084,836,904 Transfer of cap due to servicing transfer

$ 2,084,719,354 Transfer of cap due to servicing transfer

$ 2,084,749,354 Transfer of cap due to servicing transfer

$ 2,043,339,354 Transfer of cap due to servicing transfer

$ 2,042,099,282 Transfer of cap due to servicing transfer

$ 2,058,629,282 Transfer of cap due to servicing transfer

$ 2,058,607,321 Transfer of cap due to servicing transfer

$ 2,058,439,775 Transfer of cap due to servicing transfer

07/26/2017 $ (4,732) $ 2,058,435,043 Transfer of cap due to servicing transfer

06/26/2017 $ (167,546)

04/26/2017 $ (21,961)

03/16/2017 $ 16,530,000

02/27/2017 $ (1,240,072)

02/16/2017 $ (41,410,000)

01/13/2017 $ 30,000

12/27/2016 $ (117,550)

12/15/2016 $ 1,450,000

11/29/2016 $ (915,311)

11/16/2016 $ 5,070,000

11/07/2016 -

10/25/2016 $ 14,764,710

10/14/2016 $ 10,060,000

09/28/2016 $ 36,150,560

09/15/2016 $ 16,540,000

08/16/2016 $ 26,510,000

07/27/2016 $ (1,954,173)

07/14/2016 $ (2,280,000)

06/27/2016 $ 19,191,131

06/16/2016 $ 38,730,000

05/31/2016 $ 119,002,590

05/16/2016 $ 10,880,000

04/14/2016 $ 940,000

03/28/2016 $ (194,564)

03/16/2016 $ (1,310,000)

02/25/2016 $ (47,775,866)

02/16/2016 $ 2,670,000

01/14/2016 $ 24,710,000

12/28/2015 $ 43,906,188

12/16/2015 $ 45,960,000

11/16/2015 $ (260,000)

10/15/2015 $ (16,640,000)

09/28/2015 $ 87,496,640

09/16/2015 $ 10,280,000

08/14/2015 $ 3,520,000

07/16/2015 $ (16,430,000)

06/25/2015 $ 41,497,746

06/16/2015 $ 34,620,000

05/14/2015 $ 3,890,000

04/28/2015 $ 36,897,540

04/16/2015 $ 710,000

03/26/2015 $ 71,365,159

03/16/2015 $ (900,000)

02/13/2015 $ 4,120,000

01/15/2015 $ 10,630,000

12/29/2014 $ 6,991,378

12/16/2014 $ 3,740,000

11/14/2014 $ 1,490,000

10/16/2014 $ 57,410,000

09/29/2014 $ (540,365)

09/16/2014 $ 7,420,000

08/14/2014 $ (42,210,000)

07/29/2014 $ (1,968,183)

07/16/2014 $ 12,690,000

06/26/2014 $ (1,023,387)

06/16/2014 $ 14,220,000

05/15/2014 $ 20,960,000

04/16/2014 $ 12,470,000

03/26/2014 $ (85,696)

03/14/2014 $ 16,900,000

02/13/2014 $ 75,350,000

01/16/2014 $ 1,580,000

12/23/2013 $ (2,481,777)

12/16/2013 $ 6,290,000

11/14/2013 $ 15,130,000

10/15/2013 $ 1,280,000

09/27/2013 $ (1,541)

09/16/2013 $ 98,610,000

08/15/2013 $ 10,000

144
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 2,178,183,583 Transfer of cap due to servicing transfer

$ 2,187,924,373 Transfer of cap due to servicing transfer

$ 2,186,186,576 Transfer of cap due to servicing transfer

$ 2,186,149,709 Transfer of cap due to servicing transfer

$ 2,189,006,528 Transfer of cap due to servicing transfer

$ 2,190,381,827 Transfer of cap due to servicing transfer

$ 2,190,334,202 Transfer of cap due to servicing transfer

Selene Finance LP Houston TX - N/A 3 $ 3,680,000 Transfer of cap due to servicing transfer

$ 6,980,000 Transfer of cap due to servicing transfer

$ 10,023,831 Updated portfolio data from servicer

$ 11,423,831 Transfer of cap due to servicing transfer

$ 11,423,814 Updated due to quarterly assessment and reallocation

$ 13,523,814 Transfer of cap due to servicing transfer

$ 13,523,790 Updated due to quarterly assessment and reallocation

$ 16,423,790 Transfer of cap due to servicing transfer

$ 16,223,790 Transfer of cap due to servicing transfer

$ 16,223,517 Updated due to quarterly assessment and reallocation

$ 16,323,517 Transfer of cap due to servicing transfer

$ 17,423,517 Transfer of cap due to servicing transfer

$ 17,623,517 Transfer of cap due to servicing transfer

$ 17,633,517 Transfer of cap due to servicing transfer

$ 17,333,517 Transfer of cap due to servicing transfer

$ 17,333,299 Updated due to quarterly assessment and reallocation

$ 17,373,299 Transfer of cap due to servicing transfer

$ 17,853,299 Transfer of cap due to servicing transfer

$ 17,852,699 Updated due to quarterly assessment and reallocation

$ 17,922,699 Transfer of cap due to servicing transfer

$ 17,922,597 Updated due to quarterly assessment and reallocation

$ 18,012,597 Transfer of cap due to servicing transfer

$ 18,012,213 Updated due to quarterly assessment and reallocation

$ 17,982,213 Transfer of cap due to servicing transfer

$ 17,982,067 Updated due to quarterly assessment and reallocation

$ 18,152,067 Transfer of cap due to servicing transfer

$ 18,152,015 Updated due to quarterly assessment and reallocation

$ 18,063,402 Updated due to quarterly assessment and reallocation

$ 18,073,402 Transfer of cap due to servicing transfer

$ 18,070,277 Updated due to quarterly assessment and reallocation

$ 18,100,277 Transfer of cap due to servicing transfer

$ 18,063,306 Updated due to quarterly assessment and reallocation

$ 41,553,306 Transfer of cap due to servicing transfer

$ 41,410,712 Updated due to quarterly assessment and reallocation

$ 43,890,712 Transfer of cap due to servicing transfer

$ 55,540,712 Transfer of cap due to servicing transfer

$ 55,487,802 Updated due to quarterly assessment and reallocation

$ 55,517,802 Transfer of cap due to servicing transfer

$ 51,039,267 Updated due to quarterly assessment and reallocation

$ 51,049,267 Transfer of cap due to servicing transfer

$ 51,069,267 Transfer of cap due to servicing transfer

$ 49,224,914 Updated due to quarterly assessment and reallocation

$ 52,084,914 Transfer of cap due to servicing transfer

$ 43,882,360 Updated due to quarterly assessment and reallocation

$ 43,912,360 Transfer of cap due to servicing transfer

$ 41,915,779 Updated due to quarterly assessment and reallocation

$ 49,525,779 Transfer of cap due to servicing transfer

$ 49,895,779 Transfer of cap due to servicing transfer

$ 45,656,305 Updated due to quarterly assessment and reallocation

$ 49,416,305 Transfer of cap due to servicing transfer

$ 50,566,305 Transfer of cap due to servicing transfer

$ 50,656,305 Transfer of cap due to servicing transfer

$ 46,903,515 Updated due to quarterly assessment and reallocation

$ 46,893,515 Transfer of cap due to servicing transfer

$ 48,143,515 Transfer of cap due to servicing transfer

$ 36,209,495 Reallocation due to MHA program deobligation

$ 35,989,495 Transfer of cap due to servicing transfer

$ 35,763,017 Updated due to quarterly assessment and reallocation

$ 35,023,017 Transfer of cap due to servicing transfer

$ 34,803,017 Transfer of cap due to servicing transfer

$ 33,179,590 Updated due to quarterly assessment and reallocation

$ 33,099,590 Transfer of cap due to servicing transfer

06/27/2016 $ (1,004,539) $ 32,095,051 Updated due to quarterly assessment and reallocation

06/16/2016 $ (80,000)

05/31/2016 $ (1,623,427)

05/16/2016 $ (220,000)

04/14/2016 $ (740,000)

03/28/2016 $ (226,478)

03/16/2016 $ (220,000)

02/25/2016 $ (11,934,020)

02/16/2016 $ 1,250,000

01/14/2016 $ (10,000)

12/28/2015 $ (3,752,790)

12/16/2015 $ 90,000

11/16/2015 $ 1,150,000

10/15/2015 $ 3,760,000

09/28/2015 $ (4,239,474)

09/16/2015 $ 370,000

08/14/2015 $ 7,610,000

06/25/2015 $ (1,996,581)

06/16/2015 $ 30,000

04/28/2015 $ (8,202,554)

04/16/2015 $ 2,860,000

03/26/2015 $ (1,844,353)

03/16/2015 $ 20,000

01/15/2015 $ 10,000

12/29/2014 $ (4,478,535)

12/16/2014 $ 30,000

09/29/2014 $ (52,910)

09/16/2014 $ 11,650,000

08/14/2014 $ 2,480,000

07/29/2014 $ (142,594)

07/16/2014 $ 23,490,000

06/26/2014 $ (36,971)

04/16/2014 $ 30,000

03/26/2014 $ (3,125)

03/14/2014 $ 10,000

12/23/2013 $ (88,613)

09/27/2013 $ (52)

07/16/2013 $ 170,000

06/27/2013 $ (146)

05/16/2013 $ (30,000)

03/25/2013 $ (384)

03/14/2013 $ 90,000

12/27/2012 $ (102)

11/15/2012 $ 70,000

09/27/2012 $ (600)

08/16/2012 $ 480,000

07/16/2012 $ 40,000

06/28/2012 $ (218)

06/14/2012 $ (300,000)

05/16/2012 $ 10,000

04/16/2012 $ 200,000

11/16/2011 $ 1,100,000

10/14/2011 $ 100,000

06/29/2011 $ (273)

06/16/2011 $ (200,000)

04/13/2011 $ 2,900,000

03/30/2011 $ (24)

03/16/2011 $ 2,100,000

01/06/2011 $ (17)

10/15/2010 $ 1,400,000

09/30/2010 $ 3,043,831

08/13/2010 $ 3,300,000

######## Purchase Financial Instrument for Home Loan Modifications 06/16/2010 $ 3,680,000

06/21/2018 $ (47,625)

04/25/2018 $ 1,375,299

03/22/2018 $ 2,856,819

02/26/2018 $ (36,867)

12/21/2017 $ (1,737,797)

10/26/2017 $ 9,740,790

09/26/2017 $ 119,748,540

145
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 33,295,051 Transfer of cap due to servicing transfer

$ 32,024,992 Updated due to quarterly assessment and reallocation

$ 31,994,992 Transfer of cap due to servicing transfer

$ 32,284,992 Transfer of cap due to servicing transfer

$ 30,181,351 Updated due to quarterly assessment and reallocation

$ 30,411,351 Transfer of cap due to servicing transfer

$ 28,177,864 Updated due to quarterly assessment and reallocation

$ 29,038,952 Updated due to quarterly assessment and reallocation

$ 27,938,952 Transfer of cap due to servicing transfer

$ 27,918,526 Updated due to quarterly assessment and reallocation

$ 27,798,526 Transfer of cap due to servicing transfer

$ 27,795,400 Transfer of cap due to servicing transfer

$ 27,435,400 Transfer of cap due to servicing transfer

$ 28,525,400 Transfer of cap due to servicing transfer

$ 28,459,391 Transfer of cap due to servicing transfer

$ 28,289,391 Transfer of cap due to servicing transfer

$ 28,287,232 Transfer of cap due to servicing transfer

$ 28,269,776 Transfer of cap due to servicing transfer

$ 28,269,194 Transfer of cap due to servicing transfer

$ 28,173,454 Transfer of cap due to servicing transfer

$ 28,422,049 Transfer of cap due to servicing transfer

$ 28,356,821 Transfer of cap due to servicing transfer

$ 28,352,487 Transfer of cap due to servicing transfer

$ 28,343,685 Transfer of cap due to servicing transfer

$ 28,319,714 Transfer of cap due to servicing transfer

$ 28,312,321 Transfer of cap due to servicing transfer

Seneca Mortgage Servicing LLC (AMS 

Servicing, LLC) Buffalo NY $ 4,390,000 N/A $ 5,350,000 Updated portfolio data from servicer/additional program initial cap

$ 2,260,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,490,000 Updated portfolio data from servicer

$ 7,800,000 Updated portfolio data from servicer

$ 8,123,114 Updated portfolio data from servicer

$ 8,123,102 Updated due to quarterly assessment and reallocation

$ 8,723,102 Transfer of cap due to servicing transfer

$ 8,723,086 Updated due to quarterly assessment and reallocation

$ 8,923,086 Transfer of cap due to servicing transfer

$ 9,023,086 Transfer of cap due to servicing transfer

$ 9,022,933 Updated due to quarterly assessment and reallocation

$ 9,122,933 Transfer of cap due to servicing transfer

$ 9,222,933 Transfer of cap due to servicing transfer

$ 10,322,933 Transfer of cap due to servicing transfer

$ 10,972,933 Transfer of cap due to servicing transfer

$ 10,972,797 Updated due to quarterly assessment and reallocation

$ 10,972,450 Updated due to quarterly assessment and reallocation

$ 11,222,450 Transfer of cap due to servicing transfer

$ 11,252,450 Transfer of cap due to servicing transfer

$ 11,242,450 Transfer of cap due to servicing transfer

$ 11,242,391 Updated due to quarterly assessment and reallocation

$ 11,262,391 Transfer of cap due to servicing transfer

$ 11,552,391 Transfer of cap due to servicing transfer

$ 11,562,391 Transfer of cap due to servicing transfer

$ 11,562,171 Updated due to quarterly assessment and reallocation

$ 11,502,171 Transfer of cap due to servicing transfer

$ 11,552,171 Transfer of cap due to servicing transfer

$ 11,562,171 Transfer of cap due to servicing transfer

$ 11,562,092 Updated due to quarterly assessment and reallocation

$ 11,472,092 Transfer of cap due to servicing transfer

$ 11,782,092 Transfer of cap due to servicing transfer

$ 11,782,064 Updated due to quarterly assessment and reallocation

$ 12,012,064 Transfer of cap due to servicing transfer

$ 12,132,064 Transfer of cap due to servicing transfer

$ 12,592,064 Transfer of cap due to servicing transfer

$ 12,542,651 Updated due to quarterly assessment and reallocation

$ 12,582,651 Transfer of cap due to servicing transfer

$ 12,322,651 Transfer of cap due to servicing transfer

$ 12,320,954 Updated due to quarterly assessment and reallocation

$ 12,420,954 Transfer of cap due to servicing transfer

$ 12,450,954 Transfer of cap due to servicing transfer

$ 12,430,945 Updated due to quarterly assessment and reallocation

07/29/2014 $ (39,741) $ 12,391,204 Updated due to quarterly assessment and reallocation

06/26/2014 $ (20,009)

06/16/2014 $ 30,000

04/16/2014 $ 100,000

03/26/2014 $ (1,697)

03/14/2014 $ (260,000)

01/16/2014 $ 40,000

12/23/2013 $ (49,413)

12/16/2013 $ 460,000

11/14/2013 $ 120,000

10/15/2013 $ 230,000

09/27/2013 $ (28)

09/16/2013 $ 310,000

07/16/2013 $ (90,000)

06/27/2013 $ (79)

06/14/2013 $ 10,000

05/16/2013 $ 50,000

04/16/2013 $ (60,000)

03/25/2013 $ (220)

03/14/2013 $ 10,000

02/14/2013 $ 290,000

01/16/2013 $ 20,000

12/27/2012 $ (59)

12/14/2012 $ (10,000)

11/15/2012 $ 30,000

10/16/2012 $ 250,000

09/27/2012 $ (347)

06/28/2012 $ (136)

06/14/2012 $ 650,000

04/16/2012 $ 1,100,000

11/16/2011 $ 100,000

09/15/2011 $ 100,000

06/29/2011 $ (153)

05/13/2011 $ 100,000

04/13/2011 $ 200,000

03/30/2011 $ (16)

03/16/2011 $ 600,000

01/06/2011 $ (12)

09/30/2010 $ 323,114

07/14/2010 $ 5,310,000

03/26/2010 $ 230,000

12/30/2009 $ (3,090,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 960,000

06/21/2018 $ (7,393)

04/25/2018 $ (23,971)

03/22/2018 $ (8,802)

02/26/2018 $ (4,334)

12/21/2017 $ (65,228)

10/26/2017 $ 248,595

09/26/2017 $ (95,740)

07/26/2017 $ (582)

06/26/2017 $ (17,456)

04/26/2017 $ (2,159)

03/16/2017 $ (170,000)

02/27/2017 $ (66,009)

02/16/2017 $ 1,090,000

01/13/2017 $ (360,000)

12/27/2016 $ (3,126)

12/15/2016 $ (120,000)

11/29/2016 $ (20,426)

11/16/2016 $ (1,100,000)

11/07/2016 $ 861,088

10/25/2016 $ (2,233,487)

10/14/2016 $ 230,000

09/28/2016 $ (2,103,641)

09/15/2016 $ 290,000

08/16/2016 $ (30,000)

07/27/2016 $ (1,270,059)

07/14/2016 $ 1,200,000

146
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 12,351,204 Transfer of cap due to servicing transfer

$ 12,421,204 Transfer of cap due to servicing transfer

$ 12,407,968 Updated due to quarterly assessment and reallocation

$ 12,397,968 Transfer of cap due to servicing transfer

$ 10,951,748 Updated due to quarterly assessment and reallocation

$ 10,671,748 Transfer of cap due to servicing transfer

$ 10,601,748 Transfer of cap due to servicing transfer

$ 8,631,748 Transfer of cap due to servicing transfer

$ 8,068,408 Updated due to quarterly assessment and reallocation

$ 8,048,408 Transfer of cap due to servicing transfer

$ 6,225,167 Updated due to quarterly assessment and reallocation

$ 6,385,167 Transfer of cap due to servicing transfer

$ 6,325,167 Transfer of cap due to servicing transfer

$ 5,897,997 Updated due to quarterly assessment and reallocation

$ 6,227,997 Transfer of cap due to servicing transfer

$ 6,307,997 Transfer of cap due to servicing transfer

$ 6,447,997 Transfer of cap due to servicing transfer

$ 5,886,068 Updated due to quarterly assessment and reallocation

$ 5,926,068 Transfer of cap due to servicing transfer

$ 6,506,068 Transfer of cap due to servicing transfer

$ 6,736,068 Transfer of cap due to servicing transfer

$ 6,249,785 Updated due to quarterly assessment and reallocation

$ 7,329,785 Transfer of cap due to servicing transfer

$ 7,829,785 Transfer of cap due to servicing transfer

$ 5,508,464 Reallocation due to MHA program deobligation

$ 5,838,464 Transfer of cap due to servicing transfer

$ 5,784,261 Updated due to quarterly assessment and reallocation

$ 6,624,261 Transfer of cap due to servicing transfer

$ 8,404,261 Transfer of cap due to servicing transfer

$ 7,637,234 Updated due to quarterly assessment and reallocation

$ 8,277,234 Transfer of cap due to servicing transfer

$ 7,760,646 Updated due to quarterly assessment and reallocation

$ 7,630,646 Transfer of cap due to servicing transfer

$ 7,110,786 Updated due to quarterly assessment and reallocation

$ 7,060,786 Transfer of cap due to servicing transfer

$ 7,700,786 Transfer of cap due to servicing transfer

$ 6,859,193 Updated due to quarterly assessment and reallocation

$ 5,738,439 Updated due to quarterly assessment and reallocation

$ 6,170,529 Updated due to quarterly assessment and reallocation

$ 5,060,529 Transfer of cap due to servicing transfer

$ 5,052,948 Updated due to quarterly assessment and reallocation

$ 3,652,948 Transfer of cap due to servicing transfer

$ 3,652,040 Transfer of cap due to servicing transfer

$ 3,002,040 Transfer of cap due to servicing transfer

$ 2,987,710 Transfer of cap due to servicing transfer

$ 2,986,707 Transfer of cap due to servicing transfer

$ 2,978,989 Transfer of cap due to servicing transfer

$ 2,978,740 Transfer of cap due to servicing transfer

$ 2,426,391 Transfer of cap due to servicing transfer

$ 2,357,144 Transfer of cap due to servicing transfer

$ 2,285,006 Transfer of cap due to servicing transfer

$ 2,281,504 Transfer of cap due to servicing transfer

$ 2,270,086 Transfer of cap due to servicing transfer

$ 2,247,512 Transfer of cap due to servicing transfer

$ 2,243,279 Transfer of cap due to servicing transfer

Servis One, Inc. dba BSI Financial 

Services Titusville PA $ 29,730,000 N/A $ 4,220,000 Updated portfolio data from servicer/additional program initial cap

$ 4,740,000 Updated portfolio data from servicer/additional program initial 

cap $ 9,070,000 Updated portfolio data from servicer

$ 9,300,000 Transfer of cap due to servicing transfer

$ 10,150,000 Updated portfolio data from servicer/additional program initial 

cap $ 9,300,000 Updated portfolio data from servicer

$ 9,400,000 Transfer of cap due to servicing transfer

$ 9,500,000 Updated portfolio data from servicer/additional program initial 

cap $ 26,255,064 Updated portfolio data from servicer

$ 26,355,064 Transfer of cap due to servicing transfer

$ 26,455,064 Transfer of cap due to servicing transfer

$ 26,455,024 Updated due to quarterly assessment and reallocation

$ 26,755,024 Transfer of cap due to servicing transfer

02/16/2011 $ 100,000 $ 26,855,024 Transfer of cap due to servicing transfer

01/13/2011 $ 300,000

01/06/2011 $ (40)

12/15/2010 $ 100,000

10/15/2010 $ 100,000

09/30/2010 $ 16,755,064

09/30/2010 $ 100,000

09/15/2010 $ 100,000

07/14/2010 $ (850,000)

05/19/2010 $ 850,000

04/19/2010 $ 230,000

03/26/2010 $ 4,330,000

12/30/2009 $ 520,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (25,510,000)

06/21/2018 $ (4,233)

04/25/2018 $ (22,574)

03/22/2018 $ (11,418)

02/26/2018 $ (3,502)

12/21/2017 $ (72,138)

10/26/2017 $ (69,247)

09/26/2017 $ (552,349)

07/26/2017 $ (249)

06/26/2017 $ (7,718)

04/26/2017 $ (1,003)

02/27/2017 $ (14,330)

02/16/2017 $ (650,000)

12/27/2016 $ (908)

12/15/2016 $ (1,400,000)

11/29/2016 $ (7,581)

11/16/2016 $ (1,110,000)

11/07/2016 $ 432,090

10/25/2016 $ (1,120,754)

09/28/2016 $ (841,593)

09/15/2016 $ 640,000

08/16/2016 $ (50,000)

07/27/2016 $ (519,860)

07/14/2016 $ (130,000)

06/27/2016 $ (516,588)

06/16/2016 $ 640,000

05/31/2016 $ (767,027)

05/16/2016 $ 1,780,000

04/14/2016 $ 840,000

03/28/2016 $ (54,203)

03/16/2016 $ 330,000

02/25/2016 $ (2,321,321)

02/16/2016 $ 500,000

01/14/2016 $ 1,080,000

12/28/2015 $ (486,283)

12/16/2015 $ 230,000

11/16/2015 $ 580,000

10/15/2015 $ 40,000

09/28/2015 $ (561,929)

09/16/2015 $ 140,000

08/14/2015 $ 80,000

07/16/2015 $ 330,000

06/25/2015 $ (427,170)

06/16/2015 $ (60,000)

05/14/2015 $ 160,000

04/28/2015 $ (1,823,241)

04/16/2015 $ (20,000)

03/26/2015 $ (563,340)

03/16/2015 $ (1,970,000)

02/13/2015 $ (70,000)

01/15/2015 $ (280,000)

12/29/2014 $ (1,446,220)

12/16/2014 $ (10,000)

09/29/2014 $ (13,236)

09/16/2014 $ 70,000

08/14/2014 $ (40,000)

147
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 29,055,024 Transfer of cap due to servicing transfer

$ 29,054,972 Updated due to quarterly assessment and reallocation

$ 30,554,972 Transfer of cap due to servicing transfer

$ 31,554,972 Transfer of cap due to servicing transfer

$ 31,654,972 Transfer of cap due to servicing transfer

$ 31,654,438 Updated due to quarterly assessment and reallocation

$ 32,354,438 Transfer of cap due to servicing transfer

$ 31,754,438 Transfer of cap due to servicing transfer

$ 35,754,438 Transfer of cap due to servicing transfer

$ 36,354,438 Transfer of cap due to servicing transfer

$ 36,554,438 Transfer of cap due to servicing transfer

$ 36,654,438 Transfer of cap due to servicing transfer

$ 37,954,438 Transfer of cap due to servicing transfer

$ 39,054,438 Transfer of cap due to servicing transfer

$ 39,854,438 Transfer of cap due to servicing transfer

$ 38,774,438 Transfer of cap due to servicing transfer

$ 40,334,438 Transfer of cap due to servicing transfer

$ 40,333,973 Updated due to quarterly assessment and reallocation

$ 40,403,973 Transfer of cap due to servicing transfer

$ 40,402,701 Updated due to quarterly assessment and reallocation

$ 42,502,701 Transfer of cap due to servicing transfer

$ 43,842,701 Transfer of cap due to servicing transfer

$ 45,002,701 Transfer of cap due to servicing transfer

$ 45,002,462 Updated due to quarterly assessment and reallocation

$ 45,212,462 Transfer of cap due to servicing transfer

$ 47,002,462 Transfer of cap due to servicing transfer

$ 48,922,462 Transfer of cap due to servicing transfer

$ 48,921,502 Updated due to quarterly assessment and reallocation

$ 49,331,502 Transfer of cap due to servicing transfer

$ 49,271,502 Transfer of cap due to servicing transfer

$ 50,891,502 Transfer of cap due to servicing transfer

$ 50,891,143 Updated due to quarterly assessment and reallocation

$ 52,921,143 Transfer of cap due to servicing transfer

$ 52,931,143 Transfer of cap due to servicing transfer

$ 55,531,143 Transfer of cap due to servicing transfer

$ 55,531,008 Updated due to quarterly assessment and reallocation

$ 55,801,008 Transfer of cap due to servicing transfer

$ 55,831,008 Transfer of cap due to servicing transfer

$ 65,791,008 Transfer of cap due to servicing transfer

$ 65,551,281 Updated due to quarterly assessment and reallocation

$ 67,641,281 Transfer of cap due to servicing transfer

$ 70,091,281 Transfer of cap due to servicing transfer

$ 69,961,281 Transfer of cap due to servicing transfer

$ 69,952,444 Updated due to quarterly assessment and reallocation

$ 70,012,444 Transfer of cap due to servicing transfer

$ 69,552,444 Transfer of cap due to servicing transfer

$ 70,472,444 Transfer of cap due to servicing transfer

$ 70,368,721 Updated due to quarterly assessment and reallocation

$ 70,163,325 Updated due to quarterly assessment and reallocation

$ 74,213,325 Transfer of cap due to servicing transfer

$ 74,633,325 Transfer of cap due to servicing transfer

$ 74,559,738 Updated due to quarterly assessment and reallocation

$ 81,949,738 Transfer of cap due to servicing transfer

$ 81,559,738 Transfer of cap due to servicing transfer

$ 86,549,738 Transfer of cap due to servicing transfer

$ 77,836,699 Updated due to quarterly assessment and reallocation

$ 77,786,699 Transfer of cap due to servicing transfer

$ 89,636,699 Transfer of cap due to servicing transfer

$ 101,296,699 Transfer of cap due to servicing transfer

$ 96,624,811 Updated due to quarterly assessment and reallocation

$ 97,214,811 Transfer of cap due to servicing transfer

$ 78,983,030 Updated due to quarterly assessment and reallocation

$ 81,083,030 Transfer of cap due to servicing transfer

$ 83,903,030 Transfer of cap due to servicing transfer

$ 79,120,108 Updated due to quarterly assessment and reallocation

$ 79,180,108 Transfer of cap due to servicing transfer

$ 81,420,108 Transfer of cap due to servicing transfer

$ 80,990,108 Transfer of cap due to servicing transfer

$ 74,882,500 Updated due to quarterly assessment and reallocation

10/15/2015 $ 1,040,000 $ 75,922,500 Transfer of cap due to servicing transfer

09/28/2015 $ (6,107,608)

09/16/2015 $ (430,000)

08/14/2015 $ 2,240,000

07/16/2015 $ 60,000

06/25/2015 $ (4,782,922)

06/16/2015 $ 2,820,000

05/14/2015 $ 2,100,000

04/28/2015 $ (18,231,781)

04/16/2015 $ 590,000

03/26/2015 $ (4,671,888)

03/16/2015 $ 11,660,000

02/13/2015 $ 11,850,000

01/15/2015 $ (50,000)

12/29/2014 $ (8,713,039)

12/16/2014 $ 4,990,000

11/14/2014 $ (390,000)

10/16/2014 $ 7,390,000

09/29/2014 $ (73,587)

09/16/2014 $ 420,000

08/14/2014 $ 4,050,000

07/29/2014 $ (205,396)

06/26/2014 $ (103,723)

06/16/2014 $ 920,000

05/15/2014 $ (460,000)

04/16/2014 $ 60,000

03/26/2014 $ (8,837)

03/14/2014 $ (130,000)

02/13/2014 $ 2,450,000

01/16/2014 $ 2,090,000

12/23/2013 $ (239,727)

12/16/2013 $ 9,960,000

11/14/2013 $ 30,000

10/15/2013 $ 270,000

09/27/2013 $ (135)

09/16/2013 $ 2,600,000

08/15/2013 $ 10,000

07/16/2013 $ 2,030,000

06/27/2013 $ (359)

06/14/2013 $ 1,620,000

05/16/2013 $ (60,000)

04/16/2013 $ 410,000

03/25/2013 $ (960)

03/14/2013 $ 1,920,000

02/14/2013 $ 1,790,000

01/16/2013 $ 210,000

12/27/2012 $ (239)

12/14/2012 $ 1,160,000

11/15/2012 $ 1,340,000

10/16/2012 $ 2,100,000

09/27/2012 $ (1,272)

08/16/2012 $ 70,000

06/28/2012 $ (465)

06/14/2012 $ 1,560,000

05/16/2012 $ (1,080,000)

04/16/2012 $ 800,000

03/15/2012 $ 1,100,000

02/16/2012 $ 1,300,000

01/13/2012 $ 100,000

12/15/2011 $ 200,000

11/16/2011 $ 600,000

10/14/2011 $ 4,000,000

09/15/2011 $ (600,000)

08/16/2011 $ 700,000

06/29/2011 $ (534)

06/16/2011 $ 100,000

05/13/2011 $ 1,000,000

04/13/2011 $ 1,500,000

03/30/2011 $ (52)

03/16/2011 $ 2,200,000

148
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 79,622,500 Transfer of cap due to servicing transfer

$ 80,122,500 Transfer of cap due to servicing transfer

$ 75,361,657 Updated due to quarterly assessment and reallocation

$ 75,461,657 Transfer of cap due to servicing transfer

$ 76,031,657 Transfer of cap due to servicing transfer

$ 61,339,858 Reallocation due to MHA program deobligation

$ 67,609,858 Transfer of cap due to servicing transfer

$ 67,274,946 Updated due to quarterly assessment and reallocation

$ 72,544,946 Transfer of cap due to servicing transfer

$ 72,044,946 Transfer of cap due to servicing transfer

$ 68,859,660 Updated due to quarterly assessment and reallocation

$ 69,519,660 Transfer of cap due to servicing transfer

$ 67,455,514 Updated due to quarterly assessment and reallocation

$ 72,625,514 Transfer of cap due to servicing transfer

$ 70,089,870 Updated due to quarterly assessment and reallocation

$ 75,659,870 Transfer of cap due to servicing transfer

$ 79,059,870 Transfer of cap due to servicing transfer

$ 71,827,945 Updated due to quarterly assessment and reallocation

$ 72,887,945 Transfer of cap due to servicing transfer

$ 66,113,152 Updated due to quarterly assessment and reallocation

$ 68,725,073 Updated due to quarterly assessment and reallocation

$ 69,705,073 Transfer of cap due to servicing transfer

$ 69,631,518 Updated due to quarterly assessment and reallocation

$ 69,211,518 Transfer of cap due to servicing transfer

$ 69,200,963 Transfer of cap due to servicing transfer

$ 69,610,963 Transfer of cap due to servicing transfer

$ 69,780,963 Transfer of cap due to servicing transfer

$ 69,632,432 Transfer of cap due to servicing transfer

$ 72,692,432 Transfer of cap due to servicing transfer

$ 72,680,958 Transfer of cap due to servicing transfer

$ 72,540,199 Transfer of cap due to servicing transfer

$ 72,535,502 Transfer of cap due to servicing transfer

$ 67,737,562 Transfer of cap due to servicing transfer

$ 67,104,762 Transfer of cap due to servicing transfer

$ 66,455,393 Transfer of cap due to servicing transfer

$ 66,417,665 Transfer of cap due to servicing transfer

$ 66,290,352 Transfer of cap due to servicing transfer

$ 65,983,851 Transfer of cap due to servicing transfer

$ 65,899,650 Transfer of cap due to servicing transfer

ShoreBank Chicago IL $ 1,410,000 N/A $ 2,300,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,560,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,540,000 Updated portfolio data from servicer

$ 3,300,000 Updated portfolio data from servicer

$ 3,771,446 Updated portfolio data from servicer

$ 3,771,443 Updated due to quarterly assessment and reallocation

$ 3,771,439 Updated due to quarterly assessment and reallocation

$ 2,671,439 Transfer of cap due to servicing transfer

$ 2,671,401 Updated due to quarterly assessment and reallocation

$ 2,671,372 Updated due to quarterly assessment and reallocation

$ 2,671,293 Updated due to quarterly assessment and reallocation

$ 2,671,280 Updated due to quarterly assessment and reallocation

$ 2,671,230 Updated due to quarterly assessment and reallocation

6 $ 346,986 Termination of SPA

Silver State Schools Credit Union Las Vegas NV $ 1,880,000 N/A $ 1,970,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,080,000 Updated portfolio data from servicer

$ 1,900,000 Updated portfolio data from servicer

$ 2,175,834 Updated portfolio data from servicer

$ 2,175,832 Updated due to quarterly assessment and reallocation

$ 2,175,829 Updated due to quarterly assessment and reallocation

$ 2,175,803 Updated due to quarterly assessment and reallocation

$ 2,175,782 Updated due to quarterly assessment and reallocation

$ 2,175,725 Updated due to quarterly assessment and reallocation

$ 2,175,715 Updated due to quarterly assessment and reallocation

$ 2,175,678 Updated due to quarterly assessment and reallocation

$ 2,175,663 Updated due to quarterly assessment and reallocation

6 $ 285,844 Termination of SPA

SN Servicing Corporation Baton Rouge LA - N/A 3 $ 60,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 240,000 Transfer of cap due to servicing transfer

07/29/2014 $ (544) $ 239,456 Updated due to quarterly assessment and reallocation

07/16/2014 $ 170,000

12/16/2013 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 10/15/2013 $ 60,000

07/09/2013 $ (1,889,819)

06/27/2013 $ (15)

03/25/2013 $ (37)

12/27/2012 $ (10)

09/27/2012 $ (57)

06/28/2012 $ (21)

06/29/2011 $ (26)

03/30/2011 $ (3)

01/06/2011 $ (2)

09/30/2010 $ 275,834

07/14/2010 $ (1,180,000)

03/26/2010 $ 1,110,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 90,000

04/09/2013 $ (2,324,244)

03/25/2013 $ (50)

12/27/2012 $ (13)

09/27/2012 $ (79)

06/28/2012 $ (29)

06/29/2011 $ (38)

04/13/2011 $ (1,100,000)

03/30/2011 $ (4)

01/06/2011 $ (3)

09/30/2010 $ 471,446

07/14/2010 $ (240,000)

03/26/2010 $ (20,000)

12/30/2009 $ 1,260,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 890,000

06/21/2018 $ (84,201)

04/25/2018 $ (306,501)

03/22/2018 $ (127,313)

02/26/2018 $ (37,728)

12/21/2017 $ (649,369)

10/26/2017 $ (632,800)

09/26/2017 $ (4,797,940)

07/26/2017 $ (4,697)

06/26/2017 $ (140,759)

04/26/2017 $ (11,474)

03/16/2017 $ 3,060,000

02/27/2017 $ (148,531)

02/16/2017 $ 170,000

01/13/2017 $ 410,000

12/27/2016 $ (10,555)

12/15/2016 $ (420,000)

11/29/2016 $ (73,555)

11/16/2016 $ 980,000

11/07/2016 $ 2,611,921

10/25/2016 $ (6,774,793)

10/14/2016 $ 1,060,000

09/28/2016 $ (7,231,925)

09/15/2016 $ 3,400,000

08/16/2016 $ 5,570,000

07/27/2016 $ (2,535,644)

07/14/2016 $ 5,170,000

06/27/2016 $ (2,064,146)

06/16/2016 $ 660,000

05/31/2016 $ (3,185,286)

05/16/2016 $ (500,000)

04/14/2016 $ 5,270,000

03/28/2016 $ (334,912)

03/16/2016 $ 6,270,000

02/25/2016 $ (14,691,799)

02/16/2016 $ 570,000

01/14/2016 $ 100,000

12/28/2015 $ (4,760,843)

12/16/2015 $ 500,000

11/16/2015 $ 3,700,000

149
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 239,276 Updated due to quarterly assessment and reallocation

$ 399,276 Transfer of cap due to servicing transfer

$ 419,276 Transfer of cap due to servicing transfer

$ 479,276 Transfer of cap due to servicing transfer

$ 465,870 Updated due to quarterly assessment and reallocation

$ 555,870 Transfer of cap due to servicing transfer

$ 537,395 Updated due to quarterly assessment and reallocation

$ 464,577 Updated due to quarterly assessment and reallocation

$ 1,774,577 Transfer of cap due to servicing transfer

$ 1,854,577 Transfer of cap due to servicing transfer

$ 1,695,913 Updated due to quarterly assessment and reallocation

$ 1,715,913 Transfer of cap due to servicing transfer

$ 1,735,913 Transfer of cap due to servicing transfer

$ 1,895,913 Transfer of cap due to servicing transfer

$ 1,635,476 Updated due to quarterly assessment and reallocation

$ 4,455,476 Transfer of cap due to servicing transfer

$ 5,445,476 Transfer of cap due to servicing transfer

$ 4,729,241 Updated due to quarterly assessment and reallocation

$ 5,059,241 Transfer of cap due to servicing transfer

$ 4,979,241 Transfer of cap due to servicing transfer

$ 2,684,082 Reallocation due to MHA program deobligation

$ 3,854,082 Transfer of cap due to servicing transfer

$ 3,777,393 Updated due to quarterly assessment and reallocation

$ 4,617,393 Transfer of cap due to servicing transfer

$ 5,007,393 Transfer of cap due to servicing transfer

$ 4,181,111 Updated due to quarterly assessment and reallocation

$ 3,681,752 Updated due to quarterly assessment and reallocation

$ 3,791,752 Transfer of cap due to servicing transfer

$ 3,275,919 Updated due to quarterly assessment and reallocation

$ 3,305,919 Transfer of cap due to servicing transfer

$ 3,995,919 Transfer of cap due to servicing transfer

$ 2,828,576 Updated due to quarterly assessment and reallocation

$ 4,338,576 Transfer of cap due to servicing transfer

$ 2,208,091 Updated due to quarterly assessment and reallocation

$ 3,029,468 Updated due to quarterly assessment and reallocation

$ 3,169,468 Transfer of cap due to servicing transfer

$ 3,153,741 Updated due to quarterly assessment and reallocation

$ 3,213,741 Transfer of cap due to servicing transfer

$ 3,211,249 Transfer of cap due to servicing transfer

$ 3,551,249 Transfer of cap due to servicing transfer

$ 3,621,249 Transfer of cap due to servicing transfer

$ 3,570,267 Transfer of cap due to servicing transfer

$ 3,590,267 Transfer of cap due to servicing transfer

$ 3,586,972 Transfer of cap due to servicing transfer

$ 3,566,127 Transfer of cap due to servicing transfer

$ 3,565,497 Transfer of cap due to servicing transfer

$ 2,802,488 Transfer of cap due to servicing transfer

$ 2,710,385 Transfer of cap due to servicing transfer

$ 2,617,553 Transfer of cap due to servicing transfer

$ 2,613,011 Transfer of cap due to servicing transfer

$ 2,602,008 Transfer of cap due to servicing transfer

$ 2,590,841 Transfer of cap due to servicing transfer

$ 2,907,262 Transfer of cap due to servicing transfer

Sortis Financial, Inc. (ClearSpring 

Loan Services, Inc. fka Vantium 

Capital, Inc.)

Plano TX $ 6,000,000 N/A 4 $ 7,310,000 Updated portfolio data from servicer/additional program initial 

cap

$ 3,920,000 Updated portfolio data from servicer/additional program initial 

cap $ 4,330,000 Updated portfolio data from servicer

$ 3,600,000 Updated portfolio data from servicer

$ 8,300,000 Transfer of cap due to servicing transfer

$ 8,417,764 Updated portfolio data from servicer

$ 9,217,764 Transfer of cap due to servicing transfer

$ 11,917,764 Transfer of cap due to servicing transfer

$ 11,917,747 Updated due to quarterly assessment and reallocation

$ 12,617,747 Transfer of cap due to servicing transfer

$ 14,417,747 Transfer of cap due to servicing transfer

$ 14,417,728 Updated due to quarterly assessment and reallocation

$ 14,717,728 Transfer of cap due to servicing transfer

$ 14,717,539 Updated due to quarterly assessment and reallocation

08/16/2011 $ 300,000 $ 15,017,539 Transfer of cap due to servicing transfer

06/29/2011 $ (189)

04/13/2011 $ 300,000

03/30/2011 $ (19)

02/16/2011 $ 1,800,000

01/13/2011 $ 700,000

01/06/2011 $ (17)

12/15/2010 $ 2,700,000

11/16/2010 $ 800,000

09/30/2010 $ 117,764

09/15/2010 $ 4,700,000

07/14/2010 $ (730,000)

03/26/2010 $ 410,000

12/30/2009 $ (3,390,000)

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 1,310,000

06/21/2018 $ 316,421

04/25/2018 $ (11,167)

03/22/2018 $ (11,003)

02/26/2018 $ (4,542)

12/21/2017 $ (92,832)

10/26/2017 $ (92,103)

09/26/2017 $ (763,009)

07/26/2017 $ (630)

06/26/2017 $ (20,845)

04/26/2017 $ (3,295)

03/16/2017 $ 20,000

02/27/2017 $ (50,982)

02/16/2017 $ 70,000

01/13/2017 $ 340,000

12/27/2016 $ (2,492)

12/15/2016 $ 60,000

11/29/2016 $ (15,727)

11/16/2016 $ 140,000

11/07/2016 $ 821,377

10/25/2016 $ (2,130,485)

10/14/2016 $ 1,510,000

09/28/2016 $ (1,167,343)

09/15/2016 $ 690,000

08/16/2016 $ 30,000

07/27/2016 $ (515,833)

07/14/2016 $ 110,000

06/27/2016 $ (499,359)

05/31/2016 $ (826,282)

05/16/2016 $ 390,000

04/14/2016 $ 840,000

03/28/2016 $ (76,689)

03/16/2016 $ 1,170,000

02/25/2016 $ (2,295,159)

02/16/2016 $ (80,000)

01/14/2016 $ 330,000

12/28/2015 $ (716,235)

11/16/2015 $ 990,000

10/15/2015 $ 2,820,000

09/28/2015 $ (260,437)

09/16/2015 $ 160,000

08/14/2015 $ 20,000

07/16/2015 $ 20,000

06/25/2015 $ (158,664)

06/16/2015 $ 80,000

05/14/2015 $ 1,310,000

04/28/2015 $ (72,818)

03/26/2015 $ (18,475)

01/15/2015 $ 90,000

12/29/2014 $ (13,406)

12/16/2014 $ 60,000

11/14/2014 $ 20,000

10/16/2014 $ 160,000

09/29/2014 $ (180)

150
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 15,117,539 Transfer of cap due to servicing transfer

$ 15,217,539 Transfer of cap due to servicing transfer

$ 15,217,392 Updated due to quarterly assessment and reallocation

$ 15,207,392 Transfer of cap due to servicing transfer

$ 15,206,979 Updated due to quarterly assessment and reallocation

$ 15,166,979 Transfer of cap due to servicing transfer

$ 15,166,908 Updated due to quarterly assessment and reallocation

$ 14,396,908 Transfer of cap due to servicing transfer

$ 14,376,908 Transfer of cap due to servicing transfer

$ 14,376,652 Updated due to quarterly assessment and reallocation

$ 13,756,652 Transfer of cap due to servicing transfer

$ 13,796,652 Transfer of cap due to servicing transfer

$ 13,806,652 Transfer of cap due to servicing transfer

$ 13,806,557 Updated due to quarterly assessment and reallocation

$ 13,516,557 Transfer of cap due to servicing transfer

$ 13,516,523 Updated due to quarterly assessment and reallocation

$ 13,556,523 Transfer of cap due to servicing transfer

$ 13,499,252 Updated due to quarterly assessment and reallocation

$ 13,409,252 Transfer of cap due to servicing transfer

$ 13,369,252 Transfer of cap due to servicing transfer

$ 13,367,263 Updated due to quarterly assessment and reallocation

$ 13,447,263 Transfer of cap due to servicing transfer

$ 13,217,263 Transfer of cap due to servicing transfer

$ 13,317,263 Transfer of cap due to servicing transfer

$ 13,293,825 Updated due to quarterly assessment and reallocation

$ 14,503,825 Transfer of cap due to servicing transfer

$ 14,452,097 Updated due to quarterly assessment and reallocation

$ 14,434,929 Updated due to quarterly assessment and reallocation

$ 14,934,929 Transfer of cap due to servicing transfer

$ 14,924,929 Transfer of cap due to servicing transfer

$ 12,826,967 Updated due to quarterly assessment and reallocation

$ 12,037,937 Updated due to quarterly assessment and reallocation

$ 8,927,926 Updated due to quarterly assessment and reallocation

$ 8,192,563 Updated due to quarterly assessment and reallocation

$ 7,962,563 Transfer of cap due to servicing transfer

$ 6,992,563 Transfer of cap due to servicing transfer

$ 6,622,563 Transfer of cap due to servicing transfer

$ 5,724,334 Updated due to quarterly assessment and reallocation

$ 6,314,334 Transfer of cap due to servicing transfer

$ 6,324,334 Transfer of cap due to servicing transfer

$ 5,549,361 Updated due to quarterly assessment and reallocation

$ 5,529,361 Transfer of cap due to servicing transfer

$ 3,266,666 Reallocation due to MHA program deobligation

$ 3,456,666 Transfer of cap due to servicing transfer

$ 3,404,613 Updated due to quarterly assessment and reallocation

$ 3,474,613 Transfer of cap due to servicing transfer

$ 3,052,416 Updated due to quarterly assessment and reallocation

$ 3,342,416 Transfer of cap due to servicing transfer

$ 3,051,202 Updated due to quarterly assessment and reallocation

$ 2,759,900 Updated due to quarterly assessment and reallocation

$ 3,399,900 Transfer of cap due to servicing transfer

$ 2,638,614 Updated due to quarterly assessment and reallocation

$ 1,919,250 Updated due to quarterly assessment and reallocation

$ 2,196,590 Updated due to quarterly assessment and reallocation

$ 2,190,950 Updated due to quarterly assessment and reallocation

$ 2,200,950 Transfer of cap due to servicing transfer

$ 2,200,077 Transfer of cap due to servicing transfer

$ 2,184,931 Transfer of cap due to servicing transfer

$ 2,183,938 Transfer of cap due to servicing transfer

$ 2,176,391 Transfer of cap due to servicing transfer

$ 2,176,163 Transfer of cap due to servicing transfer

$ 1,936,707 Transfer of cap due to servicing transfer

$ 1,907,011 Transfer of cap due to servicing transfer

$ 1,878,040 Transfer of cap due to servicing transfer

$ 1,876,650 Transfer of cap due to servicing transfer

$ 1,872,118 Transfer of cap due to servicing transfer

$ 1,863,158 Transfer of cap due to servicing transfer

$ 1,861,009 Transfer of cap due to servicing transfer

Sound Community Bank Seattle WA $ 440,000 N/A $ 460,000 Updated portfolio data from servicer/additional program initial 

cap 03/26/2010 $ 1,430,000 $ 1,890,000 Updated portfolio data from servicer

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

06/21/2018 $ (2,149)

04/25/2018 $ (8,960)

03/22/2018 $ (4,532)

02/26/2018 $ (1,390)

12/21/2017 $ (28,971)

10/26/2017 $ (29,696)

09/26/2017 $ (239,456)

07/26/2017 $ (228)

06/26/2017 $ (7,547)

04/26/2017 $ (993)

02/27/2017 $ (15,146)

12/27/2016 $ (873)

12/15/2016 $ 10,000

11/29/2016 $ (5,640)

11/07/2016 $ 277,340

10/25/2016 $ (719,364)

09/28/2016 $ (761,286)

09/15/2016 $ 640,000

07/27/2016 $ (291,302)

06/27/2016 $ (291,214)

06/16/2016 $ 290,000

05/31/2016 $ (422,197)

05/16/2016 $ 70,000

03/28/2016 $ (52,053)

03/16/2016 $ 190,000

02/25/2016 $ (2,262,695)

01/14/2016 $ (20,000)

12/28/2015 $ (774,973)

12/16/2015 $ 10,000

10/15/2015 $ 590,000

09/28/2015 $ (898,229)

09/16/2015 $ (370,000)

08/14/2015 $ (970,000)

07/16/2015 $ (230,000)

06/25/2015 $ (735,363)

04/28/2015 $ (3,110,011)

03/26/2015 $ (789,030)

12/29/2014 $ (2,097,962)

11/14/2014 $ (10,000)

10/16/2014 $ 500,000

09/29/2014 $ (17,168)

07/29/2014 $ (51,728)

07/16/2014 $ 1,210,000

06/26/2014 $ (23,438)

06/16/2014 $ 100,000

05/15/2014 $ (230,000)

04/16/2014 $ 80,000

03/26/2014 $ (1,989)

03/14/2014 $ (40,000)

02/13/2014 $ (90,000)

12/23/2013 $ (57,271)

12/16/2013 $ 40,000

09/27/2013 $ (34)

07/16/2013 $ (290,000)

06/27/2013 $ (95)

06/14/2013 $ 10,000

05/16/2013 $ 40,000

04/16/2013 $ (620,000)

03/25/2013 $ (256)

03/14/2013 $ (20,000)

02/14/2013 $ (770,000)

12/27/2012 $ (71)

11/15/2012 $ (40,000)

09/27/2012 $ (413)

07/16/2012 $ (10,000)

06/28/2012 $ (147)

10/14/2011 $ 100,000

09/15/2011 $ 100,000

151
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,500,000 Updated portfolio data from servicer

- Termination of SPA

Specialized Loan Servicing LLC Highlands Ranch CO $ 64,150,000 N/A $ 12,910,000 Updated portfolio data from servicer

$ 15,910,000 Transfer of cap due to servicing transfer

$ 20,770,000 Transfer of cap due to servicing transfer

$ 24,400,000 Updated portfolio data from servicer

$ 24,730,000 Transfer of cap due to servicing transfer

$ 25,430,000 Transfer of cap due to servicing transfer

$ 25,630,000 Transfer of cap due to servicing transfer

$ 23,934,174 Updated portfolio data from servicer

$ 24,134,174 Transfer of cap due to servicing transfer

$ 24,134,142 Updated due to quarterly assessment and reallocation

$ 25,634,142 Transfer of cap due to servicing transfer

$ 32,734,142 Transfer of cap due to servicing transfer

$ 32,734,106 Updated due to quarterly assessment and reallocation

$ 33,734,106 Transfer of cap due to servicing transfer

$ 33,834,106 Transfer of cap due to servicing transfer

$ 34,134,106 Transfer of cap due to servicing transfer

$ 34,133,774 Updated due to quarterly assessment and reallocation

$ 34,233,774 Transfer of cap due to servicing transfer

$ 34,533,774 Transfer of cap due to servicing transfer

$ 34,833,774 Transfer of cap due to servicing transfer

$ 33,133,774 Transfer of cap due to servicing transfer

$ 34,733,774 Transfer of cap due to servicing transfer

$ 34,833,774 Transfer of cap due to servicing transfer

$ 34,933,774 Transfer of cap due to servicing transfer

$ 112,533,774 Transfer of cap due to servicing transfer

$ 112,573,774 Transfer of cap due to servicing transfer

$ 112,223,774 Transfer of cap due to servicing transfer

$ 112,222,716 Updated due to quarterly assessment and reallocation

$ 116,652,716 Transfer of cap due to servicing transfer

$ 115,372,716 Transfer of cap due to servicing transfer

$ 115,369,655 Updated due to quarterly assessment and reallocation

$ 120,969,655 Transfer of cap due to servicing transfer

$ 121,849,655 Transfer of cap due to servicing transfer

$ 146,029,655 Transfer of cap due to servicing transfer

$ 146,028,992 Updated due to quarterly assessment and reallocation

$ 148,438,992 Transfer of cap due to servicing transfer

$ 155,088,992 Transfer of cap due to servicing transfer

$ 153,638,992 Transfer of cap due to servicing transfer

$ 153,636,408 Updated due to quarterly assessment and reallocation

$ 152,886,408 Transfer of cap due to servicing transfer

$ 151,636,408 Transfer of cap due to servicing transfer

$ 155,306,408 Transfer of cap due to servicing transfer

$ 155,305,423 Updated due to quarterly assessment and reallocation

$ 151,585,423 Transfer of cap due to servicing transfer

$ 151,405,423 Transfer of cap due to servicing transfer

$ 151,405,077 Updated due to quarterly assessment and reallocation

$ 152,265,077 Transfer of cap due to servicing transfer

$ 151,855,077 Transfer of cap due to servicing transfer

$ 141,695,077 Transfer of cap due to servicing transfer

$ 141,313,948 Updated due to quarterly assessment and reallocation

$ 149,513,948 Transfer of cap due to servicing transfer

$ 171,423,948 Transfer of cap due to servicing transfer

$ 171,723,948 Transfer of cap due to servicing transfer

$ 171,713,097 Updated due to quarterly assessment and reallocation

$ 176,183,097 Transfer of cap due to servicing transfer

$ 147,723,097 Transfer of cap due to servicing transfer

$ 152,403,097 Transfer of cap due to servicing transfer

$ 152,345,586 Updated due to quarterly assessment and reallocation

$ 168,795,586 Transfer of cap due to servicing transfer

$ 168,680,311 Updated due to quarterly assessment and reallocation

$ 168,910,311 Transfer of cap due to servicing transfer

$ 164,640,311 Transfer of cap due to servicing transfer

$ 164,612,857 Updated due to quarterly assessment and reallocation

$ 165,152,857 Transfer of cap due to servicing transfer

$ 218,098,718 Updated due to quarterly assessment and reallocation

$ 217,578,718 Transfer of cap due to servicing transfer

$ 230,208,718 Transfer of cap due to servicing transfer

03/16/2015 $ 11,890,000 $ 242,098,718 Transfer of cap due to servicing transfer

02/13/2015 $ 12,630,000

01/15/2015 $ (520,000)

12/29/2014 $ 52,945,861

11/14/2014 $ 540,000

09/29/2014 $ (27,454)

09/16/2014 $ (4,270,000)

08/14/2014 $ 230,000

07/29/2014 $ (115,275)

07/16/2014 $ 16,450,000

06/26/2014 $ (57,511)

06/16/2014 $ 4,680,000

05/15/2014 $ (28,460,000)

04/16/2014 $ 4,470,000

03/26/2014 $ (10,851)

03/14/2014 $ 300,000

02/13/2014 $ 21,910,000

01/16/2014 $ 8,200,000

12/23/2013 $ (381,129)

12/16/2013 $ (10,160,000)

11/14/2013 $ (410,000)

10/15/2013 $ 860,000

09/27/2013 $ (346)

09/16/2013 $ (180,000)

07/16/2013 $ (3,720,000)

06/27/2013 $ (985)

06/14/2013 $ 3,670,000

05/16/2013 $ (1,250,000)

04/16/2013 $ (750,000)

03/25/2013 $ (2,584)

03/14/2013 $ (1,450,000)

02/14/2013 $ 6,650,000

01/16/2013 $ 2,410,000

12/27/2012 $ (663)

12/14/2012 $ 24,180,000

11/15/2012 $ 880,000

10/16/2012 $ 5,600,000

09/27/2012 $ (3,061)

08/16/2012 $ (1,280,000)

07/16/2012 $ 4,430,000

06/28/2012 $ (1,058)

06/14/2012 $ (350,000)

05/16/2012 $ 40,000

04/16/2012 $ 77,600,000

03/15/2012 $ 100,000

02/16/2012 $ 100,000

01/13/2012 $ 1,600,000

12/15/2011 $ (1,700,000)

10/14/2011 $ 300,000

09/15/2011 $ 300,000

08/16/2011 $ 100,000

06/29/2011 $ (332)

06/16/2011 $ 300,000

05/13/2011 $ 100,000

04/13/2011 $ 1,000,000

03/30/2011 $ (36)

03/16/2011 $ 7,100,000

01/13/2011 $ 1,500,000

01/06/2011 $ (32)

11/16/2010 $ 200,000

09/30/2010 $ (1,695,826)

09/15/2010 $ 200,000

08/13/2010 $ 700,000

07/16/2010 $ 330,000

07/14/2010 $ 3,630,000

06/16/2010 $ 4,860,000

05/14/2010 $ 3,000,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (51,240,000)

09/08/2010 $ (1,500,000)

07/14/2010 $ (390,000)

152
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 243,451,040 Updated due to quarterly assessment and reallocation

$ 244,501,040 Transfer of cap due to servicing transfer

$ 248,949,261 Updated due to quarterly assessment and reallocation

$ 256,119,261 Transfer of cap due to servicing transfer

$ 274,189,261 Transfer of cap due to servicing transfer

$ 292,981,887 Updated due to quarterly assessment and reallocation

$ 307,481,887 Transfer of cap due to servicing transfer

$ 309,191,887 Transfer of cap due to servicing transfer

$ 308,801,887 Transfer of cap due to servicing transfer

$ 319,325,115 Updated due to quarterly assessment and reallocation

$ 322,775,115 Transfer of cap due to servicing transfer

$ 323,745,115 Transfer of cap due to servicing transfer

$ 323,535,115 Transfer of cap due to servicing transfer

$ 330,093,528 Updated due to quarterly assessment and reallocation

$ 355,103,528 Transfer of cap due to servicing transfer

$ 357,573,528 Transfer of cap due to servicing transfer

$ 343,980,842 Reallocation due to MHA program deobligation

$ 345,020,842 Transfer of cap due to servicing transfer

$ 344,846,423 Updated due to quarterly assessment and reallocation

$ 344,456,423 Transfer of cap due to servicing transfer

$ 335,536,423 Transfer of cap due to servicing transfer

$ 345,102,699 Updated due to quarterly assessment and reallocation

$ 342,592,699 Transfer of cap due to servicing transfer

$ 346,563,664 Updated due to quarterly assessment and reallocation

$ 378,203,664 Transfer of cap due to servicing transfer

$ 377,913,126 Updated due to quarterly assessment and reallocation

$ 376,373,126 Transfer of cap due to servicing transfer

$ 371,323,126 Transfer of cap due to servicing transfer

$ 377,724,733 Updated due to quarterly assessment and reallocation

$ 377,904,733 Transfer of cap due to servicing transfer

$ 383,853,002 Updated due to quarterly assessment and reallocation

$ 383,853,002 Updated due to quarterly assessment and reallocation

$ 409,343,002 Transfer of cap due to servicing transfer

$ 409,198,939 Updated due to quarterly assessment and reallocation

$ 420,828,939 Transfer of cap due to servicing transfer

$ 420,815,967 Transfer of cap due to servicing transfer

$ 416,455,967 Transfer of cap due to servicing transfer

$ 379,395,967 Transfer of cap due to servicing transfer

$ 402,419,744 Transfer of cap due to servicing transfer

$ 439,229,744 Transfer of cap due to servicing transfer

$ 439,226,156 Transfer of cap due to servicing transfer

$ 452,621,094 Transfer of cap due to servicing transfer

$ 452,620,330 Transfer of cap due to servicing transfer

$ 483,380,004 Transfer of cap due to servicing transfer

$ 482,968,006 Transfer of cap due to servicing transfer

$ 502,635,675 Transfer of cap due to servicing transfer

$ 502,615,964 Transfer of cap due to servicing transfer

$ 507,631,495 Transfer of cap due to servicing transfer

$ 507,529,019 Transfer of cap due to servicing transfer

$ 507,502,904 Transfer of cap due to servicing transfer

Spirit of Alaska Federal Credit Union Fairbanks AK $ 360,000 N/A $ 370,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,220,000 Updated portfolio data from servicer

$ 1,100,000 Updated portfolio data from servicer

$ 1,200,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,305,500 Updated portfolio data from servicer

$ 1,305,498 Updated due to quarterly assessment and reallocation

- Termination of SPA

Stanford Federal Credit Union Palo Alto CA $ 300,000 N/A $ 370,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,050,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,400,000 Updated portfolio data from servicer

$ 1,500,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

- Termination of SPA

Statebridge Company, LLC Denver CO - N/A 3 $ 5,000,000 Transfer of cap due to servicing transfer

$ 4,999,993 Updated due to quarterly assessment and reallocation

$ 5,499,993 Transfer of cap due to servicing transfer

$ 5,599,993 Transfer of cap due to servicing transfer

$ 5,599,984 Updated due to quarterly assessment and reallocation

$ 5,599,899 Updated due to quarterly assessment and reallocation

11/16/2011 $ (2,500,000) $ 3,099,899 Transfer of cap due to servicing transfer

06/29/2011 $ (85)

03/30/2011 $ (9)

03/16/2011 $ 100,000

02/16/2011 $ 500,000

01/06/2011 $ (7)

######## Purchase Financial Instrument for Home Loan Modifications 12/15/2010 $ 5,000,000

03/23/2011 $ (290,111)

09/30/2010 $ (1,209,889)

07/14/2010 $ (1,900,000)

03/26/2010 $ 350,000

12/30/2009 $ 2,680,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 70,000

02/17/2011 $ (1,305,498)

01/06/2011 $ (2)

09/30/2010 $ 105,500

09/30/2010 $ 100,000

07/14/2010 $ (120,000)

03/26/2010 $ 850,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

06/21/2018 $ (26,115)

04/25/2018 $ (102,476)

03/22/2018 $ 5,015,531

02/26/2018 $ (19,711)

12/21/2017 $ 19,667,669

10/26/2017 $ (411,998)

09/26/2017 $ 30,759,674

07/26/2017 $ (764)

06/26/2017 $ 13,394,938

04/26/2017 $ (3,588)

03/16/2017 $ 36,810,000

02/27/2017 $ 23,023,777

02/16/2017 $ (37,060,000)

01/13/2017 $ (4,360,000)

12/27/2016 $ (12,972)

12/15/2016 $ 11,630,000

11/29/2016 $ (144,063)

11/16/2016 $ 25,490,000

11/07/2016 -

10/25/2016 $ 5,948,269

10/14/2016 $ 180,000

09/28/2016 $ 6,401,607

09/15/2016 $ (5,050,000)

08/16/2016 $ (1,540,000)

07/27/2016 $ (290,538)

07/14/2016 $ 31,640,000

06/27/2016 $ 3,970,965

06/16/2016 $ (2,510,000)

05/31/2016 $ 9,566,276

05/16/2016 $ (8,920,000)

04/14/2016 $ (390,000)

03/28/2016 $ (174,419)

03/16/2016 $ 1,040,000

02/25/2016 $ (13,592,686)

02/16/2016 $ 2,470,000

01/14/2016 $ 25,010,000

12/28/2015 $ 6,558,413

12/16/2015 $ (210,000)

11/16/2015 $ 970,000

10/15/2015 $ 3,450,000

09/28/2015 $ 10,523,228

09/16/2015 $ (390,000)

08/14/2015 $ 1,710,000

07/16/2015 $ 14,500,000

06/25/2015 $ 18,792,626

06/16/2015 $ 18,070,000

05/14/2015 $ 7,170,000

04/28/2015 $ 4,448,221

04/16/2015 $ 1,050,000

03/26/2015 $ 1,352,322

153
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 3,299,899 Transfer of cap due to servicing transfer

$ 3,299,859 Updated due to quarterly assessment and reallocation

$ 3,299,759 Updated due to quarterly assessment and reallocation

$ 3,469,759 Transfer of cap due to servicing transfer

$ 3,439,759 Transfer of cap due to servicing transfer

$ 3,359,759 Transfer of cap due to servicing transfer

$ 3,359,742 Updated due to quarterly assessment and reallocation

$ 3,409,742 Transfer of cap due to servicing transfer

$ 4,649,742 Transfer of cap due to servicing transfer

$ 4,739,742 Transfer of cap due to servicing transfer

$ 4,739,652 Updated due to quarterly assessment and reallocation

$ 4,729,652 Transfer of cap due to servicing transfer

$ 4,729,618 Updated due to quarterly assessment and reallocation

$ 4,729,605 Updated due to quarterly assessment and reallocation

$ 4,789,605 Transfer of cap due to servicing transfer

$ 4,767,832 Updated due to quarterly assessment and reallocation

$ 4,747,832 Transfer of cap due to servicing transfer

$ 4,807,832 Transfer of cap due to servicing transfer

$ 4,777,832 Transfer of cap due to servicing transfer

$ 4,777,062 Updated due to quarterly assessment and reallocation

$ 4,768,084 Updated due to quarterly assessment and reallocation

$ 4,918,084 Transfer of cap due to servicing transfer

$ 4,899,765 Updated due to quarterly assessment and reallocation

$ 5,229,765 Transfer of cap due to servicing transfer

$ 5,739,765 Transfer of cap due to servicing transfer

$ 5,732,681 Updated due to quarterly assessment and reallocation

$ 7,042,681 Transfer of cap due to servicing transfer

$ 12,822,681 Transfer of cap due to servicing transfer

$ 10,813,209 Updated due to quarterly assessment and reallocation

$ 10,793,209 Transfer of cap due to servicing transfer

$ 10,033,569 Updated due to quarterly assessment and reallocation

$ 7,039,429 Updated due to quarterly assessment and reallocation

$ 7,069,429 Transfer of cap due to servicing transfer

$ 6,357,686 Updated due to quarterly assessment and reallocation

$ 6,517,686 Transfer of cap due to servicing transfer

$ 6,607,686 Transfer of cap due to servicing transfer

$ 5,638,454 Updated due to quarterly assessment and reallocation

$ 6,318,454 Transfer of cap due to servicing transfer

$ 6,358,454 Transfer of cap due to servicing transfer

$ 6,908,454 Transfer of cap due to servicing transfer

$ 6,091,904 Updated due to quarterly assessment and reallocation

$ 3,732,047 Reallocation due to MHA program deobligation

$ 4,712,047 Transfer of cap due to servicing transfer

$ 4,639,923 Updated due to quarterly assessment and reallocation

$ 4,939,923 Transfer of cap due to servicing transfer

$ 5,019,923 Transfer of cap due to servicing transfer

$ 4,386,557 Updated due to quarterly assessment and reallocation

$ 4,024,269 Updated due to quarterly assessment and reallocation

$ 4,174,269 Transfer of cap due to servicing transfer

$ 3,828,213 Updated due to quarterly assessment and reallocation

$ 3,203,692 Updated due to quarterly assessment and reallocation

$ 3,223,692 Transfer of cap due to servicing transfer

$ 2,685,734 Updated due to quarterly assessment and reallocation

$ 2,893,136 Updated due to quarterly assessment and reallocation

$ 3,883,136 Transfer of cap due to servicing transfer

$ 3,871,838 Updated due to quarterly assessment and reallocation

$ 3,870,113 Transfer of cap due to servicing transfer

$ 3,770,113 Transfer of cap due to servicing transfer

$ 3,780,113 Transfer of cap due to servicing transfer

$ 3,751,837 Transfer of cap due to servicing transfer

$ 2,401,837 Transfer of cap due to servicing transfer

$ 2,400,792 Transfer of cap due to servicing transfer

$ 2,389,087 Transfer of cap due to servicing transfer

$ 2,388,733 Transfer of cap due to servicing transfer

$ 1,948,517 Transfer of cap due to servicing transfer

$ 1,887,921 Transfer of cap due to servicing transfer

$ 1,823,889 Transfer of cap due to servicing transfer

$ 1,820,780 Transfer of cap due to servicing transfer

$ 1,810,640 Transfer of cap due to servicing transfer

04/25/2018 $ (20,049) $ 1,790,591 Transfer of cap due to servicing transfer

03/22/2018 $ (10,140)

02/26/2018 $ (3,109)

12/21/2017 $ (64,032)

10/26/2017 $ (60,596)

09/26/2017 $ (440,216)

07/26/2017 $ (354)

06/26/2017 $ (11,705)

04/26/2017 $ (1,045)

03/16/2017 $ (1,350,000)

02/27/2017 $ (28,276)

02/16/2017 $ 10,000

01/13/2017 $ (100,000)

12/27/2016 $ (1,725)

11/29/2016 $ (11,298)

11/16/2016 $ 990,000

11/07/2016 $ 207,402

10/25/2016 $ (537,958)

10/14/2016 $ 20,000

09/28/2016 $ (624,521)

07/27/2016 $ (346,056)

07/14/2016 $ 150,000

06/27/2016 $ (362,288)

05/31/2016 $ (633,366)

05/16/2016 $ 80,000

04/14/2016 $ 300,000

03/28/2016 $ (72,124)

03/16/2016 $ 980,000

02/25/2016 $ (2,359,857)

12/28/2015 $ (816,550)

12/16/2015 $ 550,000

11/16/2015 $ 40,000

10/15/2015 $ 680,000

09/28/2015 $ (969,232)

09/16/2015 $ 90,000

08/14/2015 $ 160,000

06/25/2015 $ (711,743)

06/16/2015 $ 30,000

04/28/2015 $ (2,994,140)

03/26/2015 $ (759,640)

03/16/2015 $ (20,000)

12/29/2014 $ (2,009,472)

12/16/2014 $ 5,780,000

10/16/2014 $ 1,310,000

09/29/2014 $ (7,084)

09/16/2014 $ 510,000

08/14/2014 $ 330,000

07/29/2014 $ (18,319)

07/16/2014 $ 150,000

06/26/2014 $ (8,978)

03/26/2014 $ (770)

03/14/2014 $ (30,000)

02/13/2014 $ 60,000

01/16/2014 $ (20,000)

12/23/2013 $ (21,773)

11/14/2013 $ 60,000

09/27/2013 $ (13)

06/27/2013 $ (34)

04/16/2013 $ (10,000)

03/25/2013 $ (90)

03/14/2013 $ 90,000

02/14/2013 $ 1,240,000

01/16/2013 $ 50,000

12/27/2012 $ (17)

12/14/2012 $ (80,000)

11/15/2012 $ (30,000)

10/16/2012 $ 170,000

09/27/2012 $ (100)

06/28/2012 $ (40)

03/15/2012 $ 200,000

154
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,786,598 Transfer of cap due to servicing transfer

Sterling Savings Bank Spokane WA $ 2,250,000 N/A $ 2,350,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,610,000 Updated portfolio data from servicer

$ 900,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,555 Updated due to quarterly assessment and reallocation

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,543 Updated due to quarterly assessment and reallocation

$ 1,481,450 Updated due to quarterly assessment and reallocation

$ 1,540,138 Updated due to quarterly assessment and reallocation

$ 1,775,313 Updated due to quarterly assessment and reallocation

$ 1,859,504 Updated due to quarterly assessment and reallocation

$ 1,873,290 Updated due to quarterly assessment and reallocation

$ 1,873,255 Updated due to quarterly assessment and reallocation

$ 1,885,350 Updated due to quarterly assessment and reallocation

$ 2,007,657 Updated due to quarterly assessment and reallocation

$ 2,029,841 Updated due to quarterly assessment and reallocation

$ 2,054,406 Updated due to quarterly assessment and reallocation

$ 2,636,288 Updated due to quarterly assessment and reallocation

$ 2,635,254 Updated due to quarterly assessment and reallocation

$ 2,630,969 Updated due to quarterly assessment and reallocation

$ 2,624,439 Updated due to quarterly assessment and reallocation

$ 2,612,666 Updated due to quarterly assessment and reallocation

$ 2,600,868 Updated due to quarterly assessment and reallocation

$ 2,470,205 Reallocation due to MHA program deobligation

$ 2,467,275 Updated due to quarterly assessment and reallocation

$ 1,877,275 Transfer of cap due to servicing transfer

$ 1,858,394 Updated due to quarterly assessment and reallocation

$ 2,412,539 Transfer of cap due to servicing transfer

$ 2,396,916 Updated due to quarterly assessment and reallocation

$ 1,876,916 Transfer of cap due to servicing transfer

$ 1,845,167 Updated due to quarterly assessment and reallocation

6 $ 1,453,740 Termination of SPA

Stockman Bank of Montana Miles City MT $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

06/21/2018 $ (3) $ 100,458 Transfer of cap due to servicing transfer

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

08/04/2016 $ (391,427)

07/27/2016 $ (31,749)

07/14/2016 $ (520,000)

06/27/2016 $ (15,623)

06/16/2016 $ 554,145

05/31/2016 $ (18,881)

05/16/2016 $ (590,000)

03/28/2016 $ (2,930)

02/25/2016 $ (130,663)

12/28/2015 $ (11,798)

09/28/2015 $ (11,773)

06/25/2015 $ (6,530)

04/28/2015 $ (4,285)

03/26/2015 $ (1,034)

12/29/2014 $ 581,882

09/29/2014 $ 24,565

07/29/2014 $ 22,184

06/26/2014 $ 122,307

03/26/2014 $ 12,095

12/23/2013 $ (35)

09/27/2013 $ 13,786

06/27/2013 $ 84,191

03/25/2013 $ 235,175

12/27/2012 $ 58,688

09/27/2012 $ 30,907

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 550,556

07/14/2010 $ (710,000)

03/26/2010 $ (740,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 100,000

06/21/2018 $ (3,993)

155
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

Suburban Mortgage Company of New 

Mexico Albuquerque NM $ 880,000 N/A $ 2,465,945 Updated portfolio data from servicer

$ 2,465,941 Updated due to quarterly assessment and reallocation

$ 2,465,937 Updated due to quarterly assessment and reallocation

$ 2,465,897 Updated due to quarterly assessment and reallocation

$ 2,465,867 Updated due to quarterly assessment and reallocation

- Termination of SPA

Sun West Mortgage Company, Inc Cerritos CA - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

- Termination of SPA

SunTrust Mortgage, Inc. Richmond VA - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

$ 220,000 Transfer of cap due to servicing transfer

$ 219,999 Updated due to quarterly assessment and reallocation

$ 229,999 Transfer of cap due to servicing transfer

$ 229,329 Updated due to quarterly assessment and reallocation

$ 249,329 Transfer of cap due to servicing transfer

$ 339,329 Transfer of cap due to servicing transfer

$ 389,329 Transfer of cap due to servicing transfer

$ 389,291 Updated due to quarterly assessment and reallocation

$ 449,291 Transfer of cap due to servicing transfer

$ 448,805 Updated due to quarterly assessment and reallocation

$ 518,805 Transfer of cap due to servicing transfer

$ 517,816 Updated due to quarterly assessment and reallocation

$ 547,816 Transfer of cap due to servicing transfer

$ 547,458 Updated due to quarterly assessment and reallocation

$ 518,728 Updated due to quarterly assessment and reallocation

$ 498,728 Transfer of cap due to servicing transfer

$ 487,987 Updated due to quarterly assessment and reallocation

$ 445,618 Updated due to quarterly assessment and reallocation

$ 431,617 Updated due to quarterly assessment and reallocation

$ 411,617 Transfer of cap due to servicing transfer

$ 391,369 Updated due to quarterly assessment and reallocation

$ 376,384 Updated due to quarterly assessment and reallocation

$ 2,416,384 Transfer of cap due to servicing transfer

$ 2,666,884 Reallocation due to MHA program deobligation

$ 2,806,884 Transfer of cap due to servicing transfer

$ 2,811,401 Updated due to quarterly assessment and reallocation

$ 2,626,465 Updated due to quarterly assessment and reallocation

$ 2,465,355 Updated due to quarterly assessment and reallocation

$ 2,302,993 Updated due to quarterly assessment and reallocation

$ 1,989,021 Updated due to quarterly assessment and reallocation

$ 1,688,384 Updated due to quarterly assessment and reallocation

$ 1,804,290 Updated due to quarterly assessment and reallocation

$ 1,801,351 Updated due to quarterly assessment and reallocation

$ 1,800,902 Transfer of cap due to servicing transfer

$ 1,793,117 Transfer of cap due to servicing transfer

$ 1,792,597 Transfer of cap due to servicing transfer

$ 1,788,445 Transfer of cap due to servicing transfer

$ 1,788,319 Transfer of cap due to servicing transfer

$ 1,657,989 Transfer of cap due to servicing transfer

$ 1,641,826 Transfer of cap due to servicing transfer

$ 1,624,988 Transfer of cap due to servicing transfer

$ 1,624,171 Transfer of cap due to servicing transfer

$ 1,621,506 Transfer of cap due to servicing transfer

$ 1,618,124 Transfer of cap due to servicing transfer

$ 1,617,490 Transfer of cap due to servicing transfer

Technology Credit Union San Jose CA $ 70,000 N/A $ 2,250,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,530,000 Updated portfolio data from servicer

$ 1,100,000 Updated portfolio data from servicer

$ 1,160,445 Updated portfolio data from servicer

$ 1,160,444 Updated due to quarterly assessment and reallocation

$ 1,160,443 Updated due to quarterly assessment and reallocation

$ 1,160,431 Updated due to quarterly assessment and reallocation

$ 1,160,422 Updated due to quarterly assessment and reallocation

$ 1,160,399 Updated due to quarterly assessment and reallocation

$ 1,160,395 Updated due to quarterly assessment and reallocation

$ 1,160,382 Updated due to quarterly assessment and reallocation

$ 1,160,377 Updated due to quarterly assessment and reallocation

$ 1,160,375 Updated due to quarterly assessment and reallocation

$ 1,157,646 Updated due to quarterly assessment and reallocation

03/26/2014 $ (101) $ 1,157,545 Updated due to quarterly assessment and reallocation

12/23/2013 $ (2,729)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (13)

12/27/2012 $ (4)

09/27/2012 $ (23)

06/28/2012 $ (9)

06/29/2011 $ (12)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 60,445

07/14/2010 $ (430,000)

03/26/2010 $ (720,000)

######## Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ 2,180,000

06/21/2018 $ (634)

04/25/2018 $ (3,382)

03/22/2018 $ (2,665)

02/26/2018 $ (817)

12/21/2017 $ (16,838)

10/26/2017 $ (16,163)

09/26/2017 $ (130,330)

07/26/2017 $ (126)

06/26/2017 $ (4,152)

04/26/2017 $ (520)

02/27/2017 $ (7,785)

12/27/2016 $ (449)

11/29/2016 $ (2,939)

11/07/2016 $ 115,906

10/25/2016 $ (300,637)

09/28/2016 $ (313,972)

07/27/2016 $ (162,362)

06/27/2016 $ (161,110)

05/31/2016 $ (184,936)

03/28/2016 $ 4,517

03/16/2016 $ 140,000

02/25/2016 $ 250,500

01/14/2016 $ 2,040,000

12/28/2015 $ (14,985)

09/28/2015 $ (20,248)

08/14/2015 $ (20,000)

06/25/2015 $ (14,001)

04/28/2015 $ (42,369)

03/26/2015 $ (10,741)

02/13/2015 $ (20,000)

12/29/2014 $ (28,730)

09/29/2014 $ (358)

08/14/2014 $ 30,000

07/29/2014 $ (989)

07/16/2014 $ 70,000

06/26/2014 $ (486)

04/16/2014 $ 60,000

03/26/2014 $ (38)

03/14/2014 $ 50,000

02/13/2014 $ 90,000

01/16/2014 $ 20,000

12/23/2013 $ (670)

07/16/2013 $ 10,000

06/27/2013 $ (1)

06/14/2013 $ 120,000

######## Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 100,000

08/16/2017 $ (100,000)

######## Purchase Financial Instrument for Home Loan Modifications 01/13/2012 $ 100,000

08/10/2012 $ (2,465,867)

06/28/2012 $ (30)

06/29/2011 $ (40)

03/30/2011 $ (4)

01/06/2011 $ (4)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 1,585,945

156
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,156,350 Updated due to quarterly assessment and reallocation

$ 1,153,977 Updated due to quarterly assessment and reallocation

$ 1,153,193 Updated due to quarterly assessment and reallocation

$ 1,070,642 Updated due to quarterly assessment and reallocation

$ 1,037,689 Updated due to quarterly assessment and reallocation

$ 914,039 Updated due to quarterly assessment and reallocation

$ 883,282 Updated due to quarterly assessment and reallocation

$ 841,048 Updated due to quarterly assessment and reallocation

$ 807,696 Updated due to quarterly assessment and reallocation

$ 681,537 Reallocation due to MHA program deobligation

$ 678,902 Updated due to quarterly assessment and reallocation

$ 656,189 Updated due to quarterly assessment and reallocation

$ 642,621 Updated due to quarterly assessment and reallocation

$ 629,049 Updated due to quarterly assessment and reallocation

$ 605,313 Updated due to quarterly assessment and reallocation

$ 582,885 Updated due to quarterly assessment and reallocation

$ 591,532 Updated due to quarterly assessment and reallocation

$ 591,132 Updated due to quarterly assessment and reallocation

$ 591,071 Transfer of cap due to servicing transfer

$ 590,008 Transfer of cap due to servicing transfer

$ 589,938 Transfer of cap due to servicing transfer

$ 589,402 Transfer of cap due to servicing transfer

$ 589,386 Transfer of cap due to servicing transfer

$ 581,601 Transfer of cap due to servicing transfer

$ 580,090 Transfer of cap due to servicing transfer

$ 577,890 Transfer of cap due to servicing transfer

$ 577,783 Transfer of cap due to servicing transfer

$ 577,435 Transfer of cap due to servicing transfer

$ 576,746 Transfer of cap due to servicing transfer

$ 576,573 Transfer of cap due to servicing transfer

Tempe Schools Credit Union Tempe AZ $ 110,000 N/A $ 90,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

The Bryn Mawr Trust Co. Bryn Mawr PA $ 150,000 N/A - Termination of SPA

3 $ 100,000 Transfer of cap due to servicing transfer

The Golden 1 Credit Union Sacramento CA $ 6,160,000 N/A $ 6,450,000 Updated portfolio data from servicer/additional program initial 

cap $ 6,490,000 Updated portfolio data from servicer

$ 3,600,000 Updated portfolio data from servicer

$ 4,206,612 Updated portfolio data from servicer

$ 4,206,608 Updated due to quarterly assessment and reallocation

$ 4,206,604 Updated due to quarterly assessment and reallocation

$ 4,206,569 Updated due to quarterly assessment and reallocation

$ 4,206,560 Updated due to quarterly assessment and reallocation

$ 4,206,546 Updated due to quarterly assessment and reallocation

$ 4,206,544 Updated due to quarterly assessment and reallocation

$ 4,206,536 Updated due to quarterly assessment and reallocation

$ 4,206,532 Updated due to quarterly assessment and reallocation

$ 4,206,531 Updated due to quarterly assessment and reallocation

$ 4,204,119 Updated due to quarterly assessment and reallocation

$ 4,204,035 Updated due to quarterly assessment and reallocation

$ 4,203,733 Updated due to quarterly assessment and reallocation

$ 4,203,717 Updated due to quarterly assessment and reallocation

$ 4,224,307 Updated due to quarterly assessment and reallocation

$ 5,349,512 Updated due to quarterly assessment and reallocation

$ 5,343,844 Updated due to quarterly assessment and reallocation

$ 5,336,040 Updated due to quarterly assessment and reallocation

$ 5,328,758 Updated due to quarterly assessment and reallocation

$ 5,322,708 Updated due to quarterly assessment and reallocation

$ 5,309,632 Updated due to quarterly assessment and reallocation

$ 5,094,716 Reallocation due to MHA program deobligation

$ 5,090,220 Updated due to quarterly assessment and reallocation

$ 5,053,526 Updated due to quarterly assessment and reallocation

$ 5,030,659 Updated due to quarterly assessment and reallocation

$ 5,000,945 Updated due to quarterly assessment and reallocation

$ 4,941,804 Updated due to quarterly assessment and reallocation

$ 4,881,181 Updated due to quarterly assessment and reallocation

$ 4,904,553 Updated due to quarterly assessment and reallocation

$ 4,902,238 Updated due to quarterly assessment and reallocation

12/27/2016 $ (371) $ 4,901,867 Transfer of cap due to servicing transfer

11/29/2016 $ (2,315)

11/07/2016 $ 23,372

10/25/2016 $ (60,623)

09/28/2016 $ (59,141)

07/27/2016 $ (29,714)

06/27/2016 $ (22,867)

05/31/2016 $ (36,694)

03/28/2016 $ (4,496)

02/25/2016 $ (214,916)

12/28/2015 $ (13,076)

09/28/2015 $ (6,050)

06/25/2015 $ (7,282)

04/28/2015 $ (7,804)

03/26/2015 $ (5,668)

12/29/2014 $ 1,125,205

09/29/2014 $ 20,590

07/29/2014 $ (16)

06/26/2014 $ (302)

03/26/2014 $ (84)

12/23/2013 $ (2,412)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (8)

12/27/2012 $ (2)

09/27/2012 $ (14)

06/28/2012 $ (9)

06/29/2011 $ (35)

03/30/2011 $ (4)

01/06/2011 $ (4)

09/30/2010 $ 606,612

07/14/2010 $ (2,890,000)

03/26/2010 $ 40,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 290,000

06/16/2011 $ 100,000

######## Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (150,000)

12/08/2010 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (20,000)

06/21/2018 $ (173)

04/25/2018 $ (689)

03/22/2018 $ (348)

02/26/2018 $ (107)

12/21/2017 $ (2,200)

10/26/2017 $ (1,511)

09/26/2017 $ (7,785)

07/26/2017 $ (16)

06/26/2017 $ (536)

04/26/2017 $ (70)

02/27/2017 $ (1,063)

12/27/2016 $ (61)

11/29/2016 $ (400)

11/07/2016 $ 8,647

10/25/2016 $ (22,428)

09/28/2016 $ (23,736)

07/27/2016 $ (13,572)

06/27/2016 $ (13,568)

05/31/2016 $ (22,713)

03/28/2016 $ (2,635)

02/25/2016 $ (126,159)

12/28/2015 $ (33,352)

09/28/2015 $ (42,234)

06/25/2015 $ (30,757)

04/28/2015 $ (123,650)

03/26/2015 $ (32,953)

12/29/2014 $ (82,551)

09/29/2014 $ (784)

07/29/2014 $ (2,373)

06/26/2014 $ (1,195)

157
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 4,894,919 Transfer of cap due to servicing transfer

$ 4,894,455 Transfer of cap due to servicing transfer

$ 4,890,882 Transfer of cap due to servicing transfer

$ 4,890,774 Transfer of cap due to servicing transfer

$ 4,853,944 Transfer of cap due to servicing transfer

$ 4,848,804 Transfer of cap due to servicing transfer

$ 4,841,879 Transfer of cap due to servicing transfer

$ 4,841,542 Transfer of cap due to servicing transfer

$ 4,840,442 Transfer of cap due to servicing transfer

$ 4,838,266 Transfer of cap due to servicing transfer

$ 4,837,857 Transfer of cap due to servicing transfer

The Provident Bank Jersey City NJ - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

- Termination of SPA

U.S. Bank National Association Owensboro KY $ 114,220,000 N/A $ 139,140,000 Updated portfolio data from servicer/additional program initial 

cap $ 188,550,000 Updated portfolio data from servicer/additional program initial 

cap $ 230,380,000 Updated portfolio data from servicer

$ 144,600,000 Updated portfolio data from servicer

$ 181,174,444 Updated portfolio data from servicer

$ 181,174,284 Updated due to quarterly assessment and reallocation

$ 181,174,112 Updated due to quarterly assessment and reallocation

$ 181,172,681 Updated due to quarterly assessment and reallocation

$ 181,171,935 Updated due to quarterly assessment and reallocation

$ 181,170,009 Updated due to quarterly assessment and reallocation

$ 181,169,701 Updated due to quarterly assessment and reallocation

$ 181,168,566 Updated due to quarterly assessment and reallocation

$ 181,168,148 Updated due to quarterly assessment and reallocation

$ 181,168,009 Updated due to quarterly assessment and reallocation

$ 180,955,932 Updated due to quarterly assessment and reallocation

$ 180,949,541 Updated due to quarterly assessment and reallocation

$ 180,878,332 Updated due to quarterly assessment and reallocation

$ 180,752,547 Updated due to quarterly assessment and reallocation

$ 180,713,453 Updated due to quarterly assessment and reallocation

$ 207,115,696 Updated due to quarterly assessment and reallocation

$ 207,453,290 Updated due to quarterly assessment and reallocation

$ 258,161,469 Updated due to quarterly assessment and reallocation

$ 258,181,469 Transfer of cap due to servicing transfer

$ 260,181,033 Updated due to quarterly assessment and reallocation

$ 262,349,198 Updated due to quarterly assessment and reallocation

$ 262,339,198 Transfer of cap due to servicing transfer

$ 263,341,892 Updated due to quarterly assessment and reallocation

$ 252,051,044 Reallocation due to MHA program deobligation

$ 251,871,044 Transfer of cap due to servicing transfer

$ 251,662,422 Updated due to quarterly assessment and reallocation

$ 251,572,422 Transfer of cap due to servicing transfer

$ 251,472,422 Transfer of cap due to servicing transfer

$ 250,432,971 Updated due to quarterly assessment and reallocation

$ 250,372,971 Transfer of cap due to servicing transfer

$ 250,114,310 Updated due to quarterly assessment and reallocation

$ 249,891,767 Updated due to quarterly assessment and reallocation

$ 249,871,767 Transfer of cap due to servicing transfer

$ 253,896,377 Updated due to quarterly assessment and reallocation

$ 262,707,082 Updated due to quarterly assessment and reallocation

$ 262,707,082 Updated due to quarterly assessment and reallocation

$ 262,687,082 Transfer of cap due to servicing transfer

$ 262,600,326 Updated due to quarterly assessment and reallocation

$ 262,580,326 Transfer of cap due to servicing transfer

$ 262,567,033 Transfer of cap due to servicing transfer

$ 262,272,589 Transfer of cap due to servicing transfer

$ 262,253,631 Transfer of cap due to servicing transfer

$ 262,111,885 Transfer of cap due to servicing transfer

$ 262,107,337 Transfer of cap due to servicing transfer

$ 262,011,969 Transfer of cap due to servicing transfer

$ 261,875,717 Transfer of cap due to servicing transfer

$ 261,714,095 Transfer of cap due to servicing transfer

$ 261,705,769 Transfer of cap due to servicing transfer

$ 261,688,147 Transfer of cap due to servicing transfer

$ 261,633,242 Transfer of cap due to servicing transfer

$ 261,615,181 Transfer of cap due to servicing transfer

######## Umpqua Bank Tigard OR Purchase Financial Instrument for Home Loan Modifications - N/A 05/16/2016 $ 590,000 $ 590,000 Transfer of cap due to servicing transfer

06/21/2018 $ (18,061)

04/25/2018 $ (54,905)

03/22/2018 $ (17,622)

02/26/2018 $ (8,326)

12/21/2017 $ (161,622)

10/26/2017 $ (136,252)

09/26/2017 $ (95,368)

07/26/2017 $ (4,548)

06/26/2017 $ (141,746)

04/26/2017 $ (18,958)

02/27/2017 $ (294,444)

12/27/2016 $ (13,293)

12/15/2016 $ (20,000)

11/29/2016 $ (86,756)

11/16/2016 $ (20,000)

11/07/2016 -

10/25/2016 $ 8,810,705

09/28/2016 $ 4,024,610

09/15/2016 $ (20,000)

07/27/2016 $ (222,543)

06/27/2016 $ (258,661)

06/16/2016 $ (60,000)

05/31/2016 $ (1,039,451)

05/16/2016 $ (100,000)

04/14/2016 $ (90,000)

03/28/2016 $ (208,622)

03/16/2016 $ (180,000)

02/25/2016 $ (11,290,848)

12/28/2015 $ 1,002,694

11/16/2015 $ (10,000)

09/28/2015 $ 2,168,165

06/25/2015 $ 1,999,564

06/16/2015 $ 20,000

04/28/2015 $ 50,708,179

03/26/2015 $ 337,594

12/29/2014 $ 26,402,243

09/29/2014 $ (39,094)

07/29/2014 $ (125,785)

06/26/2014 $ (71,209)

03/26/2014 $ (6,391)

12/23/2013 $ (212,077)

09/27/2013 $ (139)

06/27/2013 $ (418)

03/25/2013 $ (1,135)

12/27/2012 $ (308)

09/27/2012 $ (1,926)

06/28/2012 $ (746)

06/29/2011 $ (1,431)

03/30/2011 $ (172)

01/06/2011 $ (160)

09/30/2010 $ 36,574,444

07/14/2010 $ (85,780,000)

03/26/2010 $ 41,830,000

12/30/2009 $ 49,410,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 24,920,000

08/16/2017 $ (30,000)

07/14/2016 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 10/16/2014 $ 20,000

06/21/2018 $ (409)

04/25/2018 $ (2,176)

03/22/2018 $ (1,100)

02/26/2018 $ (337)

12/21/2017 $ (6,925)

10/26/2017 $ (5,140)

09/26/2017 $ (36,830)

07/26/2017 $ (108)

06/26/2017 $ (3,573)

04/26/2017 $ (464)

02/27/2017 $ (6,948)

158
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 584,146 Updated due to quarterly assessment and reallocation

$ 30,001 Transfer of cap due to servicing transfer

3 $ 550,001 Transfer of cap due to servicing transfer

$ 639,908 Updated due to quarterly assessment and reallocation

$ 634,762 Updated due to quarterly assessment and reallocation

$ 629,900 Updated due to quarterly assessment and reallocation

$ 631,774 Updated due to quarterly assessment and reallocation

$ 631,472 Updated due to quarterly assessment and reallocation

$ 631,416 Transfer of cap due to servicing transfer

$ 630,188 Transfer of cap due to servicing transfer

$ 630,107 Transfer of cap due to servicing transfer

$ 629,416 Transfer of cap due to servicing transfer

$ 629,395 Transfer of cap due to servicing transfer

$ 615,699 Transfer of cap due to servicing transfer

$ 613,991 Transfer of cap due to servicing transfer

$ 612,202 Transfer of cap due to servicing transfer

$ 612,029 Transfer of cap due to servicing transfer

$ 611,465 Transfer of cap due to servicing transfer

$ 610,342 Transfer of cap due to servicing transfer

$ 610,128 Transfer of cap due to servicing transfer

United Bank Griffin GA $ 540,000 N/A $ 700,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 725,265 Updated due to quarterly assessment and reallocation

$ 725,257 Updated due to quarterly assessment and reallocation

$ 725,235 Updated due to quarterly assessment and reallocation

$ 725,231 Updated due to quarterly assessment and reallocation

$ 725,217 Updated due to quarterly assessment and reallocation

$ 725,212 Updated due to quarterly assessment and reallocation

$ 725,210 Updated due to quarterly assessment and reallocation

$ 721,989 Updated due to quarterly assessment and reallocation

$ 721,876 Updated due to quarterly assessment and reallocation

$ 720,539 Updated due to quarterly assessment and reallocation

$ 717,884 Updated due to quarterly assessment and reallocation

$ 717,007 Updated due to quarterly assessment and reallocation

$ 610,783 Updated due to quarterly assessment and reallocation

$ 570,834 Updated due to quarterly assessment and reallocation

$ 550,694 Updated due to quarterly assessment and reallocation

$ 545,173 Updated due to quarterly assessment and reallocation

$ 531,021 Updated due to quarterly assessment and reallocation

$ 520,547 Updated due to quarterly assessment and reallocation

$ 462,225 Reallocation due to MHA program deobligation

$ 460,543 Updated due to quarterly assessment and reallocation

$ 446,135 Updated due to quarterly assessment and reallocation

$ 437,528 Updated due to quarterly assessment and reallocation

$ 427,798 Updated due to quarterly assessment and reallocation

$ 403,517 Updated due to quarterly assessment and reallocation

$ 372,795 Updated due to quarterly assessment and reallocation

$ 384,640 Updated due to quarterly assessment and reallocation

$ 384,275 Updated due to quarterly assessment and reallocation

$ 384,213 Transfer of cap due to servicing transfer

$ 383,131 Transfer of cap due to servicing transfer

$ 383,045 Transfer of cap due to servicing transfer

$ 382,264 Transfer of cap due to servicing transfer

$ 382,225 Transfer of cap due to servicing transfer

$ 325,520 Transfer of cap due to servicing transfer

$ 318,488 Transfer of cap due to servicing transfer

$ 310,536 Transfer of cap due to servicing transfer

$ 310,150 Transfer of cap due to servicing transfer

$ 308,891 Transfer of cap due to servicing transfer

$ 306,402 Transfer of cap due to servicing transfer

$ 305,892 Transfer of cap due to servicing transfer

United Bank Mortgage Corporation Grand Rapids MI $ 410,000 N/A $ 430,000 Updated portfolio data from servicer/additional program initial 

cap $ 830,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

06/29/2011 $ (5) $ 580,215 Updated due to quarterly assessment and reallocation

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 180,222

07/14/2010 $ (430,000)

03/26/2010 $ 400,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

06/21/2018 $ (510)

04/25/2018 $ (2,489)

03/22/2018 $ (1,259)

02/26/2018 $ (386)

12/21/2017 $ (7,952)

10/26/2017 $ (7,032)

09/26/2017 $ (56,705)

07/26/2017 $ (39)

06/26/2017 $ (781)

04/26/2017 $ (86)

02/27/2017 $ (1,082)

12/27/2016 $ (62)

11/29/2016 $ (365)

11/07/2016 $ 11,845

10/25/2016 $ (30,722)

09/28/2016 $ (24,281)

07/27/2016 $ (9,730)

06/27/2016 $ (8,607)

05/31/2016 $ (14,408)

03/28/2016 $ (1,682)

02/25/2016 $ (58,322)

12/28/2015 $ (10,474)

09/28/2015 $ (14,152)

06/25/2015 $ (5,521)

04/28/2015 $ (20,140)

03/26/2015 $ (39,949)

12/29/2014 $ (106,224)

09/29/2014 $ (877)

07/29/2014 $ (2,655)

06/26/2014 $ (1,337)

03/26/2014 $ (113)

12/23/2013 $ (3,221)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (14)

12/27/2012 $ (4)

09/27/2012 $ (22)

06/28/2012 $ (8)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 25,278

######## Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 160,000

06/21/2018 $ (214)

04/25/2018 $ (1,123)

03/22/2018 $ (564)

02/26/2018 $ (173)

12/21/2017 $ (1,789)

10/26/2017 $ (1,708)

09/26/2017 $ (13,696)

07/26/2017 $ (21)

06/26/2017 $ (691)

04/26/2017 $ (81)

02/27/2017 $ (1,228)

12/27/2016 $ (56)

11/29/2016 $ (302)

11/07/2016 $ 1,874

10/25/2016 $ (4,862)

09/28/2016 $ (5,146)

07/27/2016 $ 89,907

07/14/2016 $ 520,000

06/16/2016 $ (554,145)

05/31/2016 $ (5,854)

159
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 580,211 Updated due to quarterly assessment and reallocation

$ 580,200 Updated due to quarterly assessment and reallocation

$ 580,198 Updated due to quarterly assessment and reallocation

$ 580,191 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,188 Updated due to quarterly assessment and reallocation

$ 578,717 Updated due to quarterly assessment and reallocation

$ 578,665 Updated due to quarterly assessment and reallocation

$ 578,052 Updated due to quarterly assessment and reallocation

$ 576,835 Updated due to quarterly assessment and reallocation

$ 576,432 Updated due to quarterly assessment and reallocation

$ 542,642 Updated due to quarterly assessment and reallocation

$ 529,934 Updated due to quarterly assessment and reallocation

$ 519,559 Updated due to quarterly assessment and reallocation

$ 517,098 Updated due to quarterly assessment and reallocation

$ 511,552 Updated due to quarterly assessment and reallocation

$ 507,448 Updated due to quarterly assessment and reallocation

$ 479,784 Reallocation due to MHA program deobligation

$ 479,206 Updated due to quarterly assessment and reallocation

$ 474,683 Updated due to quarterly assessment and reallocation

$ 471,981 Updated due to quarterly assessment and reallocation

$ 469,279 Updated due to quarterly assessment and reallocation

$ 464,553 Updated due to quarterly assessment and reallocation

$ 460,087 Updated due to quarterly assessment and reallocation

$ 461,809 Updated due to quarterly assessment and reallocation

$ 461,582 Updated due to quarterly assessment and reallocation

$ 461,547 Transfer of cap due to servicing transfer

$ 460,946 Transfer of cap due to servicing transfer

$ 460,907 Transfer of cap due to servicing transfer

$ 460,604 Transfer of cap due to servicing transfer

$ 460,595 Transfer of cap due to servicing transfer

$ 459,398 Transfer of cap due to servicing transfer

$ 459,250 Transfer of cap due to servicing transfer

$ 459,095 Transfer of cap due to servicing transfer

$ 459,087 Transfer of cap due to servicing transfer

$ 459,063 Transfer of cap due to servicing transfer

$ 459,015 Transfer of cap due to servicing transfer

$ 459,006 Transfer of cap due to servicing transfer

University First Federal Credit Union Salt Lake City UT $ 600,000 N/A $ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

- Termination of SPA

Urban Partnership Bank Chicago IL - N/A 3 $ 1,000,000 Transfer of cap due to servicing transfer

$ 1,233,268 Updated due to quarterly assessment and reallocation

$ 1,333,268 Transfer of cap due to servicing transfer

$ 1,333,265 Updated due to quarterly assessment and reallocation

$ 1,333,255 Updated due to quarterly assessment and reallocation

$ 1,333,253 Updated due to quarterly assessment and reallocation

$ 1,333,246 Updated due to quarterly assessment and reallocation

$ 1,333,243 Updated due to quarterly assessment and reallocation

$ 1,333,242 Updated due to quarterly assessment and reallocation

$ 1,331,498 Updated due to quarterly assessment and reallocation

$ 1,331,436 Updated due to quarterly assessment and reallocation

$ 1,330,701 Updated due to quarterly assessment and reallocation

$ 1,329,238 Updated due to quarterly assessment and reallocation

$ 1,328,740 Updated due to quarterly assessment and reallocation

$ 1,316,640 Updated due to quarterly assessment and reallocation

$ 1,311,525 Updated due to quarterly assessment and reallocation

$ 1,288,326 Updated due to quarterly assessment and reallocation

$ 1,282,799 Updated due to quarterly assessment and reallocation

$ 1,273,158 Updated due to quarterly assessment and reallocation

$ 1,266,023 Updated due to quarterly assessment and reallocation

$ 1,205,351 Reallocation due to MHA program deobligation

$ 1,204,084 Updated due to quarterly assessment and reallocation

$ 1,194,164 Updated due to quarterly assessment and reallocation

$ 1,188,238 Updated due to quarterly assessment and reallocation

$ 1,128,238 Transfer of cap due to servicing transfer

$ 1,125,897 Updated due to quarterly assessment and reallocation

$ 1,121,803 Updated due to quarterly assessment and reallocation

$ 1,117,935 Updated due to quarterly assessment and reallocation

11/07/2016 $ 1,491 $ 1,119,426 Updated due to quarterly assessment and reallocation

10/25/2016 $ (3,868)

09/28/2016 $ (4,094)

07/27/2016 $ (2,341)

07/14/2016 $ (60,000)

06/27/2016 $ (5,926)

05/31/2016 $ (9,920)

03/28/2016 $ (1,267)

02/25/2016 $ (60,672)

12/28/2015 $ (7,135)

09/28/2015 $ (9,641)

06/25/2015 $ (5,527)

04/28/2015 $ (23,199)

03/26/2015 $ (5,115)

12/29/2014 $ (12,100)

09/29/2014 $ (498)

07/29/2014 $ (1,463)

06/26/2014 $ (735)

03/26/2014 $ (62)

12/23/2013 $ (1,744)

09/27/2013 $ (1)

06/27/2013 $ (3)

03/25/2013 $ (7)

12/27/2012 $ (2)

09/27/2012 $ (10)

06/28/2012 $ (3)

11/16/2011 $ 100,000

06/29/2011 $ 233,268

######## Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 1,000,000

02/17/2011 $ (870,333)

01/06/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 270,334

06/21/2018 $ (9)

04/25/2018 $ (48)

03/22/2018 $ (24)

02/26/2018 $ (8)

12/21/2017 $ (155)

10/26/2017 $ (148)

09/26/2017 $ (1,197)

07/26/2017 $ (9)

06/26/2017 $ (303)

04/26/2017 $ (39)

02/27/2017 $ (601)

12/27/2016 $ (35)

11/29/2016 $ (227)

11/07/2016 $ 1,722

10/25/2016 $ (4,466)

09/28/2016 $ (4,726)

07/27/2016 $ (2,702)

06/27/2016 $ (2,702)

05/31/2016 $ (4,523)

03/28/2016 $ (578)

02/25/2016 $ (27,664)

12/28/2015 $ (4,104)

09/28/2015 $ (5,546)

06/25/2015 $ (2,461)

04/28/2015 $ (10,375)

03/26/2015 $ (12,708)

12/29/2014 $ (33,790)

09/29/2014 $ (403)

07/29/2014 $ (1,217)

06/26/2014 $ (613)

03/26/2014 $ (52)

12/23/2013 $ (1,471)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (7)

12/27/2012 $ (2)

09/27/2012 $ (11)

06/28/2012 $ (4)

160
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 1,118,922 Updated due to quarterly assessment and reallocation

$ 1,118,845 Transfer of cap due to servicing transfer

$ 1,117,509 Transfer of cap due to servicing transfer

$ 1,117,421 Transfer of cap due to servicing transfer

$ 1,116,748 Transfer of cap due to servicing transfer

$ 1,116,728 Transfer of cap due to servicing transfer

$ 1,116,396 Transfer of cap due to servicing transfer

$ 1,116,355 Transfer of cap due to servicing transfer

$ 1,116,312 Transfer of cap due to servicing transfer

$ 1,116,310 Transfer of cap due to servicing transfer

$ 1,116,303 Transfer of cap due to servicing transfer

$ 1,116,290 Transfer of cap due to servicing transfer

$ 1,116,287 Transfer of cap due to servicing transfer

Verity Credit Union Seattle WA $ 600,000 N/A $ 630,000 Updated portfolio data from servicer/additional program initial 

cap $ 1,030,000 Updated portfolio data from servicer

$ 700,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

- Termination of SPA

ViewPoint Bank Plano TX - N/A 3 $ 50,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

VIST Financial Corp Wyomissing PA $ 300,000 N/A $ 700,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 725,265 Updated due to quarterly assessment and reallocation

$ 725,257 Updated due to quarterly assessment and reallocation

$ 725,235 Updated due to quarterly assessment and reallocation

$ 725,231 Updated due to quarterly assessment and reallocation

$ 725,217 Updated due to quarterly assessment and reallocation

$ 725,212 Updated due to quarterly assessment and reallocation

$ 725,210 Updated due to quarterly assessment and reallocation

$ 721,989 Updated due to quarterly assessment and reallocation

$ 721,876 Updated due to quarterly assessment and reallocation

- Termination of SPA

Wachovia Bank, N.A. Charlotte NC $ 85,020,000 N/A $ 47,320,000 Updated portfolio data from servicer/additional program initial 

cap $ 73,480,000 Updated portfolio data from servicer/additional program initial 

cap $ 83,300,000 Updated portfolio data from servicer

$ 37,100,000 Updated portfolio data from servicer

$ 8,413,225 Updated portfolio data from servicer

- Termination of SPA

Wachovia Mortgage, FSB Des Moines IA $ 634,010,000 N/A $ 1,357,890,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,050,530,000 Updated portfolio data from servicer/additional program initial 

cap $ 293,656 Transfer of cap due to merger/acquisition

2 $ 238,890 Termination of SPA

WALLICK AND VOLK Cheyenne WY - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

Wealthbridge Mortgage Corp Beaverton OR $ 6,550,000 N/A $ 6,400,000 Updated portfolio data from servicer

$ 8,000,000 Transfer of cap due to servicing transfer

$ 3,647,827 Updated portfolio data from servicer

$ 3,647,822 Updated due to quarterly assessment and reallocation

$ 3,647,816 Updated due to quarterly assessment and reallocation

$ 647,816 Transfer of cap due to servicing transfer

$ 647,807 Updated due to quarterly assessment and reallocation

$ 647,800 Updated due to quarterly assessment and reallocation

$ 647,781 Updated due to quarterly assessment and reallocation

$ 647,778 Updated due to quarterly assessment and reallocation

$ 647,766 Updated due to quarterly assessment and reallocation

$ 647,761 Updated due to quarterly assessment and reallocation

$ 647,759 Updated due to quarterly assessment and reallocation

$ 644,937 Updated due to quarterly assessment and reallocation

- Termination of SPA

Webster Bank, N.A. Cheshire CT - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 16,250 Updated due to quarterly assessment and reallocation

Webster First Federal Credit Union Worcester MA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Wells Fargo Bank, NA Des Moines IA $ 2,873,000,000 N/A $ 2,410,010,000 Updated portfolio data from servicer

$ 2,475,080,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,688,390,000 Updated portfolio data from servicer/additional program initial 

cap $ 5,738,626,344 Transfer of cap due to merger/acquisition

$ 5,738,681,110 Transfer of cap due to merger/acquisition

$ 6,406,790,000 Updated portfolio data from servicer/additional program initial 

cap 03/19/2010 $ 668,108,890

03/12/2010 $ 54,767

02/17/2010 $ 2,050,236,344

12/30/2009 $ 1,213,310,000

09/30/2009 $ 65,070,000

######## Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (462,990,000)

######## Purchase Financial Instrument for Home Loan Modifications 02/13/2015 $ 20,000

12/29/2014 $ 6,250

######## Purchase Financial Instrument for Home Loan Modifications 12/16/2014 $ 10,000

02/27/2014 $ (644,937)

12/23/2013 $ (2,822)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (12)

12/27/2012 $ (3)

09/27/2012 $ (19)

06/28/2012 $ (7)

06/29/2011 $ (9)

04/13/2011 $ (3,000,000)

03/30/2011 $ (6)

01/06/2011 $ (5)

09/30/2010 $ (4,352,173)

09/15/2010 $ 1,600,000

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ (150,000)

######## Purchase Financial Instrument for Home Loan Modifications 04/14/2016 $ 30,000

03/12/2010 $ (54,767)

02/17/2010 $ (2,050,236,344)

12/30/2009 $ 692,640,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 723,880,000

12/03/2010 $ (8,413,225)

09/30/2010 $ (28,686,775)

07/14/2010 $ (46,200,000)

03/26/2010 $ 9,820,000

12/30/2009 $ 26,160,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (37,700,000)

04/23/2014 $ (721,876)

03/26/2014 $ (113)

12/23/2013 $ (3,221)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (14)

12/27/2012 $ (4)

09/27/2012 $ (22)

06/28/2012 $ (8)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 25,278

######## Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ 400,000

12/16/2013 $ 10,000

######## Purchase Financial Instrument for Home Loan Modifications 05/16/2013 $ 50,000

02/17/2011 $ (725,277)

01/06/2011 $ (1)

09/30/2010 $ 25,278

07/14/2010 $ (330,000)

03/26/2010 $ 400,000

######## Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

06/21/2018 $ (3)

04/25/2018 $ (13)

03/22/2018 $ (7)

02/26/2018 $ (2)

12/21/2017 $ (43)

10/26/2017 $ (41)

09/26/2017 $ (332)

07/26/2017 $ (20)

06/26/2017 $ (673)

04/26/2017 $ (88)

02/27/2017 $ (1,336)

12/27/2016 $ (77)

11/29/2016 $ (504)

161
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 7,089,920,000 Updated portfolio data from servicer

$ 5,051,700,000 Updated portfolio data from servicer

$ 4,764,351,172 Updated portfolio data from servicer

$ 5,108,351,172 Updated portfolio data from servicer/additional program initial 

cap $ 5,116,764,397 Transfer of cap due to merger/acquisition

$ 5,138,964,397 Transfer of cap due to servicing transfer

$ 5,138,958,085 Updated due to quarterly assessment and reallocation

$ 5,138,858,085 Transfer of cap due to servicing transfer

$ 5,138,758,085 Transfer of cap due to servicing transfer

$ 5,138,750,914 Updated due to quarterly assessment and reallocation

$ 5,128,950,914 Transfer of cap due to servicing transfer

$ 5,129,050,914 Transfer of cap due to servicing transfer

$ 5,128,450,914 Transfer of cap due to servicing transfer

$ 5,128,387,058 Updated due to quarterly assessment and reallocation

$ 5,126,087,058 Transfer of cap due to servicing transfer

$ 5,124,987,058 Transfer of cap due to servicing transfer

$ 5,126,387,058 Transfer of cap due to servicing transfer

$ 5,126,587,058 Transfer of cap due to servicing transfer

$ 5,126,387,058 Transfer of cap due to servicing transfer

$ 5,126,187,058 Transfer of cap due to servicing transfer

$ 5,125,887,058 Transfer of cap due to servicing transfer

$ 5,125,687,058 Transfer of cap due to servicing transfer

$ 5,124,687,058 Transfer of cap due to servicing transfer

$ 5,123,887,058 Transfer of cap due to servicing transfer

$ 5,123,277,058 Transfer of cap due to servicing transfer

$ 5,121,237,058 Transfer of cap due to servicing transfer

$ 5,121,197,135 Updated due to quarterly assessment and reallocation

$ 5,121,077,135 Transfer of cap due to servicing transfer

$ 5,120,973,024 Updated due to quarterly assessment and reallocation

$ 5,119,383,024 Transfer of cap due to servicing transfer

$ 5,116,473,024 Transfer of cap due to servicing transfer

$ 5,115,323,024 Transfer of cap due to servicing transfer

$ 5,115,306,632 Updated due to quarterly assessment and reallocation

$ 5,111,956,632 Transfer of cap due to servicing transfer

$ 5,111,136,632 Transfer of cap due to servicing transfer

$ 5,110,866,632 Transfer of cap due to servicing transfer

$ 5,110,807,923 Updated due to quarterly assessment and reallocation

$ 5,110,767,923 Transfer of cap due to servicing transfer

$ 5,105,447,923 Transfer of cap due to servicing transfer

$ 5,104,187,923 Transfer of cap due to servicing transfer

$ 5,104,167,327 Updated due to quarterly assessment and reallocation

$ 5,102,967,327 Transfer of cap due to servicing transfer

$ 5,102,937,327 Transfer of cap due to servicing transfer

$ 5,092,177,327 Transfer of cap due to servicing transfer

$ 5,092,170,626 Updated due to quarterly assessment and reallocation

$ 5,091,390,626 Transfer of cap due to servicing transfer

$ 5,091,330,626 Transfer of cap due to servicing transfer

$ 5,090,470,626 Transfer of cap due to servicing transfer

$ 5,079,901,322 Updated due to quarterly assessment and reallocation

$ 5,077,911,322 Transfer of cap due to servicing transfer

$ 5,077,741,322 Transfer of cap due to servicing transfer

$ 5,077,661,322 Transfer of cap due to servicing transfer

$ 5,077,302,756 Updated due to quarterly assessment and reallocation

$ 5,072,742,756 Transfer of cap due to servicing transfer

$ 5,072,182,756 Transfer of cap due to servicing transfer

$ 5,071,942,756 Transfer of cap due to servicing transfer

$ 5,067,872,336 Updated due to quarterly assessment and reallocation

$ 5,068,122,336 Transfer of cap due to servicing transfer

$ 5,060,087,283 Updated due to quarterly assessment and reallocation

$ 5,060,097,283 Transfer of cap due to servicing transfer

$ 5,060,077,283 Transfer of cap due to servicing transfer

$ 5,057,470,266 Updated due to quarterly assessment and reallocation

$ 5,057,320,266 Transfer of cap due to servicing transfer

$ 5,057,300,266 Transfer of cap due to servicing transfer

$ 5,054,580,266 Transfer of cap due to servicing transfer

$ 4,887,008,148 Updated due to quarterly assessment and reallocation

$ 4,886,998,148 Transfer of cap due to servicing transfer

$ 4,886,958,148 Transfer of cap due to servicing transfer

$ 4,886,778,148 Transfer of cap due to servicing transfer

03/26/2015 $ (54,309,222) $ 4,832,468,926 Updated due to quarterly assessment and reallocation

03/16/2015 $ (180,000)

02/13/2015 $ (40,000)

01/15/2015 $ (10,000)

12/29/2014 $ (167,572,118)

12/16/2014 $ (2,720,000)

11/14/2014 $ (20,000)

10/16/2014 $ (150,000)

09/29/2014 $ (2,607,017)

09/16/2014 $ (20,000)

08/14/2014 $ 10,000

07/29/2014 $ (8,035,053)

07/16/2014 $ 250,000

06/26/2014 $ (4,070,420)

06/16/2014 $ (240,000)

05/15/2014 $ (560,000)

04/16/2014 $ (4,560,000)

03/26/2014 $ (358,566)

03/14/2014 $ (80,000)

02/13/2014 $ (170,000)

01/16/2014 $ (1,990,000)

12/23/2013 $ (10,569,304)

12/16/2013 $ (860,000)

11/14/2013 $ (60,000)

10/15/2013 $ (780,000)

09/27/2013 $ (6,701)

09/16/2013 $ (10,760,000)

08/15/2013 $ (30,000)

07/16/2013 $ (1,200,000)

06/27/2013 $ (20,596)

06/14/2013 $ (1,260,000)

05/16/2013 $ (5,320,000)

04/16/2013 $ (40,000)

03/25/2013 $ (58,709)

03/14/2013 $ (270,000)

02/14/2013 $ (820,000)

01/16/2013 $ (3,350,000)

12/27/2012 $ (16,392)

12/14/2012 $ (1,150,000)

11/15/2012 $ (2,910,000)

10/16/2012 $ (1,590,000)

09/27/2012 $ (104,111)

08/16/2012 $ (120,000)

06/28/2012 $ (39,923)

06/14/2012 $ (2,040,000)

05/16/2012 $ (610,000)

04/16/2012 $ (800,000)

03/15/2012 $ (1,000,000)

02/16/2012 $ (200,000)

01/13/2012 $ (300,000)

12/15/2011 $ (200,000)

11/16/2011 $ (200,000)

10/14/2011 $ 200,000

09/15/2011 $ 1,400,000

08/16/2011 $ (1,100,000)

07/14/2011 $ (2,300,000)

06/29/2011 $ (63,856)

06/16/2011 $ (600,000)

05/13/2011 $ 100,000

04/13/2011 $ (9,800,000)

03/30/2011 $ (7,171)

03/16/2011 $ (100,000)

01/13/2011 $ (100,000)

01/06/2011 $ (6,312)

12/15/2010 $ 22,200,000

12/03/2010 $ 8,413,225

09/30/2010 $ 344,000,000

09/30/2010 $ (287,348,828)

07/14/2010 $ (2,038,220,000)

03/26/2010 $ 683,130,000

162
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 4,827,618,926 Transfer of cap due to servicing transfer

$ 4,733,986,526 Updated due to quarterly assessment and reallocation

$ 4,725,456,526 Transfer of cap due to servicing transfer

$ 4,708,472,532 Updated due to quarterly assessment and reallocation

$ 4,707,262,532 Transfer of cap due to servicing transfer

$ 4,697,392,532 Transfer of cap due to servicing transfer

$ 4,693,112,532 Transfer of cap due to servicing transfer

$ 4,680,964,613 Updated due to quarterly assessment and reallocation

$ 4,679,404,613 Transfer of cap due to servicing transfer

$ 4,677,324,613 Transfer of cap due to servicing transfer

$ 4,664,114,613 Transfer of cap due to servicing transfer

$ 4,706,208,875 Updated due to quarterly assessment and reallocation

$ 4,675,928,875 Transfer of cap due to servicing transfer

$ 4,675,308,875 Transfer of cap due to servicing transfer

$ 4,522,749,621 Reallocation due to MHA program deobligation

$ 4,522,129,621 Transfer of cap due to servicing transfer

$ 4,520,066,714 Updated due to quarterly assessment and reallocation

$ 4,520,006,714 Transfer of cap due to servicing transfer

$ 4,516,426,714 Transfer of cap due to servicing transfer

$ 4,508,238,984 Updated due to quarterly assessment and reallocation

$ 4,504,718,984 Transfer of cap due to servicing transfer

$ 4,503,343,498 Updated due to quarterly assessment and reallocation

$ 4,460,003,498 Transfer of cap due to servicing transfer

$ 4,488,970,211 Updated due to quarterly assessment and reallocation

$ 4,488,990,211 Transfer of cap due to servicing transfer

$ 4,488,110,211 Transfer of cap due to servicing transfer

$ 4,512,101,739 Updated due to quarterly assessment and reallocation

$ 4,497,411,739 Transfer of cap due to servicing transfer

$ 4,519,881,361 Updated due to quarterly assessment and reallocation

$ 4,519,881,361 Updated due to quarterly assessment and reallocation

$ 4,495,311,361 Transfer of cap due to servicing transfer

$ 4,493,466,084 Updated due to quarterly assessment and reallocation

$ 4,480,326,084 Transfer of cap due to servicing transfer

$ 4,480,042,460 Transfer of cap due to servicing transfer

$ 4,478,792,460 Transfer of cap due to servicing transfer

$ 4,477,092,460 Transfer of cap due to servicing transfer

$ 4,472,104,912 Transfer of cap due to servicing transfer

$ 4,451,214,912 Transfer of cap due to servicing transfer

$ 4,450,870,030 Transfer of cap due to servicing transfer

$ 4,448,048,945 Transfer of cap due to servicing transfer

$ 4,447,959,849 Transfer of cap due to servicing transfer

$ 4,421,888,153 Transfer of cap due to servicing transfer

$ 4,417,387,316 Transfer of cap due to servicing transfer

$ 4,408,360,780 Transfer of cap due to servicing transfer

$ 4,407,791,270 Transfer of cap due to servicing transfer

$ 4,405,569,953 Transfer of cap due to servicing transfer

$ 4,400,897,138 Transfer of cap due to servicing transfer

$ 4,399,899,305 Transfer of cap due to servicing transfer

WesBanco Bank, Inc. Wheeling WV - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Wescom Central Credit Union Anaheim CA $ 540,000 N/A $ 870,000 Updated portfolio data from servicer/additional program initial 

cap $ 17,360,000 Updated portfolio data from servicer/additional program initial 

cap $ 3,100,000 Updated portfolio data from servicer

$ 1,300,000 Updated portfolio data from servicer

$ 2,800,000 Updated portfolio data from servicer

$ 4,351,668 Updated portfolio data from servicer

$ 4,351,666 Updated due to quarterly assessment and reallocation

$ 4,351,664 Updated due to quarterly assessment and reallocation

$ 2,551,664 Transfer of cap due to servicing transfer

6 $ 678,877 Termination of SPA

3 $ 1,668,877 Transfer of cap due to servicing transfer

$ 2,041,054 Updated due to quarterly assessment and reallocation

$ 2,040,862 Updated due to quarterly assessment and reallocation

$ 2,040,854 Updated due to quarterly assessment and reallocation

$ 2,040,752 Updated due to quarterly assessment and reallocation

$ 2,040,545 Updated due to quarterly assessment and reallocation

$ 2,040,469 Updated due to quarterly assessment and reallocation

$ 2,506,362 Updated due to quarterly assessment and reallocation

$ 2,506,338 Updated due to quarterly assessment and reallocation

$ 2,504,047 Updated due to quarterly assessment and reallocation

06/25/2015 $ (2,058) $ 2,501,989 Updated due to quarterly assessment and reallocation

04/28/2015 $ (2,291)

03/26/2015 $ (24)

12/29/2014 $ 465,893

09/29/2014 $ (76)

07/29/2014 $ (207)

06/26/2014 $ (102)

03/26/2014 $ (8)

12/23/2013 $ (192)

09/27/2012 $ 372,177

06/14/2012 $ 990,000

06/03/2011 $ (1,872,787)

05/13/2011 $ (1,800,000)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 1,551,668

07/30/2010 $ 1,500,000

07/14/2010 $ (1,800,000)

03/26/2010 $ (14,260,000)

12/30/2009 $ 16,490,000

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 330,000

######## Purchase Financial Instrument for Home Loan Modifications 11/16/2016 $ 20,000

06/21/2018 $ (997,833)

04/25/2018 $ (4,672,815)

03/22/2018 $ (2,221,317)

02/26/2018 $ (569,510)

12/21/2017 $ (9,026,536)

10/26/2017 $ (4,500,837)

09/26/2017 $ (26,071,696)

07/26/2017 $ (89,096)

06/26/2017 $ (2,821,085)

04/26/2017 $ (344,882)

03/16/2017 $ (20,890,000)

02/27/2017 $ (4,987,548)

02/16/2017 $ (1,700,000)

01/13/2017 $ (1,250,000)

12/27/2016 $ (283,624)

12/15/2016 $ (13,140,000)

11/29/2016 $ (1,845,277)

11/16/2016 $ (24,570,000)

11/07/2016 -

10/25/2016 $ 22,469,622

10/14/2016 $ (14,690,000)

09/28/2016 $ 23,991,528

09/15/2016 $ (880,000)

08/16/2016 $ 20,000

07/27/2016 $ 28,966,713

07/14/2016 $ (43,340,000)

06/27/2016 $ (1,375,486)

06/16/2016 $ (3,520,000)

05/31/2016 $ (8,187,730)

05/16/2016 $ (3,580,000)

04/14/2016 $ (60,000)

03/28/2016 $ (2,062,907)

03/16/2016 $ (620,000)

02/25/2016 $ (152,559,254)

02/16/2016 $ (620,000)

01/14/2016 $ (30,280,000)

12/28/2015 $ 42,094,262

12/16/2015 $ (13,210,000)

11/16/2015 $ (2,080,000)

10/15/2015 $ (1,560,000)

09/28/2015 $ (12,147,919)

09/16/2015 $ (4,280,000)

08/14/2015 $ (9,870,000)

07/16/2015 $ (1,210,000)

06/25/2015 $ (16,983,994)

05/14/2015 $ (8,530,000)

04/28/2015 $ (93,632,400)

04/16/2015 $ (4,850,000)

163
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 2,496,981 Updated due to quarterly assessment and reallocation

$ 2,491,234 Updated due to quarterly assessment and reallocation

$ 2,394,139 Reallocation due to MHA program deobligation

$ 2,391,802 Updated due to quarterly assessment and reallocation

$ 2,372,265 Updated due to quarterly assessment and reallocation

$ 2,359,653 Updated due to quarterly assessment and reallocation

$ 2,347,037 Updated due to quarterly assessment and reallocation

$ 2,324,974 Updated due to quarterly assessment and reallocation

$ 2,304,126 Updated due to quarterly assessment and reallocation

$ 2,312,163 Updated due to quarterly assessment and reallocation

$ 2,311,037 Updated due to quarterly assessment and reallocation

$ 2,310,865 Transfer of cap due to servicing transfer

$ 2,307,883 Transfer of cap due to servicing transfer

$ 2,307,688 Transfer of cap due to servicing transfer

$ 2,306,185 Transfer of cap due to servicing transfer

$ 2,306,140 Transfer of cap due to servicing transfer

$ 2,300,706 Transfer of cap due to servicing transfer

$ 2,300,032 Transfer of cap due to servicing transfer

$ 2,299,330 Transfer of cap due to servicing transfer

$ 2,299,296 Transfer of cap due to servicing transfer

$ 2,299,185 Transfer of cap due to servicing transfer

$ 2,298,965 Transfer of cap due to servicing transfer

$ 2,298,924 Transfer of cap due to servicing transfer

Western Federal Credit Union Hawthorne CA - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 217,687 Updated due to quarterly assessment and reallocation

$ 217,686 Updated due to quarterly assessment and reallocation

$ 217,685 Updated due to quarterly assessment and reallocation

$ 217,395 Updated due to quarterly assessment and reallocation

$ 217,385 Updated due to quarterly assessment and reallocation

$ 217,264 Updated due to quarterly assessment and reallocation

$ 217,024 Updated due to quarterly assessment and reallocation

$ 216,945 Updated due to quarterly assessment and reallocation

$ 214,864 Updated due to quarterly assessment and reallocation

$ 214,082 Updated due to quarterly assessment and reallocation

$ 210,998 Updated due to quarterly assessment and reallocation

$ 210,266 Updated due to quarterly assessment and reallocation

$ 209,289 Updated due to quarterly assessment and reallocation

$ 207,535 Updated due to quarterly assessment and reallocation

$ 196,018 Reallocation due to MHA program deobligation

$ 195,617 Updated due to quarterly assessment and reallocation

$ 192,476 Updated due to quarterly assessment and reallocation

$ 190,600 Updated due to quarterly assessment and reallocation

$ 188,723 Updated due to quarterly assessment and reallocation

$ 185,441 Updated due to quarterly assessment and reallocation

$ 182,340 Updated due to quarterly assessment and reallocation

$ 183,535 Updated due to quarterly assessment and reallocation

$ 183,436 Updated due to quarterly assessment and reallocation

$ 183,421 Transfer of cap due to servicing transfer

$ 183,159 Transfer of cap due to servicing transfer

$ 183,142 Transfer of cap due to servicing transfer

$ 183,010 Transfer of cap due to servicing transfer

$ 183,006 Transfer of cap due to servicing transfer

$ 182,041 Transfer of cap due to servicing transfer

$ 181,921 Transfer of cap due to servicing transfer

$ 181,796 Transfer of cap due to servicing transfer

$ 181,790 Transfer of cap due to servicing transfer

$ 181,770 Transfer of cap due to servicing transfer

$ 181,731 Transfer of cap due to servicing transfer

$ 181,724 Transfer of cap due to servicing transfer

Weststar Mortgage, Inc. Woodbridge VA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

12/29/2014 $ (7,654) $ 136,807 Updated due to quarterly assessment and reallocation

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

######## Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

06/21/2018 $ (7)

04/25/2018 $ (39)

03/22/2018 $ (20)

02/26/2018 $ (6)

12/21/2017 $ (125)

10/26/2017 $ (120)

09/26/2017 $ (965)

07/26/2017 $ (4)

06/26/2017 $ (132)

04/26/2017 $ (17)

02/27/2017 $ (262)

12/27/2016 $ (15)

11/29/2016 $ (99)

11/07/2016 $ 1,195

10/25/2016 $ (3,101)

09/28/2016 $ (3,282)

07/27/2016 $ (1,877)

06/27/2016 $ (1,876)

05/31/2016 $ (3,141)

03/28/2016 $ (401)

02/25/2016 $ (11,517)

12/28/2015 $ (1,754)

09/28/2015 $ (977)

06/25/2015 $ (732)

04/28/2015 $ (3,084)

03/26/2015 $ (782)

12/29/2014 $ (2,081)

09/29/2014 $ (79)

07/29/2014 $ (240)

06/26/2014 $ (121)

03/26/2014 $ (10)

12/23/2013 $ (290)

03/25/2013 $ (1)

09/27/2012 $ (1)

06/29/2011 $ 17,687

######## Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 200,000

06/21/2018 $ (41)

04/25/2018 $ (220)

03/22/2018 $ (111)

02/26/2018 $ (34)

12/21/2017 $ (702)

10/26/2017 $ (674)

09/26/2017 $ (5,434)

07/26/2017 $ (45)

06/26/2017 $ (1,503)

04/26/2017 $ (195)

02/27/2017 $ (2,982)

12/27/2016 $ (172)

11/29/2016 $ (1,126)

11/07/2016 $ 8,037

10/25/2016 $ (20,848)

09/28/2016 $ (22,063)

07/27/2016 $ (12,616)

06/27/2016 $ (12,612)

05/31/2016 $ (19,537)

03/28/2016 $ (2,337)

02/25/2016 $ (97,095)

12/28/2015 $ (5,747)

09/28/2015 $ (5,008)

164
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

Wilshire Credit Corporation Beaverton OR $ 366,000,000 N/A $ 453,130,000 Updated portfolio data from servicer

$ 203,460,000 Updated portfolio data from servicer/additional program initial 

cap $ 323,160,000 Updated portfolio data from servicer/additional program initial 

cap $ 375,430,000 Updated portfolio data from servicer

$ 365,150,000 Transfer of cap due to servicing transfer

$ 363,270,000 Transfer of cap due to servicing transfer

$ 76,760,000 Transfer of cap due to servicing transfer

$ 96,300,000 Updated portfolio data from servicer

$ 96,090,000 Transfer of cap due to servicing transfer

$ 95,990,000 Transfer of cap due to servicing transfer

$ 164,555,782 Updated portfolio data from servicer

$ 164,555,535 Updated due to quarterly assessment and reallocation

$ 164,555,241 Updated due to quarterly assessment and reallocation

$ 164,552,462 Updated due to quarterly assessment and reallocation

7 $ 1,657,394 Termination of SPA

Yadkin Valley Bank Elkin NC $ 240,000 N/A $ 300,000 Updated portfolio data from servicer/additional program initial 

cap $ 650,000 Updated portfolio data from servicer/additional program initial 

cap $ 2,010,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

$ 435,162 Updated due to quarterly assessment and reallocation

$ 435,159 Updated due to quarterly assessment and reallocation

$ 435,152 Updated due to quarterly assessment and reallocation

$ 435,151 Updated due to quarterly assessment and reallocation

$ 435,146 Updated due to quarterly assessment and reallocation

$ 435,144 Updated due to quarterly assessment and reallocation

$ 435,143 Updated due to quarterly assessment and reallocation

$ 433,969 Updated due to quarterly assessment and reallocation

$ 433,926 Updated due to quarterly assessment and reallocation

$ 433,419 Updated due to quarterly assessment and reallocation

$ 432,411 Updated due to quarterly assessment and reallocation

$ 432,078 Updated due to quarterly assessment and reallocation

$ 398,767 Updated due to quarterly assessment and reallocation

$ 386,223 Updated due to quarterly assessment and reallocation

$ 336,065 Updated due to quarterly assessment and reallocation

$ 327,610 Updated due to quarterly assessment and reallocation

$ 316,061 Updated due to quarterly assessment and reallocation

$ 306,493 Updated due to quarterly assessment and reallocation

$ 257,622 Reallocation due to MHA program deobligation

$ 256,601 Updated due to quarterly assessment and reallocation

$ 249,854 Updated due to quarterly assessment and reallocation

$ 245,823 Updated due to quarterly assessment and reallocation

$ 239,550 Updated due to quarterly assessment and reallocation

09/28/2016 $ (10,971) $ 228,579 Updated due to quarterly assessment and reallocation

07/27/2016 $ (6,273)

06/27/2016 $ (4,031)

05/31/2016 $ (6,747)

03/28/2016 $ (1,021)

02/25/2016 $ (48,871)

12/28/2015 $ (9,568)

09/28/2015 $ (11,549)

06/25/2015 $ (8,455)

04/28/2015 $ (50,158)

03/26/2015 $ (12,544)

12/29/2014 $ (33,311)

09/29/2014 $ (333)

07/29/2014 $ (1,008)

06/26/2014 $ (507)

03/26/2014 $ (43)

12/23/2013 $ (1,174)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (5)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (3)

06/29/2011 $ (4)

01/06/2011 $ (1)

09/30/2010 $ 235,167

07/14/2010 $ (1,810,000)

03/26/2010 $ 1,360,000

12/30/2009 $ 350,000

######## Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 60,000

10/19/2011 $ (162,895,068)

06/29/2011 $ (2,779)

03/30/2011 $ (294)

01/06/2011 $ (247)

09/30/2010 $ 68,565,782

08/13/2010 $ (100,000)

07/16/2010 $ (210,000)

07/14/2010 $ 19,540,000

06/16/2010 $ (286,510,000)

05/14/2010 $ (1,880,000)

04/19/2010 $ (10,280,000)

03/26/2010 $ 52,270,000

12/30/2009 $ 119,700,000

09/30/2009 $ (249,670,000)

######## Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 87,130,000

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

165
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on 

Behalf of Borrowers and to 

Servicers & Lenders/Investors (Cap) 

* 

Adjustment 

Date

$ 218,212 Updated due to quarterly assessment and reallocation

$ 222,209 Updated due to quarterly assessment and reallocation

$ 222,045 Updated due to quarterly assessment and reallocation

$ 222,020 Transfer of cap due to servicing transfer

$ 221,472 Transfer of cap due to servicing transfer

$ 221,436 Transfer of cap due to servicing transfer

$ 221,159 Transfer of cap due to servicing transfer

$ 221,158 Transfer of cap due to servicing transfer

$ 221,138 Transfer of cap due to servicing transfer

$ 199,251 Transfer of cap due to servicing transfer

$ 196,537 Transfer of cap due to servicing transfer

$ 193,709 Transfer of cap due to servicing transfer

6 $ 144,486 Termination of SPA

ZB, N.A. Salt Lake City UT - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$

1/

2/

3/

4/

5/

6/

7/

8/

9/

10/

11/

12/

13/

14/

15/

16/

Effective June, 2014, New Penn Financial LLC d/b/a Shellpoint Mortgage Servicing, a AAA servicer, completed the acquisition of Resurgent Mortgage Servicing, from Resurgent Capital Services L.P., also a AAA servicer. The Adjusted Cap of Resurgent Capital Services L.C. stated above represents the amount previously paid to 

Resurgent under their AAA obligations pursuant to certain Servicer Participation Agreements prior to such acquisition.

Effective February 15, 2013, Ocwen Loan Servicing, LLC acquired certain assets of GMAC Mortgage, LLC, pursuant to a Sale Order entered in connection with the bankruptcy cases of Residential Capital, LLC and certain of its affiliated debtors.

* 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.

RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger. 

On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by selling its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above represents the amount previously paid to Saxon Mortgage Services, Inc. prior to ceasing servicing 

operations.

As of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to Aurora Loan Services LLC, prior to ceasing servicing operations.

Effective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion. 

In May 2010, U.S. mortgage servicing business HomEq was sold to Ocwen Loan Servicing. The remaining Adjusted Cap stated above represents the amount previously paid to HomEq prior to such sale. 

In December 2012, Ocwen Financial Corporation completed the acquisition of Homeward Residential, Inc. The remaining Adjusted Cap stated above represents the amount previously paid to Homeward prior to such acquisition. 

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.

On 8/27/10, an amendment was executed to reflect a change in the legal name of the institution.

MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement. 

The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.

Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior to such merger.

In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.

Total CAP $ 27,776,017,701

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. 

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.

Total Initial CAP 23,831,570,005 Total CAP Adjustments $ 3,944,447,696

######## Purchase Financial Instrument for Home Loan Modifications 09/15/2016 $ 20,000

01/16/2018 $ (49,223)

12/21/2017 $ (2,828)

10/26/2017 $ (2,714)

09/26/2017 $ (21,887)

07/26/2017 $ (20)

07/14/2017 $ (1)

06/26/2017 $ (277)

04/26/2017 $ (36)

02/27/2017 $ (548)

12/27/2016 $ (25)

11/29/2016 $ (164)

11/07/2016 $ 3,997

10/25/2016 $ (10,367)

166
Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

21st Mortgage Corporation $ 3,781,196.79 $ 5,494,493.69 $ 1,024,242.91 $ 10,299,933.39

Allstate Mortgage Loans & Investments, Inc $ 18,448.57 $ 12,609.60 $ 8,035.81 $ 39,093.98

Ally Bank $ 811,362.17 $ 2,023,475.43 $ 317,305.59 $ 3,152,143.19

Ameriana Bank $ 8,000.00 $ 8,749.96 $ - $ 16,749.96

Apex Bank $ 147,916.71 $ 110,571.22 $ 9,000.00 $ 267,487.93

Aurora Financial Group, Inc $ 24,689.43 $ - $ 27,843.67 $ 52,533.10

Aurora Loan Services LLC $ 15,997,418.00 $ 41,236,849.69 $ 28,629,251.10 $ 85,863,518.79

Axiom Bank $ 10,000.00 $ 13,174.90 $ 1,000.00 $ 24,174.90

Banco Popular de Puerto Rico $ 3,252,244.13 $ 148,677.19 $ 2,660,562.00 $ 6,061,483.32

Bank of America, N.A. $ 4,099,061.97 $ 17,843,110.01 $ 9,075,438.92 $ 31,017,610.90

Bank of America, National Association $ 665,266,103.06 $ 967,078,289.26 $ 486,976,207.82 $ 2,119,320,600.14

BankUnited, N.A. $ 16,391,864.44 $ 41,014,057.10 $ 14,467,550.26 $ 71,873,471.80

Banner Bank $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Bayview Loan Servicing LLC $ 98,473,901.69 $ 182,749,988.62 $ 56,271,519.07 $ 337,495,409.38

BMO Harris Bank, N.A. $ 682.17 $ - $ 744.18 $ 1,426.35

Bridgelock Capital dba Peak Loan Servicing $ 5,833.33 $ 1,698.78 $ - $ 7,532.11

Caliber Home Loans, Inc. $ 2,526,272.83 $ 7,403,425.00 $ 5,752,535.73 $ 15,682,233.56

California Housing Finance Agency $ 5,916.67 $ 6,773.90 $ 4,800.00 $ 17,490.57

Carrington Mortgage Services, LLC $ 48,174,869.27 $ 62,487,350.45 $ 39,079,936.70 $ 149,742,156.42

Central Florida Educators Federal Credit Union $ 503,496.75 $ 438,671.83 $ 357,526.94 $ 1,299,695.52

Central Pacific Bank $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Cheviot Savings Bank $ 4,000.00 $ 3,075.53 $ 2,000.00 $ 9,075.53

CIT Bank, N.A. $ 82,694,833.97 $ 255,377,234.99 $ 92,863,349.13 $ 430,935,418.09

CitiMortgage, Inc. $ 176,795,827.57 $ 397,673,934.40 $ 156,266,949.32 $ 730,736,711.29

Citizens Bank, N.A. $ 9,569,983.64 $ 10,995,583.53 $ 7,027,963.35 $ 27,593,530.52

Citizens First National Bank $ 27,229.56 $ 67,847.26 $ 46,729.55 $ 141,806.37

Colorado Federal Savings Bank $ 33,691.63 $ 31,334.45 $ 4,000.00 $ 69,026.08

Columbia Bank $ 59,916.67 $ 59,299.39 $ 10,000.00 $ 129,216.06

Community Credit Union of Florida $ 3,000.00 $ 4,631.53 $ 5,000.00 $ 12,631.53

Desjardins Bank $ 8,000.00 $ 13,643.72 $ 1,000.00 $ 22,643.72

Ditech Financial LLC $ 175,201,568.53 $ 76,637,648.68 $ 27,965,934.53 $ 279,805,151.74

DuPage Credit Union $ 74,570.70 $ 51,307.60 $ 20,442.42 $ 146,320.72

Eastern Bank $ 9,916.67 $ - $ 3,000.00 $ 12,916.67

EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ 16,279,383.05 $ 35,441,779.30

EverBank $ 10,916.67 $ 10,792.44 $ 3,000.00 $ 24,709.11

Fay Servicing, LLC $ 26,982,453.38 $ 36,339,682.76 $ 9,635,189.69 $ 72,957,325.83

FCI Lender Services, Inc. $ 134,204.03 $ 200,809.42 $ 69,990.66 $ 405,004.11

Fidelity Bank $ 32,731.68 $ 48,703.82 $ 38,448.76 $ 119,884.26

FIRST BANK $ 2,747,144.53 $ 3,022,362.37 $ 1,745,409.40 $ 7,514,916.30

First Citizens Bank & Trust Company $ 15,916.67 $ 6,459.46 $ 3,000.00 $ 25,376.13

First Financial Bank N.A. $ 6,750.00 $ - $ 1,000.00 $ 7,750.00

First Keystone Bank $ 2,775.62 $ 3,423.27 $ 8,717.90 $ 14,916.79

First Merchants Bank $ 5,000.00 $ 178.53 $ - $ 5,178.53

First Mortgage Corporation $ 3,916.67 $ - $ 3,000.00 $ 6,916.67

First National Bank of Pennsylvania $ 10,916.67 $ 1,120.30 $ 1,000.00 $ 13,036.97

First State Bank $ 20,000.00 $ - $ 6,000.00 $ 26,000.00

Flagstar Capital Markets Corporation $ 7,000.00 $ - $ - $ 7,000.00

Florida Community Bank, NA $ 13,000.00 $ 15,460.93 $ 11,000.00 $ 39,460.93

FNF Servicing, Inc $ 21,959.30 $ 579.36 $ 10,614.99 $ 33,153.65

Franklin Credit Management Corporation $ 348,804.37 $ 659,459.08 $ 743,023.67 $ 1,751,287.12

Franklin Savings $ 1,750.00 $ 3,864.59 $ 4,000.00 $ 9,614.59

Freedom Mortgage Corporation $ 6,000.00 $ - $ - $ 6,000.00

Fresno County Federal Credit Union $ 3,833.34 $ 13,204.31 $ 7,916.67 $ 24,954.32

Georgia Housing & Finance Authority DBA State Home Mortgage $ 2,750.00 $ - $ 2,000.00 $ 4,750.00

Glass City Federal Credit Union $ 4,000.00 $ 2,473.84 $ 6,000.00 $ 12,473.84

GMAC Mortgage, LLC $ 63,425,899.58 $ 148,796,298.28 $ 97,337,470.22 $ 309,559,668.08

Great Lakes Credit Union $ 63,424.35 $ 47,972.43 $ 31,443.49 $ 142,840.27

Greater Nevada LLC, dba Greater Nevada Mortgage $ 473,501.07 $ 249,566.92 $ 138,018.91 $ 861,086.90

Gregory Funding LLC $ 1,702,563.85 $ 2,822,538.46 $ 434,662.32 $ 4,959,764.63

Supplemental Information [Not Required by EESA §114(a)]

Making Home Affordable Program

Non-GSE Incentive Payments (through June 2018)

167
Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Guaranty Bank $ 916.67 $ - $ 1,000.00 $ 1,916.67

Guardian Mortgage Company, Inc $ 6,451.81 $ 11,639.86 $ 1,535.14 $ 19,626.81

Heartland Bank & Trust Company $ 79,251.53 $ 50,796.42 $ 7,625.76 $ 137,673.71

Hillsdale County National Bank $ 247,549.62 $ 62,958.65 $ 67,400.46 $ 377,908.73

Home Loan Services, Inc. $ 169,857.80 $ 2,440,767.73 $ 3,698,606.99 $ 6,309,232.52

Home Servicing, LLC $ 23,241.37 $ 37,322.44 $ 17,594.38 $ 78,158.19

HomEqServicing $ - $ 3,036,319.34 $ 5,272,500.00 $ 8,308,819.34

HomeStar Bank and Financial Services $ 1,916.66 $ 5,572.90 $ 5,833.34 $ 13,322.90

Homeward Residential, Inc. $ 51,759,481.72 $ 133,893,684.23 $ 94,837,607.23 $ 280,490,773.18

Horicon Bank $ 27,181.80 $ 27,034.56 $ 13,169.53 $ 67,385.89

Iberiabank $ 10,502.00 $ 15,000.00 $ 25,502.00

IBM Southeast Employees' Credit Union $ 9,000.00 $ 23,589.08 $ 16,000.00 $ 48,589.08

IC Federal Credit Union $ 55,250.01 $ 71,619.56 $ 42,200.00 $ 169,069.57

Idaho Housing and Finance Association $ 206,181.12 $ 36,680.58 $ 33,025.20 $ 275,886.90

James B.Nutter and Company $ 146,825.49 $ - $ 130,837.06 $ 277,662.55

JPMorgan Chase Bank, NA $ 882,244,964.01 $ 1,558,814,309.60 $ 553,608,028.13 $ 2,994,667,301.74

Kondaur Capital Corporation $ 79,812.37 $ 119,115.73 $ 77,327.82 $ 276,255.92

Lake City Bank $ 46,961.79 $ 24,542.15 $ 28,196.44 $ 99,700.38

Lake National Bank $ 3,000.00 $ 3,651.45 $ 4,000.00 $ 10,651.45

Land/Home Financial Services, Inc. $ 916.67 $ 232.46 $ 1,000.00 $ 2,149.13

LegacyTexas Bank $ 5,000.00 $ 1,656.95 $ - $ 6,656.95

LenderLive Network, Inc $ 38,500.01 $ 69,769.61 $ 8,000.00 $ 116,269.62

Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125.99 $ 27,530,413.93 $ 76,324,760.34

Los Alamos National Bank $ 262,044.16 $ 69,984.12 $ 66,087.67 $ 398,115.95

M&T Bank $ 4,346,689.05 $ 2,092.09 $ 4,309,490.69 $ 8,658,271.83

Mainsource Bank $ 5,000.00 $ - $ - $ 5,000.00

Marix Servicing LLC $ 352,195.77 $ 970,196.74 $ 839,632.77 $ 2,162,025.28

Marsh Associates, Inc. $ 9,687.97 $ - $ 10,649.38 $ 20,337.35

Maryland Community Development Administration $ 94,878.02 $ - $ 48,454.02 $ 143,332.04

Matrix Financial Services Corp. $ 20,881.45 $ 44,256.14 $ 14,400.00 $ 79,537.59

MidFirst Bank $ 72,570,566.74 $ 5,334,856.21 $ 60,708,332.37 $ 138,613,755.32

Midwest Community Bank $ 1,000.00 $ 1,817.60 $ 2,000.00 $ 4,817.60

Mission Federal Credit Union $ 233,941.01 $ 345,793.52 $ 152,981.25 $ 732,715.78

MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ 1,977,320.74 $ 4,628,164.95

Mortgage Center LLC $ 664,620.35 $ 662,594.43 $ 564,233.87 $ 1,891,448.65

Mortgage Investors Group $ 9,916.67 $ - $ 2,916.67 $ 12,833.34

National City Bank $ 29,999,025.14 $ 25,989,087.86 $ 15,070,327.08 $ 71,058,440.08

Nationstar Mortgage, LLC dba Mr. Cooper $ 451,955,500.05 $ 621,495,499.70 $ 217,652,988.28 $ 1,291,103,988.03

Nationwide Advantage Mortgage Company $ 7,916.67 $ - $ - $ 7,916.67

Navy Federal Credit Union $ 3,313,063.12 $ 4,830,217.75 $ 2,369,403.73 $ 10,512,684.60

New Jersey Housing and Mortgage Finance Agency $ 118,218.02 $ - $ 35,805.11 $ 154,023.13

New Penn Financial, LLC dba Shellpoint Mortgage Servicing $ 31,738,813.64 $ 32,051,012.12 $ 13,672,011.03 $ 77,461,836.79

New York Community Bank $ 128,767.96 $ 107,588.41 $ 48,757.12 $ 285,113.49

North American Savings Bank $ 25,000.00 $ 16.76 $ 1,200.00 $ 26,216.76

Oakland Municipal Credit Union $ 3,568.11 $ 6,500.00 $ 10,068.11

Ocwen Loan Servicing, LLC $ 956,027,127.01 $ 2,667,621,557.17 $ 630,851,423.91 $ 4,254,500,108.09

ORNL Federal Credit Union $ 74,465.20 $ 66,090.02 $ 66,661.22 $ 207,216.44

OwnersChoice Funding, Incorporated $ 194,146.50 $ 257,674.88 $ 131,729.28 $ 583,550.66

Park View Federal Savings Bank $ 11,000.00 $ 23,936.55 $ 19,000.00 $ 53,936.55

Pathfinder Bank $ 13,417.47 $ 23,655.28 $ 36,506.84 $ 73,579.59

PennyMac Loan Services, LLC $ 15,277,111.00 $ 47,668,908.32 $ 18,464,158.76 $ 81,410,178.08

PHH Mortgage Corporation $ 316,045.15 $ 170,419.46 $ 77,117.84 $ 563,582.45

Planet Home Lending, LLC $ 49,575.58 $ 762,711.00 $ 55,692.26 $ 867,978.84

Plaza Home Mortgage, Inc $ 9,916.67 $ - $ 3,000.00 $ 12,916.67

PNC Bank, National Association $ 548,103.96 $ 3,033,913.94 $ 878,000.00 $ 4,460,017.90

Purdue Federal Credit Union $ 10,000.00 $ 3,976.20 $ 4,000.00 $ 17,976.20

Quantum Servicing Corporation $ 133,393.34 $ 332,061.47 $ 179,984.09 $ 645,438.90

Quicken Loans, Inc. $ 9,916.67 $ - $ 7,000.00 $ 16,916.67

Residential Credit Solutions, Inc. $ 6,562,210.62 $ 10,872,692.73 $ 4,628,786.15 $ 22,063,689.50

Resurgent Capital Services L.P. $ 708,326.40 $ 1,696,730.62 $ 797,664.52 $ 3,202,721.54

RG Mortgage $ 164,852.94 $ 227,582.28 $ 401,333.81 $ 793,769.03

Rockland Trust Company $ 15,000.00 $ - $ 6,000.00 $ 21,000.00

RoundPoint Mortgage Servicing Corporation $ 887,431.96 $ 1,117,548.58 $ 677,397.71 $ 2,682,378.25

Rushmore Loan Management Services LLC $ 19,514,503.74 $ 22,614,405.38 $ 5,010,680.66 $ 47,139,589.78

168
Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Santander Bank, N.A. $ 916.67 $ 24,817.27 $ 3,400.00 $ 29,133.94

Saxon Mortgage Services Inc $ 19,655,074.77 $ 41,738,413.24 $ 39,413,598.23 $ 100,807,086.24

Schools Financial Credit Union $ 76,583.37 $ 82,344.00 $ 39,500.00 $ 198,427.37

Scotiabank de Puerto Rico $ 1,355,278.38 $ 831,258.36 $ 417,008.60 $ 2,603,545.34

Select Portfolio Servicing, Inc. $ 430,053,995.97 $ 645,862,857.25 $ 281,945,362.46 $ 1,357,862,215.68

Selene Finance LP $ 5,277,284.73 $ 3,434,401.90 $ 3,719,900.52 $ 12,431,587.15

Seneca Mortgage Servicing LLC $ 489,752.72 $ 554,367.75 $ 357,186.68 $ 1,401,307.15

Servis One, Inc. dba BSI Financial Services $ 17,521,020.19 $ 15,630,345.07 $ 5,505,557.26 $ 38,656,922.52

ShoreBank $ 49,915.10 $ 153,906.17 $ 143,165.10 $ 346,986.37

Silver State Schools Credit Union $ 40,355.90 $ 176,298.89 $ 69,189.24 $ 285,844.03

SN Servicing Corporation $ 241,766.08 $ 440,109.45 $ 154,613.22 $ 836,488.75

Sortis Financial, Inc. $ 265,004.58 $ 585,281.78 $ 403,564.09 $ 1,253,850.45

Specialized Loan Servicing LLC $ 89,172,684.08 $ 131,305,127.45 $ 53,260,367.06 $ 273,738,178.59

Statebridge Company, LLC $ 211,464.42 $ 390,726.06 $ 171,385.14 $ 773,575.62

Sterling Savings Bank $ 385,881.14 $ 663,661.88 $ 404,196.69 $ 1,453,739.71

SunTrust Mortgage, Inc $ 593,652.48 $ 452,156.14 $ 213,352.94 $ 1,259,161.56

Technology Credit Union $ 111,166.67 $ 267,244.05 $ 81,816.67 $ 460,227.39

The Bryn Mawr Trust Co $ 29,316.16 $ 18,315.73 $ 8,435.80 $ 56,067.69

The Golden 1 Credit Union $ 1,171,401.49 $ 1,790,027.88 $ 783,217.37 $ 3,744,646.74

U.S. Bank National Association $ 67,700,309.01 $ 67,467,307.85 $ 39,077,043.63 $ 174,244,660.49

Umpqua Bank $ 280,310.41 $ 93,516.90 $ 7,000.00 $ 380,827.31

Unify Financial Federal Credit Union $ 56,166.68 $ 74,554.15 $ 22,916.67 $ 153,637.50

United Bank $ 167,916.67 $ 2,725.70 $ 6,600.00 $ 177,242.37

United Bank Mortgage Corporation $ 193,772.13 $ 103,777.11 $ 66,578.47 $ 364,127.71

Urban Partnership Bank $ 344,704.09 $ 392,373.93 $ 135,918.87 $ 872,996.89

Wachovia Mortgage, FSB $ 76,889.58 $ 162,000.00 $ 238,889.58

Wallick and Volk $ 10,000.00 $ 8,330.60 $ 3,000.00 $ 21,330.60

Webster Bank, N.A. $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Wells Fargo Bank, N.A. $ 981,512,422.94 $ 1,486,593,275.41 $ 630,723,402.32 $ 3,098,829,100.67

Wesbanco Bank Inc. $ 4,596.60 $ - $ 2,757.96 $ 7,354.56

Wescom Central Credit Union $ 702,676.47 $ 934,521.56 $ 312,225.08 $ 1,949,423.11

Wilshire Credit Corporation $ 490,394.10 $ 1,167,000.00 $ 1,657,394.10

Yadkin Valley Bank $ 50,328.61 $ 41,584.65 $ 52,572.98 $ 144,486.24

ZB, N.A. $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Grand Total $ 5,570,687,798.49 $ 9,858,308,646.92 $ 3,779,512,522.02 $ 19,208,508,967.43

169
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 102,800,000 $ - 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

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 8,885,641 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ (6,664,231) $ 196,247,650 N/A

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 699,600,000 $ - 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

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 213,489,977 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 169,769,247 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 1,659,901 $ 2,360,253,221 N/A

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 418,000,000 $ - 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

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 77,896,538 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 881,006 $ 1,136,616,680 N/A

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 125,100,000 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 142,666,006 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 28,282,519 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 98,195 $ 296,146,720 N/A

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 154,500,000 $ - 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

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 74,491,816 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 188,106,491 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 418,256 $ 761,622,301 N/A

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 159,000,000 $ - 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

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 78,016,445 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 145,709,333 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 431,318 $ 706,938,882 N/A

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 172,000,000 $ - 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

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 191,906,968 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 489,473 $ 762,791,540 N/A

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 88,000,000 $ - 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

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 36,425,456 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 58,110,108 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 173,930 $ 314,752,280 N/A

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 43,000,000 $ - 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

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 36,623,730 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 44,488 $ 116,019,791 N/A

8/3/2010 SC Housing Corp. Columbia SC Purchase Financial Instrument for HHF Program $ 138,000,000 $ - 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

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 22,030,274 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 210,942 $ 317,672,763 N/A

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HHF Program $ 60,672,471 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 101,848,874 $ 162,521,345 N/A

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 55,588,050 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 93,313,825 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 30,148,245 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 27,955,713 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 187,004 $ 207,192,837 N/A

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 38,036,950 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 63,851,373 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 19,340,040 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 23,063,338 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 125,284 $ 144,416,985 N/A

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 126,650,987 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 212,604,832 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 30,880,575 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 437,866 $ 370,574,260 N/A

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 82,762,859 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 138,931,280 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 28,565,323 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 33,454,975 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 279,899 $ 283,994,336 N/A

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 166,352,726 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 279,250,831 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 269,474,060 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 537,478 $ 715,615,095 N/A

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 112,200,637 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 188,347,507 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 114,585,818 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 378,092 $ 415,512,054 N/A

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 7,726,678 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 12,970,520 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 8,047,933 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 29,136 $ 28,774,267 N/A

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 81,128,260 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 136,187,333 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 51,945,211 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 32,794,226 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 281,963 $ 302,336,993 N/A

$ 9,600,000,000

8) On 1/31/2018, Treasury updated program allocations due to an annual assessment and reallocation.

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets

Hardest Hit Funds (HHF) Program

Note Date

Seller Transaction 

Type Investment Description

Initial Investment 

Amount

Additional 

Investment Amount

7) On 6/28/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

6) On 6/1/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

Investment Amount 1 

Pricing 

Mechanism

TOTAL INVESTMENT AMOUNT 

5) On 5/3/2016, 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.

2) On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

3) On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

4) On 4/1/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

170
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 8,117,000,000 $ - $ 8,117,000,000

2 3/4/2013 $ (7,092,000,000) $ 1,025,000,000

3 3/31/2015 $ (900,000,000) $ 125,000,000

4 9/28/2017 $ (80,000,000) $ 45,000,000

$ 45,000,000

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 mortgages refinanced under the FHA Short Refinance program during the eligibility period. After that time, the amount of the L/C will be capped at the thencurrent level. Under the terms of the L/C Facility Agreement, Treasury could incur fees for the availability and usage of the L/C up to a maximum amount of $117 million.

2) On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the maximum amount of the L/C from $8 billion to $1 billion; extends by two years the period of time 

Treasury has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new fee structure and the lower L/C, Treasury expects that the fees incurred for the availability and 

usage of the L/C will not exceed $25 million.

N/A

4) On September 28, 2017, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 3 to the L/C Facility Agreement. Amendments included reducing the maximum amount of the L/C from $100 million to $27 million, and modifying 

the structure of administrative fees associated with the facility.

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 

Initial Investment 

Amount Investment Adjustments Investment Amount Pricing Mechanism

3) On March 31, 2015, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 2 to the L/C Facility Agreement. Amendments included reducing the maximum amount of the L/C from $1 billion to $100 million; extending by 

approximately two years the term of the L/C and the period of time Treasury has to increase the L/C to cover new loans entered into the program; and modifying the structure of administrative fees associated with the facility.

N/A

N/A

N/A

TOTAL INVESTMENT AMOUNT

171
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, 2018

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.

172
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, 2018

Type of Expense Amount

Compensation for financial agents 

and legal firms $1,403,956,193

173
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, 2018

Date Vehicle Description

None

174
HAMP Application Activity by Servicer 1

As of December 2017

Servicer Name # Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

Bank of America, NA - - - 1,524,748 1,505,172 588,284 916,888

BankUnited - - - 9,959 9,959 4,970 4,989

Bayview Loan Servicing, LLC - - - 92,548 92,371 20,911 71,460

Carrington Mortgage Services, LLC - - - 105,590 105,590 27,443 78,147

Citizens Bank, N.A. - - - 39,479 39,479 7,041 32,438

CIT Bank, NA6 2 - 2 388,421 388,329 103,632 284,697

CitiMortgage Inc 22 - 22 614,753 613,454 194,845 418,609

Ditech Financial LLC7 - - - 131,064 131,064 50,828 80,236

JPMorgan Chase Bank, NA - - - 1,853,776 1,847,897 455,099 1,392,798

Nationstar Mortgage, LLC dba Mr Cooper - - - 633,038 633,038 134,794 498,244

Navy Federal Credit Union - - - 16,222 16,222 2,509 13,713

Ocwen Loan Servicing, LLC - - - 1,679,549 1,653,002 507,500 1,145,502

ORNL Federal Credit Union - - - 824 824 66 758

PennyMac Loan Services, LLC - - - 24,545 24,545 6,706 17,839

PNC Bank NA8 - - - 53,888 53,846 29,336 24,510

Select Portfolio Servicing, Inc. - - - 304,067 295,044 139,397 155,647

Specialized Loan Servicing LLC - - - 130,912 130,892 22,932 107,960

U.S. Bank National Association - - - 161,867 161,862 49,525 112,337

Wells Fargo Bank, NA 99 - 99 1,619,166 1,611,573 455,124 1,156,449

Other Servicers9 - - - 212,677 212,504 111,096 101,408

TOTAL 123 - 123 9,597,093 9,526,667 2,912,038 6,614,629

Activity in December 2017 Program-to-Date

1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data in this report reflects what is provided by servicers participating in the 

survey and is not separately validated by Treasury. Servicers regularly perform evaluation and refinement of reporting, which can lead to updating of Program-to-Date results. Due to the MHA Program Modification Effective 

Date Cut-off of December 1, 2017, the December 2017 version of this report is the last issued and includes data collected from servicers through December 31, 2017. Requests received that were not processed as of 

December 2017 may be attributable to a variety of reasons, including failure to submit a complete mortgage modification request. Borrowers whose requests were not processed may have been offered a Streamline HAMP 

Modification. 

2 "Requests Received" is the total number of mortgage modification requests received, as reported by servicers. Cumulative Requests Received include all mortgage modification requests received since implementation of 

Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved for a trial modification prior to implementation of such guidance. As noted in Footnote 1 above, some servicers may include all 

mortgage modification requests received, whereas they previously included only requests that met basic HAMP eligibility criteria. As of January 2017, servicers were no longer required to provide monthly requests received 

volumes. Due to the December 30, 2016 HAMP application deadline, servicers will not report any requests received after that date and therefore, the monthly Requests Received column has been removed from the report. 

Servicers continue to evaluate and decision requests which were submitted by the application deadline. 

3 "Requests Processed" is the sum of Requests Approved and Requests Denied, defined below. 

4 "Requests Approved" is the total number of complete mortgage modification requests approved for a trial modification under HAMP and trial offers sent to the borrowers, as reported by servicers. Note that all Requests 

Approved do not become Active Trials because some borrowers do not accept the trial or fail to make the first trial payment. 

5 "Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program 

guidance, as reported by servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, 

effective June 1, 2010; servicers do not report Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet 

basic eligibility criteria, and/or other reasons.

6 Formerly OneWest Bank.

7 Formerly GreenTree Servicing LLC. 

8 Includes both PNC Bank, NA and PNC Mortgage, formerly National City Bank.

9 Includes servicers that are no longer actively participating in the survey process or those whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only 

175