Monthly Report to Congress

January 2015

February 10, 2015

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 15 EESA §105(a)(3)(B)

Transactions Report 16 EESA §105(a)(3)(C,D,G)

Investment Programs 16

Home Affordable Modification Program 64

Projected Costs and Liabilities 118 EESA §105(a)(3)(E)

Programmatic Operating Expenses 119 EESA §105(a)(3)(F)

Description of Vehicles Established 120 EESA §105(a)(3)(H)

HAMP Application Activity by Servicer 121 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 $226.43 billion

Full Repayments 255

SBLF Repayments 137

CDCI Conversions 28

Sold Investments 33

Auctioned Investments 185

In Bankruptcy/Receivership 32

Merged Institutions 4

Total Remaining Institutions 33

Partial Repayments 0

Currently in Common2 2

January 2015 Activity

Institution Date Additional Information Amount

Repurchases

Liberty Bancshares, Inc. 1/14/2015 Repurchased at Par $6,500,000 

Warrant Repurchases

Blue Valley Ban Corp 1/7/2015 Repurchased $3,056 

Liberty Bancshares, Inc. 1/14/2015 Repurchased at Par $196,000 

Monthly Dividends $56,155 

Top 10 Remaining CPP Institutions

Institution Location Amount Outstanding 

(millions)

1 First BanCorp3 San Juan, PR $185.68 

2 U.S. Century Bank Miami, FL $50.24 

3 Chambers Bancshares, Inc. Danville, AR $19.82 

4 OneFinancial Corporation Little Rock, AR $17.30 

5 Liberty Shares, Inc. Hinesville, GA $17.28 

6 Broadway Financial Corporation4 Los Angeles, CA $15.00 

7 Suburban Illinois Bancorp, Inc. Elmhurst, IL $15.00 

8 Tidelands Bancshares, Inc. Mount Pleasant, SC $14.45 

9 HCSB Financial Corporation Loris, SC $12.90 

10 OneUnited Bank Boston, MA $12.06 

1

2

3

4

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.

Repayments: Actual collections as of January 31, 2015, 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 January 31, 2015. 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.

Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First BanCorp 

fulfilled the conversion conditions and Treasury's MCP was converted into 32,941,797 shares of common stock. Treasury sold 

12,000,000 of such shares on August 16, 2013. Treasury sold a further 1,261,356 shares on September 13, 2013 following the 

exercise by the underwriters of their over-allotment option. On December 5, 2014, Treasury completed its first pre-defined written 

trading plan for the sale of 4,388,888 shares of common stock. On December 11, 2014, Treasury announced its second pre-defined 

written trading plan for the sale of additional shares of common stock. Amount outstanding will be updated to reflect sales at the close 

of the trading plan.

$196.42 

$3.03 $19.01 $7.97 

 $-

 $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 18

In Bankruptcy/Receivership 1

Merged Institutions 1

Total Remaining Institutions 64

Partial Repayments 3

Currently in Common 1

January 2015 Activity

Institution Date Additional Information Amount

Repurchases

Bainbridge Bancshares, Inc. 1/7/2015 Repurchased at Par $1,000,000 

Monthly Dividends $2,889 

Top 10 Remaining CDCI Institutions

Institution Location Amount Outstanding 

(millions)

1 BancPlus Corporation Ridgeland, MS $80.91 

2 Community Bancshares of Mississippi, Inc. Brandon, MS $54.60 

3 Southern Bancorp, Inc. Arkadelphia, AR $33.80 

4 Security Federal Corporation Aiken, SC $22.00 

5 Carver Bancorp, Inc1 New York, NY $18.98 

6 Security Capital Corporation Batesville, MS $17.91 

7 The First Bancshares, Inc. Hattiesburg, MS $17.12 

8 First American International Corp. Brooklyn, NY $17.00 

9 State Capital Corporation Greenwood, MS $15.75 

10 Guaranty Capital Corporation Belzoni, MS $14.00 

1

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.

2
Making Home Affordable (MHA)

Program Update1

HAMP Activity through December 2014

All Trials Started 2,279,407 

 Tier 1 2,169,866 

 Tier 2 109,541 

Trials Reported Since Last Report 12,187 

Active Trials 40,486 

All Permanent Modifications Started 1,448,456 

 Tier 1 1,363,468 

 Tier 2 84,988 

Permanent Modifications Reported Since Last Report 10,725 

Active Permanent Modifications 968,202 

Median Savings $ 488 

Other MHA Program Activity through December 2014

Program-to-Date Reported Since 

Prior Period

FHA and RD-HAMP Permanent Modifications Started 70,848 2,274

2MP Modifications Started 144,674 786

HAFA Transactions Completed 341,154 6,367

UP Forbearance Plans Started (through November 2014) 41,917 215

1

2

In total2, nearly 2.3 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

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.

3
Hardest Hit Fund (HHF)

Program Changes in January

AL

FL

Funds Drawn Down in January

State Amount (millions)

None

Total Drawn to Date $ 4,976 

Funds Drawn as of January 31, 2015

State (% Cap Disbursed)

Alabama amended its Loan Modification Assistance Program to include a recast component.

Florida expanded eligible hardships under its Unemployment Mortgage Assistance Program and 

Mortgage Loan Reinstatement Program to include financial hardships resulting from death, divorce, 

and disability.

$40,000,000

$155,761,536

$1,217,490,000

$18,234,860

$596,250,000

$144,408,000

$360,000,000

$110,677,656

$104,000,000

$304,126,073

$55,838,832

$395,180,000

$245,513,704

$112,049,869

$477,168,583

$220,042,786

$79,351,573

$162,500,000

$177,315,593

$0 $1,000,000,000 $2,000,000,000

Alabama (24.6%)

Arizona (58.2%)

California (61.6%)

Washington D.C. (88.1%)

Florida (56.4%)

Georgia (42.6%)

Illinois (80.8%)

Indiana (49.9%)

Kentucky (69.8%)

Michigan (61%)

Mississippi (54.8%)

North Carolina (81.9%)

New Jersey (81.7%)

Nevada (57.7%)

Ohio (83.7%)

Oregon (100%)

Rhode Island (100%)

South Carolina (55%)

Tennessee (81.6%)

Paid to Date (Amount Shown)

Remaining Allocation

4
Lifetime Costs

Program Update

Programs as of January 31, 2015 (dollar amounts in billions)

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup 25.00 $ 25.00 $ - $ (6.89) $ 

Other banks with assets $10 billion or greater 165.33 $ 165.33 $ 0.16 $ (10.24) $ 

Banks with assets less than $10 billion4 $ 14.57 $ 14.57 $ 0.94 0.28 $ 

Total 204.89 $ 204.89 $ 0.44 $ (16.18) $ 

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

Asset Guarantee Program (AGP)5 $ 0.00 5.00 $ - $ (4.00) $ 

Community Development Capital Initiative (CDCI) 0.57 $ 0.57 $ 0.46 $ 0.11 $ 

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity $ 6.25 6.25 $ - $ (3.06) $ 

Debt $ 12.38 12.38 $ - $ 0.33 $ 

Total $ 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) $ 

Other Programs:

American International Group (AIG): 

Preferred Stock 20.29 $ 20.29 $ - $ - $ 

Common Stock $ 47.54 47.54 $ - $ 15.18 $ 

Total $ 67.84 67.84 $ - $ 15.18 $ 

Automotive Industry Financing Program (AIFP) $ 79.69 79.69 $ - $ 12.25 $ 

Sub-total for Investment Programs 417.08 $ 411.72 $ 0.89 $ 0.01 $ 

Making Home Affordable $ 10.13 29.79 $ n/a 29.79 $ 

Hardest Hit Fund 7.60 $ 4.98 $ n/a 7.60 $ 

FHA-Refinance6 $ 0.06 1.03 $ n/a $ 0.03

Sub-total for Housing Programs 38.42 $ 15.17 $ n/a 37.42 $ 

 Total for TARP Programs 455.50 $ 426.89 $ 0.89 $ 37.43 $ 

Additional AIG Common Shares Held by Treasury7 n/a n/a n/a $ (17.55)

Total for TARP Programs and Additional AIG Shares 455.50 $ 426.89 $ 0.89 $ 19.88 $ 

1

2

3

4

5

6

7

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 costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value received from the announcement of the negotiations on 

the guarantee and share losses on a pool of assets.

In March 2013, Treasury reduced the amount of the letter of credit facility from $8 billion to $1 billion. The figures in this line include administrative expenses associated with the letter of 

credit facility. 

As discussed in note 10 to the Daily 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. 

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 

$426.9 billion has been disbursed under TARP. As of January 31, 2015, cumulative collections under TARP, together with Treasury’s additional 

proceeds from the sale of non-TARP shares of AIG1

 , have exceeded total disbursements by $14.8 billion2. Treasury estimates that the combined 

overall cost of TARP will be approximately $37.4 billion. These estimates assume that the budget for TARP housing programs will be disbursed in full 

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

disbursed, repayments, income received and any losses by program, please visit the Daily TARP Update (DTU) at: 

http://www.treasury.gov/initiatives/financialstability/reports/Pages/daily-tarp-reports.aspx.

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

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

Estimated Lifetime 

Cost as of 

November 30 3

g

Investment 

Balance as of 

January 31

Disbursed as of 

January 31

Obligation/

Commitment

Lifetime cost information are as of November 30, 2014. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and 

Budget. Figures include interest on reestimates.

5
Institution Name Location

Public/P

rivate

 Amount 

Outstanding 

First BanCorp* San Juan, PR Public 185,679,645.76 $ 

U.S. Century Bank Miami, FL Private 50,236,000.00 $ 

Chambers Bancshares, Inc. Danville, AR Private $ 19,817,000.00 

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

Liberty Shares, Inc. Hinesville, GA Private 17,280,000.00 $ 

Broadway Financial Corporation* Los Angeles, CA Public 15,000,000.00 $ 

Suburban Illinois Bancorp, Inc. Elmhurst, IL Private 15,000,000.00 $ 

Tidelands Bancshares, Inc Mount Pleasant, SC Public 14,448,000.00 $ 

HCSB Financial Corporation Loris, SC Public 12,895,000.00 $ 

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

Cecil Bancorp, Inc. Elkton, MD Public 11,560,000.00 $ 

Farmers & Merchants Bancshares, Inc. (Allegiance Bancshares, Inc.) Houston, TX Private 11,000,000.00 $ 

City National Bancshares Corporation Newark, NJ Private 9,439,000.00 $ 

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

Citizens Commerce Bancshares, Inc. Versailles, KY Public 6,300,000.00 $ 

Patapsco Bancorp, Inc. Dundalk, MD Public 6,000,000.00 $ 

Capital Commerce Bancorp, Inc. Milwaukee, WI Private 5,100,000.00 $ 

CalWest Bancorp Rancho Santa Margarita, CA Public 4,656,000.00 $ 

Pinnacle Bank Holding Company, Inc. Orange City, FL Private 4,389,000.00 $ 

Metropolitan Capital Bancorp, Inc. Chicago, IL Private 4,388,000.00 $ 

Community Bancshares, Inc. Kingman, AZ Private 3,872,000.00 $ 

Allied First Bancorp, Inc. Oswego, IL Public 3,652,000.00 $ 

Grand Mountain Bancshares, Inc. Granby, CO Private 3,076,000.00 $ 

St. Johns Bancshares, Inc. St. Louis, MO Private 3,000,000.00 $ 

US Metro Bank Garden Grove, CA Public 2,861,000.00 $ 

Prairie Star Bancshares, Inc. Olathe, KS Private 2,800,000.00 $ 

SouthFirst Bancshares, Inc. Sylacauga, AL Public 2,760,000.00 $ 

Goldwater Bank, N.A. Scottsdale, AZ Private 2,568,000.00 $ 

Grand Financial Corporation Hattiesburg, MS Private 2,443,320.00 $ 

CSRA Bank Corp. Wrens, GA Private 2,400,000.00 $ 

Citizens Bank & Trust Company Covington, LA Private 2,400,000.00 $ 

Saigon National Bank Westminster, CA Public 1,549,000.00 $ 

Calvert Financial Corporation Ashland, MO Private 1,037,000.00 $ 

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

$ 5,498,000.00

$ 69,000,000.00

$ 5,800,000.00

$ 5,500,000.00

$ 83,586,000.00

$ 10,400,000.00

$ 4,114,000.00

$ 30,000,000.00

$ 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

Troubled Asset Relief Program

CPP & CDCI Institutions

As of January 31, 2015

$ 84,784,000.00

A. Remaining CPP Portfolio Institutions

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

A. Remaining CPP Portfolio Institutions

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

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

 Realized Loss/ Write-Off 

Amount 

$ 2,330,000,000.00

$ 298,737,000.00

$ 4,120,000.00

C. Remaining CDCI Portfolio Institutions

$ 5,000,000.00

$ 8,653,000.00

$ 6,800,000.00

$ 3,800,000.00

6
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

Institution Name Location

BancPlus Corporation Ridgeland, MS

Community Bancshares of Mississippi, Inc. Brandon, MS

Southern Bancorp, Inc. Arkadelphia, AR

Security Federal Corporation Aiken, SC

Carver Bancorp, Inc* New York, NY 

Security Capital Corporation Batesville, MS

The First Bancshares, Inc. Hattiesburg, MS

First American International Corp. Brooklyn, NY

State Capital Corporation Greenwood, MS

Guaranty Capital Corporation Belzoni, MS

Citizens Bancshares Corporation Atlanta, GA

M&F Bancorp, Inc. Durham, NC

Liberty Financial Services, Inc. New Orleans, LA

Mission Valley Bancorp Sun Valley, CA

United Bancorporation of Alabama, Inc. Atmore, AL

IBC Bancorp, Inc. Chicago, IL

Fairfax County Federal Credit Union Fairfax, VA

First Eagle Bancshares, Inc. Hanover Park, IL

First Vernon Bancshares, Inc. Vernon, AL

IBW Financial Corporation Washington, DC

CFBanc Corporation Washington, DC

American Bancorp of Illinois, Inc. Oak Brook, IL

Lafayette Bancorp, Inc. Oxford, MS

Hope Federal Credit Union Jackson, MS

The Magnolia State Corporation Bay Springs, MS

Community Bank of the Bay Oakland, CA

Carter Federal Credit Union Springhill, LA

Kilmichael Bancorp, Inc. Kilmichael, MS

PGB Holdings, Inc. Chicago, IL 

Santa Cruz Community Credit Union Santa Cruz, CA

Cooperative Center Federal Credit Union Berkeley, CA

Tri-State Bank of Memphis Memphis, TN

Community First Guam Federal Credit Union Hagatna, GU

Shreveport Federal Credit Union Shreveport, LA

Pyramid Federal Credit Union Tucson, AZ

Alternatives Federal Credit Union Ithaca, NY

Virginia Community Capital, Inc. Christiansburg, VA

Southern Chautauqua Federal Credit Union Lakewood, NY

Tongass Federal Credit Union Ketchikan, AK

D.C. Federal Credit Union Washington, DC

Vigo County Federal Credit Union Terre Haute, IN

Lower East Side People's Federal Credit Union New York , NY

Opportunities Credit Union Burlington, VT

Independent Employers Group Federal Credit Union Hilo, HI

Bethex Federal Credit Union Bronx, NY

Community Plus Federal Credit Union Rantoul, IL

Tulane-Loyola Federal Credit Union New Orleans, LA

Northeast Community Federal Credit Union San Francisco, CA

North Side Community Federal Credit Union Chicago, IL

Genesee Co-op Federal Credit Union Rochester, NY

Brooklyn Cooperative Federal Credit Union Brooklyn, NY

Neighborhood Trust Federal Credit Union New York, NY

Prince Kuhio Federal Credit Union Honolulu, HI

Liberty County Teachers Federal Credit Union Liberty, TX

Phenix Pride Federal Credit Union Phenix City, AL

Buffalo Cooperative Federal Credit Union Buffalo, NY

Hill District Federal Credit Union Pittsburgh, PA

Episcopal Community Federal Credit Union Los Angeles, CA

Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia, WA

Renaissance Community Development Credit Union Somerset, NJ

Faith Based Federal Credit Union Oceanside, CA

Fidelis Federal Credit Union New York , NY

Union Baptist Church Federal Credit Union Fort Wayne, IN

East End Baptist Tabernacle Federal Credit Union Bridgeport, CT

$ 10,000.00

$ 7,000.00

$ 100,000.00

$ 75,000.00

$ 31,000.00

$ 30,000.00

$ 14,000.00

$ 261,000.00

$ 153,000.00

$ 145,000.00

$ 100,000.00

$ 325,000.00

$ 300,000.00

$ 300,000.00

$ 283,000.00

$ 273,000.00

$ 698,000.00

$ 502,000.00

$ 450,000.00

$ 424,000.00

$ 350,000.00

$ 1,600,000.00

$ 1,522,000.00

$ 1,229,000.00

$ 1,193,000.00

$ 1,091,000.00

$ 2,646,000.00

$ 2,500,000.00

$ 2,234,000.00

$ 1,915,000.00

$ 1,709,000.00

$ 3,000,000.00

$ 2,828,000.00

$ 2,799,000.00

$ 2,795,000.00

$ 2,650,000.00

$ 4,520,000.00

$ 4,222,000.00

$ 4,060,000.00

$ 3,800,000.00

$ 3,154,000.00

$ 6,245,000.00

$ 6,000,000.00

$ 5,781,000.00

$ 5,457,000.00

$ 4,551,000.00

$ 10,336,000.00

$ 10,300,000.00

$ 8,086,000.00

$ 8,044,000.00

$ 7,875,000.00

$ 15,750,000.00

$ 14,000,000.00

$ 11,841,000.00

$ 11,735,000.00

$ 11,334,000.00

$ 22,000,000.00

$ 18,980,000.00

$ 17,910,000.00

$ 17,123,000.00

$ 17,000,000.00

C. Remaining CDCI Portfolio Institutions

 Amount Outstanding 

$ 80,914,000.00

$ 54,600,000.00

$ 33,800,000.00

$ 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

$ 25,000,000.00

$ 104,000,000.00

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

7
Budget

Object Class (BOC) Budget Object Class Title Oblig

PERSONNEL SERVICES 1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS 13

$ 

PERSONNEL SERVICES Total: 13

$ 

2100 TRAVEL & TRANSPORTATION OF PERSONS 

$ 

2200 TRANSPORTATION OF THINGS 2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 2400 PRINTING & REPRODUCTION 2500 OTHER SERVICES 292600 SUPPLIES AND MATERIALS 3100 EQUIPMENT 3200 LAND & STRUCTURES 

 

4200 INSURANCE CLAIMS & INDEMNITIES 

 

4300 INTEREST & DIVIDENDS 

 

NON-PERSONNEL SERVICES Total: 30

$ 

GRAND TOTAL: 443

$ 

Note: The amounts presented above are cumulative from the initiation of the TARP.NON-PERSONNEL SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expend
Date Approved Type of Transaction Vendor Purpose 

10/10/2008 Contract Simpson Thacher & Bartlett LLP Legal Advisory Other T

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

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

10/16/2008 Contract PricewaterhouseCoopers LLP Accounting/Internal Controls Other T

10/17/2008 Contract Turner Consulting Group, Inc. Archiving Services Other T

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

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

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

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

11/07/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory Other T

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 T

12/10/2008 Contract Thacher Proffitt & Wood LLP Legal Advisory Other T

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

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 T

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

01/07/2009 Contract Colonial Parking Inc. Administrative Support Other T

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

01/27/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other T

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

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

02/12/2009 Contract Locke Lord Bissell & Liddell LLP Legal Advisory Other T

02/18/2009 Financial Agent Fannie Mae Homeownership Program Other T

02/18/2009 Financial Agent Freddie Mac Homeownership Program Other T

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 T

02/20/2009 Contract Simpson Thacher & Bartlett LLP Legal Advisory Other T

For Period January 2015

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Agreements Under TARP [Section 105(a)(3)(A)]
Date Approved Type of Transaction Vendor Purpose 

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 T

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

03/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other T

03/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory Other T

03/30/2009 Contract Bingham McCutchen LLP Legal Advisory Other T

03/30/2009 Contract Haynes and Boone LLP Legal Advisory Other T

03/30/2009 Contract Mckee Nelson LLP Legal Advisory Other T

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

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

04/03/2009 Contract The Boston Consulting Group Financial Advisory Other T

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

04/17/2009 Contract Herman Miller, Inc. Facilities Support Other T

04/21/2009 Financial Agent Alliance Bernstein L.P. Asset Management Services Other T

04/21/2009 Financial Agent FSI Group, LLC Asset Management Services Other T

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

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

05/14/2009 Contract Knowledgebank Inc. Administrative Support Small Di

05/15/2009 Contract Phacil Inc. Contract FOIA Support Services Small Di

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

05/26/2009 Contract Simpson Thacher & Bartlett LLP Legal Advisory Other T

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 T

07/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory Other T

07/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other T

07/30/2009 Contract Fox, Swibel, Levin & Carroll, LLP Legal Advisory Other T

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

08/10/2009 Interagency Agreement NASA Detailee(s)08/18/2009 Contract The Mercer Group, Inc. Administrative Support Other T

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

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

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

09/11/2009 Contract PricewaterhouseCoopers LLP Accounting/Internal Controls Other T

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

09/30/2009 Contract Immixtechnology, Inc. Information Technology Other T

09/30/2009 Contract Immixtechnology, Inc. Information Technology Other T

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

09/30/2009 Contract SNL Financial LC Financial Advisory Other T

11/09/2009 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support
Date Approved Type of Transaction Vendor Purpose 

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

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

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

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

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

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

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

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

01/14/2010 Interagency Agreement Government Accountability Office Compliance

01/15/2010 Contract Association of Govt Accountants Administrative Support Other T

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

02/16/2010 Contract The MITRE Corporation Information Technology Other T

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

03/08/2010 Contract QualX Corporation Administrative Support Service‐

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 T

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

04/08/2010 Contract Squire, Sanders & Dempsey LLP Legal Advisory Other T

04/12/2010 Contract Hewitt EnnisKnupp, Inc. Investment and Advisory Services Other T

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

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

04/23/2010 Contract RDA Corporation Information Technology Other T

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

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

06/24/2010 Contract Reed Elsevier PLC (dba LexisNexis) Administrative Support Other T

06/30/2010 Contract The George Washington University Administrative Support Other T

07/21/2010 Contract Navigant Consulting, Inc. Compliance Other T

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

07/22/2010 Contract Schiff Hardin LLP Legal Advisory Other T

07/22/2010 Contract Ernst & Young LLP Compliance Other T

07/22/2010 Contract PricewaterhouseCoopers LLP Compliance Other T

07/27/2010 Contract West Publishing Corporation Administrative Support Other T

08/06/2010 Contract Alston & Bird LLP Legal Advisory Other T

08/06/2010 Contract Sullivan Cove Reign Enterprises Jv Legal Advisory Small Di

08/06/2010 Contract Perkins Coie LLP Legal Advisory Other T

08/06/2010 Contract Orrick, Herrington & Sutcliffe LLP Legal Advisory Other T

08/06/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory Other T

08/06/2010 Contract Love and Long, LLP Legal Advisory Woman

08/06/2010 Contract Venable LLP Legal Advisory Other T

08/06/2010 Contract Fox, Swibel, Levin & Carroll, LLP Legal Advisory Other T

08/06/2010 Contract Seyfarth Shaw LLP Legal Advisory Other T

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

08/06/2010 Contract Shulman, Rogers, Gandal, Pordy & Ecker, PA Legal Advisory Other T
Date Approved Type of Transaction Vendor Purpose 

08/06/2010 Contract Hughes Hubbard & Reed LLP Legal Advisory Other T

08/06/2010 Contract Haynes and Boone LLP Legal Advisory Other T

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

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

09/01/2010 Contract CQ‐Roll Call Inc. Administrative Support Other T

09/17/2010 Contract Bingham McCutchen LLP Legal Advisory Other T

09/27/2010 Contract Davis Audrey Robinette Administrative Support Small Di

09/30/2010 Contract CCH Incorporated Administrative Support Other T

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

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

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/08/2010 Contract Management Concepts, Inc. Administrative Support Other T

10/14/2010 Contract Hispanic Assoc Of Coll & Univ Administrative Support Other T

10/26/2010 Interagency Agreement Government Accountability Office Compliance

11/08/2010 Contract The Mitre Corporation Information Technology Other T

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

12/02/2010 Contract Addx Corporation Acquisition Support Services Service‐

12/29/2010 Contract Reed Elsevier PLC (dba LexisNexis) Administrative Support Other T

01/05/2011 Contract Canon U.S.A. Inc. Administrative Support Other T

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

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

01/26/2011 Contract Association of Govt Accountants Administrative Support Other T

02/24/2011 Contract ESI International Inc. Administrative Support Other T

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

03/03/2011 Contract Equilar, Inc. Administrative Support Small Di

03/10/2011 Contract The Mercer Group, Inc. Administrative Support Other T

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

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

04/26/2011 Contract PricewaterhouseCoopers LLP Financial Advisory Other T

04/27/2011 Contract Oculus Group LLC Financial Advisory Small Di

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

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

04/27/2011 Contract Ernst & Young LLP Financial Advisory Other T

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

04/27/2011 Contract MorganFranklin Consulting, LLC Financial Advisory Other T

04/28/2011 Contract Booz Allen Hamilton Inc. Financial Advisory Other T

04/28/2011 Interagency Agreement

Office of Personnel Management (OPM) ‐ Western

Management Development Center Administrative Support

04/28/2011 Contract KPMG LLP Financial Advisory Other T
Date Approved Type of Transaction Vendor Purpose 

05/31/2011 Contract West Publishing Corporation Administrative Support Other T

05/31/2011 Contract Reed Elsevier PLC (dba LexisNexis) Administrative Support Other T

06/02/2011 Contract ESI International Inc. Administrative Support Other T

06/09/2011 Contract CQ‐Roll Call Inc. Administrative Support Other T

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

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

09/09/2011 Interagency Agreement Financial Management Service Intern

09/12/2011 Contract ADC LTD NM Compliance Small Di

09/15/2011 Contract All Business Machines, Inc. Administrative Support Service‐

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

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

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

10/20/2011 Contract All Business Machines, Inc. Administrative Support Service‐

11/18/2011 Contract QualX Corporation Administrative Support Service‐

11/29/2011 Financial Agent Houlihan Lokey, Inc. Transaction Structuring Services Other T

12/20/2011 Contract The Allison Group, LLC Professional/Management Training Woman

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

02/02/2012 Contract Moody's Analytics, Inc. Administrative Support Other T

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

02/14/2012 Contract Association of Govt Accountants Administrative Support Other T

02/27/2012 Contract Diversified Search LLC Financial Advisory Woman

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

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

03/30/2012 Contract E‐Launch Multimedia, Inc. Administrative Support Small Di

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

05/02/2012 Contract Cartridge Technologies, Inc. Facilities Support Small Di

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

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

06/15/2012 Contract QualX Corporation Administrative Support Service‐

06/30/2012 Contract West Publishing Corporation Subscription Services Other T

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

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

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

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

09/28/2012 Contract SNL Financial LC Information Technology Other T

11/19/2012 Interagency Agreement Government Accountability Office Compliance

12/13/2012 Contract Association of Govt Accountants Administrative Support Other T

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 T

01/01/2013 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services Other T

02/13/2013 Contract The Mercer Group, Inc. Administrative Support Other T
Date Approved Type of Transaction Vendor Purpose 

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

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 T

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 Di

06/13/2013 Contract West Publishing Corporation Administrative Support Other T

08/01/2013 Contract Evolution Management, Inc. Administrative Support Small Di

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

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

09/27/2013 Contract SNL Financial LC Administrative Support Other T

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 T

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 T

04/14/2014 Contract Bloomberg Finance L.P. Administrative Support Other T

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

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 T

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

 ∙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

d A it I i ti
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending January 31, 2015

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 Citigroufinancial condition and financial market stability. 
*Investment Status Definition Key

Full investment outstanding: Treasury's full investment is still outstandingRedeemed – institution has repaid Treasury’s investmentSold – by auction, an offering, or through a restructuringExited bankruptcy/receivership - Treasury has no outstanding investment11 1ST CONSTITUTION BANCORP CRANBURY NJ 23‐Dec‐08 Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in fu

1ST CONSTITUTION BANCORP CRANBURY NJ 27‐Oct‐10 1ST CONSTITUTION BANCORP CRANBURY NJ 22‐Nov‐11 

8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 13‐Feb‐09 Preferred Stock w/ Warrants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, in fu

1ST ENTERPRISE BANK LOS ANGELES CA 11‐Dec‐09 $6,000,000.00

1ST ENTERPRISE BANK LOS ANGELES CA 1‐Sep‐11 

102 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 14‐Nov‐08 Preferred Stock w/ Warrants $16,369,000.00 $0.00 $9,229,948.97 Sold, in fu

1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 31‐Dec‐13 

11 1ST SOURCE CORPORATION SOUTH BEND IN 23‐Jan‐09 Preferred Stock w/ Warrants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, in fu

1ST SOURCE CORPORATION SOUTH BEND IN 29‐Dec‐10 

1ST SOURCE CORPORATION SOUTH BEND IN 9‐Mar‐11 

11,8,14 1ST UNITED BANCORP, INC. BOCA RATON FL 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, in fu

1ST UNITED BANCORP, INC. BOCA RATON FL 18‐Nov‐09 

AB&T FINANCIAL CORPORATION GASTONIA NC 23‐Jan‐09 Preferred Stock w/ Warrants $3,500,000.00 $0.00 $1,274,909.59 Sold, 

AB&T FINANCIAL CORPORATION GASTONIA NC 19‐Nov‐13 

AB&T FINANCIAL CORPORATION GASTONIA NC 6‐Jan‐14 

AB&T FINANCIAL CORPORATION GASTONIA NC 10‐Feb‐14 

AB&T FINANCIAL CORPORATION GASTONIA NC 19‐Mar‐14 

44,8,14 ADBANC, INC. OGALLALA NE 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, in fu

ADBANC, INC. OGALLALA NE 21‐Jul‐11 

8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 $7,674,004.73 Sold, in fu

ALARION FINANCIAL SERVICES, INC. OCALA FL 19‐Jul‐13 

ALARION FINANCIAL SERVICES, INC. OCALA FL 22‐Jul‐13 

ALARION FINANCIAL SERVICES, INC. OCALA FL 12‐Sep‐13 

104 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 6‐Feb‐09 Preferred Stock w/ Warrants $4,781,000.00 $0.00 $7,501,881.70 Sold, in fu

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 28‐Nov‐12 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 29‐Nov‐12 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11‐Jan‐13 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 26‐Mar‐13 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 1‐Apr‐14 

ALLIANCE BANCSHARES, INC. DALTON GA 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $2,986,000.00 $0.00 $3,581,397.27 Sold, in fu

ALLIANCE BANCSHARES, INC. DALTON GA 27‐Mar‐13 

ALLIANCE BANCSHARES, INC. DALTON GA 28‐Mar‐13 

ALLIANCE BANCSHARES, INC. DALTON GA 9‐Apr‐13 

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 19‐Dec‐08 Preferred Stock w/ Warrants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, in fu

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 13‐May‐09 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 17‐Jun‐09 

15,14 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $9,806,136.60 Sold, in fu

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6‐Feb‐13 

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 7‐Feb‐13 

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26‐Mar‐13 

8 ALLIED FIRST BANCORP, INC. OSWEGO IL 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $3,652,000.00 $3,652,000.00 $409,753.00 Full investment outsta

8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $70,000,000.00 $0.00 $73,129,160.69 Sold, in fu

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 18‐Sep‐12 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 19‐Sep‐12 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 20‐Sep‐12 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 16‐Nov‐12 

45,8,14 AMB FINANCIAL CORPORATION MUNSTER IN 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, in fu

AMB FINANCIAL CORPORATION MUNSTER IN 22‐Sep‐11 

44,8,14 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, in fu

AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 15‐Sep‐11 

11 AMERICAN EXPRESS COMPANY NEW YORK NY 9‐Jan‐09 Preferred Stock w/ Warrants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, in fu

AMERICAN EXPRESS COMPANY NEW YORK NY 17‐Jun‐09 

AMERICAN EXPRESS COMPANY NEW YORK NY 29‐Jul‐09 

11,8,14 AMERICAN PREMIER BANCORP ARCADIA CA 29‐May‐09 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, in fu

AMERICAN PREMIER BANCORP ARCADIA CA 26‐Jan‐11 

11,8,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, in fu

AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 2‐Nov‐11 

AMERIS BANCORP MOULTRIE GA 21‐Nov‐08 Preferred Stock w/ Warrants $52,000,000.00 $0.00 $59,637,438.67 Sold, in fu

AMERIS BANCORP MOULTRIE GA 19‐Jun‐12 

AMERIS BANCORP MOULTRIE GA 22‐Aug‐12 

45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 19‐Dec‐08 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, in fu

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11‐Aug‐11 

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 2‐Nov‐11 

15,14 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 21‐Aug‐09 Subordinated Debentures w/ Exercised Warrants $5,000,000.00 $0.00 $6,523,255.00 Sold, in fu

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 26‐Mar‐13 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 27‐Mar‐13 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 28‐Mar‐13 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 9‐Apr‐13 

94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 30‐Jan‐09 Preferred Stock w/ Warrants $110,000,000.00 $0.00 $6,000,000.00 Sold, in fu

ANCHOR BANCORP WISCONSIN, INC. MADISON WI 27‐Sep‐13 

11,90 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 30‐Jan‐09 Preferred Stock w/ Warrants $8,152,000.00 $0.00 $9,643,136.33 Redeemed, 

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 18‐Apr‐12 

ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 6‐Mar‐13 

11 ASSOCIATED BANC‐CORP GREEN BAY WI 21‐Nov‐08 Preferred Stock w/ Warrants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, in fu

ASSOCIATED BANC‐CORP GREEN BAY WI 6‐Apr‐11 ASSOCIATED BANC‐CORP GREEN BAY WI 14‐Sep‐11 

ASSOCIATED BANC‐CORP GREEN BAY WI 6‐Dec‐11 

8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 29‐Dec‐09 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,503,554.78 Sold, in fu

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

CAPITAL PURCHASE PROGRAM

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending January 28, 2015

Investment S

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

Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

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

FootNote Institution Name City State

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Write-off)Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrantsIn full – all of Treasury’s investment amount
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

ATLANTIC BANCSHARES, INC. BLUFFTON SC 7‐Feb‐14 

ATLANTIC BANCSHARES, INC. BLUFFTON SC 10‐Feb‐14 

ATLANTIC BANCSHARES, INC. BLUFFTON SC 19‐Mar‐14 

44,8,14 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, in fu

AVENUE FINANCIAL HOLDINGS NASHVILLE TN 15‐Sep‐11 

11 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 30‐Jan‐09 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, in fu

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 31‐Jul‐13 

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 28‐Aug‐13 

8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, in fu

BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 14‐Jul‐11 

8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 10‐Jul‐09 Preferred Stock w/ Exercised Warrants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, in fu

BANCORP FINANCIAL, INC. OAK BROOK IL 18‐Aug‐11 

11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 19‐Dec‐08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, in fu

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 5‐Aug‐09 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 30‐Sep‐09 

11,8,14 BANCPLUS CORPORATION RIDGELAND MS 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, in fu

BANCPLUS CORPORATION RIDGELAND MS 29‐Sep‐10 

8,14 BANCSTAR, INC. FESTUS MO 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $8,600,000.00 $0.00 $10,701,460.58 Sold, in fu

BANCSTAR, INC. FESTUS MO 26‐Apr‐13 

BANCSTAR, INC. FESTUS MO 29‐Apr‐13 

BANCSTAR, INC. FESTUS MO 31‐May‐13 

83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 19‐Dec‐08 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, in fu

BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 15‐Feb‐13 

8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 14‐Aug‐09 Preferred Stock w/ Exercised Warrants $1,004,000.00 $0.00 $1,114,680.76 Sold, in fu

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 19‐Dec‐12 

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 20‐Dec‐12 

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 11‐Jan‐13 

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 26‐Mar‐13 

6,7,11 BANK OF AMERICA CHARLOTTE NC 28‐Oct‐08 Preferred Stock w/ Warrants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, in fu

BANK OF AMERICA CHARLOTTE NC 9‐Jan‐09 $10,000,000,000.00

BANK OF AMERICA CHARLOTTE NC 9‐Dec‐09 

BANK OF AMERICA CHARLOTTE NC 9‐Mar‐10 

8,14 BANK OF COMMERCE CHARLOTTE NC 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,087,573.33 Sold, in fu

BANK OF COMMERCE CHARLOTTE NC 30‐Nov‐12 

BANK OF COMMERCE CHARLOTTE NC 11‐Jan‐13 

44 BANK OF COMMERCE HOLDINGS REDDING CA 14‐Nov‐08 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, in fu

BANK OF COMMERCE HOLDINGS REDDING CA 27‐Sep‐11 

BANK OF COMMERCE HOLDINGS REDDING CA 26‐Oct‐11 

8 BANK OF GEORGE LAS VEGAS NV 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $2,672,000.00 $0.00 $1,233,940.00 Sold, in fu

BANK OF GEORGE LAS VEGAS NV 21‐Oct‐13 BANK OF GEORGE LAS VEGAS NV 6‐Jan‐14 

11 BANK OF MARIN BANCORP NOVATO CA 5‐Dec‐08 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, in fu

BANK OF MARIN BANCORP NOVATO CA 31‐Mar‐09 

BANK OF MARIN BANCORP NOVATO CA 23‐Nov‐11 

11 BANK OF NEW YORK MELLON NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, in fu

BANK OF NEW YORK MELLON NEW YORK NY 17‐Jun‐09 

BANK OF NEW YORK MELLON NEW YORK NY 5‐Aug‐09 

105 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 17‐Apr‐09 Preferred Stock w/ Warrants $13,179,000.00 $0.00 $4,334,427.00 Sold, in fu

BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 16‐Jul‐14 

11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12‐Dec‐08 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, in fu

BANK OF THE OZARKS, INC. LITTLE ROCK AR 4‐Nov‐09 

BANK OF THE OZARKS, INC. LITTLE ROCK AR 24‐Nov‐09 

8,106 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $12,639,000.00 $0.00 $17,097,990.60 Redeemed, in fu

BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 24‐Apr‐14 

44,8,14 BANKFIRST CAPITAL CORPORATION MACON MS 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, in fu

BANKFIRST CAPITAL CORPORATION MACON MS 8‐Sep‐11 

8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $1,100,653.50 Sold, in fu

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 9‐Nov‐12 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11‐Jan‐13 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 26‐Mar‐13 

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 21‐Nov‐08 Preferred Stock w/ Warrants $124,000,000.00 $0.00 $129,079,862.47 Sold, in fu

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 3‐Apr‐12 BANNER CORPORATION/BANNER BANK WALLA WALLA WA 12‐Jun‐13 

44,8,14 BANNER COUNTY BAN CORPORATION HARRISBURG NE 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $795,000.00 $0.00 $942,411.42 Redeemed, in fu

BANNER COUNTY BAN CORPORATION HARRISBURG NE 28‐Jul‐11 

12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 16‐Jan‐09 Preferred Stock w/ Warrants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, in fu

BAR HARBOR BANKSHARES BAR HARBOR ME 24‐Feb‐10 BAR HARBOR BANKSHARES BAR HARBOR ME 28‐Jul‐10 

11 BB&T CORP. WINSTON‐SALEM NC 14‐Nov‐08 Preferred Stock w/ Warrants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, in fu

BB&T CORP. WINSTON‐SALEM NC 17‐Jun‐09 

BB&T CORP. WINSTON‐SALEM NC 22‐Jul‐09 

8,112 BCB HOLDING COMPANY, INC. THEODORE AL 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $1,706,000.00 $0.00 $2,315,853.14 Redeemed, in fu

BCB HOLDING COMPANY, INC. THEODORE AL 1‐Jul‐14 

11 BCSB BANCORP, INC. BALTIMORE MD 23‐Dec‐08 Preferred Stock w/ Warrants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, in fu

BCSB BANCORP, INC. BALTIMORE MD 26‐Jan‐11 

BCSB BANCORP, INC. BALTIMORE MD 19‐Apr‐13 

11,8,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, in fu

BEACH BUSINESS BANK MANHATTAN BEACH CA 6‐Jul‐11 

BEACH BUSINESS BANK MANHATTAN BEACH CA 19‐Oct‐11 

BEACH BUSINESS BANK MANHATTAN BEACH CA 7‐Mar‐12 

BEACH BUSINESS BANK MANHATTAN BEACH CA 6‐Jun‐12 

BEACH BUSINESS BANK MANHATTAN BEACH CA 27‐Jun‐12 

11,14,8 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, in fu

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 19‐Sep‐11 

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 28‐Dec‐11 

11 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 19‐Dec‐08 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, in fu

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 27‐May‐09 

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 24‐Jun‐09 

44,8,14 BERN BANCSHARES, INC. BERN KS 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $985,000.00 $0.00 $1,172,062.50 Redeemed, in fu

BERN BANCSHARES, INC. BERN KS 1‐Sep‐11 

8,14,18,44 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, in fu

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 18‐Dec‐09 $1,744,000.00

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 28‐Jul‐11 

15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $6,400,000.00 $0.00 $8,271,975.28 Sold, in fu

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 7‐Feb‐13 

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 8‐Feb‐13 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 26‐Mar‐13 

8,14 BLACKHAWK BANCORP, INC. BELOIT WI 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,459,461.11 Sold, in fu

BLACKHAWK BANCORP, INC. BELOIT WI 29‐Oct‐12 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

BLACKHAWK BANCORP, INC. BELOIT WI 31‐Oct‐12 

BLACKHAWK BANCORP, INC. BELOIT WI 11‐Jan‐13 

14,8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 22‐May‐09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, in fu

BLACKRIDGE FINANCIAL, INC. FARGO ND 27‐Jun‐12 

BLACKRIDGE FINANCIAL, INC. FARGO ND 12‐Sep‐12 

8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $11,938,437.34 Sold, in fu

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 29‐Oct‐12 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 31‐Oct‐12 

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 11‐Jan‐13 

8,64,97 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $529,105.00 

BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 10‐Feb‐12 

BLUE VALLEY BAN CORP OVERLAND PARK KS 5‐Dec‐08 Preferred Stock w/ Warrants $21,750,000.00 $0.00 $21,264,901.65 Sold, in fu

BLUE VALLEY BAN CORP OVERLAND PARK KS 18‐Oct‐13 

BLUE VALLEY BAN CORP OVERLAND PARK KS 21‐Oct‐13 

BLUE VALLEY BAN CORP OVERLAND PARK KS 6‐Jan‐14 

BLUE VALLEY BAN CORP OVERLAND PARK KS 7‐Jan‐15 

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, in fu

BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 30‐Aug‐13 

BNC BANCORP THOMASVILLE NC 5‐Dec‐08 Preferred Stock w/ Warrants $31,260,000.00 $0.00 $35,140,666.12 Sold, in fu

BNC BANCORP THOMASVILLE NC 29‐Aug‐12 

BNC BANCORP THOMASVILLE NC 19‐Sep‐12 

44,8,14 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, in fu

BNC FINANCIAL GROUP, INC. NEW CANAAN CT 4‐Aug‐11 

8 BNCCORP, INC. BISMARCK ND 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $20,093,000.00 $0.00 $26,941,865.35 Sold, in fu

BNCCORP, INC. BISMARCK ND 14‐Mar‐14 

BNCCORP, INC. BISMARCK ND 17‐Mar‐14 

BNCCORP, INC. BISMARCK ND 25‐Apr‐14 

44,8,14 BOH HOLDINGS, INC. HOUSTON TX 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, in fu

BOH HOLDINGS, INC. HOUSTON TX 14‐Jul‐11 

15,14 BOSCOBEL BANCORP, INC. BOSCOBEL WI 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $5,586,000.00 $0.00 $6,947,457.50 Sold, in fu

BOSCOBEL BANCORP, INC. BOSCOBEL WI 8‐Mar‐13 

BOSCOBEL BANCORP, INC. BOSCOBEL WI 11‐Mar‐13 

BOSCOBEL BANCORP, INC. BOSCOBEL WI 9‐Apr‐13 

11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 21‐Nov‐08 Preferred Stock w/ Warrants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, in fu

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 13‐Jan‐10 

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 16‐Jun‐10 

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 7‐Feb‐11 

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23‐Dec‐08 Preferred Stock w/ Warrants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, in fu

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23‐Feb‐11 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 16‐Mar‐11 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 20‐Apr‐11 

8 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $38,000,000.00 $0.00 $13,447,811.37 Sold, in fu

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19‐Nov‐13 

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 6‐Jan‐14 

9,10,18,65,96,99 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 14‐Nov‐08 Preferred Stock w/ Warrants $9,000,000.00 $15,000,000.00 $810,416.67 Full investment outstandin

BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 4‐Dec‐09 $6,000,000.00

15,14 BROGAN BANKSHARES, INC. KAUKAUNA WI 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $2,400,000.00 $0.00 $3,022,879.60 Sold, in fu

BROGAN BANKSHARES, INC. KAUKAUNA WI 26‐Apr‐13 

BROGAN BANKSHARES, INC. KAUKAUNA WI 29‐Apr‐13 

BROGAN BANKSHARES, INC. KAUKAUNA WI 31‐May‐13 

8,44,14 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 17‐Jul‐09 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, in fu

BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 15‐Sep‐11 

11,8,14 BUSINESS BANCSHARES, INC. CLAYTON MO 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, in fu

BUSINESS BANCSHARES, INC. CLAYTON MO 23‐May‐12 

BUSINESS BANCSHARES, INC. CLAYTON MO 9‐Jan‐13 

BUSINESS BANCSHARES, INC. CLAYTON MO 24‐Apr‐13 

11,8,14 BUTLER POINT, INC. CATLIN IL 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $607,000.00 $0.00 $724,123.53 Redeemed, in fu

BUTLER POINT, INC. CATLIN IL 2‐Nov‐11 

11 C&F FINANCIAL CORPORATION WEST POINT VA 9‐Jan‐09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $25,205,957.78 Redeemed, in fu

C&F FINANCIAL CORPORATION WEST POINT VA 27‐Jul‐11 

C&F FINANCIAL CORPORATION WEST POINT VA 11‐Apr‐12 

C&F FINANCIAL CORPORATION WEST POINT VA 14‐May‐14 

8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, in fu

CACHE VALLEY BANKING COMPANY LOGAN UT 18‐Dec‐09 $4,640,000.00CACHE VALLEY BANKING COMPANY LOGAN UT 14‐Jul‐11 

CADENCE FINANCIAL CORPORATION STARKVILLE MS 9‐Jan‐09 Preferred Stock w/ Warrants $44,000,000.00 $0.00 $41,984,062.50 Sold, in fu

CADENCE FINANCIAL CORPORATION STARKVILLE MS 4‐Mar‐11 

44,8,14 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in fu

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 15‐Sep‐11 

11,8,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in fu

CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 8‐Dec‐10 

8 CALVERT FINANCIAL CORPORATION ASHLAND MO 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $1,037,000.00 $1,037,000.00 $215,442.61 Full investment outsta

8 CALWEST BANCORP RANCHO SANTA MARGARIT CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,656,000.00 $4,656,000.00 $396,163.67 Full investment outsta

11,8,14 CAPITAL BANCORP, INC. ROCKVILLE MD 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, in fu

CAPITAL BANCORP, INC. ROCKVILLE MD 30‐Dec‐10 

39 CAPITAL BANK CORPORATION RALEIGH NC 12‐Dec‐08 Preferred Stock w/ Warrants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, in fu

CAPITAL BANK CORPORATION RALEIGH NC 28‐Jan‐11 

8 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 10‐Apr‐09 Preferred Stock w/ Exercised Warrants $5,100,000.00 $5,100,000.00 $304,973.00 Full investment outsta

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 14‐Nov‐08 Preferred Stock w/ Warrants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, in fu

CAPITAL ONE FINANCIAL CORP MCLEAN VA 17‐Jun‐09 

CAPITAL ONE FINANCIAL CORP MCLEAN VA 9‐Dec‐09 

8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,742,850.89 Sold, in fu

CAPITAL PACIFIC BANCORP PORTLAND OR 8‐Nov‐12 

CAPITAL PACIFIC BANCORP PORTLAND OR 9‐Nov‐12 

CAPITAL PACIFIC BANCORP PORTLAND OR 11‐Jan‐13 

15,45,14 CARDINAL BANCORP II, INC. WASHINGTON MO 23‐Oct‐09 Subordinated Debentures w/ Exercised Warrants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, in fu

CARDINAL BANCORP II, INC. WASHINGTON MO 8‐Sep‐11 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 9‐Jan‐09 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $19,941,788.94 Sold, in fu

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 20‐Feb‐13 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 21‐Feb‐13 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 26‐Mar‐13 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 19‐Apr‐13 CAROLINA TRUST BANK LINCOLNTON NC 6‐Feb‐09 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,994,452.00 Sold, in fu

CAROLINA TRUST BANK LINCOLNTON NC 30‐Nov‐12 

CAROLINA TRUST BANK LINCOLNTON NC 11‐Jan‐13 

CAROLINA TRUST BANK LINCOLNTON NC 26‐Mar‐13 

CAROLINA TRUST BANK LINCOLNTON NC 11‐Jun‐13 

11 CARROLLTON BANCORP BALTIMORE MD 13‐Feb‐09 Preferred Stock w/ Warrants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, in fu

CARROLLTON BANCORP BALTIMORE MD 19‐Apr‐13 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

11,9,36 CARVER BANCORP, INC. NEW YORK NY 16‐Jan‐09 Preferred Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, in fu

CARVER BANCORP, INC. NEW YORK NY 27‐Aug‐10 

CASCADE FINANCIAL CORPORATION EVERETT WA 21‐Nov‐08 Preferred Stock w/ Warrants $38,970,000.00 $0.00 $17,678,900.00 Sold, in fu

CASCADE FINANCIAL CORPORATION EVERETT WA 30‐Jun‐11 

11 CATHAY GENERAL BANCORP LOS ANGELES CA 5‐Dec‐08 Preferred Stock w/ Warrants $258,000,000.00 $0.00 $329,874,444.96 Redeemed, in fu

CATHAY GENERAL BANCORP LOS ANGELES CA 20‐Mar‐13 

CATHAY GENERAL BANCORP LOS ANGELES CA 30‐Sep‐13 

CATHAY GENERAL BANCORP LOS ANGELES CA 9‐Dec‐13 

8,18,14,44 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, in fu

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 22‐Dec‐09 $3,500,000.00

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 21‐Jul‐11 

8,57,97 CB HOLDING CORP. ALEDO IL 29‐May‐09 Preferred Stock w/ Exercised Warrants $4,114,000.00 $0.00 $271,579.53 

CB HOLDING CORP. ALEDO IL 14‐Oct‐11 

8,18,18 CBB BANCORP CARTERSVILLE GA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,644,000.00 $0.00 $4,982,141.86 Sold, in fu

CBB BANCORP CARTERSVILLE GA 29‐Dec‐09 $1,753,000.00

CBB BANCORP CARTERSVILLE GA 28‐Nov‐12 

CBB BANCORP CARTERSVILLE GA 29‐Nov‐12 

CBB BANCORP CARTERSVILLE GA 11‐Jan‐13 

CBB BANCORP CARTERSVILLE GA 26‐Mar‐13 

8,14 CBS BANC‐CORP. RUSSELLVILLE AL 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $24,300,000.00 $0.00 $27,432,357.95 Sold, in fu

CBS BANC‐CORP. RUSSELLVILLE AL 7‐Aug‐12 

CBS BANC‐CORP. RUSSELLVILLE AL 9‐Aug‐12 CBS BANC‐CORP. RUSSELLVILLE AL 10‐Aug‐12 

CBS BANC‐CORP. RUSSELLVILLE AL 11‐Sep‐12 

CECIL BANCORP, INC. ELKTON MD 23‐Dec‐08 Preferred Stock w/ Warrants $11,560,000.00 $11,560,000.00 $516,988.89 Full investment outsta

8 CEDARSTONE BANK LEBANON TN 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,564,000.00 $0.00 $4,672,098.50 Redeemed, in fu

CEDARSTONE BANK LEBANON TN 20‐Nov‐13 

44 CENTER BANCORP, INC. UNION NJ 9‐Jan‐09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, in fu

CENTER BANCORP, INC. UNION NJ 15‐Sep‐11 

CENTER BANCORP, INC. UNION NJ 7‐Dec‐11 

11,59 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12‐Dec‐08 Preferred Stock w/ Warrants $55,000,000.00 $0.00 $64,739,583.33 Redeemed, 

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 27‐Jun‐12 

8,14 CENTERBANK MILFORD OH 1‐May‐09 Preferred Stock w/ Exercised Warrants $2,250,000.00 $0.00 $2,344,662.43 Sold, in fu

CENTERBANK MILFORD OH 29‐Oct‐12 

CENTERBANK MILFORD OH 1‐Nov‐12 

CENTERBANK MILFORD OH 11‐Jan‐13 

CENTERBANK MILFORD OH 26‐Mar‐13 

12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 21‐Nov‐08 Preferred Stock w/ Warrants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, in fu

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 30‐Sep‐09 

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 28‐Oct‐09 

11,8,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, in fu

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 31‐Mar‐09 

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 15‐Apr‐09 

45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 5‐Dec‐08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, in fu

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 25‐Aug‐11 

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 19‐Oct‐11 

8,113 CENTRAL BANCORP, INC. (TX) GARLAND TX 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $22,500,000.00 $0.00 $31,086,221.13 Redeemed, in fu

CENTRAL BANCORP, INC. (TX) GARLAND TX 29‐Aug‐14 

11,8,14 CENTRAL BANCSHARES, INC. HOUSTON TX 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, in fu

CENTRAL BANCSHARES, INC. HOUSTON TX 6‐Jul‐11 

8,14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $25,797,528.80 Sold, in fu

CENTRAL COMMUNITY CORPORATION TEMPLE TX 10‐Dec‐12 

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11‐Dec‐12 

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11‐Jan‐13 

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 5‐Dec‐08 Preferred Stock w/ Warrants $7,225,000.00 $0.00 $3,612,118.06 Sold, in fu

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 26‐Sep‐12 

11 CENTRAL JERSEY BANCORP OAKHURST NJ 23‐Dec‐08 Preferred Stock w/ Warrants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, in fu

CENTRAL JERSEY BANCORP OAKHURST NJ 24‐Nov‐10 

CENTRAL JERSEY BANCORP OAKHURST NJ 1‐Dec‐10 

40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 9‐Jan‐09 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in fu

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 22‐Jun‐11 

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4‐Apr‐12 

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 11‐Jun‐13 

45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 30‐Jan‐09 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, in fu

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 18‐Aug‐11 

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 28‐Sep‐11 

93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 30‐Jan‐09 Preferred Stock w/ Warrants $11,385,000.00 $0.00 $3,800,656.00 Sold, in fu

CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 1‐Oct‐13 

8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 18‐Dec‐09 Preferred Stock w/ Exercised Warrants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, in fu

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 14‐Jul‐11 

44,8,14 CENTRIX BANK & TRUST BEDFORD NH 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, in fu

CENTRIX BANK & TRUST BEDFORD NH 28‐Jul‐11 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 9‐Jan‐09 Preferred Stock w/ Warrants $32,668,000.00 $0.00 $11,205,387.14 Sold, in fu

CENTRUE FINANCIAL CORPORATION OTTAWA IL 25‐Sep‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 18‐Oct‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 29‐Oct‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 6‐Jan‐14 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 10‐Feb‐14 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 19‐Mar‐14 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 15‐Oct‐14 

15,14 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $10,000,000.00 $0.00 $13,186,960.25 Sold, in fu

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19‐Dec‐12 

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 20‐Dec‐12 

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 11‐Jan‐13 

15 CHAMBERS BANCSHARES, INC. DANVILLE AR 29‐May‐09 Subordinated Debentures w/ Exercised Warrants $19,817,000.00 $19,817,000.00 $5,754,674.98 Full investment outsta

8 CHICAGO SHORE CORPORATION CHICAGO IL 31‐Jul‐09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,981,348.81 Sold, in fu

CHICAGO SHORE CORPORATION CHICAGO IL 14‐Mar‐14 

CHICAGO SHORE CORPORATION CHICAGO IL 17‐Mar‐14 

CHICAGO SHORE CORPORATION CHICAGO IL 25‐Apr‐14 

23 CIT GROUP INC. NEW YORK NY 31‐Dec‐08 Preferred Stock w/ Warrants $2,330,000,000.00 $0.00 $43,687,500.00 Ex

CIT GROUP INC. NEW YORK NY 10‐Dec‐09 

19,30 CITIGROUP INC. NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $32,839,267,986.44 Redeemed, in fu

CITIGROUP INC. NEW YORK NY 10‐Dec‐10 

CITIGROUP INC. NEW YORK NY 31‐Jan‐11 

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 16‐Jan‐09 Preferred Stock w/ Warrants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, in fu

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 4‐Aug‐10 

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1‐Sep‐10 

8,55,97 CITIZENS BANCORP NEVADA CITY CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $10,400,000.00 $0.00 $223,571.11 

CITIZENS BANCORP NEVADA CITY CA 23‐Sep‐11 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

8,14 CITIZENS BANCSHARES CO. CHILLICOTHE MO 29‐May‐09 Preferred Stock w/ Exercised Warrants $24,990,000.00 $0.00 $13,952,381.45 Sold, in fu

CITIZENS BANCSHARES CO. CHILLICOTHE MO 7‐Feb‐13 CITIZENS BANCSHARES CO. CHILLICOTHE MO 8‐Feb‐13 CITIZENS BANCSHARES CO. CHILLICOTHE MO 26‐Mar‐13 

11,9,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 6‐Mar‐09 Preferred Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, in fu

CITIZENS BANCSHARES CORPORATION ATLANTA GA 13‐Aug‐10 

8 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $2,400,000.00 $623,883.00 Full investment outsta

8 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $6,300,000.00 $6,300,000.00 $180,258.50 Full investment outsta

44,8,14 CITIZENS COMMUNITY BANK SOUTH HILL VA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, in fu

CITIZENS COMMUNITY BANK SOUTH HILL VA 28‐Jul‐11 

11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 19‐Dec‐08 Preferred Stock w/ Warrants $8,779,000.00 $0.00 $10,530,923.11 Redeemed, 

CITIZENS FIRST CORPORATION BOWLING GREEN KY 16‐Feb‐11 

CITIZENS FIRST CORPORATION BOWLING GREEN KY 13‐Feb‐13 

CITIZENS FIRST CORPORATION BOWLING GREEN KY 15‐Jan‐14 

86 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12‐Dec‐08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $369,245,436.64 Redeemed, 

CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12‐Apr‐13 

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12‐Dec‐08 Preferred Stock w/ Warrants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, in fu

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 22‐Sep‐11 

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9‐Nov‐11 

8,9 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 10‐Apr‐09 Preferred Stock $9,439,000.00 $9,439,000.00 $281,859.00 Full investment outstandin

11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 21‐Nov‐08 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, in fu

CITY NATIONAL CORPORATION BEVERLY HILLS CA 30‐Dec‐09 CITY NATIONAL CORPORATION BEVERLY HILLS CA 3‐Mar‐10 

CITY NATIONAL CORPORATION BEVERLY HILLS CA 7‐Apr‐10 

8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,318,585.05 Sold, in fu

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 28‐Nov‐12 

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 29‐Nov‐12 

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11‐Jan‐13 

82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 5‐Dec‐08 Preferred Stock w/ Warrants $9,950,000.00 $0.00 $11,166,897.79 Sold, in fu

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 8‐Mar‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 11‐Mar‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 9‐Apr‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 10‐Apr‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12‐Jun‐13 

8,17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 28‐Aug‐09 Preferred Stock w/ Exercised Warrants $16,015,000.00 $0.00 $14,257,487.71 Sold, in fu

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8‐Mar‐13 

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 11‐Mar‐13 

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 9‐Apr‐13 

45 COBIZ FINANCIAL INC. DENVER CO 19‐Dec‐08 Preferred Stock w/ Warrants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, in fu

COBIZ FINANCIAL INC. DENVER CO 8‐Sep‐11 

COBIZ FINANCIAL INC. DENVER CO 23‐Nov‐11 

44 CODORUS VALLEY BANCORP, INC. YORK PA 9‐Jan‐09 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, in fu

CODORUS VALLEY BANCORP, INC. YORK PA 18‐Aug‐11 

CODORUS VALLEY BANCORP, INC. YORK PA 28‐Sep‐11 

8,14 COLOEAST BANKSHARES, INC. LAMAR CO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,670,784.03 Sold, in fu

COLOEAST BANKSHARES, INC. LAMAR CO 19‐Jul‐13 

COLOEAST BANKSHARES, INC. LAMAR CO 22‐Jul‐13 

COLOEAST BANKSHARES, INC. LAMAR CO 12‐Sep‐13 

11,8,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $574,000.00 $0.00 $668,142.53 Redeemed, in fu

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 26‐Oct‐11 

COLONY BANKCORP, INC. FITZGERALD GA 9‐Jan‐09 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $26,480,089.20 Sold, in fu

COLONY BANKCORP, INC. FITZGERALD GA 7‐Feb‐13 

COLONY BANKCORP, INC. FITZGERALD GA 8‐Feb‐13 

COLONY BANKCORP, INC. FITZGERALD GA 26‐Mar‐13 

COLONY BANKCORP, INC. FITZGERALD GA 12‐Jun‐13 

11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 21‐Nov‐08 Preferred Stock w/ Warrants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, in fu

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11‐Aug‐10 

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 1‐Sep‐10 

44,8,14 COLUMBINE CAPITAL CORP. BUENA VISTA CO 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, in fu

COLUMBINE CAPITAL CORP. BUENA VISTA CO 22‐Sep‐11 

11 COMERICA INC. DALLAS TX 14‐Nov‐08 Preferred Stock w/ Warrants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, in fu

COMERICA INC. DALLAS TX 17‐Mar‐10 

COMERICA INC. DALLAS TX 12‐May‐10 

11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 9‐Jan‐09 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,602,969.61 Redeemed, in fu

COMMERCE NATIONAL BANK NEWPORT BEACH CA 7‐Oct‐09 

COMMERCE NATIONAL BANK NEWPORT BEACH CA 1‐Oct‐13 

15,14 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $20,400,000.00 $0.00 $21,575,016.54 Sold, in fu

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 7‐Aug‐12 

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8‐Aug‐12 

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 9‐Aug‐12 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 10‐Aug‐12 

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 11‐Sep‐12 

8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $7,701,000.00 $0.00 $8,451,110.79 Sold, in fu

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 17‐Jul‐13 

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 12‐Sep‐13 

11,8,14 COMMUNITY 1ST BANK ROSEVILLE CA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in fu

COMMUNITY 1ST BANK ROSEVILLE CA 19‐Dec‐12 

11,8,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $500,000.00 $0.00 $616,741.75 Redeemed, in fu

COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 18‐Jul‐12 

11,8,14 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 11‐Sep‐09 Preferred Stock w/ Exercised Warrants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, in fu

COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 29‐Sep‐10 

8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 24‐Jul‐09 Preferred Stock w/ Exercised Warrants $3,872,000.00 $3,872,000.00 $1,123,415.57 Full investment outsta

11,9,36 COMMUNITY BANK OF THE BAY OAKLAND CA 16‐Jan‐09 Preferred Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, in fu

COMMUNITY BANK OF THE BAY OAKLAND CA 29‐Sep‐10 

44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 29‐May‐09 Preferred Stock w/ Warrants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, in fu

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 15‐Sep‐11 

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 19‐Oct‐11 

11,101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 19‐Dec‐08 Preferred Stock w/ Warrants $17,680,000.00 $0.00 $23,135,879.12 Redeemed, in fu

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 24‐Jul‐13 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 20‐Nov‐13 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 23‐Apr‐14 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 4‐Jun‐14 

8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,976,000.00 $0.00 $4,674,050.16 Sold, in fu

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 30‐Nov‐12 

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11‐Jan‐13 

81 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 19‐Dec‐08 Preferred Stock w/ Warrants $12,643,000.00 $0.00 $15,206,719.94 Redeemed, 

COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 9‐Jan‐13 

76,8,14 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 15‐May‐09 Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 $4,240,743.82 Sold, in fu

COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 21‐Dec‐12 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

8 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $12,725,000.00 $0.00 $16,441,884.63 Sold, in fu

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 7‐Feb‐14 

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 10‐Feb‐14 

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 19‐Mar‐14 

44,8,14 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, in fu

COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 18‐Aug‐11 

8 COMMUNITY FIRST, INC. COLUMBIA TN 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $17,806,000.00 $0.00 $7,665,362.89 Sold, in fu

COMMUNITY FIRST, INC. COLUMBIA TN 11‐Apr‐14 

COMMUNITY FIRST, INC. COLUMBIA TN 14‐Apr‐14 

COMMUNITY FIRST, INC. COLUMBIA TN 18‐Jul‐14 

8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in fu

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 30‐Nov‐12 

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 11‐Jan‐13 

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 26‐Mar‐13 

8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $3,115,616.28 Sold, in fu

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 19‐Dec‐12 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 20‐Dec‐12 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 11‐Jan‐13 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 26‐Mar‐13 

44 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 30‐Jan‐09 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, in fu

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 11‐Aug‐11 

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 26‐Oct‐11 

15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 13‐Nov‐09 Subordinated Debentures w/ Exercised Warrants $4,400,000.00 $0.00 $5,462,045.14 Sold, in fu

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12‐Aug‐13 

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12‐Sep‐13 

44,8,14 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, in fu

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 6‐Jul‐11 

COMMUNITY WEST BANCSHARES GOLETA CA 19‐Dec‐08 Preferred Stock w/ Warrants $15,600,000.00 $0.00 $14,341,140.33 Sold, in fu

COMMUNITY WEST BANCSHARES GOLETA CA 10‐Dec‐12 

COMMUNITY WEST BANCSHARES GOLETA CA 11‐Dec‐12 COMMUNITY WEST BANCSHARES GOLETA CA 11‐Jan‐13 

COMMUNITY WEST BANCSHARES GOLETA CA 12‐Jun‐13 

53,110 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 13‐Feb‐09 Preferred Stock w/ Warrants $51,500,000.00 $0.00 $12,739,234.90 Sold, 

COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 23‐May‐14 

8,14 CONGAREE BANCSHARES, INC. CAYCE SC 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,285,000.00 $0.00 $3,483,629.20 Sold, in fu

CONGAREE BANCSHARES, INC. CAYCE SC 29‐Oct‐12 

CONGAREE BANCSHARES, INC. CAYCE SC 31‐Oct‐12 CONGAREE BANCSHARES, INC. CAYCE SC 11‐Jan‐13 

8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $638,000.00 $0.00 $659,705.04 Sold, in fu

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 30‐Nov‐12 

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11‐Jan‐13 

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 26‐Mar‐13 

8,14 COUNTRY BANK SHARES, INC. MILFORD NE 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $7,525,000.00 $0.00 $8,781,205.02 Sold, in fu

COUNTRY BANK SHARES, INC. MILFORD NE 28‐Nov‐12 

COUNTRY BANK SHARES, INC. MILFORD NE 29‐Nov‐12 

COUNTRY BANK SHARES, INC. MILFORD NE 11‐Jan‐13 

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 5‐Jun‐09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,594,635.27 Redeemed, in fu

COVENANT FINANCIAL CORPORATION CLARKSDALE MS 30‐Apr‐14 

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $4,225,732.08 Redeemed, in fu

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 8‐Jan‐14 

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 19‐Nov‐14 

58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 9‐Jan‐09 Preferred Stock w/ Warrants $24,900,000.00 $0.00 $33,014,741.20 Redeemed, in fu

CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 19‐Feb‐14 

CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 11‐Jun‐14 

8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,650,000.00 $0.00 $13,498,324.83 Sold, in fu

CROSSTOWN HOLDING COMPANY BLAINE MN 19‐Jul‐13 

CROSSTOWN HOLDING COMPANY BLAINE MN 22‐Jul‐13 

CROSSTOWN HOLDING COMPANY BLAINE MN 12‐Sep‐13 

8 CSRA BANK CORP. WRENS GA 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $2,400,000.00 $180,940.00 Full investment outsta

11,16 CVB FINANCIAL CORP. ONTARIO CA 5‐Dec‐08 Preferred Stock w/ Warrants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, in fu

CVB FINANCIAL CORP. ONTARIO CA 26‐Aug‐09 CVB FINANCIAL CORP. ONTARIO CA 2‐Sep‐09 CVB FINANCIAL CORP. ONTARIO CA 28‐Oct‐09 

44,8,14 D.L. EVANS BANCORP BURLEY ID 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, in fu

D.L. EVANS BANCORP BURLEY ID 27‐Sep‐11 

15,44,14 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, in fu

DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 8‐Sep‐11 

8,14 DELMAR BANCORP DELMAR MD 4‐Dec‐09 Preferred Stock w/ Exercised Warrants $9,000,000.00 $0.00 $6,598,331.15 Sold, in fu

DELMAR BANCORP DELMAR MD 7‐Feb‐13 

DELMAR BANCORP DELMAR MD 8‐Feb‐13 

DELMAR BANCORP DELMAR MD 26‐Mar‐13 

8,18 DESOTO COUNTY BANK HORN LAKE MS 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,173,000.00 $0.00 $2,781,331.97 Sold, in fu

DESOTO COUNTY BANK HORN LAKE MS 29‐Dec‐09 $1,508,000.00

DESOTO COUNTY BANK HORN LAKE MS 24‐Sep‐13 

DESOTO COUNTY BANK HORN LAKE MS 25‐Sep‐13 

DESOTO COUNTY BANK HORN LAKE MS 29‐Oct‐13 

15,14 DIAMOND BANCORP, INC. WASHINGTON MO 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $20,445,000.00 $0.00 $21,101,618.19 Sold, in fu

DIAMOND BANCORP, INC. WASHINGTON MO 8‐Aug‐12 

DIAMOND BANCORP, INC. WASHINGTON MO 9‐Aug‐12 

DIAMOND BANCORP, INC. WASHINGTON MO 10‐Aug‐12 

DIAMOND BANCORP, INC. WASHINGTON MO 11‐Sep‐12 

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in fu

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 7‐Feb‐13 

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 8‐Feb‐13 

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 26‐Mar‐13 

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 13‐Mar‐09 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in fu

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 21‐Apr‐10 

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7‐Jul‐10 

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 30‐Jan‐09 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in fu

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 4‐Aug‐11 

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 21‐Sep‐11 

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $17,424,285.82 Redeemed, in fu

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 27‐Nov‐13 

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 5‐Mar‐14 

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 2‐Apr‐14 

12,44 EAGLE BANCORP, INC. BETHESDA MD 5‐Dec‐08 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, 

EAGLE BANCORP, INC. BETHESDA MD 23‐Dec‐09 

EAGLE BANCORP, INC. BETHESDA MD 14‐Jul‐11 

EAGLE BANCORP, INC. BETHESDA MD 23‐Nov‐11 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

11,16 EAST WEST BANCORP, INC. PASADENA CA 5‐Dec‐08 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in fu

EAST WEST BANCORP, INC. PASADENA CA 29‐Dec‐10 

EAST WEST BANCORP, INC. PASADENA CA 26‐Jan‐11 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 9‐Jan‐09 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $28,453,653.60 Sold, 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 18‐Oct‐13 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 21‐Oct‐13 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 6‐Jan‐14 

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 16‐Jan‐09 Preferred Stock w/ Warrants $17,949,000.00 $0.00 $23,397,494.08 Redeemed, in fu

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 19‐Feb‐14 

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 11‐Jun‐14 

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 23‐Dec‐08 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in fu

EMCLAIRE FINANCIAL CORP. EMLENTON PA 18‐Aug‐11 

EMCLAIRE FINANCIAL CORP. EMLENTON PA 7‐Dec‐11 

45 ENCORE BANCSHARES INC. HOUSTON TX 5‐Dec‐08 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, 

ENCORE BANCSHARES INC. HOUSTON TX 27‐Sep‐11 

ENCORE BANCSHARES INC. HOUSTON TX 23‐Nov‐11 

11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 19‐Dec‐08 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in fu

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 7‐Nov‐12 

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 9‐Jan‐13 

8,44,14 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in fu

ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 25‐Aug‐11 

8,44,72 EQUITY BANCSHARES, INC. WICHITA KS 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in fu

EQUITY BANCSHARES, INC. WICHITA KS 11‐Aug‐11 

8,14 EXCHANGE BANK SANTA ROSA CA 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in fu

EXCHANGE BANK SANTA ROSA CA 3‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 8‐Aug‐12 EXCHANGE BANK SANTA ROSA CA 9‐Aug‐12 EXCHANGE BANK SANTA ROSA CA 10‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 13‐Aug‐12 EXCHANGE BANK SANTA ROSA CA 11‐Sep‐12 

8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in fu

F & M BANCSHARES, INC. TREZEVANT TN 6‐Nov‐09 $3,535,000.00

F & M BANCSHARES, INC. TREZEVANT TN 6‐Feb‐13 

F & M BANCSHARES, INC. TREZEVANT TN 7‐Feb‐13 

F & M BANCSHARES, INC. TREZEVANT TN 8‐Feb‐13 

F & M BANCSHARES, INC. TREZEVANT TN 26‐Mar‐13 

8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in fu

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 18‐Sep‐12 

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 19‐Sep‐12 

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 20‐Sep‐12 

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 16‐Nov‐12 

15,14 F&C BANCORP. INC. HOLDEN MO 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in fu

F&C BANCORP. INC. HOLDEN MO 8‐Nov‐12 

F&C BANCORP. INC. HOLDEN MO 13‐Nov‐12 

F&C BANCORP. INC. HOLDEN MO 11‐Jan‐13 

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in fu

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 19‐Sep‐12 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 20‐Sep‐12 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 21‐Sep‐12 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 16‐Nov‐12 

11 F.N.B. CORPORATION HERMITAGE PA 9‐Jan‐09 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in fu

F.N.B. CORPORATION HERMITAGE PA 9‐Sep‐09 F.N.B. CORPORATION HERMITAGE PA 23‐Nov‐11 

8,120 FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $11,000,000.00 $11,000,000.00 $3,861,164.07 Full investment outsta

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in fu

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 24‐Jun‐13 

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 26‐Jul‐13 

11,8 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, in fu

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 9‐Jan‐13 

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 31‐Dec‐13 

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 9‐Jan‐09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in fu

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 19‐Jun‐12 

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 18‐Jul‐12 

15,14 FARMERS ENTERPRISES, INC. GREAT BEND KS 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in fu

FARMERS ENTERPRISES, INC. GREAT BEND KS 8‐Nov‐12 FARMERS ENTERPRISES, INC. GREAT BEND KS 9‐Nov‐12 

FARMERS ENTERPRISES, INC. GREAT BEND KS 13‐Nov‐12 FARMERS ENTERPRISES, INC. GREAT BEND KS 11‐Jan‐13 

45,8,14 FARMERS STATE BANKSHARES, INC. HOLTON KS 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in fu

FARMERS STATE BANKSHARES, INC. HOLTON KS 21‐Jul‐11 

15,17 FBHC HOLDING COMPANY BOULDER CO 29‐Dec‐09 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in fu

FBHC HOLDING COMPANY BOULDER CO 9‐Mar‐11 

8,14 FC HOLDINGS, INC. HOUSTON TX 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in fu

FC HOLDINGS, INC. HOUSTON TX 20‐Feb‐13 

FC HOLDINGS, INC. HOUSTON TX 26‐Mar‐13 

45,8,14 FCB BANCORP, INC. LOUISVILLE KY 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in fu

FCB BANCORP, INC. LOUISVILLE KY 22‐Sep‐11 

8,14 FFW CORPORATION WABASH IN 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in fu

FFW CORPORATION WABASH IN 28‐Nov‐12 

FFW CORPORATION WABASH IN 30‐Nov‐12 

FFW CORPORATION WABASH IN 11‐Jan‐13 

15,11,14 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 29‐May‐09 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in fu

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 27‐Mar‐13 

77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12‐Dec‐08 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,388,333.33 Redeemed, 

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 30‐Nov‐12 

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 13‐Nov‐09 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in fu

FIDELITY FEDERAL BANCORP EVANSVILLE IN 19‐Jul‐13 

FIDELITY FEDERAL BANCORP EVANSVILLE IN 22‐Jul‐13 

FIDELITY FEDERAL BANCORP EVANSVILLE IN 12‐Sep‐13 

8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in fu

FIDELITY FINANCIAL CORPORATION WICHITA KS 1‐Aug‐12 FIDELITY FINANCIAL CORPORATION WICHITA KS 2‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 3‐Aug‐12 FIDELITY FINANCIAL CORPORATION WICHITA KS 7‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 9‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 10‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 11‐Sep‐12 

FIDELITY SOUTHERN CORPORATION ATLANTA GA 19‐Dec‐08 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $51,286,669.09 Sold, 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

FIDELITY SOUTHERN CORPORATION ATLANTA GA 3‐Jul‐12 

11 FIFTH THIRD BANCORP CINCINNATI OH 31‐Dec‐08 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in fu

FIFTH THIRD BANCORP CINCINNATI OH 2‐Feb‐11 

FIFTH THIRD BANCORP CINCINNATI OH 16‐Mar‐11 

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 23‐Dec‐08 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in fu

FINANCIAL INSTITUTIONS, INC. WARSAW NY 23‐Feb‐11 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 30‐Mar‐11 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 11‐May‐11 

45,8,14 FINANCIAL SECURITY CORPORATION BASIN WY 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in fu

FINANCIAL SECURITY CORPORATION BASIN WY 21‐Jul‐11 

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 31‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in fu

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 1‐Sep‐11 

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 22‐May‐09 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in fu

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 10‐Dec‐12 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11‐Dec‐12 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11‐Jan‐13 

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 26‐Mar‐13 

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in fu

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 20‐Dec‐12 

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 11‐Jan‐13 

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26‐Mar‐13 

15,11,14 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 24‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in fu

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 21‐Dec‐11 

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 11‐Dec‐12 

11,9,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 13‐Mar‐09 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in fu

FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 13‐Aug‐10 

45 FIRST BANCORP (NC) TROY NC 9‐Jan‐09 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in fu

FIRST BANCORP (NC) TROY NC 1‐Sep‐11 

FIRST BANCORP (NC) TROY NC 23‐Nov‐11 

34,118 FIRST BANCORP (PR) SAN JUAN PR 16‐Jan‐09 Preferred Stock w/ Warrants $400,000,000.00 $185,679,645.76 $144,577,031.43 Sold, i

FIRST BANCORP (PR) SAN JUAN PR 16‐Aug‐13 

FIRST BANCORP (PR) SAN JUAN PR 13‐Sep‐13 

FIRST BANCORP (PR) SAN JUAN PR 5‐Dec‐14 

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in fu

FIRST BANCTRUST CORPORATION PARIS IL 18‐Jan‐12 

FIRST BANCTRUST CORPORATION PARIS IL 24‐Oct‐12 

45,8,14 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in fu

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 21‐Jul‐11 

45,8,14 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in fu

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 8‐Sep‐11 

8 FIRST BANKS, INC. CLAYTON MO 31‐Dec‐08 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,071,500.97 Sold, in fu

FIRST BANKS, INC. CLAYTON MO 8‐Aug‐13 FIRST BANKS, INC. CLAYTON MO 9‐Aug‐13 

FIRST BANKS, INC. CLAYTON MO 12‐Aug‐13 

FIRST BANKS, INC. CLAYTON MO 12‐Sep‐13 

FIRST BANKS, INC. CLAYTON MO 24‐Sep‐13 

FIRST BANKS, INC. CLAYTON MO 25‐Sep‐13 

FIRST BANKS, INC. CLAYTON MO 29‐Oct‐13 

45 FIRST BUSEY CORPORATION URBANA IL 6‐Mar‐09 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in fu

FIRST BUSEY CORPORATION URBANA IL 25‐Aug‐11 

FIRST BUSEY CORPORATION URBANA IL 23‐Nov‐11 

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 10‐Apr‐09 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in fu

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 11‐Dec‐09 $2,032,000.00

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 19‐Dec‐12 

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 20‐Dec‐12 

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 11‐Jan‐13 

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 19‐Dec‐08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in fu

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 14‐Jul‐11 

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 24‐Aug‐11 

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 3‐Apr‐09 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in fu

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 19‐Jun‐12 

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6‐Feb‐13 

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in fu

FIRST CHOICE BANK CERRITOS CA 22‐Dec‐09 $2,836,000.00

FIRST CHOICE BANK CERRITOS CA 24‐Sep‐10 

FIRST CITIZENS BANC CORP SANDUSKY OH 23‐Jan‐09 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in fu

FIRST CITIZENS BANC CORP SANDUSKY OH 3‐Jul‐12 

FIRST CITIZENS BANC CORP SANDUSKY OH 5‐Sep‐12 

44,8,14 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in fu

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 22‐Sep‐11 

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 21‐Nov‐08 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in fu

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 8‐Jul‐09 

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 22‐Nov‐11 

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 15‐May‐09 Preferred Stock w/ Exercised Warrants $14,800,000.00 $0.00 $19,957,763.30 Redeemed, in fu

FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 16‐Jul‐14 

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 23‐Dec‐08 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in fu

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 31‐May‐11 

FIRST COMMUNITY CORPORATION LEXINGTON SC 21‐Nov‐08 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in fu

FIRST COMMUNITY CORPORATION LEXINGTON SC 29‐Aug‐12 

FIRST COMMUNITY CORPORATION LEXINGTON SC 1‐Nov‐12 

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11‐Dec‐09 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in fu

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 10‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 19‐Sep‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 20‐Sep‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 21‐Sep‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 16‐Nov‐12 

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 5‐Dec‐08 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $41,631,005.92 Sold, 

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 19‐Jun‐12 

15,36,11 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 11‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in fu

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 17‐Sep‐10 

11,8,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in fu

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 15‐Feb‐12 

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 6‐Mar‐09 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in fu

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3‐May‐11 

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 23‐Dec‐08 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in fu

FIRST FINANCIAL BANCORP CINCINNATI OH 24‐Feb‐10 

FIRST FINANCIAL BANCORP CINCINNATI OH 8‐Jun‐10 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 12‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in fu

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 22‐Sep‐11 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5‐Dec‐08 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in fu

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 3‐Apr‐12 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 22‐May‐13 

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 9‐Jan‐09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,333,778.00 Sold, 

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 29‐Apr‐13 

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 31‐May‐13 

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 22‐Dec‐09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in fu

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 9‐Nov‐12 

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11‐Jan‐13 

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in fu

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 29‐Oct‐12 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 31‐Oct‐12 

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 11‐Jan‐13 

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 28‐Aug‐09 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in fu

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 22‐Sep‐11 

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 14‐Nov‐08 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in fu

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 22‐Dec‐10 

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 9‐Mar‐11 

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 28‐Aug‐09 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in fu

FIRST INDEPENDENCE CORPORATION DETROIT MI 20‐Dec‐12 

FIRST INDEPENDENCE CORPORATION DETROIT MI 11‐Jan‐13 

FIRST INDEPENDENCE CORPORATION DETROIT MI 26‐Mar‐13 

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in fu

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12‐Aug‐13 

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12‐Sep‐13 

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12‐Dec‐08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in fu

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 7‐Apr‐10 

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 27‐Feb‐09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in fu

FIRST M&F CORPORATION KOSCIUSKO MS 29‐Sep‐10 

FIRST M&F CORPORATION KOSCIUSKO MS 30‐Aug‐13 

11,8,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in fu

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 27‐May‐09 

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 6‐Feb‐09 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in fu

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 7‐Dec‐11 

44,8,14 FIRST MENASHA BANCSHARES, INC. NEENAH WI 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in fu

FIRST MENASHA BANCSHARES, INC. NEENAH WI 15‐Sep‐11 

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 20‐Feb‐09 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in fu

FIRST MERCHANTS CORPORATION MUNCIE IN 22‐Sep‐11 

FIRST MERCHANTS CORPORATION MUNCIE IN 23‐Nov‐11 

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 5‐Dec‐08 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in fu

FIRST MIDWEST BANCORP, INC. ITASCA IL 23‐Nov‐11 

FIRST MIDWEST BANCORP, INC. ITASCA IL 21‐Dec‐11 

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in fu

FIRST NATIONAL CORPORATION STRASBURG VA 29‐Aug‐12 

44,8,14 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in fu

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 4‐Aug‐11 

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 21‐Nov‐08 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in fu

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 27‐May‐09 

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 24‐Jun‐09 

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 13‐Mar‐09 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in fu

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 15‐Sep‐11 

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 16‐Nov‐11 

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 21‐Nov‐08 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in fu

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 15‐Dec‐10 

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 5‐Jan‐11 

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 13‐Mar‐09 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Ex

FIRST PLACE FINANCIAL CORP. WARREN OH 29‐Oct‐12 

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in fu

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 18‐Dec‐09 $4,596,000.00

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 7‐Feb‐13 

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 8‐Feb‐13 

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 26‐Mar‐13 

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in fu

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 11‐Mar‐13 

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 9‐Apr‐13 

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in fu

FIRST RESOURCE BANK EXTON PA 11‐Dec‐09 $2,417,000.00

FIRST RESOURCE BANK EXTON PA 15‐Sep‐11 

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 9‐Jan‐09 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in fu

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 11‐Apr‐13 

79 FIRST SOUND BANK SEATTLE WA 23‐Dec‐08 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in fu

FIRST SOUND BANK SEATTLE WA 20‐Feb‐13 

15,11,14 FIRST SOUTH BANCORP, INC. LEXINGTON TN 17‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in fu

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28‐Sep‐11 

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28‐Nov‐12 

11,8,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in fu

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 16‐Jun‐10 

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in fu

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 26‐Mar‐13 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 27‐Mar‐13 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 28‐Mar‐13 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 9‐Apr‐13 

44,8,14 FIRST TEXAS BHC, INC. FORT WORTH TX 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in fu

FIRST TEXAS BHC, INC. FORT WORTH TX 15‐Sep‐11 

15,14 FIRST TRUST CORPORATION NEW ORLEANS LA 5‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in fu

FIRST TRUST CORPORATION NEW ORLEANS LA 20‐Feb‐13 

FIRST TRUST CORPORATION NEW ORLEANS LA 26‐Mar‐13 

11,8,14 FIRST ULB CORP. OAKLAND CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in fu

FIRST ULB CORP. OAKLAND CA 22‐Apr‐09 

FIRST UNITED CORPORATION OAKLAND MD 30‐Jan‐09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $40,367,161.91 Sold, 

FIRST UNITED CORPORATION OAKLAND MD 3‐Dec‐14 

FIRST UNITED CORPORATION OAKLAND MD 4‐Dec‐14 

11,8,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in fu

FIRST VERNON BANCSHARES, INC. VERNON AL 29‐Sep‐10 

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 6‐Feb‐09 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in fu

FIRST WESTERN FINANCIAL, INC. DENVER CO 11‐Dec‐09 $11,881,000.00

FIRST WESTERN FINANCIAL, INC. DENVER CO 9‐Aug‐12 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

FIRST WESTERN FINANCIAL, INC. DENVER CO 10‐Aug‐12 FIRST WESTERN FINANCIAL, INC. DENVER CO 11‐Sep‐12 

FIRST WESTERN FINANCIAL, INC. DENVER CO 24‐Jun‐13 

FIRST WESTERN FINANCIAL, INC. DENVER CO 26‐Jul‐13 

FIRSTBANK CORPORATION ALMA MI 30‐Jan‐09 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in fu

FIRSTBANK CORPORATION ALMA MI 3‐Jul‐12 

FIRSTBANK CORPORATION ALMA MI 18‐Jul‐12 

11 FIRSTMERIT CORPORATION AKRON OH 9‐Jan‐09 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in fu

FIRSTMERIT CORPORATION AKRON OH 22‐Apr‐09 

FIRSTMERIT CORPORATION AKRON OH 27‐May‐09 

FLAGSTAR BANCORP, INC. TROY MI 30‐Jan‐09 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in fu

FLAGSTAR BANCORP, INC. TROY MI 26‐Mar‐13 

FLAGSTAR BANCORP, INC. TROY MI 27‐Mar‐13 

FLAGSTAR BANCORP, INC. TROY MI 28‐Mar‐13 

FLAGSTAR BANCORP, INC. TROY MI 9‐Apr‐13 

FLAGSTAR BANCORP, INC. TROY MI 12‐Jun‐13 

8,84 FLORIDA BANK GROUP, INC. TAMPA FL 24‐Jul‐09 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in fu

FLORIDA BANK GROUP, INC. TAMPA FL 14‐Aug‐13 

8,44,14 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in fu

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 22‐Sep‐11 

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 19‐Dec‐08 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in fu

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 28‐Oct‐09 

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 30‐Dec‐09 

45,8,14 FNB BANCORP SOUTH SAN FRANCISCO CA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in fu

FNB BANCORP SOUTH SAN FRANCISCO CA 15‐Sep‐11 

11,8,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 15‐May‐09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in fu

FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 11‐Dec‐12 

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 22‐May‐09 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Ex

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 20‐Apr‐12 

45,8,14 FORTUNE FINANCIAL CORPORATION ARNOLD MO 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in fu

FORTUNE FINANCIAL CORPORATION ARNOLD MO 15‐Sep‐11 

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 5‐Dec‐08 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 

FPB BANCORP, INC. PORT ST. LUCIE FL 15‐Jul‐11 

11,8,14 FPB FINANCIAL CORP. HAMMOND LA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in fu

FPB FINANCIAL CORP. HAMMOND LA 16‐Dec‐09 

FPB FINANCIAL CORP. HAMMOND LA 16‐Jun‐10 

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 22‐May‐09 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in fu

FRANKLIN BANCORP, INC. WASHINGTON MO 9‐Nov‐12 

FRANKLIN BANCORP, INC. WASHINGTON MO 13‐Nov‐12 

FRANKLIN BANCORP, INC. WASHINGTON MO 11‐Jan‐13 

15 FREEPORT BANCSHARES, INC. FREEPORT IL 8‐May‐09 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $4,363,022.95 Sold, in fu

FREEPORT BANCSHARES, INC. FREEPORT IL 11‐Apr‐14 

FREEPORT BANCSHARES, INC. FREEPORT IL 14‐Apr‐14 

FREEPORT BANCSHARES, INC. FREEPORT IL 18‐Jul‐14 

15,11,14 FREMONT BANCORPORATION FREMONT CA 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in fu

FREMONT BANCORPORATION FREMONT CA 25‐Jul‐12 

44,8,14 FRESNO FIRST BANK FRESNO CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in fu

FRESNO FIRST BANK FRESNO CA 1‐Nov‐12 

15,11,14 FRONTIER BANCSHARES, INC AUSTIN TX 24‐Apr‐09 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in fu

FRONTIER BANCSHARES, INC AUSTIN TX 24‐Nov‐09 

FRONTIER BANCSHARES, INC AUSTIN TX 6‐Oct‐10 

11 FULTON FINANCIAL CORPORATION LANCASTER PA 23‐Dec‐08 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in fu

FULTON FINANCIAL CORPORATION LANCASTER PA 14‐Jul‐10 

FULTON FINANCIAL CORPORATION LANCASTER PA 8‐Sep‐10 

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 8‐May‐09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in fu

GATEWAY BANCSHARES, INC. RINGGOLD GA 13‐Apr‐12 

11,8,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in fu

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 16‐Feb‐11 

8 GEORGIA PRIMARY BANK ATLANTA GA 1‐May‐09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $1,576,457.50 Sold, in fu

GEORGIA PRIMARY BANK ATLANTA GA 10‐Feb‐14 

GEORGIA PRIMARY BANK ATLANTA GA 19‐Mar‐14 

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in fu

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 29‐Oct‐12 

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 31‐Oct‐12 

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 11‐Jan‐13 

8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Ex

GOLD CANYON BANK GOLD CANYON AZ 5‐Apr‐13 

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in fu

GOLDMAN SACHS GROUP, INC. NEW YORK NY 17‐Jun‐09 

GOLDMAN SACHS GROUP, INC. NEW YORK NY 22‐Jul‐09 

8 GOLDWATER BANK, N.A. SCOTTSDALE AZ 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $2,568,000.00 $2,568,000.00 $145,750.00 Full investment outsta

44,8,14 GRAND CAPITAL CORPORATION TULSA OK 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in fu

GRAND CAPITAL CORPORATION TULSA OK 8‐Sep‐11 

15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 25‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $2,443,320.00 $1,074,025.78 Full investment outsta

8 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 29‐May‐09 Preferred Stock w/ Exercised Warrants $3,076,000.00 $3,076,000.00 $0.00 Full investment outsta

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 9‐Jan‐09 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in fu

GRANDSOUTH BANCORPORATION GREENVILLE SC 11‐Dec‐09 $6,319,000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 8‐Sep‐11 

15 GREAT RIVER HOLDING COMPANY BAXTER MN 17‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $0.00 $11,306,571.15 Sold, in fu

GREAT RIVER HOLDING COMPANY BAXTER MN 11‐Apr‐14 

GREAT RIVER HOLDING COMPANY BAXTER MN 14‐Apr‐14 

GREAT RIVER HOLDING COMPANY BAXTER MN 18‐Jul‐14 

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 5‐Dec‐08 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in fu

GREAT SOUTHERN BANCORP SPRINGFIELD MO 18‐Aug‐11 

GREAT SOUTHERN BANCORP SPRINGFIELD MO 21‐Sep‐11 

GREEN BANKSHARES, INC. GREENEVILLE TN 23‐Dec‐08 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in fu

GREEN BANKSHARES, INC. GREENEVILLE TN 7‐Sep‐11 

11,8,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in fu

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 14‐Nov‐12 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 23‐Jan‐13 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 24‐Apr‐13 

11,8,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in fu

GREEN CITY BANCSHARES, INC. GREEN CITY MO 14‐Jul‐10 

8 GREER BANCSHARES INCORPORATED GREER SC 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $9,993,000.00 $0.00 $13,693,111.07 Redeemed, in fu

GREER BANCSHARES INCORPORATED GREER SC 19‐Mar‐14 

GREER BANCSHARES INCORPORATED GREER SC 11‐Jun‐14 

GREER BANCSHARES INCORPORATED GREER SC 23‐Jul‐14 

8,68,97 GREGG BANCSHARES, INC. OZARK MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 

GREGG BANCSHARES, INC. OZARK MO 13‐Jul‐12 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

45,8,14 GUARANTY BANCORP, INC. WOODSVILLE NH 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in fu

GUARANTY BANCORP, INC. WOODSVILLE NH 15‐Sep‐11 

9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 25‐Sep‐09 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in fu

GUARANTY CAPITAL CORPORATION BELZONI MS 30‐Jul‐10 

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 30‐Jan‐09 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in fu

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 13‐Jun‐12 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 26‐Apr‐13 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 29‐Apr‐13 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 15‐May‐13 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 31‐May‐13 

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 25‐Sep‐09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Ex

GULFSOUTH PRIVATE BANK DESTIN FL 19‐Oct‐12 

45,8,14 GULFSTREAM BANCSHARES, INC. STUART FL 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in fu

GULFSTREAM BANCSHARES, INC. STUART FL 18‐Aug‐11 

11,8,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in fu

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 13‐Apr‐11 

38 HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 31‐Dec‐08 Preferred Stock w/ Warrants $80,347,000.00 $0.00 $5,790,608.79 Sold, 

HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 14‐Apr‐14 

8,9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 17‐Jul‐09 Preferred Stock $6,800,000.00 $6,800,000.00 $282,744.47 Full investment outstandin

11,8,14 HAVILAND BANCSHARES, INC. HAVILAND KS 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in fu

HAVILAND BANCSHARES, INC. HAVILAND KS 29‐Dec‐10 

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 19‐Dec‐08 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in fu

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 9‐May‐12 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 15‐May‐13 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12‐Jun‐13 

HCSB FINANCIAL CORPORATION LORIS SC 6‐Mar‐09 Preferred Stock w/ Warrants $12,895,000.00 $12,895,000.00 $1,090,702.00 Full investment outsta

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 11‐Sep‐09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in fu

HEARTLAND BANCSHARES, INC. FRANKLIN IN 17‐Jul‐12 

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 19‐Dec‐08 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in fu

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 15‐Sep‐11 

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 28‐Sep‐11 

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 25‐Sep‐09 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in fu

HERITAGE BANKSHARES, INC. NORFOLK VA 16‐Mar‐11 

HERITAGE BANKSHARES, INC. NORFOLK VA 11‐Aug‐11 

11 HERITAGE COMMERCE CORP. SAN JOSE CA 21‐Nov‐08 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in fu

HERITAGE COMMERCE CORP. SAN JOSE CA 7‐Mar‐12 

HERITAGE COMMERCE CORP. SAN JOSE CA 10‐Jun‐13 

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 21‐Nov‐08 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in fu

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 22‐Dec‐10 

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 17‐Aug‐11 

11 HERITAGE OAKS BANCORP PASO ROBLES CA 20‐Mar‐09 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in fu

HERITAGE OAKS BANCORP PASO ROBLES CA 17‐Jul‐13 

HERITAGE OAKS BANCORP PASO ROBLES CA 7‐Aug‐13 

11 HF FINANCIAL CORP. SIOUX FALLS SD 21‐Nov‐08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in fu

HF FINANCIAL CORP. SIOUX FALLS SD 3‐Jun‐09 

HF FINANCIAL CORP. SIOUX FALLS SD 30‐Jun‐09 

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 8‐May‐09 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in fu

HIGHLANDS BANCORP, INC. VERNON NJ 22‐Dec‐09 $2,359,000.00

HIGHLANDS BANCORP, INC. VERNON NJ 22‐Sep‐11 

8,111 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $6,700,000.00 $0.00 $6,165,312.00 Sold, in fu

HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 24‐Oct‐14 

11,8,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in fu

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 21‐Apr‐10 

HMN FINANCIAL, INC. ROCHESTER MN 23‐Dec‐08 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $21,034,187.78 Sold, 

HMN FINANCIAL, INC. ROCHESTER MN 7‐Feb‐13 HMN FINANCIAL, INC. ROCHESTER MN 8‐Feb‐13 HMN FINANCIAL, INC. ROCHESTER MN 26‐Mar‐13 

11 HOME BANCSHARES, INC. CONWAY AR 16‐Jan‐09 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in fu

HOME BANCSHARES, INC. CONWAY AR 6‐Jul‐11 

HOME BANCSHARES, INC. CONWAY AR 27‐Jul‐11 

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in fu

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 28‐Aug‐13 

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in fu

HOMETOWN BANCSHARES, INC. CORBIN KY 28‐Nov‐12 

HOMETOWN BANCSHARES, INC. CORBIN KY 30‐Nov‐12 

HOMETOWN BANCSHARES, INC. CORBIN KY 11‐Jan‐13 

HOMETOWN BANCSHARES, INC. CORBIN KY 26‐Mar‐13 

8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 18‐Sep‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in fu

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 31‐Oct‐12 

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 11‐Jan‐13 

11 HOPFED BANCORP HOPKINSVILLE KY 12‐Dec‐08 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in fu

HOPFED BANCORP HOPKINSVILLE KY 19‐Dec‐12 HOPFED BANCORP HOPKINSVILLE KY 16‐Jan‐13 

11,45 HORIZON BANCORP MICHIGAN CITY IN 19‐Dec‐08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in fu

HORIZON BANCORP MICHIGAN CITY IN 10‐Nov‐10 

HORIZON BANCORP MICHIGAN CITY IN 25‐Aug‐11 

HORIZON BANCORP MICHIGAN CITY IN 23‐Nov‐11 

44,8,14 HOWARD BANCORP, INC. ELLICOTT CITY MD 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in fu

HOWARD BANCORP, INC. ELLICOTT CITY MD 22‐Sep‐11 

8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 1‐May‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in fu

HPK FINANCIAL CORPORATION CHICAGO IL 13‐Nov‐09 $5,000,000.00

HPK FINANCIAL CORPORATION CHICAGO IL 11‐Dec‐12 

11 HUNTINGTON BANCSHARES COLUMBUS OH 14‐Nov‐08 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in fu

HUNTINGTON BANCSHARES COLUMBUS OH 22‐Dec‐10 

HUNTINGTON BANCSHARES COLUMBUS OH 19‐Jan‐11 

8,14 HYPERION BANK PHILADELPHIA PA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in fu

HYPERION BANK PHILADELPHIA PA 20‐Dec‐12 

HYPERION BANK PHILADELPHIA PA 11‐Jan‐13 

HYPERION BANK PHILADELPHIA PA 26‐Mar‐13 

8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 18‐Sep‐09 Preferred Stock w/ Exercised Warrants $5,976,000.00 $0.00 $6,907,223.22 Sold, in fu

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 14‐Mar‐14 

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 17‐Mar‐14 

IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 25‐Apr‐14 

9,15,36 IBC BANCORP, INC. CHICAGO IL 15‐May‐09 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in fu

IBC BANCORP, INC. CHICAGO IL 10‐Sep‐10 

12,16 IBERIABANK CORPORATION LAFAYETTE LA 5‐Dec‐08 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in fu

IBERIABANK CORPORATION LAFAYETTE LA 31‐Mar‐09 

IBERIABANK CORPORATION LAFAYETTE LA 20‐May‐09 

8,14 IBT BANCORP, INC. IRVING TX 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in fu
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

IBT BANCORP, INC. IRVING TX 12‐Jun‐13 

11,8,10 IBW FINANCIAL CORPORATION WASHINGTON DC 13‐Mar‐09 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in fu

IBW FINANCIAL CORPORATION WASHINGTON DC 3‐Sep‐10 

44,8,14 ICB FINANCIAL ONTARIO CA 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in fu

ICB FINANCIAL ONTARIO CA 1‐Nov‐12 

8,108 IDAHO BANCORP BOISE ID 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,900,000.00 $0.00 $124,305.92 

IDAHO BANCORP BOISE ID 24‐Apr‐14 

8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 22‐May‐09 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in fu

ILLINOIS STATE BANCORP, INC. CHICAGO IL 29‐Dec‐09 $4,000,000.00

ILLINOIS STATE BANCORP, INC. CHICAGO IL 22‐Sep‐11 

8 INDEPENDENCE BANK EAST GREENWICH RI 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, in fu

INDEPENDENCE BANK EAST GREENWICH RI 16‐Oct‐13 

11 INDEPENDENT BANK CORP. ROCKLAND MA 9‐Jan‐09 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in fu

INDEPENDENT BANK CORP. ROCKLAND MA 22‐Apr‐09 

INDEPENDENT BANK CORP. ROCKLAND MA 27‐May‐09 

29 INDEPENDENT BANK CORPORATION IONIA MI 12‐Dec‐08 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in fu

INDEPENDENT BANK CORPORATION IONIA MI 30‐Aug‐13 

8,22,92,97 INDIANA BANK CORP. DANA IN 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 

INDIANA BANK CORP. DANA IN 9‐Apr‐13 

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12‐Dec‐08 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in fu

INDIANA COMMUNITY BANCORP COLUMBUS IN 12‐Sep‐12 

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 27‐Feb‐09 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 

INTEGRA BANK CORPORATION EVANSVILLE IN 29‐Jul‐11 

115 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 19‐Dec‐08 Preferred Stock w/ Warrants $27,000,000.00 $0.00 $33,955,519.23 Redeemed, in fu

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 20‐Nov‐13 

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 31‐Oct‐14 

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 23‐Dec‐08 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in fu

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11‐Jul‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 1‐Nov‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 28‐Nov‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11‐Jun‐13 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 23‐Dec‐08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $32,927,621.56 Sold, in fu

INTERVEST BANCSHARES CORPORATION NEW YORK NY 24‐Jun‐13 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 26‐Jul‐13 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 3‐Sep‐14 

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 8‐May‐09 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 19‐Oct‐12 

11 JPMORGAN CHASE & CO. NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in fu

JPMORGAN CHASE & CO. NEW YORK NY 17‐Jun‐09 

JPMORGAN CHASE & CO. NEW YORK NY 16‐Dec‐09 

44,8,14 KATAHDIN BANKSHARES CORP. HOULTON ME 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in fu

KATAHDIN BANKSHARES CORP. HOULTON ME 18‐Aug‐11 

11 KEYCORP CLEVELAND OH 14‐Nov‐08 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in fu

KEYCORP CLEVELAND OH 30‐Mar‐11 

KEYCORP CLEVELAND OH 20‐Apr‐11 

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $470,000.00 $0.00 $622,228.44 Redeemed, in fu

KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 19‐Mar‐14 

8,14 KS BANCORP, INC SMITHFIELD NC 21‐Aug‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in fu

KS BANCORP, INC SMITHFIELD NC 30‐Nov‐12 

KS BANCORP, INC SMITHFIELD NC 11‐Jan‐13 

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in fu

LAFAYETTE BANCORP, INC. OXFORD MS 29‐Dec‐09 $2,453,000.00

LAFAYETTE BANCORP, INC. OXFORD MS 29‐Sep‐10 

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 6‐Feb‐09 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in fu

LAKELAND BANCORP, INC. OAK RIDGE NJ 4‐Aug‐10 

LAKELAND BANCORP, INC. OAK RIDGE NJ 16‐Mar‐11 

LAKELAND BANCORP, INC. OAK RIDGE NJ 8‐Feb‐12 

LAKELAND BANCORP, INC. OAK RIDGE NJ 29‐Feb‐12 

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 27‐Feb‐09 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in fu

LAKELAND FINANCIAL CORPORATION WARSAW IN 9‐Jun‐10 

LAKELAND FINANCIAL CORPORATION WARSAW IN 22‐Nov‐11 

8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 18‐Dec‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in fu

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 29‐Nov‐12 

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11‐Jan‐13 

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 26‐Mar‐13 

11 LCNB CORP. LEBANON OH 9‐Jan‐09 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in fu

LCNB CORP. LEBANON OH 21‐Oct‐09 LCNB CORP. LEBANON OH 22‐Nov‐11 

11,8,14 LEADER BANCORP, INC. ARLINGTON MA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in fu

LEADER BANCORP, INC. ARLINGTON MA 24‐Nov‐10 

9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 30‐Jan‐09 Preferred Stock $5,498,000.00 $0.00 $355,079.00 

LEGACY BANCORP, INC. MILWAUKEE WI 11‐Mar‐11 

45,8,14 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in fu

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 21‐Jul‐11 

45,8,14 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in fu

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 18‐Aug‐11 

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 4‐Dec‐09 Preferred Stock w/ Exercised Warrants $6,500,000.00 $0.00 $8,447,271.11 Redeemed, in fu

LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 14‐Jan‐15 

11,9,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 6‐Feb‐09 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in fu

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 24‐Sep‐10 

8 LIBERTY SHARES, INC. HINESVILLE GA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $17,280,000.00 $17,280,000.00 $1,399,560.00 Full investment outsta

11 LINCOLN NATIONAL CORPORATION RADNOR PA 10‐Jul‐09 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in fu

LINCOLN NATIONAL CORPORATION RADNOR PA 30‐Jun‐10 

LINCOLN NATIONAL CORPORATION RADNOR PA 22‐Sep‐10 

LNB BANCORP, INC. LORAIN OH 12‐Dec‐08 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in fu

LNB BANCORP, INC. LORAIN OH 19‐Jun‐12 

LNB BANCORP, INC. LORAIN OH 18‐Jul‐12 

8 LONE STAR BANK HOUSTON TX 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,072,000.00 $0.00 $2,000,881.54 Sold, in fu

LONE STAR BANK HOUSTON TX 3‐Dec‐14 

LONE STAR BANK HOUSTON TX 4‐Dec‐14 

11 LSB CORPORATION NORTH ANDOVER MA 12‐Dec‐08 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in fu

LSB CORPORATION NORTH ANDOVER MA 18‐Nov‐09 

LSB CORPORATION NORTH ANDOVER MA 16‐Dec‐09 

8,9,17 M&F BANCORP, INC. DURHAM NC 26‐Jun‐09 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in fu

M&F BANCORP, INC. DURHAM NC 20‐Aug‐10 

11 M&T BANK CORPORATION BUFFALO NY 23‐Dec‐08 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in fu

M&T BANK CORPORATION BUFFALO NY 18‐May‐11 

M&T BANK CORPORATION BUFFALO NY 21‐Aug‐12 

M&T BANK CORPORATION BUFFALO NY 17‐Dec‐12 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 24‐Apr‐09 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in fu

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 29‐Aug‐12 

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 19‐Dec‐12 

8 MADISON FINANCIAL CORPORATION RICHMOND KY 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,370,000.00 $0.00 $3,773,495.65 Sold, in fu

MADISON FINANCIAL CORPORATION RICHMOND KY 19‐Nov‐13 

MADISON FINANCIAL CORPORATION RICHMOND KY 6‐Jan‐14 

44,11,8 MAGNA BANK MEMPHIS TN 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in fu

MAGNA BANK MEMPHIS TN 24‐Nov‐09 

MAGNA BANK MEMPHIS TN 8‐Jun‐11 

MAGNA BANK MEMPHIS TN 18‐Aug‐11 

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 29‐Dec‐09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in fu

MAINLINE BANCORP, INC. EBENSBURG PA 9‐Mar‐12 

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 16‐Jan‐09 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in fu

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 3‐Apr‐12 MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 11‐Jun‐13 

11 MANHATTAN BANCORP EL SEGUNDO CA 5‐Dec‐08 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in fu

MANHATTAN BANCORP EL SEGUNDO CA 16‐Sep‐09 

MANHATTAN BANCORP EL SEGUNDO CA 14‐Oct‐09 

15,14 MANHATTAN BANCSHARES, INC. MANHATTAN IL 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in fu

MANHATTAN BANCSHARES, INC. MANHATTAN IL 10‐Dec‐12 

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11‐Dec‐12 

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11‐Jan‐13 

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,296,213.00 Sold, in fu

MARINE BANK & TRUST COMPANY VERO BEACH FL 1‐Jul‐14 

MARINE BANK & TRUST COMPANY VERO BEACH FL 2‐Jul‐14 

MARINE BANK & TRUST COMPANY VERO BEACH FL 3‐Jul‐14 

MARINE BANK & TRUST COMPANY VERO BEACH FL 26‐Sep‐14 

8 MARKET BANCORPORATION, INC. NEW MARKET MN 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,060,000.00 $0.00 $2,714,911.32 Sold, in fu

MARKET BANCORPORATION, INC. NEW MARKET MN 2‐Jul‐14 

MARKET BANCORPORATION, INC. NEW MARKET MN 26‐Sep‐14 

15,14 MARKET STREET BANCSHARES, INC. MT. VERNON IL 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in fu

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9‐Aug‐12 

MARKET STREET BANCSHARES, INC. MT. VERNON IL 10‐Aug‐12 

MARKET STREET BANCSHARES, INC. MT. VERNON IL 11‐Sep‐12 

8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in fu

MARQUETTE NATIONAL CORPORATION CHICAGO IL 7‐Aug‐12 

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9‐Aug‐12 

MARQUETTE NATIONAL CORPORATION CHICAGO IL 10‐Aug‐12 

MARQUETTE NATIONAL CORPORATION CHICAGO IL 11‐Sep‐12 

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 14‐Nov‐08 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in fu

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 5‐Jul‐11 

8 MARYLAND FINANCIAL BANK TOWSON MD 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $1,700,000.00 $0.00 $817,240.50 Sold, in fu

MARYLAND FINANCIAL BANK TOWSON MD 2‐Jul‐14 MARYLAND FINANCIAL BANK TOWSON MD 26‐Sep‐14 

11 MB FINANCIAL INC. CHICAGO IL 5‐Dec‐08 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in fu

MB FINANCIAL INC. CHICAGO IL 14‐Mar‐12 MB FINANCIAL INC. CHICAGO IL 2‐May‐12 

8,45,14 MCLEOD BANCSHARES, INC. SHOREWOOD MN 20‐Nov‐09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in fu

MCLEOD BANCSHARES, INC. SHOREWOOD MN 18‐Aug‐11 

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in fu

MEDALLION BANK SALT LAKE CITY UT 22‐Dec‐09 $9,698,000.00

MEDALLION BANK SALT LAKE CITY UT 21‐Jul‐11 

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 15‐May‐09 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in fu

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4‐Apr‐12 

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6‐Jun‐12 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 3‐Jul‐12 

44,8,14 MERCANTILE CAPITAL CORPORATION BOSTON MA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in fu

MERCANTILE CAPITAL CORPORATION BOSTON MA 4‐Aug‐11 

56,8,14 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in fu

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 7‐Sep‐11 

8,44,14 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 19‐Jun‐09 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in fu

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 8‐Sep‐11 

8,18 MERIDIAN BANK DEVON PA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $6,200,000.00 $0.00 $13,582,165.84 Sold, in fu

MERIDIAN BANK DEVON PA 11‐Dec‐09 $6,335,000.00

MERIDIAN BANK DEVON PA 17‐Mar‐14 

MERIDIAN BANK DEVON PA 25‐Apr‐14 

8,14 METRO CITY BANK DORAVILLE GA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in fu

METRO CITY BANK DORAVILLE GA 29‐Oct‐12 METRO CITY BANK DORAVILLE GA 1‐Nov‐12 

METRO CITY BANK DORAVILLE GA 11‐Jan‐13 

METROCORP BANCSHARES, INC. HOUSTON TX 16‐Jan‐09 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in fu

METROCORP BANCSHARES, INC. HOUSTON TX 3‐Jul‐12 

METROCORP BANCSHARES, INC. HOUSTON TX 11‐Jun‐13 

8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in fu

METROPOLITAN BANK GROUP, INC. CHICAGO IL 28‐Jun‐13 

8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 10‐Apr‐09 Preferred Stock w/ Warrants $2,040,000.00 $4,388,000.00 $1,248,469.44 Full investment outsta

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 20‐Nov‐09 $2,348,000.00

11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 19‐Dec‐08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in fu

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 28‐Dec‐12 

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 23‐Jan‐13 

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 30‐Jan‐09 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in fu

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 23‐Dec‐09 

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 18‐Nov‐11 

11,8,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in fu

MIDLAND STATES BANCORP, INC. EFFINGHAM IL 23‐Dec‐09 

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 9‐Jan‐09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in fu

MIDSOUTH BANCORP, INC. LAFAYETTE LA 25‐Aug‐11 

MIDSOUTH BANCORP, INC. LAFAYETTE LA 22‐Nov‐11 

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $5,222,000.00 $0.00 $3,520,137.55 Sold, in fu

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 19‐Nov‐13 

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 6‐Jan‐14 

22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5‐Dec‐08 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Ex

MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 14‐May‐10 

11,8,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in fu

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 10‐Nov‐09 

11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 6‐Feb‐09 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in fu

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 6‐Jul‐11 

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 27‐Jul‐11 

11,8,14 MID‐WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in fu
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

MID‐WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 26‐Apr‐13 

8 MILLENNIUM BANCORP, INC. EDWARDS CO 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in fu

MILLENNIUM BANCORP, INC. EDWARDS CO 14‐Aug‐12 

11,9 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 9‐Jan‐09 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in fu

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 28‐Dec‐11 

11,9,36 MISSION VALLEY BANCORP SUN VALLEY CA 23‐Dec‐08 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in fu

MISSION VALLEY BANCORP SUN VALLEY CA 20‐Aug‐10 

11,8,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in fu

MONADNOCK BANCORP, INC. PETERBOROUGH NH 28‐Dec‐12 

98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 6‐Feb‐09 Preferred Stock w/ Warrants $6,785,000.00 $0.00 $4,808,121.00 Sold, in fu

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 15‐Nov‐13 

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 19‐Dec‐08 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in fu

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 23‐Dec‐09 

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 10‐Feb‐10 

45,8,14 MONEYTREE CORPORATION LENOIR CITY TN 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in fu

MONEYTREE CORPORATION LENOIR CITY TN 15‐Sep‐11 

44,8,14 MONUMENT BANK BETHESDA MD 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in fu

MONUMENT BANK BETHESDA MD 11‐Aug‐11 

11 MORGAN STANLEY NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in fu

MORGAN STANLEY NEW YORK NY 17‐Jun‐09 

MORGAN STANLEY NEW YORK NY 12‐Aug‐09 

11,8,14 MORRILL BANCSHARES, INC. MERRIAM KS 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in fu

MORRILL BANCSHARES, INC. MERRIAM KS 20‐Jul‐11 

11,8,14 MOSCOW BANCSHARES, INC. MOSCOW TN 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in fu

MOSCOW BANCSHARES, INC. MOSCOW TN 25‐Apr‐12 

MOSCOW BANCSHARES, INC. MOSCOW TN 5‐Dec‐12 

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 25‐Sep‐09 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in fu

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 22‐Jul‐13 

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 12‐Sep‐13 

11,8,14 MS FINANCIAL, INC. KINGWOOD TX 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in fu

MS FINANCIAL, INC. KINGWOOD TX 19‐Oct‐11 

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 23‐Dec‐08 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in fu

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 25‐Aug‐11 

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 28‐Sep‐11 

8 NAPLES BANCORP, INC. NAPLES FL 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in fu

NAPLES BANCORP, INC. NAPLES FL 12‐Jul‐12 

59,11 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 21‐Nov‐08 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in fu

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 27‐Jun‐12 

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 8‐Aug‐12 

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in fu

NATIONAL BANCSHARES, INC. BETTENDORF IA 19‐Feb‐13 

NATIONAL BANCSHARES, INC. BETTENDORF IA 20‐Feb‐13 

NATIONAL BANCSHARES, INC. BETTENDORF IA 26‐Mar‐13 

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12‐Dec‐08 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in fu

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 16‐Mar‐11 

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 13‐Apr‐11 

15,11,14 NATIONWIDE BANKSHARES, INC. WEST POINT NE 11‐Dec‐09 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in fu

NATIONWIDE BANKSHARES, INC. WEST POINT NE 29‐Dec‐10 

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 26‐Jun‐09 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in fu

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 28‐Jun‐13 

8,119 NCAL BANCORP LOS ANGELES CA 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $5,211,027.78 Sold, in fu

NCAL BANCORP LOS ANGELES CA 10‐Dec‐14 

15,11,14 NEMO BANCSHARES, INC. MADISON MO 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in fu

NEMO BANCSHARES, INC. MADISON MO 24‐Apr‐13 

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 16‐Jan‐09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in fu

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 25‐Aug‐11 

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 15‐Feb‐12 

11,8,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in fu

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 24‐Jul‐13 

NEWBRIDGE BANCORP GREENSBORO NC 12‐Dec‐08 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in fu

NEWBRIDGE BANCORP GREENSBORO NC 26‐Apr‐13 NEWBRIDGE BANCORP GREENSBORO NC 29‐Apr‐13 NEWBRIDGE BANCORP GREENSBORO NC 15‐May‐13 

NEWBRIDGE BANCORP GREENSBORO NC 31‐May‐13 

44,8,14 NICOLET BANKSHARES, INC. GREEN BAY WI 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in fu

NICOLET BANKSHARES, INC. GREEN BAY WI 1‐Sep‐11 

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 9‐Jan‐09 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in fu

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 14‐Dec‐11 

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 11‐Jan‐12 

11 NORTHEAST BANCORP LEWISTON ME 12‐Dec‐08 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in fu

NORTHEAST BANCORP LEWISTON ME 28‐Nov‐12 

NORTHEAST BANCORP LEWISTON ME 28‐Dec‐12 

8,11,14,18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 15‐May‐09 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in fu

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 18‐Dec‐09 $1,230,000.00

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 28‐Mar‐12 

109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 20‐Feb‐09 Preferred Stock w/ Warrants $17,211,000.00 $0.00 $6,442,172.50 Sold, in fu

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 30‐Apr‐14 

11 NORTHERN TRUST CORPORATION CHICAGO IL 14‐Nov‐08 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in fu

NORTHERN TRUST CORPORATION CHICAGO IL 17‐Jun‐09 

NORTHERN TRUST CORPORATION CHICAGO IL 26‐Aug‐09 

44,8,14 NORTHWAY FINANCIAL, INC. BERLIN NH 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in fu

NORTHWAY FINANCIAL, INC. BERLIN NH 15‐Sep‐11 

8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in fu

NORTHWEST BANCORPORATION, INC. SPOKANE WA 8‐Mar‐13 

NORTHWEST BANCORPORATION, INC. SPOKANE WA 11‐Mar‐13 

NORTHWEST BANCORPORATION, INC. SPOKANE WA 9‐Apr‐13 

11,8,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in fu

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 9‐Jan‐13 

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 30‐Jan‐09 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in fu

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 31‐Oct‐12 

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 11‐Jan‐13 

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 6‐Feb‐13 

45 OAK VALLEY BANCORP OAKDALE CA 5‐Dec‐08 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in fu

OAK VALLEY BANCORP OAKDALE CA 11‐Aug‐11 

OAK VALLEY BANCORP OAKDALE CA 28‐Sep‐11 

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 16‐Jan‐09 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in fu

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 30‐Dec‐09 

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 3‐Feb‐10 

8 OJAI COMMUNITY BANK OJAI CA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in fu
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

OJAI COMMUNITY BANK OJAI CA 25‐Sep‐13 

11 OLD LINE BANCSHARES, INC. BOWIE MD 5‐Dec‐08 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in fu

OLD LINE BANCSHARES, INC. BOWIE MD 15‐Jul‐09 

OLD LINE BANCSHARES, INC. BOWIE MD 2‐Sep‐09 

11 OLD NATIONAL BANCORP EVANSVILLE IN 12‐Dec‐08 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in fu

OLD NATIONAL BANCORP EVANSVILLE IN 31‐Mar‐09 

OLD NATIONAL BANCORP EVANSVILLE IN 8‐May‐09 

OLD SECOND BANCORP, INC. AURORA IL 16‐Jan‐09 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in fu

OLD SECOND BANCORP, INC. AURORA IL 11‐Mar‐13 

OLD SECOND BANCORP, INC. AURORA IL 26‐Mar‐13 

OLD SECOND BANCORP, INC. AURORA IL 27‐Mar‐13 

OLD SECOND BANCORP, INC. AURORA IL 9‐Apr‐13 

OLD SECOND BANCORP, INC. AURORA IL 11‐Jun‐13 

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in fu

OMEGA CAPITAL CORP. LAKEWOOD CO 19‐Jul‐13 

OMEGA CAPITAL CORP. LAKEWOOD CO 22‐Jul‐13 

OMEGA CAPITAL CORP. LAKEWOOD CO 12‐Sep‐13 

8,51,97 ONE GEORGIA BANK ATLANTA GA 8‐May‐09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Ex

ONE GEORGIA BANK ATLANTA GA 15‐Jul‐11 

8,9 ONE UNITED BANK BOSTON MA 19‐Dec‐08 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investment outstandin

15,17 ONEFINANCIAL CORPORATION LITTLE ROCK AR 5‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $17,300,000.00 $3,782,990.59 Full investment outsta

8 OREGON BANCORP, INC. SALEM OR 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $3,216,000.00 $0.00 $4,116,801.92 Sold, in fu

OREGON BANCORP, INC. SALEM OR 18‐Oct‐13 

OREGON BANCORP, INC. SALEM OR 21‐Oct‐13 

OREGON BANCORP, INC. SALEM OR 6‐Jan‐14 

15,11,14 OSB FINANCIAL SERVICES, INC. ORANGE TX 1‐May‐09 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in fu

OSB FINANCIAL SERVICES, INC. ORANGE TX 5‐Oct‐11 

35,11 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 21‐Nov‐08 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in fu

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 23‐Feb‐11 

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 30‐Nov‐12 

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $16,200,000.00 $0.00 $21,003,597.96 Sold, in fu

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19‐Nov‐13 

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 6‐Jan‐14 

45,8,14 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in fu

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 28‐Jul‐11 

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Ex

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 11‐Feb‐10 

8 PACIFIC COMMERCE BANK LOS ANGELES CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $4,060,000.00 $0.00 $2,991,670.80 Sold, in fu

PACIFIC COMMERCE BANK LOS ANGELES CA 10‐Feb‐14 

PACIFIC COMMERCE BANK LOS ANGELES CA 19‐Mar‐14 

85 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 12‐Dec‐08 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, 

PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 15‐Feb‐13 

8,14 PARK BANCORPORATION, INC. MADISON WI 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in fu

PARK BANCORPORATION, INC. MADISON WI 7‐Aug‐12 

PARK BANCORPORATION, INC. MADISON WI 9‐Aug‐12 

PARK BANCORPORATION, INC. MADISON WI 10‐Aug‐12 

PARK BANCORPORATION, INC. MADISON WI 11‐Sep‐12 

11 PARK NATIONAL CORPORATION NEWARK OH 23‐Dec‐08 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in fu

PARK NATIONAL CORPORATION NEWARK OH 25‐Apr‐12 

PARK NATIONAL CORPORATION NEWARK OH 2‐May‐12 

PARKE BANCORP, INC. SEWELL NJ 30‐Jan‐09 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in fu

PARKE BANCORP, INC. SEWELL NJ 28‐Nov‐12 

PARKE BANCORP, INC. SEWELL NJ 29‐Nov‐12 

PARKE BANCORP, INC. SEWELL NJ 11‐Jan‐13 

PARKE BANCORP, INC. SEWELL NJ 12‐Jun‐13 

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 23‐Dec‐08 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $36,570,413.89 Redeemed, 

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 3‐Jan‐12 

8,21,11 PASCACK BANCORP, INC. WESTWOOD NJ 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in fu

PASCACK BANCORP, INC. WESTWOOD NJ 19‐Oct‐11 

8 PATAPSCO BANCORP, INC. DUNDALK MD 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $6,000,000.00 $6,000,000.00 $377,866.67 Full investment outsta

44 PATHFINDER BANCORP, INC. OSWEGO NY 11‐Sep‐09 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in fu

PATHFINDER BANCORP, INC. OSWEGO NY 1‐Sep‐11 

PATHFINDER BANCORP, INC. OSWEGO NY 1‐Feb‐12 

8,14 PATHWAY BANCORP CAIRO NE 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in fu

PATHWAY BANCORP CAIRO NE 24‐Jun‐13 

PATHWAY BANCORP CAIRO NE 26‐Jul‐13 

8 PATRIOT BANCSHARES, INC. HOUSTON TX 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $26,038,000.00 $0.00 $33,824,567.35 Sold, in fu

PATRIOT BANCSHARES, INC. HOUSTON TX 11‐Apr‐14 

PATRIOT BANCSHARES, INC. HOUSTON TX 14‐Apr‐14 

PATRIOT BANCSHARES, INC. HOUSTON TX 18‐Jul‐14 

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in fu

PATTERSON BANCSHARES, INC. PATTERSON LA 7‐Mar‐12 

PATTERSON BANCSHARES, INC. PATTERSON LA 22‐Aug‐12 

PATTERSON BANCSHARES, INC. PATTERSON LA 5‐Dec‐12 

PATTERSON BANCSHARES, INC. PATTERSON LA 8‐May‐13 

PATTERSON BANCSHARES, INC. PATTERSON LA 5‐Jun‐13 

11 PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 9‐Jan‐09 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in fu

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 6‐Jan‐10 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 2‐Mar‐11 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 11‐Jan‐12 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4‐Apr‐12 

44,8,14 PENN LIBERTY FINANCIAL CORP. WAYNE PA 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in fu

PENN LIBERTY FINANCIAL CORP. WAYNE PA 1‐Sep‐11 

11 PEOPLES BANCORP (OH) MARIETTA OH 30‐Jan‐09 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in fu

PEOPLES BANCORP (OH) MARIETTA OH 2‐Feb‐11 

PEOPLES BANCORP (OH) MARIETTA OH 28‐Dec‐11 

PEOPLES BANCORP (OH) MARIETTA OH 15‐Feb‐12 

56,8,14 PEOPLES BANCORP (WA) LYNDEN WA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in fu

PEOPLES BANCORP (WA) LYNDEN WA 3‐Aug‐11 

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 23‐Dec‐08 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in fu

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 3‐Jul‐12 

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8‐Aug‐12 

8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in fu

PEOPLES BANCORPORATION, INC. EASLEY SC 24‐Apr‐12 

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in fu

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 31‐Oct‐12 

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 11‐Jan‐13 

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in fu

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 18‐Sep‐13 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 11‐Sep‐09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in fu

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 25‐Aug‐11 

11,9,36 PGB HOLDINGS, INC. CHICAGO IL 6‐Feb‐09 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in fu

PGB HOLDINGS, INC. CHICAGO IL 13‐Aug‐10 

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 

PIERCE COUNTY BANCORP TACOMA WA 5‐Nov‐10 

8,69 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $4,389,000.00 $4,389,000.00 $284,999.00 Full investment outsta

11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12‐Dec‐08 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in fu

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 28‐Dec‐11 

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 20‐Jun‐12 

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 18‐Jul‐12 

44,8,14 PLAINS CAPITAL CORPORATION DALLAS TX 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in fu

PLAINS CAPITAL CORPORATION DALLAS TX 27‐Sep‐11 

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 17‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in fu

PLATO HOLDINGS INC. SAINT PAUL MN 26‐Apr‐13 

PLATO HOLDINGS INC. SAINT PAUL MN 29‐Apr‐13 

PLATO HOLDINGS INC. SAINT PAUL MN 31‐May‐13 

PLUMAS BANCORP QUINCY CA 30‐Jan‐09 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in fu

PLUMAS BANCORP QUINCY CA 29‐Apr‐13 PLUMAS BANCORP QUINCY CA 22‐May‐13 PLUMAS BANCORP QUINCY CA 31‐May‐13 

20 POPULAR, INC. SAN JUAN PR 5‐Dec‐08 Preferred Stock w/ Warrants $935,000,000.00 $0.00 $1,220,280,000.00 Redeemed, in fu

POPULAR, INC. SAN JUAN PR 2‐Jul‐14 

POPULAR, INC. SAN JUAN PR 23‐Jul‐14 

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 21‐Nov‐08 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $8,283,333.33 Sold, 

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 3‐Dec‐14 

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 4‐Dec‐14 

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $2,800,000.00 $2,800,000.00 $132,253.00 Full investment outsta

9,15,36 PREMIER BANCORP, INC. WILMETTE IL 8‐May‐09 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in fu

PREMIER BANCORP, INC. WILMETTE IL 13‐Aug‐10 

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Ex

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 14‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 2‐Oct‐09 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $23,052,240.29 Sold, 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 11‐Sep‐12 

15,14 PREMIER FINANCIAL CORP. DUBUQUE IA 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in fu

PREMIER FINANCIAL CORP. DUBUQUE IA 22‐Jul‐13 PREMIER FINANCIAL CORP. DUBUQUE IA 12‐Sep‐13 

8 PREMIER SERVICE BANK RIVERSIDE CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,300,522.22 Redeemed, in fu

PREMIER SERVICE BANK RIVERSIDE CA 31‐Jan‐14 

80 PREMIERWEST BANCORP MEDFORD OR 13‐Feb‐09 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in fu

PREMIERWEST BANCORP MEDFORD OR 9‐Apr‐13 

8,17 PRESIDIO BANK SAN FRANCISCO CA 20‐Nov‐09 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in fu

PRESIDIO BANK SAN FRANCISCO CA 10‐Dec‐12 PRESIDIO BANK SAN FRANCISCO CA 11‐Dec‐12 

PRESIDIO BANK SAN FRANCISCO CA 11‐Jan‐13 

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 23‐Jan‐09 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 2‐Nov‐12 

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,960,000.00 $0.00 $10,836,280.71 Redeemed, in fu

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 29‐Dec‐09 $3,262,000.00

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 25‐Jun‐14 

12 PRIVATEBANCORP, INC. CHICAGO IL 30‐Jan‐09 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in fu

PRIVATEBANCORP, INC. CHICAGO IL 24‐Oct‐12 

PRIVATEBANCORP, INC. CHICAGO IL 14‐Nov‐12 

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 2‐Oct‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in fu

PROVIDENCE BANK ROCKY MOUNT NC 15‐Sep‐11 

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 14‐Nov‐08 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in fu

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 21‐Aug‐12 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 20‐Mar‐13 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 25‐Mar‐13 

107 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 13‐Mar‐09 Preferred Stock w/ Warrants $9,266,000.00 $0.00 $5,639,391.00 Sold, in fu

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 30‐Apr‐14 

11,8,14 PSB FINANCIAL CORPORATION MANY LA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in fu

PSB FINANCIAL CORPORATION MANY LA 29‐Sep‐10 

44,8,14 PUGET SOUND BANK BELLEVUE WA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in fu

PUGET SOUND BANK BELLEVUE WA 11‐Aug‐11 PULASKI FINANCIAL CORP. CREVE COEUR MO 16‐Jan‐09 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in fu

PULASKI FINANCIAL CORP. CREVE COEUR MO 3‐Jul‐12 

PULASKI FINANCIAL CORP. CREVE COEUR MO 8‐Aug‐12 

44 QCR HOLDINGS, INC. MOLINE IL 13‐Feb‐09 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in fu

QCR HOLDINGS, INC. MOLINE IL 15‐Sep‐11 

QCR HOLDINGS, INC. MOLINE IL 16‐Nov‐11 

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30‐Oct‐09 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in fu

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30‐Sep‐13 

8,17 RCB FINANCIAL CORPORATION ROME GA 19‐Jun‐09 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,139,863.61 Sold, in fu

RCB FINANCIAL CORPORATION ROME GA 25‐Sep‐13 RCB FINANCIAL CORPORATION ROME GA 29‐Oct‐13 

44,8,14 REDWOOD CAPITAL BANCORP EUREKA CA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in fu

REDWOOD CAPITAL BANCORP EUREKA CA 21‐Jul‐11 

44,8,14 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in fu

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 18‐Aug‐11 

8,114 REGENT BANCORP, INC. DAVIE FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $9,982,000.00 $0.00 $8,755,019.00 Sold, in fu

REGENT BANCORP, INC. DAVIE FL 17‐Oct‐14 

44,8,14 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in fu

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 21‐Jul‐11 

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 23‐Oct‐09 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in fu

REGENTS BANCSHARES, INC. VANCOUVER WA 26‐Jan‐12 

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in fu

REGIONAL BANKSHARES, INC. HARTSVILLE SC 8‐Nov‐12 

REGIONAL BANKSHARES, INC. HARTSVILLE SC 9‐Nov‐12 

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11‐Jan‐13 

REGIONAL BANKSHARES, INC. HARTSVILLE SC 26‐Mar‐13 

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 14‐Nov‐08 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in fu

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4‐Apr‐12 

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 2‐May‐12 

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $45,820,950.80 Sold, in fu

RELIANCE BANCSHARES, INC. FRONTENAC MO 25‐Sep‐13 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

RELIANCE BANCSHARES, INC. FRONTENAC MO 29‐Oct‐13 

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in fu

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 20‐Feb‐13 

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 26‐Mar‐13 

8,116 RISING SUN BANCORP RISING SUN MD 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $195,637.00 

RISING SUN BANCORP RISING SUN MD 17‐Oct‐14 

15,11,14 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 12‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in fu

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6‐Jun‐12 

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 15‐May‐13 

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $0.00 $1,622,708.57 Redeemed, in fu

RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 14‐May‐14 

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 

ROGERS BANCSHARES, INC. LITTLE ROCK AR 5‐Jul‐13 

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 20‐Feb‐09 Preferred Stock w/ Warrants $30,407,000.00 $0.00 $36,696,518.83 Sold, 

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 1‐Jul‐14 

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2‐Jul‐14 

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 26‐Sep‐14 

11 S&T BANCORP, INC. INDIANA PA 16‐Jan‐09 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in fu

S&T BANCORP, INC. INDIANA PA 7‐Dec‐11 

S&T BANCORP, INC. INDIANA PA 11‐Jun‐13 

8 SAIGON NATIONAL BANK WESTMINSTER CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $1,549,000.00 $1,549,000.00 $0.00 Full investment outsta

44 SALISBURY BANCORP, INC. LAKEVILLE CT 13‐Mar‐09 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in fu

SALISBURY BANCORP, INC. LAKEVILLE CT 25‐Aug‐11 

SALISBURY BANCORP, INC. LAKEVILLE CT 2‐Nov‐11 

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 5‐Dec‐08 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in fu

SANDY SPRING BANCORP, INC. OLNEY MD 21‐Jul‐10 

SANDY SPRING BANCORP, INC. OLNEY MD 15‐Dec‐10 

SANDY SPRING BANCORP, INC. OLNEY MD 23‐Feb‐11 

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in fu

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 8‐Mar‐13 

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 9‐Apr‐13 

SANTA LUCIA BANCORP ATASCADERO CA 19‐Dec‐08 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in fu

SANTA LUCIA BANCORP ATASCADERO CA 21‐Oct‐11 

44,8,14 SBT BANCORP, INC. SIMSBURY CT 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in fu

SBT BANCORP, INC. SIMSBURY CT 11‐Aug‐11 

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 16‐Jan‐09 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in fu

SCBT FINANCIAL CORPORATION COLUMBIA SC 20‐May‐09 

SCBT FINANCIAL CORPORATION COLUMBIA SC 24‐Jun‐09 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 19‐Dec‐08 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in fu

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 3‐Apr‐12 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 30‐May‐12 

44,8,14 SEACOAST COMMERCE BANK CHULA VISTA CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in fu

SEACOAST COMMERCE BANK CHULA VISTA CA 1‐Sep‐11 

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in fu

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 10‐Dec‐12 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11‐Dec‐12 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11‐Jan‐13 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 26‐Mar‐13 

44,8,14 SECURITY BUSINESS BANCORP SAN DIEGO CA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in fu

SECURITY BUSINESS BANCORP SAN DIEGO CA 14‐Jul‐11 

44,8,14 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in fu

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 15‐Sep‐11 

11,8,14,36 SECURITY CAPITAL CORPORATION BATESVILLE MS 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in fu

SECURITY CAPITAL CORPORATION BATESVILLE MS 29‐Sep‐10 

11,36 SECURITY FEDERAL CORPORATION AIKEN SC 19‐Dec‐08 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in fu

SECURITY FEDERAL CORPORATION AIKEN SC 29‐Sep‐10 

SECURITY FEDERAL CORPORATION AIKEN SC 31‐Jul‐13 

44,8,14 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in fu

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 22‐Sep‐11 

15,14 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 1‐May‐09 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in fu

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 24‐Jun‐13 

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 26‐Jul‐13 

SEVERN BANCORP, INC. ANNAPOLIS MD 21‐Nov‐08 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $26,915,463.85 Sold, 

SEVERN BANCORP, INC. ANNAPOLIS MD 25‐Sep‐13 

SEVERN BANCORP, INC. ANNAPOLIS MD 29‐Oct‐13 

11 SHORE BANCSHARES, INC. EASTON MD 9‐Jan‐09 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in fu

SHORE BANCSHARES, INC. EASTON MD 15‐Apr‐09 SHORE BANCSHARES, INC. EASTON MD 16‐Nov‐11 

15,11,14 SIGNATURE BANCSHARES, INC. DALLAS TX 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in fu

SIGNATURE BANCSHARES, INC. DALLAS TX 15‐Dec‐10 

11 SIGNATURE BANK NEW YORK NY 12‐Dec‐08 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in fu

SIGNATURE BANK NEW YORK NY 31‐Mar‐09 SIGNATURE BANK NEW YORK NY 16‐Mar‐10 

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 16‐Jan‐09 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in fu

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 20‐May‐09 

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 24‐Jun‐09 

8,32,97 SONOMA VALLEY BANCORP SONOMA CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $347,164.00 

SONOMA VALLEY BANCORP SONOMA CA 20‐Aug‐10 

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in fu

SOUND BANKING COMPANY MOREHEAD CITY NC 13‐Nov‐12 

SOUND BANKING COMPANY MOREHEAD CITY NC 11‐Jan‐13 

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 5‐Dec‐08 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in fu

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 30‐Sep‐10 

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 17‐Jul‐09 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in fu

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 8‐Mar‐13 

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 11‐Mar‐13 

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 9‐Apr‐13 

11,9,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 16‐Jan‐09 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in fu

SOUTHERN BANCORP, INC. ARKADELPHIA AR 6‐Aug‐10 

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON‐SALEM NC 5‐Dec‐08 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in fu

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON‐SALEM NC 1‐Oct‐12 

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 27‐Feb‐09 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in fu

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 3‐Jul‐12 

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 25‐Jul‐12 

8,45,14 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 15‐May‐09 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in fu

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 8‐Sep‐11 

44,8,14 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in fu

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 25‐Aug‐11 

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5‐Dec‐08 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $10,804,763.89 Redeemed, 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 21‐Jul‐11 

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $2,760,000.00 $2,760,000.00 $364,796.34 Full investment outsta

11 SOUTHWEST BANCORP, INC. STILLWATER OK 5‐Dec‐08 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in fu

SOUTHWEST BANCORP, INC. STILLWATER OK 8‐Aug‐12 

SOUTHWEST BANCORP, INC. STILLWATER OK 29‐May‐13 

44,8,14 SOVEREIGN BANCSHARES, INC. DALLAS TX 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in fu

SOVEREIGN BANCSHARES, INC. DALLAS TX 22‐Sep‐11 

8 SPIRIT BANKCORP, INC. BRISTOW OK 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $30,000,000.00 $0.00 $11,803,691.75 Sold, in fu

SPIRIT BANKCORP, INC. BRISTOW OK 21‐Oct‐13 

SPIRIT BANKCORP, INC. BRISTOW OK 6‐Jan‐14 

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $987,408.00 Full investment outsta

74,8,14 STANDARD BANCSHARES, INC. HICKORY HILLS IL 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in fu

STANDARD BANCSHARES, INC. HICKORY HILLS IL 22‐Feb‐13 

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5‐Dec‐08 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,414,352.50 Redeemed, 

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 14‐Dec‐11 

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 4‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in fu

STATE BANK OF BARTLEY, THE BARTLEY NE 22‐Sep‐11 

8,11 STATE BANKSHARES, INC. FARGO ND 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in fu

STATE BANKSHARES, INC. FARGO ND 12‐Aug‐09 

STATE BANKSHARES, INC. FARGO ND 29‐Jun‐11 

8,36,11 STATE CAPITAL CORP. GREENWOOD MS 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in fu

STATE CAPITAL CORP. GREENWOOD MS 29‐Sep‐10 

12,16 STATE STREET CORPORATION BOSTON MA 28‐Oct‐08 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in fu

STATE STREET CORPORATION BOSTON MA 17‐Jun‐09 

STATE STREET CORPORATION BOSTON MA 8‐Jul‐09 

15,11,14 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in fu

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 18‐Jan‐12 

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 25‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in fu

STEELE STREET BANK CORPORATION DENVER CO 1‐Sep‐11 

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 19‐Dec‐08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, in fu

STELLARONE CORPORATION CHARLOTTESVILLE VA 13‐Apr‐11 

STELLARONE CORPORATION CHARLOTTESVILLE VA 28‐Dec‐11 

STELLARONE CORPORATION CHARLOTTESVILLE VA 18‐Dec‐13 

11 STERLING BANCORP NEW YORK NY 23‐Dec‐08 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in fu

STERLING BANCORP NEW YORK NY 27‐Apr‐11 STERLING BANCORP NEW YORK NY 18‐May‐11 

11 STERLING BANCSHARES, INC. HOUSTON TX 12‐Dec‐08 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in fu

STERLING BANCSHARES, INC. HOUSTON TX 5‐May‐09 

STERLING BANCSHARES, INC. HOUSTON TX 15‐Jun‐10 

31 STERLING FINANCIAL CORPORATION SPOKANE WA 5‐Dec‐08 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in fu

STERLING FINANCIAL CORPORATION SPOKANE WA 20‐Aug‐12 STERLING FINANCIAL CORPORATION SPOKANE WA 19‐Sep‐12 

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 30‐Jan‐09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in fu

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1‐Sep‐11 

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 26‐Oct‐11 

11,8,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in fu

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 12‐Jan‐11 

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 16‐Mar‐11 

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in fu

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 26‐Mar‐13 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 27‐Mar‐13 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 9‐Apr‐13 

15 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $15,000,000.00 $2,083,520.25 Full investment outsta

44 SUMMIT STATE BANK SANTA ROSA CA 19‐Dec‐08 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in fu

SUMMIT STATE BANK SANTA ROSA CA 4‐Aug‐11 

SUMMIT STATE BANK SANTA ROSA CA 14‐Sep‐11 

11 SUN BANCORP, INC. VINELAND NJ 9‐Jan‐09 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in fu

SUN BANCORP, INC. VINELAND NJ 8‐Apr‐09 

SUN BANCORP, INC. VINELAND NJ 27‐May‐09 

11 SUNTRUST BANKS, INC. ATLANTA GA 14‐Nov‐08 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in fu

SUNTRUST BANKS, INC. ATLANTA GA 31‐Dec‐08 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 30‐Mar‐11 

SUNTRUST BANKS, INC. ATLANTA GA 28‐Sep‐11 

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 5‐Dec‐08 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 

SUPERIOR BANCORP INC. BIRMINGHAM AL 15‐Apr‐11 

11,8,14 SURREY BANCORP MOUNT AIRY NC 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in fu

SURREY BANCORP MOUNT AIRY NC 29‐Dec‐10 

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12‐Dec‐08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in fu

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 21‐Apr‐10 

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 22‐Dec‐10 

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 19‐Jan‐11 

11,8,14 SV FINANCIAL, INC. STERLING IL 10‐Apr‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in fu

SV FINANCIAL, INC. STERLING IL 31‐Aug‐11 

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12‐Dec‐08 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in fu

SVB FINANCIAL GROUP SANTA CLARA CA 23‐Dec‐09 

SVB FINANCIAL GROUP SANTA CLARA CA 16‐Jun‐10 

15,44,14 SWORD FINANCIAL CORPORATION HORICON WI 8‐May‐09 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in fu

SWORD FINANCIAL CORPORATION HORICON WI 15‐Sep‐11 

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 19‐Dec‐08 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, 

SYNOVUS FINANCIAL CORP. COLUMBUS GA 26‐Jul‐13 

8,103 SYRINGA BANCORP BOISE ID 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $8,000,000.00 $0.00 $253,122.22 

SYRINGA BANCORP BOISE ID 31‐Jan‐14 

TAYLOR CAPITAL GROUP ROSEMONT IL 21‐Nov‐08 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in fu

TAYLOR CAPITAL GROUP ROSEMONT IL 19‐Jun‐12 

TAYLOR CAPITAL GROUP ROSEMONT IL 18‐Jul‐12 

15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 28‐Aug‐09 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in fu

TCB CORPORATION/COUNTY BANK GREENWOOD SC 8‐Sep‐11 

8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $11,730,000.00 $0.00 $690,832.08 

TCB HOLDING COMPANY THE WOODLANDS TX 13‐Dec‐13 

11 TCF FINANCIAL CORPORATION WAYZATA MN 14‐Nov‐08 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in fu

TCF FINANCIAL CORPORATION WAYZATA MN 22‐Apr‐09 

TCF FINANCIAL CORPORATION WAYZATA MN 21‐Dec‐09 

11,8,14 TCNB FINANCIAL CORP DAYTON OH 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in fu

TCNB FINANCIAL CORP DAYTON OH 3‐Aug‐11 

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 19‐Dec‐08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 27‐Jan‐12 

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in fu

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 26‐Apr‐13 

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 29‐Apr‐13 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 31‐May‐13 

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 16‐Jan‐09 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in fu

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 13‐May‐09 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 17‐Mar‐10 

11,8,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in fu

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 19‐May‐10 

44,8,14 THE ANB CORPORATION TERRELL TX 7‐Aug‐09 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in fu

THE ANB CORPORATION TERRELL TX 25‐Aug‐11 

12,16 THE BANCORP, INC. WILMINGTON DE 12‐Dec‐08 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in fu

THE BANCORP, INC. WILMINGTON DE 10‐Mar‐10 

THE BANCORP, INC. WILMINGTON DE 8‐Sep‐10 

8 THE BANK OF CURRITUCK MOYOCK NC 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in fu

THE BANK OF CURRITUCK MOYOCK NC 3‐Dec‐10 

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 13‐Feb‐09 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in fu

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 22‐Dec‐10 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 23‐Nov‐11 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 29‐May‐13 

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in fu

THE BARABOO BANCORPORATION, INC. BARABOO WI 10‐Dec‐12 

THE BARABOO BANCORPORATION, INC. BARABOO WI 11‐Dec‐12 

THE BARABOO BANCORPORATION, INC. BARABOO WI 11‐Jan‐13 

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19‐Dec‐08 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in fu

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19‐Apr‐12 

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 19‐Dec‐08 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $10,309,575.00 Redeemed, 

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 25‐Aug‐11 

11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 9‐Jan‐09 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,332,986.11 Redeemed, 

THE FIRST BANCORP, INC. DAMARISCOTTA ME 24‐Aug‐11 

THE FIRST BANCORP, INC. DAMARISCOTTA ME 27‐Mar‐13 

THE FIRST BANCORP, INC. DAMARISCOTTA ME 8‐May‐13 

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 6‐Feb‐09 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,411,805.56 Redeemed, 

THE FIRST BANCSHARES, INC. HATTIESBURG MS 29‐Sep‐10 

11,8,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in fu

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 14‐Apr‐10 

11,8,14 THE FREEPORT STATE BANK HARPER KS 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in fu

THE FREEPORT STATE BANK HARPER KS 19‐Dec‐12 

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 26‐Jun‐09 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in fu

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 31‐Mar‐10 

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 27‐Sep‐10 

8,44,14 THE LANDRUM COMPANY COLUMBIA MO 22‐May‐09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in fu

THE LANDRUM COMPANY COLUMBIA MO 18‐Aug‐11 

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in fu

THE LITTLE BANK, INCORPORATED KINSTON NC 31‐Oct‐12 

THE LITTLE BANK, INCORPORATED KINSTON NC 11‐Jan‐13 

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 31‐Dec‐08 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in fu

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 10‐Feb‐10 

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5‐May‐10 

44,8,14 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in fu

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 1‐Sep‐11 

8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in fu

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 8‐Mar‐13 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 11‐Mar‐13 

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9‐Apr‐13 

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in fu

THE VICTORY BANCORP, INC. LIMERICK PA 11‐Dec‐09 $1,505,000.00

THE VICTORY BANCORP, INC. LIMERICK PA 22‐Sep‐11 

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in fu

THREE SHORES BANCORPORATION, INC. ORLANDO FL 8‐Nov‐12 

THREE SHORES BANCORPORATION, INC. ORLANDO FL 9‐Nov‐12 

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11‐Jan‐13 

TIB FINANCIAL CORP NAPLES FL 5‐Dec‐08 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in fu

TIB FINANCIAL CORP NAPLES FL 30‐Sep‐10 

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 19‐Dec‐08 Preferred Stock w/ Warrants $14,448,000.00 $14,448,000.00 $1,195,973.33 Full investment outsta

8,47,97 TIFTON BANKING COMPANY TIFTON GA 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Ex

TIFTON BANKING COMPANY TIFTON GA 12‐Nov‐10 

TIMBERLAND BANCORP, INC. HOQUIAM WA 23‐Dec‐08 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in fu

TIMBERLAND BANCORP, INC. HOQUIAM WA 8‐Nov‐12 

TIMBERLAND BANCORP, INC. HOQUIAM WA 9‐Nov‐12 

TIMBERLAND BANCORP, INC. HOQUIAM WA 13‐Nov‐12 

TIMBERLAND BANCORP, INC. HOQUIAM WA 11‐Jan‐13 

TIMBERLAND BANCORP, INC. HOQUIAM WA 11‐Jun‐13 

11,8,14 TITONKA BANCSHARES, INC. TITONKA IA 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in fu

TITONKA BANCSHARES, INC. TITONKA IA 4‐Apr‐12 

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in fu

TODD BANCSHARES, INC. HOPKINSVILLE KY 25‐Sep‐13 

45 TOWNEBANK PORTSMOUTH VA 12‐Dec‐08 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in fu

TOWNEBANK PORTSMOUTH VA 22‐Sep‐11 

TOWNEBANK PORTSMOUTH VA 15‐May‐13 

8 TREATY OAK BANCORP, INC. AUSTIN TX 16‐Jan‐09 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $842,415.03 Sold, 

TREATY OAK BANCORP, INC. AUSTIN TX 15‐Feb‐11 

TREATY OAK BANCORP, INC. AUSTIN TX 21‐Dec‐12 

44,8,14 TRIAD BANCORP, INC. FRONTENAC MO 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in fu

TRIAD BANCORP, INC. FRONTENAC MO 22‐Sep‐11 

44,8,14 TRI‐COUNTY FINANCIAL CORPORATION WALDORF MD 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in fu

TRI‐COUNTY FINANCIAL CORPORATION WALDORF MD 22‐Sep‐11 

8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in fu

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 7‐Aug‐12 

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9‐Aug‐12 

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 10‐Aug‐12 

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 11‐Sep‐12 

11,8,9 TRI‐STATE BANK OF MEMPHIS MEMPHIS TN 3‐Apr‐09 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in fu

TRI‐STATE BANK OF MEMPHIS MEMPHIS TN 13‐Aug‐10 

11,8 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in fu

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 26‐Sep‐12 

8,14,18 TRISUMMIT BANK KINGSPORT TN 3‐Apr‐09 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in fu

TRISUMMIT BANK KINGSPORT TN 22‐Dec‐09 $4,237,000.00

TRISUMMIT BANK KINGSPORT TN 29‐Nov‐12 

TRISUMMIT BANK KINGSPORT TN 11‐Jan‐13 

11 TRUSTMARK CORPORATION JACKSON MS 21‐Nov‐08 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in fu

TRUSTMARK CORPORATION JACKSON MS 9‐Dec‐09 
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

TRUSTMARK CORPORATION JACKSON MS 30‐Dec‐09 

44,8,14 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 29‐May‐09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in fu

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 1‐Sep‐11 

11 U.S. BANCORP MINNEAPOLIS MN 14‐Nov‐08 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in fu

U.S. BANCORP MINNEAPOLIS MN 17‐Jun‐09 

U.S. BANCORP MINNEAPOLIS MN 15‐Jul‐09 

8 U.S. CENTURY BANK MIAMI FL 7‐Aug‐09 Preferred Stock w/ Exercised Warrants $50,236,000.00 $50,236,000.00 $745,311.72 Full investment outsta

44,8,14 UBT BANCSHARES, INC. MARYSVILLE KS 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in fu

UBT BANCSHARES, INC. MARYSVILLE KS 11‐Aug‐11 

22,97 UCBH HOLDINGS INC. SAN FRANCISCO CA 14‐Nov‐08 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,509,920.07 

UCBH HOLDINGS INC. SAN FRANCISCO CA 6‐Nov‐09 

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 14‐Nov‐08 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in fu

UMPQUA HOLDINGS CORP. PORTLAND OR 17‐Feb‐10 

UMPQUA HOLDINGS CORP. PORTLAND OR 31‐Mar‐10 

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 1‐May‐09 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in fu

UNION BANK & TRUST COMPANY OXFORD NC 18‐Dec‐09 $2,997,000.00

UNION BANK & TRUST COMPANY OXFORD NC 22‐Sep‐11 

8,17,11 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 29‐Dec‐09 Preferred Stock w/ Exercised Warrants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, in fu

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 25‐Jul‐12 

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 2‐Oct‐13 

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 19‐Dec‐08 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in fu

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 18‐Nov‐09 

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 23‐Dec‐09 

8 UNITED AMERICAN BANK SAN MATEO CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $3,432,657.85 Sold, in fu

UNITED AMERICAN BANK SAN MATEO CA 2‐Jul‐14 

UNITED AMERICAN BANK SAN MATEO CA 26‐Sep‐14 

UNITED BANCORP, INC. TECUMSEH MI 16‐Jan‐09 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in fu

UNITED BANCORP, INC. TECUMSEH MI 19‐Jun‐12 

UNITED BANCORP, INC. TECUMSEH MI 18‐Jul‐12 

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 23‐Dec‐08 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,172,638.89 Redeemed, 

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 3‐Sep‐10 

15,11,14 UNITED BANK CORPORATION BARNESVILLE GA 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in fu

UNITED BANK CORPORATION BARNESVILLE GA 3‐Jul‐12 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 5‐Dec‐08 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in fu

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 26‐Mar‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 27‐Mar‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 28‐Mar‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 9‐Apr‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 10‐Jun‐13 

44,11,8 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in fu

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15‐Dec‐10 

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15‐Sep‐11 

11 UNITY BANCORP, INC. CLINTON NJ 5‐Dec‐08 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in fu

UNITY BANCORP, INC. CLINTON NJ 15‐May‐13 

UNITY BANCORP, INC. CLINTON NJ 3‐Jul‐13 

UNITY BANCORP, INC. CLINTON NJ 28‐Aug‐13 

8 UNIVERSAL BANCORP BLOOMFIELD IN 22‐May‐09 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in fu

UNIVERSAL BANCORP BLOOMFIELD IN 8‐Aug‐13 

UNIVERSAL BANCORP BLOOMFIELD IN 12‐Aug‐13 

UNIVERSAL BANCORP BLOOMFIELD IN 12‐Sep‐13 

11,9,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 19‐Jun‐09 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in fu

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 30‐Jul‐10 

8 US METRO BANK GARDEN GROVE CA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $2,861,000.00 $2,861,000.00 $432,678.00 Full investment outsta

11,8 UWHARRIE CAPITAL CORP ALBEMARLE NC 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, in fu

UWHARRIE CAPITAL CORP ALBEMARLE NC 3‐Apr‐13 UWHARRIE CAPITAL CORP ALBEMARLE NC 16‐Oct‐13 

11,8,14 VALLEY COMMERCE BANCORP VISALIA CA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in fu

VALLEY COMMERCE BANCORP VISALIA CA 21‐Mar‐12 

8 VALLEY COMMUNITY BANK PLEASANTON CA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $2,947,090.75 Sold, in fu

VALLEY COMMUNITY BANK PLEASANTON CA 21‐Oct‐13 

VALLEY COMMUNITY BANK PLEASANTON CA 6‐Jan‐14 

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12‐Dec‐08 Preferred Stock w/ Warrants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, in fu

VALLEY FINANCIAL CORPORATION ROANOKE VA 14‐Nov‐12 

VALLEY FINANCIAL CORPORATION ROANOKE VA 20‐Feb‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 15‐May‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 14‐Aug‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 16‐Oct‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 13‐Nov‐13 

8,44,14 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 18‐Dec‐09 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in fu

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 22‐Sep‐11 

11 VALLEY NATIONAL BANCORP WAYNE NJ 14‐Nov‐08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in fu

VALLEY NATIONAL BANCORP WAYNE NJ 3‐Jun‐09 

VALLEY NATIONAL BANCORP WAYNE NJ 23‐Sep‐09 

VALLEY NATIONAL BANCORP WAYNE NJ 23‐Dec‐09 

VALLEY NATIONAL BANCORP WAYNE NJ 24‐May‐10 

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in fu

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 25‐Aug‐11 

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1‐May‐09 Preferred Stock w/ Warrants $14,738,000.00 $0.00 $6,933,870.05 Sold, 

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 19‐Nov‐13 

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 6‐Jan‐14 

11 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12‐Dec‐08 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $118,453,138.89 Redeemed, in fu

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 11‐Dec‐12 

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 31‐Jan‐14 

8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in fu

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8‐Aug‐13 

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Aug‐13 

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Sep‐13 

11,8,14 VISION BANK ‐ TEXAS RICHARDSON TX 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in fu

VISION BANK ‐ TEXAS RICHARDSON TX 28‐Dec‐12 

VISION BANK ‐ TEXAS RICHARDSON TX 10‐Jul‐13 

VIST FINANCIAL CORP. WYOMISSING PA 19‐Dec‐08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in fu

VIST FINANCIAL CORP. WYOMISSING PA 1‐Aug‐12 

45,8,14 W.T.B. FINANCIAL CORPORATION SPOKANE WA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in fu

W.T.B. FINANCIAL CORPORATION SPOKANE WA 15‐Sep‐11 

8,17,11 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 11‐Dec‐09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,731,826.23 Redeemed, in fu

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4‐Apr‐12 

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 30‐Jan‐13 

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 23‐Apr‐14 

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 19‐Dec‐08 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in fu
Date Original Investment Type Investment S

1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 FootNote Institution Name City State

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 24‐Nov‐09 

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 16‐Dec‐09 

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 16‐Jan‐09 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in fu

WASHINGTON BANKING COMPANY OAK HARBOR WA 12‐Jan‐11 

WASHINGTON BANKING COMPANY OAK HARBOR WA 2‐Mar‐11 

11 WASHINGTON FEDERAL, INC. SEATTLE WA 14‐Nov‐08 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in fu

WASHINGTON FEDERAL, INC. SEATTLE WA 27‐May‐09 

WASHINGTON FEDERAL, INC. SEATTLE WA 15‐Mar‐10 

8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 30‐Jan‐09 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in fu

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 30‐Oct‐09 $6,842,000.00WASHINGTONFIRST BANKSHARES, INC. RESTON VA 4‐Aug‐11 

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in fu

WAUKESHA BANKSHARES, INC. WAUKESHA WI 6‐Feb‐13 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 7‐Feb‐13 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 8‐Feb‐13 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 26‐Mar‐13 

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 21‐Nov‐08 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in fu

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3‐Mar‐10 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 13‐Oct‐10 WEBSTER FINANCIAL CORPORATION WATERBURY CT 29‐Dec‐10 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 8‐Jun‐11 

11 WELLS FARGO & CO. MINNEAPOLIS MN 28‐Oct‐08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in fu

WELLS FARGO & CO. MINNEAPOLIS MN 23‐Dec‐09 

WELLS FARGO & CO. MINNEAPOLIS MN 26‐May‐10 

11 WESBANCO, INC. WHEELING WV 5‐Dec‐08 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in fu

WESBANCO, INC. WHEELING WV 9‐Sep‐09 

WESBANCO, INC. WHEELING WV 23‐Dec‐09 

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 31‐Dec‐08 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in fu

WEST BANCORPORATION, INC. WEST DES MOINES IA 29‐Jun‐11 

WEST BANCORPORATION, INC. WEST DES MOINES IA 31‐Aug‐11 

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 13‐Feb‐09 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in fu

WESTAMERICA BANCORPORATION SAN RAFAEL CA 2‐Sep‐09 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 18‐Nov‐09 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 21‐Nov‐11 

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 21‐Nov‐08 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in fu

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 27‐Sep‐11 

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 23‐Nov‐11 

8117 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $7,290,000.00 $0.00 $554,083.00 

WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 7‐Nov‐14 

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in fu

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 29‐Dec‐09 $4,567,000.00

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 8‐Nov‐12 

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 9‐Nov‐12 

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11‐Jan‐13 

8,78,11 WESTERN RESERVE BANCORP, INC. MEDINA OH 15‐May‐09 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in fu

WESTERN RESERVE BANCORP, INC. MEDINA OH 30‐Nov‐12 

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $16,800,000.00 $0.00 $20,275,427.10 Sold, in fu

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 1‐Jul‐14 

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 2‐Jul‐14 

WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 26‐Sep‐14 

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 19‐Dec‐08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in fu

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 3‐Jun‐11 

11 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 12‐Dec‐08 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, 

WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 13‐May‐11 

WILSHIRE BANCORP, INC. LOS ANGELES CA 12‐Dec‐08 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in fu

WILSHIRE BANCORP, INC. LOS ANGELES CA 3‐Apr‐12 

WILSHIRE BANCORP, INC. LOS ANGELES CA 20‐Jun‐12 

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 19‐Dec‐08 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in fu

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 22‐Dec‐10 

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 14‐Feb‐11 

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 15‐May‐09 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in fu

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 24‐Jun‐13 

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 26‐Jul‐13 

WSFS FINANCIAL CORPORATION WILMINGTON DE 23‐Jan‐09 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in fu

WSFS FINANCIAL CORPORATION WILMINGTON DE 3‐Apr‐12 

WSFS FINANCIAL CORPORATION WILMINGTON DE 12‐Sep‐12 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 16‐Jan‐09 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in fu

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 24‐Jul‐09 $13,312,000.00

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 18‐Sep‐12 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 10‐Jun‐13 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 11‐Jun‐13 

45,8,14 YORK TRADITIONS BANK YORK PA 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in fu

YORK TRADITIONS BANK YORK PA 14‐Jul‐11 

11 ZIONS BANCORPORATION SALT LAKE CITY UT 14‐Nov‐08 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in fu

ZIONS BANCORPORATION SALT LAKE CITY UT 28‐Mar‐12 

ZIONS BANCORPORATION SALT LAKE CITY UT 26‐Sep‐12 

ZIONS BANCORPORATION SALT LAKE CITY UT 5‐Dec‐12 

TOTALS $204,894,726,320.00 $463,768,965.76 $226,412,845,472.29 
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 expense3 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 plac

(per issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerinapproximately one month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Re

"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 institutio

that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2001/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corpora

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Prappear on a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (un

9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investm

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 institutio

16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number o

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)

billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investmeSeries H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M 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-deductib

III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.

21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of se

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.
Footnote Footnote Description

23 On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and w

contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of 

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non t

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), t

Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividinvestment.

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or inv

extinguished.

27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,00

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid divrelated 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 

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 $

which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and usecurities purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the specified in such agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to 

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigrou

the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (seStanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority ocgave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shaending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 20discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common sto30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010. On OIncorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,00period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010. ADecember 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "CapiDisposition" on following page for the actual number of shares sold by Morgan Stanley, the weighted average price per sharduring those periods.

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (St

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP w378,750,000 shares of common stock.
Footnote Footnote Description

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the Ca

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 amo

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 o

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,9received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to meetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, T

Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investmepreviously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in thMCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding shright to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an excha

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 

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. 

preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently conve

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred s

Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the clo

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividen

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

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an 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), T

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preequivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchang
Footnote Footnote Description

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal 

("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasupursuant 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 

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 repa

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 

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 

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wi

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 o

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 

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 t

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, 

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 

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United en

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), 

acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously 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, wa

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 wi

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 Departm

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 Finan

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement a

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the prefe

Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement aBancorp, Inc. entered into on 11/30/2011.
Footnote Footnote Description

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 issu

(“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the w

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company 

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., T

amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from tRegents.

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., w

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 Of

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 $15,000,0

subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a c

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of th

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancsh

and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the 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 

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 whic

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 app

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, In

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 Ba

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus 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 De

74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursua

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securW Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, 

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed 

Federal Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Footnote Description

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Trea

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, T

had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fpursuant 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 o

B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid d

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First S

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 

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 (“Cit

all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury a

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares o

per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastagency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees 

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) p

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 aggreg

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 B

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had 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 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/1

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, 

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each party thereto.

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) 

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 

amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB 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. 

Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation ente
Footnote Footnote Description

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, a

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 I

93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F F

agreed to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agree

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Ba

implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Comm9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/1

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District o

96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common sto

preference of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,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 rece

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found http://www.treasury.gov/initiatives/financial-stability/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 Treasu

common stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory comCPP warrant and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pu11/15/2013.

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 share

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Hold

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) 

corporation (CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a 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) an

which Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions spe12/31/2013.

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Departmen

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 r

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 Trea

to BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7

106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private in

securities purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred sto
Footnote Footnote Description

107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) 

which Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditio4/30/2014.

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho.109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common s

4/29/2014, with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporagreements, each dated as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, EEndeavour 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. ("Highl

to which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified i

112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from 

Bank of New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6BNYM 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 connecti

its Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,6the 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 f

dated as of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock 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 Tre

Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10

116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Fin

Friday, 10/17/2014.

117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of 

11/7/2014.

118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to 

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 mil

November 25, 2014.

120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding prefer

Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.
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 agen

common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was term5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the o6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of t7/ 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, t

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 2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, tstock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this a3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale unde
Name of Institution City State Investment Description Amount from CPP Additiona

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 

14,000,000 $ 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 

11,926,000 $ 

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 

11,000,000 $ 

1, 4 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 

6,784,000 $ 

1 8/13/2010 Preferred Stock $ 

7,462,000 $ 

2a 9/17/2010 Preferred Stock $ 

- $ 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 

3,000,000 $ 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 

17,000,000 $ 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 

2,795,000 $ 

1 8/20/2010 Preferred Stock $ 

5,500,000 $ 

2a 9/24/2010 Preferred Stock $ 

- $ 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 

11,735,000 $ 

1, 3 8/27/2010 Carver Bancorp, Inc New York NY Common Stock $ 

18,980,000 $ 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ 

- $ 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 

10,300,000 $ 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 

6,000,000 $ 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 

4,205,000 $ 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ 

- $ 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ 

- $ 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ 

- $ 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ 

- $ 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 

7,875,000 $ 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 

5,645,000 $ 

1, 7 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 

5,146,000 $ 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ 

- $ 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

6 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ 

- $ 

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

6 9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ 

- $ 

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ 

- $ 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ 

- $ 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ 

- $ 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ 

- $ 

6 9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ 

- $ 

6, 11 9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ 

- $ 

9/24/2010 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA Subordinated Debentures $ 

- $ 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ 

- $ 

9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ 

- $ 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ 

- $ 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ 

- $ 

9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ 

- $ 

6 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ 

- $ 

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ 

- $ 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ 

- $ 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ 

- $ 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ 

- $ 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 

18,000,000 $ 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 

1,747,000 $ 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 

5,000,000 $ 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 

50,400,000 $ 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 

30,000,000 $ 

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 

15,750,000 $ 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 

4,551,000 $ 

1, 7 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 

9,734,000 $ 

Citizens Bancshares Corporation Atlanta GAMission Valley Bancorp Sun Valley CA

6 9/24/2010 Liberty County Teachers Federal Credit Union 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Detai

Liberty TX Subordinated Debentures $ 

- $ 

6 9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ 

- $ 
Name of Institution City State Investment Description Amount from CPP Additiona

Footnote Purchase Date 

Seller Purchase Detai

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 

54,600,000 $ 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 

6,245,000 $ 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 

17,910,000 $ 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ 

- $ 

6 9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ 

- $ 

8 9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ 

- $ 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ 

- $ 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ 

- $ 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ 

- $ 

6 9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ 

- $ 

6 9/29/2010 UNITEHERE Federal Credit Union (Workers United Federal Credit Union) New York NY Subordinated Debentures $ 

- $ 

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ 

- $ 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ 

- $ 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ 

- $ 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ 

- $ 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ 

- $ 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ 

- $ 

10 9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ 

- $ 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ 

- $ 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ 

- $ 

6 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ 

- $ 

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ 

- $ 

6 9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ 

- $ 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ 

- $ 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ 

- $ 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ 

- $ 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ 

- $ 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ 

- $ 

Total Pur

9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.4/ 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 Ipaid to creditors as a result of the liquidation of Premier Bancorp, Inc.8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.11/ 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 10/ 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 pAccrued dividends on the Union senior subordinated securities were paid on the date of the exchange.3/ 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 T

TOTAL TREASURY 

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under th2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised Warrants $ Par 12/30/2009 5,000,000,000 Exchange for convertible preferred stock $ N/A 5,000,000,000

12/30/2009 Purchase GMAC Trust Preferred Securities w/ Exercised Warrants $ Par 3/1/2011 2,540,000,000 Exchange for amended and restated Trust Preferred Securities $ N/A 27 GMAC (Ally) 

2,667,000,000 

12/29/2008 Purchase General Motors Corporation Debt Obligation 884,024,131 $ Par 2 5/29/2009 Exchange for equity interest in GMAC $ N/A 884,024,131 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 $ Par 2,000,000,000 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 10

6/3/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 30,100,000,000 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 97/10/2009 Debt left at Old GM 985,805,085 $ N/A 9 Motors Liquidation Company 

$ Par 360,624,198

N/A

7

6 7/10/2009 1

Exchange for preferred and common stock in New GM $ 360,624,198 N/A 7

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ 13,400,000,000

5/27/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note5/20/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 4,000,000,000

Par

General Motors 

Company

10

5 7/10/2009 

Exchange for preferred and common stock in New GM $ 4,000,000,000 

5/21/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ Par 7,500,000,000

GMAC (Ally) 3

3

12/30/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ Par 1,250,000,000 22, 26 12/30/2010 Partial conversion of preferred stock for common stock

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Inves

City, State Date Transaction Type

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 2General Motors Holdings LLC

Amount

Pricing 

Seller Description Amount Mechanism Obligor 

Pricing 

Mechanism Date Type

$ N/A 26 5,500,000,000

22 12/30/2009 Partial conversion of preferred stock for common stock $ N/A 3,000,000,000
1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional Note $ Par 1,500,000,000 13 

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 6/10/2009 4,000,000,000 Transfer of debt to New Chrysler $ N/A 500,000,000 19 Chrysler Holding 

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ - - 144/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 280,130,642 15 

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 

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ - - 17 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional Note, Zero Coupon Note, Equity

$ N/A 6,642,000,000

18

6/10/2009 Issuance of equity in New Chrysler $ N/A - Chrysler Group LLC 1

Chrysler Group LLC

Total Initial Investment Amount 81,344,932,551 $ 

Total Treasury Investment Amount

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 

remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.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 abo

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 o"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 o14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 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 principa7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government ent9. 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 ass

by green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM. "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.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 thGMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally")."Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company."New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11."Chrysler FinCo" refers to Chrysler Financial Services Americas LLC."Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC"."Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).

$ 11,863,703

Footnotes appear on following page.As used in this table and its footnotes:

Chrysler Auburn Hills, MI

Completion of bankruptcy proceeding; transfer of collateral security to liquidation trust

Chrysler 

FinCo

Farmington 

Hills, MI
City State

Adjustment

Amount 

6

7/8/2009 3 $ (500,000,000) 

7 

$ 5,000,000,000 

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement wa2/ 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 execute3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.5/ All outstanding principal drawn under the credit agreement was repaid.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 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 to

N/A $ 

$ 

INITIAL TOTAL ADJUSTED TOTAL 413,076,735 $ Total Repayments 413,076,735 $ 

$ $ 

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 1,500,000,000

Debt Obligation w/ Additional Note $ N/A 3,500,000,000

7/8/2009 3 $ (1,000,000,000)

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase

Pricing Mechanism

Adjustment De

Name of Institution

Adjustment 

Date

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 endin35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 share

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

Investment 

Amount

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 en39. 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 

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. 41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of 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 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 $1,277,036,382.28. 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 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 

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 mile

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 

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

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 $5,500,000,000.22. 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 

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 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 

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 Trea y g y ( y) p gg g q p y p p g 

sury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,0

$28,170,000.17. 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 

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 ne

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 acq19. 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/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. 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 Convert

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 placemencommon stock in Ally.
Pricing Mechanism1 Number of Shares Proceeds2

01/18/13 – 

04/17/13

3

$28.0490 58,392,078 $ 1,637,839,844 

05/6/13 – 

9/13/2013

4

$34.6461 110,336,510 $ 3,822,724,832 

9/26/13 – 

11/20/13

5

$36.5087 70,214,460 $ 2,563,441,956 

11/21/2013 - 

12/9/2013

6

$38.8228 31,122,206 $ 1,208,249,982 

Total Proceeds: $9,232,256,614

4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and 

subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 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 of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of 6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to cduring the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurre3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale 

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 

2/ Amount represents the gross proceeds to Treasury.
Pricing Mechanism1 Number of Shares Proceeds2

08/14/14 – 

09/12/14

3

$24.5985 8,890,000 $ 218,680,700 

09/12/14 - 

10/16/14

4

$21.8234 11,249,044 $ 245,492,605 

Total Proceeds: $464,173,305

3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain paramete

ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 

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 

2/ Amount represents the gross proceeds to Treasury.4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain paramending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining 

Capital Amount

Remaining Capital 

Description Final Dispositio

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 

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 

TOTAL $ 40,000,000,000 $ 40,000,000,000 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock for trust preferred securities Trust Preferred Securities w/ Wa

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 Securities7 2/4/2013

Exchange Trust preferred securities for subordinated note

Subordinated No

TOTAL $ 0 

Exchange trust preferred securities for trust preferred securities

4 9/29/2010 

1 1/16/2009 Citigroup Inc. $ 4,034,000,000 

Trust Preferred Securities w/ Wa

New York NY Master Agreement $ 5,000,000,000 Preferred Stock w/ Warrants

AMOUNT Total W

TOTAL TREASURY TIP INVESTMENT AMOUNT

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged a

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.

Descriptio

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details 

Seller

Type Description

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment 

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, Trea

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 

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged a

Trust Preferred Securities. 

Type

Description Amount Footnote Date 

Guarantee

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 f

Guarantee Limit 

3

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 

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 2/8/2012.6/ 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 liq5/ 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.
Seller 

Name of Institution City State 

Transaction 

Type Investment Amount 

2, 3 4/17/2009 AIG New York NY Purchase $ Par 

29,835,000,000

TOTAL $ 69,835,000,000 

Note Date Investment Description 

$ 

2,000,000,00

Footnotes appear on following page.

1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

562,868,096

6

924,546,133

5 1/14/2011 Preferred Stock (Series E) Exchange

Pricing Mechanism Investment Description Amount / Shares

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 focumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

AIG POST-RECAPITALIZATION

Recapitalization

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 $11

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details 

Investment Description Pricing Mechanism 

4 1/14/2011

Preferred Stock (Series G)

Exchange N/A

1 11/25/2008 AIG New York NY Preferred Stock w/ Warrants (Series D) Purchase $ Par 40,000,000,000

Preferred Stock w/ Warrants (Series F)

Treasury Holdings Post-Recapitalization 

Transaction Type

AIA Preferred Units 16,916,603,56

$ 

ALICO Junior Preferred Interests 3,375,328,432 $ 

167,623,733

Preferred Stock (Series F)

Exchange ParExchange
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. 

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 9/10/2012.13/ 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 8/3/2012.5/ 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 (S

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 Ne

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.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 05/24/2011.10/ 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 st11/ 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 5/6/2012.7/ 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.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 clos

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 
Name of Institution City State 

7

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,003/ 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 outst

$ N/A 20,000,000,000 

6

1

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 

1 3/3/2009 TALF LLC Wilmington DE

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 

3

Senior S

Proce

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 4,377,249 $ 

$ 

3/19/2010 $ 7,617,617 109 - 3/24/2010 8,279,156 $ 

$ 

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 8,716,265 $ 

$ 

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 26,041,643 $ 

$ 

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 9,598,523 $ 

$ 

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 11,511,052 $ 

$ 

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 14,151,229 $ 

$ 

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 9,717,173 $ 

$ 

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 9,294,363 $ 

$ 

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 18,801,712 $ 

$ 

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 38,273,995 $ 

$ 

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 31,693,810 $ 

$ 

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 6,416,804 $ 

$ 

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 7,462,726 $ 

$ 

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 14,789,302 $ 

$ 

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 2,826,678 $ 

$ 

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 10,394,984 $ 

$ 

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 9,150,989 $ 

$ 

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 5,520,652 $ 

$ 

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 8/31/2010 $ 9,272,482 110.515 - 9/29/2010 10,277,319 $ 

$ 

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 11,672,766 $ 

$ 

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 9/14/2010 $ 8,050,000 110.759 - 11/30/2010 8,940,780 $ 

$ 

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 6,134,172 $ 

$ 

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 9/28/2010 $ 11,482,421 113.838 - 12/30/2010 13,109,070 $ 

$ 

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 15,308,612 $ 

$ 

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds 

$ 

TOTAL INVESTMENT AMOUNT 368,145,452 $ 

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 pub

--

Floating Rate SBA 7a security due 2017Floating Rate SBA 7a security due 2034Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2019Floating Rate SBA 7a security due 2020

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Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020 -

--

Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2025Floating Rate SBA 7a security due 2034Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2034

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1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior se

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 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 resthe 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 val

Master Purchase Agreement.

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -Floating Rate SBA 7a security due 2022 -

-

Floating Rate SBA 7a security due 2026 -Floating Rate SBA 7a security due 2022 -Floating Rate SBA 7a security due 2034Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2035 -Floating Rate SBA 7a security due 2033 -Floating Rate SBA 7a security due 2029 -Floating Rate SBA 7a security due 2033 -

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adju

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 PMthe 11th business day of each month).

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2035 -Floating Rate SBA 7a security due 2035 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2021 -Floating Rate SBA 7a security due 2029
Name of Institution City State Date Amount Date Amount Am

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 $ 15

$ 

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 $ 20

$ 

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 $ 58

$ 

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 $ 1,16

$ 

CREDIT MARKET PROGRAMS

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

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 1,14

$ 

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 $ 2,29

$ 

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 $ 1,06

$ 

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222, $ Par 3/22/2010 6 2,488,875,000 222,222 $ 7/16/2010 2,300,847,000 $ 12 2,12

$ 
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 52

$ 

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 $ 1,05

$ 

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ Par 3/22/2010 6 1,271,337,500 1,111,111,111 $ 7/16/2010 1,243,275,000 $ 1,11

$ 

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 $ 2,23

$ 
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 62

$ 

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222 $ Par 3/22/2010 6 2,488,875,000 ,222 $ 7/16/2010 1,241,156,516 $ 1,24

$ 

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest 1,111,1 $ Par 3/22/2010 6 1,244,437,500 11,111 $ 7/16/2010 474,550,000 $ 47

$ 

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 $ 94

$ 
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 55

$ 
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 1,11

$ 

$ 30,000,000,000 $ 21,856,403,574 

TOTAL CAPITA

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 14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fundThe $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.

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.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.3/ Adjusted to show Treasury's maximum obligations to a fund.4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.5/ 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 investme

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending 1/15/2015

MAKING HOME AFFORDABLE PROGRAM

Name of Institution City State Pricing Mechanism Note 

21st Mortgage Corporation Knoxville TN - N/A 3 AgFirst Farm Credit Bank Columbia SC $ 100,000 N/A Allstate Mortgage Loans & Investments, Inc. Ocala FL $ 250,000 N/A Ally Bank Midvale UT - N/A 3 Amarillo National Bank Amarillo TX $ 100,000 N/A Ameriana Bank New Castle IN - N/A 3 American Eagle Federal Credit Union East Hartford CT $ 1,590,000 N/A American Finance House LARIBA Pasadena CA $ 100,000 N/A American Financial Resources Inc. Parsippany NJ $ 100,000 N/A 

03090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

02

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09

01060301090703

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

07/16/2014 Purchase Financial Instrument for Home Loan Modifications 07

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

011209

08/14/2014 Purchase Financial Instrument for Home Loan Modifications 08

1209070603120309060609070312

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10

03

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

011211090908070606

03/14/2013 Purchase Financial Instrument for Home Loan Modifications 03

Servicer Modifying Borrowers' Loans 

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

A

040301121203
Aurora Financial Group, Inc. Marlton NJ $ 10,000 N/A Aurora Loan Services, LLC Littleton CO $ 798,000,000 N/A 

11 

Axiom Bank (Urban Trust Bank) Lake Mary FL $ 1,060,000 N/A 

3 

Banco Popular de Puerto Rico San Juan PR $ 1,700,000 N/A Bangor Savings Bank Bangor ME - N/A 3 Bank of America, N.A. Simi Valley CA $ 798,900,000 N/A 

090703011209

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09

12090706050403011209090603120906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

121209

03/03/2010 Purchase Financial Instrument for Home Loan Modifications 07

070606050311090808070604031006050301090907031209

05/01/2009 Purchase Financial Instrument for Home Loan Modifications 06

12090706031206031209060609

05/21/2010 Purchase Financial Instrument for Home Loan Modifications 05

120907060312
7 7 

Bank of America, N.A. (BAC Home Loans Servicing, LP) Simi Valley CA $ 1,864,000,000 N/A 

06060504030302011212111010090908070606050403030201121211100908080706060504030212111010090807060605040303020112090907060403011209

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06

1008060511100806030109
Bank United Miami Lakes FL $ 93,660,000 N/A Bay Federal Credit Union Capitola CA $ 410,000 N/A Bay Gulf Credit Union Tampa FL $ 230,000 N/A Bayview Loan Servicing, LLC Coral Gables FL $ 44,260,000 N/A 

070606050403020110090605040301090907050312

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09

10090703

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

0106030109070312

09/16/2009 Purchase Financial Instrument for Home Loan Modifications 10

011212090907060603021212110909060503021209060306030301090703

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01

01121211100909080707
BMO Harris Bank, NA Chicago IL - N/A 3 Bramble Savings Bank Cincinanati OH $ 700,000 N/A Bridgelock Capital dba Peak Loan Servicing Woodland Hills CA - N/A 3 Caliber Home Loans, Inc (Vericrest Financial, Inc.) Oklahoma City OK - N/A 3 

1209060503011211090604011207060303020109

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09

121210090706060412

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07

08060301

08/20/2010 Purchase Financial Instrument for Home Loan Modifications 09

11

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05

0112121110090908070706060504030302011212111009090706060504030302011212111009
California Housing Finance Agency Sacramento CA - N/A 3 Capital International Financial, Inc. Coral Gables FL $ 100,000 N/A Carrington Mortgage Services, LLC Santa Ana CA $ 195,000,000 N/A 

0302011212111009090706060504030302011212111009080706060504021109080603010112090807031209

04/27/2009 Purchase Financial Instrument for Home Loan Modifications 06

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

01120907060603

03/14/2014 Purchase Financial Instrument for Home Loan Modifications 03

01121211100907070603030201
CCO Mortgage, a division of RBS Citizens NA Glen Allen VA $ 16,520,000 N/A Central Florida Educators Federal Credit Union Lake Mary FL $ 1,250,000 N/A Central Jersey Federal Credit Union Woodbridge NJ $ 30,000 N/A Centrue Bank Ottawa IL $ 1,900,000 N/A Chase Home Finance, LLC Iselin NJ $ 3,552,000,000 N/A 1 Cheviot Savings Bank Cincinnati OH - N/A 3 CitiMortgage, Inc. O'Fallon MO $ 2,071,000,000 N/A 

060504031209

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06

1206

06/14/2013 Purchase Financial Instrument for Home Loan Modifications 06

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 07

0301

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09

1009070312

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10

12090706031209060312090606030109070312

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10

12090706031209060312090606030109070312

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09

011212111009090807070606050403
Citizens Community Bank Freeburg IL $ 800,000 N/A Citizens First National Bank Spring Valley IL $ 620,000 N/A 

060301090703

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01

0301

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09

01121211100908070706060504030302011212110909070606040303021212111009080707060605040302011211100908070606050403030201011110090909080707
6 

Citizens First Wholesale Mortgage Company The Villages FL $ 30,000 N/A ClearSpring Loan Services, Inc. (Vantium Capital, Inc. d/b/a Acqura Loan Services) Plano TX $ 6,000,000 N/A 4 Columbia Bank Fair Lawn NJ - N/A 3 Community Bank & Trust Company Clarks Summit PA $ 380,000 N/A 

090606090703

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01

12090706

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05

121110090707060605040303021212090706060504030302121109070610090806040302010112110909070312

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10

0209070312

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09

0706050312090603120906
Community Credit Union of Florida Rockledge FL $ 2,000,000 N/A 

6 

CU Mortgage Services, Inc. New Brighton MN $ 100,000 N/A CUC Mortgage Corporation Albany NY $ 4,350,000 N/A Desjardins Bank N.A. Hallandale Beach FL - N/A 3 Digital Federal Credit Union Marlborough MA $ 3,050,000 N/A DuPage Credit Union Naperville IL $ 70,000 N/A Eaton National Bank & Trust Company Eaton OH $ 60,000 N/A EMC Mortgage Corporation Lewisville TX $ 707,380,000 N/A 

030302011210090907070312

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09

050907

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03

120907060312030906090703

10/30/2009 Purchase Financial Instrument for Home Loan Modifications 01

05

01/15/2010 Purchase Financial Instrument for Home Loan Modifications 03

09

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12

12090706031209060312090606030109070312

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

0906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

080706031203
8 

Everbank Jacksonville FL - N/A 3 Farmers State Bank West Salem OH $ 170,000 N/A Fay Servicing, LLC Chicago IL $ 3,100,000 N/A FCI Lender Services, Inc. Anaheim Hills CA - N/A 3 

100908070606051109070606

05/13/2011 Purchase Financial Instrument for Home Loan Modifications 05

011212111009090807070606050403030201121211100909080706060504030302011210090807060605041211100906040301

09/03/2010 Purchase Financial Instrument for Home Loan Modifications 09

0509070312

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09

09

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07

10070605
Fidelity Homestead Savings Bank New Orleans LA $ 2,940,000 N/A FIRST BANK St. Louis MO $ 6,460,000 N/A First Citizens Bank & Trust Company Hendersonville NC - N/A 3 First Federal Bank of Florida Lake City FL $ 100,000 N/A 

03090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05

120907060312060312090606030109070312

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09

120907060312090603120906060301090703

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

011212111009090807070606050403030212111009070606050403030201121211
First Federal Savings and Loan Port Angeles WA $ 770,000 N/A First Federal Savings and Loan Association of Lakewood Lakewood OH $ 3,460,000 N/A First Financial Bank, N.A. Terre Haute ID $ 4,300,000 N/A First Keystone Bank Media PA $ 1,280,000 N/A 

6 

First Mortgage Company, LLC Oklahoma City OK - N/A 3 First Mortgage Corporation Diamond Bar CA $ 100,000 N/A First National Bank of Grant Park Grant Park IL $ 140,000 N/A First Safety Bank Cincinnati OH $ 400,000 N/A Flagstar Capital Markets Corporation Troy MI $ 800,000 N/A Florida Community Bank, NA Weston FL - N/A 3 

120907060403

02/13/2014 Purchase Financial Instrument for Home Loan Modifications 02

07060312090603120906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

0301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

010907

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

06/16/2014 Purchase Financial Instrument for Home Loan Modifications 06

0706060301090703

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01

120907060312090603120906060301

08/27/2010 Purchase Financial Instrument for Home Loan Modifications 09

04

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01

0503

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 12

120907060312
Franklin Credit Management Corporation Jersey City NJ $ 27,510,000 N/A 

Franklin Savings Cincinnati OH $ 1,700,000 N/A 

6 

Fresno County Federal Credit Union Fresno CA $ 260,000 N/A 

6 

Gateway Mortgage Group, LLC Tulsa OK $ 100,000 N/A GFA Federal Credit Union Gardner MA $ 100,000 N/A Glass City Federal Credit Union Maumee OH $ 230,000 N/A 

6 

Glenview State Bank Glenview IL $ 370,000 N/A 

03

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01

1109070603120906031209060609070312

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10

03

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

07060603010907

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03

1009060603120906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

12090706030312090603120906100603020109070312

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10
GMAC Mortgage, Inc. Ft. Washington PA $ 633,000,000 N/A Golden Plains Credit Union Garden City KS $ 170,000 N/A Grafton Suburban Credit Union North Grafton MA $ 340,000 N/A 

01060301090703

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01

02090703

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01

0112121110090908070706060504030302011212111009090606030302011212110908060605040301121110090807060504030301120909080705031209

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06

05
Great Lakes Credit Union North Chicago IL $ 570,000 N/A 

Greater Nevada Mortgage Services Carson City NV $ 770,000 N/A Green Tree Servicing LLC Saint Paul MN $ 156,000,000 N/A 

111009080706050302121110090807060605030211100907060605030110090909080707031209

04/24/2009 Purchase Financial Instrument for Home Loan Modifications 06

1209070603120906031209060603010907

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03

120907060312090603120906060301090703

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12
Gregory Funding, LLC Beaverton OR - N/A 3 Guaranty Bank Saint Paul MN $ 100,000 N/A Harleysville National Bank & Trust Company Harleysville PA $ 1,070,000 N/A Hartford Savings Bank Hartford WI $ 630,000 N/A 

0312090603120906060301090703

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

011212110909080706060403031211090606050302011212100908060111

07/14/2011 Purchase Financial Instrument for Home Loan Modifications 07

011212111009090807070606050403021212
Heartland Bank & Trust Company Bloomington IL - N/A 3 Hillsdale County National Bank Hillsdale MI $ 1,670,000 N/A Home Financing Center, Inc Coral Gables FL $ 230,000 N/A Home Loan Services, Inc. Pittsburgh PA $ 319,000,000 N/A 

7 

Home Servicing, LLC Baton Rouge LA - N/A 3 HomEq Servicing North Highlands CA $ 674,000,000 N/A 

11090603121209080606030201121009070312

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09

12090907060312090706050403

02/14/2013 Purchase Financial Instrument for Home Loan Modifications 02

1006050303020112090907031209

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 04

120907060312090603120906060301090703

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01

120906

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05

12090706
13 

HomeStar Bank & Financial Services Manteno IL $ 310,000 N/A 

6 

Homeward Residential, Inc. (American Home Mortgage Servicing, Inc) Coppell TX $ 1,272,490,000 N/A 

14 

Horicon Bank Horicon WI $ 560,000 N/A Horizon Bank, NA Michigan City IN $ 700,000 N/A 

060301090703

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01

12090706031209060312090606090907050312

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10

05040312120907060504030302011212111009080706051110090604030201111009070312

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09

0706060301090703

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01

0212
Iberiabank Sarasota FL $ 4,230,000 N/A 

6 

IBM Southeast Employees' Federal Credit Union Delray Beach FL $ 870,000 N/A 

6 

IC Federal Credit Union Fitchburg MA $ 760,000 N/A Idaho Housing and Finance Association Boise ID $ 9,430,000 N/A iServe Residential Lending, LLC San Diego CA $ 960,000 N/A 

0706031209060312090606030111090907

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03

12090706031206031209060609070503

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01

12090706031209060312090606030109070503

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01

090606030109070312

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09

06040301090703

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01

0906
iServe Servicing, Inc. Irving TX $ 28,040,000 N/A James B. Nutter & Company Kansas City MO $ 300,000 N/A JP Morgan Chase Bank, NA Lewisville TX $ 2,699,720,000 N/A 

060504030302011212111009080706060502011110100908070605040303010909070312

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09

120907060312090603120906060301

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09

120907060312110907060312090606030111090907

03/05/2010 Purchase Financial Instrument for Home Loan Modifications 05

1209
Kondaur Capital Corporation Orange CA - N/A 3 Lake City Bank Warsaw IN $ 420,000 N/A Lake National Bank Mentor OH $ 100,000 N/A 

6 

Land/Home Financial Services, Inc. Concord CA - N/A 3 

01/16/2014 LenderLive Network, Inc Glendale CO Purchase Financial Instrument for Home Loan Modifications - N/A 3 

0109

06/16/2014 Purchase Financial Instrument for Home Loan Modifications 06

080606030109070312

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09

1209070603120906031209060609070312

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09

011212110909070603031207060504020112

11/15/2012 Purchase Financial Instrument for Home Loan Modifications 11

011212111009090807070606050403030201121211100909080706
Liberty Bank and Trust Co New Orleans LA $ 1,000,000 N/A Liberty Savings Bank, FSB Wilmington OH - N/A 3 Litton Loan Servicing, LP Houston TX $ 774,900,000 N/A 

12 

Los Alamos National Bank Los Alamos NM $ 700,000 N/A 

060312090603120906060301090703

11/06/2009 Purchase Financial Instrument for Home Loan Modifications 01

010112120906031209080602011211100907060605040303011210090908070312

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09

12/16/2014 Purchase Financial Instrument for Home Loan Modifications 12

120907060312090603120906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

12090807070606050303
M&T Bank Buffalo NY $ 700,000 N/A Magna Bank Germantown TN $ 1,400,000 N/A Mainstreet Credit Union Lexena KS $ 500,000 N/A Marix Servicing, LLC Phoenix AZ $ 20,360,000 N/A 

06050403030212111009080606040201080706060504030301090908070603

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01

0301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

120907060312090603120906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

12110909080706060504030212090603120906060301

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

120907
Marsh Associates, Inc. Charlotte NC $ 100,000 N/A Members Mortgage Company, Inc Woburn MA $ 510,000 N/A Metropolitan National Bank Little Rock AR $ 280,000 N/A Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River OH $ 100,000 N/A Midland Mortgage Company Oklahoma City OK $ 43,500,000 N/A Midwest Bank and Trust Co. Elmwood Park IL $ 300,000 N/A Midwest Community Bank Freeport IL $ 400,000 N/A Mission Federal Credit Union San Diego CA $ 860,000 N/A 

12

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09

120907060312090603120906060301

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09

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04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07

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09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

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09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

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09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04

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09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

120907060312090706
MorEquity, Inc. Evansville IN $ 23,480,000 N/A 

5 

Mortgage Center, LLC Southfield MI $ 4,210,000 N/A Mortgage Clearing Corporation Tulsa OK $ 4,860,000 N/A Mortgage Investors Group Knoxville TN - N/A 3 National City Bank Miamisburg OH $ 294,980,000 N/A 

1209060312090606030201111006060504030302010909070312

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09

12

07/16/2014 Purchase Financial Instrument for Home Loan Modifications 07

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10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12

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07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09

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07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09

1209070603120309060603090703
Nationstar Mortgage LLC Lewisville TX $ 101,000,000 N/A Nationwide Advantage Mortgage Company Des Moines IA - N/A 3 Navy Federal Credit Union Vienna VA $ 60,780,000 N/A 

030109

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07

05

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12

011212111009090807070606050403030201121211100909070706060504030302121211090808070606050311060503030201121109090807031209

05/28/2009 Purchase Financial Instrument for Home Loan Modifications 06

121110090807060303
New Penn Financial, LLC dba Shellpoint Mortgage Servicing Greenville SC - N/A 3 New York Community Bank (AmTrust Bank) Cleveland OH - N/A 3 Oakland Municipal Credit Union Oakland CA $ 140,000 N/A 

6 

Ocwen Loan Servicing LLC West Palm Beach FL $ 659,000,000 N/A 

100908070606050302011006030201100909070706031209

04/16/2009 Purchase Financial Instrument for Home Loan Modifications 06

070604030109070312

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09

1209070603120907060312090608060605

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04

0112121111100909

08/14/2014 Purchase Financial Instrument for Home Loan Modifications 08

12090706031209060312090606
OneWest Bank Pasadena CA $ 668,440,000 N/A ORNL Federal Credit Union Oak Ridge TN $ 2,070,000 N/A 

070312

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10

0112121109090707060603030201121211100906031209060603010909070312

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10

01121211100909080707060605050403030202010112121110090907060605040403030201121211
Park View Federal Savings Bank Solon OH $ 760,000 N/A 

6 

Pathfinder Bank Oswego NY $ 1,300,000 N/A PennyMac Loan Services, LLC Calasbasa CA $ 6,210,000 N/A 

1210090807060604030112111009070606050403030201011211090909080707060312

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09

120907060312090603120906060301

08/25/2010 Purchase Financial Instrument for Home Loan Modifications 09

0906060301090703

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01

12090706031209060312090606030109
PHH Mortgage Corporation Mt. Laurel NJ - N/A 3 Plaza Home Mortgage, Inc San Diego CA - N/A 3 PNC Bank, National Association Pittsburgh PA $ 54,470,000 N/A PrimeWest Mortgage Corporation Lubbock TX - N/A 3 Purdue Federal Credit Union (Purdue Employees Federal Credit Union) West Lafayette IN $ 1,090,000 N/A 

12090606030109070312

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09

03/15/2012 Purchase Financial Instrument for Home Loan Modifications 03

1209070603120906040312090610060503010909070312

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09

07

11/14/2013 Purchase Financial Instrument for Home Loan Modifications 11

1209070603120907060312100906

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09

1211100909080707060605030302121009060604030212
QLending, Inc. Coral Gables FL $ 20,000 N/A Quantum Servicing Corporation Tampa FL $ 18,960,000 N/A 

6 

Quicken Loans Inc Detroit MI - N/A 3 RBC Bank (USA) Raleigh NC $ 100,000 N/A 

9 

Residential Credit Solutions, Inc. Fort Worth TX $ 19,400,000 N/A 

051109060403010909070312

06/12/2009 Purchase Financial Instrument for Home Loan Modifications 09

040603060301

09/01/2010 Purchase Financial Instrument for Home Loan Modifications 09

01050308

12/14/2012 Purchase Financial Instrument for Home Loan Modifications 12

0212110907060403121110090606010908070606050403020101090703

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01

120907060312030906060907

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 03

120907060312090603
Resurgent Capital Solutions L.P. Greenville SC - N/A 3 

15 

RG Mortgage Corporation San Juan PR $ 57,000,000 N/A 

0301120907040312

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09

1109090707060605040303020112121110090706060503030201120906

06/14/2012 Purchase Financial Instrument for Home Loan Modifications 06

0112121110090908070706060504030302011212100909070606050403030212111009070606
6 

Roebling Bank Roebling NJ $ 240,000 N/A RoundPoint Mortgage Servicing Corporation Charlotte NC $ 570,000 N/A Rushmore Loan Management Services LLC Irvine CA - N/A 3 

1211100909060605040303020112111009080604

12/15/2011 Purchase Financial Instrument for Home Loan Modifications 12

12121009080707060403030201121209090706060403121109060603030109070312

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10

03010907

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03

1110090706031209060312090606
Saxon Mortgage Services, Inc. Irving TX $ 407,000,000 N/A 

10 

Schools Financial Credit Union Sacramento CA $ 390,000 N/A 

12/15/2010 Scotiabank de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications - N/A 3 

1212090706031209060312090606030109070312

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10

04030112121110090807060605040302120908070604030301011210090909070706031209

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06

011212111009090807070606050403030112
SEFCU Albany NY $ 440,000 N/A Select Portfolio Servicing, Inc. Salt Lake City UT $ 376,000,000 N/A 

030302011212111009090807060605040303020112121110090807060605040301111009080606050403030201011211090907031209

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06

040609070312

09/25/2009 Purchase Financial Instrument for Home Loan Modifications 10

121009070603120906031209060601
Selene Finance LP Houston TX - N/A 3 Seneca Mortgage Servicing LLC (AMS Servicing, LLC) Buffalo NY $ 4,390,000 N/A 

011212111009060604110906050403030109070312

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10

011212090908070706040303120907060503031211090807060605041110060604030301100908

06/16/2010 Purchase Financial Instrument for Home Loan Modifications 06

0112121110090908070706060504
Servis One, Inc., dba BSI Financial Services, Inc. Titusville PA $ 29,730,000 N/A 

090807060605040303020112121110090806060504030201121110090806060504030302010112100909090705040312

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09

011212090908070606040303011212111009090706060504030302
ShoreBank Chicago IL $ 1,410,000 N/A 

6 

Silver State Schools Credit Union Las Vegas NV $ 1,880,000 N/A 

6 

SN Servicing Corporation Baton Rouge LA - N/A 3 Sound Community Bank Seattle WA $ 440,000 N/A Specialized Loan Servicing LLC Highlands Ranch CO $ 64,150,000 N/A 

04030301011109090807070605

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03

090703

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01

011212111009070712

10/15/2013 Purchase Financial Instrument for Home Loan Modifications 10

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12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

04031209060604030109070312

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09

01121211100909080706060504030302011212111009
Spirit of Alaska Federal Credit Union Fairbanks AK $ 360,000 N/A Stanford Federal Credit Union Palo Alto CA $ 300,000 N/A Statebridge Company, LLC Denver CO - N/A 3 

1110090603110603030201

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12

0309070312

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10

020109090703

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

01121109090807070606050403030201121211100909070606050403030201121211100908070606050403020112100908060605
Sterling Savings Bank Spokane WA $ 2,250,000 N/A Stockman Bank of Montana Miles City MT $ 100,000 N/A Suburban Mortgage Company of New Mexico Albuquerque NM $ 880,000 N/A Sun West Mortgage Company, Inc Cerritos CA - N/A 3 SunTrust Mortgage, Inc. Richmond VA - N/A 3 

120908070706040303020112070606

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04

01/13/2012 Purchase Financial Instrument for Home Loan Modifications 01

0806060301

08/04/2010 Purchase Financial Instrument for Home Loan Modifications 09

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

1209070603120906031209060301090703

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

121210090908070706030302011211090604030302011212
Technology Credit Union San Jose CA $ 70,000 N/A 

Tempe Schools Credit Union Tempe AZ $ 110,000 N/A The Bryn Mawr Trust Co. Bryn Mawr PA $ 150,000 N/A 

3 

The Golden 1 Credit Union Sacramento CA $ 6,160,000 N/A The Provident Bank Jersey City NJ - N/A 3 U.S. Bank National Association Owensboro KY $ 114,220,000 N/A United Bank Griffin GA $ 540,000 N/A 

1209060312090606030109

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03

12090706031209060312090606030109070312

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10

10/16/2014 Purchase Financial Instrument for Home Loan Modifications 10

120907060312090603120906060301090703

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01

06

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 04

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12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03

120907060312090603120906060301090703

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 12
United Bank Mortgage Corporation Grand Rapids MI $ 410,000 N/A University First Federal Credit Union Salt Lake City UT $ 600,000 N/A Urban Partnership Bank Chicago IL - N/A 3 Verity Credit Union Seattle WA $ 600,000 N/A ViewPoint Bank Plano TX - N/A 3 VIST Financial Corp Wyomissing PA $ 300,000 N/A Wachovia Bank, N.A. Charlotte NC $ 85,020,000 N/A Wachovia Mortgage, FSB Des Moines IA $ 634,010,000 N/A 

2 

Wealthbridge Mortgage Corp Beaverton OR $ 6,550,000 N/A 

0909

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07

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07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09

1209070312

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09

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03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07

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05/16/2013 Purchase Financial Instrument for Home Loan Modifications 05

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12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01

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04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04

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09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

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10/21/2009 Purchase Financial Instrument for Home Loan Modifications 01

1209070603
Webster Bank, N.A. Cheshire CT - N/A 3 Wells Fargo Bank, NA Des Moines IA $ 2,873,000,000 N/A 

0606050403030201121211100909080706060504030302011212111009080606050403020112111009080706060504030301011212090907030303021209

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06

12

12/16/2014 Purchase Financial Instrument for Home Loan Modifications 12

021209060312090606040301
Wescom Central Credit Union Anaheim CA $ 540,000 N/A 

6 3 

Western Federal Credit Union Hawthorne CA - N/A 3 Weststar Mortgage, Inc. Woodbridge VA $ 100,000 N/A Wilshire Credit Corporation Beaverton OR $ 366,000,000 N/A 

06030109080707060504031209

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06

12090706031203090606

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09

120907060312030906

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04

1209070603120906060503010907070312

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 09

01121211100909080707
7 

Yadkin Valley Bank Elkin NC $ 240,000 N/A 

$

1/2/3/4/5/6/7/8/9/10/11/12/13/14/15/ 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 C

pursuant to certain Servicer Participation Agreements prior to such acquisition

* 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 repres

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 AurEffective 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 reOn 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 repres

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 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 EM

Total CAP 

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 23,831,570,000 Total CAP Adjustments 

120907060312090603120906060109070312

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10

10
Name of Institution Borrowers Lenders / Investors 

21st Mortgage Corporation 541,928.72 $ 1,557,217

$ 

Allstate Mortgage Loans & Investments, Inc 8,448.57 $ 12,145

$ 

Ally Bank 238,000.52 $ 808,434

$ 

Ameriana Bank 2,000.00 $ 4,737

$ 

Aurora Financial Group, Inc 24,689.43 $ Aurora Loan Services LLC 15,997,418.00 $ 41,236,849

$ 

Axiom Bank 2,000.00 $ 7,784

$ 

Banco Popular de Puerto Rico 89,406.54 $ 91,944

$ 

Bank of America, N.A. 4,099,061.97 $ 17,843,110

$ 

Bank of America, National Association 360,214,349.79 $ 749,915,730

$ 

BankUnited 10,175,447.47 $ 31,150,493

$ 

Bayview Loan Servicing LLC 21,581,650.30 $ 47,479,302

$ 

Caliber Home Loans, Inc. 1,108,224.62 $ 2,940,045

$ 

California Housing Finance Agency 1,000.00 $ 

$ 

Carrington Mortgage Services, LLC 14,865,643.73 $ 36,150,597

$ 

CCO Mortgage, a division of RBS Citizens NA 3,124,829.74 $ 7,065,757

$ 

Central Florida Educators Federal Credit Union 167,210.90 $ 265,260

$ 

Cheviot Savings Bank 2,000.00 $ 1,766

$ 

CitiMortgage Inc 88,623,437.32 $ 291,893,099

$ 

Citizens First National Bank 27,229.56 $ 67,847

$ 

ClearSpring Loan Services, Inc. 243,469.32 $ 513,223

$ 

Columbia Bank 6,916.67 $ 16,239

$ 

Community Credit Union of Florida 3,000.00 $ 4,631

$ 

CUC Mortgage Corporation 74,136.72 $ 188,313

$ 

Desjardins Bank 2,000.00 $ 6,501

$ 

DuPage Credit Union 10,542.42 $ 35,114

$ 

EMC Mortgage Corporation 7,569,459.20 $ 11,592,937

$ 

Supplemental Information [Not Required by EESA §11

Making Home Affordable Program

Non‐GSE Incentive Payments (through January 201
Name of Institution Borrowers Lenders / Investors 

Fay Servicing, LLC 3,765,765.41 $ 9,754,341

$ 

FCI Lender Services, Inc. 42,909.09 $ 95,333

$ 

Fidelity Homestead Savings Bank 7,000.00 $ 14,231

$ 

FIRST BANK 1,232,436.46 $ 2,486,223

$ 

First Citizens Bank & Trust Company 916.67 $ 

$ 

First Keystone Bank 2,775.62 $ 3,423

$ 

First Mortgage Corporation 2,916.67 $ Florida Community Bank, NA 6,750.00 $ 7,586

$ 

Franklin Credit Management Corporation 342,554.37 $ 658,317

$ 

Franklin Savings 1,750.00 $ 3,864

$ 

Fresno County Federal Credit Union 3,833.34 $ 13,204

$ 

Glass City Federal Credit Union 4,000.00 $ 2,473

$ 

GMAC Mortgage, LLC 63,408,473.29 $ 148,797,390

$ 

Great Lakes Credit Union 15,229.10 $ 27,528

$ 

Greater Nevada Mortgage Services 100,261.83 $ 199,557

$ 

Green Tree Servicing LLC 5,765,160.58 $ 43,076,397

$ 

Gregory Funding, LLC 118,559.94 $ 272,808

$ 

Guaranty Bank 916.67 $ Heartland Bank & Trust Company 5,396.21 $ 15,309

$ 

Hillsdale County National Bank 39,968.62 $ 52,453

$ 

Home Loan Services, Inc. 169,857.80 $ 2,440,767

$ 

Home Servicing, LLC 12,283.72 $ 26,379

$ 

HomEqServicing - $ 3,036,319

$ 

HomeStar Bank and Financial Services 1,916.66 $ 5,572

$ 

Homeward Residential, Inc. 51,759,481.72 $ 133,893,684

$ 

Horicon Bank 11,181.80 $ 23,725

$ 

Iberiabank - $ 10,502

$ 

IBM Southeast Employees' Federal Credit Union 9,000.00 $ 23,589

$ 

IC Federal Credit Union 30,333.34 $ 55,965

$ 

Idaho Housing and Finance Association 27,648.42 $ 31,734

$ 

James B.Nutter and Company 14,047.18 $ JPMorgan Chase Bank, N.A. 366,557,852.72 $ 1,057,448,980

$ 
Name of Institution Borrowers Lenders / Investors 

Kondaur Capital Corporation 2,833.33 $ 11,065

$ 

Lake City Bank 11,576.89 $ 13,190

$ 

Lake National Bank 3,000.00 $ 3,651

$ 

LenderLive Network, Inc 13,833.34 $ 64,558

$ 

Litton Loan Servicing, LP 13,441,220.42 $ 35,353,125

$ 

Los Alamos National Bank 46,257.50 $ 50,465

$ 

M&T Bank 354,221.03 $ 1,332

$ 

Marix Servicing LLC 352,195.77 $ 970,196

$ 

Marsh Associates, Inc. 9,687.97 $ Midland Mortgage Co. 16,479,337.80 $ 2,168,157

$ 

Midwest Community Bank 1,000.00 $ 1,817

$ 

Mission Federal Credit Union 95,431.25 $ 243,654

$ 

MorEquity, Inc. 345,841.21 $ 2,305,003

$ 

Mortgage Center LLC 229,982.78 $ 362,203

$ 

Mortgage Investors Group 4,916.67 $ 

$ 

National City Bank 5,799,266.35 $ 14,337,603

$ 

Nationstar Mortgage LLC 78,254,733.25 $ 219,454,658

$ 

Navy Federal Credit Union 934,769.48 $ 2,369,096

$ 

New Penn Financial, LLC dba Shellpoint Mortgage Ser $ 1,453,347

738,576.09 $ 

New York Community Bank 13,344.17 $ 34,310

$ 

Oakland Municipal Credit Union - $ 3,568

$ 

Ocwen Loan Servicing, LLC 273,152,047.92 $ 1,029,955,099

$ 

OneWest Bank 64,335,902.92 $ 220,489,195

$ 

ORNL Federal Credit Union 22,764.14 $ 43,463

$ 

Park View Federal Savings Bank 11,000.00 $ 23,936

$ 

Pathfinder Bank 7,417.47 $ 12,005

$ 

PennyMac Loan Services, LLC 8,345,496.77 $ 28,300,031

$ 

PHH Mortgage Corporation 71,849.07 $ 99,704

$ 

Plaza Home Mortgage, Inc 4,916.67 $ 

$ 

PNC Bank, National Association 243,375.13 $ 1,402,541

$ 

Purdue Federal Credit Union 3,000.00 $ 2,915

$ 

Quantum Servicing Corporation 133,393.34 $ 332,061

$ 
Name of Institution Borrowers Lenders / Investors 

Quicken Loans, Inc. 8,000.00 $ 

$ 

Residential Credit Solutions, Inc. 3,234,598.57 $ 8,422,096

$ 

Resurgent Capital Services L.P. 708,326.40 $ 1,696,730

$ 

RG Mortgage 164,852.94 $ 227,582

$ 

RoundPoint Mortgage Servicing Corporation 363,275.73 $ 816,171

$ 

Rushmore Loan Management Services LLC 3,745,180.19 $ 7,622,878

$ 

Saxon Mortgage Services Inc 19,655,074.77 $ 41,738,413

$ 

Schools Financial Credit Union 31,166.70 $ 70,242

$ 

Scotiabank de Puerto Rico 639,516.44 $ 816,231

$ 

Select Portfolio Servicing, Inc. 121,500,225.87 $ 254,633,364

$ 

Selene Finance, LP 559,137.62 $ 618,991

$ 

Seneca Mortgage Servicing LLC 59,054.33 $ 258,611

$ 

Servis One, Inc., dba BSI Financial Services, Inc. 2,766,487.85 $ 5,647,426

$ 

ShoreBank 49,915.10 $ 153,906

$ 

Silver State Schools Credit Union 40,355.90 $ 176,298

$ 

SN Servicing Corporation 7,910.04 $ 8,714

$ 

Specialized Loan Servicing LLC 14,004,427.48 $ 29,767,523

$ 

Statebridge Company, LLC 41,093.71 $ 148,721

$ 

Sterling Savings Bank 252,333.82 $ 529,320

$ 

SunTrust Mortgage, Inc 75,371.67 $ 2,366

$ 

Technology Credit Union 67,000.00 $ 236,656

$ 

The Bryn Mawr Trust Company 13,316.16 $ 17,666

$ 

The Golden 1 Credit Union 449,413.07 $ 1,299,912

$ 

U.S. Bank National Association 18,441,354.91 $ 40,467,457

$ 

United Bank 2,916.67 $ 2,651

$ 

United Bank Mortgage Corporation 50,157.27 $ 90,822

$ 

Urban Partnership Bank 186,613.62 $ 372,314

$ 

ViewPoint Bank - $ 1,440

$ 

Wachovia Mortgage, FSB - $ 76,889

$ 

Webster Bank, N.A. 5,000.00 $ 

$ 

Wells Fargo Bank, N.A. 334,955,968.68 $ 884,430,635

$ 

Wescom Central Credit Union 316,759.81 $ 893,690

$ 
Name of Institution Borrowers Lenders / Investors 

Western Federal Credit Union 25,166.68 $ 60,546

$ 

Wilshire Credit Corporation - $ 490,394

$ 

Yadkin Valley Bank 35,884.13 $ 38,039

$ 

Grand Total 2,008,183,723.60 $ $ 5,485,023,422
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

Housing Finance Agency Innovation Fund for the Hardest Hit Housin

Hardest Hit Funds (HHF) Program

Note Date

Seller Transaction 

Type Investment Desc
9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

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.
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 8,117,000,000 

2 3/4/2013 - 

$ 

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 

Initial Investment 

Amount

In

Ad

TOTAL INVESTMENT AM

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 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 that the then-current 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 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 anavailability and usage of the L/C will not exceed $25 million.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(

For Period Ending January 31, 2015

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance coentered into under the provisions of section 102 of the Eand the single insurance contract with Citigroup was terminated on December 23, 2009.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(

For Period Ending January 31, 2015

Type of Expense A

Compensation for financial agents and legal firms $1,13
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(

For Period Ending January 31, 2015

Date Vehicle Descr

None
HAMP Application Activity by Servicer 1

As of December 2014

Servicer Name # Requests 

Received 2 

# 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 12,676 11,773 548 11,225 1,445,869 1,432,059 581,357 850,702

BankUnited 30 20 14 6 9,982 9,700 4,802 4,898

Bayview Loan Servicing, LLC 1,454 347 89 258 42,303 40,739 13,121 27,618

Carrington Mortgage Services, LLC 510 853 81 772 86,623 85,708 25,122 60,586

CCO Mortgage, a division of RBS Citizens NA 419 392 20 372 32,242 31,828 6,367 25,461

CitiMortgage Inc 4,503 2,478 321 2,157 553,129 541,485 230,266 311,219

Green Tree Servicing LLC 575 1,146 417 729 103,350 101,461 39,978 61,483

JPMorgan Chase Bank, NA 6,051 2,968 711 2,257 1,575,030 1,551,621 446,882 1,104,739

Nationstar Mortgage LLC 8,399 9,055 2,004 7,051 480,510 469,573 99,633 369,940

Navy Federal Credit Union 178 140 17 123 12,295 12,091 2,241 9,850

Ocwen Loan Servicing, LLC 14,975 15,339 4,524 10,815 880,024 825,369 125,555 699,814

OneWest Bank 175 221 51 170 384,986 384,626 102,854 281,772

ORNL Federal Credit Union 5 5 - 5 634 634 53 581

PennyMac Loan Services, LLC 218 249 65 184 21,181 20,889 5,821 15,068

PNC Bank, National Association 12 32 - 32 1,143 1,086 58 1,028

PNC Mortgage6 319 315 47 268 44,138 44,102 28,134 15,968

Residential Credit Solutions, Inc. 288 298 18 280 20,239 20,137 2,222 17,915

Select Portfolio Servicing, Inc. 5,065 4,150 1,661 2,489 196,006 181,420 106,636 74,784

Specialized Loan Servicing LLC 2,071 754 183 571 70,353 67,582 11,912 55,670

U.S. Bank National Association 1,701 2,070 169 1,901 137,566 136,248 45,110 91,138

Wells Fargo Bank, NA 7,173 8,346 1,260 7,086 1,473,081 1,461,586 431,536 1,030,050

Other Servicers7 - - - - 170,842 170,842 106,111 64,731

TOTAL 66,797 60,951 12,200 48,751 7,741,526 7,590,786 2,415,771 5,175,015

Activity in December 2014 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 present 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. 

In 2013, the Bureau of Consumer Financial Protection (CFPB) issued new mortgage servicing rules under the Real Estate Settlement Procedures Act (Regulation X). These rules, which became effective on January 10, 2014, may impact servicer 

processes for evaluation of requests for assistance under MHA. As a result, servicers’ reporting of Requests Received, Requests Processed, and Requests Denied (defined below) may include all mortgage modification requests. Previously, servicer 

reporting for these categories included only requests that met basic HAMP eligibility criteria. Due to the ongoing implementation of the mortgage servicing rules and refinement of reporting, some servicers have updated Program-to-Date results to 

better reflect HAMP Application Activity. 

From time to time, a servicer's current month's cumulative results may not equal the sum of that servicer's prior month's cumulative results and current month's activity; this may be due to servicing transfers or servicer corrections to prior reporting.

Note that Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months. 

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.

3 "Requests Processed" is the sum of Requests Approved and Requests Denied, defined below. 

4 "Requests Approved" is the total number of 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 National City Bank.

7 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 reflect previous periods when 

the survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).