UNITED STATES DEPARTMENT OF THE TREASURY

SECTION 105(a) TROUBLED ASSETS RELIEF PROGRAM

REPORT TO CONGRESS

FOR THE PERIOD

APRIL 1, 2009 TO APRIL 30, 2009

I. OVERVIEW

During the reporting period ofApril! to April 30, 2009, the Department ofthe Treasury

(Treasury) continued to develop, refine, and implement a number of programs under the

Troubled Assets ReliefProgram (TARP), including the Financial Stability Plan (FSP), pursuant to

the goals ofthe Emergency Economic Stabilization Act of2008 (EESA). Treasury's

comprehensive approach to restoring stability to the financial system includes actions to stabilize

systemically important financial institutions, promote the availability of credit to consumers and

small businesses, reduce preventable foreclosures, and promote the transparency ofprograms

under the TARP. Given the critical role financial institutions and markets play in the U.S.

economy, financial stability is a necessary precondition to the resumption of economic growth.

Specifically, during this reporting period, Treasury took the following steps toward promoting

fmancial stability:

• Auto Industry Financing Program (AIFP) - The Administration announced the ChryslerFiat alliance, which should position Chrysler for a viable future. As part ofthe

agreement, Treasury will purchase debt obligations from Chrysler in the form of a

debtor-in-possession loan of up to $3.3 billion to provide working capital to help

Chrysler through its restructuring period. Treasury will also purchase debt obligations

from a new Chrysler company in the form of acquisition financing ofup to $4.7 billion.

In addition, Treasury purchased debt obligations of approximately $280 million to

finance Chrysler's participation in the Warranty Commitment Program, a component of

the AIFP. Treasury purchased $2 billion of debt obligations from General Motors

Corporation (GM) as part ofthe AIFP. Treasury also announced Chrysler LLC and

GM's participation in the Auto Supplier Support Program, a component ofthe AIFP.

• Capital Purchase Program (CPP) - Treasury released four new term sheets for qualifying

financial institutions applying to the CPP that are mutual holding companies and mutual

banks or savings associations.

• Homeowner Affordability and Stability Plan - Treasury released final Program Guidelines

and Servicer Participation Agreements for the Home Affordable Modification Program

(HAMP), a component ofthe Homeowner Affordability and Stability Plan. Treasury also

announced the Second Lien Program, which will work in tandem with the first lien

modifications offered under HAMP and will help lower payments for homeowners on

second mortgages. To further help to increase homeowners' equity in homes, it is

Treasury's goal that the Hope for Homeowners Program established by the Hope for

Homeowners Act of 2008 be better integrated with Making Home Affordable through

improvements now under consideration by Congress. The Hope for Homeowners

Program is administered by HUD's Federal Housing Administration.
• Public-Private Investment Program (pPIP) - Treasury released additional guidance for

potential investors in the securities portion ofthe PPIP and received over 100 applications

from private sector fund managers. Treasury launched the PPIP in conjunction with the

Federal Deposit Insurance Corporation (FDIC) and the Board of Governors ofthe Federal

Reserve System (Federal Reserve) as part of an effort to repair the balance sheets of banks

and enable the flow of credit to the households and businesses, ensuring faster economic

recovery.

• Systemically Significant Failing Institution Program (SSFI) - In conjunction with the

Federal Reserve, Treasury provided additional assistance to American International

Group, Inc. (AIG) under the SSFI Program. This assistance took the fonn of a

conversion ofTreasury's existing $40 billion investment from cumulative to noncumulative preferred stock and a new $29.835 billion equity capital commitment facility.

Treasury continues to implement the TARP with a high degree oftransparency and accountability.

On April 15, 2009, Treasury published the third Monthly Lending and Intermediation Snapshot

and survey. This report describes the results ofTreasury's montWy survey oflending and

intennediation activities ofthe top 21 recipients ofgovernment investment under the CPP. The three

reports demonstrated that, despite the headwinds posed by the economic downturn and recession,

the nation's largest banks continued to originate, refmance, and renew loans in the period of

January to February 2009. Notably, lending levels increased from January to February in the

residential mortgage sector, driven in large part by low mortgage rates. With a historically high

application volume for mortgages in December and January, Treasury expects the high level of

originations to continue throughout the first quarter of 2009. The survey also found that the

commercial lending segment remained constrained in February, as demand for credit is weak as

consumers and businesses are hesitant to take on additional debt during this deteriorating

economic environment.

During the reporting period, Treasury also continued to procure services in order to implement

TARP programs. On April 22, 2009, Treasury announced the hiring ofthree fInns to manage its

portfolio ofinvestments in banks and other institutions participating in the CPP and other

similar programs under the EESA. AllianceBernstein LP; FSI Group, LLC; and Piedmont

Investment Advisors, LLC will manage shares ofsenior preferred stock, senior debt, equity

warrants, and other equity and debt obligations. Treasury received over 200 submissions from

fInns interested in the solicitation, which was issued on November 7,2008. Treasury also hired

The Boston Consulting Group to provide management consulting services relating to the AIFP.

II. REPORTING REQUIREMENTS

This is Treasury's sixth Section l05(a) Troubled Assets ReliefProgram Report to Congress

(TARP Report) required by the EESA. Treasury submitted its fifth TARP Report on April 10,

2009, covering activities from March 1 through March 31, 2009. This TARP Report covers the

following activities listed in EESA section 105(a) that occurred in April:

• An overview of actions taken by the Secretary, including the considerations required by

section 103 and the efforts under section 109.

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• The actual obligation and expenditure ofthe funds provided for administrative expenses

by section 118.

• A detailed financial statement with respect to the exercise of authority, including:

1. all agreements made or renewed;

2. all insurance contracts entered into pursuant to section 102;

3. all transactions occurring during the reporting period, including the types of

parties involved;

4. the nature ofthe assets purchased;

5. all projected costs and liabilities;

6. operating expenses, including compensation for financial agents;

7. the valuation or pricing method used for each transaction; and

8. a description ofthe vehicles established to exercise such authority.

ID. PROGRAMS AND INITIATIVES

Automotive Industry Financing Program

On April 8,2009, General Motors Corporation (GM) and Chrysler LLC (Chrysler) announced

their participation in the Auto Supplier Support Program, which is part ofthe Automotive

Industry Financing Program (AIFP). Treasury released details and eligibility information in

March 2009 for the Auto Supplier Support Program, which provides auto suppliers access to

government-backed protection for accounts receivable attributable to products they ship to

participating auto manufacturers. Participating suppliers are able to sell their receivables into the

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

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

liquidity in the supplier industry.

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

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

which suppliers and receivables receive protection under the program.

Under the program, Treasury, through the TARP, will provide up to $5 billion offunding

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

(SPLLCs) established by GM and Chrysler. Each SPLLC received an allocation ofthe funding

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

make a fmancial commitment ofits own funds equal to five percent ofthe allocation it received

from Treasury pursuant to the TARP. A third-party servicer administers the program for each

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

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

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

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

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

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

3
On April 22, 2009, Treasury announced a purchase of debt obligations from GM of $2.0 billion

as part ofthe AIFP. The funding aims to prevent a significant disruption ofthe American

automotive industry, which would pose a systemic risk to financial market stability and have a

negative effect on the U.S. economy. The program requires participating institutions to

implement plans that will achieve long-term viability.

On April 29, 2009, Treasury purchased debt obligations from Chrysler of approximately $280

million to fmance Chrysler's participation in the Warranty Commitment Program. The Warranty

Commitment Program, announced March 30, 2009, is part ofthe AIFP and provides

government-funded protection for warranties issued by Chrysler while it is in the process of

restructuring. The program covers warranties on new vehicles purchased from Chrysler dealers

during the restructuring period, and will apply if, during the restructuring period, Chrysler fails

to honor the warranties on its vehicles. On the same date, Treasury committed to purchase debt

obligations from Chrysler of approximately $500 million for working capital.

On April 30, 2009, the Administration announced the Chrysler-Fiat alliance, which will help

position Chrysler for a viable future. Consistent with the President's commitment to provide

adequate working capital to help Chrysler through its restructuring period and loan funds to the

Chrysler-Fiat alliance, the U.S. government has committed to provide assistance sufficient to

help give Chrysler a chance to achieve financial viability. Government support ofChrysler

includes:

• The U.S. government is prepared to purchase debt obligations from Chrysler to provide

approximately $3.3 billion in debtor-in-possession financing to support Chrysler through

an expedited Chapter 11 proceeding. In connection with the DIP loan, Treasury will

obtain an additional ~ote of 6.67 percent ofthe commitment.

• Upon closing, Treasury is prepared to purchase debt obligations of approximately $4.7

billion from the new Chrysler, with $2.1 billion due in 30 months, 50 percent ofthe

balance due on the seventh anniversary ofthe closing, and 50 percent due on the eighth

anniversary. The interest will be an appropriate combination of cash and payment-inkind. These debt obligations will be secured by a first priority lien on all ofthe new

Chrysler's assets. In connection with the acquisition loan, Treasury will obtain an equity

interest in the new company and an additional note.

During the reporting period, Treasury received $1.7 million in interest from participants in the

AIFP. Since the conception ofthe AIFP, Treasury has received $252.3 million in interest and

dividend payments from participants in the AIFP.

Complete details about the Chrysler-Fiat alliance are available at:

http://www.financialstability.gov/latest/tg 043009.html.

Complete details about the AIFP are available on Treasury's website at:

http://www.financialstability.gov/roadtostability/autoprogram.htm1.

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Capital Purchase Program

Treasury established the Capital Purchase Program (CPP) to stabilize the financial system by

building the capital base ofviable U.S. financial institutions, enabling them to continue to lend to

businesses and consumers during this unprecedented financial crisis and economic downturn.

Through the CPP, Treasury is purchasing shares ofsenior preferred stock from qualifying U.S.

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

mutual holding companies, and mutual banks. Treasury is also purchasing subordinated

debentures from Subchapter S corporations.

In the period between April 1 and April 30, 2009, Treasury purchased $240.4 million in

senior preferred stock and subordinated debentures from 33 financial institutions through the

CPP. Since the establishment ofthe CPP in October 2008 through April 30, 2009, Treasury has

invested a total of$199.0 billion in senior preferred shares and subordinated debentures in 565

financial institutions in 48 states, the District of Columbia, and Puerto Rico. Treasury received

$125 million in dividend payments from CPP investments in April 2009 and has received a total

of$2.6 billion in dividends from CPP investments since the program's inception.

Treasury designed the CPP to include the broad range offinancial institutions that comprise our

financial system and has benefited every banking community in the country. The 565 institutions

Treasury has funded under the CPP include small, community, regional, and national banks, as

well as Community Development Financial Institutions. The application deadlines have passed

for publicly-held institutions, eligible privately-held financial institutions, and Subchapter S

corporations. The deadline for mutual holding companies was May 7, 2009; for mutual banks, the

deadline is May 14,2009. The nation's federal banking regulators continue to evaluate all received

CPP applications and send qualifying applications to Treasury for final approval.

In addition to making investments, Treasury is receiving both principal and dividend payments

under the CPP. Since October 2008, Treasury has received $1 billion in principal payments and

$51 million in accrued dividends from the repurchase ofsenior preferred shares by 11

financial institutions since the CPP's inception. During this reporting period, Treasury

received $683.5 million in principal and $6.2 million in accrued dividends from the repurchase

ofsenior preferred shares by six financial institutions. In addition, Treasury received $995,000

in proceeds from the sale ofpreferred shares and $15,353 in accrued dividends from two

financial institutions that participated in CPP associated with the exercise ofwarrants at

closing during the reporting period and since the program's inception. Treasury will continue

to work with federal banking regulators to evaluate requests from CPP participants interested

in repaying Treasury.

Complete details about the CPP are available at:

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

5
Homeowner Affordability and Stability Plan

On April 13, 2009, Treasury released fmal Program Guidelines and Servicer Participation

Agreements for the Home Affordable Modification Program (HAMP). HAMP, along with the

Home Affordable Refinance Program, was announced as part ofthe Administration's

Homeowner Affordability and Stability Plan in February 2009. HAMP is a $50 billion

homeowner stability initiative designed to offer assistance to as many as three to four million

homeowners making a good-faith effort to pay their mortgages, helping to prevent the

destructive impact offoreclosures on families and communities. The program will help

borrowers avoid foreclosure by encouraging mortgage loan servicers to modify at-risk mortgage

loans to achieve a payment the borrower can afford.

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

successfully complete a three-month trial modification period before the modification becomes

permanent. These requirements are designed to protect the taxpayers and ensure sound loan

modifications. To encourage foreclosure mitigation efforts, fees and incentive payments are

provided to the servicers, lender/investors, and borrowers. Servicers will receive an up-front

payment of $1,000 when a modification becomes permanent and "pay for success" payments of

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

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

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

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

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

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

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

funding for the HAMP began on April 13, 2009 and, during the reporting period, 13 servicers

executed Servicer Participation Agreements and more than $14 billion (of a total potential

allocation of $50 billion) was allocated to implement the program. Between loans serviced by

the participants and loans owned or securitized by the GSEs, more than 75 percent of all

mortgage loans are now subject to Making Home Affordable Program requirements.

On April 28, 2009, Treasury released details on the Second Lien Program and proposed to

coordinate the Hope for Homeowners Program (H4H) with the Making Home Affordable

program, a component ofthe Homeowner Affordability and Stability Plan. The Second Lien

Program will complement the first lien modification program by automatically lowering monthly

payments on qualified second liens when the first mortgage is modified through HAMP. The

Second Lien Program is intended to provide additional reliefto more than a million struggling

homeowners by offering incentives to servicers and investors who agree to modify or extinguish

second lien debts. Servicers ofsubordinate liens must execute a Second Lien Servicer

Participation Agreement in order to be eligible for these incentives.

Also on April 28, 2009, Treasury announced new efforts relating to the H4H program, which

was established by the Hope for Homeowners Act of 2008 and offers an important avenue for

struggling borrowers to refinance into a sustainable mortgage. An H4H refinance requires the

current first mortgage holder to write down the amount due on the mortgage to below 100

6
percent loan to value and requires all subordinate lien holders to extinguish their liens in

exchange for an incentive payment. This provides borrowers with increased equity and an

affordable monthly payment. Congress is currently considering changes to improve H4H.

Integration ofH4H into the Making Home Affordable Program is subject to passage ofthat

legislation.

Complete details about Making Home Affordable are available at

http://www.makinghomeaffordable.gov and '

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

Public-Private Investment Program

On April 6, 2009, Treasury released additional guidance for potential investors in the securities

portion ofthe Public Private Investment Program (pPIP). Additional guidance on the Legacy

Securities Public-Private Investment Funds (PPIFs) includes the following:

• Treasury extended the deadline for the e-mail submission offund manager applications to

5:00 p.m. ET on April 24, 2009. Treasury expects to inform applicants oftheir preliminary

qualification on or before May 15,2009.

• Treasury issued enhanced guidance on application evaluation, clarifying that Fund

Managers will be pre-qualified based on criteria anticipated to include various eligibility

requirements such as a proven ability to raise capital, demonstrated experience investing

in the eligible asset classes, and a minimum threshold of eligible assets under

management. Treasury will view the criteria on a holistic basis and anticipates that

failure to meet anyone criterion will not necessarily disqualify an applicant.

• In order to ensure broad-based participation in the program, Treasury will encourage

small, veteran-, minority- and women-owned businesses to partner with private asset

managers. Smaller firms can partner with fund managers in several ways including as an

asset manager, equity partner, or fund raising partner. Other ways to participate include

providing services such as trade execution, valuation, and other important financial

services. Treasury will allow smaller firms to partner before or after the application

deadline, even after the selection ofthe initial group ofpre-qualified Fund Managers.

Treasury encourages innovative proposals from Fund Managers that incorporate the

options listed above as well as other potential options.

• To restart the market for legacy securities effectively, Treasury announced the potential

for program expansion. In order to maximize the inflow of private capital into the market

from firms large and small while protecting the interests of U.S. taxpayers, Treasury will

consider opening the program to smaller Fund Managers that are not selected in the initial

pre-qualification process after the initial pre-qualification ofFund Managers.

• The Legacy Securities PPIP will work together with the Term Asset-Backed Securities

Loan Facility (TALF) program for legacy assets, but they will remain separate. The

Legacy TALF will be an expansion ofthe existing Federal Reserve lending program with

7
its own set ofterms, conditions, and eligibility requirements. Legacy TALF will be made

available to investors (who meet Federal Reserve eligibility standards) regardless of

whether they participate in the Legacy Securities PPIP. A qualified investor utilizing

Legacy TALF will do so on the same terms and conditions as a Legacy Securities PPIP

investor utilizing Legacy TALF, making the funding oflegacy assets available to a broad

range ofmarket participants.

• The Legacy Securities PPIP is limited to eligible assets that include commercial mortgage

backed securities and non-agency residential mortgage backed securities issued before

2009 that were originally rated AAA or an equivalent rating by two or more nationally

recognized statistical rating organizations without ratings enhancement and that are

secured directly by the actual mortgage loans, leases, or other assets and not other

securities. However, Treasury may solicit comment from Fund Managers regarding

potential expansion ofthe Legacy Securities PPIP at a later date to include other asset

classes.

Complete details about PPIP are available at:

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

Systemically Significant Failing Institutions Program

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

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

institution. In coordination with the Federal Reserve, Treasury provided additional assistance to

American International Group, Inc. (AIG) under the SSFI Program in the form of a conversion of

Treasury's existing $40 billion investment from cumulative to non-cumulative preferred stock

and a $29.835 billion equity capital commitment facility on April 17, 2009.

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

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

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

Specific components ofthe restructuring include:

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

$41.6 billion of new non-cumulative perpetual preferred shares with revised terms that

more closely resemble common equity, which improves the quality ofAIG's equity and

its fmancialleverage. The new securities provide for non-cumulative dividends and limit

AIG's ability to redeem the preferred stock, except with the proceeds from the issuance

of equity capital.

• Treasury's purchase of additional preferred stock ofAIG created a new equity capital

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

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

payments AIG Financial Products made to its employees in March 2009) as needed over

time. This facility will further strengthen AIG's capital levels and improve its leverage.

8
• The Federal Reserve took several actions relating to the Revolving Credit Facility for

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

by the credit agreement governing the Revolving Credit Facility, on March 4,2009, AIG

issued shares of convertible preferred stock representing an approximate 77.9 percent

equity interest in AIG to an independent trust for the sole benefit ofTreasury.

Complete information about the AIG restructuring plan is available at:

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

IV. Certification

I am the official with delegated authority to approve purchases oftroubled assets under the

Troubled Assets Relief Program. I certify to the Congress that each decision ofthe Office of

Financial Stability at the United States Department ofthe Treasury (the Office) to approve purchases

oftroubled assets, during this reporting period, was based on the Office's evaluation ofthe facts

and circumstances of each proposed investment, including recommendations from

regulators, in order to promote financial stability and the other purposes ofthe Emergency

Economic Stabilization Act of2008.

Duane

~JJ~ D. Morse

ChiefRisk and Compliance Officer

Office ofFinancial Stability

9
Budget

Object Class 

(BOC) Budget Object Class Title Obligations Expenditures

Pro

Oblig

PERSONNEL SERVICES 1100 & 1200 PERSONNEL COMPENSATION & BENEFITS $4,700,928 $4,048,882 $

PERSONNEL SERVICES Total: $4,700,928 $4,048,882 $

2100 TRAVEL & TRANSPORTATION OF PERSONS $51,788 $31,682 2200 TRANSPORTATION OF THINGS 24,105 105 

 

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 76,109 15,059 

 

2400 PRINTING & REPRODUCTION 395 395 

 

2500 OTHER SERVICES 48,507,224 13,766,104 5

 

2600 SUPPLIES AND MATERIALS 52 085 46 512 

United States Department of Treasury

Office of Financial Stability

Troubled Asset Relief Program

Report of Administrative Obligations and Expenditures [Section 105(a)(2)]

For Period Ending 

April 30, 2009 

NON-PERSONNEL SERVICES

2600 SUPPLIES AND MATERIALS 46,512 52,085 

 

3100 EQUIPMENT 209,128 130,360 

 

3200 LAND & STRUCTURES - - 

 

NON-PERSONNEL SERVICES Total: $48,920,834 $13,990,218 $5

GRAND TOTAL: $53,621,762 $18,039,100 $56

Note: Some common services provided by Treasury were previously obligated and expended in certain BOCs (e.g. rent, IT services and equipment, etc.). These expended in BOC 2500.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending April 30, 2009

Date

Approved Type of 

or Renewed Transaction Vendor Purpose

10/10/2008 BPA Simpson, Thacher & Bartlett Legal Services10/11/2008 BPA EnnisKnupp Investment and Advisory Services10/14/2008 Financial Agent Bank of New York Mellon Custodian and Cash Management10/16/2008 BPA PricewaterhouseCoopers Internal Control Services10/18/2008 BPA Ernst & Young Accounting Services10/23/2008 IAA GSA - Turner Consulting* Archiving Services10/29/2008 BPA Hughes Hubbard & Reed Legal Services10/29/2008 BPA Squire Sanders & Dempsey Legal Services10/31/2008 Contract Lindholm & Associates* Human Resources Services

11/7/2008 BPA Thacher Proffitt & Wood** Legal Services

11/14/2008 IAA Securities and Exchange Commission Detailees11/14/2008 Procurement CSC Systems and Solutions IT Services

12/3/2008 IAA Trade and Tax Bureau - Treasury IT Services12/5/2008 IAA Department of Housing and Urban Development Detailees12/5/2008 Procurement Washington Post Vacancy Announcement

12/10/2008 BPA Thacher Proffitt & Wood** Legal Services12/12/200 12/12/2008 IAA Pension Benefit Guarant Pension Benefit Guaranty Corp. Legal Services Services

12/15/2008 IAA Office of Thrift Supervision Detailees12/24/2008 Procurement Cushman and Wakefield of VA, Inc. Painting

1/6/2009 IAA Office of the Controller of the Currency Detailees1/6/2009 IAA State Department Detailees1/7/2009 Procurement Colonial Parking Parking 1/9/2009 IAA Internal Revenue Service Detailees

1/27/2009 BPA Cadwalader Wickersham & Taft, LLP Legal Services1/27/2009 Procurement Whitaker Brothers Bus. Machines Office Machines

2/2/2009 IAA Government Accountability Office Oversight2/9/2009 Contract Pat Taylor and Associates, Inc* Temporary Employee Services

2/12/2009 Contract Locke Lord Bissell & Lidell LLP Legal Services2/18/2009 Financial Agent Freddie Mac Homeownership Program2/18/2009 Financial Agent Fannie Mae Homeownership Program2/20/2009 IAA Congressional Oversight Panel Oversight2/20/2009 Contract Simpson, Thacher & Bartlett Legal Services2/22/2009 Contract Venable LLP Legal Services

3/6/2009 Contract Boston Consulting Group Management Consulting Support

3/16/2009 Financial Agent EARNEST Partners Asset Management Services3/23/2009 Procurement Heery International Inc. Architects3/30/2009 Contract McKee Nelson, LLP Legal Services3/30/2009 Contract Sonnenschein Nath & Rosenthal Legal Services 3/30/2009 Contract Cadwalader Wickersham & Taft, LLP Legal Services 3/30/2009 Contract Haynes and Boone LLP Legal Services3/31/2009 BPA FI Consulting* Modeling and Analysis

4/3/2009 Procurement American Furniture Rentals Office Furniture 

4/17/2009 Procurement Herman Miller Office Furniture 4/17/2009 IAA Bureau of Printing and Engraving Detailee4/21/2009 Financial Agent AllianceBernstein Asset Management Services4/21/2009 Financial Agent FSI Group Asset Management Services4/21/2009 Financial Agent Piedmont Investment Advisors Asset Management Services

* Small or Women-, or Minority-Owned Small Business**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending April 30, 2009

Name Amount

Citigroup $5,000,000,000

The subsidy rate for this insurance contract is determined to be -

0.25 percent. Per EESA section 102(c)(3), premiums shall be 

set at a level necessary to meet anticipated claims. To ensure 

that the guarantee remains compliant with section 102(c)(3), the 

Master Agreement provides for post-signing adjustments 

including additional Citigroup preferred stock, a reduction of the 

covered asset pool, and/or an increased Citigroup deductible 

( ti 5 2 f th M t A t) U d thi ti f th (section 5.2 of the Master Agreement). Under this section of the 

agreement, the subsidy rate will be reassessed once the loan 

pools are finalized and details are provided to Treasury (changes 

in the composition of assets are expected). Citigroup must either 

transfer more preferred stock or absorb more in first losses (it is 

unlikely the size of the asset pool would be reduced), if it is found 

that the risks of the assets in the loan pool exceed those 

estimated today and would not meet the requirements of EESA 

section 102(c)(3). This “true-up” would occur over the next 6 

months.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(E)]

For Period Ending April 30, 2009

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance contracts 

entered into under the provisions of section 102 of the EESA; 

and the single insurance contract with Citigroup is structured 

such that no costs are anticipated, i.e. the currently 

anticipated cash inflows of the contract slightly exceed 

anticipated cash outflows.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(3)(F)]

For Period Ending April 30, 2009

Type of Expense Amount

Compensation for financial agents 

and legal firms $28,298,733
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(3)(H)]

For Period Ending April 30, 2009

Date Vehicle Description

None
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

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

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

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

11/14/2008 UCBH Holdings, Inc. San Francisco CA Preferred Stock w/Warrants 298,737,000 $ Par 11/14/2008 Northern Trust Corporation Chicago IL Preferred Stock w/Warrants 1,576,000,000 $ Par 

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

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

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

Purchase Details Capital Repayment Details 

Transactions Report [Section 105(3)(C, D, G)]

For Period Ending April 29, 2009

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

CAPITAL PURCHASE PROGRAM

Footnote

Purchase 

Date 

Seller 

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

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

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

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

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

11/14/2008 TCF Financial Corporation Wayzata MN Preferred Stock w/Warrants 361,172,000 $ Par 4/22/2009 4 $ 

3

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

11/21/2008 Porter Bancorp Inc. Louisville KY Preferred Stock w/Warrants 35,000,000 $ Par 11/21/2008 Banner Corporation Walla Walla WA Preferred Stock w/Warrants 124,000,000 $ Par 

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

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

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

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

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

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

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

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

12/5/2008 Midwest Banc Holdings, Inc. Melrose Park IL Preferred Stock w/Warrants 84,784,000 $ Par 12/5/2008 MB Financial Inc. Chicago IL Preferred Stock w/Warrants 196,000,000 $ Par 12/5/2008 First Midwest Bancorp, Inc. Itasca IL Preferred Stock w/Warrants 193,000,000 $ Par 12/5/2008 United Community Banks, Inc. Blairsville GA Preferred Stock w/Warrants 180,000,000 $ Par 12/5/2008 Wesbanco Bank Inc. Wheeling WV Preferred Stock w/Warrants 75,000,000 $ Par 12/5/2008 Encore Bancshares Inc. Houston TX Preferred Stock w/Warrants 34,000,000 $ Par 

12/5/2008 Manhattan Bancorp El Segundo CA Preferred Stock w/Warrants 1,700,000 $ Par 

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

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

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

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

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

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

12/5/2008 Southern Community Financial Corp. Winston-Salem NC Preferred Stock w/Warrants 42,750,000 $ Par 12/5/2008 CVB Financial Corp Ontario CA Preferred Stock w/Warrants 130,000,000 $ Par 

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

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

12/5/2008 Superior Bancorp Inc. Birmingham AL Preferred Stock w/Warrants 69,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

12/5/2008 Southwest Bancorp, Inc. Stillwater OK Preferred Stock w/Warrants 70,000,000 $ Par 12/5/2008 Popular, Inc. San Juan PR Preferred Stock w/Warrants 935,000,000 $ Par 

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

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

12/5/2008 Bank of North Carolina Thomasville NC Preferred Stock w/Warrants 31,260,000 $ Par 12/5/2008 Central Bancorp, Inc. Somerville MA Preferred Stock w/Warrants 10,000,000 $ Par 12/5/2008 Southern Missouri Bancorp, Inc. Poplar Bluff MO Preferred Stock w/Warrants 9,550,000 $ Par 12/5/2008 State Bancorp, Inc. Jericho NY Preferred Stock w/Warrants 36,842,000 $ Par 

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

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

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

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

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

1

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

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

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

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

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

1

12/12/2008 HopFed Bancorp Hopkinsville KY Preferred Stock w/Warrants 18,400,000 $ Par 12/12/2008 Citizens Republic Bancorp, Inc. Flint MI Preferred Stock w/Warrants 300,000,000 $ Par 12/12/2008 Indiana Community Bancorp Columbus IN Preferred Stock w/Warrants 21,500,000 $ Par 

12/12/2008 Bank of the Ozarks, Inc. Little Rock AR Preferred Stock w/Warrants 75,000,000 $ Par 

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

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

12/12/2008 Sterling Bancshares, Inc. Houston TX Preferred Stock w/Warrants 125,198,000 $ Par 12/12/2008 The Bancorp, Inc. Wilmington DE Preferred Stock w/Warrants 45,220,000 $ Par 12/12/2008 TowneBank Portsmouth VA Preferred Stock w/Warrants 76,458,000 $ Par 12/12/2008 Wilshire Bancorp, Inc. Los Angeles CA Preferred Stock w/Warrants 62,158,000 $ Par 12/12/2008 Valley Financial Corporation Roanoke VA Preferred Stock w/Warrants 16,019,000 $ Par 12/12/2008 Independent Bank Corporation Ionia MI Preferred Stock w/Warrants 72,000,000 $ Par 12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/Warrants 95,000,000 $ Par 12/12/2008 First Litchfield Financial Corporation Litchfield CT Preferred Stock w/Warrants 10,000,000 $ Par 12/12/2008 National Penn Bancshares, Inc. Boyertown PA Preferred Stock w/Warrants 150,000,000 $ Par 12/12/2008 Northeast Bancorp Lewiston ME Preferred Stock w/Warrants 4,227,000 $ Par 

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

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

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

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

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

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

12/19/2008 Mid Penn Bancorp, Inc. Millersburg PA Preferred Stock w/Warrants 10,000,000 $ Par 12/19/2008 Summit State Bank Santa Rosa CA Preferred Stock w/Warrants 8,500,000 $ Par 12/19/2008 VIST Financial Corp. Wyomissing PA Preferred Stock w/Warrants 25,000,000 $ Par 12/19/2008 Wainwright Bank & Trust Company Boston MA Preferred Stock w/Warrants 22,000,000 $ Par 

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

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

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

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

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

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

12/19/2008 AmeriServ Financial, Inc Johnstown PA Preferred Stock w/Warrants 21,000,000 $ Par 12/19/2008 Security Federal Corporation Aiken SC Preferred Stock w/Warrants 18,000,000 $ Par 

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

12/19/2008 Flushing Financial Corporation Lake Success NY Preferred Stock w/Warrants 70,000,000 $ Par 12/19/2008 Monarch Financial Holdings, Inc. Chesapeake VA Preferred Stock w/Warrants 14,700,000 $ Par 12/19/2008 StellarOne Corporation Charlottesville VA Preferred Stock w/Warrants 30,000,000 $ Par 12/19/2008 Union Bankshares Corporation Bowling Green VA Preferred Stock w/Warrants 59,000,000 $ Par 12/19/2008 Tidelands Bancshares, Inc Mt. Pleasant SC Preferred Stock w/Warrants 14,448,000 $ Par 12/19/2008 Bancorp Rhode Island, Inc. Providence RI Preferred Stock w/Warrants 30,000,000 $ Par 

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

12/19/2008 The Elmira Savings Bank, FSB Elmira NY Preferred Stock w/Warrants 9,090,000 $ Par 12/19/2008 Alliance Financial Corporation Syracuse NY Preferred Stock w/Warrants 26,918,000 $ Par 12/19/2008 Heartland Financial USA, Inc. Dubuque IA Preferred Stock w/Warrants 81,698,000 $ Par 

12/19/2008 Citizens First Corporation Bowling Green KY Preferred Stock w/Warrants 8,779,000 $ Par 

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

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

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

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

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

2 12/19/2008 Pacific City Financial Corporation Los Angeles CA Preferred Stock w/ Exercised Warrants 16,200,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

2 12/19/2008 Marquette National Corporation Chicago IL Preferred Stock w/ Exercised Warrants 35,500,000 $ Par 2 12/19/2008 Exchange Bank Santa Rosa CA Preferred Stock w/ Exercised Warrants 43,000,000 $ Par 

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

2 12/19/2008 Bridgeview Bancorp, Inc. Bridgeview IL Preferred Stock w/ Exercised Warrants 38,000,000 $ Par 2 12/19/2008 Fidelity Financial Corporation Wichita KS Preferred Stock w/ Exercised Warrants 36,282,000 $ Par 

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

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

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

12/23/2008 First Financial Bancorp Cincinnati OH Preferred Stock w/ Warrants 80,000,000 $ Par 

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

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

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

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

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

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

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

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

12/23/2008 12/23/2008 P k l Fi i l C ti Parkvale Financial Corporation M ill onroeville PA P f d St k / W t Preferred Stock w/ Warrants $ 31 762 000 31,762,000 Par 

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

12/23/2008 1st Constitution Bancorp Cranbury NJ Preferred Stock w/ Warrants 12,000,000 $ Par 12/23/2008 Central Jersey Bancorp Oakhurst NJ Preferred Stock w/ Warrants 11,300,000 $ Par 

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

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

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

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

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

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

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

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

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

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

2 12/23/2008 Leader Bancorp, Inc. Arlington MA Preferred Stock w/ Exercised Warrants 5,830,000 $ Par 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1/9/2009 FirstMerit Corporation Akron OH Preferred Stock w/ Warrants 125,000,000 $ Par 4/22/2009 4 $ 

1

1/9/2009 Farmers Capital Bank Corporation Frankfort KY Preferred Stock w/ Warrants 30,000,000 $ Par 1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Preferred Stock w/ Warrants 28,685,000 $ Par 1/9/2009 Commerce National Bank Newport Beach CA Preferred Stock w/ Warrants 5,000,000 $ Par 1/9/2009 The First Bancorp, Inc. Damariscotta ME Preferred Stock w/ Warrants 25,000,000 $ Par 

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

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

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

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

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

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

1/9/2009 Independent Bank Corp. Rockland MA Preferred Stock w/ Warrants 78,158,000 $ Par 4/22/2009 4 $ 

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

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

1/9/2009 Center Bancorp, Inc. Union NJ Preferred Stock w/ Warrants 10,000,000 $ Par 1/9/2009 F.N.B. Corporation Hermitage PA Preferred Stock w/ Warrants 100,000,000 $ Par 1/9/2009 C&F Financial Corporation West Point VA Preferred Stock w/ Warrants 20,000,000 $ Par 1/9/2009 North Central Bancshares, Inc. Fort Dodge IA Preferred Stock w/ Warrants 10,200,000 $ Par 

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

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

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

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

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

1/9/2009 First Security Group, Inc. Chattanooga TN Preferred Stock w/ Warrants 33,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

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

2 1/9/2009 The Queensborough Company Louisville GA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 2 1/9/2009 American State Bancshares, Inc. Great Bend KS Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 

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

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

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

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

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

2 1/9/2009 Surrey Bancorp Mount Airy NC Preferred Stock w/ Exercised Warrants 2,000,000 $ Par 

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

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

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

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

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

2 1/9/2009 Texas National Bancorporation Jacksonville TX Preferred Stock w/ Exercised Warrants 3,981,000 $ Par 

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

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

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

1/16/2009 Washington Banking Company/ Whidbey Island Bank Oak Harbor WA Preferred Stock w/ Warrants 26,380,000 $ Par 

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

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

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

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

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

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

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

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

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

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

1/16/2009 Citizens & Northern Corporation Wellsboro PA Preferred Stock w/ Warrants 26,440,000 $ Par 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

2 1/16/2009 First Manitowoc Bancorp, Inc. Manitowoc WI Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1/30/2009 Flagstar Bancorp, Inc. Troy MI Preferred Stock w/Warrants 266,657,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

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

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

1/30/2009 PrivateBancorp, Inc. Chicago IL Preferred Stock w/Warrants 243,815,000 $ Par 1/30/2009 Central Valley Community Bancorp Fresno CA Preferred Stock w/Warrants 7,000,000 $ Par 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

2 1/30/2009 1/30/2009 G ld t B k N A Goldwater Bank, N.A. S tt d l Scottsdale AZ P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 2 568 000 2,568,000 Par 

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

2 1/30/2009 WashingtonFirst Bank Reston VA Preferred Stock w/ Exercised Warrants 6,633,000 $ Par 

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

2 1/30/2009 Hilltop Community Bancorp, Inc. Summit NJ Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 1/30/2009 Northway Financial, Inc. Berlin NH Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 1/30/2009 Monument Bank Bethesda MD Preferred Stock w/ Exercised Warrants 4,734,000 $ Par 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

2/13/2009 QCR Holdings, Inc. Moline IL Preferred Stock w/Warrants 38,237,000 $ Par 2/13/2009 Westamerica Bancorporation San Rafael CA Preferred Stock w/Warrants 83,726,000 $ Par 

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

2/13/2009 PremierWest Bancorp Medford OR Preferred Stock w/Warrants 41,400,000 $ Par 

2/13/2009 Carrollton Bancorp Baltimore MD Preferred Stock w/Warrants 9,201,000 $ Par 

2/13/2009 FNB United Corp. Asheboro NC Preferred Stock w/Warrants 51,500,000 $ Par 

2 2/13/2009 First Menasha Bancshares, Inc. Neenah WI Preferred Stock w/ Exercised Warrants 4,797,000 $ Par 

2 2/13/2009 1st Enterprise Bank Los Angeles CA Preferred Stock w/ Exercised Warrants 4,400,000 $ Par 

2 2/13/2009 DeSoto County Bank Horn Lake MS Preferred Stock w/ Exercised Warrants 1,173,000 $ Par 

2 2/13/2009 Security Bancshares of Pulaski County, Inc. Waynesville MO Preferred Stock w/ Exercised Warrants 2,152,000 $ Par 

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

2 2/13/2009 BankGreenville Greenville SC Preferred Stock w/ Exercised Warrants 1,000,000 $ Par 

2 2/13/2009 Corning Savings and Loan Association Corning AR Preferred Stock w/ Exercised Warrants 638,000 $ Par 

2 2/13/2009 Financial Security Corporation Basin WY Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 2/13/2009 ColoEast Bankshares, Inc. Lamar CO Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 

2 2/13/2009 Santa Clara Valley Bank, N.A. Santa Paula CA Preferred Stock w/ Exercised Warrants 2,900,000 $ Par 

2 2/13/2009 Reliance Bancshares, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants 40,000,000 $ Par 

2 2/13/2009 Regional Bankshares, Inc. Hartsville SC Preferred Stock w/ Exercised Warrants 1,500,000 $ Par 

2 2/13/2009 Peoples Bancorp Lynden WA Preferred Stock w/ Exercised Warrants 18,000,000 $ Par 

2 2/13/2009 First Choice Bank Cerritos CA Preferred Stock w/ Exercised Warrants 2,200,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

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

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

2 2/13/2009 Midwest Regional Bancorp, Inc. Festus MO Preferred Stock w/ Exercised Warrants 700,000 $ Par 

2 2/13/2009 Bern Bancshares, Inc. Bern KS Preferred Stock w/ Exercised Warrants 985,000 $ Par 

2 2/13/2009 Northwest Bancorporation, Inc. Spokane WA Preferred Stock w/ Exercised Warrants 10,500,000 $ Par 

2 2/13/2009 Liberty Bancshares, Inc. Springfield MO Preferred Stock w/ Exercised Warrants 21,900,000 $ Par 

2 2/13/2009 F&M Financial Corporation Clarksville TN Preferred Stock w/ Exercised Warrants 17,243,000 $ Par 

2 2/13/2009 Meridian Bank Devon PA Preferred Stock w/ Exercised Warrants 6,200,000 $ Par 

2 2/13/2009 Northwest Commercial Bank Lakewood WA Preferred Stock w/ Exercised Warrants 1,992,000 $ Par 

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

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

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

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

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

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

2 2/20/2009 White River Bancshares Company Fayetteville AR Preferred Stock w/ Exercised Warrants 16,800,000 $ Par 

2 2/20/2009 United American Bank San Mateo CA Preferred Stock w/ Exercised Warrants 8,700,000 $ Par 

2 2/20/2009 Crazy Woman Creek Bancorp, Inc. Buffalo WY Preferred Stock w/ Exercised Warrants 3,100,000 $ Par 

2 2/20/2009 First Priority Financial Corp. Malvern PA Preferred Stock w/ Exercised Warrants 4,579,000 $ Par 2 2/20/2009 Mid-Wisconsin Financial Services, Inc. Medford WI Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 2/20/2009 Market Bancorporation, Inc. New Market MN Preferred Stock w/ Exercised Warrants 2,060,000 $ Par 

2 2/20/2009 Hometown Bancorp of Alabama, Inc. Oneonta AL Preferred Stock w/ Exercised Warrants 3,250,000 $ Par 

2 2/20/2009 Security State Bancshares, Inc. Charleston MO Preferred Stock w/ Exercised Warrants 12,500,000 $ Par 

2 2/20/2009 CBB Bancorp Cartersville GA Preferred Stock w/ Exercised Warrants 2,644,000 $ Par 

2 2/20/2009 BancPlus Corporation Ridgeland MS Preferred Stock w/ Exercised Warrants 48,000,000 $ Par 

2 2/20/2009 2/20/2009 C t l C it C ti Central Community Corporation T l emp e TX P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 22 000 000 22,000,000 Par 

2 2/20/2009 First BancTrust Corporation Paris IL Preferred Stock w/ Exercised Warrants 7,350,000 $ Par 2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 2/20/2009 Florida Business BancGroup, Inc. Tampa FL Preferred Stock w/ Exercised Warrants 9,495,000 $ Par 2 2/20/2009 Hamilton State Bancshares Hoschton GA Preferred Stock w/ Exercised Warrants 7,000,000 $ Par 

2/27/2009 Lakeland Financial Corporation Warsaw IN Preferred Stock w/Warrants 56,044,000 $ Par 2/27/2009 First M&F Corporation Kosciusko MS Preferred Stock w/Warrants 30,000,000 $ Par 2/27/2009 Southern First Bancshares, Inc. Greenville SC Preferred Stock w/Warrants 17,299,000 $ Par 

2/27/2009 Integra Bank Corporation Evansville IN Preferred Stock w/Warrants 83,586,000 $ Par 

2 2/27/2009 Community First Inc. Columbia TN Preferred Stock w/ Exercised Warrants 17,806,000 $ Par 2 2/27/2009 BNC Financial Group, Inc. New Canaan CT Preferred Stock w/ Exercised Warrants 4,797,000 $ Par 2 2/27/2009 California Bank of Commerce Lafayette CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 2/27/2009 Columbine Capital Corp. Buena Vista CO Preferred Stock w/ Exercised Warrants 2,260,000 $ Par 2 2/27/2009 National Bancshares, Inc. Bettendorf IA Preferred Stock w/ Exercised Warrants 24,664,000 $ Par 2 2/27/2009 First State Bank of Mobeetie Mobeetie TX Preferred Stock w/ Exercised Warrants 731,000 $ Par 2 2/27/2009 Ridgestone Financial Services, Inc. Brookfield WI Preferred Stock w/ Exercised Warrants 10,900,000 $ Par 2 2/27/2009 Community Business Bank West Sacramento CA Preferred Stock w/ Exercised Warrants 3,976,000 $ Par 2 2/27/2009 D.L. Evans Bancorp Burley ID Preferred Stock w/ Exercised Warrants 19,891,000 $ Par 

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

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

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

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

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

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

2 2/27/2009 Avenue Financial Holdings, Inc. Nashville TN Preferred Stock w/ Exercised Warrants 7,400,000 $ Par 

2 2/27/2009 Howard Bancorp, Inc. Ellicott City MD Preferred Stock w/ Exercised Warrants 5,983,000 $ Par 

2 2/27/2009 FNB Bancorp South San Francisco CA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 

2 2/27/2009 The Victory Bank Limerick PA Preferred Stock w/ Exercised Warrants 541,000 $ Par 

2 2/27/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 2/27/2009 Midtown Bank & Trust Company Atlanta GA Preferred Stock w/ Exercised Warrants 5,222,000 $ Par 

3/6/2009 HCSB Financial Corporation Loris SC Preferred Stock w/Warrants 12,895,000 $ Par 3/6/2009 First Busey Corporation Urbana IL Preferred Stock w/Warrants 100,000,000 $ Par 

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

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

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

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

2 3/6/2009 Farmers & Merchants Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 11,000,000 $ Par 2 3/6/2009 Blue Ridge Bancshares, Inc. Independence MO Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 

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

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

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

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

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

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

2 3/6/2009 Highlands Independent Bancshares, Inc. Sebring FL Preferred Stock w/ Exercised Warrants 6,700,000 $ Par 

2 3/6/2009 Pinnacle Bank Holding Company, Inc. Orange City FL Preferred Stock w/ Exercised Warrants 4,389,000 $ Par 

2 3/6/2009 Blue River Bancshares, Inc. Shelbyville IN Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 3/6/2009 Marine Bank & Trust Company Vero Beach FL Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

2 3/6/2009 Community Bancshares of Kansas, Inc. Goff KS Preferred Stock w/ Exercised Warrants 500,000 $ Par 

2 3/6/2009 Regent Bancorp, Inc. Davie FL Preferred Stock w/ Exercised Warrants 9,982,000 $ Par 

2 3/6/2009 Park Bancorporation, Inc. Madison WI Preferred Stock w/ Exercised Warrants 23,200,000 $ Par 

2 3/6/2009 PeoplesSouth Bancshares, Inc. Colquitt GA Preferred Stock w/ Exercised Warrants 12,325,000 $ Par 

3/13/2009 First Place Financial Corp. Warren OH Preferred Stock w/Warrants 72,927,000 $ Par 

3/13/2009 Salisbury Bancorp, Inc. Lakeville CT Preferred Stock w/Warrants 8,816,000 $ Par 

3/13/2009 First Northern Community Bancorp Dixon CA Preferred Stock w/Warrants 17,390,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

3/13/2009 Discover Financial Services Riverwoods IL Preferred Stock w/Warrants 1,224,558,000 $ Par 3/13/2009 Provident Community Bancshares, Inc. Rock Hill SC Preferred Stock w/Warrants 9,266,000 $ Par 

3 3/13/2009 First American International Corp. Brooklyn NY Preferred Stock 17,000,000 $ Par 

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

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

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

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

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

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

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

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

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

2 3/13/2009 First Intercontinental Bank Doraville GA Preferred Stock w/ Exercised Warrants 6,398,000 $ Par 

3/20/2009 Heritage Oaks Bancorp Paso Robles CA Preferred Stock w/Warrants 21,000,000 $ Par 

2 3/20/2009 Community First Bancshares Inc. Union City TN Preferred Stock w/ Exercised Warrants 20,000,000 $ Par 

2 3/20/2009 First NBC Bank Holding Company New Orleans LA Preferred Stock w/ Exercised Warrants 17,836,000 $ Par 

2 3/20/2009 First Colebrook Bancorp, Inc. Colebrook NH Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 

2 3/20/2009 Kirksville Bancorp, Inc. Kirksville MO Preferred Stock w/ Exercised Warrants 470,000 $ Par 

2 3/20/2009 Peoples Bancshares of TN, Inc Madisonville TN Preferred Stock w/ Exercised Warrants 3,900,000 $ Par 

2 3/20/2009 Premier Bank Holding Company Tallahassee FL Preferred Stock w/ Exercised Warrants 9,500,000 $ Par 

2 3/20/2009 Citizens Bank & Trust Company Covington LA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 

2 3/20/2009 Farmers & Merchants Financial Corporation Argonia KS Preferred Stock w/ Exercised Warrants 442,000 $ Par 

2 3/20/2009 Farmers State Bankshares, Inc. Holton KS Preferred Stock w/ Exercised Warrants 700,000 $ Par 

2 3/27/2009 SBT Bancorp, Inc. Simsbury CT Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 3/27/2009 3/27/2009 CSRA B k C CSRA Bank Corp. Wrens GA P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 2 400 000 2,400,000 Par 

2 3/27/2009 Trinity Capital Corporation Los Alamos NM Preferred Stock w/ Exercised Warrants 35,539,000 $ Par 

2 3/27/2009 Clover Community Bankshares, Inc. Clover SC Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

2 3/27/2009 Pathway Bancorp Cairo NE Preferred Stock w/ Exercised Warrants 3,727,000 $ Par 

2 3/27/2009 Colonial American Bank West Conshohocken PA Preferred Stock w/ Exercised Warrants 574,000 $ Par 

2 3/27/2009 MS Financial, Inc. Kingwood TX Preferred Stock w/ Exercised Warrants 7,723,000 $ Par 

2 3/27/2009 Triad Bancorp, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants 3,700,000 $ Par 

2 3/27/2009 Alpine Banks of Colorado Glenwood Springs CO Preferred Stock w/ Exercised Warrants 70,000,000 $ Par 

2 3/27/2009 Naples Bancorp, Inc. Naples FL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 3/27/2009 CBS Banc-Corp. Russellville AL Preferred Stock w/ Exercised Warrants 24,300,000 $ Par 

2 3/27/2009 IBT Bancorp, Inc. Irving TX Preferred Stock w/ Exercised Warrants 2,295,000 $ Par 

2 3/27/2009 Spirit BankCorp, Inc. Bristow OK Preferred Stock w/ Exercised Warrants 30,000,000 $ Par 

2 3/27/2009 Maryland Financial Bank Towson MD Preferred Stock w/ Exercised Warrants 1,700,000 $ Par 

4/3/2009 First Capital Bancorp, Inc. Glen Ellen VA Preferred Stock w/Warrants 10,958,000 $ Par 

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

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

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

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

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

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

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

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

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

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

2 4/10/2009 First Business Bank, N.A. San Diego CA Preferred Stock w/ Exercised Warrants 2,211,000 $ Par 

2 4/10/2009 SV Financial, Inc. Sterling IL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 4/10/2009 Capital Commerce Bancorp, Inc. Milwaukee WI Preferred Stock w/ Exercised Warrants 5,100,000 $ Par 

2 4/10/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 2,040,000 $ Par 

4/17/2009 Bank of the Carolinas Corporation Mocksville NC Preferred Stock w/Warrants 13,179,000 $ Par 

2 4/17/2009 Penn Liberty Financial Corp. Wayne PA Preferred Stock w/ Exercised Warrants 9,960,000 $ Par 

2 4/17/2009 Tifton Banking Company Tifton GA Preferred Stock w/ Exercised Warrants 3,800,000 $ Par 

2 4/17/2009 Patterson Bancshares, Inc Patterson LA Preferred Stock w/ Exercised Warrants 3,690,000 $ Par 

2 4/17/2009 BNB Financial Services Corporation New York NY Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 

2 4/17/2009 Omega Capital Corp. Lakewood CO Preferred Stock w/ Exercised Warrants 2,816,000 $ Par 

4/24/2009 Mackinac Financial Corporation / mBank Manistique MI Preferred Stock w/Warrants 11,000,000 $ Par 

2 4/24/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock w/ Exercised Warrants 1,635,000 $ Par 

2 4/24/2009 Vision Bank - Texas Richardson TX Preferred Stock w/ Exercised Warrants 1,500,000 $ Par 

2 4/24/2009 4/24/2009 Oregon Bancorp, Inc. Oregon Bancorp, Inc. Salem OR Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $ 3,216,000 3,216,000 Par

2 4/24/2009 Peoples Bancorporation, Inc. Easley SC Preferred Stock w/ Exercised Warrants 12,660,000 $ Par 

2 4/24/2009 Indiana Bank Corp. Dana IN Preferred Stock w/ Exercised Warrants 1,312,000 $ Par 

2 4/24/2009 Business Bancshares, Inc. Clayton MO Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 

2 4/24/2009 Standard Bancshares, Inc. Hickory Hills IL Preferred Stock w/ Exercised Warrants 60,000,000 $ Par 

2 4/24/2009 York Traditions Bank York PA Preferred Stock w/ Exercised Warrants 4,871,000 $ Par 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Purchase Details Capital Repayment Details 

Footnote

Purchase 

Date 

Seller 

2 4/24/2009 Grand Capital Corporation Tulsa OK Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 4/24/2009 Allied First Bancorp, Inc. Oswego IL Preferred Stock w/ Exercised Warrants 3,652,000 $ Par 

8 4/24/2009 Frontier Bancshares, Inc. Austin TX

Subordinated Debentures w/Exercised Warrants $ Par 3,000,000

Total Purchase Amount 199,010,094,000 $ Total Capital Repayment Amount $ 1,0

$ 197,973,554,000

2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock, which it exercised immediately.3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.

TOTAL TREASURY CPP INVESTMENT AMOUNT

8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures, which it exercised immediately.1/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of A

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.5/ Redemption pursuant to a qualified equity offering.6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
Seller 

Name of Institution City State 

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism 

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

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

TOTAL $ 69,835,000,000

obligation to Treasury of $1,604,576,000 to reflect the cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.2/ The investment price reflects 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 3/ This transaction does not include AIG's commitment fee of an additional $165 million scheduled to be paid from its operating income in three equal installments over the five-year life of the facility

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

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 investmen

SYSTEMICALLY SIGNIFICANT FAILING INSTITUTIONS

Foot

note Date 

Purchase Details 

Name of Institution City State

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

Liquidation 

Preference

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

12/31/2008 General Motors Corporation Detroit MI Purchase

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

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

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

3 4/22/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note $ N/A 2,000,000,000

4, 5 4/29/2009 Chrysler Holding LLC Auburn Hills MI Purchase Debt Obligation w/ Additional Note 500,000,000 $ N/A

4, 6 4/29/2009 Chrysler Holding LLC Auburn Hills MI Purchase Debt Obligation w/ Additional Note 280,130,642 $ N/A

TOTAL $ 27,564,154,773

3/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, bringing the total loan amount to $15,400,000,000.4/ This transaction is an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding LLC, increasing the total loan amount to $4,780,130,642. 6/ The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Chrysler LLC. 5/ The loan may be incrementally funded.loan amount. The loan will be incrementally funded.

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note Date

Seller Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

1/ Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate level of funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 2/ The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler Financial. The amount of $1,500,000,000 represents the maximum 
Name of Institution City State

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

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 1,500,000,000 N/A

TOTAL $ 5,000,000,000

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum 2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. 

Seller 

Name of Institution City State 

Pricing 

Mechanism

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note Date 

Transaction 

Type Investment Description Investment Amount

Investment Amount

Pricing 

Mechanism

loan amount. The loan will be incrementally funded. The agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009.The loan will be incrementally funded. The agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009.

TARGETED INVESTMENT PROGRAM

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note Date

Seller Transaction 

Type Investment Description 

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Name of Institution City State

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

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

TOTAL $ 40,000,000,000

Name of Institution City State

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

Preferred Stock 

and Warrants

TOTAL $ 5,000,000,000

Name of Institution City State

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

TOTAL $ 20,000,000,000

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

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note Date

Seller Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Mechanism

ASSET GUARANTEE PROGRAM

Foot

note Date

Seller Transaction 

Type Investment Description Guarantee Limit

Premium 

Received

note Date Type Investment Description Investment Amount

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

Name of Institution City State 

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications 4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications 4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financial Instrument for Home Loan Modifications 4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications 4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications 4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications 4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications 4/17/2009 Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications 4/17/2009 Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financial Instrument for Home Loan Modifications 4/20/2009 Home Loan Services, Inc. Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications 4/20/2009 Wilshire Credit Corporation Beaverton OR Purchase Financial Instrument for Home Loan Modifications 4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications 4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financial Instrument for Home Loan Modifications 

HOME AFFORDABLE MODIFICATION PROGRAM

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note Date Transaction Type Investment Description 

TOTAL 

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