UNITED STATES DEPARTMENT OF THE TREASURY 

SEVENTH TRANCHE REPORT TO CONGRESS 

June 3, 2009 

I. INTRODUCTION 

This Seventh Tranche Report to Congress meets the requirement for reporting at the $400 billion 

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

(EESA) for the period of April 18, 2009 through May 27, 2009. Transactions during the 

reporting period include a number of measures under the Automotive Industry Financing 

Program and the Home Affordable Mortgage Program, as well as $425.4 million of transactions 

under the Capital Purchase Program, bringing the total amount of transactions to $404.4 billion. 

The Treasury Department (Treasury) will submit the next Tranche Report when total transactions 

reach the $450 billion level. 

Pursuant to section 105(b) of EESA, the Report addresses the following six areas: 

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

• A description of the pricing mechanism for the transactions. 

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

transactions. 

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

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

benchmarks yet to be achieved. 

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

may be necessary to address such challenges. 

II. TRANSACTION INFORMATION BY PROGRAM 

This Seventh Tranche Report describes transactions under three programs: the Automotive 

Industry Financing Program, the Home Affordable Modification Program, and the Capital 

Purchase Program. Since Treasury’s Sixth Tranche Report to Congress, submitted to Congress 

on April 24, 2009, regarding $376.7 billion in transactions, Treasury has closed $27.6 billion in 

transactions under those programs. A report listing all transactions under the Troubled Assets 

Relief Program (TARP) closed during the reporting period is attached as the Appendix and is 

posted on Treasury’s web site. 

Automotive Industry Financing Program 

The Automotive Industry Financing Program (AIFP) is designed to prevent a significant 

disruption of the American automotive industry, which would have a negative effect on the U.S. 

economy. The program requires participating institutions to implement plans that will achieve 

long-term viability. During this reporting period, Treasury undertook a number of transactions 

under the AIFP. 

On April 22, 2009, Treasury announced the purchase of debt obligations from General Motors 

Corporation (GM) of $2.0 billion as part of the AIFP, bringing Treasury’s total loans to the 
2 

company to $15.4 billion. Treasury increased its loan to GM by $4 billion on May 20, 2009, 

bringing the total loan amount to $19.4 billion. 

Treasury has undertaken a series of transactions to support Chrysler. On April 29, 2009, 

Treasury committed to purchase debt obligations from Chrysler Holding LLC of approximately 

$500 million to provide working capital. On April 30, 2009, the company announced the 

Chrysler-Fiat alliance, which will help position Chrysler for a viable future. Consistent with 

President Obama’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. 

On May 1, 2009, Treasury and the Canadian government jointly agreed to make a loan in the 

total amount of $4.1 billion to Chrysler LLC in its capacity as debtor-in-possession (DIP) in its 

bankruptcy case. Treasury’s share of that loan is $3.04 billion. The terms of the loan are set 

forth in a credit agreement executed on May 5, 2009. The bankruptcy court authorized interim 

borrowing of up to $1.4 billion pending final approval of the loan. Treasury’s share of that 

interim loan is $1.04 billion. The balance of the $4.1 billion was approved by the bankruptcy 

court on May 20, 2009. Treasury’s commitment to lend constitutes the purchase of a debt 

obligation under Section 101 of EESA. Also on May 20, 2009, Treasury increased its loan 

commitment in the DIP credit agreement by $756,857,000, bringing the maximum amount of 

Treasury’s share available under the loan to a total of $3.8 billion. 

On May 21, 2009, Treasury invested $7.5 billion in Mandatorily Convertible Preferred Interests 

in GMAC LLC (GMAC) to support GMAC’s ability to originate new loans to Chrysler dealers 

and consumers and help address GMAC’s capital needs as identified through the Supervisory 

Capital Assessment Program (SCAP). 

On May 27, 2009, Treasury committed to invest in New CarCo Acquisition LLC, the company 

that will purchase the assets of Chrysler. Treasury executed a binding term sheet for a loan of up 

to $7.943 billion, which consists of new debt obligations of approximately $6.9 billion, debt of 

approximately $500 million to be transferred in connection with Treasury’s May 21, 2009 

agreement with GMAC, and assumed debt of $500 million from Treasury’s January 2, 2009 

credit agreement with Chrysler Holding LLC. The debt obligations will be secured by a first 

priority lien on the assets of New CarCo Acquisition LLC (the new Chrysler). In addition, 

Treasury will obtain other consideration, including an equity interest in New CarCo Acquisition 

LLC and an additional note. The final amount spent out of our DIP commitment and resulting 

exit financing combined will be resolved when the 363 sales transaction closes, but is expected 

to be about $8.1 billion. 

Separately, Treasury also completed two transactions under the Warranty Commitment Program 

during the reporting period. The Warranty Commitment Program, announced March 30, 2009, is 

a component of the AIFP and provides government-funded protection for warranties issued by 

Chrysler and GM during the restructuring process. The program covers warranties on new 

vehicles purchased from Chrysler and GM dealers during the restructuring period, and applies if, 

during the restructuring period, Chrysler and/or GM fail to honor the subject warranties on their 
3 

vehicles. On April 29, 2009, Treasury purchased debt obligations from Chrysler of $280 million 

to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Chrysler LLC to 

finance Chrysler’s participation in the Warranty Commitment Program. On May 27, 2009, 

Treasury purchased debt obligations from GM of $360.6 million to capitalize GM Warranty 

LLC, a special purpose vehicle created by GM to finance GM’s participation in the Warranty 

Commitment Program. 

During the reporting period, Treasury also received $107.5 million in dividend payments from 

participants in the AIFP. As of May 27, 2009, Treasury had received a total of $359.7 million in 

interest and dividend payments from participants in the AIFP since the inception of the program. 

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.html.

Capital Purchase Program 

Treasury established the Capital Purchase Program (CPP) in October 2008 to stabilize the 

financial system by building the capital base of viable U.S. financial institutions, enabling 

them to continue lending to businesses and consumers during this unprecedented financial 

crisis and economic downturn. Under the CPP, Treasury has purchased senior preferred shares 

from qualifying U.S. controlled banks, savings associations, and certain bank and savings and 

loan holding companies. Treasury also has purchased subordinated debentures from Subchapter 

S corporations. Since Treasury’s Sixth Tranche Report to Congress dated April 24, 2009, 

Treasury has purchased $425.4 million in senior preferred shares and subordinated debentures 

from 52 institutions, bringing the total amount of funds invested under the CPP to $199.3 billion. 

Treasury has completed CPP transactions with 605 U.S. financial institutions and Community 

Development Financial Institutions in 48 states, Puerto Rico, and the District of Columbia. 

Treasury receives dividend payments from its investments under the CPP and has received a total 

of $4.50 billion in dividend payments received since launching CPP in October 2008. During 

this reporting period, Treasury received $1.86 billion in dividend payments from institutions 

participating in the CPP. 

In addition, Treasury has received payments in connection with the repurchase of preferred 

shares, preferred shares associated with the exercise of warrants, and warrants associated with 

CPP investments. During this reporting period, Treasury received $1.30 billion in principal plus 

an additional $8.71 million in accrued and unpaid dividends from the repurchase of senior 

preferred shares (excluding preferred shares associated with the exercise of the warrants) by 13 

institutions that participated in the CPP. In total since October 2008, Treasury has received 

$1.77 billion plus an additional $11.83 million in accrued and unpaid dividends from the 

repurchase of senior preferred shares by 20 financial institutions that participated in the CPP. As 

of May 27, 2009, Treasury has received $1.60 million plus an additional $17,153 in accrued and 

unpaid dividends in connection with the repurchase of preferred shares associated with the 

exercise of warrants from three private institutions, and $11.73 million from the repurchase of 
4 

warrants from five public institutions that participated in the CPP. 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. 

Home Affordable Modification Program 

Making Home Affordable, a comprehensive program to stabilize the U.S. housing market, was 

first announced by the Administration on February 18, 2009 as part of its Homeowner 

Affordability and Stability Plan. 

From April 13, 2009, when servicer funding for the Home Affordable Modification Program (a 

component of Making Home Affordable) began, through the end of this reporting period, 14 

servicers have executed Servicer Participation Agreements (five during this reporting period) and 

more than $15 billion (of a total potential allocation of $50 billion) have been 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 covered by the 

Making Home Affordable Program. 

Complete details about Making Home Affordable are available at 

http://www.makinghomeaffordable.gov and 

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

 

III. IMPACT, REMAINING CHALLENGES, AND ADDITIONAL ACTIONS 

Impact of the Programs 

Automotive Industry Financing Program 

Treasury remains committed to assisting the nation’s automotive industry as it undergoes 

restructuring. The General Motors Dealer Consolidation announcement is part of the company’s 

larger effort to restructure to achieve financial viability. The President’s Auto Task Force (Task 

Force) is continuing to work with GM and its stakeholders and the Administration will stand 

behind GM during this process to help it emerge as a more competitive, viable business in the 

long-term. 

Treasury and the Administration recognize the difficulties facing the dealers that sell GM and 

Chrysler cars and the communities they serve. To this effect, Treasury and the Administration 

believe that the actions under the AIFP were critical to supporting the GM and Chrysler dealer 

networks and will enable the continued efforts to restructure the companies. A restructuring 

process that is supported by efficient and effective dealer networks will provide more stability 

and certainty for current employees and the prospect for future employment growth. 
5 

In addition, the Administration is committed to continuing its significant efforts to help ensure 

that financing is available to creditworthy dealers and to pursuing efforts to help boost domestic 

demand for cars. These steps will help auto dealers, the auto industry, and the American 

economy. 

The Chrysler-Fiat alliance requires a number of tough measures by all stakeholders and includes 

the following components: 

• The alliance will retain Chrysler’s existing factory footprint and continue producing 

Chrysler cars in U.S. factories. The alliance will create the sixth-largest global 

automaker, spreading R&D and design development costs over higher volumes, making 

it more competitive in an increasingly global and consolidating industry. 

• Fiat is contributing billions of dollars in advanced technology and intellectual property, 

and offering Chrysler access to a global distribution network. Fiat’s technology will 

allow Chrysler to build new fuel-efficient cars and engines in U.S. factories. 

• The International Union, United Automobile, Aerospace and Agricultural Implement 

Workers of America (UAW) has made important concessions on wages, benefits, and 

retiree health care that, while difficult, will help save jobs for active employees, pensions 

and health care for retirees and make Chrysler more competitive. 

• Chrysler’s largest secured creditors have agreed to exchange their portion of the 

Company’s $6.9 billion secured claim for their pro-rata share of $2 billion in cash at 

closing. The bankruptcy court process will be used to bind those lenders that failed to 

accept the offer that was accepted by a majority of the lenders. 

• Daimler, Chrysler’s current minority shareholder, has agreed to waive its share of 

Chrysler’s $2 billion of second lien debt, release its 19 percent equity interest in 

Chrysler’s ultimate parent, and settle its guaranty obligation to the Pension Benefit 

Guaranty Corporation (PBGC) by agreeing to pay $600 million to Chrysler’s pension 

funds. 

• Cerberus has agreed to waive its share of Chrysler’s $2 billion of second lien debt and 

forfeit its entire equity stake in Chrysler. Cerberus has also agreed to transfer its 

ownership of the Chrysler headquarters in Auburn Hills, Michigan to the new Chrysler 

alliance. Lastly, Cerberus will contribute a claim it had against Daimler to assist in the 

Daimler settlement with the PBGC. 

In April, Chrysler faced the real prospect of liquidation, which would have eliminated all 3,200 

of the company’s dealers. As a result of the successful Chrysler-Fiat partnership and the backing 

of the United States government, Chrysler is now positioned to move forward with a plan that 

retains 75 percent of its dealers – representing 87 percent of Chrysler sales. 

Capital Purchase Program- Lending Survey Activity 

On May 15, 2009, Treasury published the Third Monthly Intermediation Survey and Snapshot, 

providing information from Treasury’s monthly survey of lending and intermediation activities 

of the top 21 recipients of government investment through the Capital Purchase Program (CPP) 

in March 2009. Survey results illustrated that outstanding loan balances dropped one percent in 

March, as many institutions indicated that borrowers paid down outstanding debt. Despite the 

declines in loans held on banks’ balance sheets, originations of new loans accelerated. All banks 
6 

reported an increase in total new lending of 27 percent from February to March (approximately 

$63 billion). Lending rose across all types of loans. Two factors contributed for the increased 

volume in originations. One, there were three additional business days in the March survey 

period (22 days) versus the February period (19 days). Two, loan volume typically rises at 

quarter end, a normal seasonal demand pattern. 

The Monthly Survey and Snapshot are available at: 

http://www.financialstability.gov/impact/surveys.htm

Making Home Affordable Program 

Since the launch of Making Home Affordable on March 4, 2009, more than one million 

Americans have refinanced their mortgages, due to historically low interest rates, including 

thousands of underwater borrowers who have refinanced under the Home Affordable Refinance 

Program. More than 105,000 Home Affordable Modification offers have been extended to 

qualifying borrowers. The refinance application volumes and modifications underway are 

indicative of homeowners’ desire to take advantage of these programs. 

Remaining Challenges 

Treasury will continue to develop, launch, and implement programs under the (TARP) and the 

Financial Stability Plan (FSP) pursuant to the goals of the Emergency Economic Stabilization 

Act of 2008 (EESA). Every program established by Treasury under the TARP and FSP is aimed 

at stabilizing the financial system and restoring liquidity, enabling the flow of credit to 

consumers and businesses and restoring economic growth. These measures include actions to 

stabilize systemically important financial institutions, promote the availability of credit to 

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

of programs under the TARP. Given the critical role played by financial institutions and markets 

in the U.S. economy, financial stability is a necessary precondition to the resumption of normal 

economic activity. 

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

turmoil and the economic downturn, the authorities Congress provided to Treasury under the 

EESA dramatically expanded the tools available to Treasury to stabilize the financial system. 

Moving forward, Treasury is committed to ensuring that a financial crisis of this magnitude does 

not happen again. In that regard, the current crisis has exposed critical gaps and weaknesses in 

the nation’s financial regulatory framework, including the lack of resolution authority. Treasury 

is working with the Federal regulators, Congress, and the Administration to lay out a new 

framework for a modern regulatory structure that will better enable the Federal Government to 

address future crises. Treasury is confident that its efforts to restore financial stability will lay a 

strong foundation for economic recovery and market stability. 

Additional Actions

On May 13, 2009, Treasury announced the re-opening of the CPP with new terms aimed at 

encouraging participation by small community banks that are qualified financial institutions 
7 

(QFIs) as defined under any published term sheet. The new program terms include the 

following: (i) Treasury has re-opened the application window for all term sheets and established 

an application deadline of November 21, 2009; (ii) viable banks with less than $500 million of 

total assets are eligible to apply for up to five percent of their risk weighted assets (RWA). For 

holding companies with more than one bank, all bank assets will be aggregated and only holding 

companies with total assets of less than $500 million are eligible; (iii) the window to form a bank 

holding company for the purposes of CPP was re-opened with a deadline of November 21, 2009. 

Information on the terms of the expanded CPP window is available at: 

http://www.financialstability.gov/docs/CPP/FAQonCPPforsmallbanks.pdf 

On May 14, 2009, Treasury notified a number of insurance companies that they had received 

preliminary approval to participate in the CPP. Insurance company pre-approvals do not 

constitute a new program under TARP. Rather, all pre-approved companies complied with the 

requirements to participate in the CPP under existing term sheets as they are organized as bank 

or thrift holding companies and filed a CPP application within the initial application window 

deadline. To process these applications, Treasury worked with the insurance and federal banking 

regulators to develop a robust analytical framework to assess the particular characteristics of 

insurance companies. 

On May 6, 2009, Treasury and the Federal banking regulators issued a Joint Statement about the 

Capital Assistance Program (CAP) and the Supervisory Capital Assessment Program (SCAP), 

followed by the regulators’ release of the results of the SCAP exercise on May 7, 2009. 

The forward looking SCAP exercise was conducted on 19 U.S. financial institutions most of 

which are also participants in the CPP. Treasury also issued updated guidelines for repayment of 

CPP investments reflecting the terms established by the federal banking regulators under the 

SCAP. These repayment guidelines are available on Treasury’s website at 

http://www.financialstability.gov/docs/FAQ_CPP-CAP.pdf. 

Information about the SCAP exercise is available at: 

http://www.financialstability.gov/latest/tg91.html and 

http://www.federalreserve.gov/newsevents/press/bcreg/bcreg20090507a1.pdf

On April 28, 2009, Treasury released details on the Second Lien Program for the Making Home 

Affordable program. 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 the Home Affordable Modification Program. The Second Lien 

Program is intended to provide additional relief to more than a million struggling homeowners 

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

debts. Servicers of subordinate liens must execute a Second Lien Servicer Participation 

Agreement in order to be eligible for these incentives. 

Also on April 28, 2009, Treasury proposed to integrate the Hope for Homeowners Program 

(H4H), which offers an important avenue for struggling borrowers to refinance into a sustainable 

mortgage, with the Making Home Affordable program. An H4H refinance requires the current 

first mortgage holder to write down the amount due on the mortgage to below 100 percent loan 
8 

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. On May 20, 2009, President Obama signed into law the Helping Families Save Their 

Homes Act of 2009, which made several important changes to H4H and should permit the 

integration of H4H with the Making Home Affordable program. 

On May 14, 2009, Treasury announced additional details on the Making Home Affordable 

Program, including: 

• Foreclosure alternatives to provide incentives for servicers and borrowers to pursue short 

sales and deeds-in-lieu (DIL) of foreclosure in cases where the borrower is generally 

eligible for a MHA modification but does not qualify or is unable to complete the 

process, which helps prevent costly foreclosures and minimizes the damage that 

foreclosures impose on borrowers, financial institutions and communities. The new 

details will simplify and streamline the process of pursuing short sales and deeds-in-lieu, 

which will facilitate the ability of more servicers and borrowers to utilize the program. 

The program provides a standard process flow, minimum performance timeframes, and 

standard documentation, and it offers financial incentives to servicers and borrowers to 

pursue these alternatives to foreclosure. 

• Home Price Decline Protection (HPDP) Incentives will provide lenders additional 

incentives for modifications where home price declines have been most severe and 

lenders fear these declines may persist. To encourage the modification of more 

mortgages and enable more families to keep their homes, the Administration, building on 

insights pioneered by FDIC Chair Bair and the FDIC, has developed an innovative 

payment that provides compensation based on recent home price declines. Together the 

incentive payments on all modified homes will help cover the incremental collateral loss 

on those modifications that do not succeed. HPDP payments will be linked to the rate of 

recent home price decline in a local housing market, as well as the average cost of a home 

in that market. 

 
9 

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

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

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

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

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

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

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

11/14/2008 Washington Federal Inc Seattle WA Preferred Stock w/ Warrants $ 200 000 000 Par 5/27/2009 4 $ 2

CAPITAL PURCHASE PROGRAM

Footnote

Purchase 

Date 

Seller Purchase Details Capital Repayment Details

For Period Ending May 27, 2009

Transactions Report 

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

11/14/2008 Washington Federal Inc. Seattle WA Preferred Stock w/ Warrants $ 200,000,000 Par 5/27/2009 $ 211/14/2008 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 5/27/2009 5 $ 

1

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. LA l osnge es CA PrefS / erred 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 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

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

12/5/2008 Southwest Bancorp, Inc. Stillwater OK Preferred Stock w/ Warrants 70,000,000 $ Par 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 5/5/2009 4 $ 

1

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 5/27/2009 4 $ 

12/19/2008 First California Financial Group, Inc Westlake Village CA Preferred Stock w/ Warrants 25,000,000 $ Par 12/19/2008 AmeriServ Financial, Inc Johnstown PA Preferred Stock w/ Warrants 21,000,000 $ Par 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 5/13/2009 4 $ 

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

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

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

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

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

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

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

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

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

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

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

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 12/23/2008 I t t B h C ti Intervest Bancshares Corporation N Yk ewor NY P f d St k / W t Preferred Stock w/ Warrants $ 25 000 000 25,000,000 Par 

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

12/23/2008 Parkvale Financial Corporation Monroeville PA Preferred Stock w/ Warrants 31,762,000 $ Par 12/23/2008 Timberland Bancorp, Inc. Hoquiam WA Preferred Stock w/ Warrants 16,641,000 $ Par 

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

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 1/9/2009 C N ti l B k Commerce National Bank Ne port Beach Newport Beach CA P f d St k / W t Preferred Stock w/ Warrants $ 5 000 000 5,000,000 Par

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

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

1/9/2009 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 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

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

1/9/2009 First Security Group, Inc. Chattanooga TN Preferred Stock w/ Warrants 33,000,000 $ Par 1/9/2009 Shore Bancshares, Inc. Easton MD Preferred Stock w/ Warrants 25,000,000 $ Par 4/15/2009 4 $ 

2 1/9/2009 The Queensborough Company Louisville GA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 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 5/20/2009 4 $ 

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

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 5/13/2009 4 $ 

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 5/27/2009 4 $ 

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 1/23/2009 WSFS Fi i l C ti WSFS Financial Corporation Wilmington Wilmington DE P f d St k / W t Preferred Stock w/ Warrants $ 52 625 000 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 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

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

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

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

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

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

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

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 1/30/2009 B k ' B k f th W t B I Bankers' Bank of the West Bancorp, Inc. Denver CO P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 12 639 000 12,639,000 Par 

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

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

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

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

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

2 1/30/2009 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 2/6/2009 Community Holding Company of Florida, Inc. Community Holding Company of Florida, Inc. Miramar Beach Miramar Beach FL Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $ 1,050,000 1,050,000 Par

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

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

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

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

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

2/13/2009 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 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

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

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

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

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

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

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

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 2/20/2009 S it St t B h I Security State Bancshares, Inc. Ch l t ar es on MO P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 12 500 000 12,500,000 Par 

2 2/20/2009 CBB Bancorp Cartersville GA Preferred Stock w/ Exercised Warrants 2,644,000 $ Par 2 2/20/2009 BancPlus Corporation Ridgeland MS Preferred Stock w/ Exercised Warrants 48,000,000 $ Par 2 2/20/2009 Central Community Corporation Temple TX Preferred Stock w/ Exercised Warrants 22,000,000 $ Par 2 2/20/2009 First BancTrust Corporation Paris IL Preferred Stock w/ Exercised Warrants 7,350,000 $ Par 2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 2/20/2009 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 3/6/2009 First Busey Corporation First Busey Corporation Urbana IL Preferred Stock w/ Warrants Preferred Stock w/ Warrants $ 100,000,000 100,000,000 Par

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

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

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

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

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

2 3/6/2009 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 
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

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

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

3/13/2009 First Northern Community Bancorp Dixon CA Preferred Stock w/ Warrants 17,390,000 $ Par 

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

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

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 3/20/2009 F & M h t Fi i l C ti Farmers & Merchants Financial Corporation A i rgon a KS P f d St k / E i d W t Preferred Stock w/ Exercised Warrants $ 442 000 442,000 Par 

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

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

2 3/27/2009 CSRA Bank Corp. Wrens GA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

2 4/24/2009 Vision Bank - Texas Richardson TX Preferred Stock w/ Exercised Warrants 1,500,000 $ Par 2 4/24/2009 Oregon Bancorp, Inc. Salem OR Preferred Stock w/ Exercised Warrants 3,216,000 $ Par 2 4/24/2009 Peoples Bancorporation, Inc. Easley SC Preferred Stock w/ Exercised Warrants 12,660,000 $ Par 

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

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

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

2 4/24/2009 York Traditions Bank York PA Preferred Stock w/ Exercised Warrants 4,871,000 $ Par 

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

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

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

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

5/1/2009 Village Bank and Trust Financial Corp Midlothian VA Preferred Stock w/ Warrants 14,738,000 $ Par 

2 5/1/2009 CenterBank Milford OH Preferred Stock w/ Exercised Warrants 2,250,000 $ Par 

2 5/1/2009 Georgia Primary Bank Atlanta GA Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 

2 5/1/2009 Union Bank & Trust Company Oxford NC Preferred Stock w/ Exercised Warrants 3,194,000 $ Par 

2 5/1/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

8 5/1/2009 OSB Financial Services, Inc. Orange TX

Subordinated Debentures w/ Exercised Warrants $ Par 6,100,000
Name of Institution City State Investment Description Investment Amount Pricing Mechanism Capital Repayment Date Capital Repaymen

Footnote Purchase Date 

Seller Purchase Details Capital Repayment Details

8 5/1/2009 Security State Bank Holding-Company Jamestown ND

Subordinated Debentures w/ Exercised Warrants $ Par 10,750,000

2 5/8/2009 Highlands State Bank Vernon NJ Preferred Stock w/ Exercised Warrants 3,091,000 $ Par 2 5/8/2009 One Georgia Bank Atlanta GA Preferred Stock w/ Exercised Warrants 5,500,000 $ Par 2 5/8/2009 Gateway Bancshares, Inc. Ringgold GA Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 8 5/8/2009 Freeport Bancshares, Inc. Freeport IL

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

8 5/8/2009 Investors Financial Corporation of Pettis County, Inc. Sedalia MO

Subordinated Debentures w/ Exercised Warrants $ Par 4,000,000

8 5/8/2009 Sword Financial Corporation Horicon WI

Subordinated Debentures w/ Exercised Warrants $ Par 13,644,000

3, 8 5/8/2009 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures 6,784,000 $ Par 

5/15/2009 Mercantile Bank Corporation Grand Rapids MI Preferred Stock w/ Warrants 21,000,000 $ Par 

2 5/15/2009 Northern State Bank Closter NJ Preferred Stock w/ Exercised Warrants 1,341,000 $ Par 2 5/15/2009 Western Reserve Bancorp, Inc Medina OH Preferred Stock w/ Exercised Warrants 4,700,000 $ Par 2 5/15/2009 Community Financial Shares, Inc. Glen Ellyn IL Preferred Stock w/ Exercised Warrants 6,970,000 $ Par 2 5/15/2009 Worthington Financial Holdings, Inc. Huntsville AL Preferred Stock w/ Exercised Warrants 2, $ Par 720,000

2 5/15/2009 First Community Bancshares, Inc Overland Park KS Preferred Stock w/ Exercised Warrants 14,800,000 $ Par 2 5/15/2009 Southern Heritage Bancshares, Inc. Cleveland TN Preferred Stock w/ Exercised Warrants 4,862,000 $ Par 2 5/15/2009 Foresight Financial Group, Inc. Rockford IL Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 

3, 8 5/15/2009 IBC Bancorp, Inc. Chicago IL Subordinated Debentures 4,205,000 $ Par 

8 5/15/2009 Boscobel Bancorp, Inc Boscobel WI

Subordinated Debentures w/ Exercised Warrants $ Par 5,586,000

8 5/15/2009 Brogan Bankshares, Inc. Kaukauna WI

Subordinated Debentures w/ Exercised Warrants $ Par 2,400,000

8 5/15/2009 Riverside Bancshares, Inc. Little Rock AR

Subordinated Debentures w/ Exercised Warrants $ Par 1,100,000

S b di t d D b t / E i d

8 5/15/2009 Deerfield Financial Corporation Deerfield WI

Subordinated Debentures w/ Exercised

Warrants $ Par 2,639,000

8 5/15/2009 Market Street Bancshares, Inc. Mt. Vernon IL

Subordinated Debentures w/ Exercised Warrants $ Par 20,300,000

2 5/22/2009 The Landrum Company Columbia MO Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 2 5/22/2009 First Advantage Bancshares Inc. Coon Rapids MN Preferred Stock w/ Exercised Warrants 1,177,000 $ Par 2 5/22/2009 Fort Lee Federal Savings Bank Fort Lee NJ Preferred Stock w/ Exercised Warrants 1,300,000 $ Par 2 5/22/2009 Blackridge Financial, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 2 5/22/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 6, $ Par 272,0002 5/22/2009 Universal Bancorp Bloomfield IN Preferred Stock w/ Exercised Warrants 9,900,000 $ Par 2 5/22/2009 Franklin Bancorp, Inc. Washington MO Preferred Stock w/ Exercised Warrants 5,097,000 $ Par 8 5/22/2009 Commonwealth Bancshares, Inc. Louisville KY

Subordinated Debentures w/ Exercised Warrants $ Par 20,400,000

8 5/22/2009 Premier Financial Corp Dubuque IA

Subordinated Debentures w/ Exercised Warrants $ Par 6,349,000

8 5/22/2009 F & C Bancorp, Inc. Holden MO

Subordinated Debentures w/ Exercised Warrants $ Par 2,993,000

8 5/22/2009 Diamond Bancorp, Inc. Washington MO

Subordinated Debentures w/ Exercised Warrants $ Par 20,445,000

8 5/22/2009 United Bank Corporation Barnesville GA

Subordinated Debentures w/ Exercised Warrants $ Par 14,400,000Total Purchase Amount 199,313,601,000 $ Total Capital Repayment Amount $ 1,7

$ 197,541,741,000

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.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

TOTAL TREASURY CPP INVESTMENT AMOUNT

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

8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures, which it exercised immediately.9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.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 4

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

TOTAL $ 69,835,000,000

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG 

SYSTEMICALLY SIGNIFICANT FAILING INSTITUTIONS

Footnote Date 

Purchase Details 

obligation to Treasury of $1,604,576,000 to reflect the cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.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 March 2009.3/ 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

Seller Transaction

Name of Institution City State

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

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 1,500,000,0003 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

7 5/1/2009 Chrysler LLC Wilmington DE Purchase Debt Obligation w/ Additional Note 3,043,143,000 $ N/A8 5/20/2009 Chrysler LLC Wilmington DE Purchase Debt Obligation w/ Additional Note 756,857,000 $ N/A9 5/20/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note $ N/A 4,000,000,000

5/21/2009 GMAC LLC Detroit MI Purchase Preferred Stock w/ Exercised Warrants 7,500,000,000 $ Par

10 5/27/2009 New CarCo Acquisition LLC Wilmington DE Purchase

Debt Obligation w/ Additional Note, Equity Interest $ N/A 6,943,000,000

11 5/27/2009 General Motors Corporation Detroit MI Purchase Debt Obligation w/ Additional Note $360,624,198 N/A

TOTAL $ 50,167,778,971

loan amount. The loan will be incrementally funded.

Footnote 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 3/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, which brought 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. 5/ The loan may be incrementally funded.

6/ Th l ill b d t it li Ch l W t SPV LLC i l hi l t d b Ch l LLCagreement with GMAC LCC, and assumed debt of $500 million from Treasury’s credit agreement with Chrysler Holding LLC first reported on 1/2/2009. The debt obligations will be secured by a first priority lien 10/ This obligation is based on a binding term sheet for a loan of up to $7.943 billion, which consists of new debt obligations of $6.9 billion, debt of $500 million transferred from Treasury's 5/21/2009 6/ The loan will be used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Chrysler LLC. 7/ The terms of this transaction, first reported based on a binding term sheet fully executed on 5/1/2009 but made effective as of 4/30/2009, are now finalized and reflected in a credit agreement fully executed on 5/5/2009. Under the terms of the credit agreement, all commitment amounts were adjusted as follows: Treasury’s commitment amount is $3.04 billion of the 9/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, which brought the total loan amount to $19,400,000,000, including the 4/22/2009 amendment.11/ This transaction is an amendment to Treasury's 12/31/2008 agreement with General Motors Corporation, which brings the total loan amount to $19,760,624,198, including the 4/22/2009 and 5/20/2009amendments. The $360 million loan will be used to capitalize GM Warranty LLC, a special purpose vehicle created by General Motors Corporation.total $4.1 billion debtor-in-possession (DIP) credit facility. The amount of $1.4 billion, of which Treasury’s share is $1.04 billion, is available in weekly disbursements under the terms of the Bankruptcy Court’s interim order approving the DIP credit facility; the balance will be available in weekly disbursements after certain Bankruptcy Court milestones are met.8/ This transaction is an amendment to Treasury's DIP credit agreement with Chrysler LLC dated 5/5/2009 and increases Treasury's commitment to $3,800,000,000. The amendment was fully executed on 5/20/2009, but was made effective as of 5/15/2009.on the assets of New CarCo Acquisition LLC (the new Chrysler). In addition, Treasury will obtain an equity interest in New CarCo Acquisition LLC and an additional note.
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 

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

P h $

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

TARGETED INVESTMENT PROGRAM

FootnoteFootnote Date

Date 

Transaction 

Type Investment Description Investment Amount

Investment Description Investment Amount

Seller Transaction 

Type

Pricing MechanismPricing 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.

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

ASSET GUARANTEE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description Guarantee Limit Premium Received

amount. The loan will be incrementally funded.

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

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 Modifying Borrowers' Loans

Name of Institution City State 

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financ

4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financ

4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financ

4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financ

4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financ

4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financ

4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financ

4/17/2009 Bank of America, N.A. Simi Valley CA Purchase Financ

4/17/2009 Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financ

HOME AFFORDABLE MODIFICATION PROGRAM

Footnote Date 

Transaction 

Type 

4/17/2009 Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financ4/20/2009 Home Loan Services, Inc. Pittsburgh PA Purchase Financ

4/20/2009 Wilshire Credit Corporation Beaverton OR Purchase Financ

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financ4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financ

5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financ

1 / The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Any a