TABLE OF CONTENTS

Highlights in April ................................................................................................................................................................................. 1

Bank Support Programs....................................................................................................................................................................... 2

Capital Purchase Program................................................................................................................................................................ 2

Community Development Capital Initiative ....................................................................................................................................... 5

Automotive Industry Financing Programs............................................................................................................................................. 6

Ally ................................................................................................................................................................................................... 6

Housing Programs ............................................................................................................................................................................... 7

Making Home Affordable .................................................................................................................................................................. 7

Hardest Hit Fund .............................................................................................................................................................................. 8

Lifetime Costs ....................................................................................................................................................................................11

Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget............................................... 13

Appendix Table of Contents............................................................................................................................................................... 15
1 

HIGHLIGHTS IN APRIL

As of April 30, 2014, a total of $423.7 billion has been disbursed 

under TARP, and cumulative collections, together with Treasury’s 

additional proceeds from the sale of non-TARP shares of AIG, 

total $438.5 billion. 

On April 15, Treasury sold 95.0 million shares of Ally Financial Inc.

common stock for approximate proceeds of $2.4 billion in an initial 

public offering (IPO). Treasury has now recovered 

approximately$17.7 billion from its investment in Ally,

approximately $500 million more than was originally invested in

the company.1

Treasury continues to wind down its remaining bank investments 

in a way that protects taxpayer interests and preserves the 

strength of our nation’s community banks. On April 3, Treasury 

completed an auction of its outstanding preferred stock in four

institutions for actual aggregate gross proceeds of $51.1 million. 

 

 

1 On a cash in and cash out basis. Includes disbursements and 

repayments related to the loan extended to GM for the GMAC Rights 

Offering ($884 million).

0

100

200

300

400

500

Obligated Disbursed

Principal

Repayments Outstanding

Total Cash

Back

Housing Credit Banks Autos AIG Non TARP AIG Cash Back

billion 

dollars

Disposition of TARP Funds as of April 30, 2014
2 

BANK SUPPORT PROGRAMS

CAPITAL PURCHASE PROGRAM

Treasury created the Capital Purchase Program (CPP) in October 2008 to help stabilize the financial system by providing capital to 

viable banking institutions of all sizes throughout the nation. The CPP Snapshot shows the cumulative CPP activity from the program 

since its inception. As of April 30, 2014, $225.2 billion in total CPP proceeds have been collected. Today, every dollar recovered from 

CPP participants represents an additional positive return for taxpayers. In addition to its CPP investments, Treasury continues to hold 

outstanding investments in Community Development Financial Institutions through the Community Development Capital Initiative. 

CPP SNAPSHOT

Total Institutions Funded 707 Total CPP Proceeds2 $225.2 billion

Full Repayments 246

SBLF Repayments 137

CDCI Conversions 28

Sold Investments 28 

Auctioned Investments 176

In Bankruptcy/Receivership 30

Merged Institutions 4

Total Remaining Institutions 58

Partial Repayments 3

Currently in Common3 3

REPAYMENTS AT PAR

In April, four institutions (Community Bankers Trust Corporation; Covenant Financial Corporation; Duke Financial Group, Inc.; and 

Wachusett Financial Services, Inc.) repaid all their outstanding CPP preferred shares or subordinated debentures held by Treasury 

for total proceeds of $25.7 million.

 

2 Repayments: Actual collections to date, including (i) $2.21 billion in CPP investments refinanced under the Small Business Lending Fund (SBLF), a program created by Congress 

outside of TARP under which certain CPP institutions were allowed to repay TARP funds by borrowing under that program, and (ii) $0.36 billion in exchanges of CPP investments 

into the Community Development Capital Initiative (CDCI), as permitted under the terms of that program.

Auctions: Includes net proceeds from all auctions of CPP preferred and note securities where cash has settled with OFS as of April 30, 2014.

Warrant Income: Net Proceeds. Includes proceeds from exercised warrants. 3 Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.

$195.35 

$2.93 $18.96 $7.96 

 $-

 $50

 $100

 $150

 $200

Repayments Auctions Total

Dividends,

Interest &

Other Income

Warrant

Income
3 

SALES & DISPOSITIONS

• On April 3, Treasury sold to private investors, preferred stock in four institutions (Community First, Inc.; Freeport Bancshares, 

Inc.; Great River Holding Company; and Patriot Bancshares, Inc.) for actual aggregate gross proceeds of $51.1 million. More 

information can be found in Treasury’s Press Release: http://www.treasury.gov/press-center/press-releases/Pages/jl2346.aspx 

• On April 14, Treasury sold all of its common stock issued by Hampton Roads Bankshares, Inc. to private investors for total 

proceeds of $3.3 million. Treasury had received such stock pursuant to an exchange of its preferred stock investment for 

common stock in September 2010.

• On April 24, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. to private investors for total 

proceeds of $13.5 million. 

EXCHANGES

• On April 18, Treasury entered into an agreement with Bank of the Carolinas Corporation (BCAR) pursuant to which Treasury 

agreed to sell its CPP preferred stock and warrant back to BCAR, subject to the satisfaction of the conditions specified in the 

agreement. 

• On April 25, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and 

Park Sterling Corporation (Park Sterling) pursuant to which Treasury agreed to sell the CPP preferred stock and warrant issued 

by PCBS to Park Sterling, subject to the conditions specified in that agreement. The sale was completed on April 30 for total 

gross proceeds of $5.1 million.

• On April 30, Treasury completed the exchange of its Northern States Financial Corporation (NSFC) preferred stock for common 

stock, pursuant to an exchange agreement dated April 29, 2014 with NSFC, and immediately sold the resulting NSFC common 

stock to investors for total gross proceeds of $6.0 million.

DIVIDENDS AND INTEREST

In April, Treasury received dividends and interest income from CPP investments of $0.6 million. As of April 30, 2014, cumulative 

dividends, interest and fee income received from CPP investments total $12.1 billion.
4 

WARRANT REPURCHASES

In addition to the transactions above, Treasury disposed of its warrant positions in four institutions that were received in consideration 

for investments made under the CPP. 

• On April 1, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. (Alaska Pacific) with Northrim Bancorp, Inc., 

Treasury received $2.4 million for the warrants that had been issued to Treasury by Alaska Pacific.

• In April, three institutions (Covenant Financial Corporation; Duke Financial Group, Inc.; and Wachusett Financial Services, Inc.)

repurchased their preferred shares or subordinated debentures from exercised warrants from Treasury for a total of $1.3 million. 

BANKRUPTCY AND RECEIVERSHIP

On April 24, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. Treasury’s 

investment in Idaho Bancorp was $6.9 million, and no repayments had been made to Treasury as of April 30, 2014.

TOP 10 REMAINING CPP INSTITUTIONS

Institution Location Amount Outstanding (millions)

1 Popular, Inc. San Juan, PR $ 935.0

2 First BanCorp4 San Juan, PR $ 239.0

3 CommunityOne Bancorp5 Charlotte, NC $ 51.5

4 U.S. Century Bank Miami, FL $ 50.2

5 Porter Bancorp Inc. Louisville, KY $ 35.0

6 Royal Bancshares of Pennsylvania, Inc. Narbeth, PA $ 30.4

7 First United Corporation Oakland, MD $ 30.0

8 Central Bancorp, Inc. Garland, TX $ 22.5

9 Chambers Bancshares, Inc. Danville, AR $ 19.8

10 OneFinancial Corporation Little Rock, AR $ 17.3

 

4 Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First Bancorp fulfilled the conversion conditions and Treasury's 

MCP was converted into 32,941,797 shares of common stock. Treasury sold 12,000,000 of such shares on August 16, 2013. Treasury sold a further 1,261,356 shares on September 

13, 2013 following the exercise by the underwriters of their over-allotment option. 5 On July 1, 2013, FNB United changed its name to CommunityOne Bancorp. Treasury exchanged its preferred stock for 108,555,303 shares of FNB United common stock. Treasury 

currently holds 1,085,554 shares of FNB United common stock following a reverse stock split. 
5 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

In order to provide lower-cost capital to community development financial institutions, Treasury established the Community 

Development Capital Initiative (CDCI). In total, Treasury invested approximately $570 million in 84 community development financial 

institutions, which included approximately $363 million exchanged by 28 financial institutions from the Capital Purchase Program. 

There are currently 68 institutions remaining in the program with $467.4 million in investment outstanding. Treasury has not taken 

any specific action to date to wind down the CDCI, however some institutions have repaid Treasury’s investments. 

REPAYMENTS AT PAR

• On April 2, Liberty County Teachers Federal Credit Union repurchased part of its outstanding CDCI investment from Treasury for 

total proceeds of $87,000. Liberty County Teachers Federal Credit Union continues to hold $348,000 in outstanding CDCI 

investment.

• On April 2, First Legacy Community Credit Union repurchased all of its outstanding CDCI investment from Treasury for total 

proceeds of $1.0 million.
6 

AUTOMOTIVE INDUSTRY FINANCING PROGRAMS

ALLY

On April 15, Treasury sold 95.0 million shares of Ally Financial Inc. (Ally) common stock at a price to the public of $25.00 per share

for approximate proceeds of $2.4 billion in an initial public offering (IPO). Prior to the IPO, taxpayers held approximately 37 percent of 

common stock in the company, or approximately 177.3 million shares. Taxpayers now hold approximately 17 percent of common 

stock in the company, or approximately 82.3 million shares, after the sale. Treasury granted the underwriters a 30-day option to 

purchase an additional approximately 14.3 million shares of the Ally common stock it holds at the IPO price. More information can be 

found in Treasury’s Press Release here: http://www.treasury.gov/press-center/press-releases/Pages/jl2351.aspx. 

As of April 30, 2014, Treasury has recovered approximately $17.7 billion of its investment in Ally, approximately $500 million more 

than was originally invested in the company.

6 Treasury will continue to evaluate exit strategies for its remaining Ally investment 

consistent with its goals of maximizing taxpayer returns and exiting its investments as soon as practicable. 

 

 

6

 On a cash in and cash out basis. Includes disbursements and repayments related to the loan extended to GM for the GMAC Rights Offering 

($884 million).
7 

HOUSING PROGRAMS

MAKING HOME AFFORDABLE

On May 9, 2014, the U.S. Department of the Treasury released the Making Home Affordable Program Performance Report for the 

period ending March 2014. The report is available on the following page: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Making-Home-Affordable-Program-Performance-Report.aspx. 

HIGHLIGHTS

• Since the start of the program, more than 2.0 million homeowner assistance actions have been taken under MHA. 

• Approximately 1.6 million homeowners have received a permanent first lien modification through MHA since the start of the 

program, including more than 1.3 million through the Home Affordable Modification Program (HAMP). More than 13,000 new 

HAMP modifications have been reported since the February report.

• To date, homeowners in HAMP permanent modifications have saved an estimated $26.8 billion in monthly mortgage payments. 

Homeowners in active first lien permanent modifications are currently saving a median of $542 per month – equal to almost 40 

percent of their median before-modification payments. 

• Homeowners currently in HAMP permanent modifications have been granted an estimated $13.8 billion in principal reduction. Of 

all non-GSE loans eligible for principal reduction entering HAMP in March, 65 percent included a principal reduction feature.

2MP AND HAFA PROGRAM RESULTS

• The Second Lien Modification Program (2MP) enables homeowners in an eligible permanent first lien modification under MHA to 

modify eligible second lien mortgages serviced by a participating servicer. To date, more than 131,000 homeowners have 

received assistance through 2MP. 

• More than 280,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from 

the Home Affordable Foreclosure Alternatives Program (HAFA), which provides $3,000 for relocation assistance after a 

homeowner exits the home.
8 

HARDEST HIT FUND

The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners 

through locally tailored programs administered by each respective housing finance agency (HFA). These areas were chosen 

because they experienced steep home price declines or severe unemployment in the economic downturn. HFAs offer a number of 

different programs to help homeowners, including mortgage payment assistance, reinstatement, principal reduction, modification 

assistance, short sale/transition assistance, note purchase and modification, and blight elimination. As of March 31, 2014, the 19 

HFAs have drawn a total of $3.9 billion. 

• There are now 69 active programs across the 19 HFAs. Approximately 68 percent of total program funds are targeted to help 

unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for 

work.

• All 19 HFAs have created extensive infrastructures to operate these programs, including selecting and training networks of 

housing counselors to assist with applications, creating homeowner portals to aid homeowners in applying for assistance, and 

hiring underwriters and other staff to review and approve applications.

• Treasury continues to work to identify best practices, share lessons learned, and provide additional assistance and oversight to 

the HFAs. It also hosts biweekly calls with servicers and HFAs to identify operational barriers.

• In April, California, Illinois, and New Jersey made changes to their programs. California expanded its Principal Reduction 

Program to address severe negative equity. Illinois introduced its new Blight Reduction Program, previously announced in March. 

Based on close monitoring of application pipeline activity, New Jersey increased the maximum amount of HomeKeeper 

assistance per household to better serve homeowners throughout the state.

• As of April 30, Ohio is no longer accepting new applications for its Save the Dream programs. Ohio is the fifth HFA to close its 

application portal because it is approaching full commitment of program funds, following Rhode Island, Illinois, the District of 

Columbia, and New Jersey, which closed in 2013. Although they are no longer accepting new applications, these HFAs will 

continue to process applications currently under review and provide assistance to qualified homeowners as long as funds remain 

available. Oregon also announced it will close its application portal on June 30. 

• Four HFAs drew a total of $80.9 million in April. Over the life of the program, the 19 HFAs have drawn a total of $3.9 billion. Each 

HFA draws down funds as they are needed. (See Hardest Hit Fund as of March 31, 2014 chart) HFAs have until December 31, 

2017 to expend funds, and must have no more than five percent of their allocation on hand before they can draw additional funds.
9 

• Treasury continues to publish the Hardest Hit Fund Quarterly Performance Summary containing performance data and trends, 

key economic and loan performance indicators, and brief program descriptions for each HFA. The Hardest Hit Fund Quarterly 

Performance Summary is available at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/HHF.aspx. Each HFA

also submits a quarterly report on the progress of its programs. Direct links to each HFA’s most recent performance report can be 

found at http://www.treasury.gov/initiatives/financial-stability/programs/housing-programs/hhf/Pages/default.aspx and below in the 

Programs Available Through the Hardest Hit Fund table. 

PROGRAMS AVAILABLE THROUGH THE HARDEST HIT FUND

State Statewide 

Launch Reporting Link Program Information Link 

AL 2/2/11 http://www.hardesthitalabama.com/TreasuryHHA.html http://www.hardesthitalabama.com 

AZ 9/20/10 http://www.azhousing.gov/ShowPage.aspx?ID=405&CID=11 https://www.savemyhomeaz.gov/ 

CA 1/10/11 http://www.keepyourhomecalifornia.org/reports.htm www.keepyourhomecalifornia.org

DC 4/19/11 http://www.dchfa.org/DCHFAHome/Homebuyers/ForeclosurePrevention/QuarterlyRepor

ts/tabid/219/Default.aspx https://www.homesaverdc.org/

FL 4/18/11 http://apps.floridahousing.org/StandAlone/FHFC ECM/ContentPage.aspx?PAGE=0277 https://www.flhardesthithelp.org/

GA 4/1/11 http://www.dca.state.ga.us/housing/homeownership/programs/treasuryReports.asp https://www.homesafegeorgia.com

IL 7/25/11 http://www.illinoishardesthit.org/spv-7.aspx https://www.illinoishardesthit.org/

IN 5/10/11 http://www.877gethope.org/news/indianas-hardest-hit-funding-update http://www.877gethope.org/

KY 4/1/11 http://www.kyhousing.org/page.aspx?id=3165 http://www.ProtectMyKYHome.org

MI 7/12/10 http://www.michigan.gov/mshda/0,1607,7-141-45866 47905-250571--,00.html http://www.stepforwardmichigan.org

MS 5/16/11 http://www.mshomecorp.com/about%20mhc/disclosures.htm http://www.mshomesaver.com

NC 12/1/10 http://www.ncforeclosureprevention.gov/hardest hit funds.aspx http://www.ncforeclosureprevention.gov/

NJ 5/8/11 http://www.njhomekeeper.gov/performance.htm http://www.njhomekeeper.gov

NV 2/21/11 http://www.nahac.org/ http://www.nahac.org/

OH 9/27/10 http://www.ohiohome.org/restoringstability/reports.aspx http://www.savethedream.ohio.gov/

OR 12/10/10 http://www.oregonhomeownerhelp.org/en/reporting http://www.oregonhomeownerhelp.org/

RI 12/1/10 http://www.hhfri.org/HHFRI Dynamic Content.aspx?id=10737418256&ekmensel=c580f

a7b 10737418238 10737418240 btnlink http://www.hhfri.org/

SC 1/20/11 http://www.scmortgagehelp.com/reports.html http://www.scmortgagehelp.com/

TN 3/1/11 https://www.keepmytnhome.org/ http://www.keepmytnhome.org
10

HARDEST HIT FUND AS OF APRIL 30, 2014

12

The Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget chart provides for each 

program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated lifetime cost. 

Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the taxpayer. Because some 

TARP investments are in publicly traded securities, we also provide additional information to help readers understand the current 

value of those investments. This chart also shows the estimated lifetime cost of the additional investment by Treasury in AIG

separate and apart from the TARP investment.

This chart utilizes the methodology that OFS has consistently used to estimate lifetime costs including the requirement to use a 

discount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and the performance 

of specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting 

guidance and includes investments and other disbursements expected to be made in the future. It also includes assumptions 

regarding future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budgetary 

estimates of the deficit impact of TARP and may differ from the official estimates presented in the President’s Budget, the Midsession 

Review of the Budget, and the report required in 2013 under Section 134 of EESA. 
13

TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET

Programs 

as of April 30, 2014

(dollar amounts in billions)

Disbursed as of 

April 30

Outstanding 

Investment 

Balance as of

April 30

Estimated Lifetime 

Cost as of 

February 281

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup $ 25.00 $ 25.00 $ - $ (6.89)

Other banks with assets $10 billion or greater $ 165.33 $ 165.33 $ 1.17 $ (10.31)

Banks with assets less than $10 billion2 $ 14.57 $ 14.57 $ 0.58 $ 0.97

Total $ 204.89 $ 204.89 $ 1.75 $ (16.23)

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

Asset Guarantee Program (AGP)3 $ 5.00 $ 0.00 $ - $ (4.00)

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.57 $ 0.47 $ 0.08

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity $ 7.23 $ 6.25 $ - $ (3.06)

Debt $ 12.38 $ 12.38 $ - $ 0.33

Total $ 19.61 $ 18.62 $ - $ (2.73)

Term Asset Backed Securities Lending Facility (TALF) $ 0.10 $ 0.10 $ - $ (0.60)

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

Other Programs:

American International Group (AIG): 

Preferred Stock $ 20.29 $ 20.29 $ - $ -

Common Stock $ 47.54 $ 47.54 $ - $ 15.18

Total $ 67.84 $ 67.84 $ - $ 15.18

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ 2.36 $ 12.32

Sub-total for Investment Programs $ 418.07 $ 411.72 $ 4.58 $ 0.02

Making Home Affordable $ 29.83 $ 8.05 n/a $ 29.83

Hardest Hit Fund $ 7.60 $ 3.88 n/a $ 7.60

FHA-Refinance4 $ 1.03 $ 0.06 n/a $ 0.04

Sub-total for Housing Programs $ 38.46 $ 11.99 n/a $ 37.47

 Total for TARP Programs $ 456.53 $ 423.71 $ 4.58 $ 37.49

Additional AIG Common Shares Held by Treasury5 n/a n/a n/a $ (17.55)

Total for TARP Programs and Additional AIG Shares $ 456.53 $ 423.71 $ 4.58 $ 19.94

Obligation/

Commitment
14

Footnotes to Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget 

1 Lifetime cost information is as of February 28, 2014. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction 

with the Office of Management and Budget. 

2 The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and CDCI 

programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of $2.21 billion in 

CPP investments.

3 Estimated lifetime costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value received from 

the announcement of the negotiations on the guarantee and share losses on a pool of assets.

4 In March 2013, Treasury extended the letter of credit facility to provide coverage for loans refinanced throughout the eligibility period, which had 

been extended to December 2014, but reduced the amount from $8 billion to $1 billion. Treasury believes this lower amount will be sufficient to 

accommodate any increased usage that could result through the close of the program. The figures in this line include administrative expenses 

associated with the letter of credit facility.

5

 As discussed in note 10 to the Daily TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for 

preferred stock purchased with TARP funds (TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury 

as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP shares and non-TARP shares together, and disposed of them 

pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost estimate shows a 

loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled 

“Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares was deemed to be zero. When the TARP 

shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include financing 

costs (borrowing) from the time of initial investment through the close of the program.
15

APPENDIX TABLE OF CONTENTS

Section Statutory Requirement9 Page

CPP Institutions Additional Information 16

Administrative Obligations and Expenditures EESA §105(a)(2) 19

Agreements under TARP EESA §105(a)(3)(A) 20

Insurance Contracts EESA §105(a)(3)(B) 26

Transactions Report EESA §105(a)(3)(C,D,G) 27

Investment Programs 27

Home Affordable Modification Program 74

Projected Costs and Liabilities EESA §105(a)(3)(E) 114

Programmatic Operating Expenses EESA §105(a)(3)(F) 115

Description of Vehicles Established EESA §105(a)(3)(H) 116

HAMP Application Activity by Servicer Dodd-Frank §1483(b) 117

 

9 §105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform and 

Consumer Protection Act).
Institution Name Location

Popular, Inc. San Juan, PR First BanCorp* San Juan, PR 

CommunityOne Bancorp* Charlotte, NC 

U.S. Century Bank Miami, FL Porter Bancorp Inc. Louisville, KY 

Royal Bancshares of Pennsylvania, Inc. Narberth, PA 

First United Corporation Oakland, MD 

Central Bancorp, Inc. Garland, TX Chambers Bancshares, Inc. Danville, AR 

OneFinancial Corporation Little Rock, AR 

Liberty Shares, Inc. Hinesville, GA 

White River Bancshares Company Fayetteville, AR 

Broadway Financial Corporation* Los Angeles, CA 

Suburban Illinois Bancorp, Inc. Elmhurst, IL Equity Bancshares, Inc. Wichita, KS Tidelands Bancshares, Inc Mount Pleasant, SC 

Bank of the Carolinas Corporation Mocksville, NC 

HCSB Financial Corporation Loris, SC 

OneUnited Bank Boston, MA 

Cecil Bancorp, Inc. Elkton, MD 

Farmers & Merchants Bancshares, Inc. Houston, TX NCAL Bancorp Los Angeles, CA 

Regent Bancorp, Inc. Davie, FL 

City National Bancshares Corporation Newark, NJ 

United American Bank San Mateo, CA 

Private Bancorporation, Inc. Minneapolis, MN 

Western Community Bancshares, Inc. Palm Desert, CA 

Greer Bancshares Incorporated Greer, SC Harbor Bankshares Corporation Baltimore, MD 

Highlands Independent Bancshares, Inc. Sebring, FL 

A. Remaining CPP Portfolio Institutions

Troubled Asset Relief Program

Capital Purchase Program Institutions

As of April 30, 2014

A. Remaining CPP Portfolion InstitutionsB. Institutions in Bankruptcy/Receivership - Realized Loss/Write-OffC. Institutions in Bankruptcy/Receivership - Currently Not Collectible
Liberty Bancshares, Inc. Fort Worth, TX 

Citizens Commerce Bancshares, Inc. Versailles, KY 

Patapsco Bancorp, Inc. Dundalk, MD 

Rising Sun Bancorp Rising Sun, MD 

Capital Commerce Bancorp, Inc. Milwaukee, WI 

CalWest Bancorp Rancho Santa Margarita, CA 

Pinnacle Bank Holding Company, Inc. Orange City, FL 

Metropolitan Capital Bancorp, Inc. Chicago, IL 

Community Bancshares, Inc. Kingman, AZ 

Allied First Bancorp, Inc. Oswego, IL Grand Mountain Bancshares, Inc. Granby, CO Lone Star Bank Houston, TX St. Johns Bancshares, Inc. St. Louis, MO Marine Bank & Trust Company Vero Beach, FL US Metro Bank Garden Grove, CA Prairie Star Bancshares, Inc. Olathe, KS SouthFirst Bancshares, Inc. Sylacauga, AL 

Goldwater Bank, N.A. Scottsdale, AZ Grand Financial Corporation Hattiesburg, MS 

CSRA Bank Corp. Wrens, GA 

Citizens Bank & Trust Company Covington, LA 

Crazy Woman Creek Bancorp, Inc. Buffalo, WY 

Market Bancorporation, Inc. New Market, MN 

BCB Holding Company, Inc. Theodore, AL Maryland Financial Bank Towson, MD 

Saigon National Bank Westminster, CA 

Riverside Bancshares, Inc. Little Rock, AR Calvert Financial Corporation Ashland, MO 

Institution Name Bankruptcy/ Receivership DateCIT Group Inc.* 11/1/20Pacific Coast National Bancorp* 11/13/20Anchor Bancorp Wisconsin, Inc.* 8/12/20Institution Name Bankruptcy/ Receivership DateUCBH Holdings, Inc. 11/6/20Midwest Banc Holdings, Inc. 5/14/20

C. Institutions in Bankruptcy/Receivership - Currently Not Collectible

*Institution has exited the bankruptcy/receivership process*Original Investment has been converted at a discount into common stock in the institution. Amoamount 

B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off
Sonoma Valley Bancorp 8/20/20

Pierce County Bancorp 11/5/20Tifton Banking Company 11/12/20Legacy Bancorp, Inc. 3/11/20Superior Bancorp Inc. 4/15/20FPB Bancorp Inc. 7/15/20One Georgia Bank 7/15/20Integra Bank Corporation 7/29/20Citizens Bancorp 9/23/20CB Holding Corp. 10/14/20Tennessee Commerce Bancorp, Inc. 1/27/20Blue River Bancshares, Inc. 2/10/20Fort Lee Federal Savings Bank 4/20/20Gregg Bancshares, Inc. 7/13/20GulfSouth Private Bank 10/19/20Investors Financial Corporation of Pettis County, Inc. 10/19/20First Place Financial Corporation 10/29/20Princeton National Bancorp 11/2/20Premier Bank Holding Company 8/14/20Gold Canyon Bank 4/5/20Indiana Bank Corp. 4/9/20Rogers Bancshares, Inc. 7/5/20TCB Holding Company 12/13/20Syringa Bancorp 1/31/20Idaho Bancorp 4/24/20

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period April 2014

Date Approved Type of Transaction Vendor Purpose 

10/10/2008 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory 

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

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

10/16/2008 Contract Pricewaterhousecoopers LLP‐1 Accounting/Internal Controls 

10/17/2008 Contract Turner Consulting Group, Inc. Archiving Services 10/18/2008 Contract Ernst & Young LLP Accounting/Internal Controls 10/29/2008 Contract Hughes Hubbard & Reed LLP Legal Advisory 10/29/2008 Contract Squire Sanders & Dempsey LLP Legal Advisory 10/31/2008 Contract Lindholm & Associates Inc. Human Resources Services 11/07/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory 11/09/2008 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

11/17/2008 Interagency Agreement Internal Revenue Service (IRS) Information Technology11/25/2008 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support12/03/2008 Interagency Agreement Trade and Tax Bureau ‐ Treasury Information Technology12/05/2008 Contract Washington Post Administrative Support 

12/10/2008 Contract Thacher Proffitt & Wood Legal Advisory 12/10/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory 12/15/2008 Interagency Agreement Office of Thrift Supervision Administrative Support

12/16/2008 Interagency Agreement Department of Housing and Urban Development Administrative Support12/22/2008 Interagency Agreement Office of Thrift Supervision Administrative Support12/24/2008 Contract Cushman And Wakefield Of VA Inc. Administrative Support 

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

01/07/2009 Contract Colonial Parking Inc. Parking 

01/27/2009 Contract Whitaker Brothers Bus Machines Inc Facilities Support 

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

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

02/02/2009 Interagency Agreement Government Accountability Office Compliance

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

02/09/2009 Contract Pat Taylor & Assoc Inc. Administrative Support 

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

2/18/2009 Financial Agent Fannie Mae Homeownership Program 2/18/2009 Financial Agent Freddie Mac Homeownership Program 

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

02/20/2009 Interagency Agreement Office of Thrift Supervision Administrative Support02/20/2009 Contract Venable LLP‐1 Legal Advisory 

02/20/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory 
Date Approved Type of Transaction Vendor Purpose 

02/26/2009 Interagency Agreement Securities and Exchange Commission Administrative Support02/27/2009 Interagency Agreement Pension Benefit Guaranty Corp Legal Advisory03/06/2009 Contract The Boston Consulting Group Inc Financial Advisory 

3/16/2009 Financial Agent EARNEST Partners Small Business Assistance Program 

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

03/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory 03/30/2009 Contract Bingham McCutchen LLP Legal Advisory 03/30/2009 Contract Mckee Nelson LLP Legal Advisory 03/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 03/31/2009 Contract FI Consulting Inc. Accounting/Internal Controls 

04/03/2009 Contract American Furniture Rentals, Inc. Administrative Support 04/03/2009 Contract The Boston Consulting Group Inc Financial Advisory 

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

04/17/2009 Contract Herman Miller Inc. Facilities Support 

4/21/2009 Financial Agent Alliance Bernstein L.P. Asset Management Services 

4/21/2009 Financial Agent FSI Group, LLC Asset Management Services 

4/21/2009 Financial Agent Piedmont Investment Advisors, LLC Asset Management Services 

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

05/05/2009 Interagency Agreement Federal Reserve Board Administrative Support05/13/2009 Interagency Agreement Department of Treasury ‐ US Mint Administrative Support05/14/2009 Contract Knowledgebank Inc. Administrative Support 05/15/2009 Contract Phacil Inc. Contract FOIA Support Services 

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

05/22/2009 Interagency Agreement Department of Justice ‐ ATF Administrative Support05/26/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory 

05/26/2009 Contract Anderson Mc Coy & Orta Legal Advisory 

06/09/2009 Interagency Agreement Financial Management Service (FMS) Information Technology

06/29/2009 Interagency Agreement Department of the Interior Administrative Support07/17/2009 Contract Korn/Ferry Internationa Administrative Support 

07/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory 07/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 07/30/2009 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory 08/10/2009 Interagency Agreement NASA Detailee(s)

08/10/2009 Interagency Agreement Department of Justice Administrative Support08/18/2009 Contract Mercer (US) Inc. Administrative Support 

08/25/2009 Interagency Agreement Department of Justice Administrative Support

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

09/10/2009 Contract Equilar Inc. Administrative Support 09/11/2009 Contract Pricewaterhousecoopers LLP‐1 Accounting/Internal Controls 

09/18/2009 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

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

09/30/2009 Contract NNA Inc. Administrative Support 

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

09/30/2009 Contract SNL Financial LC Financial Advisory 11/09/2009 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support
Date Approved Type of Transaction Vendor Purpose 

12/16/2009 Interagency Agreement Internal Revenue Service (IRS) Administrative Support12/22/2009 Contract Hughes Hubbard & Reed LLP Legal Advisory 

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

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

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

12/22/2009 Financial Agent Paradigm Asset Management Co., LLC Asset Management Services 01/14/2010 Interagency Agreement Government Accountability Office Compliance

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

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

02/16/2010 Contract The Mitre Corporation Information Technology 

02/18/2010 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

03/08/2010 Contract Qualx Corporation Administrative Support 

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

03/22/2010 Interagency Agreement Financial Management Service (FMS) Information Technology03/26/2010 Interagency Agreement Federal Maritime Commission (FMC) Administrative Support

3/29/2010 Financial Agent Morgan Stanley & Co. Incorporated Disposition Agent Services 

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

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

04/12/2010 Contract Hewitt EnnisKnupp, Inc Investment and Advisory Services 04/22/2010 Contract Digital Management Inc. Information Technology 

04/22/2010 Contract Microlink Llc Administrative Support 04/23/2010 Contract RDA Corporation Information Technology 

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

5/17/2010 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services 

06/24/2010 Contract Reed Elsevier Inc. (dba LexisNexis) Administrative Support 

06/30/2010 Contract The George Washington University Administrative Support 07/21/2010 Contract Regis & Associates PC Compliance 

07/21/2010 Contract Navigant Consulting Inc. Compliance 

07/22/2010 Contract Schiff Hardin LLP Legal Advisory 

07/22/2010 Contract Pricewaterhousecoopers LLP‐1 Compliance 

07/22/2010 Contract Ernst & Young LLP Compliance 07/27/2010 Contract West Publishing Corporation Administrative Support 

08/06/2010 Contract Paul Weiss Rfknd Whrtn & Grrsn LLP Legal Advisory 08/06/2010 Contract Orrick Herrington Sutcliffe LLP Legal Advisory 08/06/2010 Contract Venable LLP‐1 Legal Advisory 08/06/2010 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory 08/06/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 08/06/2010 Contract Shulman Rgrs Gndl Pordy & Ecker Pa Legal Advisory 08/06/2010 Contract Sullivan Cove Reign Enterprises Jv Legal Advisory 

08/06/2010 Contract Perkins Coie LLP Legal Advisory 

08/06/2010 Contract Haynes and Boone LLP Legal Advisory 08/06/2010 Contract Love & Long LLP Legal Advisory 

08/06/2010 Contract Alston & Bird LLP Legal Advisory 
Date Approved Type of Transaction Vendor Purpose 

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

08/06/2010 Contract Seyfarth Shaw LLP Legal Advisory 08/12/2010 Contract Knowledge Mosaic Inc. Administrative Support 

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

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

09/17/2010 Contract Bingham McCutchen LLP Legal Advisory 09/27/2010 Contract Davis Audrey Robinette Administrative Support 

09/30/2010 Contract CCH Incorporated Administrative Support 

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

10/01/2010 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support10/08/2010 Contract Management Concepts Inc. Administrative Support 

10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/14/2010 Contract Hispanic Assoc Of Coll & Univ Administrative Support 10/26/2010 Interagency Agreement Government Accountability Office Compliance

11/08/2010 Contract The Mitre Corporation Information Technology 

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

12/02/2010 Contract Addx Corporation Acquisition Support Services 

12/29/2010 Contract Reed Elsevier Inc. (dba LexisNexis) Administrative Support 

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

1/18/2011 Financial Agent Perella Weinberg Partners & Co. Structuring and Disposition Services 

01/24/2011 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

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

02/24/2011 Contract ESI International Inc. Administrative Support 02/28/2011 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

03/03/2011 Contract Equilar Inc. Administrative Support 

03/10/2011 Contract Mercer (US) Inc. Administrative Support 

03/22/2011 Contract Harrison Scott Publications Inc Administrative Support 

04/20/2011 Interagency Agreement Federal Reserve Bank of New York (FRBNY) HR Financial Advisory

04/26/2011 Contract Pricewaterhousecoopers LLP‐1 Financial Advisory 

04/27/2011 Contract Oculus Group Inc. Financial Advisory 

04/27/2011 Contract MorganFranklin Corporation Financial Advisory 

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

04/27/2011 Contract ASR Analytics LLC Financial Advisory 04/27/2011 Contract FI Consulting Inc. Financial Advisory 04/27/2011 Contract Ernst & Young LLP Financial Advisory 

04/28/2011 Interagency Agreement

Office of Personnel Management (OPM) ‐ Western

Management Development Center Administrative Support

04/28/2011 Contract Booz Allen Hamilton Inc Financial Advisory 

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

05/31/2011 Contract West Publishing Corporation Administrative Support 

05/31/2011 Contract Reed Elsevier Inc. (dba LexisNexis) Administrative Support 06/02/2011 Contract ESI International Inc. Administrative Support 06/09/2011 Contract CQ‐Roll Call Inc. Administrative Support 06/17/2011 Contract Winvale Group LLC Subscription Services 

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

09/09/2011 Interagency Agreement Financial Management Service (FMS) Intern

09/12/2011 Contract ADC LTD NM Compliance 

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

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

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

10/04/2011 Interagency Agreement Internal Revenue Service (IRS) Detailee10/20/2011 Contract ABMI ‐ All Business Machines, Inc. Administrative Support 

11/18/2011 Contract Qualx Corporation Administrative Support 

11/29/2011 Financial Agent Houlihan Lokey, Inc. Transaction Structuring Services 12/20/2011 Contract The Allison Group LLC Professional/Management Training 12/30/2011 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

12/30/2011 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support01/04/2012 Interagency Agreement Government Accountability Office Compliance

01/05/2012 Interagency Agreement

Office of Personnel Management (OPM) ‐ Western

Management Development Center Administrative Support

02/02/2012 Contract Moody's Analytics Inc. Administrative Support 

2/7/2012 Financial Agent Greenhill & Co., LLC Structuring and Disposition Services 

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

02/27/2012 Contract Diversified Search LLC Financial Advisory 03/06/2012 Contract Integrated Federal Solutions, Inc Administrative Support 

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

03/14/2012 Interagency Agreement Department of the Interior Administrative Support03/30/2012 Contract E‐Launch Multimedia, Inc. Administrative Support 

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

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

05/10/2012 Contract Equilar Inc. Administrative Support 

06/12/2012 Interagency Agreement Department of Justice Administrative Support

06/15/2012 Contract Qualx Corporation Administrative Support 

06/30/2012 Contract West Publishing Corporation Subscription Services 

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

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

08/03/2012 Contract Harrison Scott Publications Inc Administrative Support 

09/19/2012 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

09/28/2012 Contract SNL Financial LC Information Technology 

11/19/2012 Interagency Agreement Government Accountability Office Compliance

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

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

1/1/2013 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services 

1/1/2013 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services 
Date Approved Type of Transaction Vendor Purpose 

02/13/2013 Contract Mercer (US) Inc. Administrative Support 

2/21/2013 Financial Agent Raymond James and Associates, Inc. Asset Management Services 

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

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

03/26/2013 Contract Bloomberg Finance L.P. Subscription 

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

05/01/2013 Interagency Agreement Internal Revenue Service (IRS) Administrative Support05/10/2013 Contract Equilar Inc. Administrative 

06/13/2013 Contract West Publishing Corporation Administrative Support 

08/01/2013 Contract Evolution Management, Inc. Support Services 

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

08/28/2013 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

09/25/2013 Interagency Agreement Government Accountability Office Administrative Support09/27/2013 Contract SNL Financial LC Administrative Support 

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

11/22/2013 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support11/27/2013 Interagency Agreement Department of the Treasury ‐ Departmental Offices ‐ WCF Administrative Support

12/12/2013 Contract Association of Govt Accountants Administrative Support 

12/18/2013 Interagency Agreement Department of Justice Administrative Support

03/05/2014 Interagency Agreement Department of Justice Administrative Support03/12/2014 Interagency Agreement Department of the Treasury ‐ Departmental Offices Information Technology03/24/2014 Contract Mercer (US) Inc. Compliance 

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

Contract responsibilities for Thatcher Proffitt & Wood

assumed by Sonnenschein Nath & Rosenthal via novation.

Contract responsibilities for McKee Nelson LLP assumed by

Bingham McCutchen, LLP via novation.

Management Concepts contracts for various training are

now being reported separately rather than combined singleline item.

Financial Agent responsibilities assumed by Raymond James
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending April 30, 201

4

Name Amount

Termination of the $5,000,000,000 Master Agreement between Citigroup and the UST, and FDIC occurred on December 23, 2009 due to the improvement of Citigroufinancial condition and financial market stability. 
Investment Status Definition Key

Full investment outstanding Treasury's full investment is st ll outstandingRedeemed – institution has repaid Treasury’s investmentSold – by auction, an offering, or through a restructuringExited bankruptcy/receivership - Treasury has no outstanding investment

11 1ST CONSTITUTION BANCORP CRANBURY NJ 23‐Dec‐08 Preferred Stock w/ Warrants $12 000 000.00 $0.00 $13 433 242 67 Redeemed i

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

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

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

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

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

1ST F NANCIAL SERVICES CORPORATION HENDERSONVILLE NC 31‐Dec‐13 

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

1ST SOURCE CORPORATION SOUTH BEND IN 29‐Dec‐10 1ST SOURCE CORPORATION SOUTH BEND IN 9‐Mar‐11 

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

1ST UNITED BANCORP INC. BOCA RATON FL 8‐Nov‐09 

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

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

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

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

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

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

ADBANC INC. OGALLALA NE 21‐Jul‐11 

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

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

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

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

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

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

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

ALASKA PACIFIC BANCSHARES INC. JUNEAU AK 11‐Jan‐13 ALASKA PACIFIC BANCSHARES INC. JUNEAU AK 26‐Mar‐13 

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

ALLIANCE BANCSHARES INC. DALTON GA 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $2 986 000.00 $0.00 $3 581 397 27 Sold i

ALLIANCE BANCSHARES INC. DALTON GA 27‐Mar‐13 ALLIANCE BANCSHARES INC. DALTON GA 28‐Mar‐13 

ALLIANCE BANCSHARES INC. DALTON GA 9‐Apr‐13 

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 19‐Dec‐08 Preferred Stock w/ Warrants $26 918 000.00 $0.00 $28 356 360 00 Redeemed i

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 13‐May‐09 

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 17‐Jun‐09 

15 14 ALLIANCE FINANCIAL SERVICES INC. SAINT PAUL MN 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $12 000 000.00 $0.00 $9 806 136 60 Sold i

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

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

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

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

8 14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $70 000 000.00 $0.00 $73 129 160 69 Sold i

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

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

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 20‐Sep‐12 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 6‐Nov‐12 

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

AMB FINANCIAL CORPORATION MUNSTER IN 22‐Sep‐11 

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

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

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

AMERICAN EXPRESS COMPANY NEW YORK NY 17‐Jun‐09 

AMERICAN EXPRESS COMPANY NEW YORK NY 29‐Jul‐09 

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

AMERICAN PREMIER BANCORP ARCADIA CA 26‐Jan‐11 

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

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

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

AMERIS BANCORP MOULTRIE GA 19‐Jun‐12 

AMERIS BANCORP MOULTRIE GA 22‐Aug‐12 

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

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

15 14 AMFIRST FINANCIAL SERVICES INC MCCOOK NE 21‐Aug‐09 Subordinated Debentures w/ Exercised Warrants $5 000 000.00 $0.00 $6 523 255 00 Sold i

AMFIRST FINANCIAL SERVICES INC MCCOOK NE 26‐Mar‐13 

AMFIRST FINANCIAL SERVICES INC MCCOOK NE 27‐Mar‐13 AMFIRST FINANCIAL SERVICES INC MCCOOK NE 28‐Mar‐13 AMFIRST FINANCIAL SERVICES INC MCCOOK NE 9‐Apr‐13 

94 ANCHOR BANCORP WISCONSIN NC. MADISON WI 30‐Jan‐09 Preferred Stock w/ Warrants $110 000 000.00 $0.00 $6 000 000.00 Sold i

ANCHOR BANCORP WISCONSIN NC. MADISON WI 27‐Sep‐13 

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

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

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

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

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

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

Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant Report (such as sale back to company and auctions) or Treasury did not receive a warrant to purchase add tional stock

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

This copy of the Transactions Report is subject to the terms and conditions of download as stated at http://www.treasury.gov/initiatives/financial stabilit

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Write-off)Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrantsIn full – all of Treasury’s investment amountIn part – part of the investment is no longer held by Treasury, but some remains 

CAPITAL PURCHASE PROGRAM

Troubled Asset Relief Program

Transactions Report Investment Programs

For Period Ending April 30, 2014
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

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

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

ATLANTIC BANCSHARES INC. BLUFFTON SC 7‐Feb‐14 

ATLANTIC BANCSHARES INC. BLUFFTON SC 10‐Feb‐14 

ATLANTIC BANCSHARES INC. BLUFFTON SC 19‐Mar‐14 

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

AVENUE FINANCIAL HOLDINGS NASHVILLE TN 15‐Sep‐11 

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

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

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

8 44 BANCINDEPENDENT INCORPORATED SHEFFIELD AL 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $21 100 000.00 $0.00 $24 841 411 03 Redeemed i

BANCINDEPENDENT INCORPORATED SHEFFIELD AL 14‐Jul‐11 

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

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

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

BANCORP RHODE ISLAND INC. PROVIDENCE RI 5‐Aug‐09 

BANCORP RHODE ISLAND INC. PROVIDENCE RI 30‐Sep‐09 

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

BANCPLUS CORPORATION RIDGELAND MS 29‐Sep‐10 

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

BANCSTAR INC. FESTUS MO 26‐Apr‐13 

BANCSTAR INC. FESTUS MO 29‐Apr‐13 BANCSTAR INC. FESTUS MO 31‐May‐13 

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

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

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

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

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

BANK FINANCIAL SERVICES INC. EDEN PRAIRIE MN 11‐Jan‐13 BANK FINANCIAL SERVICES INC. EDEN PRAIRIE MN 26‐Mar‐13 

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

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

BANK OF AMERICA CHARLOTTE NC 9‐Dec‐09 

BANK OF AMERICA CHARLOTTE NC 9‐Mar‐10 

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

BANK OF COMMERCE CHARLOTTE NC 0‐Nov‐12 

BANK OF COMMERCE CHARLOTTE NC 11‐Jan‐13 

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

BANK OF COMMERCE HOLDINGS REDDING CA 27‐Sep‐11 

BANK OF COMMERCE HOLDINGS REDDING CA 26‐Oct‐11 

8 BANK OF GEORGE LAS VEGAS NV 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $2 672 000.00 $0.00 $1 233 940 00 Sold i

BANK OF GEORGE LAS VEGAS NV 21‐Oct‐13 

BANK OF GEORGE LAS VEGAS NV 6‐Jan‐14 

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

BANK OF MARIN BANCORP NOVATO CA 31‐Mar‐09 

BANK OF MARIN BANCORP NOVATO CA 23‐Nov‐11 

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

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

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

105 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 17‐Apr‐09 Preferred Stock w/ Warrants $13 179 000.00 $13 179 000.00 $1 039 677 00 Full investment out

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

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

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

8 06 BANKERS' BANK OF THE WEST BANCORP INC. DENVER CO 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $12 639 000.00 $0.00 $17 097 990.60 Redeemed i

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

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

BANKFIRST CAPITAL CORPORATION MACON MS 8‐Sep‐11 

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

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 9‐Nov‐12 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11‐Jan‐13 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 26‐Mar‐13 

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

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

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

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

BANNER COUNTY BAN CORPORATION HARRISBURG NE 28‐Jul‐11 

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

BAR HARBOR BANKSHARES BAR HARBOR ME 24‐Feb‐10 

BAR HARBOR BANKSHARES BAR HARBOR ME 28‐Jul‐10 

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

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

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

8 BCB HOLDING COMPANY INC. THEODORE AL 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $1 706 000.00 $1 706 000.00 $173 507.50 Full investment out11 BCSB BANCORP INC. BALTIMORE MD 23‐Dec‐08 Preferred Stock w/ Warrants $10 800 000.00 $0.00 $13 371 500 00 Redeemed i

BCSB BANCORP INC. BALTIMORE MD 26‐Jan‐11 

BCSB BANCORP INC. BALTIMORE MD 19‐Apr‐13 

11 8 14 BEACH BUSINESS BANK MANHATTAN BEACH CA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $6 000 000.00 $0.00 $7 263 316 66 Redeemed i

BEACH BUSINESS BANK MANHATTAN BEACH CA 6‐Jul‐11 

BEACH BUSINESS BANK MANHATTAN BEACH CA 19‐Oct‐11 

BEACH BUSINESS BANK MANHATTAN BEACH CA 7‐Mar‐12 

BEACH BUSINESS BANK MANHATTAN BEACH CA 6‐Jun‐12 BEACH BUSINESS BANK MANHATTAN BEACH CA 27‐Jun‐12 

11 14 8 BERKSH RE BANCORP INC. / CUSTOMERS BANCORP INC. PHOENIXVILLE PA 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $2 892 000.00 $0.00 $3 444 478 21 Redeemed i

BERKSH RE BANCORP INC. / CUSTOMERS BANCORP INC. PHOENIXVILLE PA 19‐Sep‐11 BERKSH RE BANCORP INC. / CUSTOMERS BANCORP INC. PHOENIXVILLE PA 28‐Dec‐11 

11 BERKSH RE HILLS BANCORP INC. PITTSFIELD MA 19‐Dec‐08 Preferred Stock w/ Warrants $40 000 000.00 $0.00 $41 917 777.78 Redeemed i

BERKSH RE HILLS BANCORP INC. PITTSFIELD MA 27‐May‐09 

BERKSH RE HILLS BANCORP INC. PITTSFIELD MA 24‐Jun‐09 

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

BERN BANCSHARES INC. BERN KS 1‐Sep‐11 

8 14 18 44 BIRMINGHAM BLOOMFIELD BANCSHARES INC. BIRMINGHAM MI 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $1 635 000.00 $0.00 $3 803 022 67 Redeemed i

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

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

15 17 BISCAYNE BANCSHARES INC. COCONUT GROVE FL 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $6 400 000.00 $0.00 $8 271 975 28 Sold i

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

BISCAYNE BANCSHARES INC. COCONUT GROVE FL 8‐Feb‐13 

BISCAYNE BANCSHARES INC. COCONUT GROVE FL 26‐Mar‐13 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

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

BLACKHAWK BANCORP INC. BELOIT WI 29‐Oct‐12 

BLACKHAWK BANCORP INC. BELOIT WI 31‐Oct‐12 

BLACKHAWK BANCORP INC. BELOIT WI 11‐Jan‐13 

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

BLACKRIDGE FINANCIAL INC. FARGO ND 27‐Jun‐12 

BLACKRIDGE FINANCIAL INC. FARGO ND 12‐Sep‐12 

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

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

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

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

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

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

BLUE VALLEY BAN CORP OVERLAND PARK KS 5‐Dec‐08 Preferred Stock w/ Warrants $21 750 000.00 $0.00 $21 261 845.65 So

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

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

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

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $7 500 000.00 $0.00 $9 776 051 62 Redeemed i

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

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

BNC BANCORP THOMASVILLE NC 29‐Aug‐12 

BNC BANCORP THOMASVILLE NC 19‐Sep‐12 

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

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

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

BNCCORP INC. BISMARCK ND 14‐Mar‐14 

BNCCORP INC. BISMARCK ND 17‐Mar‐14 

BNCCORP INC. BISMARCK ND 25‐Apr‐14 

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

BOH HOLDINGS INC. HOUSTON TX 14‐Jul‐11 

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

BOSCOBEL BANCORP INC. BOSCOBEL WI 8‐Mar‐13 

BOSCOBEL BANCORP INC. BOSCOBEL WI 11‐Mar‐13 

BOSCOBEL BANCORP INC. BOSCOBEL WI 9‐Apr‐13 

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

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

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

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

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23‐Dec‐08 Preferred Stock w/ Warrants $23 864 000.00 $0.00 $27 872 582 22 Redeemed i

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23‐Feb‐11 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 16‐Mar‐11 

BR DGE CAPITAL HOLDINGS SAN JOSE CA 20‐Apr‐11 

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

BR DGEVIEW BANCORP INC. BRIDGEVIEW IL 19‐Nov‐13 

BR DGEVIEW BANCORP INC. BRIDGEVIEW IL 6‐Jan‐14 

9 0 18 65 96 99 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 14‐Nov‐08 Preferred Stock w/ Warrants $9 000 000.00 $15 000 000.00 $810 416.67 Full investment outstan

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

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

BROGAN BANKSHARES INC. KAUKAUNA WI 26‐Apr‐13 

BROGAN BANKSHARES INC. KAUKAUNA WI 29‐Apr‐13 

BROGAN BANKSHARES INC. KAUKAUNA WI 31‐May‐13 

8 44 14 BROTHERHOOD BANCSHARES INC. KANSAS CITY KS 17‐Jul‐09 Preferred Stock w/ Exercised Warrants $11 000 000.00 $0.00 $12 845 586 01 Redeemed i

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

11 8 14 BUSINESS BANCSHARES INC. CLAYTON MO 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $15 000 000.00 $0.00 $18 707 708 84 Redeemed i

BUSINESS BANCSHARES INC. CLAYTON MO 23‐May‐12 

BUSINESS BANCSHARES INC. CLAYTON MO 9‐Jan‐13 BUSINESS BANCSHARES INC. CLAYTON MO 24‐Apr‐13 

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

BUTLER POINT INC. CATLIN IL 2‐Nov‐11 

11 C&F FINANCIAL CORPORATION WEST POINT VA 9‐Jan‐09 Preferred Stock w/ Warrants $20 000 000.00 $0.00 $22 902 777.78 Redeem

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

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

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

CACHE VALLEY BANKING COMPANY LOGAN UT 18‐Dec‐09 $4 640 000.00

CACHE VALLEY BANKING COMPANY LOGAN UT 14‐Jul‐11 

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

CADENCE FINANCIAL CORPORATION STARKVILLE MS 4‐Mar‐11 

44 8 14 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 755 899 67 Redeemed i

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 15‐Sep‐11 

11 8 14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $3 300 000.00 $0.00 $3 802 219 25 Redeemed i

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

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

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

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

CAPITAL BANCORP INC. ROCKVILLE MD 30‐Dec‐10 

39 CAPITAL BANK CORPORATION RALEIGH NC 12‐Dec‐08 Preferred Stock w/ Warrants $41 279 000.00 $0.00 $45 252 104 25 Redeemed i

CAPITAL BANK CORPORATION RALEIGH NC 28‐Jan‐11 

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

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 14‐Nov‐08 Preferred Stock w/ Warrants $3 555 199 000.00 $0.00 $3 806 873 702.1 Redeemed i

CAPITAL ONE FINANCIAL CORP MCLEAN VA 17‐Jun‐09 

CAPITAL ONE FINANCIAL CORP MCLEAN VA 9‐Dec‐09 

8 14 CAPITAL PACIFIC BANCORP PORTLAND OR 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 742 850 89 Sold i

CAPITAL PACIFIC BANCORP PORTLAND OR 8‐Nov‐12 

CAPITAL PACIFIC BANCORP PORTLAND OR 9‐Nov‐12 

CAPITAL PACIFIC BANCORP PORTLAND OR 11‐Jan‐13 

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

CARDINAL BANCORP I INC. WASHINGTON MO 8‐Sep‐11 

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

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

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

CAROLINA BANK HOLDINGS INC. GREENSBORO NC 26‐Mar‐13 CAROLINA BANK HOLDINGS INC. GREENSBORO NC 19‐Apr‐13 CAROLINA TRUST BANK LINCOLNTON NC 6‐Feb‐09 Preferred Stock w/ Warrants $4 000 000.00 $0.00 $3 994 452 00 Sold i

CAROLINA TRUST BANK LINCOLNTON NC 0‐Nov‐12 

CAROLINA TRUST BANK LINCOLNTON NC 11‐Jan‐13 

CAROLINA TRUST BANK L NCOLNTON NC 26‐Mar‐13 CAROLINA TRUST BANK L NCOLNTON NC 11‐Jun‐13 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

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

CARROLLTON BANCORP BALTIMORE MD 19‐Apr‐13 

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

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

CASCADE FINANCIAL CORPORATION EVERETT WA 21‐Nov‐08 Preferred Stock w/ Warrants $38 970 000.00 $0.00 $17 678 900 00 Sold iCASCADE FINANCIAL CORPORATION EVERETT WA 30‐Jun‐11 

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

CATHAY GENERAL BANCORP LOS ANGELES CA 20‐Mar‐13 

CATHAY GENERAL BANCORP LOS ANGELES CA 30‐Sep‐13 CATHAY GENERAL BANCORP LOS ANGELES CA 9‐Dec‐13 

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

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

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

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

CB HOLDING CORP. ALEDO IL 14‐Oct‐11 

8 8 18 CBB BANCORP CARTERSVILLE GA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 644 000.00 $0.00 $4 982 141 86 Sold i

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

CBB BANCORP CARTERSVILLE GA 28‐Nov‐12 

CBB BANCORP CARTERSVILLE GA 29‐Nov‐12 

CBB BANCORP CARTERSVILLE GA 11‐Jan‐13 CBB BANCORP CARTERSVILLE GA 26‐Mar‐13 

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

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

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

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

CBS BANC‐CORP. RUSSELLVILLE AL 11‐Sep‐12 CECIL BANCORP INC. ELKTON MD 23‐Dec‐08 Preferred Stock w/ Warrants $11 560 000.00 $11 560 000.00 $516 988.89 Full investment out

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

CEDARSTONE BANK LEBANON TN 20‐Nov‐13 

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

CENTER BANCORP INC. UNION NJ 15‐Sep‐11 

CENTER BANCORP INC. UNION NJ 7‐Dec‐11 

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

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

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

CENTERBANK MILFORD OH 29‐Oct‐12 CENTERBANK MILFORD OH 1‐Nov‐12 

CENTERBANK MILFORD OH 11‐Jan‐13 CENTERBANK MILFORD OH 26‐Mar‐13 

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

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

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

11 8 14 CENTRA F NANCIAL HOLDINGS INC. MORGANTOWN WV 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $15 000 000.00 $0.00 $15 922 937.50 Redeemed i

CENTRA F NANCIAL HOLDINGS INC. MORGANTOWN WV 31‐Mar‐09 

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

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

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

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

8 CENTRAL BANCORP INC. (TX) GARLAND TX 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $22 500 000.00 $22 500 000.00 $2 411 625 00 Full investment out11 8 14 CENTRAL BANCSHARES INC. HOUSTON TX 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 800 000.00 $0.00 $6 859 176 83 Redeemed i

CENTRAL BANCSHARES INC. HOUSTON TX 6‐Jul‐11 

8 14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $22 000 000.00 $0.00 $25 797 528 80 Sold i

CENTRAL COMMUNITY CORPORATION TEMPLE TX 10‐Dec‐12 

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11‐Dec‐12 

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11‐Jan‐13 

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 5‐Dec‐08 Preferred Stock w/ Warrants $7 225 000.00 $0.00 $3 612 118 06 Sold i

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 26‐Sep‐12 

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

CENTRAL JERSEY BANCORP OAKHURST NJ 24‐Nov‐10 

CENTRAL JERSEY BANCORP OAKHURST NJ 1‐Dec‐10 

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

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

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

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

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

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 18‐Aug‐11 

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 28‐Sep‐11 

93 CENTRAL VIRGINIA BANKSHARES INC. POWHATAN VA 30‐Jan‐09 Preferred Stock w/ Warrants $11 385 000.00 $0.00 $3 800 656 00 Sold i

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

8 17 44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 18‐Dec‐09 Preferred Stock w/ Exercised Warrants $6 056 000.00 $0.00 $6 739 821 89 Redeemed i

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 14‐Jul‐11 

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

CENTRIX BANK & TRUST BEDFORD NH 28‐Jul‐11 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 9‐Jan‐09 Preferred Stock w/ Warrants $32 668 000.00 $0.00 $11 203 387.14 So

CENTRUE FINANCIAL CORPORATION OTTAWA IL 25‐Sep‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 18‐Oct‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 29‐Oct‐13 CENTRUE FINANCIAL CORPORATION OTTAWA IL 6‐Jan‐14 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10‐Feb‐14 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 19‐Mar‐14 

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

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

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

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

15 CHAMBERS BANCSHARES INC. DANVILLE AR 29‐May‐09 Subordinated Debentures w/ Exercised Warrants $19 817 000.00 $19 817 000.00 $5 754 674.98 Full investment out8 CHICAGO SHORE CORPORATION CHICAGO IL 31‐Jul‐09 Preferred Stock w/ Exercised Warrants $7 000 000.00 $0.00 $8 981 348 81 Sold i

CHICAGO SHORE CORPORATION CHICAGO IL 14‐Mar‐14 

CHICAGO SHORE CORPORATION CHICAGO IL 17‐Mar‐14 

CHICAGO SHORE CORPORATION CHICAGO IL 25‐Apr‐14 

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

CIT GROUP INC. NEW YORK NY 10‐Dec‐09 

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

CITIGROUP INC. NEW YORK NY 10‐Dec‐10 

CITIGROUP INC. NEW YORK NY 31‐Jan‐11 

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 16‐Jan‐09 Preferred Stock w/ Warrants $26 440 000.00 $0.00 $28 889 100 00 Redeemed i

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 4‐Aug‐10 

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1‐Sep‐10 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

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

CITIZENS BANCORP NEVADA CITY CA 23‐Sep‐11 

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

CITIZENS BANCSHARES CO. CHILLICOTHE MO 7‐Feb‐13 

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

11 9 36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 6‐Mar‐09 Preferred Stock $7 462 000.00 $0.00 $7 997 813 22 Redeemed i

CITIZENS BANCSHARES CORPORATION ATLANTA GA 13‐Aug‐10 

8 CITIZENS BANK & TRUST COMPANY ESTABLISHED 1945 COVINGTON LA 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $2 400 000.00 $2 400 000.00 $477 783.00 Full investment out

8 CITIZENS COMMERCE BANCSHARES INC. VERSAILLES KY 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $6 300 000.00 $6 300 000.00 $180 258.50 Full investment out44 8 14 CITIZENS COMMUNITY BANK SOUTH HILL VA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $3 000 000.00 $0.00 $3 574 645 84 Redeemed i

CITIZENS COMMUNITY BANK SOUTH HILL VA 28‐Jul‐11 

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

CITIZENS FIRST CORPORATION BOWLING GREEN KY 16‐Feb‐11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 13‐Feb‐13 CITIZENS FIRST CORPORATION BOWLING GREEN KY 15‐Jan‐14 

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

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

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12‐Dec‐08 Preferred Stock w/ Warrants $20 500 000.00 $0.00 $23 572 379 22 Redeemed i

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 22‐Sep‐11 

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9‐Nov‐11 

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

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

CITY NATIONAL CORPORATION BEVERLY HILLS CA 30‐Dec‐09 CITY NATIONAL CORPORATION BEVERLY HILLS CA 3‐Mar‐10 CITY NATIONAL CORPORATION BEVERLY HILLS CA 7‐Apr‐10 

8 14 CLOVER COMMUNITY BANKSHARES INC. CLOVER SC 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 000 000.00 $0.00 $3 318 585 05 Sold i

CLOVER COMMUNITY BANKSHARES INC. CLOVER SC 28‐Nov‐12 CLOVER COMMUNITY BANKSHARES INC. CLOVER SC 29‐Nov‐12 CLOVER COMMUNITY BANKSHARES INC. CLOVER SC 11‐Jan‐13 

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

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

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

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

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

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

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

COASTALSOUTH BANCHARES NC. HILTON HEAD ISLAND SC 8‐Mar‐13 

COASTALSOUTH BANCHARES NC. HILTON HEAD ISLAND SC 11‐Mar‐13 

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

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

COBIZ FINANCIAL INC. DENVER CO 8‐Sep‐11 

COBIZ FINANCIAL INC. DENVER CO 23‐Nov‐11 

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

CODORUS VALLEY BANCORP NC. YORK PA 18‐Aug‐11 

CODORUS VALLEY BANCORP NC. YORK PA 28‐Sep‐11 

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

COLOEAST BANKSHARES INC. LAMAR CO 19‐Jul‐13 

COLOEAST BANKSHARES INC. LAMAR CO 22‐Jul‐13 

COLOEAST BANKSHARES INC. LAMAR CO 12‐Sep‐13 

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

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 26‐Oct‐11 COLONY BANKCORP INC. FITZGERALD GA 9‐Jan‐09 Preferred Stock w/ Warrants $28 000 000.00 $0.00 $26 480 089 20 Sold i

COLONY BANKCORP INC. FITZGERALD GA 7‐Feb‐13 

COLONY BANKCORP INC. FITZGERALD GA 8‐Feb‐13 COLONY BANKCORP INC. FITZGERALD GA 26‐Mar‐13 COLONY BANKCORP INC. FITZGERALD GA 12‐Jun‐13 

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

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

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

44 8 14 COLUMBINE CAPITAL CORP. BUENA VISTA CO 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 260 000.00 $0.00 $2 689 478 64 Redeemed i

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

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

COMERICA INC. DALLAS TX 17‐Mar‐10 

COMERICA INC. DALLAS TX 12‐May‐10 

11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 9‐Jan‐09 Preferred Stock w/ Warrants $5 000 000.00 $0.00 $5 602 969 61 Redeemed i

COMMERCE NATIONAL BANK NEWPORT BEACH CA 7‐Oct‐09 COMMERCE NATIONAL BANK NEWPORT BEACH CA 1‐Oct‐13 

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

COMMONWEALTH BANCSHARES NC. LOUISVILLE KY 7‐Aug‐12 COMMONWEALTH BANCSHARES NC. LOUISVILLE KY 8‐Aug‐12 

COMMONWEALTH BANCSHARES NC. LOUISVILLE KY 9‐Aug‐12 

COMMONWEALTH BANCSHARES NC. LOUISVILLE KY 10‐Aug‐12 

COMMONWEALTH BANCSHARES NC. LOUISVILLE KY 11‐Sep‐12 

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

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 17‐Jul‐13 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 12‐Sep‐13 

11 8 14 COMMUNITY 1ST BANK ROSEVILLE CA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $2 550 000.00 $0.00 $2 899 659 67 Redeemed i

COMMUNITY 1ST BANK ROSEVILLE CA 19‐Dec‐12 

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

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

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

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

8 17 COMMUNITY BANCSHARES INC. KINGMAN AZ 24‐Jul‐09 Preferred Stock w/ Exercised Warrants $3 872 000.00 $3 872 000.00 $930 148.70 Full investment out11 9 36 COMMUNITY BANK OF THE BAY OAKLAND CA 16‐Jan‐09 Preferred Stock $1 747 000.00 $0.00 $1 823 188 61 Redeemed i

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

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

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

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

11 101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 19‐Dec‐08 Preferred Stock w/ Warrants $17 680 000.00 $0.00 $22 355 879.12 Redeem

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

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

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

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

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 0‐Nov‐12 

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11‐Jan‐13 

81 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 19‐Dec‐08 Preferred Stock w/ Warrants $12 643 000.00 $0.00 $15 206 719.94 Redeem
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

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

74 8 14 COMMUNITY FINANCIAL SHARES INC. GLEN ELLYN IL 15‐May‐09 Preferred Stock w/ Exercised Warrants $6 970 000.00 $0.00 $4 240 743 82 Sold i

COMMUNITY FINANCIAL SHARES INC. GLEN ELLYN IL 21‐Dec‐12 

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

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

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

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

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

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

8 COMMUNITY FIRST INC. COLUMBIA TN 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $17 806 000.00 $0.00 $7 723 513.50 Sold i

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

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

COMMUNITY HOLDING COMPANY OF FLORIDA NC. / COMMUNITY BANCSHARES OF MISSISSIPPI INC. BRANDON MS 0‐Nov‐12 

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

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

8 14 COMMUNITY INVESTORS BANCORP INC. BUCYRUS OH 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $2 600 000.00 $0.00 $3 115 616 28 Sold i

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

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

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

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

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

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 11‐Aug‐11 

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 26‐Oct‐11 

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

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

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

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

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 6‐Jul‐11 

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

COMMUNITY WEST BANCSHARES GOLETA CA 10‐Dec‐12 

COMMUNITY WEST BANCSHARES GOLETA CA 11‐Dec‐12 

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

53 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 13‐Feb‐09 Preferred Stock w/ Warrants $51 500 000.00 $51 500 000.00 $2 589 305 00 Full investment out8 14 CONGAREE BANCSHARES NC. CAYCE SC 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $3 285 000.00 $0.00 $3 483 629 20 Sold i

CONGAREE BANCSHARES NC. CAYCE SC 29‐Oct‐12 

CONGAREE BANCSHARES NC. CAYCE SC 31‐Oct‐12 

CONGAREE BANCSHARES NC. CAYCE SC 11‐Jan‐13 

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

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 0‐Nov‐12 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11‐Jan‐13 

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

8 14 COUNTRY BANK SHARES INC. MILFORD NE 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $7 525 000.00 $0.00 $8 781 205 02 Sold i

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

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

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

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 5‐Jun‐09 Preferred Stock w/ Exercised Warrants $5 000 000.00 $0.00 $6 594 635 27 Redeemed i

COVENANT FINANCIAL CORPORATION CLARKSDALE MS 30‐Apr‐14 

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $3 100 000.00 $2 100 000.00 $1 837 264.58 Redeeme

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

58 CRESCENT FINANCIAL BANCSHARES INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares Inc. RALEIGH NC 9‐Jan‐09 Preferred Stock w/ Warrants $24 900 000.00 $0.00 $31 333 741.20 Redeem

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

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

CROSSTOWN HOLDING COMPANY BLAINE MN 19‐Jul‐13 

CROSSTOWN HOLDING COMPANY BLAINE MN 22‐Jul‐13 

CROSSTOWN HOLDING COMPANY BLAINE MN 12‐Sep‐13 

8 CSRA BANK CORP. WRENS GA 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $2 400 000.00 $2 400 000.00 $180 940.00 Full investment out11 16 CVB FINANCIAL CORP. ONTARIO CA 5‐Dec‐08 Preferred Stock w/ Warrants $130 000 000.00 $0.00 $136 046 583.33 Redeemed i

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

CVB FINANCIAL CORP. ONTARIO CA 28‐Oct‐09 

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

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

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

DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 8‐Sep‐11 

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

DELMAR BANCORP DELMAR MD 7‐Feb‐13 

DELMAR BANCORP DELMAR MD 8‐Feb‐13 DELMAR BANCORP DELMAR MD 26‐Mar‐13 

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

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

DESOTO COUNTY BANK HORN LAKE MS 24‐Sep‐13 DESOTO COUNTY BANK HORN LAKE MS 25‐Sep‐13 

DESOTO COUNTY BANK HORN LAKE MS 29‐Oct‐13 

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

DIAMOND BANCORP INC. WASHINGTON MO 8‐Aug‐12 

DIAMOND BANCORP INC. WASHINGTON MO 9‐Aug‐12 

DIAMOND BANCORP INC. WASHINGTON MO 10‐Aug‐12 DIAMOND BANCORP INC. WASHINGTON MO 11‐Sep‐12 

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

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

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

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

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

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 21‐Apr‐10 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7‐Jul‐10 

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 30‐Jan‐09 Preferred Stock w/ Warrants $11 750 000.00 $0.00 $13 683 277 61 Redeemed i

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 4‐Aug‐11 

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 21‐Sep‐11 

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

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

DUKE FINANCIAL GROUP INC. MINNEAPOLIS MN 5‐Mar‐14 DUKE FINANCIAL GROUP INC. MINNEAPOLIS MN 2‐Apr‐14 

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

EAGLE BANCORP INC. BETHESDA MD 23‐Dec‐09 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

EAGLE BANCORP INC. BETHESDA MD 14‐Jul‐11 

EAGLE BANCORP INC. BETHESDA MD 23‐Nov‐11 

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

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

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

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

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

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

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

89 ECB BANCORP INC. / CRESCENT FINANCIAL BANCSHARES INC. / VantageSouth Bancshares Inc. ENGELHARD NC 16‐Jan‐09 Preferred Stock w/ Warrants $17 949 000.00 $0.00 $22 526 494.08 Redeem

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

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 23‐Dec‐08 Preferred Stock w/ Warrants $7 500 000.00 $0.00 $8 545 904 67 Redeemed i

EMCLAIRE FINANCIAL CORP. EMLENTON PA 18‐Aug‐11 

EMCLAIRE FINANCIAL CORP. EMLENTON PA 7‐Dec‐11 

45 ENCORE BANCSHARES INC. HOUSTON TX 5‐Dec‐08 Preferred Stock w/ Warrants $34 000 000.00 $0.00 $39 415 959 89 Redeem

ENCORE BANCSHARES INC. HOUSTON TX 27‐Sep‐11 

ENCORE BANCSHARES INC. HOUSTON TX 23‐Nov‐11 

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

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

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

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

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

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

EQUITY BANCSHARES INC. WICHITA KS 11‐Aug‐11 

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

EXCHANGE BANK SANTA ROSA CA 3‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 8‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 9‐Aug‐12 EXCHANGE BANK SANTA ROSA CA 10‐Aug‐12 EXCHANGE BANK SANTA ROSA CA 13‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 11‐Sep‐12 

8 14 18 F & M BANCSHARES INC. TREZEVANT TN 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $4 609 000.00 $0.00 $9 405 391 28 Sold i

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

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

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

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

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

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

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

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

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

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 6‐Nov‐12 

15 14 F&C BANCORP. INC. HOLDEN MO 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $2 993 000.00 $0.00 $3 842 376 65 Sold i

F&C BANCORP. INC. HOLDEN MO 8‐Nov‐12 

F&C BANCORP. INC. HOLDEN MO 13‐Nov‐12 F&C BANCORP. INC. HOLDEN MO 11‐Jan‐13 

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

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

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

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

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 6‐Nov‐12 

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

F.N B. CORPORATION HERMITAGE PA 9‐Sep‐09 

F.N B. CORPORATION HERMITAGE PA 23‐Nov‐11 

8 FARMERS & MERCHANTS BANCSHARES INC. HOUSTON TX 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $11 000 000.00 $11 000 000.00 $2 063 280 00 Full investment out8 14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $442 000.00 $0.00 $500 199.14 Sold i

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

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

11 8 FARMERS BANK WINDSOR V RGINIA WINDSOR VA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $8 752 000.00 $0.00 $11 396 202.11 Redeemed i

FARMERS BANK WINDSOR V RGINIA WINDSOR VA 9‐Jan‐13 

FARMERS BANK WINDSOR V RGINIA WINDSOR VA 31‐Dec‐13 

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

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 19‐Jun‐12 

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 18‐Jul‐12 

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

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

FARMERS ENTERPRISES INC. GREAT BEND KS 9‐Nov‐12 FARMERS ENTERPRISES INC. GREAT BEND KS 13‐Nov‐12 FARMERS ENTERPRISES INC. GREAT BEND KS 11‐Jan‐13 

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

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

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

FBHC HOLDING COMPANY BOULDER CO 9‐Mar‐11 

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

FC HOLDINGS INC. HOUSTON TX 20‐Feb‐13 

FC HOLDINGS INC. HOUSTON TX 26‐Mar‐13 

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

FCB BANCORP INC. LOUISVILLE KY 22‐Sep‐11 

8 14 FFW CORPORATION WABASH IN 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $7 289 000.00 $0.00 $8 441 836 26 Sold i

FFW CORPORATION WABASH IN 28‐Nov‐12 

FFW CORPORATION WABASH IN 0‐Nov‐12 

FFW CORPORATION WABASH IN 11‐Jan‐13 

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

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

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

FIDELITY BANCORP INC. (PA) / WESBANCO INC. PITTSBURGH PA 0‐Nov‐12 

8 17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 13‐Nov‐09 Preferred Stock w/ Exercised Warrants $6 657 000.00 $0.00 $7 220 908 83 Sold i

FIDELITY FEDERAL BANCORP EVANSVILLE IN 19‐Jul‐13 

FIDELITY FEDERAL BANCORP EVANSVILLE IN 22‐Jul‐13 

FIDELITY FEDERAL BANCORP EVANSVILLE IN 12‐Sep‐13 

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

FIDELITY FINANCIAL CORPORATION WICHITA KS 1‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 2‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 3‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 7‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 9‐Aug‐12 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

FIDELITY FINANCIAL CORPORATION WICHITA KS 10‐Aug‐12 FIDELITY FINANCIAL CORPORATION WICHITA KS 11‐Sep‐12 FIDELITY SOUTHERN CORPORATION ATLANTA GA 19‐Dec‐08 Preferred Stock w/ Warrants $48 200 000.00 $0.00 $51 286 669 09 So

FIDELITY SOUTHERN CORPORATION ATLANTA GA 3‐Jul‐12 

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

FIFTH THIRD BANCORP CINCINNATI OH 2‐Feb‐11 

FIFTH THIRD BANCORP CINCINNATI OH 16‐Mar‐11 

11 FINANCIAL INSTITUTIONS INC. WARSAW NY 23‐Dec‐08 Preferred Stock w/ Warrants $37 515 000.00 $0.00 $43 787 611 61 Redeemed i

FINANCIAL INSTITUTIONS INC. WARSAW NY 23‐Feb‐11 

FINANCIAL INSTITUTIONS INC. WARSAW NY 30‐Mar‐11 

FINANCIAL INSTITUTIONS INC. WARSAW NY 11‐May‐11 

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

FINANCIAL SECURITY CORPORATION BASIN WY 21‐Jul‐11 

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

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

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

FIRST ADVANTAGE BANCSHARES INC. COON RAPIDS MN 10‐Dec‐12 

FIRST ADVANTAGE BANCSHARES INC. COON RAPIDS MN 11‐Dec‐12 

FIRST ADVANTAGE BANCSHARES INC. COON RAPIDS MN 11‐Jan‐13 FIRST ADVANTAGE BANCSHARES INC. COON RAPIDS MN 26‐Mar‐13 

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

FIRST ALLIANCE BANCSHARES INC. CORDOVA TN 20‐Dec‐12 FIRST ALLIANCE BANCSHARES INC. CORDOVA TN 11‐Jan‐13 

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

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

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

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

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

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

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

FIRST BANCORP (NC) TROY NC 1‐Sep‐11 

FIRST BANCORP (NC) TROY NC 23‐Nov‐11 

34 FIRST BANCORP (PR) SAN JUAN PR 16‐Jan‐09 Preferred Stock w/ Warrants $400 000 000.00 $238 972 281.88 $122 513 539.32 Sol

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

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

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

FIRST BANCTRUST CORPORATION PARIS IL 18‐Jan‐12 

FIRST BANCTRUST CORPORATION PARIS IL 24‐Oct‐12 

45 8 14 FIRST BANK OF CHARLESTON INC. CHARLESTON WV 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3 345 000.00 $0.00 $3 960 105 00 Redeemed i

FIRST BANK OF CHARLESTON INC. CHARLESTON WV 21‐Jul‐11 

45 8 14 FIRST BANKERS TRUSTSHARES INC. QUINCY IL 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $10 000 000.00 $0.00 $11 941 222.22 Redeemed i

FIRST BANKERS TRUSTSHARES INC. QUINCY IL 8‐Sep‐11 

8 FIRST BANKS INC. CLAYTON MO 31‐Dec‐08 Preferred Stock w/ Exercised Warrants $295 400 000.00 $0.00 $119 071 500.97 Sold i

FIRST BANKS INC. CLAYTON MO 8‐Aug‐13 

FIRST BANKS INC. CLAYTON MO 9‐Aug‐13 

FIRST BANKS INC. CLAYTON MO 12‐Aug‐13 FIRST BANKS INC. CLAYTON MO 12‐Sep‐13 FIRST BANKS INC. CLAYTON MO 24‐Sep‐13 

FIRST BANKS INC. CLAYTON MO 25‐Sep‐13 

FIRST BANKS INC. CLAYTON MO 29‐Oct‐13 

45 FIRST BUSEY CORPORATION URBANA IL 6‐Mar‐09 Preferred Stock w/ Warrants $100 000 000.00 $0.00 $112 410 898.89 Redeemed i

FIRST BUSEY CORPORATION URBANA IL 25‐Aug‐11 

FIRST BUSEY CORPORATION URBANA IL 23‐Nov‐11 

8 14 18 FIRST BUSINESS BANK NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA N.A. SAN DIEGO CA 10‐Apr‐09 Preferred Stock w/ Warrants $2 211 000.00 $0.00 $4 693 275.61 Sold i

FIRST BUSINESS BANK NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA N A. SAN DIEGO CA 11‐Dec‐09 $2 032 000.00

FIRST BUSINESS BANK NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA N.A. SAN DIEGO CA 19‐Dec‐12 

FIRST BUSINESS BANK NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA N.A. SAN DIEGO CA 20‐Dec‐12 

FIRST BUSINESS BANK NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA N.A. SAN DIEGO CA 11‐Jan‐13 

45 FIRST CAL FORNIA FINANCIAL GROUP INC. WESTLAKE VILLAGE CA 19‐Dec‐08 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $28 810 847.55 Redeemed i

FIRST CAL FORNIA FINANCIAL GROUP INC. WESTLAKE VILLAGE CA 14‐Jul‐11 

FIRST CAL FORNIA FINANCIAL GROUP INC. WESTLAKE VILLAGE CA 24‐Aug‐11 

FIRST CAPITAL BANCORP INC. GLEN ALLEN VA 3‐Apr‐09 Preferred Stock w/ Warrants $10 958 000.00 $0.00 $11 956 712.44 Sold i

FIRST CAPITAL BANCORP INC. GLEN ALLEN VA 19‐Jun‐12 

FIRST CAPITAL BANCORP INC. GLEN ALLEN VA 6‐Feb‐13 

8 11 14 18 36 FIRST CHOICE BANK CERRITOS CA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 200 000.00 $0.00 $5 446 642.94 Redeemed i

FIRST CHOICE BANK CERRITOS CA 22‐Dec‐09 $2 836 000.00FIRST CHOICE BANK CERRITOS CA 24‐Sep‐10 

FIRST CITIZENS BANC CORP SANDUSKY OH 23‐Jan‐09 Preferred Stock w/ Warrants $23 184 000.00 $0.00 $25 245 684.71 Sold i

FIRST CITIZENS BANC CORP SANDUSKY OH 3‐Jul‐12 

FIRST CITIZENS BANC CORP SANDUSKY OH 5‐Sep‐12 

44 8 14 FIRST COLEBROOK BANCORP INC. COLEBROOK NH 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $4 500 000.00 $0.00 $5 339 487.75 Redeemed i

FIRST COLEBROOK BANCORP INC. COLEBROOK NH 22‐Sep‐11 

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 21‐Nov‐08 Preferred Stock w/ Warrants $41 500 000.00 $0.00 $42 839 002.78 Redeemed i

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 8‐Jul‐09 

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 22‐Nov‐11 

8 72 FIRST COMMUNITY BANCSHARES INC. / EQUITY BANCSHARES INC. WICHITA KS 15‐May‐09 Preferred Stock w/ Exercised Warrants $14 800 000.00 $14 800 000.00 $3 979 128.30 Full investment out

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 23‐Dec‐08 Preferred Stock w/ Warrants $10 685 000.00 $0.00 $8 499 249.92 Sold i

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 31‐May‐11 

FIRST COMMUNITY CORPORATION LEXINGTON SC 21‐Nov‐08 Preferred Stock w/ Warrants $11 350 000.00 $0.00 $13 425 979. 6 Sold i

FIRST COMMUNITY CORPORATION LEXINGTON SC 29‐Aug‐12 

FIRST COMMUNITY CORPORATION LEXINGTON SC 1‐Nov‐12 

8 FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 11‐Dec‐09 Preferred Stock w/ Exercised Warrants $22 000 000.00 $0.00 $18 252 479.06 Sold i

FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 8‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 9‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 10‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 19‐Sep‐12 FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 20‐Sep‐12 FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 21‐Sep‐12 FIRST COMMUNITY FINANCIAL PARTNERS INC. JOLIET IL 6‐Nov‐12 

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 5‐Dec‐08 Preferred Stock w/ Warrants $37 000 000.00 $0.00 $41 631 005.92 So

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 19‐Jun‐12 

15 36 11 FIRST EAGLE BANCSHARES INC. HANOVER PARK IL 11‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $7 500 000.00 $0.00 $8 514 738 21 Redeemed i

FIRST EAGLE BANCSHARES INC. HANOVER PARK IL 17‐Sep‐10 

11 8 14 FIRST EXPRESS OF NEBRASKA INC. GERING NE 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $5 000 000.00 $0.00 $6 074 313 00 Redeemed i

FIRST EXPRESS OF NEBRASKA INC. GERING NE 15‐Feb‐12 

FIRST FEDERAL BANCSHARES OF ARKANSAS INC. HARRISON AR 6‐Mar‐09 Preferred Stock w/ Warrants $16 500 000.00 $0.00 $6 570 625.00 Sold i

FIRST FEDERAL BANCSHARES OF ARKANSAS INC. HARRISON AR 3‐May‐11 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

12 16 FIRST FINANCIAL BANCORP CINCINNATI OH 23‐Dec‐08 Preferred Stock w/ Warrants $80 000 000.00 $0.00 $87 644 066.10 Redeemed i

FIRST FINANCIAL BANCORP CINCINNATI OH 24‐Feb‐10 

FIRST FINANCIAL BANCORP CINCINNATI OH 8‐Jun‐10 

15 17 44 FIRST FINANCIAL BANCSHARES INC. LAWRENCE KS 12‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $3 756 000.00 $0.00 $4 563 280.34 Redeemed i

FIRST FINANCIAL BANCSHARES INC. LAWRENCE KS 22‐Sep‐11 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5‐Dec‐08 Preferred Stock w/ Warrants $65 000 000.00 $0.00 $68 141 972.19 Sold i

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 3‐Apr‐12 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 22‐May‐13 

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 9‐Jan‐09 Preferred Stock w/ Warrants $20 000 000.00 $0.00 $12 333 778.00 So

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 29‐Apr‐13 FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 31‐May‐13 

9 17 FIRST FREEDOM BANCSHARES INC. LEBANON TN 22‐Dec‐09 Preferred Stock w/ Exercised Warrants $8 700 000.00 $0.00 $9 522 346.17 Sold i

FIRST FREEDOM BANCSHARES INC. LEBANON TN 9‐Nov‐12 

FIRST FREEDOM BANCSHARES INC. LEBANON TN 11‐Jan‐13 

8 14 FIRST GOTHENBURG BANCSHARES INC. GOTHENBURG NE 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $7 570 000.00 $0.00 $8 702 021 25 Sold i

FIRST GOTHENBURG BANCSHARES INC. GOTHENBURG NE 29‐Oct‐12 

FIRST GOTHENBURG BANCSHARES INC. GOTHENBURG NE 31‐Oct‐12 

FIRST GOTHENBURG BANCSHARES INC. GOTHENBURG NE 11‐Jan‐13 

8 14 44 FIRST GUARANTY BANCSHARES INC. HAMMOND LA 28‐Aug‐09 Preferred Stock w/ Exercised Warrants $20 699 000.00 $0.00 $24 059 476.66 Redeemed i

FIRST GUARANTY BANCSHARES INC. HAMMOND LA 22‐Sep‐11 

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 14‐Nov‐08 Preferred Stock w/ Warrants $866 540 000.00 $0.00 $1 037 467 405.56 Redeemed i

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 22‐Dec‐10 

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 9‐Mar‐11 

8 9 FIRST INDEPENDENCE CORPORATION DETROIT MI 28‐Aug‐09 Preferred Stock $3 223 000.00 $0.00 $2 820 256.96 Sold i

FIRST INDEPENDENCE CORPORATION DETROIT MI 20‐Dec‐12 FIRST INDEPENDENCE CORPORATION DETROIT MI 11‐Jan‐13 

FIRST INDEPENDENCE CORPORATION DETROIT MI 26‐Mar‐13 

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $6 398 000.00 $0.00 $4 118 886 85 Sold i

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12‐Aug‐13 

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12‐Sep‐13 

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHF ELD CT 12‐Dec‐08 Preferred Stock w/ Warrants $10 000 000.00 $0.00 $12 147 768 63 Redeemed i

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHF ELD CT 7‐Apr‐10 

11 36 FIRST M&F CORPORATION KOSCIUSKO MS 27‐Feb‐09 Preferred Stock w/ Warrants $30 000 000.00 $0.00 $36 472 843.94 Redeemed i

FIRST M&F CORPORATION KOSCIUSKO MS 29‐Sep‐10 

FIRST M&F CORPORATION KOSCIUSKO MS 30‐Aug‐13 

11 8 14 FIRST MANITOWOC BANCORP INC. MANITOWOC WI 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $12 000 000.00 $0.00 $12 837 983.33 Redeemed i

FIRST MANITOWOC BANCORP INC. MANITOWOC WI 27‐May‐09 

11 25 FIRST MARKET BANK FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 6‐Feb‐09 Preferred Stock w/ Warrants $33 900 000.00 $0.00 $40 834 859.35 Redeemed i

FIRST MARKET BANK FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 7‐Dec‐11 

44 8 14 FIRST MENASHA BANCSHARES NC. NEENAH WI 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 797 000.00 $0.00 $5 713 865 00 Redeemed i

FIRST MENASHA BANCSHARES NC. NEENAH WI 15‐Sep‐11 

33 44 45 FIRST MERCHANTS CORPORATION MUNCIE IN 20‐Feb‐09 Preferred Stock w/ Warrants $116 000 000.00 $0.00 $131 383 055.11 Redeemed i

FIRST MERCHANTS CORPORATION MUNCIE IN 22‐Sep‐11 

FIRST MERCHANTS CORPORATION MUNCIE IN 23‐Nov‐11 

11 FIRST MIDWEST BANCORP INC. ITASCA IL 5‐Dec‐08 Preferred Stock w/ Warrants $193 000 000.00 $0.00 $222 528 333.33 Redeemed i

FIRST MIDWEST BANCORP INC. ITASCA IL 23‐Nov‐11 

FIRST MIDWEST BANCORP INC. ITASCA IL 21‐Dec‐11 

8 14 FIRST NATIONAL CORPORATION STRASBURG VA 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $13 900 000.00 $0.00 $15 329 326.44 Sold i

FIRST NATIONAL CORPORATION STRASBURG VA 29‐Aug‐12 

44 8 14 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $17 836 000.00 $0.00 $21 033 989.56 Redeemed i

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 4‐Aug‐11 

12 16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 21‐Nov‐08 Preferred Stock w/ Warrants $184 011 000.00 $0.00 $191 464 618.00 Redeemed i

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 27‐May‐09 

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 24‐Jun‐09 

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 13‐Mar‐09 Preferred Stock w/ Warrants $17 390 000.00 $0.00 $19 943 580.33 Redeemed i

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 15‐Sep‐11 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 6‐Nov‐11 

11 FIRST PACTRUST BANCORP INC. CHULA VISTA CA 21‐Nov‐08 Preferred Stock w/ Warrants $19 300 000.00 $0.00 $22 297 560.34 Redeemed i

FIRST PACTRUST BANCORP INC. CHULA VISTA CA 15‐Dec‐10 

FIRST PACTRUST BANCORP INC. CHULA VISTA CA 5‐Jan‐11 

73 97 FIRST PLACE FINANCIAL CORP. WARREN OH 13‐Mar‐09 Preferred Stock w/ Warrants $72 927 000.00 $0.00 $7 009 094.50 

FIRST PLACE FINANCIAL CORP. WARREN OH 29‐Oct‐12 

8 14 18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 579 000.00 $0.00 $9 948 069.58 Sold i

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 18‐Dec‐09 $4 596 000.00FIRST PRIORITY FINANCIAL CORP. MALVERN PA 7‐Feb‐13 

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 8‐Feb‐13 

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 26‐Mar‐13 

8 14 FIRST RELIANCE BANCSHARES INC. FLORENCE SC 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $15 349 000.00 $0.00 $12 994 059 00 Sold i

FIRST RELIANCE BANCSHARES INC. FLORENCE SC 11‐Mar‐13 

FIRST RELIANCE BANCSHARES INC. FLORENCE SC 9‐Apr‐13 

8 14 18 44 45 FIRST RESOURCE BANK EXTON PA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $2 600 000.00 $0.00 $5 731 793 60 Redeemed i

FIRST RESOURCE BANK EXTON PA 11‐Dec‐09 $2 417 000.00FIRST RESOURCE BANK EXTON PA 15‐Sep‐11 

87 FIRST SECURITY GROUP INC. CHATTANOOGA TN 9‐Jan‐09 Preferred Stock w/ Warrants $33 000 000.00 $0.00 $16 315 362 00 Sold i

FIRST SECURITY GROUP INC. CHATTANOOGA TN 11‐Apr‐13 

79 FIRST SOUND BANK SEATTLE WA 23‐Dec‐08 Preferred Stock w/ Warrants $7 400 000.00 $0.00 $4 030 944.44 Sold i

FIRST SOUND BANK SEATTLE WA 20‐Feb‐13 

15 11 14 FIRST SOUTH BANCORP INC. LEXINGTON TN 17‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $50 000 000.00 $0.00 $65 432 450.94 Redeemed i

FIRST SOUTH BANCORP INC. LEXINGTON TN 28‐Sep‐11 

FIRST SOUTH BANCORP INC. LEXINGTON TN 28‐Nov‐12 

11 8 14 FIRST SOUTHERN BANCORP INC. BOCA RATON FL 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $10 900 000.00 $0.00 $12 263 468.31 Redeemed i

FIRST SOUTHERN BANCORP INC. BOCA RATON FL 16‐Jun‐10 

8 14 FIRST SOUTHWEST BANCORPORATION INC. ALAMOSA CO 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $5 500 000.00 $0.00 $5 359 772.59 Sold i

FIRST SOUTHWEST BANCORPORATION INC. ALAMOSA CO 26‐Mar‐13 

FIRST SOUTHWEST BANCORPORATION INC. ALAMOSA CO 27‐Mar‐13 

FIRST SOUTHWEST BANCORPORATION INC. ALAMOSA CO 28‐Mar‐13 FIRST SOUTHWEST BANCORPORATION INC. ALAMOSA CO 9‐Apr‐13 

44 8 14 FIRST TEXAS BHC INC. FORT WORTH TX 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $13 533 000.00 $0.00 $16 072 389.00 Redeemed i

FIRST TEXAS BHC INC. FORT WORTH TX 15‐Sep‐11 

15 14 FIRST TRUST CORPORATION NEW ORLEANS LA 5‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $17 969 000.00 $0.00 $15 304 180.50 Sold i

FIRST TRUST CORPORATION NEW ORLEANS LA 20‐Feb‐13 FIRST TRUST CORPORATION NEW ORLEANS LA 26‐Mar‐13 

11 8 14 FIRST ULB CORP. OAKLAND CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $4 900 000.00 $0.00 $5 211 020 69 Redeemed i

FIRST ULB CORP. OAKLAND CA 22‐Apr‐09 

FIRST UNITED CORPORATION OAKLAND MD 30‐Jan‐09 Preferred Stock w/ Warrants $30 000 000.00 $30 000 000.00 $2 312 500 00 Full investment out

11 8 14 36 FIRST VERNON BANCSHARES INC. VERNON AL 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $6 000 000.00 $0.00 $6 662 770.42 Redeemed i

FIRST VERNON BANCSHARES INC. VERNON AL 29‐Sep‐10 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

8 14 18 FIRST WESTERN FINANCIAL INC. DENVER CO 6‐Feb‐09 Preferred Stock w/ Warrants $8 559 000.00 $0.00 $21 142 314 80 Sold i

FIRST WESTERN FINANCIAL INC. DENVER CO 11‐Dec‐09 $11 881 000.00FIRST WESTERN FINANCIAL INC. DENVER CO 9‐Aug‐12 

FIRST WESTERN FINANCIAL INC. DENVER CO 10‐Aug‐12 

FIRST WESTERN FINANCIAL INC. DENVER CO 11‐Sep‐12 

FIRST WESTERN FINANCIAL INC. DENVER CO 24‐Jun‐13 

FIRST WESTERN FINANCIAL INC. DENVER CO 26‐Jul‐13 

FIRSTBANK CORPORATION ALMA MI 30‐Jan‐09 Preferred Stock w/ Warrants $33 000 000.00 $0.00 $38 185 560.05 Sold i

FIRSTBANK CORPORATION ALMA MI 3‐Jul‐12 

FIRSTBANK CORPORATION ALMA MI 18‐Jul‐12 

11 FIRSTMERIT CORPORATION AKRON OH 9‐Jan‐09 Preferred Stock w/ Warrants $125 000 000.00 $0.00 $131 813 194.44 Redeemed i

FIRSTMERIT CORPORATION AKRON OH 22‐Apr‐09 

FIRSTMERIT CORPORATION AKRON OH 27‐May‐09 FLAGSTAR BANCORP INC. TROY MI 30‐Jan‐09 Preferred Stock w/ Warrants $266 657 000.00 $0.00 $277 861 053.94 Sold i

FLAGSTAR BANCORP INC. TROY MI 26‐Mar‐13 

FLAGSTAR BANCORP INC. TROY MI 27‐Mar‐13 

FLAGSTAR BANCORP INC. TROY MI 28‐Mar‐13 

FLAGSTAR BANCORP INC. TROY MI 9‐Apr‐13 

FLAGSTAR BANCORP INC. TROY MI 12‐Jun‐13 

8 84 FLORIDA BANK GROUP INC. TAMPA FL 24‐Jul‐09 Preferred Stock w/ Exercised Warrants $20 471 000.00 $0.00 $9 180 793 08 Sold i

FLORIDA BANK GROUP INC. TAMPA FL 14‐Aug‐13 

8 44 14 FLORIDA BUSINESS BANCGROUP INC. TAMPA FL 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $9 495 000.00 $0.00 $11 309 750.50 Redeemed i

FLORIDA BUSINESS BANCGROUP INC. TAMPA FL 22‐Sep‐11 

12 16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 19‐Dec‐08 Preferred Stock w/ Warrants $70 000 000.00 $0.00 $73 904 166 66 Redeemed i

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 28‐Oct‐09 

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 30‐Dec‐09 

45 8 14 FNB BANCORP SOUTH SAN FRANCISCO CA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $12 000 000.00 $0.00 $14 267 700.00 Redeemed i

FNB BANCORP SOUTH SAN FRANCISCO CA 15‐Sep‐11 

11 8 14 FORESIGHT FINANCIAL GROUP INC. ROCKFORD IL 15‐May‐09 Preferred Stock w/ Exercised Warrants $15 000 000.00 $0.00 $18 670 291.67 Redeemed i

FORESIGHT FINANCIAL GROUP INC. ROCKFORD IL 11‐Dec‐12 

8 66 97 FORT LEE FEDERAL SAV NGS BANK FSB FORT LEE NJ 22‐May‐09 Preferred Stock w/ Exercised Warrants $1 300 000.00 $0.00 $87 184.85 

FORT LEE FEDERAL SAV NGS BANK FSB FORT LEE NJ 20‐Apr‐12 

45 8 14 FORTUNE FINANCIAL CORPORATION ARNOLD MO 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $3 100 000.00 $0.00 $3 668 927 67 Redeemed i

FORTUNE FINANCIAL CORPORATION ARNOLD MO 15‐Sep‐11 

50 97 FPB BANCORP INC. PORT ST. LUCIE FL 5‐Dec‐08 Preferred Stock w/ Warrants $5 800 000.00 $0.00 $273 888.89 

FPB BANCORP INC. PORT ST. LUCIE FL 15‐Jul‐11 

11 8 14 FPB FINANCIAL CORP. HAMMOND LA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $3 240 000.00 $0.00 $3 623 721.50 Redeemed i

FPB FINANCIAL CORP. HAMMOND LA 16‐Dec‐09 

FPB FINANCIAL CORP. HAMMOND LA 16‐Jun‐10 

8 14 FRANKLIN BANCORP INC. WASHINGTON MO 22‐May‐09 Preferred Stock w/ Exercised Warrants $5 097 000.00 $0.00 $4 336 183 67 Sold i

FRANKLIN BANCORP INC. WASHINGTON MO 9‐Nov‐12 

FRANKLIN BANCORP INC. WASHINGTON MO 13‐Nov‐12 

FRANKLIN BANCORP INC. WASHINGTON MO 11‐Jan‐13 

15 FREEPORT BANCSHARES INC. FREEPORT IL 8‐May‐09 Subordinated Debentures w/ Exercised Warrants $3 000 000.00 $0.00 $4 413 022.95 Sold i

FREEPORT BANCSHARES INC. FREEPORT IL 11‐Apr‐14 

FREEPORT BANCSHARES INC. FREEPORT IL 14‐Apr‐14 

15 11 14 FREMONT BANCORPORATION FREMONT CA 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $35 000 000.00 $0.00 $45 796 066.36 Redeemed i

FREMONT BANCORPORATION FREMONT CA 25‐Jul‐12 

44 8 14 FRESNO FIRST BANK FRESNO CA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $1 968 000.00 $0.00 $2 437 100.33 Redeemed i

FRESNO FIRST BANK FRESNO CA 1‐Nov‐12 

15 11 14 FRONTIER BANCSHARES INC AUSTIN TX 24‐Apr‐09 Subordinated Debentures w/ Exercised Warrants $3 000 000.00 $0.00 $3 408 191 65 Redeemed i

FRONTIER BANCSHARES INC AUSTIN TX 24‐Nov‐09 

FRONTIER BANCSHARES INC AUSTIN TX 6‐Oct‐10 

11 FULTON FINANCIAL CORPORATION LANCASTER PA 23‐Dec‐08 Preferred Stock w/ Warrants $376 500 000.00 $0.00 $416 635 625.00 Redeemed i

FULTON FINANCIAL CORPORATION LANCASTER PA 14‐Jul‐10 

FULTON FINANCIAL CORPORATION LANCASTER PA 8‐Sep‐10 

8 14 GATEWAY BANCSHARES INC. RINGGOLD GA 8‐May‐09 Preferred Stock w/ Exercised Warrants $6 000 000.00 $0.00 $7 260 794 87 Redeemed i

GATEWAY BANCSHARES INC. RINGGOLD GA 13‐Apr‐12 

11 8 14 GEORGIA COMMERCE BANCSHARES INC. ATLANTA GA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $8 700 000.00 $0.00 $10 096 470.83 Redeemed i

GEORGIA COMMERCE BANCSHARES INC. ATLANTA GA 16‐Feb‐11 

8 GEORGIA PRIMARY BANK ATLANTA GA 1‐May‐09 Preferred Stock w/ Exercised Warrants $4 500 000.00 $0.00 $1 576 457.50 Sold i

GEORGIA PRIMARY BANK ATLANTA GA 10‐Feb‐14 

GEORGIA PRIMARY BANK ATLANTA GA 19‐Mar‐14 

8 14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $4 967 000.00 $0.00 $5 699 100.75 Sold i

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 29‐Oct‐12 

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 31‐Oct‐12 

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 11‐Jan‐13 

8 17 91 97 GOLD CANYON BANK GOLD CANYON AZ 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $1 607 000.00 $0.00 $53 859.52 

GOLD CANYON BANK GOLD CANYON AZ 5‐Apr‐13 

11 GOLDMAN SACHS GROUP INC. NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $10 000 000 000.00 $0.00 $11 418 055 555.44 Redeemed i

GOLDMAN SACHS GROUP INC. NEW YORK NY 17‐Jun‐09 

GOLDMAN SACHS GROUP INC. NEW YORK NY 22‐Jul‐09 

8 GOLDWATER BANK N.A. SCOTTSDALE AZ 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $2 568 000.00 $2 568 000.00 $145 750.00 Full investment out

44 8 14 GRAND CAPITAL CORPORATION TULSA OK 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 717 144.78 Redeemed i

GRAND CAPITAL CORPORATION TULSA OK 8‐Sep‐11 

15 GRAND F NANCIAL CORPORATION HATTIESBURG MS 25‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $2 443 320.00 $2 443 320.00 $899 596.70 Full investment out8 GRAND MOUNTAIN BANCSHARES INC. GRANBY CO 29‐May‐09 Preferred Stock w/ Exercised Warrants $3 076 000.00 $3 076 000.00 $0.00 Full investment out

8 14 18 44 GRANDSOUTH BANCORPORATION GREENVILLE SC 9‐Jan‐09 Preferred Stock w/ Warrants $9 000 000.00 $0.00 $17 625 917.08 Redeemed i

GRANDSOUTH BANCORPORATION GREENVILLE SC 11‐Dec‐09 $6 319 000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 8‐Sep‐11 

15 GREAT RIVER HOLDING COMPANY BAXTER MN 17‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $8 400 000.00 $0.00 $11 413 106.46 Sold i

GREAT RIVER HOLDING COMPANY BAXTER MN 11‐Apr‐14 

GREAT RIVER HOLDING COMPANY BAXTER MN 14‐Apr‐14 

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 5‐Dec‐08 Preferred Stock w/ Warrants $58 000 000.00 $0.00 $72 274 419.56 Redeemed i

GREAT SOUTHERN BANCORP SPRINGFIELD MO 18‐Aug‐11 

GREAT SOUTHERN BANCORP SPRINGFIELD MO 21‐Sep‐11 

GREEN BANKSHARES INC. GREENEVILLE TN 23‐Dec‐08 Preferred Stock w/ Warrants $72 278 000.00 $0.00 $74 642 857.78 Sold i

GREEN BANKSHARES INC. GREENEVILLE TN 7‐Sep‐11 

11 8 14 GREEN CIRCLE INVESTMENTS INC. CLIVE IA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 400 000.00 $0.00 $3 036 021.12 Redeemed i

GREEN CIRCLE INVESTMENTS INC. CLIVE IA 14‐Nov‐12 

GREEN CIRCLE INVESTMENTS INC. CLIVE IA 23‐Jan‐13 GREEN CIRCLE INVESTMENTS INC. CLIVE IA 24‐Apr‐13 

11 8 14 GREEN CITY BANCSHARES INC. GREEN CITY MO 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $651 000.00 $0.00 $733 037.33 Redeemed i

GREEN CITY BANCSHARES INC. GREEN CITY MO 14‐Jul‐10 

8 GREER BANCSHARES INCORPORATED GREER SC 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $9 993 000.00 $6 843 000.00 $6 080 852.57 Redeeme

GREER BANCSHARES INCORPORATED GREER SC 19‐Mar‐14 

8 68 97 GREGG BANCSHARES INC. OZARK MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $825 000.00 $0.00 $45 190.00 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

GREGG BANCSHARES INC. OZARK MO 13‐Jul‐12 

45 8 14 GUARANTY BANCORP INC. WOODSVILLE NH 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $6 920 000.00 $0.00 $8 235 040.33 Redeemed i

GUARANTY BANCORP INC. WOODSVILLE NH 15‐Sep‐11 

9 15 36 GUARANTY CAPITAL CORPORATION BELZONI MS 25‐Sep‐09 Subordinated Debentures $14 000 000.00 $0.00 $14 913 299.33 Redeemed i

GUARANTY CAPITAL CORPORATION BELZONI MS 30‐Jul‐10 

11 GUARANTY FEDERAL BANCSHARES INC. SPRINGFIELD MO 30‐Jan‐09 Preferred Stock w/ Warrants $17 000 000.00 $0.00 $21 887 871.44 Sold i

GUARANTY FEDERAL BANCSHARES INC. SPRINGFIELD MO 13‐Jun‐12 

GUARANTY FEDERAL BANCSHARES INC. SPRINGFIELD MO 26‐Apr‐13 

GUARANTY FEDERAL BANCSHARES INC. SPRINGFIELD MO 29‐Apr‐13 

GUARANTY FEDERAL BANCSHARES INC. SPRINGFIELD MO 15‐May‐13 GUARANTY FEDERAL BANCSHARES INC. SPRINGFIELD MO 31‐May‐13 

17 28 70 97 GULFSOUTH PRIVATE BANK DESTIN FL 25‐Sep‐09 Preferred Stock w/ Exercised Warrants $7 500 000.00 $0.00 $757 380.08 

GULFSOUTH PRIVATE BANK DESTIN FL 19‐Oct‐12 

45 8 14 GULFSTREAM BANCSHARES INC. STUART FL 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $7 500 000.00 $0.00 $8 751 541 63 Redeemed i

GULFSTREAM BANCSHARES INC. STUART FL 18‐Aug‐11 

11 8 14 HAMILTON STATE BANCSHARES INC. HOSCHTON GA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $7 000 000.00 $0.00 $8 169 165 89 Redeemed i

HAMILTON STATE BANCSHARES INC. HOSCHTON GA 13‐Apr‐11 

38 HAMPTON ROADS BANKSHARES NC. NORFOLK VA 31‐Dec‐08 Preferred Stock w/ Warrants $80 347 000.00 $0.00 $5 790 608.79 So

HAMPTON ROADS BANKSHARES NC. NORFOLK VA 14‐Apr‐14 

8 9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 17‐Jul‐09 Preferred Stock $6 800 000.00 $6 800 000.00 $282 744.47 Full investment outstan

11 8 14 HAVILAND BANCSHARES INC. HAVILAND KS 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $425 000.00 $0.00 $487 524.22 Redeemed i

HAVILAND BANCSHARES INC. HAVILAND KS 29‐Dec‐10 

11 HAWTHORN BANCSHARES INC. LEE'S SUMMIT MO 19‐Dec‐08 Preferred Stock w/ Warrants $30 255 000.00 $0.00 $36 849 504 67 Redeemed i

HAWTHORN BANCSHARES INC. LEE'S SUMMIT MO 9‐May‐12 HAWTHORN BANCSHARES INC. LEE'S SUMMIT MO 15‐May‐13 

HAWTHORN BANCSHARES INC. LEE'S SUMMIT MO 12‐Jun‐13 

HCSB FINANCIAL CORPORATION LORIS SC 6‐Mar‐09 Preferred Stock w/ Warrants $12 895 000.00 $12 895 000.00 $1 090 702 00 Full investment out

8 17 HEARTLAND BANCSHARES INC. FRANKLIN IN 11‐Sep‐09 Preferred Stock w/ Exercised Warrants $7 000 000.00 $0.00 $8 321 471 08 Redeemed i

HEARTLAND BANCSHARES INC. FRANKLIN IN 17‐Jul‐12 

45 HEARTLAND FINANCIAL USA INC. DUBUQUE IA 19‐Dec‐08 Preferred Stock w/ Warrants $81 698 000.00 $0.00 $94 686 087 22 Redeemed i

HEARTLAND FINANCIAL USA INC. DUBUQUE IA 15‐Sep‐11 

HEARTLAND FINANCIAL USA INC. DUBUQUE IA 28‐Sep‐11 

8 17 45 HERITAGE BANKSHARES INC. NORFOLK VA 25‐Sep‐09 Preferred Stock w/ Exercised Warrants $10 103 000.00 $0.00 $11 353 284.46 Redeemed i

HERITAGE BANKSHARES INC. NORFOLK VA 16‐Mar‐11 

HERITAGE BANKSHARES INC. NORFOLK VA 11‐Aug‐11 

11 HERITAGE COMMERCE CORP. SAN JOSE CA 21‐Nov‐08 Preferred Stock w/ Warrants $40 000 000.00 $0.00 $46 901 266 80 Redeemed i

HERITAGE COMMERCE CORP. SAN JOSE CA 7‐Mar‐12 

HERITAGE COMMERCE CORP. SAN JOSE CA 10‐Jun‐13 

11 16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 21‐Nov‐08 Preferred Stock w/ Warrants $24 000 000.00 $0.00 $26 953 333.33 Redeemed i

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 22‐Dec‐10 

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 17‐Aug‐11 

11 HERITAGE OAKS BANCORP PASO ROBLES CA 20‐Mar‐09 Preferred Stock w/ Warrants $21 000 000.00 $0.00 $27 241 335.26 Redeemed i

HERITAGE OAKS BANCORP PASO ROBLES CA 17‐Jul‐13 

HERITAGE OAKS BANCORP PASO ROBLES CA 7‐Aug‐13 

11 HF FINANCIAL CORP. SIOUX FALLS SD 21‐Nov‐08 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $26 316 666 67 Redeemed i

HF FINANCIAL CORP. SIOUX FALLS SD 3‐Jun‐09 HF FINANCIAL CORP. SIOUX FALLS SD 30‐Jun‐09 

8 8 21 44 HIGHLANDS BANCORP INC. VERNON NJ 8‐May‐09 Preferred Stock w/ Exercised Warrants $3 091 000.00 $0.00 $6 211 926.79 Redeemed i

HIGHLANDS BANCORP INC. VERNON NJ 22‐Dec‐09 $2 359 000.00HIGHLANDS BANCORP INC. VERNON NJ 22‐Sep‐11 

8 HIGHLANDS INDEPENDENT BANCSHARES INC. SEBRING FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $6 700 000.00 $6 700 000.00 $617 712.00 Full investment out11 8 14 HILLTOP COMMUNITY BANCORP INC. SUMMIT NJ 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 467 049 67 Redeemed i

HILLTOP COMMUNITY BANCORP INC. SUMMIT NJ 21‐Apr‐10 HMN FINANCIAL INC. ROCHESTER MN 23‐Dec‐08 Preferred Stock w/ Warrants $26 000 000.00 $0.00 $21 034 187.78 So

HMN FINANCIAL INC. ROCHESTER MN 7‐Feb‐13 

HMN FINANCIAL INC. ROCHESTER MN 8‐Feb‐13 

HMN FINANCIAL INC. ROCHESTER MN 26‐Mar‐13 

11 HOME BANCSHARES INC. CONWAY AR 16‐Jan‐09 Preferred Stock w/ Warrants $50 000 000.00 $0.00 $57 480 555.56 Redeemed i

HOME BANCSHARES INC. CONWAY AR 6‐Jul‐11 

HOME BANCSHARES INC. CONWAY AR 27‐Jul‐11 

8 HOMETOWN BANCORP OF ALABAMA INC. ONEONTA AL 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $3 250 000.00 $0.00 $4 214 202.31 Redeemed i

HOMETOWN BANCORP OF ALABAMA INC. ONEONTA AL 28‐Aug‐13 

8 14 HOMETOWN BANCSHARES INC. CORBIN KY 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1 900 000.00 $0.00 $2 229 801 03 Sold i

HOMETOWN BANCSHARES INC. CORBIN KY 28‐Nov‐12 

HOMETOWN BANCSHARES INC. CORBIN KY 0‐Nov‐12 

HOMETOWN BANCSHARES INC. CORBIN KY 11‐Jan‐13 

HOMETOWN BANCSHARES INC. CORBIN KY 26‐Mar‐13 

8 17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 18‐Sep‐09 Preferred Stock w/ Exercised Warrants $10 000 000.00 $0.00 $11 111 011.94 Sold i

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 31‐Oct‐12 

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 11‐Jan‐13 

11 HOPFED BANCORP HOPKINSVILLE KY 12‐Dec‐08 Preferred Stock w/ Warrants $18 400 000.00 $0.00 $22 354 145.89 Redeemed i

HOPFED BANCORP HOPKINSVILLE KY 19‐Dec‐12 HOPFED BANCORP HOPKINSVILLE KY 16‐Jan‐13 

11 45 HORIZON BANCORP MICHIGAN CITY IN 19‐Dec‐08 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $29 857 321 83 Redeemed i

HORIZON BANCORP MICHIGAN CITY IN 0‐Nov‐10 

HORIZON BANCORP MICHIGAN CITY IN 25‐Aug‐11 HORIZON BANCORP MICHIGAN CITY IN 23‐Nov‐11 

44 8 14 HOWARD BANCORP INC. ELLICOTT CITY MD 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $5 983 000.00 $0.00 $7 119 793 05 Redeemed i

HOWARD BANCORP INC. ELLICOTT CITY MD 22‐Sep‐11 

8 11 14 18 HPK FINANCIAL CORPORATION CHICAGO IL 1‐May‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $10 940 554 65 Redeemed i

HPK FINANCIAL CORPORATION CHICAGO IL 13‐Nov‐09 $5 000 000.00HPK FINANCIAL CORPORATION CHICAGO IL 11‐Dec‐12 

11 HUNT NGTON BANCSHARES COLUMBUS OH 14‐Nov‐08 Preferred Stock w/ Warrants $1 398 071 000.00 $0.00 $1 594 356 808.56 Redeemed i

HUNT NGTON BANCSHARES COLUMBUS OH 22‐Dec‐10 

HUNT NGTON BANCSHARES COLUMBUS OH 19‐Jan‐11 

8 14 HYPERION BANK PHILADELPHIA PA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $1 552 000.00 $0.00 $1 337 166 22 Sold i

HYPERION BANK PHILADELPHIA PA 20‐Dec‐12 

HYPERION BANK PHILADELPHIA PA 11‐Jan‐13 

HYPERION BANK PHILADELPHIA PA 26‐Mar‐13 

8 17 IA BANCORP INC / INDUS AMERICAN BANK ISELIN NJ 18‐Sep‐09 Preferred Stock w/ Exercised Warrants $5 976 000.00 $0.00 $6 907 223 22 Sold i

IA BANCORP INC / INDUS AMERICAN BANK ISELIN NJ 14‐Mar‐14 

IA BANCORP INC / INDUS AMERICAN BANK ISELIN NJ 17‐Mar‐14 

IA BANCORP INC / INDUS AMERICAN BANK ISELIN NJ 25‐Apr‐14 

9 15 36 IBC BANCORP INC. CHICAGO IL 15‐May‐09 Subordinated Debentures $4 205 000.00 $0.00 $4 632 216.32 Redeemed i

IBC BANCORP INC. CHICAGO IL 10‐Sep‐10 

12 16 IBERIABANK CORPORATION LAFAYETTE LA 5‐Dec‐08 Preferred Stock w/ Warrants $90 000 000.00 $0.00 $92 650 000 00 Redeemed i

IBERIABANK CORPORATION LAFAYETTE LA 31‐Mar‐09 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

IBERIABANK CORPORATION LAFAYETTE LA 20‐May‐09 

8 14 IBT BANCORP INC. IRVING TX 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $2 295 000.00 $0.00 $2 936 462.50 Redeemed i

IBT BANCORP INC. IRVING TX 12‐Jun‐13 

11 8 10 IBW FINANCIAL CORPORATION WASHINGTON DC 13‐Mar‐09 Preferred Stock w/ Warrants $6 000 000.00 $0.00 $6 453 067 00 Redeemed i

IBW FINANCIAL CORPORATION WASHINGTON DC 3‐Sep‐10 

44 8 14 ICB FINANCIAL ONTARIO CA 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $6 000 000.00 $0.00 $7 494 458.33 Redeemed i

ICB FINANCIAL ONTARIO CA 1‐Nov‐12 

8 08 IDAHO BANCORP BOISE ID 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $6 900 000.00 $0.00 $124 305.92 

IDAHO BANCORP BOISE ID 24‐Apr‐14 

8 14 18 44 ILL NOIS STATE BANCORP INC. CHICAGO IL 22‐May‐09 Preferred Stock w/ Exercised Warrants $6 272 000.00 $0.00 $11 836 113.40 Redeemed i

ILL NOIS STATE BANCORP INC. CHICAGO IL 29‐Dec‐09 $4 000 000.00

ILL NOIS STATE BANCORP INC. CHICAGO IL 22‐Sep‐11 

8 INDEPENDENCE BANK EAST GREENWICH RI 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $1 065 000.00 $0.00 $1 394 723.17 Redeemed i

INDEPENDENCE BANK EAST GREENWICH RI 16‐Oct‐13 

11 INDEPENDENT BANK CORP. ROCKLAND MA 9‐Jan‐09 Preferred Stock w/ Warrants $78 158 000.00 $0.00 $81 476 093 61 Redeemed i

INDEPENDENT BANK CORP. ROCKLAND MA 22‐Apr‐09 

INDEPENDENT BANK CORP. ROCKLAND MA 27‐May‐09 

29 INDEPENDENT BANK CORPORATION IONIA MI 12‐Dec‐08 Preferred Stock w/ Warrants $72 000 000.00 $0.00 $83 430 000 00 Redeemed i

INDEPENDENT BANK CORPORATION IONIA MI 30‐Aug‐13 

8 22 92 97 INDIANA BANK CORP. DANA IN 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $1 312 000.00 $0.00 $165 139.00 

INDIANA BANK CORP. DANA IN 9‐Apr‐13 

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12‐Dec‐08 Preferred Stock w/ Warrants $21 500 000.00 $0.00 $27 331 250 00 Redeemed i

INDIANA COMMUNITY BANCORP COLUMBUS IN 12‐Sep‐12 

22 52 97 INTEGRA BANK CORPORATION EVANSVILLE IN 27‐Feb‐09 Preferred Stock w/ Warrants $83 586 000.00 $0.00 $1 950 340 00 

INTEGRA BANK CORPORATION EVANSVILLE IN 29‐Jul‐11 

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 19‐Dec‐08 Preferred Stock w/ Warrants $27 000 000.00 $0.00 $33 944 884.23 Redeem

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 20‐Nov‐13 

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 23‐Dec‐08 Preferred Stock w/ Warrants $216 000 000.00 $0.00 $261 538 649.89 Redeemed i

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11‐Jul‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 1‐Nov‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 28‐Nov‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11‐Jun‐13 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 23‐Dec‐08 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $30 035 555.56 So

INTERVEST BANCSHARES CORPORATION NEW YORK NY 24‐Jun‐13 INTERVEST BANCSHARES CORPORATION NEW YORK NY 26‐Jul‐13 

15 71 97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY INC. SEDALIA MO 8‐May‐09 Subordinated Debentures w/ Exercised Warrants $4 000 000.00 $0.00 $174 324.60 

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY INC. SEDALIA MO 19‐Oct‐12 

11 JPMORGAN CHASE & CO. NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $25 000 000 000.00 $0.00 $26 731 202 358.00 Redeemed i

JPMORGAN CHASE & CO. NEW YORK NY 17‐Jun‐09 

JPMORGAN CHASE & CO. NEW YORK NY 16‐Dec‐09 

44 8 14 KATAHDIN BANKSHARES CORP. HOULTON ME 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $10 449 000.00 $0.00 $12 423 046.75 Redeemed i

KATAHDIN BANKSHARES CORP. HOULTON ME 18‐Aug‐11 

11 KEYCORP CLEVELAND OH 14‐Nov‐08 Preferred Stock w/ Warrants $2 500 000 000.00 $0.00 $2 867 222 222.22 Redeemed i

KEYCORP CLEVELAND OH 30‐Mar‐11 

KEYCORP CLEVELAND OH 20‐Apr‐11 

8 KIRKSVILLE BANCORP NC. KIRKSVILLE MO 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $470 000.00 $0.00 $622 228.44 Redeemed i

KIRKSVILLE BANCORP NC. KIRKSVILLE MO 19‐Mar‐14 

8 14 KS BANCORP INC SMITHFIELD NC 21‐Aug‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 137 336 64 Sold i

KS BANCORP INC SMITHFIELD NC 0‐Nov‐12 

KS BANCORP INC SMITHFIELD NC 11‐Jan‐13 

8 11 14 18 36 LAFAYETTE BANCORP INC. OXFORD MS 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $1 998 000.00 $0.00 $4 818 134.50 Redeemed i

LAFAYETTE BANCORP INC. OXFORD MS 29‐Dec‐09 $2 453 000.00

LAFAYETTE BANCORP INC. OXFORD MS 29‐Sep‐10 

11 LAKELAND BANCORP INC. OAK RIDGE NJ 6‐Feb‐09 Preferred Stock w/ Warrants $59 000 000.00 $0.00 $68 260 833.33 Redeemed i

LAKELAND BANCORP INC. OAK RIDGE NJ 4‐Aug‐10 LAKELAND BANCORP INC. OAK RIDGE NJ 16‐Mar‐11 

LAKELAND BANCORP INC. OAK RIDGE NJ 8‐Feb‐12 

LAKELAND BANCORP INC. OAK RIDGE NJ 29‐Feb‐12 

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 27‐Feb‐09 Preferred Stock w/ Warrants $56 044 000.00 $0.00 $60 517 713.33 Redeemed i

LAKELAND FINANCIAL CORPORATION WARSAW IN 9‐Jun‐10 

LAKELAND FINANCIAL CORPORATION WARSAW IN 22‐Nov‐11 

8 14 LAYTON PARK FINANCIAL GROUP INC. MILWAUKEE WI 18‐Dec‐09 Preferred Stock w/ Exercised Warrants $3 000 000.00 $0.00 $2 932 162.50 Sold i

LAYTON PARK FINANCIAL GROUP INC. MILWAUKEE WI 29‐Nov‐12 

LAYTON PARK FINANCIAL GROUP INC. MILWAUKEE WI 11‐Jan‐13 LAYTON PARK FINANCIAL GROUP INC. MILWAUKEE WI 26‐Mar‐13 

11 LCNB CORP. LEBANON OH 9‐Jan‐09 Preferred Stock w/ Warrants $13 400 000.00 $0.00 $14 527 390.33 Redeemed i

LCNB CORP. LEBANON OH 21‐Oct‐09 

LCNB CORP. LEBANON OH 22‐Nov‐11 

11 8 14 LEADER BANCORP NC. ARLINGTON MA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $5 830 000.00 $0.00 $6 731 961 06 Redeemed i

LEADER BANCORP INC. ARLINGTON MA 24‐Nov‐10 

9 48 97 LEGACY BANCORP NC. MILWAUKEE WI 30‐Jan‐09 Preferred Stock $5 498 000.00 $0.00 $355 079.00 

LEGACY BANCORP NC. MILWAUKEE WI 11‐Mar‐11 

45 8 14 LIBERTY BANCSHARES INC. (AR) JONESBORO AR 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $57 500 000.00 $0.00 $68 191 965.77 Redeemed i

LIBERTY BANCSHARES INC. (AR) JONESBORO AR 21‐Jul‐11 

45 8 14 LIBERTY BANCSHARES INC. (MO) SPRINGFIELD MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $21 900 000.00 $0.00 $25 995 452.08 Redeemed i

LIBERTY BANCSHARES INC. (MO) SPRINGFIELD MO 18‐Aug‐11 

8 17 LIBERTY BANCSHARES INC. (TX) FORT WORTH TX 4‐Dec‐09 Preferred Stock w/ Exercised Warrants $6 500 000.00 $6 500 000.00 $1 438 136 22 Full investment out

11 9 36 LIBERTY FINANCIAL SERVICES INC. NEW ORLEANS LA 6‐Feb‐09 Preferred Stock $5 645 000.00 $0.00 $6 106 008.58 Redeemed i

LIBERTY FINANCIAL SERVICES INC. NEW ORLEANS LA 24‐Sep‐10 

8 LIBERTY SHARES INC. HINESVILLE GA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $17 280 000.00 $17 280 000.00 $1 399 560 00 Full investment out11 LINCOLN NATIONAL CORPORATION RADNOR PA 10‐Jul‐09 Preferred Stock w/ Warrants $950 000 000.00 $0.00 $1 209 851 873.70 Redeemed i

LINCOLN NATIONAL CORPORATION RADNOR PA 30‐Jun‐10 LINCOLN NATIONAL CORPORATION RADNOR PA 22‐Sep‐10 LNB BANCORP INC. LORAIN OH 12‐Dec‐08 Preferred Stock w/ Warrants $25 223 000.00 $0.00 $26 893 046.60 Sold i

LNB BANCORP INC. LORAIN OH 19‐Jun‐12 

LNB BANCORP INC. LORAIN OH 18‐Jul‐12 

8 LONE STAR BANK HOUSTON TX 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3 072 000.00 $3 072 000.00 $0.00 Full investment out11 LSB CORPORATION NORTH ANDOVER MA 12‐Dec‐08 Preferred Stock w/ Warrants $15 000 000.00 $0.00 $16 260 000 00 Redeemed i

LSB CORPORATION NORTH ANDOVER MA 8‐Nov‐09 

LSB CORPORATION NORTH ANDOVER MA 16‐Dec‐09 

8 9 17 M&F BANCORP INC. DURHAM NC 26‐Jun‐09 Preferred Stock $11 735 000.00 $0.00 $12 409 762.50 Redeemed i

M&F BANCORP INC. DURHAM NC 20‐Aug‐10 

11 M&T BANK CORPORATION BUFFALO NY 23‐Dec‐08 Preferred Stock w/ Warrants $600 000 000.00 $0.00 $718 392 161.34 Redeemed i

M&T BANK CORPORATION BUFFALO NY 18‐May‐11 

M&T BANK CORPORATION BUFFALO NY 21‐Aug‐12 

M&T BANK CORPORATION BUFFALO NY 17‐Dec‐12 

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 24‐Apr‐09 Preferred Stock w/ Warrants $11 000 000.00 $0.00 $13 521 828.15 Sold i
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 29‐Aug‐12 MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 19‐Dec‐12 

8 MADISON FINANCIAL CORPORATION RICHMOND KY 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 370 000.00 $0.00 $3 773 495 65 Sold i

MADISON FINANCIAL CORPORATION RICHMOND KY 19‐Nov‐13 

MADISON FINANCIAL CORPORATION RICHMOND KY 6‐Jan‐14 

44 11 8 MAGNA BANK MEMPHIS TN 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $13 795 000.00 $0.00 $16 146 467.87 Redeemed i

MAGNA BANK MEMPHIS TN 24‐Nov‐09 

MAGNA BANK MEMPHIS TN 8‐Jun‐11 MAGNA BANK MEMPHIS TN 18‐Aug‐11 

8 14 MAINLINE BANCORP INC. EBENSBURG PA 29‐Dec‐09 Preferred Stock w/ Exercised Warrants $4 500 000.00 $0.00 $5 263 187.50 Redeemed i

MAINLINE BANCORP INC. EBENSBURG PA 9‐Mar‐12 

MAINSOURCE FINANCIAL GROUP INC. GREENSBURG IN 16‐Jan‐09 Preferred Stock w/ Warrants $57 000 000.00 $0.00 $62 949 121.28 Sold i

MAINSOURCE FINANCIAL GROUP INC. GREENSBURG IN 3‐Apr‐12 

MAINSOURCE FINANCIAL GROUP INC. GREENSBURG IN 11‐Jun‐13 

11 MANHATTAN BANCORP EL SEGUNDO CA 5‐Dec‐08 Preferred Stock w/ Warrants $1 700 000.00 $0.00 $1 829 711.12 Redeemed i

MANHATTAN BANCORP EL SEGUNDO CA 16‐Sep‐09 

MANHATTAN BANCORP EL SEGUNDO CA 14‐Oct‐09 

15 14 MANHATTAN BANCSHARES INC. MANHATTAN IL 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $2 639 000.00 $0.00 $3 438 793.11 Sold i

MANHATTAN BANCSHARES INC. MANHATTAN IL 10‐Dec‐12 

MANHATTAN BANCSHARES INC. MANHATTAN IL 11‐Dec‐12 MANHATTAN BANCSHARES INC. MANHATTAN IL 11‐Jan‐13 

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 000 000.00 $3 000 000.00 $235 713.00 Full investment out

8 MARKET BANCORPORATION NC. NEW MARKET MN 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 060 000.00 $2 060 000.00 $138 778.00 Full investment out

15 14 MARKET STREET BANCSHARES NC. MT. VERNON IL 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $20 300 000.00 $0.00 $24 429 245.84 Sold i

MARKET STREET BANCSHARES INC. MT. VERNON IL 9‐Aug‐12 MARKET STREET BANCSHARES INC. MT. VERNON IL 10‐Aug‐12 

MARKET STREET BANCSHARES INC. MT. VERNON IL 11‐Sep‐12 

8 14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $35 500 000.00 $0.00 $33 835 943.42 Sold i

MARQUETTE NATIONAL CORPORATION CHICAGO IL 7‐Aug‐12 

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9‐Aug‐12 

MARQUETTE NATIONAL CORPORATION CHICAGO IL 10‐Aug‐12 MARQUETTE NATIONAL CORPORATION CHICAGO IL 11‐Sep‐12 

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 14‐Nov‐08 Preferred Stock w/ Warrants $1 715 000 000.00 $0.00 $1 944 772 916.66 Redeemed i

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 5‐Jul‐11 

8 MARYLAND FINANCIAL BANK TOWSON MD 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $1 700 000.00 $1 700 000.00 $313 465.50 Full investment out

11 MB FINANCIAL INC. CHICAGO IL 5‐Dec‐08 Preferred Stock w/ Warrants $196 000 000.00 $0.00 $229 613 072.00 Redeemed i

MB FINANCIAL INC. CHICAGO IL 14‐Mar‐12 

MB FINANCIAL INC. CHICAGO IL 2‐May‐12 

8 45 14 MCLEOD BANCSHARES INC. SHOREWOOD MN 20‐Nov‐09 Preferred Stock w/ Exercised Warrants $6 000 000.00 $0.00 $6 870 433.33 Redeemed i

MCLEOD BANCSHARES INC. SHOREWOOD MN 18‐Aug‐11 

8 14 18 44 MEDALLION BANK SALT LAKE CITY UT 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $11 800 000.00 $0.00 $24 460 674.81 Redeemed i

MEDALLION BANK SALT LAKE CITY UT 22‐Dec‐09 $9 698 000.00

MEDALLION BANK SALT LAKE CITY UT 21‐Jul‐11 

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 15‐May‐09 Preferred Stock w/ Warrants $21 000 000.00 $0.00 $31 631 120.56 Redeemed i

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4‐Apr‐12 

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6‐Jun‐12 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 3‐Jul‐12 

44 8 14 MERCANTILE CAPITAL CORPORATION BOSTON MA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3 500 000.00 $0.00 $4 150 815 03 Redeemed i

MERCANTILE CAPITAL CORPORATION BOSTON MA 4‐Aug‐11 

56 8 14 MERCHANTS & PLANTERS BANCSHARES INC. TOONE TN 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $1 881 000.00 $0.00 $2 231 560 00 Redeemed i

MERCHANTS & PLANTERS BANCSHARES INC. TOONE TN 7‐Sep‐11 

8 44 14 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 19‐Jun‐09 Preferred Stock w/ Exercised Warrants $3 510 000.00 $0.00 $4 110 668.47 Redeemed i

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 8‐Sep‐11 

8 8 MERIDIAN BANK DEVON PA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $6 200 000.00 $0.00 $13 582 165 84 Sold i

MERIDIAN BANK DEVON PA 11‐Dec‐09 $6 335 000.00

MERIDIAN BANK DEVON PA 17‐Mar‐14 MERIDIAN BANK DEVON PA 25‐Apr‐14 

8 14 METRO CITY BANK DORAVILLE GA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $7 700 000.00 $0.00 $8 806 297 80 Sold i

METRO CITY BANK DORAVILLE GA 29‐Oct‐12 

METRO CITY BANK DORAVILLE GA 1‐Nov‐12 

METRO CITY BANK DORAVILLE GA 11‐Jan‐13 

METROCORP BANCSHARES INC. HOUSTON TX 16‐Jan‐09 Preferred Stock w/ Warrants $45 000 000.00 $0.00 $53 406 628.25 Sold i

METROCORP BANCSHARES INC. HOUSTON TX 3‐Jul‐12 METROCORP BANCSHARES INC. HOUSTON TX 11‐Jun‐13 

8 42 METROPOLITAN BANK GROUP INC. CHICAGO IL 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $71 526 000.00 $0.00 $27 172 726.72 Sold i

METROPOLITAN BANK GROUP INC. CHICAGO IL 28‐Jun‐13 

8 8 METROPOLITAN CAPITAL BANCORP INC. CHICAGO IL 10‐Apr‐09 Preferred Stock w/ Warrants $2 040 000.00 $4 388 000.00 $1 036 234.44 Full investment out

METROPOLITAN CAPITAL BANCORP INC. CHICAGO IL 20‐Nov‐09 $2 348 000.00

11 MID PENN BANCORP INC./MID PENN BANK MILLERSBURG PA 19‐Dec‐08 Preferred Stock w/ Warrants $10 000 000.00 $0.00 $12 070 979.20 Redeemed i

MID PENN BANCORP INC./MID PENN BANK MILLERSBURG PA 28‐Dec‐12 

MID PENN BANCORP INC./MID PENN BANK MILLERSBURG PA 23‐Jan‐13 

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 30‐Jan‐09 Preferred Stock w/ Warrants $22 000 000.00 $0.00 $23 287 945.11 Redeemed i

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 23‐Dec‐09 

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 8‐Nov‐11 

11 8 14 MIDLAND STATES BANCORP INC. EFFINGHAM IL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $10 189 000.00 $0.00 $11 206 989.34 Redeemed i

MIDLAND STATES BANCORP INC. EFFINGHAM IL 23‐Dec‐09 

44 MIDSOUTH BANCORP INC. LAFAYETTE LA 9‐Jan‐09 Preferred Stock w/ Warrants $20 000 000.00 $0.00 $22 834 334.78 Redeemed i

MIDSOUTH BANCORP INC. LAFAYETTE LA 25‐Aug‐11 

MIDSOUTH BANCORP INC. LAFAYETTE LA 22‐Nov‐11 

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $5 222 000.00 $0.00 $3 520 137.55 Sold i

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 19‐Nov‐13 

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 6‐Jan‐14 

22 27 97 MIDWEST BANC HOLDINGS INC. MELROSE PARK IL 5‐Dec‐08 Preferred Stock w/ Warrants $84 784 000.00 $0.00 $824 288.89 

MIDWEST BANC HOLDINGS INC. MELROSE PARK IL 14‐May‐10 

11 8 14 MIDWEST REGIONAL BANCORP INC. / THE BANK OF OTTERVILLE FESTUS MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $700 000.00 $0.00 $763 294.14 Redeemed i

MIDWEST REGIONAL BANCORP INC. / THE BANK OF OTTERVILLE FESTUS MO 0‐Nov‐09 

11 MIDWESTONE FINANCIAL GROUP INC. IOWA CITY IA 6‐Feb‐09 Preferred Stock w/ Warrants $16 000 000.00 $0.00 $18 933 333.33 Redeemed i

MIDWESTONE FINANCIAL GROUP INC. IOWA CITY IA 6‐Jul‐11 

MIDWESTONE FINANCIAL GROUP INC. IOWA CITY IA 27‐Jul‐11 

11 8 14 MID‐WISCONSIN FINANCIAL SERVICES INC. MEDFORD WI 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $10 000 000.00 $0.00 $12 844 226.31 Redeemed i

MID‐WISCONSIN FINANCIAL SERVICES INC. MEDFORD WI 26‐Apr‐13 

8 MILLENNIUM BANCORP INC. EDWARDS CO 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $7 260 000.00 $0.00 $4 296 561.73 Sold i

MILLENNIUM BANCORP INC. EDWARDS CO 14‐Aug‐12 

11 9 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 9‐Jan‐09 Preferred Stock $5 116 000.00 $0.00 $5 875 583 89 Redeemed i

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 28‐Dec‐11 

11 9 36 MISSION VALLEY BANCORP SUN VALLEY CA 23‐Dec‐08 Preferred Stock $5 500 000.00 $0.00 $5 956 041 66 Redeemed i

MISSION VALLEY BANCORP SUN VALLEY CA 20‐Aug‐10 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

11 8 14 MONADNOCK BANCORP INC. PETERBOROUGH NH 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $1 834 000.00 $0.00 $2 339 348 60 Redeemed i

MONADNOCK BANCORP INC. PETERBOROUGH NH 28‐Dec‐12 

98 MONARCH COMMUNITY BANCORP INC. COLDWATER MI 6‐Feb‐09 Preferred Stock w/ Warrants $6 785 000.00 $0.00 $4 808 121 00 Sold i

MONARCH COMMUNITY BANCORP INC. COLDWATER MI 15‐Nov‐13 

12 16 MONARCH FINANCIAL HOLDINGS INC. CHESAPEAKE VA 19‐Dec‐08 Preferred Stock w/ Warrants $14 700 000.00 $0.00 $15 703 166 66 Redeemed i

MONARCH FINANCIAL HOLDINGS INC. CHESAPEAKE VA 23‐Dec‐09 

MONARCH FINANCIAL HOLDINGS INC. CHESAPEAKE VA 10‐Feb‐10 

45 8 14 MONEYTREE CORPORATION LENOIR CITY TN 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $9 516 000.00 $0.00 $11 291 481.00 Redeemed i

MONEYTREE CORPORATION LENOIR CITY TN 15‐Sep‐11 

44 8 14 MONUMENT BANK BETHESDA MD 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $4 734 000.00 $0.00 $5 623 958.50 Redeemed i

MONUMENT BANK BETHESDA MD 11‐Aug‐11 

11 MORGAN STANLEY NEW YORK NY 28‐Oct‐08 Preferred Stock w/ Warrants $10 000 000 000.00 $0.00 $11 268 055 555.1 Redeemed i

MORGAN STANLEY NEW YORK NY 17‐Jun‐09 

MORGAN STANLEY NEW YORK NY 12‐Aug‐09 

11 8 14 MORRILL BANCSHARES INC. MERRIAM KS 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $13 000 000.00 $0.00 $15 429 122 22 Redeemed i

MORRILL BANCSHARES INC. MERRIAM KS 20‐Jul‐11 

11 8 14 MOSCOW BANCSHARES INC. MOSCOW TN 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $6 216 000.00 $0.00 $7 803 377.38 Redeemed i

MOSCOW BANCSHARES INC. MOSCOW TN 25‐Apr‐12 MOSCOW BANCSHARES INC. MOSCOW TN 5‐Dec‐12 

8 14 MOUNTAIN VALLEY BANCSHARES NC. CLEVELAND GA 25‐Sep‐09 Preferred Stock w/ Exercised Warrants $3 300 000.00 $0.00 $4 069 975.55 Sold i

MOUNTAIN VALLEY BANCSHARES NC. CLEVELAND GA 22‐Jul‐13 MOUNTAIN VALLEY BANCSHARES NC. CLEVELAND GA 12‐Sep‐13 

11 8 14 MS FINANCIAL INC. KINGWOOD TX 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $7 723 000.00 $0.00 $9 206 289.90 Redeemed i

MS FINANCIAL INC. KINGWOOD TX 19‐Oct‐11 

45 MUTUALFIRST FINANCIAL INC. MUNCIE IN 23‐Dec‐08 Preferred Stock w/ Warrants $32 382 000.00 $0.00 $37 608 789.00 Redeemed i

MUTUALFIRST FINANCIAL INC. MUNCIE IN 25‐Aug‐11 

MUTUALFIRST FINANCIAL INC. MUNCIE IN 28‐Sep‐11 

8 NAPLES BANCORP INC. NAPLES FL 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $956 066.67 Sold i

NAPLES BANCORP INC. NAPLES FL 12‐Jul‐12 

59 11 NARA BANCORP INC. / BBCN BANCORP INC. LOS ANGELES CA 21‐Nov‐08 Preferred Stock w/ Warrants $67 000 000.00 $0.00 $81 249 317.20 Redeemed i

NARA BANCORP INC. / BBCN BANCORP INC. LOS ANGELES CA 27‐Jun‐12 

NARA BANCORP INC. / BBCN BANCORP INC. LOS ANGELES CA 8‐Aug‐12 

8 14 NATIONAL BANCSHARES INC. BETTENDORF IA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $24 664 000.00 $0.00 $21 471 087.90 Sold i

NATIONAL BANCSHARES INC. BETTENDORF IA 19‐Feb‐13 NATIONAL BANCSHARES INC. BETTENDORF IA 20‐Feb‐13 

NATIONAL BANCSHARES INC. BETTENDORF IA 26‐Mar‐13 

11 16 NATIONAL PENN BANCSHARES INC. BOYERTOWN PA 12‐Dec‐08 Preferred Stock w/ Warrants $150 000 000.00 $0.00 $167 958 333.33 Redeemed i

NATIONAL PENN BANCSHARES INC. BOYERTOWN PA 16‐Mar‐11 NATIONAL PENN BANCSHARES INC. BOYERTOWN PA 13‐Apr‐11 

15 11 14 NATIONWIDE BANKSHARES INC. WEST POINT NE 11‐Dec‐09 Subordinated Debentures w/ Exercised Warrants $2 000 000.00 $0.00 $2 276 190 00 Redeemed i

NATIONWIDE BANKSHARES INC. WEST POINT NE 29‐Dec‐10 

8 42 NC BANCORP INC. / METROPOLITAN BANK GROUP INC. CHICAGO IL 26‐Jun‐09 Preferred Stock w/ Warrants $6 880 000.00 $0.00 $2 613 714 23 Sold i

NC BANCORP INC. / METROPOLITAN BANK GROUP INC. CHICAGO IL 28‐Jun‐13 

8 NCAL BANCORP LOS ANGELES CA 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $10 000 000.00 $10 000 000.00 $1 311 027.78 Full investment out15 11 14 NEMO BANCSHARES INC. MADISON MO 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $2 330 000.00 $0.00 $3 199 347.39 Redeemed i

NEMO BANCSHARES INC. MADISON MO 24‐Apr‐13 

44 NEW HAMPSHIRE THRIFT BANCSHARES INC. NEWPORT NH 16‐Jan‐09 Preferred Stock w/ Warrants $10 000 000.00 $0.00 $12 041 266 67 Redeemed i

NEW HAMPSHIRE THRIFT BANCSHARES INC. NEWPORT NH 25‐Aug‐11 

NEW HAMPSHIRE THRIFT BANCSHARES INC. NEWPORT NH 15‐Feb‐12 

11 8 14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $267 274 000.00 $0.00 $346 794 005.83 Redeemed i

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 24‐Jul‐13 

NEWBRIDGE BANCORP GREENSBORO NC 12‐Dec‐08 Preferred Stock w/ Warrants $52 372 000.00 $0.00 $70 087 060.35 Sold i

NEWBRIDGE BANCORP GREENSBORO NC 26‐Apr‐13 NEWBRIDGE BANCORP GREENSBORO NC 29‐Apr‐13 NEWBRIDGE BANCORP GREENSBORO NC 15‐May‐13 NEWBRIDGE BANCORP GREENSBORO NC 31‐May‐13 

44 8 14 NICOLET BANKSHARES INC. GREEN BAY WI 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $14 964 000.00 $0.00 $17 904 842.66 Redeemed i

NICOLET BANKSHARES INC. GREEN BAY WI 1‐Sep‐11 

11 NORTH CENTRAL BANCSHARES INC. FORT DODGE IA 9‐Jan‐09 Preferred Stock w/ Warrants $10 200 000.00 $0.00 $12 294 583.33 Redeemed i

NORTH CENTRAL BANCSHARES INC. FORT DODGE IA 14‐Dec‐11 

NORTH CENTRAL BANCSHARES INC. FORT DODGE IA 11‐Jan‐12 

11 NORTHEAST BANCORP LEWISTON ME 12‐Dec‐08 Preferred Stock w/ Warrants $4 227 000.00 $0.00 $5 159 181.33 Redeemed i

NORTHEAST BANCORP LEWISTON ME 28‐Nov‐12 

NORTHEAST BANCORP LEWISTON ME 28‐Dec‐12 

8 11 14 18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 15‐May‐09 Preferred Stock w/ Warrants $1 341 000.00 $0.00 $2 987 782.33 Redeemed i

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 18‐Dec‐09 $1 230 000.00

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 28‐Mar‐12 

109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 20‐Feb‐09 Preferred Stock w/ Warrants $17 211 000.00 $0.00 $6 442 172.50 Sold i

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 30‐Apr‐14 

11 NORTHERN TRUST CORPORATION CHICAGO IL 14‐Nov‐08 Preferred Stock w/ Warrants $1 576 000 000.00 $0.00 $1 709 623 333.35 Redeemed i

NORTHERN TRUST CORPORATION CHICAGO IL 17‐Jun‐09 NORTHERN TRUST CORPORATION CHICAGO IL 26‐Aug‐09 

44 8 14 NORTHWAY FINANCIAL INC. BERLIN NH 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $10 000 000.00 $0.00 $11 930 624.67 Redeemed i

NORTHWAY FINANCIAL INC. BERLIN NH 15‐Sep‐11 

8 14 NORTHWEST BANCORPORATION INC. SPOKANE WA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $10 500 000.00 $0.00 $11 891 847.50 Sold i

NORTHWEST BANCORPORATION INC. SPOKANE WA 8‐Mar‐13 NORTHWEST BANCORPORATION INC. SPOKANE WA 11‐Mar‐13 NORTHWEST BANCORPORATION INC. SPOKANE WA 9‐Apr‐13 

11 8 14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1 992 000.00 $0.00 $2 380 393 00 Redeemed i

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 9‐Jan‐13 

OAK RIDGE FINANCIAL SERVICES INC. OAK RIDGE NC 30‐Jan‐09 Preferred Stock w/ Warrants $7 700 000.00 $0.00 $8 592 336 00 Sold i

OAK RIDGE FINANCIAL SERVICES INC. OAK RIDGE NC 31‐Oct‐12 

OAK RIDGE FINANCIAL SERVICES INC. OAK RIDGE NC 11‐Jan‐13 

OAK RIDGE FINANCIAL SERVICES INC. OAK RIDGE NC 6‐Feb‐13 

45 OAK VALLEY BANCORP OAKDALE CA 5‐Dec‐08 Preferred Stock w/ Warrants $13 500 000.00 $0.00 $15 871 250.00 Redeemed i

OAK VALLEY BANCORP OAKDALE CA 11‐Aug‐11 

OAK VALLEY BANCORP OAKDALE CA 28‐Sep‐11 

12 16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 16‐Jan‐09 Preferred Stock w/ Warrants $38 263 000.00 $0.00 $40 521 918.61 Redeemed i

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 30‐Dec‐09 

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 3‐Feb‐10 

8 OJAI COMMUNITY BANK OJAI CA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $2 080 000.00 $0.00 $2 654 758 89 Redeemed i

OJAI COMMUNITY BANK OJAI CA 25‐Sep‐13 

11 OLD LINE BANCSHARES INC. BOWIE MD 5‐Dec‐08 Preferred Stock w/ Warrants $7 000 000.00 $0.00 $7 438 888 89 Redeemed i

OLD LINE BANCSHARES INC. BOWIE MD 15‐Jul‐09 

OLD LINE BANCSHARES INC. BOWIE MD 2‐Sep‐09 

11 OLD NATIONAL BANCORP EVANSVILLE IN 12‐Dec‐08 Preferred Stock w/ Warrants $100 000 000.00 $0.00 $102 713 888.89 Redeemed i

OLD NATIONAL BANCORP EVANSVILLE IN 31‐Mar‐09 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

OLD NATIONAL BANCORP EVANSVILLE IN 8‐May‐09 OLD SECOND BANCORP INC. AURORA IL 16‐Jan‐09 Preferred Stock w/ Warrants $73 000 000.00 $0.00 $31 423 238.49 Sold i

OLD SECOND BANCORP INC. AURORA IL 11‐Mar‐13 

OLD SECOND BANCORP INC. AURORA IL 26‐Mar‐13 

OLD SECOND BANCORP INC. AURORA IL 27‐Mar‐13 

OLD SECOND BANCORP INC. AURORA IL 9‐Apr‐13 

OLD SECOND BANCORP INC. AURORA IL 11‐Jun‐13 

8 14 OMEGA CAPITAL CORP. LAKEWOOD CO 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $2 816 000.00 $0.00 $3 403 603.15 Sold i

OMEGA CAPITAL CORP. LAKEWOOD CO 19‐Jul‐13 

OMEGA CAPITAL CORP. LAKEWOOD CO 22‐Jul‐13 

OMEGA CAPITAL CORP. LAKEWOOD CO 12‐Sep‐13 

8 51 97 ONE GEORGIA BANK ATLANTA GA 8‐May‐09 Preferred Stock w/ Exercised Warrants $5 500 000.00 $0.00 $0.00 

ONE GEORGIA BANK ATLANTA GA 15‐Jul‐11 

8 9 ONE UNITED BANK BOSTON MA 19‐Dec‐08 Preferred Stock $12 063 000.00 $12 063 000.00 $93 823.33 Full investment outstan

15 17 ONEFINANCIAL CORPORATION LITTLE ROCK AR 5‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $17 300 000.00 $17 300 000.00 $3 782 990.59 Full investment out

8 OREGON BANCORP INC. SALEM OR 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $3 216 000.00 $0.00 $4 116 801.92 Sold i

OREGON BANCORP INC. SALEM OR 18‐Oct‐13 

OREGON BANCORP INC. SALEM OR 21‐Oct‐13 

OREGON BANCORP INC. SALEM OR 6‐Jan‐14 

15 11 14 OSB FINANCIAL SERVICES INC. ORANGE TX 1‐May‐09 Subordinated Debentures w/ Exercised Warrants $6 100 000.00 $0.00 $7 662 314.53 Redeemed i

OSB FINANCIAL SERVICES INC. ORANGE TX 5‐Oct‐11 

35 11 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 21‐Nov‐08 Preferred Stock w/ Warrants $180 634 000.00 $0.00 $168 483 804.20 Sold i

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 23‐Feb‐11 

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 0‐Nov‐12 

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $16 200 000.00 $0.00 $21 003 597.96 Sold i

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19‐Nov‐13 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 6‐Jan‐14 

45 8 14 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $11 600 000.00 $0.00 $13 821 963.89 Redeemed i

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 28‐Jul‐11 

8 26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $4 120 000.00 $0.00 $18 087.94 

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 11‐Feb‐10 

8 PACIFIC COMMERCE BANK LOS ANGELES CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $4 060 000.00 $0.00 $2 991 670 80 Sold i

PACIFIC COMMERCE BANK LOS ANGELES CA 10‐Feb‐14 

PACIFIC COMMERCE BANK LOS ANGELES CA 19‐Mar‐14 

85 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP INC. SEATTLE WA 12‐Dec‐08 Preferred Stock w/ Warrants $6 500 000.00 $0.00 $7 937 744.97 Redeem

PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP INC. SEATTLE WA 15‐Feb‐13 

8 14 PARK BANCORPORATION INC. MADISON WI 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $23 200 000.00 $0.00 $22 020 064. 0 Sold i

PARK BANCORPORATION INC. MADISON WI 7‐Aug‐12 

PARK BANCORPORATION INC. MADISON WI 9‐Aug‐12 PARK BANCORPORATION INC. MADISON WI 10‐Aug‐12 PARK BANCORPORATION INC. MADISON WI 11‐Sep‐12 

11 PARK NATIONAL CORPORATION NEWARK OH 23‐Dec‐08 Preferred Stock w/ Warrants $100 000 000.00 $0.00 $119 536 844.44 Redeemed i

PARK NATIONAL CORPORATION NEWARK OH 25‐Apr‐12 

PARK NATIONAL CORPORATION NEWARK OH 2‐May‐12 

PARKE BANCORP INC. SEWELL NJ 30‐Jan‐09 Preferred Stock w/ Warrants $16 288 000.00 $0.00 $16 365 554.76 Sold i

PARKE BANCORP INC. SEWELL NJ 28‐Nov‐12 

PARKE BANCORP INC. SEWELL NJ 29‐Nov‐12 

PARKE BANCORP INC. SEWELL NJ 11‐Jan‐13 

PARKE BANCORP INC. SEWELL NJ 12‐Jun‐13 

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 23‐Dec‐08 Preferred Stock w/ Warrants $31 762 000.00 $0.00 $36 570 413.89 Redeem

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 3‐Jan‐12 

8 21 11 PASCACK BANCORP INC. WESTWOOD NJ 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $3 756 000.00 $0.00 $4 497 312 67 Redeemed i

PASCACK BANCORP INC. WESTWOOD NJ 19‐Oct‐11 

8 PATAPSCO BANCORP INC. DUNDALK MD 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $6 000 000.00 $6 000 000.00 $377 866.67 Full investment out

44 PATHFINDER BANCORP INC. OSWEGO NY 11‐Sep‐09 Preferred Stock w/ Warrants $6 771 000.00 $0.00 $7 976 328 84 Redeemed i

PATHFINDER BANCORP INC. OSWEGO NY 1‐Sep‐11 

PATHFINDER BANCORP INC. OSWEGO NY 1‐Feb‐12 

8 14 PATHWAY BANCORP CAIRO NE 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 727 000.00 $0.00 $4 628 862.77 Sold i

PATHWAY BANCORP CAIRO NE 24‐Jun‐13 

PATHWAY BANCORP CAIRO NE 26‐Jul‐13 

8 PATRIOT BANCSHARES NC. HOUSTON TX 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $26 038 000.00 $0.00 $34 138 915.14 Sold i

PATRIOT BANCSHARES INC. HOUSTON TX 11‐Apr‐14 

PATRIOT BANCSHARES INC. HOUSTON TX 14‐Apr‐14 

8 11 14 PATTERSON BANCSHARES INC. PATTERSON LA 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $3 690 000.00 $0.00 $4 692 022.77 Redeemed i

PATTERSON BANCSHARES INC. PATTERSON LA 7‐Mar‐12 

PATTERSON BANCSHARES INC. PATTERSON LA 22‐Aug‐12 

PATTERSON BANCSHARES INC. PATTERSON LA 5‐Dec‐12 

PATTERSON BANCSHARES INC. PATTERSON LA 8‐May‐13 

PATTERSON BANCSHARES INC. PATTERSON LA 5‐Jun‐13 

11 PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 9‐Jan‐09 Preferred Stock w/ Warrants $28 685 000.00 $0.00 $32 075 739 67 Redeemed i

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 6‐Jan‐10 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 2‐Mar‐11 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 11‐Jan‐12 PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4‐Apr‐12 

44 8 14 PENN LIBERTY FINANCIAL CORP. WAYNE PA 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $9 960 000.00 $0.00 $11 745 689.33 Redeemed i

PENN LIBERTY FINANCIAL CORP. WAYNE PA 1‐Sep‐11 

11 PEOPLES BANCORP (OH) MARIETTA OH 30‐Jan‐09 Preferred Stock w/ Warrants $39 000 000.00 $0.00 $44 926 557.48 Redeemed i

PEOPLES BANCORP (OH) MARIETTA OH 2‐Feb‐11 

PEOPLES BANCORP (OH) MARIETTA OH 28‐Dec‐11 

PEOPLES BANCORP (OH) MARIETTA OH 15‐Feb‐12 

56 8 14 PEOPLES BANCORP (WA) LYNDEN WA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $18 000 000.00 $0.00 $21 325 250.00 Redeemed i

PEOPLES BANCORP (WA) LYNDEN WA 3‐Aug‐11 PEOPLES BANCORP OF NORTH CAROLINA INC. NEWTON NC 23‐Dec‐08 Preferred Stock w/ Warrants $25 054 000.00 $0.00 $27 877 966. 6 Sold i

PEOPLES BANCORP OF NORTH CAROLINA INC. NEWTON NC 3‐Jul‐12 

PEOPLES BANCORP OF NORTH CAROLINA INC. NEWTON NC 8‐Aug‐12 

8 14 PEOPLES BANCORPORATION INC. EASLEY SC 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $12 660 000.00 $0.00 $15 362 909.75 Redeemed i

PEOPLES BANCORPORATION INC. EASLEY SC 24‐Apr‐12 

8 14 PEOPLES BANCSHARES OF TN INC. MADISONVILLE TN 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 900 000.00 $0.00 $3 809 874.42 Sold i

PEOPLES BANCSHARES OF TN INC. MADISONVILLE TN 31‐Oct‐12 

PEOPLES BANCSHARES OF TN INC. MADISONVILLE TN 11‐Jan‐13 

8 PEOPLESSOUTH BANCSHARES INC. COLQUITT GA 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $12 325 000.00 $0.00 $15 985 994.66 Redeemed i

PEOPLESSOUTH BANCSHARES INC. COLQUITT GA 18‐Sep‐13 

8 17 45 PFSB BANCORPORATION INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 11‐Sep‐09 Preferred Stock w/ Exercised Warrants $1 500 000.00 $0.00 $1 730 162 66 Redeemed i

PFSB BANCORPORATION INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 25‐Aug‐11 

11 9 36 PGB HOLDINGS INC. CHICAGO IL 6‐Feb‐09 Preferred Stock $3 000 000.00 $0.00 $3 227 916.67 Redeemed i

PGB HOLDINGS INC. CHICAGO IL 13‐Aug‐10 

8 46 97 PIERCE COUNTY BANCORP TACOMA WA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $6 800 000.00 $0.00 $207 947.78 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

PIERCE COUNTY BANCORP TACOMA WA 5‐Nov‐10 

8 69 PINNACLE BANK HOLDING COMPANY INC. ORANGE CITY FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $4 389 000.00 $4 389 000.00 $284 999.00 Full investment out11 PINNACLE FINANCIAL PARTNERS INC. NASHVILLE TN 12‐Dec‐08 Preferred Stock w/ Warrants $95 000 000.00 $0.00 $111 918 194.45 Redeemed i

PINNACLE FINANCIAL PARTNERS INC. NASHVILLE TN 28‐Dec‐11 

PINNACLE FINANCIAL PARTNERS INC. NASHVILLE TN 20‐Jun‐12 PINNACLE FINANCIAL PARTNERS INC. NASHVILLE TN 18‐Jul‐12 

44 8 14 PLAINS CAPITAL CORPORATION DALLAS TX 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $87 631 000.00 $0.00 $105 252 939.77 Redeemed i

PLAINS CAPITAL CORPORATION DALLAS TX 27‐Sep‐11 

15 17 PLATO HOLDINGS INC. SAINT PAUL MN 17‐Jul‐09 Subordinated Debentures w/ Exercised Warrants $2 500 000.00 $0.00 $3 103 618.40 Sold i

PLATO HOLDINGS INC. SAINT PAUL MN 26‐Apr‐13 

PLATO HOLDINGS INC. SAINT PAUL MN 29‐Apr‐13 

PLATO HOLDINGS INC. SAINT PAUL MN 31‐May‐13 PLUMAS BANCORP QUINCY CA 30‐Jan‐09 Preferred Stock w/ Warrants $11 949 000.00 $0.00 $13 764 140.41 Sold i

PLUMAS BANCORP QUINCY CA 29‐Apr‐13 PLUMAS BANCORP QUINCY CA 22‐May‐13 

PLUMAS BANCORP QUINCY CA 31‐May‐13 

20 POPULAR INC. SAN JUAN PR 5‐Dec‐08 Preferred Stock w/ Warrants $935 000 000.00 $935 000 000.00 $250 256 250.00 Full investment out

PORTER BANCORP INC.(PBI) LOUISVILLE KY LOUISVILLE KY 21‐Nov‐08 Preferred Stock w/ Warrants $35 000 000.00 $35 000 000.00 $4 783 333.33 Full investment out

8 PRAIRIE STAR BANCSHARES INC. OLATHE KS 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $2 800 000.00 $2 800 000.00 $132 253.00 Full investment out

9 15 36 PREMIER BANCORP INC. WILMETTE IL 8‐May‐09 Subordinated Debentures $6 784 000.00 $0.00 $7 444 215.12 Redeemed i

PREMIER BANCORP INC. WILMETTE IL 13‐Aug‐10 

8 22 97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 20‐Mar‐09 Preferred Stock w/ Exercised Warrants $9 500 000.00 $0.00 $467 412.50 

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 14‐Aug‐12 PREMIER FINANCIAL BANCORP INC. HUNTINGTON WV 2‐Oct‐09 Preferred Stock w/ Warrants $22 252 000.00 $0.00 $23 052 240 29 So

PREMIER FINANCIAL BANCORP INC. HUNTINGTON WV 8‐Aug‐12 

PREMIER FINANCIAL BANCORP INC. HUNTINGTON WV 9‐Aug‐12 

PREMIER FINANCIAL BANCORP INC. HUNTINGTON WV 10‐Aug‐12 

PREMIER FINANCIAL BANCORP INC. HUNTINGTON WV 11‐Sep‐12 

15 14 PREMIER FINANCIAL CORP. DUBUQUE IA 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $6 349 000.00 $0.00 $8 778 669.11 Sold i

PREMIER FINANCIAL CORP. DUBUQUE IA 22‐Jul‐13 

PREMIER FINANCIAL CORP. DUBUQUE IA 12‐Sep‐13 

8 PREM ER SERVICE BANK RIVERSIDE CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 300 522.22 Redeemed i

PREM ER SERVICE BANK RIVERSIDE CA 31‐Jan‐14 

80 PREMIERWEST BANCORP MEDFORD OR 13‐Feb‐09 Preferred Stock w/ Warrants $41 400 000.00 $0.00 $42 446 500 00 Redeemed i

PREMIERWEST BANCORP MEDFORD OR 9‐Apr‐13 

8 17 PRESIDIO BANK SAN FRANCISCO CA 20‐Nov‐09 Preferred Stock w/ Exercised Warrants $10 800 000.00 $0.00 $11 077 694 89 Sold i

PRESIDIO BANK SAN FRANCISCO CA 10‐Dec‐12 PRESIDIO BANK SAN FRANCISCO CA 11‐Dec‐12 PRESIDIO BANK SAN FRANCISCO CA 11‐Jan‐13 

75 97 PRINCETON NATIONAL BANCORP INC. PRINCETON IL 23‐Jan‐09 Preferred Stock w/ Warrants $25 083 000.00 $0.00 $2 271 405 00 

PRINCETON NATIONAL BANCORP INC. PRINCETON IL 2‐Nov‐12 

8 8 PRIVATE BANCORPORATION INC. MINNEAPOLIS MN 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 960 000.00 $8 222 000.00 $498 859.56 Full investment out

PRIVATE BANCORPORATION INC. MINNEAPOLIS MN 29‐Dec‐09 $3 262 000.00

12 PRIVATEBANCORP INC. CHICAGO IL 30‐Jan‐09 Preferred Stock w/ Warrants $243 815 000.00 $0.00 $290 552 132.92 Redeemed i

PRIVATEBANCORP INC. CHICAGO IL 24‐Oct‐12 

PRIVATEBANCORP INC. CHICAGO IL 14‐Nov‐12 

8 17 44 PROVIDENCE BANK ROCKY MOUNT NC 2‐Oct‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 596 311 80 Redeemed i

PROVIDENCE BANK ROCKY MOUNT NC 15‐Sep‐11 

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 14‐Nov‐08 Preferred Stock w/ Warrants $151 500 000.00 $0.00 $199 100 113.41 Sold i

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 21‐Aug‐12 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 20‐Mar‐13 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 25‐Mar‐13 

107 PROVIDENT COMMUNITY BANCSHARES INC. ROCK HILL SC 13‐Mar‐09 Preferred Stock w/ Warrants $9 266 000.00 $0.00 $5 639 391.00 Sold i

PROVIDENT COMMUNITY BANCSHARES INC. ROCK HILL SC 30‐Apr‐14 

11 8 14 PSB FINANCIAL CORPORATION MANY LA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $9 270 000.00 $0.00 $10 536 802.00 Redeemed i

PSB FINANCIAL CORPORATION MANY LA 29‐Sep‐10 

44 8 14 PUGET SOUND BANK BELLEVUE WA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $4 500 000.00 $0.00 $5 355 156.75 Redeemed i

PUGET SOUND BANK BELLEVUE WA 11‐Aug‐11 

PULASKI FINANCIAL CORP. CREVE COEUR MO 16‐Jan‐09 Preferred Stock w/ Warrants $32 538 000.00 $0.00 $35 195 847.13 Sold i

PULASKI FINANCIAL CORP. CREVE COEUR MO 3‐Jul‐12 

PULASKI FINANCIAL CORP. CREVE COEUR MO 8‐Aug‐12 

44 QCR HOLDINGS INC. MOLINE IL 13‐Feb‐09 Preferred Stock w/ Warrants $38 237 000.00 $0.00 $44 286 567.33 Redeemed i

QCR HOLDINGS INC. MOLINE IL 15‐Sep‐11 

QCR HOLDINGS INC. MOLINE IL 6‐Nov‐11 

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30‐Oct‐09 Preferred Stock w/ Exercised Warrants $6 229 000.00 $0.00 $7 190 593.33 Redeemed i

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30‐Sep‐13 

8 17 RCB FINANCIAL CORPORATION ROME GA 19‐Jun‐09 Preferred Stock w/ Exercised Warrants $8 900 000.00 $0.00 $9 139 863 61 Sold i

RCB FINANCIAL CORPORATION ROME GA 25‐Sep‐13 

RCB FINANCIAL CORPORATION ROME GA 29‐Oct‐13 

44 8 14 REDWOOD CAPITAL BANCORP EUREKA CA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $3 800 000.00 $0.00 $4 510 626.39 Redeemed i

REDWOOD CAPITAL BANCORP EUREKA CA 21‐Jul‐11 

44 8 14 REDWOOD FINANCIAL INC. REDWOOD FALLS MN 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $2 995 000.00 $0.00 $3 570 810.92 Redeemed i

REDWOOD FINANCIAL INC. REDWOOD FALLS MN 18‐Aug‐11 

8 REGENT BANCORP INC. DAVIE FL 6‐Mar‐09 Preferred Stock w/ Exercised Warrants $9 982 000.00 $9 982 000.00 $784 281.50 Full investment out44 8 14 REGENT CAPITAL CORPORATION INC. / REGENT BANK NOWATA OK 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 655 000.00 $0.00 $3 135 328 00 Redeemed i

REGENT CAPITAL CORPORATION INC. / REGENT BANK NOWATA OK 21‐Jul‐11 

8 17 62 REGENTS BANCSHARES INC. VANCOUVER WA 23‐Oct‐09 Preferred Stock w/ Exercised Warrants $12 700 000.00 $0.00 $14 594 338.99 Redeemed i

REGENTS BANCSHARES INC. VANCOUVER WA 26‐Jan‐12 

8 14 REGIONAL BANKSHARES INC. HARTSVILLE SC 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $1 500 000.00 $0.00 $1 718 159.50 Sold i

REGIONAL BANKSHARES INC. HARTSVILLE SC 8‐Nov‐12 

REGIONAL BANKSHARES INC. HARTSVILLE SC 9‐Nov‐12 

REGIONAL BANKSHARES INC. HARTSVILLE SC 11‐Jan‐13 

REGIONAL BANKSHARES INC. HARTSVILLE SC 26‐Mar‐13 

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 14‐Nov‐08 Preferred Stock w/ Warrants $3 500 000 000.00 $0.00 $4 138 055 555.55 Redeemed i

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4‐Apr‐12 

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 2‐May‐12 

8 RELIANCE BANCSHARES INC. FRONTENAC MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $40 000 000.00 $0.00 $45 820 950.80 Sold i

RELIANCE BANCSHARES INC. FRONTENAC MO 25‐Sep‐13 

RELIANCE BANCSHARES INC. FRONTENAC MO 29‐Oct‐13 

8 14 RIDGESTONE FINANCIAL SERVICES INC. BROOKFIELD WI 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $10 900 000.00 $0.00 $9 630 106.93 Sold i

RIDGESTONE FINANCIAL SERVICES INC. BROOKFIELD WI 20‐Feb‐13 

RIDGESTONE FINANCIAL SERVICES INC. BROOKFIELD WI 26‐Mar‐13 

8 RISING SUN BANCORP RISING SUN MD 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 983 000.00 $5 983 000.00 $195 637.00 Full investment out

15 11 14 RIVER VALLEY BANCORPORATION INC. WAUSAU WI 12‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $15 000 000.00 $0.00 $19 928 275.00 Redeemed i

RIVER VALLEY BANCORPORATION INC. WAUSAU WI 6‐Jun‐12 

RIVER VALLEY BANCORPORATION INC. WAUSAU WI 15‐May‐13 

15 RIVERSIDE BANCSHARES INC. LITTLE ROCK AR 15‐May‐09 Subordinated Debentures w/ Exercised Warrants $1 100 000.00 $1 100 000.00 $392 232.50 Full investment out
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

8 95 97 ROGERS BANCSHARES INC. LITTLE ROCK AR 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $25 000 000.00 $0.00 $738 021.00 

ROGERS BANCSHARES INC. LITTLE ROCK AR 5‐Jul‐13 

ROYAL BANCSHARES OF PENNSYLVANIA INC. NARBERTH PA 20‐Feb‐09 Preferred Stock w/ Warrants $30 407 000.00 $30 407 000.00 $358 971.00 Full investment out

11 S&T BANCORP INC. INDIANA PA 16‐Jan‐09 Preferred Stock w/ Warrants $108 676 000.00 $0.00 $124 916 099.34 Redeemed i

S&T BANCORP INC. INDIANA PA 7‐Dec‐11 

S&T BANCORP INC. INDIANA PA 11‐Jun‐13 

8 SAIGON NATIONAL BANK WESTMINSTER CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $1 549 000.00 $1 549 000.00 $0.00 Full investment out

44 SALISBURY BANCORP INC. LAKEVILLE CT 13‐Mar‐09 Preferred Stock w/ Warrants $8 816 000.00 $0.00 $10 100 960.44 Redeemed i

SALISBURY BANCORP INC. LAKEVILLE CT 25‐Aug‐11 

SALISBURY BANCORP INC. LAKEVILLE CT 2‐Nov‐11 

11 44 SANDY SPRING BANCORP INC. OLNEY MD 5‐Dec‐08 Preferred Stock w/ Warrants $83 094 000.00 $0.00 $95 137 868.33 Redeemed i

SANDY SPRING BANCORP INC. OLNEY MD 21‐Jul‐10 

SANDY SPRING BANCORP INC. OLNEY MD 15‐Dec‐10 

SANDY SPRING BANCORP INC. OLNEY MD 23‐Feb‐11 

8 14 SANTA CLARA VALLEY BANK N.A SANTA PAULA CA 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 900 000.00 $0.00 $2 697 208.51 Sold i

SANTA CLARA VALLEY BANK N.A SANTA PAULA CA 8‐Mar‐13 

SANTA CLARA VALLEY BANK N.A SANTA PAULA CA 9‐Apr‐13 

SANTA LUCIA BANCORP ATASCADERO CA 19‐Dec‐08 Preferred Stock w/ Warrants $4 000 000.00 $0.00 $3 131 111.11 Sold i

SANTA LUCIA BANCORP ATASCADERO CA 21‐Oct‐11 

44 8 14 SBT BANCORP INC. SIMSBURY CT 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 717 144.78 Redeemed i

SBT BANCORP INC. SIMSBURY CT 11‐Aug‐11 

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 16‐Jan‐09 Preferred Stock w/ Warrants $64 779 000.00 $0.00 $67 294 638 84 Redeemed i

SCBT FINANCIAL CORPORATION COLUMBIA SC 20‐May‐09 

SCBT FINANCIAL CORPORATION COLUMBIA SC 24‐Jun‐09 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 19‐Dec‐08 Preferred Stock w/ Warrants $50 000 000.00 $0.00 $49 045 470.38 Sold i

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 3‐Apr‐12 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 30‐May‐12 

44 8 14 SEACOAST COMMERCE BANK CHULA VISTA CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $1 800 000.00 $0.00 $2 153 780 00 Redeemed i

SEACOAST COMMERCE BANK CHULA VISTA CA 1‐Sep‐11 

8 14 SECURITY BANCSHARES OF PULASKI COUNTY INC. WAYNESVILLE MO 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 152 000.00 $0.00 $1 983 756 24 Sold i

SECURITY BANCSHARES OF PULASKI COUNTY INC. WAYNESVILLE MO 10‐Dec‐12 

SECURITY BANCSHARES OF PULASKI COUNTY INC. WAYNESVILLE MO 11‐Dec‐12 

SECURITY BANCSHARES OF PULASKI COUNTY INC. WAYNESVILLE MO 11‐Jan‐13 

SECURITY BANCSHARES OF PULASKI COUNTY INC. WAYNESVILLE MO 26‐Mar‐13 

44 8 14 SECURITY BUSINESS BANCORP SAN DIEGO CA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 803 000.00 $0.00 $6 888 017 86 Redeemed i

SECURITY BUSINESS BANCORP SAN DIEGO CA 14‐Jul‐11 

44 8 14 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $6 815 000.00 $0.00 $8 152 698.33 Redeemed i

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 15‐Sep‐11 

11 8 14 36 SECURITY CAPITAL CORPORATION BATESVILLE MS 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $17 388 000.00 $0.00 $19 063 111.00 Redeemed i

SECURITY CAPITAL CORPORATION BATESVILLE MS 29‐Sep‐10 

11 36 SECURITY FEDERAL CORPORATION AIKEN SC 19‐Dec‐08 Preferred Stock w/ Warrants $18 000 000.00 $0.00 $19 650 000 00 Redeemed i

SECURITY FEDERAL CORPORATION AIKEN SC 29‐Sep‐10 

SECURITY FEDERAL CORPORATION AIKEN SC 31‐Jul‐13 

44 8 14 SECURITY STATE BANCSHARES INC. CHARLESTON MO 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $12 500 000.00 $0.00 $14 888 679.86 Redeemed i

SECURITY STATE BANCSHARES INC. CHARLESTON MO 22‐Sep‐11 

15 14 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 1‐May‐09 Subordinated Debentures w/ Exercised Warrants $10 750 000.00 $0.00 $14 543 635.13 Sold i

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 24‐Jun‐13 

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 26‐Jul‐13 

SEVERN BANCORP INC. ANNAPOLIS MD 21‐Nov‐08 Preferred Stock w/ Warrants $23 393 000.00 $0.00 $26 915 463.85 So

SEVERN BANCORP INC. ANNAPOLIS MD 25‐Sep‐13 SEVERN BANCORP INC. ANNAPOLIS MD 29‐Oct‐13 

11 SHORE BANCSHARES INC. EASTON MD 9‐Jan‐09 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $25 358 333.33 Redeemed i

SHORE BANCSHARES INC. EASTON MD 15‐Apr‐09 SHORE BANCSHARES INC. EASTON MD 6‐Nov‐11 

15 11 14 SIGNATURE BANCSHARES INC. DALLAS TX 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $1 700 000.00 $0.00 $1 994 587.59 Redeemed i

SIGNATURE BANCSHARES INC. DALLAS TX 15‐Dec‐10 

11 SIGNATURE BANK NEW YORK NY 12‐Dec‐08 Preferred Stock w/ Warrants $120 000 000.00 $0.00 $132 967 606.41 Redeemed i

SIGNATURE BANK NEW YORK NY 31‐Mar‐09 

SIGNATURE BANK NEW YORK NY 16‐Mar‐10 

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 16‐Jan‐09 Preferred Stock w/ Warrants $7 414 000.00 $0.00 $7 816 685.55 Redeemed i

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 20‐May‐09 

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 24‐Jun‐09 

8 32 97 SONOMA VALLEY BANCORP SONOMA CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $8 653 000.00 $0.00 $347 164.00 

SONOMA VALLEY BANCORP SONOMA CA 20‐Aug‐10 

8 14 SOUND BANKING COMPANY MOREHEAD CITY NC 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $3 070 000.00 $0.00 $3 575 224.44 Sold i

SOUND BANKING COMPANY MOREHEAD CITY NC 13‐Nov‐12 

SOUND BANKING COMPANY MOREHEAD CITY NC 11‐Jan‐13 

SOUTH FINANCIAL GROUP INC./ CAROL NA FIRST BANK GREENVILLE SC 5‐Dec‐08 Preferred Stock w/ Warrants $347 000 000.00 $0.00 $146 965 329.86 Sold i

SOUTH FINANCIAL GROUP INC./ CAROLINA FIRST BANK GREENVILLE SC 30‐Sep‐10 

8 14 SOUTHCREST FINANCIAL GROUP INC. FAYETTEVILLE GA 17‐Jul‐09 Preferred Stock w/ Exercised Warrants $12 900 000.00 $0.00 $13 109 014.25 Sold i

SOUTHCREST FINANCIAL GROUP INC. FAYETTEVILLE GA 8‐Mar‐13 

SOUTHCREST FINANCIAL GROUP INC. FAYETTEVILLE GA 11‐Mar‐13 

SOUTHCREST FINANCIAL GROUP INC. FAYETTEVILLE GA 9‐Apr‐13 

11 9 36 SOUTHERN BANCORP INC. ARKADELPHIA AR 16‐Jan‐09 Preferred Stock $11 000 000.00 $0.00 $11 855 555.56 Redeemed i

SOUTHERN BANCORP INC. ARKADELPHIA AR 6‐Aug‐10 

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON‐SALEM NC 5‐Dec‐08 Preferred Stock w/ Warrants $42 750 000.00 $0.00 $51 088 046.14 Redeemed i

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON‐SALEM NC 1‐Oct‐12 

SOUTHERN FIRST BANCSHARES INC. GREENVILLE SC 27‐Feb‐09 Preferred Stock w/ Warrants $17 299 000.00 $0.00 $19 401 361.89 Sold i

SOUTHERN FIRST BANCSHARES INC. GREENVILLE SC 3‐Jul‐12 

SOUTHERN FIRST BANCSHARES INC. GREENVILLE SC 25‐Jul‐12 

8 45 14 SOUTHERN HERITAGE BANCSHARES INC. CLEVELAND TN 15‐May‐09 Preferred Stock w/ Exercised Warrants $4 862 000.00 $0.00 $5 718 111.14 Redeemed i

SOUTHERN HERITAGE BANCSHARES INC. CLEVELAND TN 8‐Sep‐11 

44 8 14 SOUTHERN ILLINOIS BANCORP INC. CARMI IL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 000 000.00 $0.00 $5 955 472 22 Redeemed i

SOUTHERN ILLINOIS BANCORP INC. CARMI IL 25‐Aug‐11 

44 SOUTHERN MISSOURI BANCORP INC. POPLAR BLUFF MO 5‐Dec‐08 Preferred Stock w/ Warrants $9 550 000.00 $0.00 $10 804 763 89 Redeem

SOUTHERN MISSOURI BANCORP INC. POPLAR BLUFF MO 21‐Jul‐11 

8 SOUTHFIRST BANCSHARES INC. SYLACAUGA AL 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $2 760 000.00 $2 760 000.00 $364 796.34 Full investment out

11 SOUTHWEST BANCORP INC. ST LLWATER OK 5‐Dec‐08 Preferred Stock w/ Warrants $70 000 000.00 $0.00 $85 247 569.91 Redeemed i

SOUTHWEST BANCORP INC. STILLWATER OK 8‐Aug‐12 

SOUTHWEST BANCORP INC. ST LLWATER OK 29‐May‐13 

44 8 14 SOVEREIGN BANCSHARES INC. DALLAS TX 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $18 215 000.00 $0.00 $21 632 668.61 Redeemed i

SOVEREIGN BANCSHARES INC. DALLAS TX 22‐Sep‐11 

8 SPIRIT BANKCORP INC. BRISTOW OK 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $30 000 000.00 $0.00 $11 803 691.75 Sold i

SPIRIT BANKCORP INC. BRISTOW OK 21‐Oct‐13 

SPIRIT BANKCORP INC. BRISTOW OK 6‐Jan‐14 

8 ST. JOHNS BANCSHARES INC. ST. LOUIS MO 13‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 000 000.00 $3 000 000.00 $804 783.00 Full investment out

74 8 14 STANDARD BANCSHARES INC. HICKORY HILLS IL 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $60 000 000.00 $0.00 $75 757 163 03 Redeemed i
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

STANDARD BANCSHARES INC. HICKORY HILLS IL 22‐Feb‐13 

11 61 STATE BANCORP INC. / VALLEY NATIONAL BANCORP JERICHO NY 5‐Dec‐08 Preferred Stock w/ Warrants $36 842 000.00 $0.00 $42 414 352.50 Redeem

STATE BANCORP INC. / VALLEY NATIONAL BANCORP JERICHO NY 14‐Dec‐11 

15 17 44 STATE BANK OF BARTLEY THE BARTLEY NE 4‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $1 697 000.00 $0.00 $2 030 299.18 Redeemed i

STATE BANK OF BARTLEY THE BARTLEY NE 22‐Sep‐11 

8 11 STATE BANKSHARES NC. FARGO ND 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $50 000 000.00 $0.00 $58 008 472.23 Redeemed i

STATE BANKSHARES NC. FARGO ND 12‐Aug‐09 

STATE BANKSHARES NC. FARGO ND 29‐Jun‐11 

8 6 11 STATE CAPITAL CORP. GREENWOOD MS 13‐Feb‐09 Preferred Stock w/ Exercised Warrants $15 000 000.00 $0.00 $17 080 708.67 Redeemed i

STATE CAPITAL CORP. GREENWOOD MS 29‐Sep‐10 

12 16 STATE STREET CORPORATION BOSTON MA 28‐Oct‐08 Preferred Stock w/ Warrants $2 000 000 000.00 $0.00 $2 123 611 111.12 Redeemed i

STATE STREET CORPORATION BOSTON MA 17‐Jun‐09 

STATE STREET CORPORATION BOSTON MA 8‐Jul‐09 

15 11 14 STEARNS FINANCIAL SERVICES INC. ST. CLOUD MN 26‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $24 900 000.00 $0.00 $31 495 442.29 Redeemed i

STEARNS FINANCIAL SERVICES INC. ST. CLOUD MN 18‐Jan‐12 

15 17 45 STEELE STREET BANK CORPORATION DENVER CO 25‐Sep‐09 Subordinated Debentures w/ Exercised Warrants $11 019 000.00 $0.00 $13 078 672.60 Redeemed i

STEELE STREET BANK CORPORATION DENVER CO 1‐Sep‐11 

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 19‐Dec‐08 Preferred Stock w/ Warrants $30 000 000.00 $0.00 $37 191 875.00 Redeemed i

STELLARONE CORPORATION CHARLOTTESVILLE VA 13‐Apr‐11 

STELLARONE CORPORATION CHARLOTTESVILLE VA 28‐Dec‐11 STELLARONE CORPORATION CHARLOTTESVILLE VA 18‐Dec‐13 

11 STERL NG BANCORP NEW YORK NY 23‐Dec‐08 Preferred Stock w/ Warrants $42 000 000.00 $0.00 $47 869 108.33 Redeemed i

STERL NG BANCORP NEW YORK NY 27‐Apr‐11 

STERL NG BANCORP NEW YORK NY 18‐May‐11 

11 STERL NG BANCSHARES INC. HOUSTON TX 12‐Dec‐08 Preferred Stock w/ Warrants $125 198 000.00 $0.00 $130 542 485.91 Redeemed i

STERL NG BANCSHARES INC. HOUSTON TX 5‐May‐09 

STERL NG BANCSHARES INC. HOUSTON TX 15‐Jun‐10 

31 STERL NG FINANCIAL CORPORATION SPOKANE WA 5‐Dec‐08 Preferred Stock w/ Warrants $303 000 000.00 $0.00 $121 757 209.63 Sold i

STERL NG FINANCIAL CORPORATION SPOKANE WA 20‐Aug‐12 

STERL NG FINANCIAL CORPORATION SPOKANE WA 19‐Sep‐12 

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 30‐Jan‐09 Preferred Stock w/ Warrants $10 000 000.00 $0.00 $11 400 453 22 Redeemed i

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1‐Sep‐11 

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 26‐Oct‐11 

11 8 14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $15 568 000.00 $0.00 $18 101 553.84 Redeemed i

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 12‐Jan‐11 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 16‐Mar‐11 

8 14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $10 973 000.00 $0.00 $2 652 816.96 Sold i

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 26‐Mar‐13 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 27‐Mar‐13 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 9‐Apr‐13 

15 SUBURBAN ILLINOIS BANCORP INC. ELMHURST IL 19‐Jun‐09 Subordinated Debentures w/ Exercised Warrants $15 000 000.00 $15 000 000.00 $2 083 520 25 Full investment out

44 SUMMIT STATE BANK SANTA ROSA CA 19‐Dec‐08 Preferred Stock w/ Warrants $8 500 000.00 $0.00 $9 930 625 00 Redeemed i

SUMMIT STATE BANK SANTA ROSA CA 4‐Aug‐11 

SUMMIT STATE BANK SANTA ROSA CA 14‐Sep‐11 

11 SUN BANCORP INC. VINELAND NJ 9‐Jan‐09 Preferred Stock w/ Warrants $89 310 000.00 $0.00 $92 513 970.83 Redeemed i

SUN BANCORP INC. VINELAND NJ 8‐Apr‐09 

SUN BANCORP INC. VINELAND NJ 27‐May‐09 

11 SUNTRUST BANKS INC. ATLANTA GA 14‐Nov‐08 Preferred Stock w/ Warrants $3 500 000 000.00 $0.00 $5 448 052 772.5 Redeemed i

SUNTRUST BANKS INC. ATLANTA GA 31‐Dec‐08 $1 350 000 000.00

SUNTRUST BANKS INC. ATLANTA GA 30‐Mar‐11 

SUNTRUST BANKS INC. ATLANTA GA 28‐Sep‐11 

24 49 97 SUPERIOR BANCORP INC. BIRMINGHAM AL 5‐Dec‐08 Preferred Stock w/ Warrants $69 000 000.00 $0.00 $4 983 333.33 

SUPERIOR BANCORP INC. BIRMINGHAM AL 15‐Apr‐11 

11 8 14 SURREY BANCORP MOUNT AIRY NC 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $2 000 000.00 $0.00 $2 314 972 22 Redeemed i

SURREY BANCORP MOUNT AIRY NC 29‐Dec‐10 

11 SUSQUEHANNA BANCSHARES INC. LITITZ PA 12‐Dec‐08 Preferred Stock w/ Warrants $300 000 000.00 $0.00 $328 991 401.58 Redeemed i

SUSQUEHANNA BANCSHARES INC. LITITZ PA 21‐Apr‐10 

SUSQUEHANNA BANCSHARES INC. LITITZ PA 22‐Dec‐10 

SUSQUEHANNA BANCSHARES INC. LITITZ PA 19‐Jan‐11 

11 8 14 SV FINANCIAL INC. STERLING IL 10‐Apr‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $4 721 382.89 Redeemed i

SV FINANCIAL INC. STERLING IL 31‐Aug‐11 

12 16 SVB FINANCIAL GROUP SANTA CLARA CA 12‐Dec‐08 Preferred Stock w/ Warrants $235 000 000.00 $0.00 $253 929 027.78 Redeemed i

SVB FINANCIAL GROUP SANTA CLARA CA 23‐Dec‐09 

SVB FINANCIAL GROUP SANTA CLARA CA 16‐Jun‐10 

15 44 14 SWORD FINANCIAL CORPORATION HORICON WI 8‐May‐09 Subordinated Debentures w/ Exercised Warrants $13 644 000.00 $0.00 $17 019 233.91 Redeemed i

SWORD FINANCIAL CORPORATION HORICON WI 15‐Sep‐11 

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 19‐Dec‐08 Preferred Stock w/ Warrants $967 870 000.00 $0.00 $1 190 614 526.39 Redeem

SYNOVUS FINANCIAL CORP. COLUMBUS GA 26‐Jul‐13 

8 103 SYRINGA BANCORP BOISE ID 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $8 000 000.00 $0.00 $253 122.22 

SYRINGA BANCORP BOISE ID 31‐Jan‐14 

TAYLOR CAPITAL GROUP ROSEMONT IL 21‐Nov‐08 Preferred Stock w/ Warrants $104 823 000.00 $0.00 $120 845 170.80 Sold i

TAYLOR CAPITAL GROUP ROSEMONT IL 19‐Jun‐12 

TAYLOR CAPITAL GROUP ROSEMONT IL 18‐Jul‐12 

15 17 45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 28‐Aug‐09 Subordinated Debentures w/ Exercised Warrants $9 720 000.00 $0.00 $11 611 381.34 Redeemed i

TCB CORPORATION/COUNTY BANK GREENWOOD SC 8‐Sep‐11 

8 97 100 TCB HOLDING COMPANY THE WOODLANDS TX 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $11 730 000.00 $0.00 $690 832.08 

TCB HOLDING COMPANY THE WOODLANDS TX 13‐Dec‐13 

11 TCF FINANCIAL CORPORATION WAYZATA MN 14‐Nov‐08 Preferred Stock w/ Warrants $361 172 000.00 $0.00 $378 547 699.45 Redeemed i

TCF FINANCIAL CORPORATION WAYZATA MN 22‐Apr‐09 

TCF FINANCIAL CORPORATION WAYZATA MN 21‐Dec‐09 

11 8 14 TCNB FINANCIAL CORP DAYTON OH 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $2 000 000.00 $0.00 $2 384 611.11 Redeemed i

TCNB FINANCIAL CORP DAYTON OH 3‐Aug‐11 

63 97 TENNESSEE COMMERCE BANCORP INC. FRANKLIN TN 19‐Dec‐08 Preferred Stock w/ Warrants $30 000 000.00 $0.00 $3 233 333.33 

TENNESSEE COMMERCE BANCORP INC. FRANKLIN TN 27‐Jan‐12 

8 14 TENNESSEE VALLEY FINANCIAL HOLDINGS INC. OAK RIDGE TN 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $3 000 000.00 $0.00 $3 331 713.17 Sold i

TENNESSEE VALLEY FINANCIAL HOLDINGS INC. OAK RIDGE TN 26‐Apr‐13 

TENNESSEE VALLEY FINANCIAL HOLDINGS INC. OAK RIDGE TN 29‐Apr‐13 

TENNESSEE VALLEY FINANCIAL HOLDINGS INC. OAK RIDGE TN 31‐May‐13 

11 TEXAS CAPITAL BANCSHARES INC. DALLAS TX 16‐Jan‐09 Preferred Stock w/ Warrants $75 000 000.00 $0.00 $82 777 816 21 Redeemed i

TEXAS CAPITAL BANCSHARES INC. DALLAS TX 13‐May‐09 

TEXAS CAPITAL BANCSHARES INC. DALLAS TX 17‐Mar‐10 

11 8 14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $3 981 000.00 $0.00 $4 475 307 67 Redeemed i

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 19‐May‐10 

44 8 14 THE ANB CORPORATION TERRELL TX 7‐Aug‐09 Preferred Stock w/ Exercised Warrants $20 000 000.00 $0.00 $23 234 499.98 Redeemed i

THE ANB CORPORATION TERRELL TX 25‐Aug‐11 

12 16 THE BANCORP INC. WILMINGTON DE 12‐Dec‐08 Preferred Stock w/ Warrants $45 220 000.00 $0.00 $52 787 673.44 Redeemed i

THE BANCORP INC. WILMINGTON DE 10‐Mar‐10 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

THE BANCORP INC. WILMINGTON DE 8‐Sep‐10 

8 THE BANK OF CURRITUCK MOYOCK NC 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 021 000.00 $0.00 $1 912 684 00 Sold i

THE BANK OF CURRITUCK MOYOCK NC 3‐Dec‐10 

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 13‐Feb‐09 Preferred Stock w/ Warrants $34 000 000.00 $0.00 $40 091 342.55 Redeemed i

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 22‐Dec‐10 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 23‐Nov‐11 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 29‐May‐13 

8 14 THE BARABOO BANCORPORATION INC. BARABOO WI 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $20 749 000.00 $0.00 $18 023 831.85 Sold i

THE BARABOO BANCORPORATION INC. BARABOO WI 10‐Dec‐12 

THE BARABOO BANCORPORATION INC. BARABOO WI 11‐Dec‐12 

THE BARABOO BANCORPORATION INC. BARABOO WI 11‐Jan‐13 

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19‐Dec‐08 Preferred Stock w/ Warrants $5 448 000.00 $0.00 $6 902 866.33 Redeemed i

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19‐Apr‐12 

44 THE ELMIRA SAVINGS BANK FSB ELMIRA NY 19‐Dec‐08 Preferred Stock w/ Warrants $9 090 000.00 $0.00 $10 309 575.00 Redeem

THE ELMIRA SAVINGS BANK FSB ELMIRA NY 25‐Aug‐11 

11 THE FIRST BANCORP INC. DAMARISCOTTA ME 9‐Jan‐09 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $29 332 986.11 Redeem

THE FIRST BANCORP INC. DAMARISCOTTA ME 24‐Aug‐11 

THE FIRST BANCORP INC. DAMARISCOTTA ME 27‐Mar‐13 THE FIRST BANCORP INC. DAMARISCOTTA ME 8‐May‐13 

11 36 THE FIRST BANCSHARES INC. HATTIESBURG MS 6‐Feb‐09 Preferred Stock w/ Warrants $5 000 000.00 $0.00 $5 411 805.56 Redeem

THE FIRST BANCSHARES INC. HATTIESBURG MS 29‐Sep‐10 

11 8 14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $731 000.00 $0.00 $813 086.56 Redeemed i

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 14‐Apr‐10 

11 8 14 THE FREEPORT STATE BANK HARPER KS 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $301 000.00 $0.00 $379 458.89 Redeemed i

THE FREEPORT STATE BANK HARPER KS 19‐Dec‐12 

11 THE HARTFORD FINANCIAL SERVICES GROUP INC. HARTFORD CT 26‐Jun‐09 Preferred Stock w/ Warrants $3 400 000 000.00 $0.00 $4 236 125 671.00 Redeemed i

THE HARTFORD FINANCIAL SERVICES GROUP INC. HARTFORD CT 31‐Mar‐10 

THE HARTFORD FINANCIAL SERVICES GROUP INC. HARTFORD CT 27‐Sep‐10 

8 44 14 THE LANDRUM COMPANY COLUMBIA MO 22‐May‐09 Preferred Stock w/ Exercised Warrants $15 000 000.00 $0.00 $17 580 291.55 Redeemed i

THE LANDRUM COMPANY COLUMBIA MO 18‐Aug‐11 

8 14 THE LITTLE BANK INCORPORATED KINSTON NC 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $7 500 000.00 $0.00 $9 232 652.17 Sold i

THE LITTLE BANK INCORPORATED KINSTON NC 31‐Oct‐12 

THE LITTLE BANK INCORPORATED KINSTON NC 11‐Jan‐13 

11 THE PNC FINANCIAL SERVICES GROUP INC. PITTSBURGH PA 31‐Dec‐08 Preferred Stock w/ Warrants $7 579 200 000.00 $0.00 $8 320 638 950.8 Redeemed i

THE PNC FINANCIAL SERVICES GROUP INC. PITTSBURGH PA 10‐Feb‐10 

THE PNC FINANCIAL SERVICES GROUP INC. PITTSBURGH PA 5‐May‐10 

44 8 14 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $5 450 000.00 $0.00 $6 474 752.14 Redeemed i

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 1‐Sep‐11 

8 14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $12 000 000.00 $0.00 $13 065 246.00 Sold i

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 8‐Mar‐13 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 11‐Mar‐13 

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9‐Apr‐13 

8 8 21 44 THE VICTORY BANCORP INC. L MERICK PA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $541 000.00 $0.00 $2 322 183 20 Redeemed i

THE VICTORY BANCORP INC. L MERICK PA 11‐Dec‐09 $1 505 000.00THE VICTORY BANCORP INC. L MERICK PA 22‐Sep‐11 

8 21 THREE SHORES BANCORPORATION INC. ORLANDO FL 23‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 677 000.00 $0.00 $6 449 130 64 Sold i

THREE SHORES BANCORPORATION INC. ORLANDO FL 8‐Nov‐12 

THREE SHORES BANCORPORATION INC. ORLANDO FL 9‐Nov‐12 

THREE SHORES BANCORPORATION INC. ORLANDO FL 11‐Jan‐13 TIB FINANCIAL CORP NAPLES FL 5‐Dec‐08 Preferred Stock w/ Warrants $37 000 000.00 $0.00 $13 444 359.59 Sold i

TIB FINANCIAL CORP NAPLES FL 30‐Sep‐10 

TIDELANDS BANCSHARES INC. MT. PLEASANT SC 19‐Dec‐08 Preferred Stock w/ Warrants $14 448 000.00 $14 448 000.00 $1 195 973.33 Full investment out

8 47 97 TIFTON BANKING COMPANY TIFTON GA 17‐Apr‐09 Preferred Stock w/ Exercised Warrants $3 800 000.00 $0.00 $223 208.00 

TIFTON BANKING COMPANY TIFTON GA 12‐Nov‐10 

TIMBERLAND BANCORP INC. HOQUIAM WA 23‐Dec‐08 Preferred Stock w/ Warrants $16 641 000.00 $0.00 $18 857 818.52 Sold i

TIMBERLAND BANCORP INC. HOQUIAM WA 8‐Nov‐12 

TIMBERLAND BANCORP INC. HOQUIAM WA 9‐Nov‐12 

TIMBERLAND BANCORP INC. HOQUIAM WA 13‐Nov‐12 

TIMBERLAND BANCORP INC. HOQUIAM WA 11‐Jan‐13 TIMBERLAND BANCORP INC. HOQUIAM WA 11‐Jun‐13 

11 8 14 TITONKA BANCSHARES INC. TITONKA IA 3‐Apr‐09 Preferred Stock w/ Exercised Warrants $2 117 000.00 $0.00 $2 569 490.36 Redeemed i

TITONKA BANCSHARES INC. TITONKA IA 4‐Apr‐12 

8 TODD BANCSHARES INC. HOPKINSVILLE KY 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $4 000 000.00 $0.00 $5 210 672 22 Redeemed i

TODD BANCSHARES INC. HOPKINSVILLE KY 25‐Sep‐13 

45 TOWNEBANK PORTSMOUTH VA 12‐Dec‐08 Preferred Stock w/ Warrants $76 458 000.00 $0.00 $88 577 166.67 Redeemed i

TOWNEBANK PORTSMOUTH VA 22‐Sep‐11 

TOWNEBANK PORTSMOUTH VA 15‐May‐13 

8 TREATY OAK BANCORP INC. AUSTIN TX 16‐Jan‐09 Preferred Stock w/ Warrants $3 268 000.00 $0.00 $842 415.03 So

TREATY OAK BANCORP INC. AUSTIN TX 15‐Feb‐11 TREATY OAK BANCORP INC. AUSTIN TX 21‐Dec‐12 

44 8 14 TRIAD BANCORP INC. FRONTENAC MO 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $3 700 000.00 $0.00 $4 386 324 64 Redeemed i

TRIAD BANCORP INC. FRONTENAC MO 22‐Sep‐11 

44 8 14 TRI‐COUNTY FINANCIAL CORPORATION WALDORF MD 19‐Dec‐08 Preferred Stock w/ Exercised Warrants $15 540 000.00 $0.00 $18 653 115.75 Redeemed i

TRI‐COUNTY FINANCIAL CORPORATION WALDORF MD 22‐Sep‐11 

8 14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 27‐Mar‐09 Preferred Stock w/ Exercised Warrants $35 539 000.00 $0.00 $34 644 476.74 Sold i

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 7‐Aug‐12 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9‐Aug‐12 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 10‐Aug‐12 

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 11‐Sep‐12 

11 8 9 TRI‐STATE BANK OF MEMPHIS MEMPHIS TN 3‐Apr‐09 Preferred Stock $2 795 000.00 $0.00 $2 985 215.11 Redeemed i

TRI‐STATE BANK OF MEMPHIS MEMPHIS TN 13‐Aug‐10 

11 8 TRISTATE CAPITAL HOLDINGS INC. PITTSBURGH PA 27‐Feb‐09 Preferred Stock w/ Exercised Warrants $23 000 000.00 $0.00 $28 642 402.33 Redeemed i

TRISTATE CAPITAL HOLDINGS INC. PITTSBURGH PA 26‐Sep‐12 

8 14 18 TRISUMMIT BANK KINGSPORT TN 3‐Apr‐09 Preferred Stock w/ Warrants $2 765 000.00 $0.00 $6 496 417.16 Sold i

TRISUMMIT BANK KINGSPORT TN 22‐Dec‐09 $4 237 000.00TRISUMMIT BANK KINGSPORT TN 29‐Nov‐12 TRISUMMIT BANK KINGSPORT TN 11‐Jan‐13 

11 TRUSTMARK CORPORATION JACKSON MS 21‐Nov‐08 Preferred Stock w/ Warrants $215 000 000.00 $0.00 $236 287 500.00 Redeemed i

TRUSTMARK CORPORATION JACKSON MS 9‐Dec‐09 

TRUSTMARK CORPORATION JACKSON MS 30‐Dec‐09 

44 8 14 TWO RIVERS FINANCIAL GROUP INC. BURLINGTON IA 29‐May‐09 Preferred Stock w/ Exercised Warrants $12 000 000.00 $0.00 $14 075 133.27 Redeemed i

TWO RIVERS FINANCIAL GROUP INC. BURLINGTON IA 1‐Sep‐11 

11 U.S. BANCORP MINNEAPOLIS MN 14‐Nov‐08 Preferred Stock w/ Warrants $6 599 000 000.00 $0.00 $6 933 220 416.67 Redeemed i

U.S. BANCORP MINNEAPOLIS MN 17‐Jun‐09 

U.S. BANCORP MINNEAPOLIS MN 15‐Jul‐09 

8 U.S. CENTURY BANK MIAMI FL 7‐Aug‐09 Preferred Stock w/ Exercised Warrants $50 236 000.00 $50 236 000.00 $745 311.72 Full investment out

44 8 14 UBT BANCSHARES INC. MARYSVILLE KS 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $8 950 000.00 $0.00 $10 634 911.78 Redeemed i
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

UBT BANCSHARES INC. MARYSVILLE KS 11‐Aug‐11 

22 97 UCBH HOLDINGS INC. SAN FRANCISCO CA 14‐Nov‐08 Preferred Stock w/ Warrants $298 737 000.00 $0.00 $7 509 920 07 Currently not co lectible

UCBH HOLDINGS INC. SAN FRANCISCO CA 6‐Nov‐09 

12 16 UMPQUA HOLDINGS CORP. PORTLAND OR 14‐Nov‐08 Preferred Stock w/ Warrants $214 181 000.00 $0.00 $232 156 554.58 Redeemed i

UMPQUA HOLDINGS CORP. PORTLAND OR 17‐Feb‐10 

UMPQUA HOLDINGS CORP. PORTLAND OR 31‐Mar‐10 

8 14 18 44 45 UNION BANK & TRUST COMPANY OXFORD NC 1‐May‐09 Preferred Stock w/ Warrants $3 194 000.00 $0.00 $7 031 291 65 Redeemed i

UNION BANK & TRUST COMPANY OXFORD NC 18‐Dec‐09 $2 997 000.00

UNION BANK & TRUST COMPANY OXFORD NC 22‐Sep‐11 

8 17 11 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 29‐Dec‐09 Preferred Stock w/ Exercised Warrants $2 179 000.00 $0.00 $2 639 873.33 Redeemed i

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 25‐Jul‐12 

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 2‐Oct‐13 

12 16 25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 19‐Dec‐08 Preferred Stock w/ Warrants $59 000 000.00 $0.00 $62 145 972 22 Redeemed i

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 8‐Nov‐09 

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 23‐Dec‐09 

8 UNITED AMERICAN BANK SAN MATEO CA 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $8 700 000.00 $8 700 000.00 $0.00 Full investment out

UNITED BANCORP INC. TECUMSEH MI 16‐Jan‐09 Preferred Stock w/ Warrants $20 600 000.00 $0.00 $20 315 924.72 Sold i

UNITED BANCORP INC. TECUMSEH MI 19‐Jun‐12 

UNITED BANCORP INC. TECUMSEH MI 18‐Jul‐12 

11 36 UNITED BANCORPORATION OF ALABAMA INC. ATMORE AL 23‐Dec‐08 Preferred Stock w/ Warrants $10 300 000.00 $0.00 $11 172 638 89 Redeem

UNITED BANCORPORATION OF ALABAMA INC. ATMORE AL 3‐Sep‐10 

15 11 14 UNITED BANK CORPORATION BARNESVILLE GA 22‐May‐09 Subordinated Debentures w/ Exercised Warrants $14 400 000.00 $0.00 $18 882 079.62 Redeemed i

UNITED BANK CORPORATION BARNESVILLE GA 3‐Jul‐12 

UNITED COMMUNITY BANKS INC. BLAIRSVILLE GA 5‐Dec‐08 Preferred Stock w/ Warrants $180 000 000.00 $0.00 $210 367 527.00 Sold i

UNITED COMMUNITY BANKS INC. BLAIRSVILLE GA 26‐Mar‐13 

UNITED COMMUNITY BANKS INC. BLAIRSVILLE GA 27‐Mar‐13 

UNITED COMMUNITY BANKS INC. BLAIRSVILLE GA 28‐Mar‐13 

UNITED COMMUNITY BANKS INC. BLAIRSVILLE GA 9‐Apr‐13 

UNITED COMMUNITY BANKS INC. BLAIRSVILLE GA 10‐Jun‐13 

44 11 8 UNITED FINANCIAL BANKING COMPANIES INC. VIENNA VA 16‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 658 000.00 $0.00 $6 649 963.92 Redeemed i

UNITED FINANCIAL BANKING COMPANIES INC. VIENNA VA 15‐Dec‐10 

UNITED FINANCIAL BANKING COMPANIES INC. VIENNA VA 15‐Sep‐11 

11 UNITY BANCORP INC. CL NTON NJ 5‐Dec‐08 Preferred Stock w/ Warrants $20 649 000.00 $0.00 $28 013 814.50 Redeemed i

UNITY BANCORP INC. CLINTON NJ 15‐May‐13 

UNITY BANCORP INC. CLINTON NJ 3‐Jul‐13 

UNITY BANCORP INC. CLINTON NJ 28‐Aug‐13 

8 UNIVERSAL BANCORP BLOOMFIELD IN 22‐May‐09 Preferred Stock w/ Exercised Warrants $9 900 000.00 $0.00 $12 066 668.65 Sold i

UNIVERSAL BANCORP BLOOMFIELD IN 8‐Aug‐13 

UNIVERSAL BANCORP BLOOMFIELD IN 12‐Aug‐13 

UNIVERSAL BANCORP BLOOMFIELD IN 12‐Sep‐13 

11 9 15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 19‐Jun‐09 Subordinated Debentures $11 926 000.00 $0.00 $12 948 886.40 Redeemed i

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 30‐Jul‐10 

8 US METRO BANK GARDEN GROVE CA 6‐Feb‐09 Preferred Stock w/ Exercised Warrants $2 861 000.00 $2 861 000.00 $432 678.00 Full investment out

11 8 UWHARRIE CAPITAL CORP ALBEMARLE NC 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $10 000 000.00 $0.00 $12 916 040.83 Redeemed i

UWHARRIE CAPITAL CORP ALBEMARLE NC 3‐Apr‐13 

UWHARRIE CAPITAL CORP ALBEMARLE NC 16‐Oct‐13 

11 8 14 VALLEY COMMERCE BANCORP VISALIA CA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $7 700 000.00 $0.00 $9 403 400.50 Redeemed i

VALLEY COMMERCE BANCORP VISALIA CA 21‐Mar‐12 

8 VALLEY COMMUNITY BANK PLEASANTON CA 9‐Jan‐09 Preferred Stock w/ Exercised Warrants $5 500 000.00 $0.00 $2 947 090.75 Sold i

VALLEY COMMUNITY BANK PLEASANTON CA 21‐Oct‐13 

VALLEY COMMUNITY BANK PLEASANTON CA 6‐Jan‐14 

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12‐Dec‐08 Preferred Stock w/ Warrants $16 019 000.00 $0.00 $21 311 670.48 Redeemed i

VALLEY FINANCIAL CORPORATION ROANOKE VA 14‐Nov‐12 VALLEY FINANCIAL CORPORATION ROANOKE VA 20‐Feb‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 15‐May‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 14‐Aug‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 16‐Oct‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 13‐Nov‐13 

8 44 14 VALLEY FINANCIAL GROUP LTD. SAGINAW MI 18‐Dec‐09 Preferred Stock w/ Exercised Warrants $1 300 000.00 $0.00 $1 489 774.73 Redeemed i

VALLEY FINANCIAL GROUP LTD. SAGINAW MI 22‐Sep‐11 

11 VALLEY NATIONAL BANCORP WAYNE NJ 14‐Nov‐08 Preferred Stock w/ Warrants $300 000 000.00 $0.00 $318 400 781.94 Redeemed i

VALLEY NATIONAL BANCORP WAYNE NJ 3‐Jun‐09 

VALLEY NATIONAL BANCORP WAYNE NJ 23‐Sep‐09 

VALLEY NATIONAL BANCORP WAYNE NJ 23‐Dec‐09 

VALLEY NATIONAL BANCORP WAYNE NJ 24‐May‐10 

8 41 44 VERITEX HOLDINGS INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $3 000 000.00 $0.00 $3 503 795.81 Redeemed i

VERITEX HOLDINGS INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 25‐Aug‐11 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1‐May‐09 Preferred Stock w/ Warrants $14 738 000.00 $0.00 $6 933 870 05 So

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 19‐Nov‐13 

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 6‐Jan‐14 

11 VIRGINIA COMMERCE BANCORP INC. ARLINGTON VA 12‐Dec‐08 Preferred Stock w/ Warrants $71 000 000.00 $0.00 $118 453 138.89 Redeemed i

VIRGINIA COMMERCE BANCORP INC. ARLINGTON VA 11‐Dec‐12 

VIRGINIA COMMERCE BANCORP INC. ARLINGTON VA 31‐Jan‐14 

8 17 V RGINIA COMPANY BANK NEWPORT NEWS VA 12‐Jun‐09 Preferred Stock w/ Exercised Warrants $4 700 000.00 $0.00 $3 694 442.50 Sold i

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8‐Aug‐13 

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Aug‐13 

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Sep‐13 

11 8 14 VISION BANK ‐ TEXAS RICHARDSON TX 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $1 500 000.00 $0.00 $1 898 258.59 Redeemed i

VISION BANK ‐ TEXAS RICHARDSON TX 28‐Dec‐12 

VISION BANK ‐ TEXAS RICHARDSON TX 10‐Jul‐13 

VIST FINANCIAL CORP. WYOMISSING PA 19‐Dec‐08 Preferred Stock w/ Warrants $25 000 000.00 $0.00 $30 710 646.33 Redeemed i

VIST FINANCIAL CORP. WYOMISSING PA 1‐Aug‐12 

45 8 14 W.T.B. FINANCIAL CORPORATION SPOKANE WA 30‐Jan‐09 Preferred Stock w/ Exercised Warrants $110 000 000.00 $0.00 $131 236 874.33 Redeemed i

W.T.B. FINANCIAL CORPORATION SPOKANE WA 15‐Sep‐11 

8 17 11 WACHUSETT FINANCIAL SERVICES INC. CLINTON MA 11‐Dec‐09 Preferred Stock w/ Exercised Warrants $12 000 000.00 $0.00 $14 731 826.23 Redeemed i

WACHUSETT FINANCIAL SERVICES INC. CLINTON MA 4‐Apr‐12 

WACHUSETT FINANCIAL SERVICES INC. CLINTON MA 30‐Jan‐13 

WACHUSETT FINANCIAL SERVICES INC. CLINTON MA 23‐Apr‐14 

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 19‐Dec‐08 Preferred Stock w/ Warrants $22 000 000.00 $0.00 $23 592 311.11 Redeemed i

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 24‐Nov‐09 

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 16‐Dec‐09 

11 16 WASHINGTON BANKING COMPANY OAK HARBOR WA 16‐Jan‐09 Preferred Stock w/ Warrants $26 380 000.00 $0.00 $30 628 344.45 Redeemed i

WASHINGTON BANKING COMPANY OAK HARBOR WA 12‐Jan‐11 

WASHINGTON BANK NG COMPANY OAK HARBOR WA 2‐Mar‐11 

11 WASHINGTON FEDERAL INC. SEATTLE WA 14‐Nov‐08 Preferred Stock w/ Warrants $200 000 000.00 $0.00 $220 749 985. 8 Redeemed i

WASHINGTON FEDERAL INC. SEATTLE WA 27‐May‐09 

WASHINGTON FEDERAL INC. SEATTLE WA 15‐Mar‐10 
FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2 Investme

8 8 21 44 WASHINGTONFIRST BANKSHARES INC. RESTON VA 30‐Jan‐09 Preferred Stock w/ Warrants $6 633 000.00 $0.00 $15 317 317 86 Redeemed i

WASHINGTONFIRST BANKSHARES INC. RESTON VA 30‐Oct‐09 $6 842 000.00

WASHINGTONFIRST BANKSHARES INC. RESTON VA 4‐Aug‐11 

8 17 WAUKESHA BANKSHARES INC. WAUKESHA WI 26‐Jun‐09 Preferred Stock w/ Exercised Warrants $5 625 000.00 $0.00 $6 398 893.44 Sold i

WAUKESHA BANKSHARES INC. WAUKESHA WI 6‐Feb‐13 

WAUKESHA BANKSHARES INC. WAUKESHA WI 7‐Feb‐13 

WAUKESHA BANKSHARES INC. WAUKESHA WI 8‐Feb‐13 

WAUKESHA BANKSHARES INC. WAUKESHA WI 26‐Mar‐13 

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 21‐Nov‐08 Preferred Stock w/ Warrants $400 000 000.00 $0.00 $457 333 286.51 Redeemed i

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3‐Mar‐10 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 13‐Oct‐10 WEBSTER FINANCIAL CORPORATION WATERBURY CT 29‐Dec‐10 WEBSTER FINANCIAL CORPORATION WATERBURY CT 8‐Jun‐11 

11 WELLS FARGO & CO. MINNEAPOLIS MN 28‐Oct‐08 Preferred Stock w/ Warrants $25 000 000 000.00 $0.00 $27 281 347 113.95 Redeemed i

WELLS FARGO & CO. MINNEAPOLIS MN 23‐Dec‐09 

WELLS FARGO & CO. MINNEAPOLIS MN 26‐May‐10 

11 WESBANCO INC. WHEELING WV 5‐Dec‐08 Preferred Stock w/ Warrants $75 000 000.00 $0.00 $78 804 166.67 Redeemed i

WESBANCO INC. WHEELING WV 9‐Sep‐09 

WESBANCO INC. WHEELING WV 23‐Dec‐09 

11 WEST BANCORPORATION INC. WEST DES MOINES IA 31‐Dec‐08 Preferred Stock w/ Warrants $36 000 000.00 $0.00 $41 195 000 00 Redeemed i

WEST BANCORPORATION INC. WEST DES MOINES IA 29‐Jun‐11 

WEST BANCORPORATION INC. WEST DES MOINES IA 31‐Aug‐11 

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 13‐Feb‐09 Preferred Stock w/ Warrants $83 726 000.00 $0.00 $87 360 236 61 Redeemed i

WESTAMERICA BANCORPORATION SAN RAFAEL CA 2‐Sep‐09 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 8‐Nov‐09 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 21‐Nov‐11 

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 21‐Nov‐08 Preferred Stock w/ Warrants $140 000 000.00 $0.00 $160 365 000.00 Redeemed i

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 27‐Sep‐11 

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 23‐Nov‐11 

8 WESTERN COMMUNITY BANCSHARES INC. PALM DESERT CA 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $7 290 000.00 $7 290 000.00 $554 083.00 Full investment out

8 14 18 WESTERN ILLINOIS BANCSHARES INC. MONMOUTH IL 23‐Dec‐08 Preferred Stock w/ Exercised Warrants $6 855 000.00 $0.00 $13 053 910.87 Sold i

WESTERN ILLINOIS BANCSHARES INC. MONMOUTH IL 29‐Dec‐09 $4 567 000.00

WESTERN ILLINOIS BANCSHARES INC. MONMOUTH IL 8‐Nov‐12 

WESTERN ILLINOIS BANCSHARES INC. MONMOUTH IL 9‐Nov‐12 

WESTERN ILLINOIS BANCSHARES INC. MONMOUTH IL 11‐Jan‐13 

8 78 11 WESTERN RESERVE BANCORP INC. MEDINA OH 15‐May‐09 Preferred Stock w/ Exercised Warrants $4 700 000.00 $0.00 $5 842 197.92 Redeemed i

WESTERN RESERVE BANCORP INC. MEDINA OH 0‐Nov‐12 

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 20‐Feb‐09 Preferred Stock w/ Exercised Warrants $16 800 000.00 $16 800 000.00 $1 589 583 00 Full investment out

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 19‐Dec‐08 Preferred Stock w/ Warrants $300 000 000.00 $0.00 $343 733 333.33 Redeemed i

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 3‐Jun‐11 

11 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 12‐Dec‐08 Preferred Stock w/ Warrants $330 000 000.00 $0.00 $369 920 833.33 Redeem

WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 13‐May‐11 

WILSHIRE BANCORP NC. LOS ANGELES CA 12‐Dec‐08 Preferred Stock w/ Warrants $62 158 000.00 $0.00 $68 809 170.52 Sold i

WILSHIRE BANCORP NC. LOS ANGELES CA 3‐Apr‐12 

WILSHIRE BANCORP INC. LOS ANGELES CA 20‐Jun‐12 

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 19‐Dec‐08 Preferred Stock w/ Warrants $250 000 000.00 $0.00 $300 704 730.81 Redeemed i

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 22‐Dec‐10 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 14‐Feb‐11 

8 14 WORTHINGTON FINANCIAL HOLDINGS INC. HUNTSVILLE AL 15‐May‐09 Preferred Stock w/ Exercised Warrants $2 720 000.00 $0.00 $2 780 391.21 Sold i

WORTHINGTON FINANCIAL HOLDINGS INC. HUNTSVILLE AL 24‐Jun‐13 

WORTHINGTON FINANCIAL HOLDINGS INC. HUNTSVILLE AL 26‐Jul‐13 WSFS FINANCIAL CORPORATION WILMINGTON DE 23‐Jan‐09 Preferred Stock w/ Warrants $52 625 000.00 $0.00 $57 640 856 64 Sold i

WSFS FINANCIAL CORPORATION WILMINGTON DE 3‐Apr‐12 

WSFS FINANCIAL CORPORATION WILMINGTON DE 12‐Sep‐12 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 16‐Jan‐09 Preferred Stock w/ Warrants $36 000 000.00 $0.00 $52 383 419 85 Sold i

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 24‐Jul‐09 $13 312 000.00

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 18‐Sep‐12 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 10‐Jun‐13 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 11‐Jun‐13 

45 8 14 YORK TRADITIONS BANK YORK PA 24‐Apr‐09 Preferred Stock w/ Exercised Warrants $4 871 000.00 $0.00 $5 705 022.14 Redeemed i

YORK TRADITIONS BANK YORK PA 14‐Jul‐11 

11 ZIONS BANCORPORATION SALT LAKE CITY UT 14‐Nov‐08 Preferred Stock w/ Warrants $1 400 000 000.00 $0.00 $1 661 027 529.62 Redeemed i

ZIONS BANCORPORATION SALT LAKE CITY UT 28‐Mar‐12 

ZIONS BANCORPORATION SALT LAKE CITY UT 26‐Sep‐12 

ZIONS BANCORPORATION SALT LAKE CITY UT 5‐Dec‐12 

TOTALS $204,894,726,320.00 $1,751,205,601.88 $225,196,649,433.03 
Footnote Footnote Description

1 All pricing is at par.2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (l3 Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBL4 Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees 

(per issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in papproximately one month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the 

"Gain" column. Note that "(Fee)" is a negative number.

6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualify

that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was complete1/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of Ame

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,3appear on a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferr9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part o

million or less.

10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.12 Redemption pursuant to a qualified equity offering.13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repaymen14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless 16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, t

half.

17 This institution participated in the expansion of CPP for small banks.18 This institution received an additional investment through the expansion of CPP for small banks.19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Pro

billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of TreasurSeries H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 anfor Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/200common stock and the associated warrant terminated on receipt of certain shareholder approvals.

20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non 

III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this t

21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like a

holding companies. The institution in which Treasury's original investment was made is shown in parentheses.

22 As of the date of this report, this institution is in bankruptcy proceedings.
Footnote Footnote Description

23 On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred 

contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for d

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amo

Capital Trust II, administrative trustee for Superior Bancorp.

25 On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the 

Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a binvestment.

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any cre

extinguished.

27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for 

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued anrelated to its capital plan, the MCP may be converted to common stock.

28 On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an 

from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial 

29 On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Indepe

which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously acsecurities purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the Mspecified in such agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent 

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury 

the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain ptime during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,0ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 sharesDisposition" on following page for the actual number of shares sold by Morgan Stanley, the weighted average prduring those periods.

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Cor

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,00378,750,000 shares of common stock.
Footnote Footnote Description

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was close

Deposit Insurance Corporation (FDIC) was named Receiver.

33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation fo

by First Merchants Capital Trust III.

34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $42

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converreceived all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp hmeetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) ca

Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initpreviously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions sMCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outright to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock a

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has complet

investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.

37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the tota

Therefore this disposition amount does not represent cash proceeds to Treasury.

38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Banks

preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton enteconditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequ

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of al

Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satis

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and un

than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (t

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the acquiror entered into on 3/23/2011.

42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the 

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously aamong Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were a
Footnote Footnote Description

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank o

("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.

44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 usin

Small Business Lending Fund.

45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - par

connection with the institution’s participation in the Small Business Lending Fund.

46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was c

Federal Deposit Insurance Corporation (FDIC) was named Receiver.

47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Fina

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the 

Deposit Insurance Corporation (FDIC) was named Receiver.

49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by 

Corporation (FDIC) was named Receiver.

50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was c

Deposit Insurance Corporation (FDIC) was named Receiver.

51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Fin

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank C

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and w

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FN

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the 

acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued anamong Treasury, the acquired company and the acquiror entered into on 9/16/2011.

55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens B

Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in co

Fund, which occurred at a later date.

57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illin

Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Cre

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an 

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, In

Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an Bancorp, Inc. entered into on 11/30/2011.
Footnote Footnote Description

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that ha

(“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale wthe agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkv

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acq

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquir

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Ca

amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that recRegents.

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Ban

Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was close

Federal Deposit Insurance Corporation (FDIC) as receiver.

65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’

subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory comp

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Com

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Commu

and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of secuTreasury, the acquired company and the acquiror entered into on 7/19/2012.

68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was c

Deposit Insurance Corporation (FDIC) as receiver.

69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) purs

Pinnacle at a discount subject to the satisfaction of the conditions specified in the agreement.

70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulatio

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pett

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") an

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Commagency agreement executed on 10/23/2012.

73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the D74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common s

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuW Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capita

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp

Federal Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Footnote Description

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to 

discount subject to the satisfaction of the conditions specified in the agreement.

77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 0

had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchapursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.

78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to 

B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued a

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) ba

pursuant to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.

80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWes

Bancshares, Inc. (“Starbuck”) entered into on 12/11/2012.

81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Co

all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,6Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among 

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,9

per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent noagency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or p

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“B

Corporation (“Trustmark”) entered into on 02/11/2013.

84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG fo

the agreement between Treasury and FBG entered into on 2/12/13.

85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) w

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stexchanged its Pacific International warrant for an equivalent warrant issued by BBCN.

86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, da

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for com

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreeparty thereto.

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common s

such shares of common stock on 3/19/2013.

89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock a

amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treaentered into on 4/1/2013.

90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Ba

Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corp
Footnote Footnote Description

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial I

named Receiver.

92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern 93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB

agreed to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in 

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in 

implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 20terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock 9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered 

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Easte96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of c

preference of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stocommon stock upon the receipt of certain shareholder approvals.

97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankru

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to conhttp://www.treasury.gov/initiatives/financial-stability/reports/Pages/Monthly-Report-to-Congress.aspx.

98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exch

common stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisCPP warrant and preferred stock for common stock was completed and Treasury sold such common stock to pu11/15/2013.

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary o

the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC 

corporation (CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchato the terms of an agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.

102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company 

which Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the co12/31/2013.

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho 

Corporation (FDIC) as receiver.

104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc

issued to Treasury by Alaska Pacific Bancshares, Inc.

105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to 

to BCAR at a discount subject to the satisfaction of the conditions specified in the agreement.

106 On April 24, 2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BB

securities purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the p
Footnote Footnote Description

107 On April 25, 2014, Treasury entered into a securities purchase agreement with Provident Community Bankshare

which Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to 4/30/2014.

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idah109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock fo

4/29/2014, with Northern States Financial Corporation, and immediately sold the resulting Northern States Finanagreements, each dated as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, SEndeavour Regional Bank Opportunities Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB In
Pricing Mechanism6 Number of Shares Proceeds7

4/26/2010 -

5/26/2010

1

$4.1217 1,500,000,000 $ 6,182,493,158 

5/26/2010 - 

6/30/2010

2

$3.8980 1,108,971,857 $ 4,322,726,825 

7/23/2010 - 

9/30/2010

3

$3.9090 1,500,000,000 $ 5,863,489,587 

10/19/2010 - 

12/6/2010

4

$4.2609 1,165,928,228 $ 4,967,921,811 

12/6/2010

5

$4.3500 2,417,407,607 $ 10,515,723,090 

Total Proceeds: $31,852,354,471

4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was 5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of 6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the cours7/ Amount represents the gross proceeds to Treasury.

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.

COMMON STOCK DISPOSITION

Date

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agecommon stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the s2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agecommon stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sa3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agecommon stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of 
Name of Institution City State Investment Description Amount from CPP Additional 

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 

1 2 8/6/2010 Southern Bancorp Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 

1, 4 8/13/2010 Premier Bancorp, Inc. Wilmette L Subordinated Debentures $ 6,784,000 $ 

1 8/13/2010 Preferred Stock $ 7,462,000 $ 

2a 9/17/2010 Preferred Stock $ - $ 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ 

1 8/20/2010 Preferred Stock $ 5,500,000 $ 

2a 9/24/2010 Preferred Stock $ - $ 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ 

1 3 8/27/2010 Carver Bancorp Inc New York NY Common Stock $ 18,980,000 $ 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ 

1 9/3/2010 BW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ 

1, 2 9/10/2010 BC Bancorp, Inc. Chicago L Subordinated Debentures $ 4,205,000 $ 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook L Subordinated Debentures $ - $ 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park L Subordinated Debentures $ 7,875,000 $ 

1 2 9/24/2010 Liberty Financial Services Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 

1, 7 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ 

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ 

- $ 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ 

- $ 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

6 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ 

- $ 

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

6 9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ 

- $ 

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ 

- $ 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ 

- $ 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ 

- $ 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ 

- $ 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ 

- $ 

6 9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ 

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ - $ 

9/24/2010 Thurston Union of Low-Income People (TUL P) Cooperative Credit Union Olympia WA Subordinated Debentures $ - $ 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ - $ 9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ - $ 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ - $ 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ - $ 9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ - $ 

6 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ 

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ 

- $ 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ 

- $ 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ 

- $ 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ 

- $ 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 

18,000,000 $ 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 

1,747,000 $ 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 

5,000,000 $ 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 

50,400,000 $ 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 

30,000,000 $ 

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 15,750,000 $ 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 4,551,000 $ 

1, 7 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ 

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 

54,600,000 $ 

1 9/29/2010 First Vernon Bancshares Inc. Vernon AL Preferred Stock $ 

6,245,000 $ 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details 

Citizens Bancshares Corporation Atlanta GAMission Valley Bancorp Sun Valley CA
Name of Institution City State Investment Description Amount from CPP Additional 

Footnote Purchase Date 

Seller Purchase Details 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ 

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ 

- $ 

8 9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ 

- $ 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ 

- $ 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ 

- $ 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ 

- $ 

6 9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ 

- $ 

6 9/29/2010 UNITEHERE Federal Credit Union (Workers United Federal Credit Union) New York NY Subordinated Debentures $ 

- $ 

9/29/2010 North Side Community Federal Credit Union Chicago L Subordinated Debentures $ - $ 9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ 

9/29/2010 Community Plus Federal Credit Union Rantoul L Subordinated Debentures $ - $ 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ 

- $ 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ 

- $ 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ 

- $ 

6 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ 

- $ 

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ 

6 9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ 

- $ 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ 

- $ 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ 

- $ 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ 

- $ 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ 

- $ 

Total Purc

9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Trea

TOTAL TREASURY 

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the C2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.4/ On 3/23/2012, Premier Bank, Wilmette, L, the banking subsidiary of Premier Bancorp, Inc., was closed by the llinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurcreditors as a result of the liquidation of Premier Bancorp, Inc.5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised Warrants $ Par 12/30/2009 5,000,000,000 Exchange for convertible preferred stock $ N/A 5,000,000,000

12/30/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ Par 1,250,000,000 22, 26 12/30/2010 Partial conversion of preferred stock for common stock $ N/A 26 5,500,000,000 12/30/2009 Purchase GMAC Trust Preferred Securities w/ Exercised Warrants $ 2,540,000,000 Par 3/1/2011 Exchange for amended and restated Trust Preferred Securities $ 2,667,000,000 N/A 27 GMAC (Ally) 

12/29/2008 Purchase General Motors Corporation Debt Obligation 884,024,131 $ Par 2 5/29/2009 Exchange for equity interest in GMAC $ N/A 884,024,131 3

7/10/2009 Exchange for preferred and common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 2,000,000,000 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 10

6/3/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 30,100,000,000 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM 7,072,488,605 $ N/A 97/10/2009 Debt left at Old GM 985,805,085 $ N/A 9 Motors Liquidation Company 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional Note $ Par 1,500,000,000 13 

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Inves

City, State Date Transaction Type

Amount 

Pricing 

Seller Description Amount Mechanism Obligor 

Pricing 

Mechanism Date Type

3

3

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 2

22 12/30/2009 Partial conversion of preferred stock for common stock $ N/A 3,000,000,000

General Motors Holdings LLC

5/21/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ 7,500,000,000

GMAC (Ally)

Par

5/20/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 4,000,000,000

Par

General Motors 

Company

10

5 7/10/2009 

Exchange for preferred and common stock in New GM $ 4,000,000,000 N/A

7

1

Chrysler 

FinCo

Farmington 

Hills, MI

6 7/10/2009 Exchange for preferred and common stock in New GM $ 360,624,198 N/A 7

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ 13,400,000,000

5/27/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 360,624,198
1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 6/10/2009 4,000,000,000 Transfer of debt to New Chrysler $ N/A 500,000,000 19 Chrysler Holding 

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 280,130,642 15 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ 1,888,153,580 16 4/30/2010 (1,888,153,580) $ N/A 23 Old Carco Liquidation Trust 

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ - - 17 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional Note, Zero Coupon Note, Equity

$ N/A 6,642,000,000

18

6/10/2009 Issuance of equity in New Chrysler $ N/A - Chrysler Group LLC 1

Chrysler Group LLC

Total Initial Investment Amount 81,344,932,551 $ 

Total Treasury Investment Amount

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally")."Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company."New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11."Chrysler FinCo" refers to Chrysler Financial Services Americas LLC."Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC"."Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).

$ 13,786,055

Footnotes appear on following page.As used in this table and its footnotes:

Chrysler Auburn Hills, MI

Completion of bankruptcy proceeding; transfer of collateral security to liquidation trust

4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principa7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government ent9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assby green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM. "New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until th16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend 18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a ne6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acq19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table abo11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company o"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount o14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without rliquidation from time to time of the specified collateral security attached to such loan.24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the 25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,0
City State

Adjustment

Amount 

6

7/8/2009 3 $ (500,000,000) 

7 

$ 5,000,000,000 

38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertof common stock to be issued (the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasstock in Ally.28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain cby the Plan of Liquidation. Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milesFiat, through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an agreement with the UAW retirement trust pertaining to the trust's shares in Chrysler.31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. 

Pricing Mechanism

Adjustment De

Name of Institution

Adjustment 

Date

34 On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period endin35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 share

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

Investment 

Amount

37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period en39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon 40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000. 41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.

$ $ 

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

Debt Obligation w/ Additional Note $ 3,500,000,000 N/A

7/8/2009 3 $ (1,000,000,000)

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement wa2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully execute3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.5/ All outstanding principal drawn under the credit agreement was repaid.

N/A $ 

$ 

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735

6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the 7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the to
Pricing Mechanism1 Number of Shares Proceeds2

01/18/13 – 

04/17/13

3

$28.0490 58,392,078 $ 1,637,839,844 

05/6/13 – 

9/13/2013

4

$34.6461 110,336,510 $ 3,822,724,832 

9/26/13 – 

11/20/13

5

$36.5087 70,214,460 $ 2,563,441,956 

11/21/2013 - 

12/9/2013

6

$38.8228 31,122,206 $ 1,208,249,982 

Total Proceeds: $9,232,256,614

3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale 

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over 2/ Amount represents the gross proceeds to Treasury.4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September authority occurred on September 13, 2013.5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of 6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to cduring the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurre
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining 

Capital Amount

Remaining Capital 

Description Final Dispo

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2

1/16/2009

Bank of America Corporation Charlotte NC Purchase

Preferred Stock w/ Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2

TOTAL $ 40,000,000,000 $ 40,000,000,000 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock for trust preferred securities Trust Preferr

Securities w/ 

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities received from the FDIC Trust Preferr

Securities

7 2/4/2013

Exchange Trust preferred securities for subordinated note

Subordinated 

TOTAL $ 0 

3

7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the T8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggrega5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by 

Guarantee Limit 

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Tthat, subject to the conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain mod1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchangTrust Preferred Securities. 

Type

Description Amount Footnote Date 

Guarantee

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment 

AMOUNT To

TOTAL TREASURY TIP INVESTMENT AMOUNT

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchang

Preferred Stock, Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Descri

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details 

Seller

Type Description

Exchange trust preferred securities for trust preferred securities

4 9/29/2010 

1 1/16/2009 Citigroup Inc. $ 4,034,000,000 

Trust PreferrSecurities w/ 

New York NY Master Agreement $ 5,000,000,000 Preferred Stock w/ Warrants
Seller 

Name of Institution City State 

Transaction 

Type Investment Amount 

2, 3 4/17/2009 AIG New York NY Purchase $ Par 

29,835,000,000

TOTAL $ 69,835,000,000 

Note Date Investment Description 

$ 

2,000,000,00

Footnotes appear on following page.

167,623,733

Preferred Stock (Series F)

Exchange ParExchange

AIA Preferred Units 16,916,603,56

$ 

ALICO Junior Preferred Interests $ 3,375,328,43

4 1/14/2011

Preferred Stock (Series G)

Exchange N/A

1 11/25/2008 AIG New York NY Preferred Stock w/ Warrants (Series D) Purchase $ 40,000,000,000 Par

Preferred Stock w/ Warrants (Series F)

Treasury Holdings Post-Recapitalization 

Transaction Type

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details 

Investment Description Pricing Mechanism 

Pricing Mechanism Investment Description Amount / Shares

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order focumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

AIG POST-RECAPITALIZATION

Recapitalization

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $11

5 1/14/2011 Preferred Stock (Series E) Exchange

1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

562,868,096

6

924,546,133
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common st11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closStock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has t13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (S6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.
Name of Institution City State 

7

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

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 ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will 

1 3/3/2009 TALF LLC Wilmington DE

2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,003/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.

Purchase Debt Obligation w/ Additional Note

4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outsta

$ N/A 20,000,000,000 

6

1
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 

3

Senior 

Proc

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 4,377,249 $ 

$ 

3/19/2010 $ 7,617,617 109 - 3/24/2010 8,279,156 $ 

$ 

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 8,716,265 $ 

$ 

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 26,041,643 $ 

$ 

4/8/2010 $ 8,900,014 107 5 - 4/30/2010 9,598,523 $ 

$ 

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 11,511,052 $ 

$ 

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 14,151,229 $ 

$ 

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 9,717,173 $ 

$ 

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 9,294,363 $ 

$ 

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 18,801,712 $ 

$ 

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 38,273,995 $ 

$ 

6/17/2010 $ 28 209 085 112.028 - 8/30/2010 $ 31 693 810 $ 

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 7/14/2010 $ 13 183 361 111.86 - 9/30/2010 $ 14 789 302 $ 7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 8/17/2010 $ 8 279 048 110.198 - 9/30/2010 $ 9 150 989 $ 8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 

8/31/2010 $ 9 272 482 110.515 - 9/29/2010 $ 10 277 319 $ 8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 8,940,780 $ 

$ 

9/14/2010 $ 5,750,000 106 5 - 11/30/2010 6,134,172 $ 

$ 

9/14/2010 $ 5,741,753 110 5 - 11/30/2010 $ 6,361,173 $ 

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 13,109,070 $ 

$ 

9/28/2010 $ 13,402,491 113 9 - 11/30/2010 15,308,612 $ 

$ 

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds 

$ 

TOTAL INVESTMENT AMOUNT 368,145,452 $ 

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adj6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMthe 11th business day of each month).

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

Floating Rate SBA 7a security due 2024 -

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CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -Floating Rate SBA 7a security due 2022 -

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior seis listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The applicable month's factor (on or about the 11th business day of each month).4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each rethe product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par vaMaster Purchase Agreement.

Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2034

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8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUS Ps that were originally purchased as TBAs only after the applicable month's factor has been pu

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Floating Rate SBA 7a security due 2017Floating Rate SBA 7a security due 2034Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2019Floating Rate SBA 7a security due 2020

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Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020
Name of Institution City State Date Amount Date Amount Am

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 156,250,000 $ 1/4/2010 4 156,250,000 $ $ 1

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Ob igation w/ Contingent Proceeds 2,222,222,222 $ Par 1/4/2010 4 200,000,000 $ 1/4/2010 4 200,000,000 $ 2

$ 

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 $ 856,000,000 $ 5

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,488,875,000 $ 9/26/2011 8 1,161,920,000 $ 1,1

$ 

CREDIT MARKET PROGRAMS

LEGACY SECURITIES PUBLIC PRIVATE INVESTMENT PROGRAM (S PPIP)

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,262,037,500 $ 7/16/2010 1,149,487,000 $ 1,1

$ 

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,524,075,000 $ 7/16/2010 2,298,974,000 $ 2,2

$ 

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 1,150,423,500 $ $ 1,0

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,488,875,000 $ 7/16/2010 2,300,847,000 $ 12 2,1

$ 
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 $ 694,980,000 $ 5

2 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,488,875,000 $ 7/16/2010 1,389,960,000 $ $ 1,0

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ Par 3/22/2010 6 1,271,337,500 1,111,111,111 $ 7/16/2010 1,243,275,000 $ 1,1

$ 

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,542,675,000 $ 7/16/2010 2,486,550,000 $ $ 2,2
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

1 11/4/2009 RLJ Western Asset Pub ic/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 $ 620,578,258 $ 6

2 11/4/2009 RLJ Western Asset Pub ic/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,488,875,000 $ 7/16/2010 1,241,156,516 $ $ 1,2

1 11/25/2009 Marathon Legacy Secur ties Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 $ 474,550,000 $ 4

2 11/25/2009 Marathon Legacy Secur ties Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,488,875,000 $ 7/16/2010 $ 949,100,000 $ 9
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest 1,111,111,111 $ Par 3/22/2010 6 1,244,437,500 $ 7/16/2010 1,160,784,100 $ $ 5
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222,222 $ Par 3/22/2010 6 2,488,875,000 $ 7/16/2010 2,321,568,200 $ $ 1,1

$ 30,000,000,000 $ 21,856,403,574 

TOTAL CAPITA

1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equ ty capital obligations.2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.3/ Adjusted to show Treasury's maximum obligations to a fund.4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investme

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt comm tment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted 6/ Fo lowing termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital ob igation and $267 million of maximum debt obligation were reallocated per fund

The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance w th the Limited Partnership Agreement. As a resu t, the Final Investment Amount, representing Treasury's debt ob igation, has been reduced to the cumulative amount of debt funded.9/ Cumulative capital drawn at end of the Investment Period.10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending 4/23/2014

MAKING HOME AFFORDABLE PROGRAM

Name of Institution City State Pricing Mechanism Note

21st Mortgage Corporation Knoxville TN - N/A 3 

AgFirst Farm Credit Bank Columbia SC $ 100,000 N/A 

Allstate Mortgage Loans & Investments, Inc. Ocala FL $ 250,000 N/A Amarillo National Bank Amari lo TX $ 100,000 N/A American Eagle Federal Cred t Union East Hartford CT $ 1,590,000 N/A 

American Finance House LARIBA Pasadena CA $ 100,000 N/A 

American Financial Resources Inc. Parsippany NJ $ 100,000 N/A AMS Servicing, LLC Buffalo NY $ 4,390,000 N/A 

03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 06/28/2012 06/14/2012 04/16/2012 11/16/2011 09/15/2011 06/29/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

02/02/2011 

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

01/25/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 09/30/2010 07/14/2010 03/26/2010 12/30/2009 

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/23/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/14/2013 Purchase Financial Instrument for Home Loan Modifications 03/14/2013 

Servicer Modifying Borrowers' Loans 

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Adjustme

Date

04/16/2014 03/26/2014 01/16/2014 12/23/2013 12/16/2013 03/25/2013 
Aurora Financial Group, Inc. Marlton NJ $ 10,000 N/A Aurora Loan Services, LLC Littleton CO $ 798,000,000 N/A 

11 

Banco Popular de Puerto Rico San Juan PR $ 1,700,000 N/A Bangor Savings Bank Bangor ME - N/A 3 Bank of America, N.A. Simi Valley CA $ 798,900,000 N/A 

11/16/2011 10/14/2011 08/16/2011 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 09/30/2010 07/14/2010 03/26/2010 01/26/2010 12/30/2009 09/30/2009 

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/15/2011 

04/16/2014 03/26/2014 01/16/2014 12/23/2013 09/27/2013 09/16/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

07/09/2013 06/27/2013 06/14/2013 05/16/2013 03/25/2013 11/15/2012 09/27/2012 08/23/2012 08/16/2012 07/16/2012 06/28/2012 04/16/2012 03/15/2012 10/14/2011 06/29/2011 05/13/2011 03/30/2011 01/06/2011 

09/30/2010 09/01/2010 

07/14/2010 03/26/2010 

12/30/2009 09/30/2009 

05/01/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 

03/26/2014 12/23/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 09/30/2010 

05/21/2010 Purchase Financial Instrument for Home Loan Modifications 05/26/2010 

04/16/2014 

03/26/2014 03/14/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 

10/15/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 

06/14/2013 05/16/2013 04/16/2013 
7 7 

Bank of America, N.A. (BAC Home Loans Servicing LP) Simi Valley CA $ 1,864,000,000 N/A Bank United Miami Lakes FL $ 93,660,000 N/A 

02/14/2013 12/27/2012 09/27/2012 06/28/2012 03/15/2012 06/29/2011 03/30/2011 03/16/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/16/2013 10/15/2013 09/27/2013 

09/16/2013 08/15/2013 07/16/2013 06/27/2013 

06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 

12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 08/10/2012 07/16/2012 06/28/2012 

06/14/2012 05/16/2012 04/16/2012 03/15/2012 02/16/2012 12/15/2011 11/16/2011 

10/19/2011 10/14/2011 09/15/2011 08/16/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 

04/13/2011 03/30/2011 03/16/2011 02/16/2011 01/06/2011 12/15/2010 

09/30/2010 09/30/2010 07/14/2010 06/16/2010 04/19/2010 03/26/2010 01/26/2010 12/30/2009 09/30/2009 

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

10/16/2013 08/10/2012 06/28/2012 05/16/2012 
Bay Federal Credit Union Capitola CA $ 410,000 N/A 

Bay Gulf Credit Union Tampa FL $ 230,000 N/A 

Bayview Loan Servicing, LLC Coral Gables FL $ 44,260,000 N/A Bramble Savings Bank Cincinanati OH $ 700,000 N/A 

Bridgelock Capital dba Peak Loan Servicing Woodland Hills CA - N/A 3 

04/16/2014 12/16/2013 

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/16/2013 

08/10/2011 06/29/2011 03/30/2011 01/06/2011 

08/20/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 03/15/2012 02/16/2012 01/13/2012 10/14/2011 09/15/2011 06/29/2011 05/13/2011 04/13/2011 

03/30/2011 

01/06/2011 

09/30/2010 09/30/2010 07/14/2010 05/07/2010 03/26/2010 12/30/2009 

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

10/15/2010 09/30/2010 

07/14/2010 

03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

01/25/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

09/16/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 02/13/2014 12/23/2013 12/16/2013 11/14/2013 09/27/2013 

09/16/2013 06/27/2013 

05/16/2013 03/25/2013 
Ca iber Home Loans, Inc (Vericrest 

Financial Inc.) Oklahoma City OK - N/A 3 

California Housing Finance Agency Sacramento CA - N/A 3 

Capital International Financial, Inc. Coral Gables FL $ 100,000 N/A Carrington Mortgage Services, LLC Santa Ana CA $ 195,000,000 N/A 

03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 02/16/2012 11/16/2011 09/15/2011 08/16/2011 06/29/2011 03/30/2011 01/13/2011 01/06/2011 12/15/2010 09/30/2010 08/13/2010 07/14/2010 

03/26/2010 12/30/2009 09/30/2009 

04/27/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 

03/14/2014 Purchase Financial Instrument for Home Loan Modifications 03/14/2014 

03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 09/27/2013 06/27/2013 05/16/2013 03/25/2013 01/16/2013 12/27/2012 11/15/2012 09/27/2012 06/28/2012 04/16/2012 01/13/2012 12/15/2011 07/14/2011 06/29/2011 03/30/2011 03/16/2011 02/16/2011 01/06/2011 09/30/2010 

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/15/2010 
CCO Mortgage, a division of RBS Citizens NA Glen Allen VA $ 16,520,000 N/A Central Florida Educators Federal Cred t Union Lake Mary FL $ 1,250,000 N/A Central Jersey Federal Credit Union Woodbridge NJ $ 30,000 N/A 

Centrue Bank Ottawa IL $ 1,900,000 N/A 

Chase Home Finance, LLC Iselin NJ $ 3,552,000,000 N/A 1 Cheviot Savings Bank Cincinnati OH - N/A 3 

CitiMortgage, Inc. O'Fallon MO $ 2,071,000,000 N/A 

02/16/2012 01/13/2012 12/15/2011 11/16/2011 10/14/2011 09/15/2011 08/16/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 02/16/2011 01/13/2011 01/06/2011 11/16/2010 10/15/2010 

09/30/2010 09/30/2010 09/15/2010 08/13/2010 07/16/2010 07/14/2010 06/16/2010 05/14/2010 04/19/2010 03/26/2010 12/30/2009 09/30/2009 

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

06/27/2013 

06/14/2013 Purchase Financial Instrument for Home Loan Modifications 06/14/2013 

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 07/31/2009 

03/09/2011 01/06/2011 

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

10/29/2010 09/30/2010 07/14/2010 03/26/2010 12/30/2009 

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/16/2014 03/26/2014 
Citizens Community Bank Freeburg IL $ 800,000 N/A 

Citizens First National Bank Spring Va ley IL $ 620,000 N/A Citizens First Wholesale Mortgage Company The Villages FL $ 30,000 N/A 

Commun ty Bank & Trust Company Clarks Summit PA $ 380,000 N/A Commun ty Credit Union of Florida Rockledge FL $ 2,000,000 N/A 

6 

CU Mortgage Services, Inc. New Brighton MN $ 100,000 N/A CUC Mortgage Corporation Albany NY $ 4,350,000 N/A 

12/30/2009 

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

09/14/2012 06/28/2012 

06/29/2011 03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 

12/23/2013 

03/25/2013 

09/27/2012 

06/28/2012 

06/29/2011 

09/30/2010 07/14/2010 03/26/2010 

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

02/17/2011 09/30/2010 07/14/2010 03/26/2010 12/30/2009 

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/23/2011 01/06/2011 

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

04/16/2014 03/26/2014 

03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 

08/16/2012 07/27/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 03/15/2012 
Desjardins Bank N.A. Hallandale Beach FL - N/A 3 Digital Federal Credit Union Marlborough MA $ 3,050,000 N/A 

DuPage Credit Union Naperville IL $ 70,000 N/A Eaton National Bank & Trust Company Eaton OH $ 60,000 N/A 

EMC Mortgage Corporation Lewisville TX $ 707,380,000 N/A 

8 

Everbank Jacksonvi le FL - N/A 3 Farmers State Bank West Salem OH $ 170,000 N/A 

Fay Servicing, LLC Chicago IL $ 3,100,000 N/A 

06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 12/15/2011 11/16/2011 10/14/2011 09/15/2011 06/29/2011 04/13/2011 03/30/2011 01/06/2011 

09/03/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

05/20/2011 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/16/2013 

10/19/2011 07/14/2011 06/29/2011 05/13/2011 03/30/2011 03/16/2011 02/16/2011 01/06/2011 12/15/2010 10/15/2010 09/30/2010 09/30/2010 

07/16/2010 07/14/2010 03/26/2010 12/30/2009 

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

05/20/2011 09/30/2010 07/14/2010 

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/29/2011 09/30/2010 07/14/2010 03/26/2010 

10/30/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

05/14/2010 

01/15/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/16/2013 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 
FCI Lender Services, Inc. Anaheim Hills CA - N/A 3 Fidelity Homestead Savings Bank New Orleans LA $ 2,940,000 N/A FIRST BANK St. Louis MO $ 6,460,000 N/A First Federal Bank of Florida Lake City FL $ 100,000 N/A 

06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/30/2009 

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 

06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 

12/23/2013 

11/14/2013 10/15/2013 09/27/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 

03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 

06/28/2012 

06/14/2012 

05/16/2012 

11/16/2011 09/15/2011 07/14/2011 

06/29/2011 06/16/2011 

05/13/2011 Purchase Financial Instrument for Home Loan Modifications 05/13/2011 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 

01/16/2014 12/23/2013 

12/16/2013 

11/14/2013 

10/15/2013 

09/27/2013 

09/16/2013 08/15/2013 07/16/2013 06/27/2013 
First Federal Savings and Loan Port Angeles WA $ 770,000 N/A 

First Federal Savings and Loan Association of Lakewood Lakewood OH $ 3,460,000 N/A 

First Financial Bank, N.A. Terre Haute ID $ 4,300,000 N/A 

First Keystone Bank Media PA $ 1 280 000 N/A 

6 

First Mortgage Corporation Diamond Bar CA $ 100,000 N/A First National Bank of Grant Park Grant Park IL $ 140,000 N/A 

First Safety Bank Cincinnati OH $ 400,000 N/A 

Flagstar Capital Markets Corporation Troy MI $ 800,000 N/A Florida Community Bank, NA Weston FL - N/A 3 

Frank in Credit Management CorporationJersey City NJ $ 27,510,000 N/A 

03/26/2014 03/14/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 10/14/2011 06/29/2011 03/30/2011 02/16/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

04/16/2014 03/26/2014 

02/13/2014 Purchase Financial Instrument for Home Loan Modifications 02/13/2014 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/23/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

01/26/2011 09/30/2010 07/14/2010 

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

07/22/2011 06/29/2011 06/16/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

08/27/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

04/21/2010 

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

05/26/2010 03/26/2010 

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 
Frank in Savings Cincinnati OH $ 1,700,000 N/A 

6 

Fresno County Federal Cred t Union Fresno CA $ 260,000 N/A 

6 

Gateway Mortgage Group, LLC Tulsa OK $ 100,000 N/A GFA Federal Credit Union Gardner MA $ 100,000 N/A 

Glass C ty Federal Credit Union Maumee OH $ 230,000 N/A 

Glenview State Bank Glenview IL $ 370,000 N/A 

GMAC Mortgage Inc. Ft. Washington PA $ 633 000 000 N/A 

12/27/2012 12/14/2012 11/15/2012 

09/27/2012 

08/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 03/15/2012 01/13/2012 12/15/2011 11/16/2011 10/14/2011 09/15/2011 08/16/2011 07/14/2011 06/29/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 01/06/2011 

12/15/2010 

09/30/2010 09/30/2010 08/13/2010 07/14/2010 05/14/2010 

03/26/2010 

12/30/2009 09/30/2009 

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

05/26/2010 03/26/2010 

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 

12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/23/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

07/06/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

10/24/2013 09/27/2013 06/27/2013 06/14/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 
Golden Plains Credit Union Garden City KS $ 170,000 N/A 

Grafton Suburban Cred t Union North Grafton MA $ 340,000 N/A 

Great Lakes Credit Union North Chicago IL $ 570,000 N/A Greater Nevada Mortgage Services Carson City NV $ 770,000 N/A Green Tree Servicing LLC Saint Paul MN $ 156,000,000 N/A 

11/16/2011 10/14/2011 09/15/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 03/30/2011 01/06/2011 10/15/2010 09/30/2010 

09/30/2010 09/10/2010 08/13/2010 

07/16/2010 

07/14/2010 03/26/2010 12/30/2009 09/30/2009 

04/24/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 

01/25/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 

07/14/2010 03/26/2010 

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

02/17/2011 09/30/2010 07/14/2010 

03/26/2010 

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 

10/15/2013 09/27/2013 09/16/2013 06/27/2013 06/14/2013 03/25/2013 

03/14/2013 02/14/2013 

01/16/2013 
Gregory Funding, LLC Beaverton OR - N/A 3 Guaranty Bank Saint Paul MN $ 100,000 N/A Harleysville National Bank & Trust Company Harleysv lle PA $ 1,070,000 N/A 

Hartford Savings Bank Hartford WI $ 630,000 N/A Hillsdale County National Bank Hillsdale MI $ 1,670,000 N/A 

12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

04/16/2014 03/26/2014 03/14/2014 12/23/2013 11/14/2013 09/27/2013 06/27/2013 06/14/2013 05/16/2013 03/25/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 10/16/2012 09/27/2012 08/16/2012 06/28/2012 01/13/2012 11/16/2011 

07/14/2011 Purchase Financial Instrument for Home Loan Modifications 07/14/2011 

04/16/2014 03/26/2014 02/13/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 08/15/2013 07/16/2013 06/27/2013 05/16/2013 03/25/2013 02/14/2013 12/27/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 03/15/2012 02/16/2012 
Home Financing Center, Inc Coral Gables FL $ 230,000 N/A 

Home Loan Services, Inc. Pittsburgh PA $ 319,000,000 N/A 

7 

Home Servicing, LLC Baton Rouge LA - N/A 3 HomEq Servicing North Highlands CA $ 674,000,000 N/A 

13 

HomeStar Bank & Financial Services Manteno IL $ 310,000 N/A 

6 

Homeward Residential, Inc. (American Home Mortgage Servicing, Inc) Coppell TX $ 1,272,490,000 N/A 

06/28/2012 05/16/2012 11/16/2011 10/14/2011 09/15/2011 06/29/2011 04/13/2011 

03/30/2011 02/16/2011 01/06/2011 11/16/2010 10/15/2010 

09/30/2010 

07/14/2010 

03/26/2010 12/30/2009 

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

07/06/2012 06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

02/27/2014 12/23/2013 11/14/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 12/14/2012 09/27/2012 08/16/2012 06/28/2012 06/29/2011 03/30/2011 02/16/2011 01/06/2011 12/15/2010 10/15/2010 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 07/16/2013 06/27/2013 05/16/2013 04/16/2013 03/25/2013 

02/14/2013 Purchase Financial Instrument for Home Loan Modifications 02/14/2013 

10/19/2011 06/29/2011 05/13/2011 03/30/2011 03/16/2011 02/16/2011 01/06/2011 12/15/2010 09/30/2010 09/30/2010 

07/14/2010 03/26/2010 12/30/2009 09/30/2009 

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 11/25/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 
Horicon Bank Horicon WI $ 560,000 N/A Horizon Bank, NA Michigan City IN $ 700,000 N/A 

Iberiabank Sarasota FL $ 4,230,000 N/A 

6 

IBM Southeast Employees' Federal Credit Union Delray Beach FL $ 870,000 N/A 

6 

IC Federal Cred t Union Fitchburg MA $ 760,000 N/A 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 05/12/2010 03/26/2010 

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

09/14/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

06/03/2011 04/13/2011 03/30/2011 

01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

09/21/2012 06/28/2012 

06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 

12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 09/30/2010 09/30/2010 

07/14/2010 05/12/2010 

03/26/2010 

12/30/2009 

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

04/16/2014 03/26/2014 12/23/2013 12/16/2013 09/27/2013 07/16/2013 06/27/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 
Idaho Housing and Finance Association Boise ID $ 9,430,000 N/A 

iServe Residential Lending, LLC San Diego CA $ 960,000 N/A 

iServe Servicing, Inc. Irving TX $ 28,040,000 N/A 

James B. Nutter & Company Kansas City MO $ 300,000 N/A 

JP Morgan Chase Bank, NA Lewisville TX $ 2,699,720,000 N/A 

02/16/2012 01/13/2012 11/16/2011 10/19/2011 

10/14/2011 

09/15/2011 08/16/2011 07/14/2011 

06/29/2011 

05/13/2011 

04/13/2011 

03/30/2011 

03/16/2011 

01/06/2011 

09/30/2010 09/30/2010 07/14/2010 03/26/2010 12/30/2009 

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 11/14/2013 09/27/2013 07/16/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 11/16/2010 

09/30/2010 09/30/2010 07/14/2010 

03/05/2010 Purchase Financial Instrument for Home Loan Modifications 05/26/2010 

03/26/2014 

12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 03/30/2011 01/06/2011 11/16/2010 

09/30/2010 09/30/2010 

07/14/2010 

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 

12/23/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 09/30/2010 07/14/2010 

05/26/2010 03/26/2010 

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 
Kondaur Capital Corporation Orange CA - N/A 3 Lake City Bank Warsaw IN $ 420,000 N/A Lake National Bank Mentor OH $ 100,000 N/A 

6 

LenderLive Network, Inc Glendale CO - N/A 3 

Liberty Bank and Trust Co New Orleans LA $ 1,000,000 N/A 

12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 03/14/2014 

01/16/2014 Purchase Financial Instrument for Home Loan Modifications 01/16/2014 

08/23/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 03/14/2014 12/23/2013 07/16/2013 06/14/2013 05/16/2013 04/16/2013 02/14/2013 01/16/2013 12/14/2012 

11/15/2012 Purchase Financial Instrument for Home Loan Modifications 11/15/2012 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 

11/14/2013 10/15/2013 09/27/2013 

09/16/2013 

08/15/2013 07/16/2013 06/27/2013 

06/14/2013 

05/16/2013 

04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 
Litton Loan Servicing, LP Houston TX $ 774,900,000 N/A 

12 

Los Alamos National Bank Los Alamos NM $ 700,000 N/A 

M&T Bank Buffalo NY $ 700,000 N/A Magna Bank Germantown TN $ 1,400,000 N/A Mainstreet Cred t Union Lexena KS $ 500,000 N/A 

Marix Servicing, LLC Phoenix AZ $ 20,360,000 N/A 

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/09/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

04/16/2014 03/26/2014 

02/13/2014 

12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

11/06/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

01/31/2014 01/16/2014 

12/23/2013 12/16/2013 

09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 08/16/2012 06/28/2012 02/16/2012 01/13/2012 12/15/2011 11/16/2011 10/14/2011 09/15/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 

01/06/2011 12/15/2010 10/15/2010 09/30/2010 09/15/2010 08/13/2010 07/14/2010 

03/26/2010 12/30/2009 

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 
Marsh Associates, Inc. Charlotte NC $ 100,000 N/A Members Mortgage Company, Inc Woburn MA $ 510,000 N/A 

Metropolitan National Bank Little Rock AR $ 280,000 N/A Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River OH $ 100,000 N/A Midland Mortgage Company Oklahoma City OK $ 43,500,000 N/A 

Midwest Bank and Trust Co. Elmwood Park IL $ 300 000 N/A 

Midwest Community Bank Freeport IL $ 400,000 N/A 

01/06/2011 

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

07/14/2011 06/29/2011 03/30/2011 01/06/2011 09/30/2010 

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 07/27/2012 07/16/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

01/26/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 

10/15/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 09/27/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 12/27/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 06/28/2012 06/14/2012 04/16/2012 02/16/2012 01/13/2012 08/16/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 01/06/2011 

09/30/2010 

09/30/2010 

08/13/2010 07/14/2010 06/16/2010 

03/26/2010 
Mission Federal Credit Union San Diego CA $ 860,000 N/A MorEquity, Inc. Evansville IN $ 23,480,000 N/A 

5 

Mortgage Center, LLC Southfield MI $ 4,210,000 N/A Mortgage Clearing Corporation Tulsa OK $ 4,860,000 N/A 

National City Bank Miamisburg OH $ 294,980,000 N/A 

03/14/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/14/2012 03/15/2012 02/16/2012 01/13/2012 11/16/2011 10/14/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 02/16/2011 

01/06/2011 09/30/2010 09/30/2010 

07/14/2010 03/26/2010 12/30/2009 

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/09/2011 09/30/2010 07/14/2010 03/26/2010 

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 

03/26/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

05/26/2011 03/30/2011 03/16/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 03/30/2011 09/30/2010 07/14/2010 03/26/2010 12/30/2009 

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 
Nationstar Mortgage LLC Lewisville TX $ 101,000,000 N/A Nationwide Advantage Mortgage Company Des Moines IA - N/A 3 

Navy Federal Credit Union Vienna VA $ 60 780 000 N/A New York Community Bank (AmTrust Bank) Cleveland OH - N/A 3 

Oakland Municipal Credit Union Oakland CA $ 140,000 N/A 

12/30/2009 

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 09/27/2013 07/16/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 08/16/2011 06/29/2011 06/16/2011 05/13/2011 

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/16/2013 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 09/16/2013 07/16/2013 07/09/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 12/27/2012 12/14/2012 11/15/2012 09/27/2012 08/23/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 03/15/2012 11/16/2011 06/29/2011 05/26/2011 03/30/2011 

03/16/2011 

02/16/2011 

01/06/2011 12/15/2010 

11/16/2010 

09/30/2010 09/30/2010 08/13/2010 07/14/2010 03/26/2010 12/30/2009 09/30/2009 

05/28/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

03/26/2014 
6 

Ocwen Loan Servicing LLC West Palm Beach FL $ 659,000,000 N/A OneWest Bank Pasadena CA $ 668,440,000 N/A 

02/13/2014 

01/16/2014 12/23/2013 

12/16/2013 11/14/2013 10/15/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 09/30/2010 

07/14/2010 03/26/2010 12/30/2009 

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

04/16/2014 03/26/2014 03/14/2014 02/27/2014 02/13/2014 01/31/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 

10/15/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 04/09/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 

12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 

08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 03/15/2012 02/16/2012 

01/13/2012 10/14/2011 06/29/2011 

03/30/2011 02/16/2011 01/06/2011 10/15/2010 09/30/2010 09/15/2010 

07/16/2010 07/14/2010 06/16/2010 03/26/2010 12/30/2009 09/30/2009 

04/16/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

07/22/2011 06/29/2011 04/13/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 
ORNL Federal Credit Union Oak Ridge TN $ 2,070,000 N/A Park View Federal Savings Bank Solon OH $ 760,000 N/A 

6 

Pathfinder Bank Oswego NY $ 1,300,000 N/A PennyMac Loan Services, LLC Calasbasa CA $ 6,210,000 N/A 

06/14/2013 04/16/2013 03/25/2013 02/14/2013 12/27/2012 12/14/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 04/16/2012 03/15/2012 01/13/2012 12/15/2011 11/16/2011 10/14/2011 09/15/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 02/16/2011 01/13/2011 01/06/2011 12/15/2010 11/16/2010 09/30/2010 09/30/2010 

09/15/2010 08/13/2010 

07/16/2010 07/14/2010 06/16/2010 

03/26/2010 12/30/2009 

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

03/26/2014 12/23/2013 

09/27/2013 06/27/2013 

03/25/2013 12/27/2012 

09/27/2012 06/28/2012 

06/29/2011 03/30/2011 01/06/2011 

08/25/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

09/14/2012 06/28/2012 

06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 12/23/2013 09/27/2013 

06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 

09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 03/14/2014 
PHH Mortgage Corporation Mt. Laurel NJ - N/A 3 Plaza Home Mortgage, Inc San Diego CA - N/A 3 PNC Bank, National Association Pittsburgh PA $ 54,470,000 N/A PrimeWest Mortgage Corporation Lubbock TX - N/A 3 Purdue Employees Federal Credit Union West Lafayette IN $ 1,090,000 N/A QLending, Inc. Coral Gables FL $ 20,000 N/A Quantum Servicing Corporation Tampa FL $ 18,960,000 N/A 

08/16/2011 07/14/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 02/16/2011 01/13/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 09/30/2010 07/14/2010 

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 

12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 

07/14/2010 03/26/2010 

12/30/2009 

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 03/15/2012 Purchase Financial Instrument for Home Loan Modifications 03/15/2012 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 04/09/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 10/14/2011 06/29/2011 05/13/2011 03/30/2011 01/06/2011 09/30/2010 09/30/2010 

07/14/2010 03/26/2010 

12/30/2009 

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

11/14/2013 Purchase Financial Instrument for Home Loan Modifications 11/14/2013 

03/26/2014 12/23/2013 09/27/2013 07/16/2013 06/27/2013 03/25/2013 12/27/2012 10/16/2012 09/27/2012 06/28/2012 

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/15/2011 

03/26/2014 03/14/2014 02/13/2014 12/23/2013 10/15/2013 09/27/2013 06/27/2013 
6 

Quicken Loans Inc Detroit MI - N/A 3 

RBC Bank (USA) Raleigh NC $ 100,000 N/A 

9 

Residential Credit Solutions, Inc. Fort Worth TX $ 19,400,000 N/A Resurgent Capital Solutions L.P. Greenville SC - N/A 3 

12/16/2013 11/14/2013 10/15/2013 09/27/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 09/27/2012 06/28/2012 

06/14/2012 Purchase Financial Instrument for Home Loan Modifications 06/14/2012 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 10/15/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 12/27/2012 11/15/2012 10/16/2012 09/27/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 11/16/2011 09/15/2011 06/29/2011 04/13/2011 03/30/2011 01/06/2011 09/30/2010 09/30/2010 

07/14/2010 03/26/2010 12/30/2009 

06/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/09/2013 06/14/2012 

03/15/2012 06/29/2011 03/30/2011 01/06/2011 

09/01/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/14/2014 08/15/2013 

12/14/2012 Purchase Financial Instrument for Home Loan Modifications 12/14/2012 

02/27/2014 12/23/2013 11/14/2013 09/27/2013 

07/16/2013 06/27/2013 04/16/2013 03/25/2013 12/27/2012 11/15/2012 10/16/2012 09/27/2012 06/28/2012 06/14/2012 01/13/2012 09/15/2011 
RG Mortgage Corporation San Juan PR $ 57,000,000 N/A Roebling Bank Roebling NJ $ 240,000 N/A 

RoundPoint Mortgage Servicing Corporation Charlotte NC $ 570,000 N/A 

Rushmore Loan Management Services LLC Irvine CA - N/A 3 

01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 09/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 06/28/2012 04/16/2012 

12/15/2011 Purchase Financial Instrument for Home Loan Modifications 12/15/2011 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 04/16/2013 03/25/2013 12/27/2012 11/15/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 03/16/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 12/30/2009 

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/23/2011 01/06/2011 09/30/2010 07/14/2010 

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 12/15/2010 09/30/2010 07/14/2010 04/09/2010 

03/26/2010 12/30/2009 

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 
Saxon Mortgage Services Inc. Irving TX $ 407 000 000 N/A 

10 

Schools Financial Credit Union Sacramento CA $ 390,000 N/A Scotiabank de Puerto Rico San Juan PR - N/A 3 

SEFCU Albany NY $ 440,000 N/A 

Select Portfolio Servicing, Inc. Salt Lake City UT $ 376,000,000 N/A 

07/14/2010 03/26/2010 

12/30/2009 09/30/2009 

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

04/11/2012 06/29/2011 09/30/2010 07/14/2010 

03/26/2010 

12/30/2009 

09/25/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 01/06/2011 

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/15/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

04/09/2013 03/25/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 

10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 03/15/2012 

02/16/2012 12/15/2011 09/15/2011 08/16/2011 07/14/2011 06/29/2011 04/13/2011 

03/30/2011 03/16/2011 01/13/2011 01/06/2011 12/15/2010 10/15/2010 09/30/2010 09/30/2010 

09/15/2010 07/16/2010 07/14/2010 06/16/2010 03/26/2010 12/30/2009 09/30/2009 

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 

04/16/2014 03/26/2014 03/14/2014 
Selene Finance LP Houston TX - N/A 3 

03/14/2014 12/23/2013 09/27/2013 07/16/2013 06/27/2013 05/16/2013 03/25/2013 03/14/2013 12/27/2012 11/15/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 11/16/2011 10/14/2011 06/29/2011 06/16/2011 04/13/2011 03/30/2011 03/16/2011 01/06/2011 10/15/2010 09/30/2010 08/13/2010 

06/16/2010 Purchase Financial Instrument for Home Loan Modifications 06/16/2010 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 09/16/2013 08/15/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 03/15/2012 01/13/2012 11/16/2011 10/14/2011 09/15/2011 08/16/2011 06/29/2011 06/16/2011 05/13/2011 

04/13/2011 03/30/2011 03/16/2011 

02/16/2011 

01/13/2011 01/06/2011 12/15/2010 11/16/2010 

09/30/2010 09/30/2010 
Servis One, Inc., dba BSI Financial Services, Inc. T tusville PA $ 29,730,000 N/A ShoreBank Chicago IL $ 1,410,000 N/A 

6 

Silver State Schools Cred t Union Las Vegas NV $ 1 880 000 N/A 

09/30/2010 07/14/2010 03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

04/09/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

04/13/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

12/30/2009 

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 

01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 

09/27/2013 09/16/2013 08/15/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 

04/16/2013 

03/25/2013 03/14/2013 02/14/2013 

01/16/2013 

12/27/2012 12/14/2012 11/15/2012 

10/16/2012 09/27/2012 08/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 

03/15/2012 

02/16/2012 01/13/2012 12/15/2011 

11/16/2011 10/14/2011 09/15/2011 08/16/2011 

06/29/2011 06/16/2011 

05/13/2011 

04/13/2011 03/30/2011 

03/16/2011 02/16/2011 01/13/2011 

01/06/2011 

12/15/2010 

10/15/2010 09/30/2010 09/30/2010 

09/15/2010 07/14/2010 05/19/2010 

04/19/2010 03/26/2010 

12/30/2009 

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/16/2014 03/26/2014 
6 

SN Servicing Corporation Baton Rouge LA - N/A 3 Sound Community Bank Seattle WA $ 440,000 N/A 

Specia ized Loan Servicing LLC Highlands Ranch CO $ 64,150,000 N/A 

Spirit of Alaska Federal Credit Union Fairbanks AK $ 360,000 N/A 

Stanford Federal Cred t Union Palo Alto CA $ 300,000 N/A 

12/30/2009 

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

02/17/2011 01/06/2011 

09/30/2010 09/30/2010 

07/14/2010 03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

04/16/2014 03/26/2014 03/14/2014 

02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 10/15/2013 09/27/2013 09/16/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 02/14/2013 01/16/2013 12/27/2012 12/14/2012 11/15/2012 10/16/2012 09/27/2012 08/16/2012 07/16/2012 06/28/2012 06/14/2012 05/16/2012 04/16/2012 03/15/2012 02/16/2012 01/13/2012 12/15/2011 10/14/2011 09/15/2011 08/16/2011 06/29/2011 06/16/2011 05/13/2011 04/13/2011 03/30/2011 03/16/2011 01/13/2011 01/06/2011 11/16/2010 09/30/2010 09/15/2010 08/13/2010 07/16/2010 07/14/2010 06/16/2010 05/14/2010 

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

09/08/2010 07/14/2010 

03/26/2010 

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

12/16/2013 

10/15/2013 Purchase Financial Instrument for Home Loan Modifications 10/15/2013 

07/09/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 
Statebridge Company, LLC Denver CO - N/A 3 

Sterling Savings Bank Spokane WA $ 2,250,000 N/A Stockman Bank of Montana Miles City MT $ 100,000 N/A Suburban Mortgage Company of New Mexico Albuquerque NM $ 880,000 N/A 

Sun West Mortgage Company, Inc Cerritos CA - N/A 3 SunTrust Mortgage, Inc. Richmond VA - N/A 3 

Technology Cred t Union San Jose CA $ 70,000 N/A 

12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 

04/16/2014 03/26/2014 

03/14/2014 02/13/2014 01/16/2014 12/23/2013 07/16/2013 06/27/2013 06/14/2013 

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 

01/13/2012 Purchase Financial Instrument for Home Loan Modifications 01/13/2012 

08/10/2012 06/28/2012 06/29/2011 

03/30/2011 01/06/2011 

08/04/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 

09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 

07/14/2010 03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 03/14/2014 

02/13/2014 01/16/2014 

12/23/2013 11/14/2013 09/27/2013 06/27/2013 

04/16/2013 03/25/2013 

03/14/2013 02/14/2013 

01/16/2013 12/27/2012 

12/14/2012 11/15/2012 

10/16/2012 

09/27/2012 06/28/2012 03/15/2012 11/16/2011 06/29/2011 

03/30/2011 03/16/2011 02/16/2011 

01/06/2011 

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/15/2010 

03/23/2011 09/30/2010 07/14/2010 03/26/2010 
Tempe Schools Credit Union Tempe AZ $ 110,000 N/A 

The Bryn Mawr Trust Co. Bryn Mawr PA $ 150,000 N/A 

3 

The Golden 1 Credit Union Sacramento CA $ 6,160,000 N/A 

U.S. Bank National Association Owensboro KY $ 114,220,000 N/A Un ted Bank Gr ffin GA $ 540,000 N/A Un ted Bank Mortgage Corporation Grand Rapids MI $ 410,000 N/A 

University First Federal Credit Union Salt Lake City UT $ 600,000 N/A Urban Partnership Bank Chicago IL - N/A 3 

12/27/2012 09/27/2012 06/28/2012 11/16/2011 

06/29/2011 

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 

02/17/2011 01/06/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 

10/21/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 

03/26/2010 12/30/2009 

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 03/30/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

06/16/2011 

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 

12/08/2010 09/30/2010 07/14/2010 

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 
Urban Trust Bank Lake Mary FL $ 1,060,000 N/A 

3 

Vantium Capital, Inc.dba Acqura Loan Services Plano TX $ 6,000,000 N/A 4 

Ver ty Credit Union Seattle WA $ 600,000 N/A 

ViewPoint Bank Plano TX - N/A 3 VIST Financial Corp Wyomissing PA $ 300,000 N/A 

Wachovia Bank, N.A. Charlotte NC $ 85,020,000 N/A 

Wachovia Mortgage, FSB Des Moines IA $ 634,010,000 N/A 

2 

Wea thbridge Mortgage Corp Beaverton OR $ 6,550,000 N/A 

09/15/2010 

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 

03/12/2010 

02/17/2010 12/30/2009 

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

12/03/2010 09/30/2010 07/14/2010 03/26/2010 

12/30/2009 

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/23/2014 03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 

12/27/2012 09/27/2012 

06/28/2012 06/29/2011 

03/30/2011 01/06/2011 09/30/2010 

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 

12/16/2013 

05/16/2013 Purchase Financial Instrument for Home Loan Modifications 05/16/2013 

02/17/2011 01/06/2011 09/30/2010 07/14/2010 03/26/2010 

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 

12/23/2013 12/16/2013 09/27/2013 07/16/2013 06/27/2013 06/14/2013 05/16/2013 04/16/2013 03/25/2013 03/14/2013 

02/14/2013 12/27/2012 

11/15/2012 09/27/2012 07/16/2012 06/28/2012 10/14/2011 

09/15/2011 08/16/2011 

06/29/2011 04/13/2011 

03/30/2011 

02/16/2011 01/13/2011 01/06/2011 12/15/2010 

11/16/2010 

09/30/2010 09/15/2010 07/14/2010 03/26/2010 

12/30/2009 

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

12/16/2013 09/24/2010 

03/03/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 
Wells Fargo Bank, NA Des Moines IA $ 2,873,000,000 N/A Wescom Central Credit Union Anaheim CA $ 540,000 N/A 

01/06/2011 09/30/2010 

07/30/2010 07/14/2010 03/26/2010 

12/30/2009 

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 

04/16/2014 03/26/2014 03/14/2014 02/13/2014 01/16/2014 12/23/2013 12/16/2013 11/14/2013 

10/15/2013 

09/27/2013 

09/16/2013 08/15/2013 07/16/2013 

06/27/2013 06/14/2013 05/16/2013 04/16/2013 

03/25/2013 

03/14/2013 

02/14/2013 

01/16/2013 

12/27/2012 12/14/2012 11/15/2012 

10/16/2012 

09/27/2012 

08/16/2012 

06/28/2012 06/14/2012 05/16/2012 

04/16/2012 

03/15/2012 

02/16/2012 

01/13/2012 

12/15/2011 

11/16/2011 

10/14/2011 

09/15/2011 

08/16/2011 

07/14/2011 

06/29/2011 

06/16/2011 05/13/2011 

04/13/2011 

03/30/2011 03/16/2011 01/13/2011 

01/06/2011 

12/15/2010 12/03/2010 09/30/2010 

09/30/2010 07/14/2010 03/26/2010 03/19/2010 03/12/2010 02/17/2010 12/30/2009 09/30/2009 

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 

02/27/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 04/13/2011 03/30/2011 01/06/2011 09/30/2010 
6 

3 

Western Federal Credit Union Hawthorne CA - N/A 3 Weststar Mortgage, Inc. Woodbridge VA $ 100,000 N/A Wilshire Credit Corporation Beaverton OR $ 366,000,000 N/A 

7 

Yadkin Valley Bank Elkin NC $ 240,000 N/A 

$

1/2/3/4/5/6/7/8/9/10/11/12/13/

RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger. On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by sel ing its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above represents As of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to Aurora LEffective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion. In May 2010, U.S. mortgage servicing business HomEq was sold to Ocwen Loan Servicing. The remaining Adjusted Cap stated above represents the amount previously paid to HomEq prior to such sale. 

* The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for a l payments on behalf of borrowers and payments to servicers and lenders/investors. The Cap is subject to adjustment based on the total amount a located to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.

This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realizeOn 8/27/10, an amendment was executed to reflect a change in the legal name of the institution.MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior In Apr l 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC M

Total CAP 

On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation. Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.

Total Initial CAP 23,831,570,000 Total CAP Adjustments 

03/26/2014 12/23/2013 09/27/2013 06/27/2013 03/25/2013 12/27/2012 09/27/2012 06/28/2012 06/29/2011 01/06/2011 09/30/2010 

07/14/2010 03/26/2010 

12/30/2009 

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 

10/19/2011 06/29/2011 03/30/2011 01/06/2011 09/30/2010 08/13/2010 07/16/2010 07/14/2010 06/16/2010 05/14/2010 04/19/2010 03/26/2010 

12/30/2009 09/30/2009 

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 

03/26/2014 12/23/2013 03/25/2013 09/27/2012 06/28/2012 06/29/2011 

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 

03/26/2014 

12/23/2013 03/25/2013 09/27/2012 06/29/2011 

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 

03/26/2014 12/23/2013 09/27/2012 06/14/2012 

06/03/2011 05/13/2011 03/30/2011 
Name of Institution Borrowers Lenders / Investors Ser

21st Mortgage Corporation $ 46,914.49 $ 221,341.13 $ Allstate Mortgage Loans & Investments, Inc $ 6,742.19 $ 10,864.29 $ AMS Servicing, LLC $ 36,866.28 $ 174,535.59 $ Aurora Financial Group, Inc $ 24,689.43 $ Aurora Loan Services LLC $ 15,997,418.00 $ 41,236,849.69 $ Banco Popular de Puerto Rico $ 43,486.92 $ 47,241.00 $ Bank of America, N.A. $ 4,099,061.97 $ 17,843,110.01 $ Bank of America, National Association $ 318,994,032 80 $ 656,773,290 52 $ BankUnited $ 8,528,256.69 $ 25,204,958.72 $ Bayview Loan Servicing LLC $ 26,714,530.65 13,714,726.17 $ 

$ 

Caliber Home Loans, Inc. $ 940,575.42 $ 2,536,185.67 $ Carrington Mortgage Services, LLC. $ 11,234,622.24 $ 29,406,531.47 $ CCO Mortgage, a division of RBS Citizens NA $ 2,426,597.33 $ 5,592,016.85 $ Central Florida Educators Federal Credit Union $ 128,405.08 $ 210,535.79 $ Cheviot Savings Bank $ 1,000.00 $ 1,205.63 $ CitiMortgage Inc $ 75,440,761.53 $ 238,833,528.12 $ Citizens First National Bank $ 27,229.56 $ 67,847.26 $ Community Credit Union of Florida $ 3,000.00 $ 4,631.53 $ CUC Mortgage Corporation $ 64,312.95 $ 159,473.32 $ Desjardins Bank $ 1,000.00 $ 1,825.64 $ DuPage Credit Union $ 8,542.42 $ 30,404.30 $ EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ Fay Servicing, LLC $ 1,464,926.54 $ 2,745,774.65 $ FCI Lender Services, Inc. $ 29,909.09 $ 66,075.87 $ Fidelity Homestead Savings Bank $ - $ - $ FIRST BANK $ 1,012,272.37 $ 2,110,240.39 $ First Keystone Bank $ 2,775.62 $ 3,423.27 $ First Mortgage Corporation $ 2,000.00 $ Florida Community Bank, NA $ 1,750.00 $ 2,373.22 $ Franklin Credit Management Corporation $ 341,387.70 $ 655,885.97 $ Franklin Savings $ 1,750.00 $ 3,864.59 $ Fresno County Federal Credit Union $ 3,833.34 $ 13,204.31 $ Glass City Federal Credit Union $ 4,000.00 $ 2,473.84 $ GMAC Mortgage, LLC $ 148,076,870 62 60,775,096.68 $ 

$ 

Great Lakes Credit Union $ 10,833.34 $ 19,058.21 $ Greater Nevada Mortgage Services $ 82,345.16 $ 169,499.76 $ Green Tree Servicing LLC $ 27,004,813.03 3,983,142.25 $ 

$ 

Gregory Funding, LLC $ 81,143.29 $ 183,542.49 $ Guaranty Bank $ 916.67 $ Hillsdale County National Bank $ 34,718.62 $ 43,939.78 $ Home Loan Services, Inc. $ 169,857.80 $ 2,440,767.73 $ Home Servicing, LLC $ 7,867.05 $ 18,013.90 $ HomEqServicing - $ 3,036,319.34 $ 

$ 

HomeStar Bank and Financial Services $ 1,916.66 $ 5,572.90 $ Homeward Residential, Inc. $ 133,893,684 23 51,759,481.72 $ 

$ 

Horicon Bank $ 8,265.13 $ 20,000.85 $ 

beriabank $ - $ 10,502.00 $ BM Southeast Employees' Federal Credit Union $ 9,000.00 $ 23,589.08 $ 

IC Federal Credit Union $ 23,333.34 $ 46,464.27 $ Idaho Housing and Finance Association $ 23,077.89 $ 27,264.51 $ James B.Nutter and Company $ 11,047.18 $ JPMorgan Chase Bank, NA $ 306,709,506 81 $ 822,628,223.77 $ Kondaur Capital Corporation $ - $ - $ Lake City Bank $ 8,878.50 $ 9,675.68 $ 

Supplemental Information [Not Required by EESA §114(a)]

Making Home Affordable Program

Non‐GSE Incentive Payments (through April 2014)
Lake National Bank $ 3,000.00 $ 3,651.45 $ 

Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125.99 $ Los Alamos National Bank $ 34,864.17 $ 41,171.81 $ M&T Bank $ 85,880.55 $ - $ Marix Servicing LLC $ 352,195.77 $ 970,196.74 $ Marsh Associates, Inc. $ 9,687.97 $ Midland Mortgage Co. $ 7,129,356.74 $ 1,568,992.13 $ Midwest Community Bank $ 1,000.00 $ 1,817.60 $ Mission Federal Credit Union $ 79,093.06 $ 196,367.07 $ MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ Mortgage Center LLC $ 184,729.70 $ 291,135.00 $ National City Bank $ 4,001,684.07 $ 11,156,815.38 $ Nationstar Mortgage LLC $ 53,250,235.46 $ 134,783,411 81 $ Navy Federal Credit Union $ 704,000.08 $ 1,723,278.31 $ New York Community Bank $ 13,344.17 $ 34,310.37 $ Oakland Municipal Credit Union $ - $ 3,568.11 $ Ocwen Loan Servicing, LLC $ 180,169,168 04 $ 606,193,557 29 $ OneWest Bank $ 61,683,331.27 $ 207,616,868 66 $ ORNL Federal Credit Union $ 19,940.57 $ 33,863.91 $ Park View Federal Savings Bank $ 11,000.00 $ 23,936.55 $ Pathfinder Bank $ 5,716.91 $ 8,881.02 $ PennyMac Loan Services, LLC $ 7,020,978.78 $ 18,996,716.16 $ PHH Mortgage Corporation $ 40,312.65 $ 58,577.32 $ PNC Bank, National Association $ 163,854.31 $ 1,028,076.39 $ Purdue Employees Federal Credit Union $ 3,000.00 $ 2,319.45 $ Quantum Servicing Corporation $ 133,393.34 $ 332,061.47 $ Residential Credit Solutions, Inc. $ 2,255,763.27 $ 6,160,192.61 $ Resurgent Capital Services L.P. $ 413,094.12 $ 1,013,974.28 $ RG Mortgage $ 164,852.94 $ 227,582.28 $ RoundPoint Mortgage Servicing Corporation $ 279,146.79 $ 674,383.66 $ Rushmore Loan Management Services LLC $ 1,295,845.32 $ 2,995,742.72 $ Saxon Mortgage Services Inc $ 19,655,074.77 $ 41,738,413.24 $ Schools Financial Credit Union $ 26,666.70 $ 61,128.93 $ Scotiabank de Puerto Rico $ 515,948.87 $ 696,308.73 $ Select Portfolio Servicing, Inc. $ 89,168,393.50 $ 177,200,297 99 $ Selene Finance LP $ 86,398.18 $ 229,874.09 $ Servis One, Inc., dba BSI Financial Services, Inc. $ 1,558,566.10 $ 3,692,330.33 $ ShoreBank $ 49,915.10 $ 153,906.17 $ Silver State Schools Credit Union $ 40,355.90 $ 176,298.89 $ SN Servicing Corporation $ 1,340.70 $ - $ Specialized Loan Servicing LLC $ 9,500,400.37 $ 15,454,340.40 $ Statebridge Company, LLC $ 26,521.29 $ 93,490.05 $ Sterling Savings Bank $ 197,194.45 $ 420,894.69 $ SunTrust Mortgage, Inc $ 21,166.67 $ (1,518.80) $ Technology Credit Union $ 58,000.00 $ 198,741.87 $ The Bryn Mawr Trust Company $ 11,196.51 $ 15,037.28 $ The Golden 1 Credit Union $ 354,884.20 $ 1,036,357.34 $ U.S. Bank National Association $ 14,384,565.77 $ 32,923,308.20 $ United Bank $ 2,916.67 $ 2,651.90 $ United Bank Mortgage Corporation $ 42,920.30 $ 79,321.49 $ Urban Partnership Bank $ 157,497.56 $ 321,405.35 $ Urban Trust Bank $ 2,000.00 $ 3,108.91 $ Vantium Capital, Inc. d/b/a Acqura Loan Services $ 240,971.70 $ 489,045.63 $ ViewPoint Bank $ - $ 964.73 $ Wachovia Mortgage, FSB $ - $ 76,889.58 $ Wells Fargo Bank, N.A. $ 256,095,047 35 $ 658,778,112.75 $ Wescom Central Credit Union $ 252,699.61 $ 761,329.79 $ Western Federal Credit Union $ 19,333.34 $ 50,596.19 $ Wilshire Credit Corporation $ - $ 490,394.10 $ Yadkin Valley Bank $ 29,522.98 $ 32,199.05 $ 

Grand Total $ 1,611,697,763.69 $ 4,168,899,769.90 $ 2
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

Housing Finance Agency Innovation Fund for the Hardest Hit Housin

Hardest Hit Funds (HHF) Program

Note Date

Seller Transaction 

Type Investment Desc
9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

1/ The purchase will be incrementally funded up to the investment amount.2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 

2 3/4/2013 

T

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), whof credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the mortgages refinanced under the FHA Short Refinance prthen-current level. Under the terms of the L/C Facility Agreement, Treasury could incur fees for the availability and usage of the L/C up to a maximum amount o2/ On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the Treasury has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new usage of the L/C will not exceed $25 million.

Footnote Date

Seller Transaction 

Type Investment Description 

Initial I

Am
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending April 30, 2014

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance coentered into under the provisions of section 102 of the Eand the single insurance contract with Citigroup was terminated on December 23, 2009.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(

For Period Ending April 30, 2014

Type of Expense A

Compensation for financial agents and legal firms $1,03
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(

For Period Ending April 30, 2014

Date Vehicle Descr

None
HAMP Application Activity by Servicer 1

As of February 2014

Servicer Name

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

Bank of America, NA 8,237 4,816 899 3,917 1,374,426 1,349,202 587,678 761,524

BankUnited 42 39 22 17 9,699 9,500 4,674 4,826

Bayview Loan Servicing, LLC 1,383 1,126 302 824 33,828 31,666 10,773 20,893

Carrington Mortgage Services, LLC 1,333 1,529 281 1,248 73,426 72,608 23,892 48,716

CCO Mortgage, a division of RBS Citizens NA 507 271 27 244 27,300 26,430 5,861 20,569

CitiMortgage Inc 291 634 534 100 527,293 518,226 224,904 293,322

Green Tree Servicing LLC 1,742 909 537 372 90,160 85,507 33,794 51,713

JPMorgan Chase Bank, NA 10,470 2,715 733 1,982 1,538,845 1,519,835 439,267 1,080,568

Midland Mortgage Co. 2,315 2,303 251 2,052 110,468 108,357 9,636 98,721

Nationstar Mortgage LLC 11,213 8,627 1,863 6,764 408,625 383,246 82,919 300,327

Navy Federal Credit Union 169 165 27 138 10,718 10,235 1,950 8,285

Ocwen Loan Servicing, LLC 30,177 4,796 2,758 2,038 1,385,083 1,299,144 306,725 992,419

OneWest Bank 262 387 39 348 382,092 381,276 102,286 278,990

ORNL Federal Credit Union 16 16 - 16 553 553 52 501

PennyMac Loan Services, LLC 371 257 81 176 18,548 17,818 5,086 12,732

PNC Bank, National Association 17 19 3 16 723 657 39 618

PNC Mortgage6 781 796 77 719 38,407 38,295 27,430 10,865

Residential Credit Solutions, Inc. 274 300 57 243 17,120 16,863 1,982 14,881

Select Portfolio Servicing, Inc. 9,147 2,943 474 2,469 169,398 146,529 92,409 54,120

Specialized Loan Servicing LLC 1,256 1,600 215 1,385 48,615 46,505 7,251 39,254

U.S. Bank National Association 2,201 1,792 71 1,721 120,845 111,744 43,081 68,663

Wells Fargo Bank, NA 8,205 7,591 1,599 5,992 1,379,184 1,358,428 415,773 942,655

Other Servicers7 - - - - 170,842 170,842 106,111 64,731

TOTAL 90,409 43,631 10,850 32,781 7,936,198 7,703,466 2,533,573 5,169,893

Activity in February 2014 Program-to-Date

1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey and is not 

separately validated by Treasury.

In 2013, the Bureau of Consumer Financial Protection (CFPB) issued new mortgage servicing rules under the Real Estate Settlement Procedures Act (Regulation X). These rules, which became effective on January 10, 2014, may impact servicer 

processes for evaluation of requests for assistance under MHA. As a result, servicers reporting of Requests Received, Requests Processed, and Requests Denied (defined below) may include all mortgage modification requests. Previously, servicer 

reporting for these categories included only requests that met basic HAMP eligibility criteria.

From time to time, a servicer's current month's cumulative results may not equal the sum of that servicer's prior month's cumulative results and current month's activity; this may be due to servicing transfers or servicer corrections to prior 

reporting. Note that Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.

2 "Requests Received" is the total number of mortgage modification requests received, as reported by servicers. Cumulative Requests Received include all mortgage modification requests received since implementation of Supplemental Directive 

10-02, effective June 1, 2010, and any requests that were approved for a trial modification prior to implementation of such guidance. As noted in Footnote 1 above, some servicers may include all mortgage modification requests received, 

whereas they previously included only requests that met basic HAMP eligibility criteria. 

3 "Requests Processed" is the sum of Requests Approved and Requests Denied, defined below. 

4 "Requests Approved" is the total number of mortgage modification requests approved for a trial modification under HAMP and trial offers sent to the borrowers, as reported by servicers. Note that all Requests Approved do not become Active 

Trials because some borrowers do not accept the trial or fail to make the first trial payment. 

5 "Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program guidance, as reported by 

servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective June 1, 2010; servicers do not report 

Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet basic eligibility criteria, and/or other reasons.

6 Formerly National City Bank.

7 Includes servicers that are no longer actively participating in the survey process or those whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods 

when the survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).