Monthly Report to Congress

October 2019

November 12, 2019

Troubled Asset Relief Program

U.S. Department of the Treasury
Table of Contents

Section Page Number Legislative Requirement 1

Program Updates 1 EESA §105(a)(1)

Capital Purchase Program 1

Community Development Capital Initiative 2

Making Home Affordable 3

Hardest Hit Fund 4

Lifetime Costs 5

CPP & CDCI Institutions 6 Additional Information

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

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

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

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

Investment Programs 15

Making Home Affordable Program 63

Projected Costs and Liabilities 170 EESA §105(a)(3)(E)

Programmatic Operating Expenses 171 EESA §105(a)(3)(F)

Description of Vehicles Established 172 EESA §105(a)(3)(H)

HAMP Application Activity by Servicer 173 Dodd-Frank §1483(b)

1

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

Protection Act).
Capital Purchase Program (CPP)

CPP Snapshot

Total Institutions Funded 707 Total CPP Proceeds1 $226.8 billion

Full Repayments 265

SBLF Repayments 137

CDCI Conversions 28

Sold Investments 47

Auctioned Investments 190

In Bankruptcy/Receivership 34

Merged Institutions 4

Total Remaining Institutions 2

Partial Repayments 0

Partial Sales 1

Currently in Common 1

October 2019 Activity

Institution Date Additional Information Amount

Repurchases & Sales $0 

None

Warrant Repurchases & Sales $0 

None

Monthly Dividends $0 

None

Remaining CPP Institutions

Institution Location Amount Outstanding 

(millions)

1 OneUnited Bank Boston, MA $12.06 

2 Harbor Bankshares Corporation2 Baltimore, MD $5.31 

1

2

Repayments: Actual collections as of October 31, 2019, 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 October 31, 2019. Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.

On July 13, 2018, Treasury exchanged its preferred stock in Harbor Bankshares Corporation (“Harbor”) and all accrued, unpaid dividends on that 

stock for 5,491,843 shares of common stock and payment of $2,272,617 pursuant to the terms of the exchange agreement between Treasury and 

Harbor entered into on that day. On January 16, 2019, Treasury sold part of its CPP common stock (1,204,819 shares) to Harbor.

$196.62 

$3.04 

$19.05 $8.07 

 $-

 $50

 $100

 $150

 $200

Repayments Auctions Total

Dividends,

Interest &

Other Income

Warrant

Income

1
Community Development Capital Initiative (CDCI)

CDCI Snapshot

Total Institutions Funded 84

Full Repayments 52

Early Repurchase1 26

In Bankruptcy/Receivership 1

Merged Institutions 1

Total Remaining Institutions 4

Partial Repayments 1

Partial Early Repurchase 1

Currently in Common 1

October 2019 Activity

Institution Date Additional Information Amount

Repurchases $325,000 

North Side Community Federal Credit Union 10/16/2019 $325,000 

Monthly Dividends $4,956 

Remaining CDCI Institutions

Institution Location Amount Outstanding 

(millions)

Carver Bancorp, Inc2 New York, NY $18.98 

Cooperative Center Federal Credit Union Berkeley, CA $2.80 

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

Buffalo Cooperative Federal Credit Union Buffalo, NY $0.15 

1

2 On October 28, 2011, Treasury completed the exchange of all Carver Bancorp, Inc. (Carver) preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the 

terms of the agreement between Treasury and Carver entered into on June 29, 2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

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

2
Making Home Affordable (MHA)

Program Update1

HAMP Activity through December 20173

All Trials Started 2,539,773 

 Tier 1 2,240,146 

 Tier 2 239,009 

 Streamline HAMP 60,618 

Active Trials N/A 

All Permanent Modifications Started 1,738,171 

 Tier 1 1,473,849 

 Tier 2 219,786 

 Streamline HAMP 44,536 

Active Permanent Modifications 811,662 

Median Monthly Savings $ (466)

Other MHA Program Activity through December 2017

Program-to-Date Reported Since 

Prior Period

FHA and RD-HAMP Permanent Modifications Started 151,514 N/A

2MP Modifications Started 167,081 N/A

HAFA Transactions Completed 476,766 N/A

UP Forbearance Plans Started4 46,485 N/A

1

2

3

4

The Unemployment Program Survey was collected monthly through December 2016.

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

Effective November 1, 2018 the amount of committed funds will be calculated and updated on a semi-annual basis.

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

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

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

procedures to reasonably ensure that all MHA transactions were completed by December 1, 2017. Treasury has 

de-obligated $4.30 billion from MHA, lowering Treasury's obligation from $27.78 to $23.48 billion.

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

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

foreclosure, and unemployment forbearance plans. 

Trial 

Modifications

Permanent 

Modifications

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

MHA transactions must be completed). MHA servicers may submit corrections to previously reported data, after which Treasury will update 

the figures reported herein to reflect any such corrections. 

As of September 30, 2019, $22.61 billion2 of MHA funds have been committed for existing MHA transactions. Of 

this amount, $20.67 billion has been disbursed and $1.95 billion is committed for the payment of future financial 

incentives. 

3
Hardest Hit Fund (HHF)

Program Changes in October

1

Funds Drawn Down in October

State Amount (millions)

Georgia $ 29 

Total Drawn to Date $ 9,429 

 

Funds Drawn as of October 31, 2019

State (% Cap Disbursed)

Ohio received approval to reallocate funds from its administrative expense allocation to its blight 

elimination program.

$100,000,000

$296,146,720

$2,360,253,221

$23,234,860

$1,136,616,680

$370,574,260

$715,615,095

$253,306,647

$184,500,000

$761,622,301

$115,638,832

$706,938,882

$415,512,054

$175,685,126

$762,791,540

$314,752,280

$116,019,791

$317,461,821

$302,336,993

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

Alabama (61.5%)

Arizona (100%)

California (100%)

Washington D.C. (80.7%)

Florida (100%)

Georgia (100%)

Illinois (100%)

Indiana (89.2%)

Kentucky (89%)

Michigan (100%)

Mississippi (80.1%)

North Carolina (100%)

New Jersey (100%)

Nevada (89.5%)

Ohio (100%)

Oregon (100%)

Rhode Island (100%)

South Carolina (99.9%)

Tennessee (100%)

Drawndown Remaining

4
Lifetime Costs

Program Update

Programs as of October 31, 2019 (dollar amounts in billions)

Bank Support Programs:

Capital Purchase Program (CPP)5 $ 204.89 $ 204.89 $ 0.02 $ (16.32)

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

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

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.57 $ 0.02 $ 0.06

 Sub-total Bank Support Programs $ 250.46 $ 245.46 $ 0.04 $ (24.25)

Credit Market Programs:

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

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

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

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

Other Programs:

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

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ - $ 12.07

 Sub-total Other Programs $ 147.53 $ 147.53 $ - $ 27.25

Sub-total for Investment Programs7 $ 417.09 $ 411.72 $ 0.04 $ (0.35)

Making Home Affordable $ 23.48 $ 20.74 n/a $ 23.15

Hardest Hit Fund8 $ 9.60 $ 9.43 n/a $ 9.60

FHA-Refinance9 $ 0.05 $ 0.02 n/a $ 0.01

Sub-total for Housing Programs $ 33.12 $ 30.19 n/a $ 32.77

 Total for TARP Programs $ 450.21 $ 441.91 $ 0.04 $ 32.42

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

Total for TARP Programs and Additional AIG Shares $ 450.21 $ 441.91 $ 0.04 $ 14.87

1

2

3

4

5

6

7

8

9

10

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

When Congress created TARP, it authorized up to $700 billion for the programs. That authority was later reduced to $475 billion. To date, a total of $442 billion has 

been disbursed under TARP. As of October 31, 2019, cumulative collections under TARP, together with Treasury’s additional proceeds from the sale of non-TARP 

shares of AIG,1 total $442.7 billion, exceeding disbursements by $0.8 billion.2 Treasury estimates that the combined overall cost of TARP will be approximately 

$32.4 billion. These estimates do not include Treasury’s additional proceeds from its non-TARP AIG shares. For a monthly snapshot of the amount of funds 

obligated, the amount disbursed, repayments, income received and any losses by program, please visit the Monthly TARP Update at: 

http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx.3

Obligation/

Commitment

Disbursed as of 

October 31

Outstanding 

Investment 

Balance as of 

October 31

Estimated Lifetime Cost as of 

September 30 2019 4

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

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

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

credit. 

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

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

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

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

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

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

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

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

Estimated lifetime cost figures for investment programs and FHA-Refinance are as of September 30, 2019. Figures include interest on reestimates. Lifetime cost information for Making Home Affordable 

and Hardest Hit Fund reflect the cost estimates published in the 2020 President's Budget.

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

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

Estimated lifetime cost for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value received from the announcement of the negotiations on the guarantee and 

share losses on a pool of assets.

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

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

5
Institution Name Location

Public/P

rivate

 Amount 

Outstanding 

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

Harbor Bankshares Corporation* Baltimore, MD Public $ 5,308,193.11

Total $ 17,371,193.11 

Institution Name Bankruptcy/ Receivership Date

CIT Group Inc.* 11/1/2009

UCBH Holdings, Inc. 11/6/2009

Pacific Coast National Bancorp* 11/13/2009

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

Sonoma Valley Bancorp 8/20/2010

Pierce County Bancorp 11/5/2010

Tifton Banking Company* 11/12/2010

Legacy Bancorp, Inc. 3/11/2011

Superior Bancorp Inc. 4/15/2011

FPB Bancorp Inc. 7/15/2011

One Georgia Bank* 7/15/2011

Integra Bank Corporation 7/29/2011

Citizens Bancorp 9/23/2011

CB Holding Corp. 10/14/2011

Tennessee Commerce Bancorp, Inc. 1/27/2012

Blue River Bancshares, Inc. 2/10/2012

Fort Lee Federal Savings Bank* 4/20/2012

Gregg Bancshares, Inc. 7/13/2012

GulfSouth Private Bank* 10/19/2012

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

First Place Financial Corporation* 10/29/2012

Princeton National Bancorp 11/2/2012

Premier Bank Holding Company* 8/14/2012

Gold Canyon Bank* 4/5/2013

Indiana Bank Corp.* 4/9/2013

Rogers Bancshares, Inc. 7/5/2013

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

TCB Holding Company 12/13/2013

Syringa Bancorp 1/31/2014

Idaho Bancorp* 4/24/2014

Rising Sun Bancorp 10/17/2014

Western Community Bancshares, Inc. 11/7/2014

Cecil Bancorp, Inc.* 6/30/2017

OneFinancial Corporation (One Bank & Trust, N.A.)** 8/15/2018

Total

$ 11,560,000.00

$ 17,300,000.00

**Institution has not entered bankruptcy/receivership but is not collectible

$ 3,277,609,000.00

$ 8,000,000.00

$ 6,900,000.00

$ 5,983,000.00

$ 7,290,000.00

*Institution has exited the bankruptcy/receivership process

$ 11,730,000.00

$ 1,300,000.00

$ 825,000.00

$ 7,500,000.00

$ 4,000,000.00

$ 72,927,000.00

$ 25,083,000.00

$ 9,500,000.00

$ 1,607,000.00

$ 1,312,000.00

$ 25,000,000.00

$ 104,000,000.00

$ 83,586,000.00

Troubled Asset Relief Program

CPP & CDCI Institutions

As of October 31, 2019

A. Remaining CPP Portfolio Institutions

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

A. Remaining CPP Portfolio Institutions

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

C. Remaining CDCI Portfolio Institutions

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

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

$ 5,000,000.00

$ 8,653,000.00

$ 6,800,000.00

$ 84,784,000.00

 Realized Loss/ Write-Off 

$ 2,330,000,000.00

$ 298,737,000.00

$ 4,120,000.00

$ 3,800,000.00

$ 10,400,000.00

$ 4,114,000.00

$ 30,000,000.00

$ 5,498,000.00

$ 69,000,000.00

$ 5,800,000.00

$ 5,500,000.00

6
Institution Name Location

Carver Bancorp, Inc* New York, NY 

Cooperative Center Federal Credit Union Berkeley, CA

D.C. Federal Credit Union Washington, DC

Buffalo Cooperative Federal Credit Union Buffalo, NY

Total

Institution Name Bankruptcy/ Receivership Date

Premier Bancorp, Inc.* 1/29/2013

$ 2,799,000.00

*Institution has exited the bankruptcy/receivership process

$ 18,980,000.00

C. Remaining CDCI Portfolio Institutions

 Amount Outstanding 

$ 22,424,000.00

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

 Realized Loss/ Write-Off 

Amount 

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

$ 6,704,100.00

$ 145,000.00

$ 500,000.00

7
Budget

Object Class (BOC) Budget Object Class Title Obligations Expenditures

Projected

Obligations

Projected

Expenditures

PERSONNEL SERVICES 1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS $ 175,484,755 $ 175,486,946 $ 175,784,000 $ 175,787,000

PERSONNEL SERVICES Total: $ 175,484,755 $ 175,486,946 $ 175,784,000 $ 175,787,000

2100 TRAVEL & TRANSPORTATION OF PERSONS $ 2,962,682 $ 2,959,130 $ 2,965,000 $ 2,962,000

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

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 739,378 739,378 740,000 740,000

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

2500 OTHER SERVICES 352,745,765 336,874,880 353,546,000 338,064,000

2600 SUPPLIES AND MATERIALS 2,412,469 2,412,469 2,413,000 2,413,000

3100 EQUIPMENT 323,978 323,978 324,000 324,000

3200 LAND & STRUCTURES - - - - 

4200 INSURANCE CLAIMS & INDEMNITIES - - - - 

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

NON-PERSONNEL SERVICES Total: $ 359,198,894 $ 343,324,456 $ 360,003,000 $ 344,518,000

GRAND TOTAL: $ 534,683,649 $ 518,811,402 $ 535,787,000 $ 520,305,000

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

For Period Ending For Period Ending

October 31, 2019 November 30, 2019

NON-PERSONNEL 

SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expenditures

8
Date Approved Type of Transaction Vendor Purpose Socio-Economic Category

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

02/02/2009 Interagency Agreement Government Accountability Office Compliance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period October 2019

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

01/14/2010 Interagency Agreement Government Accountability Office Compliance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

10
08/06/2010 Contract Paul, Weiss, Rifkind, Wharton & Garrison LLP Legal Advisory Other Than Small Business

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

10/26/2010 Interagency Agreement Government Accountability Office Compliance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

09/09/2011 Interagency Agreement Financial Management Service Intern

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

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

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

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

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

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

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

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

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

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

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

01/04/2012 Interagency Agreement Government Accountability Office Compliance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

11/19/2012 Interagency Agreement Government Accountability Office Compliance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

07/13/2018 Contract Integrated Federal Solutions, Inc. Administrative Support Small Business,Small Disadvantaged Business

10/05/2018 Interagency Agreement Government Accountability Office Administrative Support

10/05/2018 Interagency Agreement Government Accountability Office Administrative Support

10/05/2018 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

10/05/2018 Interagency Agreement Department of the Treasury - ARC Administrative Support Other Than Small Business

10/18/2018 Interagency Agreement Department of Justice - ATF Legal Advisory

11/07/2018 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

12/04/2018 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

05/20/2019 Interagency Agreement Department of the Interior Administrative Support

07/19/2019 Contract Perspecta Enterprise Solutions LLC Information Technology Other than Small Business

07/26/2019 Contract RDA Corporation Information Technology Other than Small Business

09/05/2019 Interagency Agreement Department of the Interior Administrative Support

10/11/2019 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

10/24/2019 Interagency Agreement Government Accountability Office Administrative Support

10/24/2019 Interagency Agreement Government Accountability Office Administrative Support

10/24/2019 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

10/24/2019 Interagency Agreement Department of the Treasury - ARC Administrative Support

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

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

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

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

13
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending October 31, 2019

Name Amount

Termination of the $5,000,000,000 Master Agreement 

between Citigroup and the UST, and FDIC occurred on 

December 23, 2009 due to the improvement of Citigroup's 

financial condition and financial market stability. 

14
*Investment Status Definition Key

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

Redeemed – institution has repaid Treasury’s investment

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

Exited bankruptcy/receivership - Treasury has no outstanding investment

USt Number Footnote Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee)4 Shares Avg. Price (Realized Loss) / (Write-off) Gain5 Wt Amount Wt Shares

UST0369 11 1ST CONSTITUTION BANCORP CRANBURY NJ 12/23/2008 Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in full; warrants not outstanding

UST0369 1ST CONSTITUTION BANCORP CRANBURY NJ 10/27/2010 $12,000,000.00 12,000 $1,000.00

UST0369 1ST CONSTITUTION BANCORP CRANBURY NJ 11/22/2011 $326,576.00 231,782

UST0455 8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 2/13/2009 Preferred Stock w/ Warrants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, in full; warrants not outstanding

UST0455 1ST ENTERPRISE BANK LOS ANGELES CA 12/11/2009 $6,000,000.00

UST0455 1ST ENTERPRISE BANK LOS ANGELES CA 9/1/2011 $10,400,000.00 10,400 $1,000.00 $220,000.00 220

UST0002 102 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 11/14/2008 Preferred Stock w/ Warrants $16,369,000.00 $0.00 $9,229,948.97 Sold, in full; warrants not outstanding

UST0002 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 12/31/2013 $8,000,000.00 16,369 $488.73 ($8,369,000.00)

UST0292 11 1ST SOURCE CORPORATION SOUTH BEND IN 1/23/2009 Preferred Stock w/ Warrants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, in full; warrants not outstanding

UST0292 1ST SOURCE CORPORATION SOUTH BEND IN 12/29/2010 $111,000,000.00 111,000 $1,000.00

UST0292 1ST SOURCE CORPORATION SOUTH BEND IN 3/9/2011 $3,750,000.00 837,947

UST0669 8,11,14 1ST UNITED BANCORP, INC. BOCA RATON FL 3/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, in full; warrants not outstanding

UST0669 1ST UNITED BANCORP, INC. BOCA RATON FL 11/18/2009 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

UST0379 AB&T FINANCIAL CORPORATION GASTONIA NC 1/23/2009 Preferred Stock w/ Warrants $3,500,000.00 $0.00 $1,274,909.59 Sold, in full; warrants not outstanding

UST0379 AB&T FINANCIAL CORPORATION GASTONIA NC 11/19/2013 $815,100.00 2,964 $275.00 ($2,148,900.00)

UST0379 AB&T FINANCIAL CORPORATION GASTONIA NC 1/6/2014 ($50,000.00)

UST0379 AB&T FINANCIAL CORPORATION GASTONIA NC 2/10/2014 $150,621.36 536 $281.01 ($385,378.64)

UST0379 AB&T FINANCIAL CORPORATION GASTONIA NC 3/19/2014 ($1,506.21)

UST0402 8,14,44 ADBANC, INC. OGALLALA NE 1/30/2009 Preferred Stock w/ Exercised Warrants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, in full; warrants not outstanding

UST0402 ADBANC, INC. OGALLALA NE 7/21/2011 $12,720,000.00 12,720 $1,000.00 $636,000.00 636

UST0378 8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 1/23/2009 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 $7,674,004.73 Sold, in full; warrants not outstanding

UST0378 ALARION FINANCIAL SERVICES, INC. OCALA FL 7/19/2013 $877,729.70 893 $982.90 ($15,270.30)

UST0378 ALARION FINANCIAL SERVICES, INC. OCALA FL 7/22/2013 $5,524,880.90 5,621 $982.90 ($96,119.10) $337,363.35 326

UST0378 ALARION FINANCIAL SERVICES, INC. OCALA FL 9/12/2013 ($64,026.11)

UST0644 104 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 2/6/2009 Preferred Stock w/ Warrants $4,781,000.00 $0.00 $7,501,881.70 Sold, in full; warrants not outstanding

UST0644 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11/28/2012 $208,870.74 234 $892.61 ($25,129.26)

UST0644 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11/29/2012 $4,058,697.67 4,547 $892.61 ($488,302.33)

UST0644 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 1/11/2013 ($42,675.67)

UST0644 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 3/26/2013 ($7,324.33)

UST0644 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 4/1/2014 $2,370,908.26 175,772

UST1268 ALLIANCE BANCSHARES, INC. DALTON GA 6/26/2009 Preferred Stock w/ Exercised Warrants $2,986,000.00 $0.00 $3,581,397.27 Sold, in full; warrants not outstanding

UST1268 ALLIANCE BANCSHARES, INC. DALTON GA 3/27/2013 $94,153.69 101

UST1268 ALLIANCE BANCSHARES, INC. DALTON GA 3/28/2013 $2,856,437.46 2,986 $956.61 ($129,562.54) $44,746.31 48

UST1268 ALLIANCE BANCSHARES, INC. DALTON GA 4/9/2013 ($25,000.00)

UST0311 11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 12/19/2008 Preferred Stock w/ Warrants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, in full; warrants not outstanding

UST0311 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 5/13/2009 $26,918,000.00 26,918 $1,000.00

UST0311 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 6/17/2009 $900,000.00 173,069

UST1253 14,15 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $9,806,136.60 Sold, in full; warrants not outstanding

UST1253 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 2/6/2013 $3,375,945.00 4,500,000 $0.75 ($1,124,055.00)

UST1253 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 2/7/2013 $5,626,575.00 7,500,000 $0.75 ($1,873,425.00) $504,900.00 600,000

UST1253 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 3/26/2013 ($90,025.20)

UST1153 8,137 ALLIED FIRST BANCORP, INC. OSWEGO IL 4/24/2009 Preferred Stock w/ Exercised Warrants $3,652,000.00 $0.00 $1,453,753.00 Sold, in full; warrants not outstanding

UST1153 ALLIED FIRST BANCORP, INC. OSWEGO IL 12/28/2016 $1,044,000.00 3,652 $285.87 ($2,608,000.00)

UST0885 8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 3/27/2009 Preferred Stock w/ Exercised Warrants $70,000,000.00 $0.00 $73,129,160.69 Sold, in full; warrants not outstanding

UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/19/2012 $6,559,920.24 8,056 $814.29 ($1,496,079.76)

UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/20/2012 $50,160,264.00 61,600 $814.29 ($11,439,736.00) $3,291,750.00 3,500

UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 11/16/2012 ($570,003.00)

UST0515 8,14,45 AMB FINANCIAL CORPORATION MUNSTER IN 1/30/2009 Preferred Stock w/ Exercised Warrants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, in full; warrants not outstanding

UST0515 AMB FINANCIAL CORPORATION MUNSTER IN 9/22/2011 $3,674,000.00 3,674 $1,000.00 $184,000.00 184

UST0766 8,14,44 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 3/6/2009 Preferred Stock w/ Exercised Warrants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, in full; warrants not outstanding

UST0766 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 9/15/2011 $2,492,000.00 2,492 $1,000.00 $125,000.00 125

UST0232 11 AMERICAN EXPRESS COMPANY NEW YORK NY 1/9/2009 Preferred Stock w/ Warrants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, in full; warrants not outstanding

UST0232 AMERICAN EXPRESS COMPANY NEW YORK NY 6/17/2009 $3,388,890,000.00 3,388,890 $1,000.00

UST0232 AMERICAN EXPRESS COMPANY NEW YORK NY 7/29/2009 $340,000,000.00 24,264,129

UST0870 8,11,14 AMERICAN PREMIER BANCORP ARCADIA CA 5/29/2009 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, in full; warrants not outstanding

UST0870 AMERICAN PREMIER BANCORP ARCADIA CA 1/26/2011 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

UST0074 8,11,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 1/9/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, in full; warrants not outstanding

UST0074 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 11/2/2011 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

UST0058 AMERIS BANCORP MOULTRIE GA 11/21/2008 Preferred Stock w/ Warrants $52,000,000.00 $0.00 $59,637,438.67 Sold, in full; warrants not outstanding

UST0058 AMERIS BANCORP MOULTRIE GA 6/19/2012 $48,391,200.00 ($725,868.00) 52,000 $930.60 ($3,608,800.00)

UST0058 AMERIS BANCORP MOULTRIE GA 8/22/2012 $2,670,000.00 698,554

UST0207 45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 12/19/2008 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, in full; warrants not outstanding

UST0207 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 8/11/2011 $21,000,000.00 21,000 $1,000.00

UST0207 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11/2/2011 $825,000.00 1,312,500

UST1320 14,15 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 8/21/2009 Subordinated Debentures w/ Exercised Warrants $5,000,000.00 $0.00 $6,523,255.00 Sold, in full; warrants not outstanding

UST1320 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/26/2013 $359,040.00 374,000 $0.96 ($14,960.00)

UST1320 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/27/2013 $2,112,000.00 2,200,000 $0.96 ($88,000.00)

UST1320 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 3/28/2013 $2,328,960.00 2,426,000 $0.96 ($97,040.00) $259,875.00 250,000

UST1320 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 4/9/2013 ($48,000.00)

UST0193 94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 1/30/2009 Preferred Stock w/ Warrants $110,000,000.00 $0.00 $6,000,000.00 Sold, in full; warrants not outstanding

UST0193 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 9/27/2013 $6,000,000.00 60,000,000 $0.10 ($104,000,000.00)

UST0482 11,90 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 1/30/2009 Preferred Stock w/ Warrants $8,152,000.00 $0.00 $13,378,714.00 Redeemed, in full; warrants not outstanding

UST0482 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 4/18/2012 $4,076,000.00 4,076 $1,000.00

UST0482 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 3/6/2013 $4,076,000.00 4,076 $1,000.00

UST0482 ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION ANNAPOLIS MD 5/28/2015 $3,735,577.67 367,916

UST0076 11 ASSOCIATED BANC-CORP GREEN BAY WI 11/21/2008 Preferred Stock w/ Warrants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, in full; warrants not outstanding

UST0076 ASSOCIATED BANC-CORP GREEN BAY WI 4/6/2011 $262,500,000.00 262,500 $1,000.00

UST0076 ASSOCIATED BANC-CORP GREEN BAY WI 9/14/2011 $262,500,000.00 262,500 $1,000.00

UST0076 ASSOCIATED BANC-CORP GREEN BAY WI 12/6/2011 $3,435,005.65 3,983,308

UST1171 8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 12/29/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,503,554.78 Sold, in full; warrants not outstanding

UST1171 ATLANTIC BANCSHARES, INC. BLUFFTON SC 2/7/2014 $1,950,000.00 1,950 $1,150.00 $292,500.00 $95,031.02 88

UST1171 ATLANTIC BANCSHARES, INC. BLUFFTON SC 2/10/2014 $50,000.00 50 $1,150.00 $7,500.00 $10,798.98 10

UST1171 ATLANTIC BANCSHARES, INC. BLUFFTON SC 3/19/2014 ($25,000.00)

UST0814 8,14,44 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 2/27/2009 Preferred Stock w/ Exercised Warrants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, in full; warrants not outstanding

UST0814 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 9/15/2011 $7,400,000.00 7,400 $1,000.00 $370,000.00 370

UST0331 11 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 1/30/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, in full; warrants not outstanding

UST0331 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 7/31/2013 $6,000,000.00 6,000 $1,000.00

UST0331 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 8/28/2013 $190,781.12 81,670

UST0409 8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 3/13/2009 Preferred Stock w/ Exercised Warrants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, in full; warrants not outstanding

UST0409 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 7/14/2011 $21,100,000.00 21,100 $1,000.00 $1,055,000.00 1,055

UST1155 8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 7/10/2009 Preferred Stock w/ Exercised Warrants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, in full; warrants not outstanding

UST1155 BANCORP FINANCIAL, INC. OAK BROOK IL 8/18/2011 $13,669,000.00 13,669 $1,000.00 $410,000.00 410

UST0255 11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, in full; warrants not outstanding

UST0255 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 8/5/2009 $30,000,000.00 30,000 $1,000.00

UST0255 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 9/30/2009 $1,400,000.00 192,967

UST0767 8,11,14 BANCPLUS CORPORATION RIDGELAND MS 2/20/2009 Preferred Stock w/ Exercised Warrants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, in full; warrants not outstanding

UST0767 BANCPLUS CORPORATION RIDGELAND MS 9/29/2010 $48,000,000.00 48,000 $1,000.00 $2,400,000.00 2,400

UST0768 8,14 BANCSTAR, INC. FESTUS MO 4/3/2009 Preferred Stock w/ Exercised Warrants $8,600,000.00 $0.00 $10,701,460.58 Sold, in full; warrants not outstanding

UST0768 BANCSTAR, INC. FESTUS MO 4/26/2013 $98,267.00 100 $982.67 ($1,733.00)

UST0768 BANCSTAR, INC. FESTUS MO 4/29/2013 $8,352,695.00 8,500 $982.67 ($147,305.00) $426,338.55 430

UST0768 BANCSTAR, INC. FESTUS MO 5/31/2013 ($84,509.62)

UST0131 83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, in full; warrants not outstanding

UST0131 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 2/15/2013 $50,000,000.00 50,000 $1,000.00 $15,000.00 730,994

UST1151 8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 8/14/2009 Preferred Stock w/ Exercised Warrants $1,004,000.00 $0.00 $1,114,680.76 Sold, in full; warrants not outstanding

UST1151 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 12/19/2012 $451,600.92 486 $929.22 ($34,399.08)

UST1151 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 12/20/2012 $481,335.96 518 $929.22 ($36,664.04) $23,500.00 50

UST1151 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 1/11/2013 ($9,329.37)

UST1151 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 3/26/2013 ($15,670.63)

UST0021 6,7,11 BANK OF AMERICA CHARLOTTE NC 10/28/2008 Preferred Stock w/ Warrants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, in full; warrants not outstanding

UST0021 BANK OF AMERICA CHARLOTTE NC 1/9/2009 $10,000,000,000.00

UST0021 BANK OF AMERICA CHARLOTTE NC 12/9/2009 $25,000,000,000.00 1,000,000 $25,000.00

Capital Repayment / Disposition / Auction3,5 Warrant Proceeds

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

In full – all of Treasury’s investment amount

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

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

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

Treasury did not receive a warrant to purchase additional stock

CAPITAL PURCHASE PROGRAM

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending October 16, 2019

15
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0021 BANK OF AMERICA CHARLOTTE NC 3/9/2010 $305,913,040.28 121,792,790

UST0458 8,14 BANK OF COMMERCE CHARLOTTE NC 1/16/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,087,573.33 Sold, in full; warrants not outstanding

UST0458 BANK OF COMMERCE CHARLOTTE NC 11/30/2012 $2,502,000.00 3,000 $834.00 ($498,000.00) $100,100.00 150

UST0458 BANK OF COMMERCE CHARLOTTE NC 1/11/2013 ($25,000.00)

UST0001 44 BANK OF COMMERCE HOLDINGS REDDING CA 11/14/2008 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, in full; warrants not outstanding

UST0001 BANK OF COMMERCE HOLDINGS REDDING CA 9/27/2011 $17,000,000.00 17,000 $1,000.00

UST0001 BANK OF COMMERCE HOLDINGS REDDING CA 10/26/2011 $125,000.00 405,405

UST08768 BANK OF GEORGE LAS VEGAS NV 3/13/2009 Preferred Stock w/ Exercised Warrants $2,672,000.00 $0.00 $1,233,940.00 Sold, in full; warrants not outstanding

UST0876 BANK OF GEORGE LAS VEGAS NV 10/21/2013 $955,240.00 2,672 $357.50 ($1,716,760.00) $23,709.00 134

UST0876 BANK OF GEORGE LAS VEGAS NV 1/6/2014 ($25,000.00)

UST0127 11 BANK OF MARIN BANCORP NOVATO CA 12/5/2008 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, in full; warrants not outstanding

UST0127 BANK OF MARIN BANCORP NOVATO CA 3/31/2009 $28,000,000.00 28,000 $1,000.00

UST0127 BANK OF MARIN BANCORP NOVATO CA 11/23/2011 $1,703,984.00 154,908

UST0015 11 BANK OF NEW YORK MELLON NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, in full; warrants not outstanding

UST0015 BANK OF NEW YORK MELLON NEW YORK NY 6/17/2009 $3,000,000,000.00 3,000,000 $1,000.00

UST0015 BANK OF NEW YORK MELLON NEW YORK NY 8/5/2009 $136,000,000.00 14,516,129

UST1008 105 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 4/17/2009 Preferred Stock w/ Warrants $13,179,000.00 $0.00 $4,334,427.00 Sold, in full; warrants not outstanding

UST1008 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 7/16/2014 $3,294,750.00 13,179 $250.00 ($9,884,250.00)

UST0130 11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12/12/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, in full; warrants not outstanding

UST0130 BANK OF THE OZARKS, INC. LITTLE ROCK AR 11/4/2009 $75,000,000.00 75,000 $1,000.00

UST0130 BANK OF THE OZARKS, INC. LITTLE ROCK AR 11/24/2009 $2,650,000.00 379,811

UST0503 8,106 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 1/30/2009 Preferred Stock w/ Exercised Warrants $12,639,000.00 $0.00 $17,097,990.60 Redeemed, in full; warrants not outstanding

UST0503 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 4/24/2014 $12,639,000.00 12,639 $1,000.00 $632,000.00 632

UST0461 8,14,44 BANKFIRST CAPITAL CORPORATION MACON MS 1/23/2009 Preferred Stock w/ Exercised Warrants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, in full; warrants not outstanding

UST0461 BANKFIRST CAPITAL CORPORATION MACON MS 9/8/2011 $15,500,000.00 15,500 $1,000.00 $775,000.00 775

UST0494 8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $1,100,653.50 Sold, in full; warrants not outstanding

UST0494 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11/9/2012 $900,000.00 1,000 $900.00 ($100,000.00) $21,880.50 50

UST0494 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 1/11/2013 ($9,000.00)

UST0494 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 3/26/2013 ($16,000.00)

UST0063 BANNER CORPORATION/BANNER BANK WALLA WALLA WA 11/21/2008 Preferred Stock w/ Warrants $124,000,000.00 $0.00 $129,079,862.47 Sold, in full; warrants not outstanding

UST0063 BANNER CORPORATION/BANNER BANK WALLA WALLA WA 4/3/2012 $109,717,680.00 ($1,645,765.20) 124,000 $884.82 ($14,282,320.00)

UST0063 BANNER CORPORATION/BANNER BANK WALLA WALLA WA 6/12/2013 $134,201.00 243,998

UST0572 8,14,44 BANNER COUNTY BAN CORPORATION HARRISBURG NE 2/6/2009 Preferred Stock w/ Exercised Warrants $795,000.00 $0.00 $942,411.42 Redeemed, in full; warrants not outstanding

UST0572 BANNER COUNTY BAN CORPORATION HARRISBURG NE 7/28/2011 $795,000.00 795 $1,000.00 $40,000.004

UST0256 12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 1/16/2009 Preferred Stock w/ Warrants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, in full; warrants not outstanding

UST0256 BAR HARBOR BANKSHARES BAR HARBOR ME 2/24/2010 $18,751,000.00 18,751 $1,000.00

UST0256 BAR HARBOR BANKSHARES BAR HARBOR ME 7/28/2010 $250,000.00 52,455

UST0012 11 BB&T CORP. WINSTON-SALEM NC 11/14/2008 Preferred Stock w/ Warrants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, in full; warrants not outstanding

UST0012 BB&T CORP. WINSTON-SALEM NC 6/17/2009 $3,133,640,000.00 3,134 $1,000,000.00

UST0012 BB&T CORP. WINSTON-SALEM NC 7/22/2009 $67,010,401.86 13,902,573

UST1084 8,112 BCB HOLDING COMPANY, INC. THEODORE AL 4/3/2009 Preferred Stock w/ Exercised Warrants $1,706,000.00 $0.00 $2,315,853.14 Redeemed, in full; warrants not outstanding

UST1084 BCB HOLDING COMPANY, INC. THEODORE AL 7/1/2014 $1,706,000.00 1,706 $1,000.00 $85,000.00 85

UST0294 11 BCSB BANCORP, INC. BALTIMORE MD 12/23/2008 Preferred Stock w/ Warrants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, in full; warrants not outstanding

UST0294 BCSB BANCORP, INC. BALTIMORE MD 1/26/2011 $10,800,000.00 10,800 $1,000.00

UST0294 BCSB BANCORP, INC. BALTIMORE MD 4/19/2013 $1,442,000.00 183,465

UST0416 8,11,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 1/30/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, in full; warrants not outstanding

UST0416 BEACH BUSINESS BANK MANHATTAN BEACH CA 7/6/2011 $1,500,000.00 1,500 $1,000.00

UST0416 BEACH BUSINESS BANK MANHATTAN BEACH CA 10/19/2011 $1,500,000.00 1,500 $1,000.00

UST0416 BEACH BUSINESS BANK MANHATTAN BEACH CA 3/7/2012 $1,500,000.00 1,500 $1,000.00

UST0416 BEACH BUSINESS BANK MANHATTAN BEACH CA 6/6/2012 $1,200,000.00 1,200 $1,000.00

UST0416 BEACH BUSINESS BANK MANHATTAN BEACH CA 6/27/2012 $300,000.00 300 $1,000.00 $300,000.00 300

UST1154 8,11,14 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 6/12/2009 Preferred Stock w/ Exercised Warrants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, in full; warrants not outstanding

UST1154 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12/28/2011 $2,892,000.00 2,892 $1,000.00 $145,000.00 145

UST0200 11 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 12/19/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, in full; warrants not outstanding

UST0200 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 5/27/2009 $40,000,000.00 40,000 $1,000.00

UST0200 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 6/24/2009 $1,040,000.00 226,330

UST0662 8,14,44 BERN BANCSHARES, INC. BERN KS 2/13/2009 Preferred Stock w/ Exercised Warrants $985,000.00 $0.00 $1,172,062.50 Redeemed, in full; warrants not outstanding

UST0662 BERN BANCSHARES, INC. BERN KS 9/1/2011 $985,000.00 985 $1,000.00 $50,000.005

UST0450 8,14,18 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 4/24/2009 Preferred Stock w/ Exercised Warrants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, in full; warrants not outstanding

UST0450 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 12/18/2009 $1,744,000.00

UST0450 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 7/28/2011 $3,379,000.00 3,379 $1,000.00 $82,000.00 82

UST1141 15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $6,400,000.00 $0.00 $8,271,975.28 Sold, in full; warrants not outstanding

UST1141 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 2/7/2013 $2,532,140.00 2,600,000 $0.97 ($67,860.00) $64,158.97 64,000

UST1141 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 2/8/2013 $3,700,820.00 3,800,000 $0.97 ($99,180.00) $140,347.75 140,000

UST1141 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 3/26/2013 ($62,329.60)

UST07898 BLACKHAWK BANCORP, INC. BELOIT WI 3/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,459,461.11 Sold, in full; warrants not outstanding

UST0789 BLACKHAWK BANCORP, INC. BELOIT WI 10/29/2012 $186,550.00 205 $910.00 ($18,450.00)

UST0789 BLACKHAWK BANCORP, INC. BELOIT WI 10/31/2012 $8,913,450.00 9,795 $910.00 ($881,550.00) $470,250.00 500

UST0789 BLACKHAWK BANCORP, INC. BELOIT WI 1/11/2013 ($91,000.00)

UST1014 8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 5/22/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, in full; warrants not outstanding

UST1014 BLACKRIDGE FINANCIAL, INC. FARGO ND 6/27/2012 $2,250,000.00 2,250 $1,000.00

UST1014 BLACKRIDGE FINANCIAL, INC. FARGO ND 9/12/2012 $2,750,000.00 2,750 $1,000.00 $250,000.00 250

UST0612 8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 3/6/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $11,938,437.34 Sold, in full; warrants not outstanding

UST0612 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 10/29/2012 $19,630.00 26 $755.00 ($6,370.00)

UST0612 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 10/31/2012 $9,040,370.00 11,974 $755.00 ($2,933,630.00) $541,793.34 600

UST0612 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 1/11/2013 ($90,600.00)

UST0850 8,64,97 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 3/6/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $529,105.00 Currently Not Collectible

UST0850 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 2/10/2012 ($5,000,000.00)

UST0118 BLUE VALLEY BAN CORP OVERLAND PARK KS 12/5/2008 Preferred Stock w/ Warrants $21,750,000.00 $0.00 $21,264,901.65 Sold, in full; warrants not outstanding

UST0118 BLUE VALLEY BAN CORP OVERLAND PARK KS 10/18/2013 $3,177,232.50 3,250 $977.61 ($72,767.50)

UST0118 BLUE VALLEY BAN CORP OVERLAND PARK KS 10/21/2013 $18,085,785.00 18,500 $977.61 ($414,215.00)

UST0118 BLUE VALLEY BAN CORP OVERLAND PARK KS 1/6/2014 ($212,630.18)

UST0118 BLUE VALLEY BAN CORP OVERLAND PARK KS 1/7/2015 $3,056.00 130,977

UST09268 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 4/17/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, in full; warrants not outstanding

UST0926 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 8/30/2013 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

UST0128 BNC BANCORP THOMASVILLE NC 12/5/2008 Preferred Stock w/ Warrants $31,260,000.00 $0.00 $35,140,666.12 Sold, in full; warrants not outstanding

UST0128 BNC BANCORP THOMASVILLE NC 8/29/2012 $28,797,649.80 ($431,964.75) 31,260 $921.23 ($2,462,350.20)

UST0128 BNC BANCORP THOMASVILLE NC 9/19/2012 $939,920.00 543,337

UST0460 8,14,44 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 2/27/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, in full; warrants not outstanding

UST0460 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 8/4/2011 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

UST04838 BNCCORP, INC. BISMARCK ND 1/16/2009 Preferred Stock w/ Exercised Warrants $20,093,000.00 $0.00 $26,941,865.35 Sold, in full; warrants not outstanding

UST0483 BNCCORP, INC. BISMARCK ND 3/14/2014 $143,000.00 143 $1,001.08 $154.44 $29,737.13 30

UST0483 BNCCORP, INC. BISMARCK ND 3/17/2014 $19,950,000.00 19,950 $1,001.08 $21,546.00 $966,456.56 975

UST0483 BNCCORP, INC. BISMARCK ND 4/25/2014 ($201,147.00)

UST0693 8,14,44 BOH HOLDINGS, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, in full; warrants not outstanding

UST0693 BOH HOLDINGS, INC. HOUSTON TX 7/14/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

UST0857 14,15 BOSCOBEL BANCORP, INC. BOSCOBEL WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $5,586,000.00 $0.00 $6,947,457.50 Sold, in full; warrants not outstanding

UST0857 BOSCOBEL BANCORP, INC. BOSCOBEL WI 3/8/2013 $232,180.54 179,000

UST0857 BOSCOBEL BANCORP, INC. BOSCOBEL WI 3/11/2013 $5,586,000.00 5,586,000 $1.11 $592,730.46 $129,709.80 100,000

UST0857 BOSCOBEL BANCORP, INC. BOSCOBEL WI 4/9/2013 ($61,787.30)

UST0072 11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 11/21/2008 Preferred Stock w/ Warrants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, in full; warrants not outstanding

UST0072 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 1/13/2010 $50,000,000.00 50,000 $1,000.00

UST0072 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 6/16/2010 $104,000,000.00 104,000 $1,000.00

UST0072 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 2/7/2011 $6,202,523.25 2,887,500

UST0115 11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 12/23/2008 Preferred Stock w/ Warrants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, in full; warrants not outstanding

UST0115 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 2/23/2011 $15,000,000.00 15,000 $1,000.00

UST0115 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 3/16/2011 $8,864,000.00 8,864 $1,000.00

UST0115 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 4/20/2011 $1,395,000.00 396,412

UST02538 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 12/19/2008 Preferred Stock w/ Exercised Warrants $38,000,000.00 $0.00 $13,447,811.37 Sold, in full; warrants not outstanding

UST0253 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 11/19/2013 $10,450,000.00 38,000 $275.00 ($27,550,000.00) $709,155.81 1,900

UST0253 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 1/6/2014 ($104,500.00)

UST0007 9,10,18,65,96,99,136,142,145,154 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 11/14/2008 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,150,335.77 Sold, in full; warrants not outstanding

UST0007 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 12/4/2009 $6,000,000.00

UST0007 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 12/22/2016 $6,952,779.42 4,702,860 $1.59 $524,767.98

UST0007 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 6/29/2017 $2,708,592.55 1,832,092 $1.90 $772,382.25

UST0007 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 9/21/2017 $1,354,296.27 916,046 $2.05 $523,598.03

UST0007 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 5/1/2019 $3,503,502.60 2,695,002 $1.30 ($480,829.16)

UST0978 14,15 BROGAN BANKSHARES, INC. KAUKAUNA WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $2,400,000.00 $0.00 $3,022,879.60 Sold, in full; warrants not outstanding

UST0978 BROGAN BANKSHARES, INC. KAUKAUNA WI 4/26/2013 $60,000.00 60,000 $1.05 $3,000.60

UST0978 BROGAN BANKSHARES, INC. KAUKAUNA WI 4/29/2013 $2,340,000.00 2,340,000 $1.05 $117,023.40 $125,135.60 120,000

UST0978 BROGAN BANKSHARES, INC. KAUKAUNA WI 5/31/2013 ($25,000.00)

UST0776 8,14,44 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 7/17/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, in full; warrants not outstanding

UST0776 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 9/15/2011 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

UST1077 8,11,14 BUSINESS BANCSHARES, INC. CLAYTON MO 4/24/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, in full; warrants not outstanding

UST1077 BUSINESS BANCSHARES, INC. CLAYTON MO 5/23/2012 $6,000,000.00 6,000 $1,000.00

UST1077 BUSINESS BANCSHARES, INC. CLAYTON MO 1/9/2013 $2,500,000.00 2,500 $1,000.00

UST1077 BUSINESS BANCSHARES, INC. CLAYTON MO 4/24/2013 $6,500,000.00 6,500 $1,000.00 $750,000.00 750

UST0845 8,11,14 BUTLER POINT, INC. CATLIN IL 3/13/2009 Preferred Stock w/ Exercised Warrants $607,000.00 $0.00 $724,123.53 Redeemed, in full; warrants not outstanding

UST0845 BUTLER POINT, INC. CATLIN IL 11/2/2011 $607,000.00 607 $1,000.00 $30,000.00 30

UST0324 11 C&F FINANCIAL CORPORATION WEST POINT VA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $25,205,957.78 Redeemed, in full; warrants not outstanding

16
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0324 C&F FINANCIAL CORPORATION WEST POINT VA 7/27/2011 $10,000,000.00 10,000 $1,000.00

UST0324 C&F FINANCIAL CORPORATION WEST POINT VA 4/11/2012 $10,000,000.00 10,000 $1,000.00

UST0324 C&F FINANCIAL CORPORATION WEST POINT VA 5/14/2014 $2,303,180.00 167,504

UST0314 8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 12/23/2008 Preferred Stock w/ Exercised Warrants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, in full; warrants not outstanding

UST0314 CACHE VALLEY BANKING COMPANY LOGAN UT 12/18/2009 $4,640,000.00

UST0314 CACHE VALLEY BANKING COMPANY LOGAN UT 7/14/2011 $9,407,000.00 9,407 $1,000.00 $238,000.00 238

UST0300 125 CADENCE FINANCIAL CORPORATION STARKVILLE MS 1/9/2009 Preferred Stock w/ Warrants $44,000,000.00 $0.00 $41,984,062.50 Sold, in full; warrants not outstanding

UST0300 CADENCE FINANCIAL CORPORATION STARKVILLE MS 3/4/2011 $38,000,000.00 44,000 $863.64 ($6,000,000.00)

UST0495 8,14,44 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 2/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in full; warrants not outstanding

UST0495 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 9/15/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0418 8,11,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in full; warrants not outstanding

UST0418 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 12/8/2010 $3,300,000.00 3,300 $1,000.00 $165,000.00 165

UST04328 CALVERT FINANCIAL CORPORATION ASHLAND MO 1/23/2009 Preferred Stock w/ Exercised Warrants $1,037,000.00 $0.00 $1,604,019.48 Redeemed, in full; warrants not outstanding

UST0432 CALVERT FINANCIAL CORPORATION ASHLAND MO 2/17/2016 $1,037,000.00 1,037 $1,000.00 $52,000.00 52

UST0219 8,130 CALWEST BANCORP RANCHO SANTA MARGARITA CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,656,000.00 $0.00 $5,285,163.67 Sold, in full; warrants not outstanding

UST0219 CALWEST BANCORP RANCHO SANTA MARGARITA CA 12/23/2015 $4,656,000.00 24,445,000 $0.20 $233,000.00

UST0307 8,11,14 CAPITAL BANCORP, INC. ROCKVILLE MD 12/23/2008 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, in full; warrants not outstanding

UST0307 CAPITAL BANCORP, INC. ROCKVILLE MD 12/30/2010 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

UST0061 39 CAPITAL BANK CORPORATION RALEIGH NC 12/12/2008 Preferred Stock w/ Warrants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, in full; warrants not outstanding

UST0061 CAPITAL BANK CORPORATION RALEIGH NC 1/28/2011 $41,279,000.00 41,279 $1,000.00

UST1082 8,128 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 4/10/2009 Preferred Stock w/ Exercised Warrants $5,100,000.00 $0.00 $2,764,934.40 Sold, in full; warrants not outstanding

UST1082 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 10/2/2015 $2,455,328.00 1,227,664 $2.00 ($2,644,672.00)

UST0022 11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 11/14/2008 Preferred Stock w/ Warrants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, in full; warrants not outstanding

UST0022 CAPITAL ONE FINANCIAL CORP MCLEAN VA 6/17/2009 $3,555,199,000.00 3,555,199 $1,000.00

UST0022 CAPITAL ONE FINANCIAL CORP MCLEAN VA 12/9/2009 $146,500,064.55 12,657,960

UST0064 8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 12/23/2008 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,742,850.89 Sold, in full; warrants not outstanding

UST0064 CAPITAL PACIFIC BANCORP PORTLAND OR 11/8/2012 $247,727.04 264 $938.36 ($16,272.96)

UST0064 CAPITAL PACIFIC BANCORP PORTLAND OR 11/9/2012 $3,505,712.96 3,736 $938.36 ($230,287.04) $169,042.00 200

UST0064 CAPITAL PACIFIC BANCORP PORTLAND OR 1/11/2013 ($25,000.00)

UST1257 14,15,45 CARDINAL BANCORP II, INC. WASHINGTON MO 10/23/2009 Subordinated Debentures w/ Exercised Warrants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, in full; warrants not outstanding

UST1257 CARDINAL BANCORP II, INC. WASHINGTON MO 9/8/2011 $6,251,000.00 6,251,000 $1.00 $313,000.00 313,000

UST0338 CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 1/9/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $19,941,788.94 Sold, in full; warrants not outstanding

UST0338 CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 2/20/2013 $14,525,843.40 15,534 $935.10 ($1,008,156.60)

UST0338 CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 2/21/2013 $435,756.60 466 $935.10 ($30,243.40)

UST0338 CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 3/26/2013 ($149,616.00)

UST0338 CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 4/19/2013 $1,800,000.00 357,675

UST0597 CAROLINA TRUST BANK LINCOLNTON NC 2/6/2009 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,994,452.00 Sold, in full; warrants not outstanding

UST0597 CAROLINA TRUST BANK LINCOLNTON NC 11/30/2012 $3,412,000.00 4,000 $853.00 ($588,000.00)

UST0597 CAROLINA TRUST BANK LINCOLNTON NC 1/11/2013 ($34,120.00)

UST0597 CAROLINA TRUST BANK LINCOLNTON NC 3/26/2013 ($15,880.00)

UST0597 CAROLINA TRUST BANK LINCOLNTON NC 6/11/2013 $19,132.00 86,957

UST0591 11 CARROLLTON BANCORP BALTIMORE MD 2/13/2009 Preferred Stock w/ Warrants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, in full; warrants not outstanding

UST0591 CARROLLTON BANCORP BALTIMORE MD 4/19/2013 $9,201,000.00 9,201 $1,000.00 $213,594.16 205,379

UST0413 9,11,36 CARVER BANCORP, INC. NEW YORK NY 1/16/2009 Preferred Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, in full; warrants not outstanding

UST0413 CARVER BANCORP, INC. NEW YORK NY 8/27/2010 $18,980,000.00 18,980 $1,000.00

UST0065 CASCADE FINANCIAL CORPORATION EVERETT WA 11/21/2008 Preferred Stock w/ Warrants $38,970,000.00 $0.00 $17,678,900.00 Sold, in full; warrants not outstanding

UST0065 CASCADE FINANCIAL CORPORATION EVERETT WA 6/30/2011 $16,250,000.00 38,970 $416.99 ($22,720,000.00)

UST0103 11 CATHAY GENERAL BANCORP LOS ANGELES CA 12/5/2008 Preferred Stock w/ Warrants $258,000,000.00 $0.00 $329,874,444.96 Redeemed, in full; warrants not outstanding

UST0103 CATHAY GENERAL BANCORP LOS ANGELES CA 3/20/2013 $129,000,000.00 129,000 $1,000.00

UST0103 CATHAY GENERAL BANCORP LOS ANGELES CA 9/30/2013 $129,000,000.00 129,000 $1,000.00

UST0103 CATHAY GENERAL BANCORP LOS ANGELES CA 12/9/2013 $13,107,778.30 1,846,374

UST0878 8,14,18,44 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 2/27/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, in full; warrants not outstanding

UST0878 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 12/22/2009 $3,500,000.00

UST0878 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 7/21/2011 $6,500,000.00 6,500 $1,000.00 $263,000.00 263

UST1204 8,57,97 CB HOLDING CORP. ALEDO IL 5/29/2009 Preferred Stock w/ Exercised Warrants $4,114,000.00 $0.00 $271,579.53 Currently Not Collectible

UST1204 CB HOLDING CORP. ALEDO IL 10/14/2011 ($4,114,000.00)

UST0764 8,18 CBB BANCORP CARTERSVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $2,644,000.00 $0.00 $4,982,141.86 Sold, in full; warrants not outstanding

UST0764 CBB BANCORP CARTERSVILLE GA 12/29/2009 $1,753,000.00

UST0764 CBB BANCORP CARTERSVILLE GA 11/28/2012 $1,268,825.60 1,360 $932.96 ($91,174.40)

UST0764 CBB BANCORP CARTERSVILLE GA 11/29/2012 $2,831,259.86 3,037 $932.26 ($205,740.14) $115,861.34 132

UST0764 CBB BANCORP CARTERSVILLE GA 1/11/2013 ($32,969.92)

UST0764 CBB BANCORP CARTERSVILLE GA 3/26/2013 ($363.42)

UST0941 8,14 CBS BANC-CORP. RUSSELLVILLE AL 3/27/2009 Preferred Stock w/ Exercised Warrants $24,300,000.00 $0.00 $27,432,357.95 Sold, in full; warrants not outstanding

UST0941 CBS BANC-CORP. RUSSELLVILLE AL 8/7/2012 $287,213.85 315

UST0941 CBS BANC-CORP. RUSSELLVILLE AL 8/9/2012 $923,304.00 1,020 $905.20 ($96,696.00) $689,313.24 756

UST0941 CBS BANC-CORP. RUSSELLVILLE AL 8/10/2012 $21,073,056.00 23,280 $905.20 ($2,206,944.00) $131,297.76 144

UST0941 CBS BANC-CORP. RUSSELLVILLE AL 9/11/2012 ($219,963.60)

UST0192 143,146 CECIL BANCORP, INC. ELKTON MD 12/23/2008 Preferred Stock w/ Warrants $11,560,000.00 $0.00 $1,396,988.89 Exited bankruptcy/Receivership

UST0192 CECIL BANCORP, INC. ELKTON MD 6/30/2017 ($11,560,000.00)

UST0192 CECIL BANCORP, INC. ELKTON MD 10/26/2017 $880,000.00

UST06478 CEDARSTONE BANK LEBANON TN 2/6/2009 Preferred Stock w/ Exercised Warrants $3,564,000.00 $0.00 $4,672,098.50 Redeemed, in full; warrants not outstanding

UST0647 CEDARSTONE BANK LEBANON TN 11/20/2013 $3,564,000.00 3,564 $1,000.00 $178,000.00 178

UST0304 44 CENTER BANCORP, INC. UNION NJ 1/9/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, in full; warrants not outstanding

UST0304 CENTER BANCORP, INC. UNION NJ 9/15/2011 $10,000,000.00 10,000 $1,000.00

UST0304 CENTER BANCORP, INC. UNION NJ 12/7/2011 $245,000.00 86,705

UST0132 11,59 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $55,000,000.00 $0.00 $65,855,083.33 Redeemed, in full; warrants not outstanding

UST0132 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 $55,000,000.00 55,000 $1,000.00

UST0132 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 5/27/2015 $1,115,500.00 350,767

UST1034 8,14 CENTERBANK MILFORD OH 5/1/2009 Preferred Stock w/ Exercised Warrants $2,250,000.00 $0.00 $2,344,662.43 Sold, in full; warrants not outstanding

UST1034 CENTERBANK MILFORD OH 10/29/2012 $24,750.00 30 $825.00 ($5,250.00)

UST1034 CENTERBANK MILFORD OH 11/1/2012 $1,831,500.00 2,220 $825.00 ($388,500.00) $84,057.43 113

UST1034 CENTERBANK MILFORD OH 1/11/2013 ($18,562.50)

UST1034 CENTERBANK MILFORD OH 3/26/2013 ($6,437.50)

UST0023 12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 11/21/2008 Preferred Stock w/ Warrants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, in full; warrants not outstanding

UST0023 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 9/30/2009 $27,875,000.00 27,875 $1,000.00

UST0023 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 10/28/2009 $212,000.00 125,413

UST0257 8,11,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 1/16/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, in full; warrants not outstanding

UST0257 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 3/31/2009 $15,000,000.00 15,000 $1,000.00

UST0257 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 4/15/2009 $750,000.00 750

UST0133 45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 12/5/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, in full; warrants not outstanding

UST0133 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 8/25/2011 $10,000,000.00 10,000 $1,000.00

UST0133 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 10/19/2011 $2,525,000.00 234,742

UST0755 8,113 CENTRAL BANCORP, INC. (TX) GARLAND TX 2/27/2009 Preferred Stock w/ Exercised Warrants $22,500,000.00 $0.00 $31,086,221.13 Redeemed, in full; warrants not outstanding

UST0755 CENTRAL BANCORP, INC. (TX) GARLAND TX 8/29/2014 $22,500,000.00 22,500 $1,000.00 $1,125,000.00 1,125

UST0558 8,11,14 CENTRAL BANCSHARES, INC. HOUSTON TX 1/30/2009 Preferred Stock w/ Exercised Warrants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, in full; warrants not outstanding

UST0558 CENTRAL BANCSHARES, INC. HOUSTON TX 7/6/2011 $5,800,000.00 5,800 $1,000.00 $290,000.00 290

UST0784 8,14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 2/20/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $25,797,528.80 Sold, in full; warrants not outstanding

UST0784 CENTRAL COMMUNITY CORPORATION TEMPLE TX 12/10/2012 $5,333,059.60 5,758 $926.20 ($424,940.40)

UST0784 CENTRAL COMMUNITY CORPORATION TEMPLE TX 12/11/2012 $15,043,340.40 16,242 $926.20 ($1,198,659.60) $1,058,725.80 1,100

UST0784 CENTRAL COMMUNITY CORPORATION TEMPLE TX 1/11/2013 ($203,764.00)

UST0123 CENTRAL FEDERAL CORPORATION FAIRLAWN OH 12/5/2008 Preferred Stock w/ Warrants $7,225,000.00 $0.00 $3,612,118.06 Sold, in full; warrants not outstanding

UST0123 CENTRAL FEDERAL CORPORATION FAIRLAWN OH 9/26/2012 $3,000,000.00 7,225 $415.22 ($4,225,000.00)

UST0371 11 CENTRAL JERSEY BANCORP OAKHURST NJ 12/23/2008 Preferred Stock w/ Warrants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, in full; warrants not outstanding

UST0371 CENTRAL JERSEY BANCORP OAKHURST NJ 11/24/2010 $11,300,000.00 11,300 $1,000.00

UST0371 CENTRAL JERSEY BANCORP OAKHURST NJ 12/1/2010 $319,658.99 268,621

UST0241 40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 1/9/2009 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in full; warrants not outstanding

UST0241 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 6/22/2011 $36,337,500.00 ($454,218.75) 2,850,000 $12.75 ($32,121,928.87)

UST0241 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4/4/2012 $36,427,038.55 ($387,816.38) 2,770,117 $13.15 ($30,113,532.58)

UST0241 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 6/11/2013 $751,888.00 79,288

UST0353 45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 1/30/2009 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, in full; warrants not outstanding

UST0353 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 8/18/2011 $7,000,000.00 7,000 $1,000.00

UST0353 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 9/28/2011 $185,016.80 79,067

UST0312 93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 1/30/2009 Preferred Stock w/ Warrants $11,385,000.00 $0.00 $3,800,656.00 Sold, in full; warrants not outstanding

UST0312 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 10/1/2013 $3,350,000.00 11,385 $294.25 ($8,035,000.00)

UST1309 8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 12/18/2009 Preferred Stock w/ Exercised Warrants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, in full; warrants not outstanding

UST1309 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 7/14/2011 $6,056,000.00 6,056 $1,000.00 $182,000.00 182

UST0573 8,14,44 CENTRIX BANK & TRUST BEDFORD NH 2/6/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, in full; warrants not outstanding

UST0573 CENTRIX BANK & TRUST BEDFORD NH 7/28/2011 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 1/9/2009 Preferred Stock w/ Warrants $32,668,000.00 $0.00 $11,205,387.14 Sold, in full; warrants not outstanding

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 9/25/2013 $8,211,450.00 25,266 $325.00 ($17,054,550.00)

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/18/2013 $1,950,000.00 6,000 $325.00 ($4,050,000.00)

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/29/2013 ($82,114.50)

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 1/6/2014 ($19,500.00)

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 2/10/2014 $577,638.02 1,402 $412.01 ($824,361.98)

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 3/19/2014 ($5,776.38)

UST0248 CENTRUE FINANCIAL CORPORATION OTTAWA IL 10/15/2014 $2,000.00 508,320

UST1238 14,15 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 6/19/2009 Subordinated Debentures w/ Exercised Warrants $10,000,000.00 $0.00 $13,186,960.25 Sold, in full; warrants not outstanding

UST1238 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 12/19/2012 $39,400.00 40,000 $0.99 ($600.00) $198,635.58 200,000

UST1238 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 12/20/2012 $9,810,600.00 9,960,000 $0.99 ($149,400.00) $297,953.37 300,000

UST1238 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 1/11/2013 ($98,500.00)

17
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST1037 15 CHAMBERS BANCSHARES, INC. DANVILLE AR 5/29/2009 Subordinated Debentures w/ Exercised Warrants $19,817,000.00 $0.00 $32,098,302.62 Redeemed, in full; warrants not outstanding

UST1037 CHAMBERS BANCSHARES, INC. DANVILLE AR 4/1/2015 $19,817,000.00 19,817,000 $1.00 $991,000.00 991,000

UST12868 CHICAGO SHORE CORPORATION CHICAGO IL 7/31/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,981,348.81 Sold, in full; warrants not outstanding

UST1286 CHICAGO SHORE CORPORATION CHICAGO IL 3/14/2014 $257,660.00 260 $991.00 ($2,340.00)

UST1286 CHICAGO SHORE CORPORATION CHICAGO IL 3/17/2014 $6,679,340.00 6,740 $991.00 ($60,660.00) $347,193.00 350

UST1286 CHICAGO SHORE CORPORATION CHICAGO IL 4/25/2014 ($69,370.00)

UST0247 23 CIT GROUP INC. NEW YORK NY 12/31/2008 Preferred Stock w/ Warrants $2,330,000,000.00 $0.00 $43,687,500.00 Exited bankruptcy/Receivership

UST0247 CIT GROUP INC. NEW YORK NY 12/10/2009 ($2,330,000,000.00)

UST0024 19,30 CITIGROUP INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $32,839,267,986.46 Redeemed, in full; warrants not outstanding

UST0024 CITIGROUP INC. NEW YORK NY 12/10/2010 $25,000,000,000.00 7,692,307,692 $4.14 $6,852,354,470.95

UST0024 CITIGROUP INC. NEW YORK NY 1/31/2011 $54,621,848.84 210,084,034

UST0419 11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1/16/2009 Preferred Stock w/ Warrants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, in full; warrants not outstanding

UST0419 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 8/4/2010 $26,440,000.00 26,440 $1,000.00

UST0419 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 9/1/2010 $400,000.00 194,794

UST0325 8,55,97 CITIZENS BANCORP NEVADA CITY CA 12/23/2008 Preferred Stock w/ Exercised Warrants $10,400,000.00 $0.00 $223,571.11 Currently Not Collectible

UST0325 CITIZENS BANCORP NEVADA CITY CA 9/23/2011 ($10,400,000.00)

UST1205 8,14 CITIZENS BANCSHARES CO. CHILLICOTHE MO 5/29/2009 Preferred Stock w/ Exercised Warrants $24,990,000.00 $0.00 $13,952,381.45 Sold, in full; warrants not outstanding

UST1205 CITIZENS BANCSHARES CO. CHILLICOTHE MO 2/7/2013 $6,657,375.00 12,990 $512.50 ($6,332,625.00) $258,018.75 500

UST1205 CITIZENS BANCSHARES CO. CHILLICOTHE MO 2/8/2013 $6,150,000.00 12,000 $512.50 ($5,850,000.00) $387,028.12 750

UST1205 CITIZENS BANCSHARES CO. CHILLICOTHE MO 3/26/2013 ($128,073.75)

UST0318 9,11,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 3/6/2009 Preferred Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, in full; warrants not outstanding

UST0318 CITIZENS BANCSHARES CORPORATION ATLANTA GA 8/13/2010 $7,462,000.00 7,462 $1,000.00

UST09808 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 3/20/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $2,353,330.60 Sold, in full; warrants not outstanding

UST0980 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 6/29/2015 $1,560,312.00 2,400 $650.13 ($839,688.00) $53,015.60 120

UST0980 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 8/6/2015 ($25,000.00)

UST0547 8,138 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 2/6/2009 Preferred Stock w/ Exercised Warrants $6,300,000.00 $0.00 $4,980,258.54 Sold, in full; warrants not outstanding

UST0547 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 2/28/2017 $4,800,000.04 10,909,091 $0.44 ($1,499,999.96)

UST0164 8,14,44 CITIZENS COMMUNITY BANK SOUTH HILL VA 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, in full; warrants not outstanding

UST0164 CITIZENS COMMUNITY BANK SOUTH HILL VA 7/28/2011 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

UST0339 11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 12/19/2008 Preferred Stock w/ Warrants $8,779,000.00 $0.00 $12,236,725.89 Redeemed, in full; warrants not outstanding

UST0339 CITIZENS FIRST CORPORATION BOWLING GREEN KY 2/16/2011 $2,212,308.00 63 $35,116.00

UST0339 CITIZENS FIRST CORPORATION BOWLING GREEN KY 2/13/2013 $3,300,904.00 94 $35,116.00

UST0339 CITIZENS FIRST CORPORATION BOWLING GREEN KY 1/15/2014 $3,265,788.00 93 $35,116.00

UST0339 CITIZENS FIRST CORPORATION BOWLING GREEN KY 4/15/2015 $1,705,802.78 254,218

UST0116 86 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $381,395,557.08 Redeemed, in full; warrants not outstanding

UST0116 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 4/12/2013 $300,000,000.00 300,000 $1,000.00

UST0116 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 5/13/2015 $12,150,120.44 2,571,998

UST0195 45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12/12/2008 Preferred Stock w/ Warrants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, in full; warrants not outstanding

UST0195 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9/22/2011 $20,500,000.00 20,500 $1,000.00

UST0195 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 11/9/2011 $225,157.00 450,314

UST0840 8,9,124 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 4/10/2009 Preferred Stock $9,439,000.00 $0.00 $2,508,609.00 Sold, in full; warrants not outstanding

UST0840 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 8/7/2015 $2,226,750.00 9,439 $235.91 ($7,212,250.00)

UST0025 11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, in full; warrants not outstanding

UST0025 CITY NATIONAL CORPORATION BEVERLY HILLS CA 12/30/2009 $200,000,000.00 200,000 $1,000.00

UST0025 CITY NATIONAL CORPORATION BEVERLY HILLS CA 3/3/2010 $200,000,000.00 200,000 $1,000.00

UST0025 CITY NATIONAL CORPORATION BEVERLY HILLS CA 4/7/2010 $18,500,000.00 1,128,668

UST0713 8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 3/27/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,318,585.05 Sold, in full; warrants not outstanding

UST0713 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11/28/2012 $955,825.50 1,095 $872.90 ($139,174.50)

UST0713 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11/29/2012 $1,662,874.50 1,905 $872.90 ($242,125.50) $114,021.50 150

UST0713 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 1/11/2013 ($25,000.00)

UST0090 82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12/5/2008 Preferred Stock w/ Warrants $9,950,000.00 $0.00 $11,166,897.79 Sold, in full; warrants not outstanding

UST0090 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 3/8/2013 $3,772,645.00 3,950 $955.10 ($177,355.00)

UST0090 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 3/11/2013 $5,730,600.00 6,000 $955.10 ($269,400.00)

UST0090 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 4/9/2013 ($95,032.45)

UST0090 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 4/10/2013 $99,000.00 60,000

UST0090 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 6/12/2013 $225,647.45 145,579

UST1336 8,17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8/28/2009 Preferred Stock w/ Exercised Warrants $16,015,000.00 $0.00 $14,257,487.71 Sold, in full; warrants not outstanding

UST1336 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 3/8/2013 $397,550.00 500 $795.10 ($102,450.00) $389,857.05 450

UST1336 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 3/11/2013 $12,335,976.50 15,515 $795.10 ($3,179,023.50) $25,990.47 30

UST1336 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 4/9/2013 ($127,335.27)

UST0166 45 COBIZ FINANCIAL INC. DENVER CO 12/19/2008 Preferred Stock w/ Warrants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, in full; warrants not outstanding

UST0166 COBIZ FINANCIAL INC. DENVER CO 9/8/2011 $64,450,000.00 64,450 $1,000.00

UST0166 COBIZ FINANCIAL INC. DENVER CO 11/23/2011 $143,677.00 895,968

UST0358 44 CODORUS VALLEY BANCORP, INC. YORK PA 1/9/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, in full; warrants not outstanding

UST0358 CODORUS VALLEY BANCORP, INC. YORK PA 8/18/2011 $16,500,000.00 16,500 $1,000.00

UST0358 CODORUS VALLEY BANCORP, INC. YORK PA 9/28/2011 $526,604.00 263,859

UST0523 8,14 COLOEAST BANKSHARES, INC. LAMAR CO 2/13/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,670,784.03 Sold, in full; warrants not outstanding

UST0523 COLOEAST BANKSHARES, INC. LAMAR CO 7/19/2013 $46,995.00 52 $903.75 ($5,005.00)

UST0523 COLOEAST BANKSHARES, INC. LAMAR CO 7/22/2013 $8,990,505.00 9,948 $903.75 ($957,495.00) $494,381.25 50

UST0523 COLOEAST BANKSHARES, INC. LAMAR CO 9/12/2013 ($90,375.00)

UST0792 8,11,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 3/27/2009 Preferred Stock w/ Exercised Warrants $574,000.00 $0.00 $668,142.53 Redeemed, in full; warrants not outstanding

UST0792 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 10/26/2011 $574,000.00 574 $1,000.00 $29,000.00 29

UST0259 COLONY BANKCORP, INC. FITZGERALD GA 1/9/2009 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $26,480,089.20 Sold, in full; warrants not outstanding

UST0259 COLONY BANKCORP, INC. FITZGERALD GA 2/7/2013 $21,633,944.71 27,661 $782.11 ($6,027,055.29)

UST0259 COLONY BANKCORP, INC. FITZGERALD GA 2/8/2013 $265,135.29 339 $782.11 ($73,864.71)

UST0259 COLONY BANKCORP, INC. FITZGERALD GA 3/26/2013 ($218,990.80)

UST0259 COLONY BANKCORP, INC. FITZGERALD GA 6/12/2013 $810,000.00 500,000

UST0066 11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11/21/2008 Preferred Stock w/ Warrants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, in full; warrants not outstanding

UST0066 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 8/11/2010 $76,898,000.00 76,898 $1,000.00

UST0066 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 9/1/2010 $3,301,647.00 398,023

UST0519 8,14,44 COLUMBINE CAPITAL CORP. BUENA VISTA CO 2/27/2009 Preferred Stock w/ Exercised Warrants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, in full; warrants not outstanding

UST0519 COLUMBINE CAPITAL CORP. BUENA VISTA CO 9/22/2011 $2,260,000.00 2,260 $1,000.00 $113,000.00 113

UST0016 11 COMERICA INC. DALLAS TX 11/14/2008 Preferred Stock w/ Warrants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, in full; warrants not outstanding

UST0016 COMERICA INC. DALLAS TX 3/17/2010 $2,250,000,000.00 2,250,000 $1,000.00

UST0016 COMERICA INC. DALLAS TX 5/12/2010 $181,102,043.40 11,479,592

UST0171 11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 1/9/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,602,969.61 Redeemed, in full; warrants not outstanding

UST0171 COMMERCE NATIONAL BANK NEWPORT BEACH CA 10/7/2009 $5,000,000.00 5,000 $1,000.00

UST0171 COMMERCE NATIONAL BANK NEWPORT BEACH CA 10/1/2013 $566,858.50 87,209

UST0911 14,15 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 5/22/2009 Subordinated Debentures w/ Exercised Warrants $20,400,000.00 $0.00 $21,575,016.54 Sold, in full; warrants not outstanding

UST0911 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/7/2012 $130,500.00 174,000 $0.75 ($43,500.00)

UST0911 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/8/2012 $1,469,250.00 1,959,000 $0.75 ($489,750.00)

UST0911 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/9/2012 $13,100,250.00 17,467,000 $0.75 ($4,366,750.00) $792,990.00 900,000

UST0911 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8/10/2012 $600,000.00 800,000 $0.75 ($200,000.00) $105,732.00 120,000

UST0911 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 9/11/2012 ($153,000.00)

UST0057 8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 1/23/2009 Preferred Stock w/ Exercised Warrants $7,701,000.00 $0.00 $8,451,110.79 Sold, in full; warrants not outstanding

UST0057 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 7/17/2013 $7,323,651.00 7,701 $951.00 ($377,349.00) $362,427.91 385

UST0057 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 9/12/2013 ($73,236.51)

UST0134 8,11,14 COMMUNITY 1ST BANK ROSEVILLE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in full; warrants not outstanding

UST0134 COMMUNITY 1ST BANK ROSEVILLE CA 12/19/2012 $2,550,000.00 2,550 $1,000.00 $128,000.00 128

UST0861 8,11,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 3/6/2009 Preferred Stock w/ Exercised Warrants $500,000.00 $0.00 $616,741.75 Redeemed, in full; warrants not outstanding

UST0861 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 7/18/2012 $500,000.00 500 $1,000.00 $25,000.00 25

UST0956 8,11,14 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 9/11/2009 Preferred Stock w/ Exercised Warrants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, in full; warrants not outstanding

UST0956 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 9/29/2010 $52,000,000.00 52,000 $1,000.00 $2,600,000.00 2,600

UST1226 8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 7/24/2009 Preferred Stock w/ Exercised Warrants $3,872,000.00 $0.00 $5,197,157.57 Redeemed, in full; warrants not outstanding

UST1226 COMMUNITY BANCSHARES, INC. KINGMAN AZ 2/11/2015 $3,872,000.00 3,872 $1,000.00 $116,000.00 116

UST0354 9,11,36 COMMUNITY BANK OF THE BAY OAKLAND CA 1/16/2009 Preferred Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, in full; warrants not outstanding

UST0354 COMMUNITY BANK OF THE BAY OAKLAND CA 9/29/2010 $1,747,000.00 1,747 $1,000.00

UST1208 44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 5/29/2009 Preferred Stock w/ Warrants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, in full; warrants not outstanding

UST1208 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 9/15/2011 $19,468,000.00 19,468 $1,000.00

UST1208 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 10/19/2011 $1,100,869.50 386,270

UST0113 11,101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 12/19/2008 Preferred Stock w/ Warrants $17,680,000.00 $0.00 $23,135,879.12 Redeemed, in full; warrants not outstanding

UST0113 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 7/24/2013 $4,500,000.00 4,500 $1,000.00

UST0113 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 11/20/2013 $2,500,000.00 2,500 $1,000.00

UST0113 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 4/23/2014 $10,680,000.00 10,680 $1,000.00

UST0113 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 6/4/2014 $780,000.00 780,000

UST0681 8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $3,976,000.00 $0.00 $4,674,050.16 Sold, in full; warrants not outstanding

UST0681 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11/30/2012 $3,717,560.00 3,976 $935.00 ($258,440.00) $167,035.00 199

UST0681 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 1/11/2013 ($25,000.00)

UST0194 81 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 12/19/2008 Preferred Stock w/ Warrants $12,643,000.00 $0.00 $16,080,204.94 Redeemed, in full; warrants not outstanding

UST0194 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 1/9/2013 $12,643,000.00 12,643 $1,000.00

UST0194 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 5/28/2015 $873,485.00 61,796

UST0970 8,14,76 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 5/15/2009 Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 $4,240,743.82 Sold, in full; warrants not outstanding

UST0970 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 12/21/2012 $3,136,500.00 6,970 $450.00 ($3,833,500.00) $157,050.00 349

UST10518 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 4/3/2009 Preferred Stock w/ Exercised Warrants $12,725,000.00 $0.00 $16,441,884.63 Sold, in full; warrants not outstanding

UST1051 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 2/7/2014 $3,705,037.50 3,750 $988.01 ($44,962.50) $85,157.88 86

UST1051 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 2/10/2014 $8,867,389.75 8,975 $988.01 ($107,610.25) $544,614.34 550

UST1051 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3/19/2014 ($125,724.27)

UST0593 8,14,44 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 3/20/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, in full; warrants not outstanding

UST0593 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 8/18/2011 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

UST03308 COMMUNITY FIRST, INC. COLUMBIA TN 2/27/2009 Preferred Stock w/ Exercised Warrants $17,806,000.00 $0.00 $7,665,362.89 Sold, in full; warrants not outstanding

18
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0330 COMMUNITY FIRST, INC. COLUMBIA TN 4/11/2014 $1,322,500.50 4,401 $300.50 ($3,078,499.50) $72,314.55 140

UST0330 COMMUNITY FIRST, INC. COLUMBIA TN 4/14/2014 $4,028,202.50 13,405 $300.50 ($9,376,797.50) $387,399.37 750

UST0330 COMMUNITY FIRST, INC. COLUMBIA TN 7/18/2014 ($53,507.03)

UST0667 8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 2/6/2009 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in full; warrants not outstanding

UST0667 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 11/30/2012 $1,002,750.00 105 $9,550.00 ($47,250.00) $25,000.005

UST0667 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 1/11/2013 ($10,027.50)

UST0667 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 3/26/2013 ($14,972.50)

UST0284 8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $3,115,616.28 Sold, in full; warrants not outstanding

UST0284 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/19/2012 $952,850.00 1,003 $950.00 ($50,150.00)

UST0284 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 12/20/2012 $1,517,150.00 1,597 $950.00 ($79,850.00) $105,000.00 130

UST0284 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 1/11/2013 ($24,700.00)

UST0284 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 3/26/2013 ($300.00)

UST0392 44 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 1/30/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, in full; warrants not outstanding

UST0392 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 8/11/2011 $9,000,000.00 9,000 $1,000.00

UST0392 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 10/26/2011 $460,000.00 311,972

UST1274 15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 11/13/2009 Subordinated Debentures w/ Exercised Warrants $4,400,000.00 $0.00 $5,462,045.14 Sold, in full; warrants not outstanding

UST1274 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 8/12/2013 $4,400,000.00 4,400,000 $1.11 $484,924.00 $177,716.96 132,000

UST1274 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 9/12/2013 ($48,849.24)

UST0322 8,14,44 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 1/9/2009 Preferred Stock w/ Exercised Warrants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, in full; warrants not outstanding

UST0322 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 7/6/2011 $24,000,000.00 24,000 $1,000.00 $1,200,000.00 1,200

UST0082 COMMUNITY WEST BANCSHARES GOLETA CA 12/19/2008 Preferred Stock w/ Warrants $15,600,000.00 $0.00 $14,341,140.33 Sold, in full; warrants not outstanding

UST0082 COMMUNITY WEST BANCSHARES GOLETA CA 12/10/2012 $2,172,000.00 3,000 $724.00 ($828,000.00)

UST0082 COMMUNITY WEST BANCSHARES GOLETA CA 12/11/2012 $9,122,400.00 12,600 $724.00 ($3,477,600.00)

UST0082 COMMUNITY WEST BANCSHARES GOLETA CA 1/11/2013 ($112,944.00)

UST0082 COMMUNITY WEST BANCSHARES GOLETA CA 6/12/2013 $698,351.00 521,158

UST0706 53,110 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 2/13/2009 Preferred Stock w/ Warrants $51,500,000.00 $0.00 $12,749,591.59 Sold, in full; warrants not outstanding

UST0706 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 5/23/2014 $10,149,929.90 1,085,554 $9.35 ($41,350,070.10)

UST0706 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 5/27/2015 $10,356.69 22,071

UST0384 8,14 CONGAREE BANCSHARES, INC. CAYCE SC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,285,000.00 $0.00 $3,483,629.20 Sold, in full; warrants not outstanding

UST0384 CONGAREE BANCSHARES, INC. CAYCE SC 10/29/2012 $23,932.54 29 $825.26 ($5,067.46)

UST0384 CONGAREE BANCSHARES, INC. CAYCE SC 10/31/2012 $2,687,046.56 3,256 $825.26 ($568,953.44) $106,364.00 164

UST0384 CONGAREE BANCSHARES, INC. CAYCE SC 1/11/2013 ($25,000.00)

UST0504 8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 2/13/2009 Preferred Stock w/ Exercised Warrants $638,000.00 $0.00 $659,705.04 Sold, in full; warrants not outstanding

UST0504 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11/30/2012 $548,680.00 638 $860.00 ($89,320.00) $3,960.00 32

UST0504 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 1/11/2013 ($5,486.80)

UST0504 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 3/26/2013 ($19,513.20)

UST0467 8,14 COUNTRY BANK SHARES, INC. MILFORD NE 1/30/2009 Preferred Stock w/ Exercised Warrants $7,525,000.00 $0.00 $8,781,205.02 Sold, in full; warrants not outstanding

UST0467 COUNTRY BANK SHARES, INC. MILFORD NE 11/28/2012 $713,208.30 777 $917.90 ($63,791.70)

UST0467 COUNTRY BANK SHARES, INC. MILFORD NE 11/29/2012 $6,193,989.20 6,748 $917.90 ($554,010.80) $372,240.00 376

UST0467 COUNTRY BANK SHARES, INC. MILFORD NE 1/11/2013 ($69,071.98)

UST06638 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 6/5/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,594,635.27 Redeemed, in full; warrants not outstanding

UST0663 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 4/30/2014 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

UST06738 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 2/20/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $4,225,732.08 Redeemed, in full; warrants not outstanding

UST0673 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 1/8/2014 $1,000,000.00 1,000 $1,000.00

UST0673 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 11/19/2014 $2,100,000.00 2,100 $1,000.00 $155,000.00 155

UST0201 58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 1/9/2009 Preferred Stock w/ Warrants $24,900,000.00 $0.00 $33,014,741.20 Redeemed, in full; warrants not outstanding

UST0201 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 2/19/2014 $24,900,000.00 24,900 $1,000.00

UST0201 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc. RALEIGH NC 6/11/2014 $1,681,000.00 833,705

UST0456 8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 1/23/2009 Preferred Stock w/ Exercised Warrants $10,650,000.00 $0.00 $13,498,324.83 Sold, in full; warrants not outstanding

UST0456 CROSSTOWN HOLDING COMPANY BLAINE MN 7/19/2013 $343,794.50 350 $982.27 ($6,205.50)

UST0456 CROSSTOWN HOLDING COMPANY BLAINE MN 7/22/2013 $10,117,381.00 10,300 $982.27 ($182,619.00) $531,210.67 533

UST0456 CROSSTOWN HOLDING COMPANY BLAINE MN 9/12/2013 ($104,611.76)

UST06578 CSRA BANK CORP. WRENS GA 3/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,210,755.60 Sold, in full; warrants not outstanding

UST0657 CSRA BANK CORP. WRENS GA 6/29/2015 $2,400,000.00 2,400 $1,213.75 $513,000.00 $141,815.60 120

UST0657 CSRA BANK CORP. WRENS GA 8/6/2015 ($25,000.00)

UST0106 11,16 CVB FINANCIAL CORP. ONTARIO CA 12/5/2008 Preferred Stock w/ Warrants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, in full; warrants not outstanding

UST0106 CVB FINANCIAL CORP. ONTARIO CA 8/26/2009 $97,500,000.00 97,500 $1,000.00

UST0106 CVB FINANCIAL CORP. ONTARIO CA 9/2/2009 $32,500,000.00 32,500 $1,000.00

UST0106 CVB FINANCIAL CORP. ONTARIO CA 10/28/2009 $1,307,000.00 834,761

UST0682 8,14,44 D.L. EVANS BANCORP BURLEY ID 2/27/2009 Preferred Stock w/ Exercised Warrants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, in full; warrants not outstanding

UST0682 D.L. EVANS BANCORP BURLEY ID 9/27/2011 $19,891,000.00 19,891 $1,000.00 $995,000.00 995

UST1104 14,15,44 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 5/15/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, in full; warrants not outstanding

UST1104 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 9/8/2011 $2,639,000.00 2,639,000 $1.00 $132,000.00 132,000

UST1070 8,14 DELMAR BANCORP DELMAR MD 12/4/2009 Preferred Stock w/ Exercised Warrants $9,000,000.00 $0.00 $6,598,331.15 Sold, in full; warrants not outstanding

UST1070 DELMAR BANCORP DELMAR MD 2/7/2013 $5,293,527.28 8,648 $612.11 ($3,354,472.72) $311,943.55 450

UST1070 DELMAR BANCORP DELMAR MD 2/8/2013 $215,462.72 352 $612.11 ($136,537.28)

UST1070 DELMAR BANCORP DELMAR MD 3/26/2013 ($55,089.90)

UST0466 8,18 DESOTO COUNTY BANK HORN LAKE MS 2/13/2009 Preferred Stock w/ Exercised Warrants $1,173,000.00 $0.00 $2,781,331.97 Sold, in full; warrants not outstanding

UST0466 DESOTO COUNTY BANK HORN LAKE MS 12/29/2009 $1,508,000.00

UST0466 DESOTO COUNTY BANK HORN LAKE MS 9/24/2013 $301,428.58 366 $823.58 ($64,571.42) $40,563.34 59

UST0466 DESOTO COUNTY BANK HORN LAKE MS 9/25/2013 $1,895,467.59 2,315 $818.78 ($419,532.41)

UST0466 DESOTO COUNTY BANK HORN LAKE MS 10/29/2013 ($33,333.34)

UST1098 14,15 DIAMOND BANCORP, INC. WASHINGTON MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $20,445,000.00 $0.00 $21,101,618.19 Sold, in full; warrants not outstanding

UST1098 DIAMOND BANCORP, INC. WASHINGTON MO 8/8/2012 $4,381,500.00 6,000,000 $0.73 ($1,618,500.00)

UST1098 DIAMOND BANCORP, INC. WASHINGTON MO 8/9/2012 $10,197,941.25 13,965,000 $0.73 ($3,767,058.75) $688,041.09 902,000

UST1098 DIAMOND BANCORP, INC. WASHINGTON MO 8/10/2012 $350,520.00 480,000 $0.73 ($129,480.00) $91,535.40 120,000

UST1098 DIAMOND BANCORP, INC. WASHINGTON MO 9/11/2012 ($149,299.61)

UST0441 8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 1/16/2009 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in full; warrants not outstanding

UST0441 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/7/2013 $8,025,555.03 14,523 $552.61 ($6,497,444.97) $3,372.195

UST0441 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 2/8/2013 $72,684,793.30 131,530 $552.61 ($58,845,206.70) $4,922,044.87 7,298

UST0441 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 3/26/2013 ($807,103.48)

UST0587 11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 3/13/2009 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in full; warrants not outstanding

UST0587 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 4/21/2010 $1,224,558,000.00 1,224,558 $1,000.00

UST0587 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7/7/2010 $172,000,000.00 20,500,413

UST0548 44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 1/30/2009 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in full; warrants not outstanding

UST0548 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 8/4/2011 $11,750,000.00 11,750 $1,000.00

UST0548 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 9/21/2011 $458,000.00 186,311

UST1166 15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $17,424,285.82 Redeemed, in full; warrants not outstanding

UST1166 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 11/27/2013 $5,000,000.00 5,000,000 $1.00

UST1166 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 3/5/2014 $2,000,000.00 2,000,000 $1.00

UST1166 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 4/2/2014 $5,000,000.00 5,000,000 $1.00 $600,000.00 600,000

UST0084 12,44 EAGLE BANCORP, INC. BETHESDA MD 12/5/2008 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, in full; warrants not outstanding

UST0084 EAGLE BANCORP, INC. BETHESDA MD 12/23/2009 $15,000,000.00 15,000 $1,000.00

UST0084 EAGLE BANCORP, INC. BETHESDA MD 7/14/2011 $23,235,000.00 23,235 $1,000.00

UST0084 EAGLE BANCORP, INC. BETHESDA MD 11/23/2011 $2,794,422.00 385,434

UST0093 11,16 EAST WEST BANCORP, INC. PASADENA CA 12/5/2008 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in full; warrants not outstanding

UST0093 EAST WEST BANCORP, INC. PASADENA CA 12/29/2010 $306,546,000.00 306,546 $1,000.00

UST0093 EAST WEST BANCORP, INC. PASADENA CA 1/26/2011 $14,500,000.00 1,517,555

UST0250 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/9/2009 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $28,568,653.60 Sold, in full; warrants not outstanding

UST0250 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/18/2013 $3,900,000.00 3,900 $1,104.11 $406,029.00

UST0250 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 10/21/2013 $20,100,000.00 20,100 $1,104.11 $2,092,611.00

UST0250 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 1/6/2014 ($264,986.40)

UST0250 EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 5/13/2015 $115,000.00 384,041

UST0349 89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 1/16/2009 Preferred Stock w/ Warrants $17,949,000.00 $0.00 $23,397,494.08 Redeemed, in full; warrants not outstanding

UST0349 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 2/19/2014 $17,949,000.00 17,949 $1,000.00

UST0349 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc. ENGELHARD NC 6/11/2014 $871,000.00 514,693

UST0173 44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/23/2008 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in full; warrants not outstanding

UST0173 EMCLAIRE FINANCIAL CORP. EMLENTON PA 8/18/2011 $7,500,000.00 7,500 $1,000.00

UST0173 EMCLAIRE FINANCIAL CORP. EMLENTON PA 12/7/2011 $51,113.00 50,111

UST0079 45 ENCORE BANCSHARES INC. HOUSTON TX 12/5/2008 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, in full; warrants not outstanding

UST0079 ENCORE BANCSHARES INC. HOUSTON TX 9/27/2011 $34,000,000.00 34,000 $1,000.00

UST0079 ENCORE BANCSHARES INC. HOUSTON TX 11/23/2011 $637,071.00 364,026

UST0135 11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 12/19/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in full; warrants not outstanding

UST0135 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 11/7/2012 $35,000,000.00 35,000 $1,000.00

UST0135 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 1/9/2013 $1,006,100.00 324,074

UST1252 8,14,44 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in full; warrants not outstanding

UST1252 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 8/25/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0549 8,44,73 EQUITY BANCSHARES, INC. WICHITA KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in full; warrants not outstanding

UST0549 EQUITY BANCSHARES, INC. WICHITA KS 8/11/2011 $8,750,000.00 8,750 $1,000.00 $438,000.00 438

UST0177 8,14 EXCHANGE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in full; warrants not outstanding

UST0177 EXCHANGE BANK SANTA ROSA CA 8/3/2012 $481,387.50 550 $875.25 ($68,612.50)

UST0177 EXCHANGE BANK SANTA ROSA CA 8/8/2012 $17,505,000.00 20,000 $875.25 ($2,495,000.00) $1,910,898.00 2,000

UST0177 EXCHANGE BANK SANTA ROSA CA 8/9/2012 $8,725,367.25 9,969 $875.25 ($1,243,632.75) $120,386.57 126

UST0177 EXCHANGE BANK SANTA ROSA CA 8/10/2012 $420,995.25 481 $875.25 ($60,004.75) $22,930.78 24

UST0177 EXCHANGE BANK SANTA ROSA CA 8/13/2012 $10,503,000.00 12,000 $875.25 ($1,497,000.00)

UST0177 EXCHANGE BANK SANTA ROSA CA 9/11/2012 ($376,357.50)

UST0650 8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 1/30/2009 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in full; warrants not outstanding

UST0650 F & M BANCSHARES, INC. TREZEVANT TN 11/6/2009 $3,535,000.00

UST0650 F & M BANCSHARES, INC. TREZEVANT TN 2/6/2013 $4,797,325.00 5,090 $942.50 ($292,675.00)

UST0650 F & M BANCSHARES, INC. TREZEVANT TN 2/7/2013 $2,734,192.50 2,901 $942.50 ($166,807.50) $222,007.50 230

19
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0650 F & M BANCSHARES, INC. TREZEVANT TN 2/8/2013 $144,202.50 153 $942.50 ($8,797.50)

UST0650 F & M BANCSHARES, INC. TREZEVANT TN 3/26/2013 ($76,757.21)

UST0627 8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 2/6/2009 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in full; warrants not outstanding

UST0627 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/18/2012 $136,813.05 150

UST0627 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/19/2012 $2,664,750.00 2,805 $950.00 ($140,250.00)

UST0627 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 9/20/2012 $13,485,250.00 14,195 $950.00 ($709,750.00) $638,460.90 700

UST0627 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 11/16/2012 ($161,500.00)

UST1038 14,15 F&C BANCORP. INC. HOLDEN MO 5/22/2009 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in full; warrants not outstanding

UST1038 F&C BANCORP. INC. HOLDEN MO 11/8/2012 $1,590,599.43 1,659,000 $0.96 ($68,400.57)

UST1038 F&C BANCORP. INC. HOLDEN MO 11/13/2012 $1,278,999.18 1,334,000 $0.96 ($55,000.82) $125,000.00 150,000

UST1038 F&C BANCORP. INC. HOLDEN MO 1/11/2013 ($25,000.00)

UST0778 8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 2/13/2009 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in full; warrants not outstanding

UST0778 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/19/2012 $96,465.60 112

UST0778 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/20/2012 $157,500.00 200 $787.50 ($42,500.00)

UST0778 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 9/21/2012 $13,421,362.50 17,043 $787.50 ($3,621,637.50) $645,975.00 750

UST0778 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 11/16/2012 ($135,788.63)

UST0306 11 F.N.B. CORPORATION HERMITAGE PA 1/9/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in full; warrants not outstanding

UST0306 F.N.B. CORPORATION HERMITAGE PA 9/9/2009 $100,000,000.00 100,000 $1,000.00

UST0306 F.N.B. CORPORATION HERMITAGE PA 11/23/2011 $690,100.00 651,042

UST0557 8,120 FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC. HOUSTON TX 3/6/2009 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $15,971,339.07 Redeemed, in full; warrants not outstanding

UST0557 FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC. HOUSTON TX 7/15/2015 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

UST0997 8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 3/20/2009 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in full; warrants not outstanding

UST0997 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 6/24/2013 $425,425.00 442 $962.50 ($16,575.00) ($2,835.00) 22

UST0997 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 7/26/2013 ($25,000.00)

UST0406 8,11 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/23/2009 Preferred Stock w/ Exercised Warrants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, in full; warrants not outstanding

UST0406 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 1/9/2013 $3,063,000.00 3,063 $1,000.00

UST0406 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 12/31/2013 $5,689,000.00 5,689 $1,000.00 $438,000.00 438

UST0085 FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 1/9/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in full; warrants not outstanding

UST0085 FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 6/19/2012 $22,196,700.00 ($332,950.50) 30,000 $739.89 ($7,803,300.00)

UST0085 FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 7/18/2012 $75,000.00 223,992

UST1237 14,15 FARMERS ENTERPRISES, INC. GREAT BEND KS 6/19/2009 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in full; warrants not outstanding

UST1237 FARMERS ENTERPRISES, INC. GREAT BEND KS 11/8/2012 $96,290.00 100,000 $0.96 ($3,710.00)

UST1237 FARMERS ENTERPRISES, INC. GREAT BEND KS 11/9/2012 $37,387.14 38,000

UST1237 FARMERS ENTERPRISES, INC. GREAT BEND KS 11/13/2012 $11,458,510.00 11,900,000 $0.96 ($441,490.00) $552,936.00 562,000

UST1237 FARMERS ENTERPRISES, INC. GREAT BEND KS 1/11/2013 ($115,548.00)

UST0998 8,14,45 FARMERS STATE BANKSHARES, INC. HOLTON KS 3/20/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in full; warrants not outstanding

UST0998 FARMERS STATE BANKSHARES, INC. HOLTON KS 7/21/2011 $700,000.00 700 $1,000.00 $40,000.004

UST1315 15,17 FBHC HOLDING COMPANY BOULDER CO 12/29/2009 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in full; warrants not outstanding

UST1315 FBHC HOLDING COMPANY BOULDER CO 3/9/2011 $650,000.00 3,035,000 $0.21 ($2,385,000.00)

UST1180 8,14 FC HOLDINGS, INC. HOUSTON TX 6/26/2009 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; warrants not outstanding

UST1180 FC HOLDINGS, INC. HOUSTON TX 2/20/2013 $18,874,674.00 21,042 $897.00 ($2,167,326.00) $994,613.40 1,052

UST1180 FC HOLDINGS, INC. HOUSTON TX 3/26/2013 ($188,746.74)

UST0363 8,14,45 FCB BANCORP, INC. LOUISVILLE KY 12/19/2008 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in full; warrants not outstanding

UST0363 FCB BANCORP, INC. LOUISVILLE KY 9/22/2011 $9,294,000.00 9,294 $1,000.00 $465,000.00 465

UST0008 8,14 FFW CORPORATION WABASH IN 12/19/2008 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in full; warrants not outstanding

UST0008 FFW CORPORATION WABASH IN 11/28/2012 $879,424.60 974 $902.90 ($94,575.40)

UST0008 FFW CORPORATION WABASH IN 11/30/2012 $5,701,813.50 6,315 $902.90 ($613,186.50) $358,558.20 364

UST0008 FFW CORPORATION WABASH IN 1/11/2013 ($65,812.38)

UST1031 11,15,44 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 5/29/2009 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in full; warrants not outstanding

UST1031 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 3/27/2013 $3,942,000.00 3,942,000 $1.00 $197,000.00 197,000

UST0261 77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12/12/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $10,634,864.33 Redeemed, in full; warrants not outstanding

UST0261 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 11/30/2012 $7,000,000.00 7,000 $1,000.00

UST0261 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 5/6/2015 $2,246,531.00 101,321

UST0826 8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 11/13/2009 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in full; warrants not outstanding

UST0826 FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/19/2013 $439,000.00 439 $1,058.90 $25,857.10

UST0826 FIDELITY FEDERAL BANCORP EVANSVILLE IN 7/22/2013 $6,218,000.00 6,218 $1,058.90 $366,240.20 $242,302.50 200

UST0826 FIDELITY FEDERAL BANCORP EVANSVILLE IN 9/12/2013 ($70,490.97)

UST0275 8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 12/19/2008 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; warrants not outstanding

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/1/2012 $120,320.10 135 $891.26 ($14,679.90)

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/2/2012 $26,737.80 30 $891.26 ($3,262.20)

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/3/2012 $298,572.10 335 $891.26 ($36,427.90)

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/7/2012 $3,200,514.66 3,591 $891.26 ($390,485.34) $170,227.93 179

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/8/2012 $2,348,470.10 2,635 $891.26 ($286,529.90) $167,374.94 176

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/9/2012 $26,056,877.36 29,236 $891.26 ($3,179,122.64) $1,210,615.36 1,273

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 8/10/2012 $285,203.20 320 $891.26 ($34,796.80) $176,884.89 186

UST0275 FIDELITY FINANCIAL CORPORATION WICHITA KS 9/11/2012 ($323,366.95)

UST0178 FIDELITY SOUTHERN CORPORATION ATLANTA GA 12/19/2008 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $82,715,982.47 Sold, in full; warrants not outstanding

UST0178 FIDELITY SOUTHERN CORPORATION ATLANTA GA 7/3/2012 $43,408,920.00 ($651,133.80) 48,200 $900.60 ($4,791,080.00)

UST0178 FIDELITY SOUTHERN CORPORATION ATLANTA GA 5/28/2015 $31,429,313.38 2,693,747

UST0040 11 FIFTH THIRD BANCORP CINCINNATI OH 12/31/2008 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in full; warrants not outstanding

UST0040 FIFTH THIRD BANCORP CINCINNATI OH 2/2/2011 $3,408,000,000.00 136,320 $25,000.00

UST0040 FIFTH THIRD BANCORP CINCINNATI OH 3/16/2011 $280,025,936.00 43,617,747

UST0234 11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 12/23/2008 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in full; warrants not outstanding

UST0234 FINANCIAL INSTITUTIONS, INC. WARSAW NY 2/23/2011 $12,505,000.00 2,501 $5,000.00

UST0234 FINANCIAL INSTITUTIONS, INC. WARSAW NY 3/30/2011 $25,010,000.00 5,002 $5,000.00

UST0234 FINANCIAL INSTITUTIONS, INC. WARSAW NY 5/11/2011 $2,079,962.50 378,175

UST0518 8,14,45 FINANCIAL SECURITY CORPORATION BASIN WY 2/13/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in full; warrants not outstanding

UST0518 FINANCIAL SECURITY CORPORATION BASIN WY 7/21/2011 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

UST1206 15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 7/31/2009 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in full; warrants not outstanding

UST1206 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 9/1/2011 $3,742,000.00 3,742,000 $1.00 $112,000.00 112,000

UST0913 8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 5/22/2009 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in full; warrants not outstanding

UST0913 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/10/2012 $690,723.49 769 $898.21 ($78,276.51) $2,979.496

UST0913 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 12/11/2012 $366,469.68 408 $898.21 ($41,530.32) $26,318.80 53

UST0913 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 1/11/2013 ($10,571.93)

UST0913 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 3/26/2013 ($14,428.07)

UST1209 8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 6/26/2009 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in full; warrants not outstanding

UST1209 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 12/20/2012 $2,395,742.20 3,422 $700.10 ($1,026,257.80) $94,701.71 171

UST1209 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 1/11/2013 ($23,957.42)

UST1209 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 3/26/2013 ($1,042.58)

UST1302 11,14,15 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 7/24/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in full; warrants not outstanding

UST1302 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/21/2011 $15,000,000.00 15,000,000 $1.00

UST1302 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 12/11/2012 $35,000,000.00 35,000,000 $1.00 $2,500,000.00 2,500,000

UST0596 9,11,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 3/13/2009 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in full; warrants not outstanding

UST0596 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 8/13/2010 $17,000,000.00 17,000 $1,000.00

UST0341 45 FIRST BANCORP (NC) TROY NC 1/9/2009 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in full; warrants not outstanding

UST0341 FIRST BANCORP (NC) TROY NC 9/1/2011 $65,000,000.00 65,000 $1,000.00

UST0341 FIRST BANCORP (NC) TROY NC 11/23/2011 $924,462.00 616,308

UST0368 34,118,121,140,147 FIRST BANCORP (PR) SAN JUAN PR 1/16/2009 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $237,563,497.81 Sold, in full; warrants not outstanding

UST0368 FIRST BANCORP (PR) SAN JUAN PR 8/16/2013 $81,000,000.00 12,000,000 $6.75 ($64,711,540.92)

UST0368 FIRST BANCORP (PR) SAN JUAN PR 9/13/2013 $8,514,153.00 1,261,356 $6.75 ($6,802,024.20)

UST0368 FIRST BANCORP (PR) SAN JUAN PR 12/5/2014 $22,063,492.11 ($74,611.09) 4,388,888 $5.03 ($31,229,144.01)

UST0368 FIRST BANCORP (PR) SAN JUAN PR 3/6/2015 $29,708,351.90 ($85,000.00) 5,000,000 $5.94 ($31,004,790.15)

UST0368 FIRST BANCORP (PR) SAN JUAN PR 5/15/2017 $57,735,612.33 10,291,553 $5.61 ($67,230,891.51)

UST0368 FIRST BANCORP (PR) SAN JUAN PR 5/17/2018 $6.58

UST0368 FIRST BANCORP (PR) SAN JUAN PR 5/21/2018 $5,702,106.66

UST0794 8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 2/20/2009 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in full; warrants not outstanding

UST0794 FIRST BANCTRUST CORPORATION PARIS IL 1/18/2012 $3,675,000.00 3,675 $1,000.00

UST0794 FIRST BANCTRUST CORPORATION PARIS IL 10/24/2012 $3,675,000.00 3,675 $1,000.00 $368,000.00 368

UST0625 8,14,45 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 2/6/2009 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in full; warrants not outstanding

UST0625 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 7/21/2011 $3,345,000.00 3,345 $1,000.00 $167,000.00 167

UST0309 8,14,45 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 1/16/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in full; warrants not outstanding

UST0309 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 9/8/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

UST04468 FIRST BANKS, INC. CLAYTON MO 12/31/2008 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,071,500.97 Sold, in full; warrants not outstanding

UST0446 FIRST BANKS, INC. CLAYTON MO 8/8/2013 $105,000.00 300 $350.00 ($195,000.00)

UST0446 FIRST BANKS, INC. CLAYTON MO 8/9/2013 $12,171,950.00 34,777 $350.00 ($22,605,050.00) $2,430,181.71 4,299

UST0446 FIRST BANKS, INC. CLAYTON MO 8/12/2013 $87,028,900.00 248,654 $350.00 ($161,625,100.00) $5,919,151.59 10,471

UST0446 FIRST BANKS, INC. CLAYTON MO 9/12/2013 ($993,058.50)

UST0446 FIRST BANKS, INC. CLAYTON MO 9/24/2013 $3,209,702.21 5,819 $551.59 ($2,609,297.79)

UST0446 FIRST BANKS, INC. CLAYTON MO 9/25/2013 $3,226,801.50 5,850 $551.59 ($2,623,198.50)

UST0446 FIRST BANKS, INC. CLAYTON MO 10/29/2013 ($64,365.04)

UST0352 45 FIRST BUSEY CORPORATION URBANA IL 3/6/2009 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in full; warrants not outstanding

UST0352 FIRST BUSEY CORPORATION URBANA IL 8/25/2011 $100,000,000.00 100,000 $1,000.00

UST0352 FIRST BUSEY CORPORATION URBANA IL 11/23/2011 $63,677.00 573,833

UST1020 8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 4/10/2009 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in full; warrants not outstanding

UST1020 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/11/2009 $2,032,000.00

UST1020 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/19/2012 $1,373,084.00 1,500 $915.39 ($126,916.00) $90,461.65 111

UST1020 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 12/20/2012 $2,510,399.84 2,743 $915.20 ($232,600.16)

UST1020 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 1/11/2013 ($33,333.33)

UST0204 45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in full; warrants not outstanding

UST0204 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 7/14/2011 $25,000,000.00 25,000 $1,000.00

20
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0204 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 8/24/2011 $599,042.00 599,042

UST0444 FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 4/3/2009 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in full; warrants not outstanding

UST0444 FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6/19/2012 $10,082,565.38 ($151,238.48) 10,958 $920.11 ($875,434.62)

UST0444 FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 2/6/2013 $266,041.78 417,648

UST0649 8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in full; warrants not outstanding

UST0649 FIRST CHOICE BANK CERRITOS CA 12/22/2009 $2,836,000.00

UST0649 FIRST CHOICE BANK CERRITOS CA 9/24/2010 $5,036,000.00 5,036 $1,000.00 $110,000.00 110

UST0427 FIRST CITIZENS BANC CORP SANDUSKY OH 1/23/2009 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in full; warrants not outstanding

UST0427 FIRST CITIZENS BANC CORP SANDUSKY OH 7/3/2012 $21,004,704.00 ($315,070.56) 23,184 $906.00 ($2,179,296.00)

UST0427 FIRST CITIZENS BANC CORP SANDUSKY OH 9/5/2012 $563,174.00 469,312

UST0661 8,14,44 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 3/20/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in full; warrants not outstanding

UST0661 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 9/22/2011 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

UST0026 12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/21/2008 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in full; warrants not outstanding

UST0026 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 7/8/2009 $41,500,000.00 41,500 $1,000.00

UST0026 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 11/22/2011 $30,600.00 88,273

UST1075 8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 5/15/2009 Preferred Stock w/ Exercised Warrants $14,800,000.00 $0.00 $19,957,763.30 Redeemed, in full; warrants not outstanding

UST1075 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 7/16/2014 $14,800,000.00 14,800 $1,000.00 $740,000.00 740

UST0296 FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 12/23/2008 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in full; warrants not outstanding

UST0296 FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 5/31/2011 $7,754,267.48 10,685 $725.72 ($2,930,732.52)

UST0078 FIRST COMMUNITY CORPORATION LEXINGTON SC 11/21/2008 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in full; warrants not outstanding

UST0078 FIRST COMMUNITY CORPORATION LEXINGTON SC 8/29/2012 $11,155,120.50 ($167,326.81) 11,350 $982.83 ($194,879.50)

UST0078 FIRST COMMUNITY CORPORATION LEXINGTON SC 11/1/2012 $297,500.00 195,915

UST10678 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 12/11/2009 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in full; warrants not outstanding

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/8/2012 $70,727.58 108

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/9/2012 $440,082.72 672

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8/10/2012 $209,563.20 320

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/19/2012 $326,250.00 500 $652.50 ($173,750.00)

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/20/2012 $3,051,090.00 4,676 $652.50 ($1,624,910.00)

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9/21/2012 $10,977,660.00 16,824 $652.50 ($5,846,340.00)

UST1067 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11/16/2012 ($143,550.00)

UST0108 FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $53,610,300.92 Sold, in full; warrants not outstanding

UST0108 FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 6/19/2012 $35,618,420.00 ($534,276.30) 37,000 $962.66 ($1,381,580.00)

UST0108 FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 3/11/2015 $11,979,295.00 550,595

UST1297 11,15,36 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/11/2009 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in full; warrants not outstanding

UST1297 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 9/17/2010 $7,500,000.00 7,500,000 $1.00 $375,000.00 375,000

UST0505 8,11,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/6/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in full; warrants not outstanding

UST0505 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 2/15/2012 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

UST0851 FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3/6/2009 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in full; warrants not outstanding

UST0851 FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 5/3/2011 $6,000,000.00 16,500 $363.64 ($10,500,000.00)

UST0046 12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 12/23/2008 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in full; warrants not outstanding

UST0046 FIRST FINANCIAL BANCORP CINCINNATI OH 2/24/2010 $80,000,000.00 80,000 $1,000.00

UST0046 FIRST FINANCIAL BANCORP CINCINNATI OH 6/8/2010 $2,966,288.32 465,117

UST1063 15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 6/12/2009 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in full; warrants not outstanding

UST1063 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 9/22/2011 $3,756,000.00 3,756,000 $1.00 $113,000.00 113,000

UST0110 FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 12/5/2008 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in full; warrants not outstanding

UST0110 FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 4/3/2012 $56,778,150.00 ($851,672.25) 65,000 $873.51 ($8,221,850.00)

UST0110 FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5/22/2013 $1,400,000.00 241,696

UST0342 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,336,278.00 Sold, in full; warrants not outstanding

UST0342 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 4/29/2013 $10,842,200.00 20,000 $542.11 ($9,157,800.00)

UST0342 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 5/31/2013 ($108,422.00)

UST0342 FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC. ELIZABETHTOWN KY 7/1/2015 $2,500.00 215,983

UST0468 9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 12/22/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in full; warrants not outstanding

UST0468 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11/9/2012 $8,025,750.00 8,700 $922.50 ($674,250.00) $256,118.75 261

UST0468 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 1/11/2013 ($80,257.50)

UST0720 8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 2/27/2009 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in full; warrants not outstanding

UST0720 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/29/2012 $26,398.99 29 $910.31 ($2,601.01)

UST0720 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 10/31/2012 $6,864,647.71 7,541 $910.31 ($676,352.29) $362,118.92 379

UST0720 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 1/11/2013 ($68,910.46)

UST1287 8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 8/28/2009 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in full; warrants not outstanding

UST1287 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 9/22/2011 $20,699,000.00 2,070 $10,000.00 $1,030,000.00 103

UST0027 11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 11/14/2008 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in full; warrants not outstanding

UST0027 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 12/22/2010 $866,540,000.00 866,540 $1,000.00

UST0027 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 3/9/2011 $79,700,000.00 14,842,321

UST1030 8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 8/28/2009 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in full; warrants not outstanding

UST1030 FIRST INDEPENDENCE CORPORATION DETROIT MI 12/20/2012 $2,336,675.00 3,223 $725.00 ($886,325.00)

UST1030 FIRST INDEPENDENCE CORPORATION DETROIT MI 1/11/2013 ($23,366.75)

UST1030 FIRST INDEPENDENCE CORPORATION DETROIT MI 3/26/2013 ($26,633.25)

UST09438 FIRST INTERCONTINENTAL BANK DORAVILLE GA 3/13/2009 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in full; warrants not outstanding

UST0943 FIRST INTERCONTINENTAL BANK DORAVILLE GA 8/12/2013 $3,247,112.96 6,398 $507.52 ($3,150,887.04) $139,320.00 320

UST0943 FIRST INTERCONTINENTAL BANK DORAVILLE GA 9/12/2013 ($25,000.00)

UST0185 11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12/12/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in full; warrants not outstanding

UST0185 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 4/7/2010 $10,000,000.00 10,000 $1,000.00 $1,488,046.41 199,203

UST0344 11,36 FIRST M&F CORPORATION KOSCIUSKO MS 2/27/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in full; warrants not outstanding

UST0344 FIRST M&F CORPORATION KOSCIUSKO MS 9/29/2010 $30,000,000.00 30,000 $1,000.00

UST0344 FIRST M&F CORPORATION KOSCIUSKO MS 8/30/2013 $4,089,510.61 513,113

UST0486 8,11,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 1/16/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in full; warrants not outstanding

UST0486 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 5/27/2009 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

UST0564 11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 2/6/2009 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in full; warrants not outstanding

UST0564 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 12/7/2011 $33,900,000.00 35,595 $1,000.00 $1,695,000.00

UST0442 8,14,44 FIRST MENASHA BANCSHARES, INC. NEENAH WI 2/13/2009 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in full; warrants not outstanding

UST0442 FIRST MENASHA BANCSHARES, INC. NEENAH WI 9/15/2011 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

UST0745 33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 2/20/2009 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in full; warrants not outstanding

UST0745 FIRST MERCHANTS CORPORATION MUNCIE IN 9/22/2011 $116,000,000.00 116,000 $1,000.00

UST0745 FIRST MERCHANTS CORPORATION MUNCIE IN 11/23/2011 $367,500.00 991,453

UST0054 11 FIRST MIDWEST BANCORP, INC. ITASCA IL 12/5/2008 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in full; warrants not outstanding

UST0054 FIRST MIDWEST BANCORP, INC. ITASCA IL 11/23/2011 $193,000,000.00 193,000 $1,000.00

UST0054 FIRST MIDWEST BANCORP, INC. ITASCA IL 12/21/2011 $900,000.00 1,305,230

UST0699 8,14 FIRST NATIONAL CORPORATION STRASBURG VA 3/13/2009 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in full; warrants not outstanding

UST0699 FIRST NATIONAL CORPORATION STRASBURG VA 8/29/2012 $12,266,750.00 ($184,001.25) 13,900 $882.50 ($1,633,250.00) $624,674.69 695

UST0651 8,14,44 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 3/20/2009 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in full; warrants not outstanding

UST0651 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 8/4/2011 $17,836,000.00 17,836 $1,000.00 $892,000.00 892

UST0009 12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 11/21/2008 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in full; warrants not outstanding

UST0009 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 5/27/2009 $184,011,000.00 184,011 $1,000.00

UST0009 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 6/24/2009 $2,700,000.00 953,096

UST0496 44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 3/13/2009 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in full; warrants not outstanding

UST0496 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 9/15/2011 $17,390,000.00 17,390 $1,000.00

UST0496 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 11/16/2011 $375,000.00 352,977

UST0070 11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 11/21/2008 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in full; warrants not outstanding

UST0070 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 12/15/2010 $19,300,000.00 19,300 $1,000.00

UST0070 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 1/5/2011 $1,003,227.00 280,795

UST0111 73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 3/13/2009 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Exited bankruptcy/Receivership

UST0111 FIRST PLACE FINANCIAL CORP. WARREN OH 10/29/2012 ($72,927,000.00)

UST0686 8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in full; warrants not outstanding

UST0686 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 12/18/2009 $4,596,000.00

UST0686 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/7/2013 $6,682,192.50 7,575 $882.14 ($892,807.50) $48,083.60 49

UST0686 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 2/8/2013 $1,410,831.60 1,600 $881.77 ($189,168.40) $176,633.62 180

UST0686 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 3/26/2013 ($80,930.24)

UST0623 8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/6/2009 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in full; warrants not outstanding

UST0623 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 3/11/2013 $10,431,333.89 15,349 $679.61 ($4,917,666.11) $624,632.45 767

UST0623 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 4/9/2013 ($104,313.34)

UST0687 8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in full; warrants not outstanding

UST0687 FIRST RESOURCE BANK EXTON PA 12/11/2009 $2,417,000.00

UST0687 FIRST RESOURCE BANK EXTON PA 9/15/2011 $5,017,000.00 5,017 $1,000.00 $130,000.00 130

UST0374 87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 1/9/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in full; warrants not outstanding

UST0374 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 4/11/2013 $14,912,862.00 9,941,908 $1.50 ($18,087,138.00)

UST0137 79 FIRST SOUND BANK SEATTLE WA 12/23/2008 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in full; warrants not outstanding

UST0137 FIRST SOUND BANK SEATTLE WA 2/20/2013 $3,700,000.00 7,400 $500.00 ($3,700,000.00)

UST1057 11,14,15 FIRST SOUTH BANCORP, INC. LEXINGTON TN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in full; warrants not outstanding

UST1057 FIRST SOUTH BANCORP, INC. LEXINGTON TN 9/28/2011 $13,125,000.00 13,125,000 $1.00

UST1057 FIRST SOUTH BANCORP, INC. LEXINGTON TN 11/28/2012 $36,875,000.00 36,875,000 $1.00 $2,500,000.00 2,500,000

UST0436 8,11,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 1/30/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in full; warrants not outstanding

UST0436 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 6/16/2010 $10,900,000.00 10,900 $1,000.00 $545,000.00 545

UST0666 8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/6/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in full; warrants not outstanding

UST0666 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/26/2013 $315,007.00 350 $900.02 ($34,993.00)

UST0666 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/27/2013 $2,835,063.00 3,150 $900.02 ($314,937.00) $206,048.21 225

UST0666 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 3/28/2013 $1,800,040.00 2,000 $900.02 ($199,960.00) $45,788.48 50

UST0666 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 4/9/2013 ($49,501.10)

UST0534 8,14,44 FIRST TEXAS BHC, INC. FORT WORTH TX 3/6/2009 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in full; warrants not outstanding

UST0534 FIRST TEXAS BHC, INC. FORT WORTH TX 9/15/2011 $13,533,000.00 13,533 $1,000.00 $677,000.00 677

UST0967 14,15 FIRST TRUST CORPORATION NEW ORLEANS LA 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; warrants not outstanding

21
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0967 FIRST TRUST CORPORATION NEW ORLEANS LA 2/20/2013 $13,750,058.49 17,969,000 $0.77 ($4,218,941.51) $644,726.19 898,000

UST0967 FIRST TRUST CORPORATION NEW ORLEANS LA 3/26/2013 ($137,500.58)

UST0276 8,11,14 FIRST ULB CORP. OAKLAND CA 1/23/2009 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in full; warrants not outstanding

UST0276 FIRST ULB CORP. OAKLAND CA 4/22/2009 $4,900,000.00 4,900 $1,000.00 $245,000.00 245

UST0385 FIRST UNITED CORPORATION OAKLAND MD 1/30/2009 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $40,183,721.33 Sold, in full; warrants not outstanding

UST0385 FIRST UNITED CORPORATION OAKLAND MD 12/3/2014 $7,800,000.00 7,800 $1,002.01 $15,678.00

UST0385 FIRST UNITED CORPORATION OAKLAND MD 12/4/2014 $22,200,000.00 22,200 $1,002.01 $44,622.00

UST0385 FIRST UNITED CORPORATION OAKLAND MD 1/9/2015 ($300,603.00)

UST0385 FIRST UNITED CORPORATION OAKLAND MD 5/27/2015 $117,162.42 326,323

UST1199 8,11,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 6/12/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in full; warrants not outstanding

UST1199 FIRST VERNON BANCSHARES, INC. VERNON AL 9/29/2010 $6,000,000.00 6,000 $1,000.00 $245,000.00 245

UST0695 8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 2/6/2009 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in full; warrants not outstanding

UST0695 FIRST WESTERN FINANCIAL, INC. DENVER CO 12/11/2009 $11,881,000.00

UST0695 FIRST WESTERN FINANCIAL, INC. DENVER CO 8/9/2012 $6,138,000.00 7,920 $775.00 ($1,782,000.00) $311,681.70 380

UST0695 FIRST WESTERN FINANCIAL, INC. DENVER CO 8/10/2012 $62,000.00 80 $775.00 ($18,000.00) $39,370.32 48

UST0695 FIRST WESTERN FINANCIAL, INC. DENVER CO 9/11/2012 ($62,000.00)

UST0695 FIRST WESTERN FINANCIAL, INC. DENVER CO 6/24/2013 $10,994,240.00 12,440 $883.78 ($1,445,760.00)

UST0695 FIRST WESTERN FINANCIAL, INC. DENVER CO 7/26/2013 ($109,942.41)

UST0552 FIRSTBANK CORPORATION ALMA MI 1/30/2009 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in full; warrants not outstanding

UST0552 FIRSTBANK CORPORATION ALMA MI 7/3/2012 $31,053,330.00 ($465,799.95) 33,000 $941.01 ($1,946,670.00)

UST0552 FIRSTBANK CORPORATION ALMA MI 7/18/2012 $1,946,670.00 578,947

UST0051 11 FIRSTMERIT CORPORATION AKRON OH 1/9/2009 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in full; warrants not outstanding

UST0051 FIRSTMERIT CORPORATION AKRON OH 4/22/2009 $125,000,000.00 125,000 $1,000.00

UST0051 FIRSTMERIT CORPORATION AKRON OH 5/27/2009 $5,025,000.00 952,260

UST0317 FLAGSTAR BANCORP, INC. TROY MI 1/30/2009 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in full; warrants not outstanding

UST0317 FLAGSTAR BANCORP, INC. TROY MI 3/26/2013 $1,439,258.50 1,579 $911.50 ($139,741.50)

UST0317 FLAGSTAR BANCORP, INC. TROY MI 3/27/2013 $228,401,847.00 250,578 $911.50 ($22,176,153.00)

UST0317 FLAGSTAR BANCORP, INC. TROY MI 3/28/2013 $13,216,750.00 14,500 $911.50 ($1,283,250.00)

UST0317 FLAGSTAR BANCORP, INC. TROY MI 4/9/2013 ($2,430,578.56)

UST0317 FLAGSTAR BANCORP, INC. TROY MI 6/12/2013 $12,905.00 645,138

UST1296 8,84 FLORIDA BANK GROUP, INC. TAMPA FL 7/24/2009 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in full; warrants not outstanding

UST1296 FLORIDA BANK GROUP, INC. TAMPA FL 8/14/2013 $8,000,000.00 20,471 $390.80 ($12,471,000.00)

UST0815 8,14,44 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 2/20/2009 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in full; warrants not outstanding

UST0815 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 9/22/2011 $9,495,000.00 9,495 $1,000.00 $475,000.00 475

UST0226 12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/19/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in full; warrants not outstanding

UST0226 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 10/28/2009 $70,000,000.00 70,000 $1,000.00

UST0226 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 12/30/2009 $900,000.00 375,806

UST0846 8,14,45 FNB BANCORP SOUTH SAN FRANCISCO CA 2/27/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in full; warrants not outstanding

UST0846 FNB BANCORP SOUTH SAN FRANCISCO CA 9/15/2011 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

UST1213 8,11,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 5/15/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in full; warrants not outstanding

UST1213 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 12/11/2012 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

UST1010 8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 5/22/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Exited bankruptcy/Receivership

UST1010 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 4/20/2012 ($1,300,000.00)

UST0722 8,14,45 FORTUNE FINANCIAL CORPORATION ARNOLD MO 4/3/2009 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in full; warrants not outstanding

UST0722 FORTUNE FINANCIAL CORPORATION ARNOLD MO 9/15/2011 $3,100,000.00 3,100 $1,000.00 $155,000.00 155

UST0179 50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 12/5/2008 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 Currently Not Collectible

UST0179 FPB BANCORP, INC. PORT ST. LUCIE FL 7/15/2011 ($5,800,000.00)

UST0506 8,11,14 FPB FINANCIAL CORP. HAMMOND LA 1/23/2009 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in full; warrants not outstanding

UST0506 FPB FINANCIAL CORP. HAMMOND LA 12/16/2009 $1,000,000.00 1,000 $1,000.00

UST0506 FPB FINANCIAL CORP. HAMMOND LA 6/16/2010 $2,240,000.00 2,240 $1,000.00 $162,000.00 162

UST1201 8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 5/22/2009 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; warrants not outstanding

UST1201 FRANKLIN BANCORP, INC. WASHINGTON MO 11/9/2012 $594,550.00 940 $632.50 ($345,450.00) $126,798.62 188

UST1201 FRANKLIN BANCORP, INC. WASHINGTON MO 11/13/2012 $2,629,302.50 4,157 $632.50 ($1,527,697.50) $45,188.88 67

UST1201 FRANKLIN BANCORP, INC. WASHINGTON MO 1/11/2013 ($25,000.00)

UST1108 15 FREEPORT BANCSHARES, INC. FREEPORT IL 5/8/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $4,363,022.95 Sold, in full; warrants not outstanding

UST1108 FREEPORT BANCSHARES, INC. FREEPORT IL 4/11/2014 $2,800,000.00 2,800,000 $1.01 $18,228.00 $84,514.33 100,000

UST1108 FREEPORT BANCSHARES, INC. FREEPORT IL 4/14/2014 $200,000.00 200,000 $1.01 $1,302.00 $42,257.17 50,000

UST1108 FREEPORT BANCSHARES, INC. FREEPORT IL 7/18/2014 ($25,000.00)

UST1242 11,14,15 FREMONT BANCORPORATION FREMONT CA 6/26/2009 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in full; warrants not outstanding

UST1242 FREMONT BANCORPORATION FREMONT CA 7/25/2012 $35,000,000.00 35,000,000 $1.00 $1,750,000.00 1,750,000

UST0262 8,14,44 FRESNO FIRST BANK FRESNO CA 1/23/2009 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in full; warrants not outstanding

UST0262 FRESNO FIRST BANK FRESNO CA 11/1/2012 $1,968,000.00 1,968 $1,000.00 $98,000.00 98

UST1035 11,14,15 FRONTIER BANCSHARES, INC AUSTIN TX 4/24/2009 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in full; warrants not outstanding

UST1035 FRONTIER BANCSHARES, INC AUSTIN TX 11/24/2009 $1,600,000.00 1,600,000 $1.00

UST1035 FRONTIER BANCSHARES, INC AUSTIN TX 10/6/2010 $1,400,000.00 1,400,000 $1.00 $150,000.00 150,000

UST0263 11 FULTON FINANCIAL CORPORATION LANCASTER PA 12/23/2008 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in full; warrants not outstanding

UST0263 FULTON FINANCIAL CORPORATION LANCASTER PA 7/14/2010 $376,500,000.00 376,500 $1,000.00

UST0263 FULTON FINANCIAL CORPORATION LANCASTER PA 9/8/2010 $10,800,000.00 5,509,756

UST1203 8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 5/8/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in full; warrants not outstanding

UST1203 GATEWAY BANCSHARES, INC. RINGGOLD GA 4/13/2012 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

UST0621 8,11,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/6/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in full; warrants not outstanding

UST0621 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 2/16/2011 $8,700,000.00 8,700 $1,000.00 $435,000.00 435

UST11448 GEORGIA PRIMARY BANK ATLANTA GA 5/1/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $1,576,457.50 Sold, in full; warrants not outstanding

UST1144 GEORGIA PRIMARY BANK ATLANTA GA 2/10/2014 $1,556,145.00 4,500 $345.81 ($2,943,855.00) $45,312.50 225

UST1144 GEORGIA PRIMARY BANK ATLANTA GA 3/19/2014 ($25,000.00)

UST0683 8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 3/6/2009 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in full; warrants not outstanding

UST0683 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/29/2012 $26,393.77 29 $910.13 ($2,606.23)

UST0683 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 10/31/2012 $4,494,221.94 4,938 $910.13 ($443,778.06) $214,595.28 248

UST0683 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 1/11/2013 ($25,000.00)

UST1254 8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 6/26/2009 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Exited bankruptcy/Receivership

UST1254 GOLD CANYON BANK GOLD CANYON AZ 4/5/2013 ($1,607,000.00)

UST0017 11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in full; warrants not outstanding

UST0017 GOLDMAN SACHS GROUP, INC. NEW YORK NY 6/17/2009 $10,000,000,000.00 10,000,000 $1,000.00

UST0017 GOLDMAN SACHS GROUP, INC. NEW YORK NY 7/22/2009 $1,100,000,000.00 12,205,045

UST0545 8,127 GOLDWATER BANK, N.A. SCOTTSDALE AZ 1/30/2009 Preferred Stock w/ Exercised Warrants $2,568,000.00 $0.00 $1,493,750.00 Sold, in full; warrants not outstanding

UST0545 GOLDWATER BANK, N.A. SCOTTSDALE AZ 9/21/2015 $1,348,000.00 2,568 $524.92 ($1,220,000.00)

UST1152 8,14,44 GRAND CAPITAL CORPORATION TULSA OK 4/24/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

UST1152 GRAND CAPITAL CORPORATION TULSA OK 9/8/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0198 15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 9/25/2009 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $0.00 $3,868,471.61 Redeemed, in full; warrants not outstanding

UST0198 GRAND FINANCIAL CORPORATION HATTIESBURG MS 7/8/2015 $2,443,320.00 2,443,320 $1.00 $122,000.00 122,000

UST1219 8,144 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 5/29/2009 Preferred Stock w/ Exercised Warrants $3,076,000.00 $0.00 $3,928,001.30 Sold, in full; warrants not outstanding

UST1219 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 9/7/2017 $3,076,000.00 2,310,589 $1.70 $852,001.30

UST0327 8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 1/9/2009 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in full; warrants not outstanding

UST0327 GRANDSOUTH BANCORPORATION GREENVILLE SC 12/11/2009 $6,319,000.00

UST0327 GRANDSOUTH BANCORPORATION GREENVILLE SC 9/8/2011 $15,319,000.00 15,319 $1,000.00 $450,000.00 450

UST1277 15 GREAT RIVER HOLDING COMPANY BAXTER MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $0.00 $11,306,571.15 Sold, in full; warrants not outstanding

UST1277 GREAT RIVER HOLDING COMPANY BAXTER MN 4/11/2014 $4,800,000.00 4,800,000 $1.19 $926,400.00

UST1277 GREAT RIVER HOLDING COMPANY BAXTER MN 4/14/2014 $3,600,000.00 3,600,000 $1.19 $694,800.00 $626,007.69 420,000

UST1277 GREAT RIVER HOLDING COMPANY BAXTER MN 7/18/2014 ($100,212.00)

UST0102 45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 12/5/2008 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in full; warrants not outstanding

UST0102 GREAT SOUTHERN BANCORP SPRINGFIELD MO 8/18/2011 $58,000,000.00 58,000 $1,000.00

UST0102 GREAT SOUTHERN BANCORP SPRINGFIELD MO 9/21/2011 $6,436,364.00 909,091

UST0180 GREEN BANKSHARES, INC. GREENEVILLE TN 12/23/2008 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in full; warrants not outstanding

UST0180 GREEN BANKSHARES, INC. GREENEVILLE TN 9/7/2011 $68,700,000.00 72,278 $950.50 ($3,578,000.00)

UST0725 8,11,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 2/27/2009 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in full; warrants not outstanding

UST0725 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 11/14/2012 $800,000.00 800 $1,000.00

UST0725 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 1/23/2013 $800,000.00 800 $1,000.00

UST0725 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 4/24/2013 $800,000.00 800 $1,000.00 $120,000.00 120

UST0715 8,11,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 2/27/2009 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in full; warrants not outstanding

UST0715 GREEN CITY BANCSHARES, INC. GREEN CITY MO 7/14/2010 $651,000.00 651 $1,000.00 $33,000.00 33

UST03558 GREER BANCSHARES INCORPORATED GREER SC 1/30/2009 Preferred Stock w/ Exercised Warrants $9,993,000.00 $0.00 $13,693,111.07 Redeemed, in full; warrants not outstanding

UST0355 GREER BANCSHARES INCORPORATED GREER SC 3/19/2014 $3,150,000.00 3,150 $1,000.00

UST0355 GREER BANCSHARES INCORPORATED GREER SC 6/11/2014 $1,980,000.00 1,980 $1,000.00

UST0355 GREER BANCSHARES INCORPORATED GREER SC 7/23/2014 $4,863,000.00 4,863 $1,000.00 $500,000.00 500

UST0654 8,68,97 GREGG BANCSHARES, INC. OZARK MO 2/13/2009 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 Currently Not Collectible

UST0654 GREGG BANCSHARES, INC. OZARK MO 7/13/2012 ($825,000.00)

UST0480 8,14,45 GUARANTY BANCORP, INC. WOODSVILLE NH 2/20/2009 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in full; warrants not outstanding

UST0480 GUARANTY BANCORP, INC. WOODSVILLE NH 9/15/2011 $6,920,000.00 6,920 $1,000.00 $346,000.00 346

UST1233 9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 9/25/2009 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in full; warrants not outstanding

UST1233 GUARANTY CAPITAL CORPORATION BELZONI MS 7/30/2010 $14,000,000.00 14,000,000 $1.00

UST0422 11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 1/30/2009 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in full; warrants not outstanding

UST0422 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 6/13/2012 $5,000,000.00 5,000 $1,000.00

UST0422 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/26/2013 $96,750.00 100 $967.50 ($3,250.00)

UST0422 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 4/29/2013 $11,513,250.00 11,900 $967.50 ($386,750.00)

UST0422 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/15/2013 $2,003,250.00 459,459

UST0422 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 5/31/2013 ($116,100.00)

UST1243 17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 9/25/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Exited bankruptcy/Receivership

UST1243 GULFSOUTH PRIVATE BANK DESTIN FL 10/19/2012 ($7,500,000.00)

UST1229 8,14,45 GULFSTREAM BANCSHARES, INC. STUART FL 6/26/2009 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in full; warrants not outstanding

UST1229 GULFSTREAM BANCSHARES, INC. STUART FL 8/18/2011 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

22
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0817 8,11,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 2/20/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in full; warrants not outstanding

UST0817 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 4/13/2011 $7,000,000.00 280 $25,000.00 $350,000.00 35

UST0236 38 HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC. NORFOLK VA 12/31/2008 Preferred Stock w/ Warrants $80,347,000.00 $0.00 $7,461,608.79 Sold, in full; warrants not outstanding

UST0236 HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC. NORFOLK VA 4/14/2014 $3,279,764.54 2,089,022 $1.57 ($77,067,235.46)

UST0236 HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC. NORFOLK VA 9/13/2017 $1,671,000.00 75,763

UST1273 8,9,149,153 HARBOR BANKSHARES CORPORATION BALTIMORE MD 7/17/2009 Preferred Stock $6,800,000.00 $5,308,193.11 $3,555,361.24 Sold, in part; warrants not outstanding

UST1273 HARBOR BANKSHARES CORPORATION BALTIMORE MD 1/16/2019 $999,999.77 1,204,819 $0.83 ($491,807.12)

UST0629 8,11,14 HAVILAND BANCSHARES, INC. HAVILAND KS 3/13/2009 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in full; warrants not outstanding

UST0629 HAVILAND BANCSHARES, INC. HAVILAND KS 12/29/2010 $425,000.00 425 $1,000.00 $21,000.00 21

UST0264 11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12/19/2008 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in full; warrants not outstanding

UST0264 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/9/2012 $12,000,000.00 12,000 $1,000.00

UST0264 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 5/15/2013 $18,255,000.00 18,255 $1,000.00

UST0264 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 6/12/2013 $540,000.00 287,134

UST0328 131 HCSB FINANCIAL CORPORATION LORIS SC 3/6/2009 Preferred Stock w/ Warrants $12,895,000.00 $0.00 $1,219,652.00 Sold, in full; warrants not outstanding

UST0328 HCSB FINANCIAL CORPORATION LORIS SC 4/11/2016 $128,950.00 12,895 $10.00 ($12,766,050.00)

UST1328 8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 9/11/2009 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in full; warrants not outstanding

UST1328 HEARTLAND BANCSHARES, INC. FRANKLIN IN 7/17/2012 $7,000,000.00 7,000 $1,000.00 $248,000.00 248

UST0326 45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 12/19/2008 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in full; warrants not outstanding

UST0326 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/15/2011 $81,698,000.00 81,698 $1,000.00

UST0326 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 9/28/2011 $1,800,000.00 609,687

UST0642 8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 9/25/2009 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in full; warrants not outstanding

UST0642 HERITAGE BANKSHARES, INC. NORFOLK VA 3/16/2011 $2,606,000.00 2,606 $1,000.00

UST0642 HERITAGE BANKSHARES, INC. NORFOLK VA 8/11/2011 $7,497,000.00 7,497 $1,000.00 $303,000.00 303

UST0055 11 HERITAGE COMMERCE CORP. SAN JOSE CA 11/21/2008 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in full; warrants not outstanding

UST0055 HERITAGE COMMERCE CORP. SAN JOSE CA 3/7/2012 $40,000,000.00 40,000 $1,000.00

UST0055 HERITAGE COMMERCE CORP. SAN JOSE CA 6/10/2013 $140,000.00 462,963

UST0069 11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 11/21/2008 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in full; warrants not outstanding

UST0069 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 12/22/2010 $24,000,000.00 24,000 $1,000.00

UST0069 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 8/17/2011 $450,000.00 138,037

UST0607 11 HERITAGE OAKS BANCORP PASO ROBLES CA 3/20/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in full; warrants not outstanding

UST0607 HERITAGE OAKS BANCORP PASO ROBLES CA 7/17/2013 $21,000,000.00 21,000 $1,000.00

UST0607 HERITAGE OAKS BANCORP PASO ROBLES CA 8/7/2013 $1,575,000.00 611,650

UST0010 11 HF FINANCIAL CORP. SIOUX FALLS SD 11/21/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in full; warrants not outstanding

UST0010 HF FINANCIAL CORP. SIOUX FALLS SD 6/3/2009 $25,000,000.00 25,000 $1,000.00

UST0010 HF FINANCIAL CORP. SIOUX FALLS SD 6/30/2009 $650,000.00 302,419

UST0688 8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 5/8/2009 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in full; warrants not outstanding

UST0688 HIGHLANDS BANCORP, INC. VERNON NJ 12/22/2009 $2,359,000.00

UST0688 HIGHLANDS BANCORP, INC. VERNON NJ 9/22/2011 $5,450,000.00 5,450 $1,000.00 $155,000.00 155

UST0780 8,111 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 3/6/2009 Preferred Stock w/ Exercised Warrants $6,700,000.00 $0.00 $6,165,312.00 Sold, in full; warrants not outstanding

UST0780 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 10/24/2014 $5,547,600.00 6,700 $828.00 ($1,152,400.00)

UST0578 8,11,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 1/30/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in full; warrants not outstanding

UST0578 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 4/21/2010 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0295 HMN FINANCIAL, INC. ROCHESTER MN 12/23/2008 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $26,563,769.78 Sold, in full; warrants not outstanding

UST0295 HMN FINANCIAL, INC. ROCHESTER MN 2/7/2013 $2,561,325.00 3,550 $721.50 ($988,675.00)

UST0295 HMN FINANCIAL, INC. ROCHESTER MN 2/8/2013 $16,197,675.00 22,450 $721.50 ($6,252,325.00)

UST0295 HMN FINANCIAL, INC. ROCHESTER MN 3/26/2013 ($187,590.00)

UST0295 HMN FINANCIAL, INC. ROCHESTER MN 5/26/2015 $1,843,194.00 277,778

UST0295 HMN FINANCIAL, INC. ROCHESTER MN 5/28/2015 $3,686,388.00 555,555

UST0086 11 HOME BANCSHARES, INC. CONWAY AR 1/16/2009 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in full; warrants not outstanding

UST0086 HOME BANCSHARES, INC. CONWAY AR 7/6/2011 $50,000,000.00 50,000 $1,000.00

UST0086 HOME BANCSHARES, INC. CONWAY AR 7/27/2011 $1,300,000.00 158,472

UST07568 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 2/20/2009 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in full; warrants not outstanding

UST0756 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 8/28/2013 $3,250,000.00 3,250 $1,000.00 $163,000.00 163

UST0656 8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 2/13/2009 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in full; warrants not outstanding

UST0656 HOMETOWN BANCSHARES, INC. CORBIN KY 11/28/2012 $608,170.50 645 $942.90 ($36,829.50)

UST0656 HOMETOWN BANCSHARES, INC. CORBIN KY 11/30/2012 $1,183,339.50 1,255 $942.90 ($71,660.50) $70,095.00 95

UST0656 HOMETOWN BANCSHARES, INC. CORBIN KY 1/11/2013 ($17,915.11)

UST0656 HOMETOWN BANCSHARES, INC. CORBIN KY 3/26/2013 ($7,084.89)

UST0931 8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 9/18/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in full; warrants not outstanding

UST0931 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 10/31/2012 $9,185,000.00 10,000 $918.50 ($815,000.00) $315,461.52 374

UST0931 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 1/11/2013 ($91,850.00)

UST0109 11 HOPFED BANCORP HOPKINSVILLE KY 12/12/2008 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in full; warrants not outstanding

UST0109 HOPFED BANCORP HOPKINSVILLE KY 12/19/2012 $18,400,000.00 18,400 $1,000.00

UST0109 HOPFED BANCORP HOPKINSVILLE KY 1/16/2013 $256,257.00 253,666

UST0176 11,45 HORIZON BANCORP MICHIGAN CITY IN 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in full; warrants not outstanding

UST0176 HORIZON BANCORP MICHIGAN CITY IN 11/10/2010 $6,250,000.00 6,250 $1,000.00

UST0176 HORIZON BANCORP MICHIGAN CITY IN 8/25/2011 $18,750,000.00 18,750 $1,000.00

UST0176 HORIZON BANCORP MICHIGAN CITY IN 11/23/2011 $1,750,551.00 212,188

UST0818 8,14,44 HOWARD BANCORP, INC. ELLICOTT CITY MD 2/27/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in full; warrants not outstanding

UST0818 HOWARD BANCORP, INC. ELLICOTT CITY MD 9/22/2011 $5,983,000.00 5,983 $1,000.00 $299,000.00 299

UST1160 8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 5/1/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in full; warrants not outstanding

UST1160 HPK FINANCIAL CORPORATION CHICAGO IL 11/13/2009 $5,000,000.00

UST1160 HPK FINANCIAL CORPORATION CHICAGO IL 12/11/2012 $9,000,000.00 9,000 $1,000.00 $344,000.00 344

UST0028 11 HUNTINGTON BANCSHARES COLUMBUS OH 11/14/2008 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in full; warrants not outstanding

UST0028 HUNTINGTON BANCSHARES COLUMBUS OH 12/22/2010 $1,398,071,000.00 1,398,071 $1,000.00

UST0028 HUNTINGTON BANCSHARES COLUMBUS OH 1/19/2011 $49,100,000.00 23,562,994

UST0689 8,14 HYPERION BANK PHILADELPHIA PA 2/6/2009 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in full; warrants not outstanding

UST0689 HYPERION BANK PHILADELPHIA PA 12/20/2012 $1,008,800.00 1,552 $650.00 ($543,200.00) $25,700.00 78

UST0689 HYPERION BANK PHILADELPHIA PA 1/11/2013 ($10,088.00)

UST0689 HYPERION BANK PHILADELPHIA PA 3/26/2013 ($14,912.00)

UST0881 8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 9/18/2009 Preferred Stock w/ Exercised Warrants $5,976,000.00 $0.00 $6,907,223.22 Sold, in full; warrants not outstanding

UST0881 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/14/2014 $2,717,674.70 2,770 $981.11 ($52,325.30)

UST0881 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 3/17/2014 $3,145,438.66 3,206 $981.11 ($60,561.34) $186,513.52 179

UST0881 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 4/25/2014 ($58,631.13)

UST1163 9,15,36 IBC BANCORP, INC. CHICAGO IL 5/15/2009 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in full; warrants not outstanding

UST1163 IBC BANCORP, INC. CHICAGO IL 9/10/2010 $4,205,000.00 4,205,000 $1.00

UST0081 12,16 IBERIABANK CORPORATION LAFAYETTE LA 12/5/2008 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in full; warrants not outstanding

UST0081 IBERIABANK CORPORATION LAFAYETTE LA 3/31/2009 $90,000,000.00 90,000 $1,000.00

UST0081 IBERIABANK CORPORATION LAFAYETTE LA 5/20/2009 $1,200,000.00 138,490

UST0960 8,14 IBT BANCORP, INC. IRVING TX 3/27/2009 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in full; warrants not outstanding

UST0960 IBT BANCORP, INC. IRVING TX 6/12/2013 $2,295,000.00 2,295 $1,000.00 $115,000.00 115

UST0801 8,10,11 IBW FINANCIAL CORPORATION WASHINGTON DC 3/13/2009 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in full; warrants not outstanding

UST0801 IBW FINANCIAL CORPORATION WASHINGTON DC 9/3/2010 $6,000,000.00 6,000 $1,000.00

UST0485 8,14,44 ICB FINANCIAL ONTARIO CA 3/6/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in full; warrants not outstanding

UST0485 ICB FINANCIAL ONTARIO CA 11/1/2012 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

UST0396 8,108 IDAHO BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $6,900,000.00 $0.00 $555,673.08 Exited bankruptcy/Receivership

UST0396 IDAHO BANCORP BOISE ID 4/24/2014 ($6,900,000.00)

UST1173 8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 5/22/2009 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in full; warrants not outstanding

UST1173 ILLINOIS STATE BANCORP, INC. CHICAGO IL 12/29/2009 $4,000,000.00

UST1173 ILLINOIS STATE BANCORP, INC. CHICAGO IL 9/22/2011 $10,272,000.00 10,272 $1,000.00 $406,000.00 406

UST02038 INDEPENDENCE BANK EAST GREENWICH RI 1/9/2009 Preferred Stock w/ Exercised Warrants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, in full; warrants not outstanding

UST0203 INDEPENDENCE BANK EAST GREENWICH RI 10/16/2013 $1,065,000.00 1,065 $1,000.00 $53,000.00 53

UST0268 11 INDEPENDENT BANK CORP. ROCKLAND MA 1/9/2009 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in full; warrants not outstanding

UST0268 INDEPENDENT BANK CORP. ROCKLAND MA 4/22/2009 $78,158,000.00 78,158 $1,000.00

UST0268 INDEPENDENT BANK CORP. ROCKLAND MA 5/27/2009 $2,200,000.00 481,664

UST0182 29 INDEPENDENT BANK CORPORATION IONIA MI 12/12/2008 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in full; warrants not outstanding

UST0182 INDEPENDENT BANK CORPORATION IONIA MI 8/30/2013 $72,000,000.00 72,000 $1,000.00 $2,426,000.00

UST0928 8,22,92,97 INDIANA BANK CORP. DANA IN 4/24/2009 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 Exited bankruptcy/Receivership

UST0928 INDIANA BANK CORP. DANA IN 4/9/2013 ($1,312,000.00)

UST0119 11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12/12/2008 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in full; warrants not outstanding

UST0119 INDIANA COMMUNITY BANCORP COLUMBUS IN 9/12/2012 $21,500,000.00 21,500 $1,000.00 $1,800,000.00 188,707

UST0855 22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 2/27/2009 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 Currently Not Collectible

UST0855 INTEGRA BANK CORPORATION EVANSVILLE IN 7/29/2011 ($83,586,000.00)

UST0062 115 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 12/19/2008 Preferred Stock w/ Warrants $27,000,000.00 $0.00 $33,955,519.23 Redeemed, in full; warrants not outstanding

UST0062 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 11/20/2013 $27,000,000.00 27,000 $1,000.00

UST0062 INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 10/31/2014 $10,635.00 65,323

UST0136 11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 12/23/2008 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in full; warrants not outstanding

UST0136 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 7/11/2012 $40,000,000.00 40,000 $1,000.00

UST0136 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/1/2012 $45,000,000.00 45,000 $1,000.00

UST0136 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11/28/2012 $131,000,000.00 131,000 $1,000.00

UST0136 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 6/11/2013 $4,018,511.00 1,326,238

UST0316 INTERVEST BANCSHARES CORPORATION NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $32,927,621.56 Sold, in full; warrants not outstanding

UST0316 INTERVEST BANCSHARES CORPORATION NEW YORK NY 6/24/2013 $24,250,000.00 25,000 $970.00 ($750,000.00)

UST0316 INTERVEST BANCSHARES CORPORATION NEW YORK NY 7/26/2013 ($242,500.00)

UST0316 INTERVEST BANCSHARES CORPORATION NEW YORK NY 9/3/2014 $2,892,066.00 691,882

UST1142 15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 5/8/2009 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 Currently Not Collectible

UST1142 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 10/19/2012 ($4,000,000.00)

UST0029 11 JPMORGAN CHASE & CO. NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in full; warrants not outstanding

UST0029 JPMORGAN CHASE & CO. NEW YORK NY 6/17/2009 $25,000,000,000.00 2,500,000 $10,000.00

UST0029 JPMORGAN CHASE & CO. NEW YORK NY 12/16/2009 $936,063,469.11 88,401,697

23
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0472 8,14,44 KATAHDIN BANKSHARES CORP. HOULTON ME 1/30/2009 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in full; warrants not outstanding

UST0472 KATAHDIN BANKSHARES CORP. HOULTON ME 8/18/2011 $10,449,000.00 10,449 $1,000.00 $522,000.00 522

UST0030 11 KEYCORP CLEVELAND OH 11/14/2008 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in full; warrants not outstanding

UST0030 KEYCORP CLEVELAND OH 3/30/2011 $2,500,000,000.00 25,000 $100,000.00

UST0030 KEYCORP CLEVELAND OH 4/20/2011 $70,000,000.00 35,244,361

UST07108 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/20/2009 Preferred Stock w/ Exercised Warrants $470,000.00 $0.00 $622,228.44 Redeemed, in full; warrants not outstanding

UST0710 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 3/19/2014 $470,000.00 470 $1,000.00 $24,000.00 24

UST1294 8,14 KS BANCORP, INC SMITHFIELD NC 8/21/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in full; warrants not outstanding

UST1294 KS BANCORP, INC SMITHFIELD NC 11/30/2012 $3,308,000.00 4,000 $827.00 ($692,000.00) $140,400.00 200

UST1294 KS BANCORP, INC SMITHFIELD NC 1/11/2013 ($25,000.00)

UST0526 8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 2/20/2009 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in full; warrants not outstanding

UST0526 LAFAYETTE BANCORP, INC. OXFORD MS 12/29/2009 $2,453,000.00

UST0526 LAFAYETTE BANCORP, INC. OXFORD MS 9/29/2010 $4,451,000.00 4,451 $1,000.00 $100,000.00 100

UST0343 11 LAKELAND BANCORP, INC. OAK RIDGE NJ 2/6/2009 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in full; warrants not outstanding

UST0343 LAKELAND BANCORP, INC. OAK RIDGE NJ 8/4/2010 $20,000,000.00 20,000 $1,000.00

UST0343 LAKELAND BANCORP, INC. OAK RIDGE NJ 3/16/2011 $20,000,000.00 20,000 $1,000.00

UST0343 LAKELAND BANCORP, INC. OAK RIDGE NJ 2/8/2012 $19,000,000.00 19,000 $1,000.00

UST0343 LAKELAND BANCORP, INC. OAK RIDGE NJ 2/29/2012 $2,800,000.00 997,050

UST0190 12 LAKELAND FINANCIAL CORPORATION WARSAW IN 2/27/2009 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in full; warrants not outstanding

UST0190 LAKELAND FINANCIAL CORPORATION WARSAW IN 6/9/2010 $56,044,000.00 56,044 $1,000.00

UST0190 LAKELAND FINANCIAL CORPORATION WARSAW IN 11/22/2011 $877,557.00 198,269

UST1303 8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 12/18/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in full; warrants not outstanding

UST1303 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11/29/2012 $2,370,930.00 3,000 $790.31 ($629,070.00) $104,375.00 150

UST1303 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 1/11/2013 ($23,709.29)

UST1303 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 3/26/2013 ($1,290.71)

UST0302 11 LCNB CORP. LEBANON OH 1/9/2009 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in full; warrants not outstanding

UST0302 LCNB CORP. LEBANON OH 10/21/2009 $13,400,000.00 13,400 $1,000.00

UST0302 LCNB CORP. LEBANON OH 11/22/2011 $602,557.00 217,063

UST0215 8,11,14 LEADER BANCORP, INC. ARLINGTON MA 12/23/2008 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in full; warrants not outstanding

UST0215 LEADER BANCORP, INC. ARLINGTON MA 11/24/2010 $5,830,000.00 5,830 $1,000.00 $292,000.00 292

UST0429 9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 1/30/2009 Preferred Stock $5,498,000.00 $0.00 $355,079.00 Currently Not Collectible

UST0429 LEGACY BANCORP, INC. MILWAUKEE WI 3/11/2011 ($5,498,000.00)

UST0454 8,14,45 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 1/23/2009 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in full; warrants not outstanding

UST0454 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 7/21/2011 $57,500,000.00 57,500 $1,000.00 $2,875,000.00 2,875

UST0760 8,14,45 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 2/13/2009 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in full; warrants not outstanding

UST0760 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 8/18/2011 $21,900,000.00 21,900 $1,000.00 $1,095,000.00 1,095

UST1326 8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 12/4/2009 Preferred Stock w/ Exercised Warrants $6,500,000.00 $0.00 $8,447,271.11 Redeemed, in full; warrants not outstanding

UST1326 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 1/14/2015 $6,500,000.00 6,500 $1,000.00 $196,000.00 196

UST0551 9,11,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 2/6/2009 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in full; warrants not outstanding

UST0551 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 9/24/2010 $5,645,000.00 5,645 $1,000.00

UST0611 8,133 LIBERTY SHARES, INC. HINESVILLE GA 2/20/2009 Preferred Stock w/ Exercised Warrants $17,280,000.00 $0.00 $4,999,560.00 Sold, in full; warrants not outstanding

UST0611 LIBERTY SHARES, INC. HINESVILLE GA 6/30/2016 $3,600,000.00 480,000 $7.50 ($13,680,000.00)

UST0828 11 LINCOLN NATIONAL CORPORATION RADNOR PA 7/10/2009 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in full; warrants not outstanding

UST0828 LINCOLN NATIONAL CORPORATION RADNOR PA 6/30/2010 $950,000,000.00 950,000 $1,000.00

UST0828 LINCOLN NATIONAL CORPORATION RADNOR PA 9/22/2010 $213,671,319.20 13,049,451

UST0091 LNB BANCORP, INC. LORAIN OH 12/12/2008 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in full; warrants not outstanding

UST0091 LNB BANCORP, INC. LORAIN OH 6/19/2012 $21,923,074.91 ($328,846.12) 25,223 $869.17 ($3,299,925.09)

UST0091 LNB BANCORP, INC. LORAIN OH 7/18/2012 $860,326.00 561,343

UST05638 LONE STAR BANK HOUSTON TX 2/6/2009 Preferred Stock w/ Exercised Warrants $3,072,000.00 $0.00 $1,950,881.54 Sold, in full; warrants not outstanding

UST0563 LONE STAR BANK HOUSTON TX 12/3/2014 $1,195,906.25 1,925 $621.25 ($729,093.75)

UST0563 LONE STAR BANK HOUSTON TX 12/4/2014 $712,573.75 1,147 $621.25 ($434,426.25) $67,401.54 154

UST0563 LONE STAR BANK HOUSTON TX 1/9/2015 ($25,000.00)

UST0267 11 LSB CORPORATION NORTH ANDOVER MA 12/12/2008 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in full; warrants not outstanding

UST0267 LSB CORPORATION NORTH ANDOVER MA 11/18/2009 $15,000,000.00 15,000 $1,000.00

UST0267 LSB CORPORATION NORTH ANDOVER MA 12/16/2009 $560,000.00 209,497

UST1256 8,9,17 M&F BANCORP, INC. DURHAM NC 6/26/2009 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in full; warrants not outstanding

UST1256 M&F BANCORP, INC. DURHAM NC 8/20/2010 $11,735,000.00 11,735 $1,000.00

UST0160 11 M&T BANK CORPORATION BUFFALO NY 12/23/2008 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in full; warrants not outstanding

UST0160 M&T BANK CORPORATION BUFFALO NY 5/18/2011 $370,000,000.00 370,000 $1,000.00

UST0160 M&T BANK CORPORATION BUFFALO NY 8/21/2012 $230,000,000.00 230,000 $1,000.00

UST0160 M&T BANK CORPORATION BUFFALO NY 12/17/2012 $31,838,761.34 1,218,522

UST0803 MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 4/24/2009 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in full; warrants not outstanding

UST0803 MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 8/29/2012 $10,538,990.00 ($158,084.85) 11,000 $958.09 ($461,010.00)

UST0803 MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 12/19/2012 $1,300,000.00 398,734

UST06978 MADISON FINANCIAL CORPORATION RICHMOND KY 3/13/2009 Preferred Stock w/ Exercised Warrants $3,370,000.00 $0.00 $3,773,495.65 Sold, in full; warrants not outstanding

UST0697 MADISON FINANCIAL CORPORATION RICHMOND KY 11/19/2013 $3,370,000.00 3,370 $1,022.61 $76,195.70 $182,878.45 169

UST0697 MADISON FINANCIAL CORPORATION RICHMOND KY 1/6/2014 ($25,000.00)

UST0278 8,11,44 MAGNA BANK MEMPHIS TN 12/23/2008 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in full; warrants not outstanding

UST0278 MAGNA BANK MEMPHIS TN 11/24/2009 $3,455,000.00 3,455 $1,000.00

UST0278 MAGNA BANK MEMPHIS TN 6/8/2011 $3,455,000.00 3,455 $1,000.00

UST0278 MAGNA BANK MEMPHIS TN 8/18/2011 $6,885,000.00 6,885 $1,000.00 $690,000.00 690

UST1366 8,14 MAINLINE BANCORP, INC. EBENSBURG PA 12/29/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in full; warrants not outstanding

UST1366 MAINLINE BANCORP, INC. EBENSBURG PA 3/9/2012 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

UST0423 MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 1/16/2009 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in full; warrants not outstanding

UST0423 MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 4/3/2012 $53,073,270.00 ($796,099.05) 57,000 $931.11 ($3,926,730.00)

UST0423 MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 6/11/2013 $1,512,177.00 571,906

UST0080 11 MANHATTAN BANCORP EL SEGUNDO CA 12/5/2008 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in full; warrants not outstanding

UST0080 MANHATTAN BANCORP EL SEGUNDO CA 9/16/2009 $1,700,000.00 1,700 $1,000.00

UST0080 MANHATTAN BANCORP EL SEGUNDO CA 10/14/2009 $63,363.90 29,480

UST0895 14,15 MANHATTAN BANCSHARES, INC. MANHATTAN IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in full; warrants not outstanding

UST0895 MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/10/2012 $11,385.02 14,000

UST0895 MANHATTAN BANCSHARES, INC. MANHATTAN IL 12/11/2012 $2,586,404.73 2,639,000 $0.98 ($52,595.27) $95,959.50 118,000

UST0895 MANHATTAN BANCSHARES, INC. MANHATTAN IL 1/11/2013 ($25,000.00)

UST08608 MARINE BANK & TRUST COMPANY VERO BEACH FL 3/6/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,296,213.00 Sold, in full; warrants not outstanding

UST0860 MARINE BANK & TRUST COMPANY VERO BEACH FL 7/1/2014 $1,504,820.00 2,246 $670.00 ($741,180.00) $55,870.00 111

UST0860 MARINE BANK & TRUST COMPANY VERO BEACH FL 7/2/2014 $483,740.00 722 $670.00 ($238,260.00) $19,126.67 38

UST0860 MARINE BANK & TRUST COMPANY VERO BEACH FL 7/3/2014 $21,440.00 32 $670.00 ($10,560.00) $503.331

UST0860 MARINE BANK & TRUST COMPANY VERO BEACH FL 9/26/2014 ($25,000.00)

UST07508 MARKET BANCORPORATION, INC. NEW MARKET MN 2/20/2009 Preferred Stock w/ Exercised Warrants $2,060,000.00 $0.00 $2,714,911.32 Sold, in full; warrants not outstanding

UST0750 MARKET BANCORPORATION, INC. NEW MARKET MN 7/2/2014 $2,060,000.00 2,060 $1,210.03 $432,661.80 $108,471.52 103

UST0750 MARKET BANCORPORATION, INC. NEW MARKET MN 9/26/2014 ($25,000.00)

UST1188 14,15 MARKET STREET BANCSHARES, INC. MT. VERNON IL 5/15/2009 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in full; warrants not outstanding

UST1188 MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/9/2012 $17,919,962.10 19,931,000 $0.90 ($2,011,037.90) $727,225.54 895,000

UST1188 MARKET STREET BANCSHARES, INC. MT. VERNON IL 8/10/2012 $331,767.90 369,000 $0.90 ($37,232.10) $97,505.10 120,000

UST1188 MARKET STREET BANCSHARES, INC. MT. VERNON IL 9/11/2012 ($182,517.30)

UST0167 8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 12/19/2008 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; warrants not outstanding

UST0167 MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/7/2012 $2,530,958.50 3,514 $720.25 ($983,041.50) $142,974.56 175

UST0167 MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/9/2012 $5,904,609.50 8,198 $720.25 ($2,293,390.50) $1,054,743.77 1,291

UST0167 MARQUETTE NATIONAL CORPORATION CHICAGO IL 8/10/2012 $17,133,307.00 23,788 $720.25 ($6,654,693.00) $252,452.23 309

UST0167 MARQUETTE NATIONAL CORPORATION CHICAGO IL 9/11/2012 ($255,688.75)

UST0039 43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 11/14/2008 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in full; warrants not outstanding

UST0039 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 7/5/2011 $1,715,000,000.00 1,715,000 $1,000.00 $3,250,000.00 13,815,789

UST10478 MARYLAND FINANCIAL BANK TOWSON MD 3/27/2009 Preferred Stock w/ Exercised Warrants $1,700,000.00 $0.00 $817,240.50 Sold, in full; warrants not outstanding

UST1047 MARYLAND FINANCIAL BANK TOWSON MD 7/2/2014 $527,000.00 1,700 $310.00 ($1,173,000.00) $1,775.00 85

UST1047 MARYLAND FINANCIAL BANK TOWSON MD 9/26/2014 ($25,000.00)

UST0049 11 MB FINANCIAL INC. CHICAGO IL 12/5/2008 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in full; warrants not outstanding

UST0049 MB FINANCIAL INC. CHICAGO IL 3/14/2012 $196,000,000.00 196,000 $1,000.00

UST0049 MB FINANCIAL INC. CHICAGO IL 5/2/2012 $1,518,072.00 506,024

UST0914 8,14,45 MCLEOD BANCSHARES, INC. SHOREWOOD MN 11/20/2009 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in full; warrants not outstanding

UST0914 MCLEOD BANCSHARES, INC. SHOREWOOD MN 8/18/2011 $6,000,000.00 600 $10,000.00 $300,000.00 30

UST0759 8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 2/27/2009 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in full; warrants not outstanding

UST0759 MEDALLION BANK SALT LAKE CITY UT 12/22/2009 $9,698,000.00

UST0759 MEDALLION BANK SALT LAKE CITY UT 7/21/2011 $21,498,000.00 21,498 $1,000.00 $645,000.00 645

UST0449 11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 5/15/2009 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in full; warrants not outstanding

UST0449 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4/4/2012 $10,500,000.00 10,500 $1,000.00

UST0449 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6/6/2012 $10,500,000.00 10,500 $1,000.00

UST0449 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 7/3/2012 $7,465,100.00 616,438

UST0517 8,14,44 MERCANTILE CAPITAL CORPORATION BOSTON MA 2/6/2009 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in full; warrants not outstanding

UST0517 MERCANTILE CAPITAL CORPORATION BOSTON MA 8/4/2011 $3,500,000.00 3,500 $1,000.00 $175,000.00 175

UST0635 8,14,56 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 3/6/2009 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in full; warrants not outstanding

UST0635 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 9/7/2011 $1,881,000.00 1,881 $1,000.00 $94,000.00 94

UST1164 8,14,44 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 6/19/2009 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in full; warrants not outstanding

UST1164 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 9/8/2011 $3,510,000.00 3,510 $1,000.00 $176,000.00 176

UST0791 8,18 MERIDIAN BANK DEVON PA 2/13/2009 Preferred Stock w/ Exercised Warrants $6,200,000.00 $0.00 $13,582,165.84 Sold, in full; warrants not outstanding

UST0791 MERIDIAN BANK DEVON PA 12/11/2009 $6,335,000.00

UST0791 MERIDIAN BANK DEVON PA 3/17/2014 $10,328,152.35 12,535 $823.95 ($2,206,847.65) $262,399.50 310

UST0791 MERIDIAN BANK DEVON PA 4/25/2014 ($103,281.52)

UST0601 8,14 METRO CITY BANK DORAVILLE GA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in full; warrants not outstanding

UST0601 METRO CITY BANK DORAVILLE GA 10/29/2012 $26,102.90 29 $900.10 ($2,897.10)

UST0601 METRO CITY BANK DORAVILLE GA 11/1/2012 $6,904,667.10 7,671 $900.10 ($766,332.90) $369,948.00 385

24
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0601 METRO CITY BANK DORAVILLE GA 1/11/2013 ($69,307.70)

UST0440 METROCORP BANCSHARES, INC. HOUSTON TX 1/16/2009 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in full; warrants not outstanding

UST0440 METROCORP BANCSHARES, INC. HOUSTON TX 7/3/2012 $44,152,650.00 ($662,289.75) 45,000 $981.17 ($847,350.00)

UST0440 METROCORP BANCSHARES, INC. HOUSTON TX 6/11/2013 $2,087,368.00 771,429

UST1261 8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in full; warrants not outstanding

UST1261 METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 $23,718,541.95 71,526 $331.61 ($47,807,458.05)

UST1088 8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 4/10/2009 Preferred Stock w/ Exercised Warrants $2,040,000.00 $0.00 $5,663,197.28 Sold, in full; warrants not outstanding

UST1088 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 11/20/2009 $2,348,000.00

UST1088 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 6/29/2015 $4,135,655.24 4,388 $942.49 ($252,344.76) $84,445.94 102

UST1088 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 8/6/2015 ($33,333.34)

UST0138 11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/19/2008 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in full; warrants not outstanding

UST0138 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 12/28/2012 $10,000,000.00 10,000 $1,000.00

UST0138 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 1/23/2013 $58,479.20 73,099

UST0319 12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 1/30/2009 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in full; warrants not outstanding

UST0319 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 12/23/2009 $22,000,000.00 22,000 $1,000.00

UST0319 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 11/18/2011 $301,001.00 104,101

UST0398 8,11,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 1/23/2009 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in full; warrants not outstanding

UST0398 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 12/23/2009 $10,189,000.00 10,189 $1,000.00 $509,000.00 509

UST0370 44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 1/9/2009 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in full; warrants not outstanding

UST0370 MIDSOUTH BANCORP, INC. LAFAYETTE LA 8/25/2011 $20,000,000.00 20,000 $1,000.00

UST0370 MIDSOUTH BANCORP, INC. LAFAYETTE LA 11/22/2011 $206,557.00 104,384

UST08838 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 2/27/2009 Preferred Stock w/ Exercised Warrants $5,222,000.00 $0.00 $3,520,137.55 Sold, in full; warrants not outstanding

UST0883 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 11/19/2013 $3,133,200.00 5,222 $600.00 ($2,088,800.00) $136,833.05 261

UST0883 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 1/6/2014 ($25,000.00)

UST0045 22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 12/5/2008 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Exited bankruptcy/Receivership

UST0045 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5/14/2010 ($84,784,000.00)

UST0659 8,11,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 2/13/2009 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in full; warrants not outstanding

UST0659 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 11/10/2009 $700,000.00 700 $1,000.00 $35,000.00 35

UST0243 11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 2/6/2009 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in full; warrants not outstanding

UST0243 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/6/2011 $16,000,000.00 16,000 $1,000.00

UST0243 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 7/27/2011 $1,000,000.00 198,675

UST0740 8,11,14 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 2/20/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in full; warrants not outstanding

UST0740 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 4/26/2013 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

UST09158 MILLENNIUM BANCORP, INC. EDWARDS CO 4/3/2009 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in full; warrants not outstanding

UST0915 MILLENNIUM BANCORP, INC. EDWARDS CO 8/14/2012 $2,904,000.00 7,260 $400.00 ($4,356,000.00)

UST0170 9,11 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 1/9/2009 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in full; warrants not outstanding

UST0170 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 12/28/2011 $5,116,000.00 5,116 $1,000.00

UST0139 9,11,36 MISSION VALLEY BANCORP SUN VALLEY CA 12/23/2008 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in full; warrants not outstanding

UST0139 MISSION VALLEY BANCORP SUN VALLEY CA 8/20/2010 $5,500,000.00 5,500 $1,000.00

UST0227 8,11,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/19/2008 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in full; warrants not outstanding

UST0227 MONADNOCK BANCORP, INC. PETERBOROUGH NH 12/28/2012 $1,834,000.00 1,834 $1,000.00 $92,000.00 92

UST0447 98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 2/6/2009 Preferred Stock w/ Warrants $6,785,000.00 $0.00 $4,808,121.00 Sold, in full; warrants not outstanding

UST0447 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 11/15/2013 $4,545,202.00 2,272,601 $2.00 ($2,239,798.00)

UST0233 12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/19/2008 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in full; warrants not outstanding

UST0233 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 12/23/2009 $14,700,000.00 14,700 $1,000.00

UST0233 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 2/10/2010 $260,000.00 132,353

UST0901 8,14,45 MONEYTREE CORPORATION LENOIR CITY TN 3/13/2009 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in full; warrants not outstanding

UST0901 MONEYTREE CORPORATION LENOIR CITY TN 9/15/2011 $9,516,000.00 9,516 $1,000.00 $476,000.00 476

UST0600 8,14,44 MONUMENT BANK BETHESDA MD 1/30/2009 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in full; warrants not outstanding

UST0600 MONUMENT BANK BETHESDA MD 8/11/2011 $4,734,000.00 4,734 $1,000.00 $237,000.00 237

UST0018 11 MORGAN STANLEY NEW YORK NY 10/28/2008 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in full; warrants not outstanding

UST0018 MORGAN STANLEY NEW YORK NY 6/17/2009 $10,000,000,000.00 10,000,000 $1,000.00

UST0018 MORGAN STANLEY NEW YORK NY 8/12/2009 $950,000,000.00 65,245,759

UST0532 8,11,14 MORRILL BANCSHARES, INC. MERRIAM KS 1/16/2009 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in full; warrants not outstanding

UST0532 MORRILL BANCSHARES, INC. MERRIAM KS 7/20/2011 $13,000,000.00 13,000 $1,000.00 $650,000.00 650

UST0401 8,11,14 MOSCOW BANCSHARES, INC. MOSCOW TN 1/23/2009 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in full; warrants not outstanding

UST0401 MOSCOW BANCSHARES, INC. MOSCOW TN 4/25/2012 $1,100,000.00 1,100 $1,000.00

UST0401 MOSCOW BANCSHARES, INC. MOSCOW TN 12/5/2012 $5,116,000.00 5,116 $1,000.00 $311,000.00 311

UST1293 8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/25/2009 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in full; warrants not outstanding

UST1293 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 7/22/2013 $3,267,000.00 3,300 $990.00 ($33,000.00) $140,034.65 165

UST1293 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 9/12/2013 ($25,000.00)

UST0819 8,11,14 MS FINANCIAL, INC. KINGWOOD TX 3/27/2009 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in full; warrants not outstanding

UST0819 MS FINANCIAL, INC. KINGWOOD TX 10/19/2011 $7,723,000.00 7,723 $1,000.00 $386,000.00 386

UST0290 45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 12/23/2008 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in full; warrants not outstanding

UST0290 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 8/25/2011 $32,382,000.00 32,382 $1,000.00

UST0290 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 9/28/2011 $900,194.00 625,135

UST09398 NAPLES BANCORP, INC. NAPLES FL 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in full; warrants not outstanding

UST0939 NAPLES BANCORP, INC. NAPLES FL 7/12/2012 $600,000.00 4,000 $150.00 ($3,400,000.00)

UST0088 11,59 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 11/21/2008 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in full; warrants not outstanding

UST0088 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 6/27/2012 $67,000,000.00 67,000 $1,000.00

UST0088 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 8/8/2012 $2,189,317.20 521,266

UST0544 8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/27/2009 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in full; warrants not outstanding

UST0544 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/19/2013 $2,438,182.50 3,250 $750.21 ($811,817.50) $342,841.95 500

UST0544 NATIONAL BANCSHARES, INC. BETTENDORF IA 2/20/2013 $16,064,996.94 21,414 $750.21 ($5,349,003.06) $502,606.30 733

UST0544 NATIONAL BANCSHARES, INC. BETTENDORF IA 3/26/2013 ($185,031.79)

UST0189 11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12/12/2008 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in full; warrants not outstanding

UST0189 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 3/16/2011 $150,000,000.00 150,000 $1,000.00

UST0189 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 4/13/2011 $1,000,000.00 735,294

UST1333 11,14,15 NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/11/2009 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in full; warrants not outstanding

UST1333 NATIONWIDE BANKSHARES, INC. WEST POINT NE 12/29/2010 $2,000,000.00 2,000,000 $1.00 $100,000.00 100,000

UST1262 8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/26/2009 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; warrants not outstanding

UST1262 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 6/28/2013 $2,281,458.05 6,880 $331.61 ($4,598,541.95)

UST0301 8,119 NCAL BANCORP LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $5,211,027.78 Sold, in full; warrants not outstanding

UST0301 NCAL BANCORP LOS ANGELES CA 12/10/2014 $3,900,000.00 10,000 $390.00 ($6,100,000.00)

UST1250 11,14,15 NEMO BANCSHARES, INC. MADISON MO 6/19/2009 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in full; warrants not outstanding

UST1250 NEMO BANCSHARES, INC. MADISON MO 4/24/2013 $2,330,000.00 2,330,000 $1.00 $117,000.00 117,000

UST0228 44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 1/16/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in full; warrants not outstanding

UST0228 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 8/25/2011 $10,000,000.00 10,000 $1,000.00

UST0228 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 2/15/2012 $737,100.00 184,275

UST0524 8,11,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 1/9/2009 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in full; warrants not outstanding

UST0524 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 7/24/2013 $267,274,000.00 267,274 $1,000.00 $13,364,000.00 13,364

UST0141 NEWBRIDGE BANCORP GREENSBORO NC 12/12/2008 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in full; warrants not outstanding

UST0141 NEWBRIDGE BANCORP GREENSBORO NC 4/26/2013 $2,709,121.50 2,763 $980.50 ($53,878.50)

UST0141 NEWBRIDGE BANCORP GREENSBORO NC 4/29/2013 $48,641,624.50 49,609 $980.50 ($967,375.50)

UST0141 NEWBRIDGE BANCORP GREENSBORO NC 5/15/2013 $7,778,782.65 2,567,255

UST0141 NEWBRIDGE BANCORP GREENSBORO NC 5/31/2013 ($513,507.46)

UST0216 8,14,44 NICOLET BANKSHARES, INC. GREEN BAY WI 12/23/2008 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in full; warrants not outstanding

UST0216 NICOLET BANKSHARES, INC. GREEN BAY WI 9/1/2011 $14,964,000.00 14,964 $1,000.00 $748,000.00 748

UST0336 11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/9/2009 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in full; warrants not outstanding

UST0336 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 12/14/2011 $10,200,000.00 10,200 $1,000.00

UST0336 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 1/11/2012 $600,000.00 99,157

UST0191 11 NORTHEAST BANCORP LEWISTON ME 12/12/2008 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in full; warrants not outstanding

UST0191 NORTHEAST BANCORP LEWISTON ME 11/28/2012 $4,227,000.00 4,227 $1,000.00

UST0191 NORTHEAST BANCORP LEWISTON ME 12/28/2012 $95,000.00 67,958

UST0884 8,11,14,18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 5/15/2009 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in full; warrants not outstanding

UST0884 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 12/18/2009 $1,230,000.00

UST0884 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 3/28/2012 $2,571,000.00 2,571 $1,000.00 $67,000.00 67

UST0747 109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 2/20/2009 Preferred Stock w/ Warrants $17,211,000.00 $0.00 $6,442,172.50 Sold, in full; warrants not outstanding

UST0747 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 4/30/2014 $6,023,850.00 20,079,500 $0.30 ($11,187,150.00)

UST0004 11 NORTHERN TRUST CORPORATION CHICAGO IL 11/14/2008 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in full; warrants not outstanding

UST0004 NORTHERN TRUST CORPORATION CHICAGO IL 6/17/2009 $1,576,000,000.00 1,576,000 $1,000.00

UST0004 NORTHERN TRUST CORPORATION CHICAGO IL 8/26/2009 $87,000,000.00 3,824,624

UST0581 8,14,44 NORTHWAY FINANCIAL, INC. BERLIN NH 1/30/2009 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in full; warrants not outstanding

UST0581 NORTHWAY FINANCIAL, INC. BERLIN NH 9/15/2011 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

UST0739 8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 2/13/2009 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in full; warrants not outstanding

UST0739 NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/8/2013 $2,000,000.00 2,000 $1,032.11 $64,220.00

UST0739 NORTHWEST BANCORPORATION, INC. SPOKANE WA 3/11/2013 $8,500,000.00 8,500 $1,032.11 $272,935.00 $587,634.55 525

UST0739 NORTHWEST BANCORPORATION, INC. SPOKANE WA 4/9/2013 ($108,371.55)

UST0804 8,11,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 2/13/2009 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in full; warrants not outstanding

UST0804 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 1/9/2013 $1,992,000.00 1,992 $1,000.00 $100,000.00 100

UST0381 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/30/2009 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in full; warrants not outstanding

UST0381 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 10/31/2012 $7,095,550.00 7,700 $921.50 ($604,450.00)

UST0381 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 1/11/2013 ($70,955.50)

UST0381 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 2/6/2013 $122,887.50 163,830

UST0205 45 OAK VALLEY BANCORP OAKDALE CA 12/5/2008 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in full; warrants not outstanding

UST0205 OAK VALLEY BANCORP OAKDALE CA 8/11/2011 $13,500,000.00 13,500 $1,000.00

UST0205 OAK VALLEY BANCORP OAKDALE CA 9/28/2011 $560,000.00 350,346

UST0565 12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 1/16/2009 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in full; warrants not outstanding

UST0565 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 12/30/2009 $38,263,000.00 38,263 $1,000.00

UST0565 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 2/3/2010 $430,797.00 190,427

25
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0386

8 OJAI COMMUNITY BANK OJAI CA 1/30/2009 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in full; warrants not outstanding

UST0386 OJAI COMMUNITY BANK OJAI CA 9/25/2013 $2,080,000.00 2,080 $1,000.00 $104,000.00 104

UST0159 11 OLD LINE BANCSHARES, INC. BOWIE MD 12/5/2008 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in full; warrants not outstanding

UST0159 OLD LINE BANCSHARES, INC. BOWIE MD 7/15/2009 $7,000,000.00 7,000 $1,000.00

UST0159 OLD LINE BANCSHARES, INC. BOWIE MD 9/2/2009 $225,000.00 141,892

UST0031 11 OLD NATIONAL BANCORP EVANSVILLE IN 12/12/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in full; warrants not outstanding

UST0031 OLD NATIONAL BANCORP EVANSVILLE IN 3/31/2009 $100,000,000.00 100,000 $1,000.00

UST0031 OLD NATIONAL BANCORP EVANSVILLE IN 5/8/2009 $1,200,000.00 813,008

UST0489 OLD SECOND BANCORP, INC. AURORA IL 1/16/2009 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in full; warrants not outstanding

UST0489 OLD SECOND BANCORP, INC. AURORA IL 3/11/2013 $24,684,870.00 70,028 $352.50 ($45,343,130.00)

UST0489 OLD SECOND BANCORP, INC. AURORA IL 3/26/2013 $452,424.00 1,200 $377.02 ($747,576.00)

UST0489 OLD SECOND BANCORP, INC. AURORA IL 3/27/2013 $668,079.44 1,772 $377.02 ($1,103,920.56)

UST0489 OLD SECOND BANCORP, INC. AURORA IL 4/9/2013 ($258,053.73)

UST0489 OLD SECOND BANCORP, INC. AURORA IL 6/11/2013 $106,891.00 815,339

UST1048 8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 4/17/2009 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in full; warrants not outstanding

UST1048 OMEGA CAPITAL CORP. LAKEWOOD CO 7/19/2013 $1,239,000.00 1,239 $1,142.90 $177,053.10

UST1048 OMEGA CAPITAL CORP. LAKEWOOD CO 7/22/2013 $1,577,000.00 1,577 $1,142.90 $225,353.30 $159,886.25 141

UST1048 OMEGA CAPITAL CORP. LAKEWOOD CO 9/12/2013 ($25,000.00)

UST1196 8,51,97 ONE GEORGIA BANK ATLANTA GA 5/8/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Exited bankruptcy/Receivership

UST1196 ONE GEORGIA BANK ATLANTA GA 7/15/2011 ($5,500,000.00)

UST0097 8,9 ONE UNITED BANK BOSTON MA 12/19/2008 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investment outstanding; warrants not outstanding

UST1175 15,17,129,135,139,151,152 ONEFINANCIAL CORPORATION LITTLE ROCK AR 6/5/2009 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $0.00 $11,178,439.21 Currently Not Collectible

UST1175 ONEFINANCIAL CORPORATION LITTLE ROCK AR 7/31/2018 $3,515,448.62

UST1175 ONEFINANCIAL CORPORATION LITTLE ROCK AR 8/15/2018 ($17,300,000.00)

UST08118 OREGON BANCORP, INC. SALEM OR 4/24/2009 Preferred Stock w/ Exercised Warrants $3,216,000.00 $0.00 $4,116,801.92 Sold, in full; warrants not outstanding

UST0811 OREGON BANCORP, INC. SALEM OR 10/18/2013 $100,000.00 100 $1,000.00 $9,459.13 11

UST0811 OREGON BANCORP, INC. SALEM OR 10/21/2013 $3,116,000.00 3,116 $1,000.00 $128,988.07 150

UST0811 OREGON BANCORP, INC. SALEM OR 1/6/2014 ($25,000.00)

UST0556 11,14,15 OSB FINANCIAL SERVICES, INC. ORANGE TX 5/1/2009 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in full; warrants not outstanding

UST0556 OSB FINANCIAL SERVICES, INC. ORANGE TX 10/5/2011 $6,100,000.00 6,100,000 $1.00 $305,000.00 305,000

UST0053 11,35 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/21/2008 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in full; warrants not outstanding

UST0053 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 2/23/2011 $14.751 $29.50 ($10.28)

UST0053 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 11/30/2012 $165,983,272.00 3,608,332 $46.00 ($14,650,702.97) $393,120.78 15,120

UST01428 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 12/19/2008 Preferred Stock w/ Exercised Warrants $16,200,000.00 $0.00 $21,003,597.96 Sold, in full; warrants not outstanding

UST0142 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 11/19/2013 $16,200,000.00 16,200 $1,215.17 $3,485,754.00 $1,156,636.50 810

UST0142 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 1/6/2014 ($196,857.54)

UST0428 8,14,45 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 12/23/2008 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in full; warrants not outstanding

UST0428 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 7/28/2011 $11,600,000.00 11,600 $1,000.00 $580,000.00 580

UST0315 8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Exited bankruptcy/Receivership

UST0315 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 2/11/2010 ($4,120,000.00)

UST01628 PACIFIC COMMERCE BANK LOS ANGELES CA 12/23/2008 Preferred Stock w/ Exercised Warrants $4,060,000.00 $0.00 $2,991,670.80 Sold, in full; warrants not outstanding

UST0162 PACIFIC COMMERCE BANK LOS ANGELES CA 2/10/2014 $2,519,960.80 4,060 $620.68 ($1,540,039.20) $109,487.50 203

UST0162 PACIFIC COMMERCE BANK LOS ANGELES CA 3/19/2014 ($25,000.00)

UST0067 85 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 12/12/2008 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, in full; warrants not outstanding

UST0067 PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 2/15/2013 $6,500,000.00 6,500 $1,000.00

UST0887 8,14 PARK BANCORPORATION, INC. MADISON WI 3/6/2009 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in full; warrants not outstanding

UST0887 PARK BANCORPORATION, INC. MADISON WI 8/7/2012 $1,676,654.00 2,296 $730.25 ($619,346.00) $88,059.01 114

UST0887 PARK BANCORPORATION, INC. MADISON WI 8/9/2012 $4,048,506.00 5,544 $730.25 ($1,495,494.00) $482,779.69 625

UST0887 PARK BANCORPORATION, INC. MADISON WI 8/10/2012 $11,216,640.00 15,360 $730.25 ($4,143,360.00) $325,200.40 421

UST0887 PARK BANCORPORATION, INC. MADISON WI 9/11/2012 ($169,418.00)

UST0174 11 PARK NATIONAL CORPORATION NEWARK OH 12/23/2008 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in full; warrants not outstanding

UST0174 PARK NATIONAL CORPORATION NEWARK OH 4/25/2012 $100,000,000.00 100,000 $1,000.00

UST0174 PARK NATIONAL CORPORATION NEWARK OH 5/2/2012 $2,842,400.00 227,376

UST0266 PARKE BANCORP, INC. SEWELL NJ 1/30/2009 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in full; warrants not outstanding

UST0266 PARKE BANCORP, INC. SEWELL NJ 11/28/2012 $394,072.28 548 $719.11 ($153,927.72)

UST0266 PARKE BANCORP, INC. SEWELL NJ 11/29/2012 $11,318,791.40 15,740 $719.11 ($4,421,208.60)

UST0266 PARKE BANCORP, INC. SEWELL NJ 1/11/2013 ($117,128.64)

UST0266 PARKE BANCORP, INC. SEWELL NJ 6/12/2013 $1,650,288.00 438,906

UST0346 60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 12/23/2008 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $42,596,063.59 Redeemed, in full; warrants not outstanding

UST0346 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 1/3/2012 $31,762,000.00 31,762 $1,000.00

UST0346 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 5/27/2015 $6,025,649.70 819,640

UST0691 8,11,21 PASCACK BANCORP, INC. WESTWOOD NJ 2/6/2009 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in full; warrants not outstanding

UST0691 PASCACK BANCORP, INC. WESTWOOD NJ 10/19/2011 $3,756,000.00 3,756 $1,000.00 $188,000.00 188

UST0289 8,126 PATAPSCO BANCORP, INC. DUNDALK MD 12/19/2008 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $9,260,824.26 Redeemed, in full; warrants not outstanding

UST0289 PATAPSCO BANCORP, INC. DUNDALK MD 8/28/2015 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

UST1304 44 PATHFINDER BANCORP, INC. OSWEGO NY 9/11/2009 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in full; warrants not outstanding

UST1304 PATHFINDER BANCORP, INC. OSWEGO NY 9/1/2011 $6,771,000.00 6,771 $1,000.00

UST1304 PATHFINDER BANCORP, INC. OSWEGO NY 2/1/2012 $537,633.00 154,354

UST0753 8,14 PATHWAY BANCORP CAIRO NE 3/27/2009 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in full; warrants not outstanding

UST0753 PATHWAY BANCORP CAIRO NE 6/24/2013 $3,727,000.00 3,727 $1,167.01 $622,446.27 $226,565.00 186

UST0753 PATHWAY BANCORP CAIRO NE 7/26/2013 ($25,000.00)

UST00988 PATRIOT BANCSHARES, INC. HOUSTON TX 12/19/2008 Preferred Stock w/ Exercised Warrants $26,038,000.00 $0.00 $33,824,567.35 Sold, in full; warrants not outstanding

UST0098 PATRIOT BANCSHARES, INC. HOUSTON TX 4/11/2014 $12,000,000.00 12,000 $1,142.03 $1,704,360.00 $1,035,834.25 802

UST0098 PATRIOT BANCSHARES, INC. HOUSTON TX 4/14/2014 $14,038,000.00 14,038 $1,142.03 $1,993,817.14 $645,781.95 500

UST0098 PATRIOT BANCSHARES, INC. HOUSTON TX 7/18/2014 ($297,361.77)

UST0864 8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in full; warrants not outstanding

UST0864 PATTERSON BANCSHARES, INC. PATTERSON LA 3/7/2012 $250,000.00 250 $1,000.00

UST0864 PATTERSON BANCSHARES, INC. PATTERSON LA 8/22/2012 $250,000.00 250 $1,000.00

UST0864 PATTERSON BANCSHARES, INC. PATTERSON LA 12/5/2012 $250,000.00 250 $1,000.00

UST0864 PATTERSON BANCSHARES, INC. PATTERSON LA 5/8/2013 $500,000.00 500 $1,000.00

UST0864 PATTERSON BANCSHARES, INC. PATTERSON LA 6/5/2013 $2,440,000.00 2,440 $1,000.00 $185,000.00 185

UST0125 11 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/9/2009 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in full; warrants not outstanding

UST0125 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/6/2010 $7,172,000.00 7,172 $1,000.00

UST0125 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 3/2/2011 $7,172,000.00 7,172 $1,000.00

UST0125 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 1/11/2012 $14,341,000.00 14,341 $1,000.00

UST0125 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4/4/2012 $110,000.00 150,296

UST0806 8,14,44 PENN LIBERTY FINANCIAL CORP. WAYNE PA 4/17/2009 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in full; warrants not outstanding

UST0806 PENN LIBERTY FINANCIAL CORP. WAYNE PA 9/1/2011 $9,960,000.00 9,960 $1,000.00 $498,000.00 498

UST0092 11 PEOPLES BANCORP (OH) MARIETTA OH 1/30/2009 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in full; warrants not outstanding

UST0092 PEOPLES BANCORP (OH) MARIETTA OH 2/2/2011 $21,000,000.00 21,000 $1,000.00

UST0092 PEOPLES BANCORP (OH) MARIETTA OH 12/28/2011 $18,000,000.00 18,000 $1,000.00

UST0092 PEOPLES BANCORP (OH) MARIETTA OH 2/15/2012 $1,200,724.15 313,505

UST0632 8,14,56 PEOPLES BANCORP (WA) LYNDEN WA 2/13/2009 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in full; warrants not outstanding

UST0632 PEOPLES BANCORP (WA) LYNDEN WA 8/3/2011 $18,000,000.00 18,000 $1,000.00 $900,000.00 900

UST0329 PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 12/23/2008 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in full; warrants not outstanding

UST0329 PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 7/3/2012 $23,384,401.44 ($350,766.02) 25,054 $933.36 ($1,669,598.56)

UST0329 PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8/8/2012 $425,000.00 357,234

UST0921 8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2009 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in full; warrants not outstanding

UST0921 PEOPLES BANCORPORATION, INC. EASLEY SC 4/24/2012 $12,660,000.00 12,660 $1,000.00 $633,000.00 633

UST0865 8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 3/20/2009 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in full; warrants not outstanding

UST0865 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 10/31/2012 $2,944,500.00 3,900 $755.00 ($955,500.00) $122,225.00 195

UST0865 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 1/11/2013 ($25,000.00)

UST09508 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 3/6/2009 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in full; warrants not outstanding

UST0950 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 9/18/2013 $12,325,000.00 12,325 $1,000.00 $616,000.00 616

UST1335 8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 9/11/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in full; warrants not outstanding

UST1335 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 8/25/2011 $1,500,000.00 1,500 $1,000.00 $71,000.00 71

UST0451 9,11,36 PGB HOLDINGS, INC. CHICAGO IL 2/6/2009 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in full; warrants not outstanding

UST0451 PGB HOLDINGS, INC. CHICAGO IL 8/13/2010 $3,000,000.00 3,000 $1,000.00

UST0430 8,46,97 PIERCE COUNTY BANCORP TACOMA WA 1/23/2009 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 Currently Not Collectible

UST0430 PIERCE COUNTY BANCORP TACOMA WA 11/5/2010 ($6,800,000.00)

UST0781 8,69,148 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 3/6/2009 Preferred Stock w/ Exercised Warrants $4,389,000.00 $0.00 $984,999.00 Sold, in full; warrants not outstanding

UST0781 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 5/22/2018 $700,000.00 4,389 $159.49 ($3,689,000.00)

UST0184 11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/12/2008 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in full; warrants not outstanding

UST0184 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12/28/2011 $23,750,000.00 23,750 $1,000.00

UST0184 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 6/20/2012 $71,250,000.00 71,250 $1,000.00

UST0184 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 7/18/2012 $755,000.00 267,455

UST0041 8,14,44 PLAINS CAPITAL CORPORATION DALLAS TX 12/19/2008 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in full; warrants not outstanding

UST0041 PLAINS CAPITAL CORPORATION DALLAS TX 9/27/2011 $87,631,000.00 87,631 $1,000.00 $4,382,000.00 4,382

UST1285 15,17 PLATO HOLDINGS INC. SAINT PAUL MN 7/17/2009 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; warrants not outstanding

UST1285 PLATO HOLDINGS INC. SAINT PAUL MN 4/26/2013 $120,000.00 120,000 $1.00 $180.00

UST1285 PLATO HOLDINGS INC. SAINT PAUL MN 4/29/2013 $2,380,000.00 2,380,000 $1.00 $3,570.00 $90,582.47 107,000

UST1285 PLATO HOLDINGS INC. SAINT PAUL MN 5/31/2013 ($25,000.00)

UST0359 PLUMAS BANCORP QUINCY CA 1/30/2009 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; warrants not outstanding

UST0359 PLUMAS BANCORP QUINCY CA 4/29/2013 $11,949,000.00 11,949 $1,091.11 $1,088,673.39

UST0359 PLUMAS BANCORP QUINCY CA 5/22/2013 $234,500.00 237,712

UST0359 PLUMAS BANCORP QUINCY CA 5/31/2013 ($130,376.73)

UST0117 20 POPULAR, INC. SAN JUAN PR 12/5/2008 Preferred Stock w/ Warrants $935,000,000.00 $0.00 $1,220,280,000.00 Redeemed, in full; warrants not outstanding

UST0117 POPULAR, INC. SAN JUAN PR 7/2/2014 $935,000,000.00 935,000 $1,000.00

UST0117 POPULAR, INC. SAN JUAN PR 7/23/2014 $3,000,000.00 2,093,284

UST0060 PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 11/21/2008 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $8,233,333.33 Sold, in full; warrants not outstanding

26
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0060 PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/3/2014 $2,693,800.00 26,938 $100.00 ($24,244,200.00)

UST0060 PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 12/4/2014 $806,200.00 8,062 $100.00 ($7,255,800.00)

UST0060 PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 1/9/2015 ($50,000.00)

UST09408 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 4/3/2009 Preferred Stock w/ Exercised Warrants $2,800,000.00 $0.00 $3,596,579.20 Sold, in full; warrants not outstanding

UST0940 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 6/29/2015 $2,800,000.00 2,800 $1,187.61 $525,308.00 $164,018.20 140

UST0940 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 8/6/2015 ($25,000.00)

UST1214 9,15,36 PREMIER BANCORP, INC. WILMETTE IL 5/8/2009 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in full; warrants not outstanding

UST1214 PREMIER BANCORP, INC. WILMETTE IL 8/13/2010 $6,784,000.00 6,784,000 $1.00

UST0867 8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 3/20/2009 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Exited bankruptcy/Receivership

UST0867 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 8/14/2012 ($9,500,000.00)

UST1078 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10/2/2009 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $28,727,240.29 Sold, in full; warrants not outstanding

UST1078 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/8/2012 $1,678,618.89 1,863 $901.03 ($184,381.11)

UST1078 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/9/2012 $8,575,102.51 9,517 $901.03 ($941,897.49)

UST1078 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8/10/2012 $9,795,998.16 10,872 $901.03 ($1,076,001.84)

UST1078 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9/11/2012 ($200,497.20)

UST1078 PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 5/6/2015 $5,675,000.00 636,378

UST0932 14,15 PREMIER FINANCIAL CORP. DUBUQUE IA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in full; warrants not outstanding

UST0932 PREMIER FINANCIAL CORP. DUBUQUE IA 7/22/2013 $6,349,000.00 6,349,000 $1.24 $1,507,379.58 $478,590.75 317,000

UST0932 PREMIER FINANCIAL CORP. DUBUQUE IA 9/12/2013 ($78,563.80)

UST08088 PREMIER SERVICE BANK RIVERSIDE CA 2/20/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,300,522.22 Redeemed, in full; warrants not outstanding

UST0808 PREMIER SERVICE BANK RIVERSIDE CA 1/31/2014 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0562 80 PREMIERWEST BANCORP MEDFORD OR 2/13/2009 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in full; warrants not outstanding

UST0562 PREMIERWEST BANCORP MEDFORD OR 4/9/2013 $41,400,000.00 41,400 $1,000.00

UST0165 8,17 PRESIDIO BANK SAN FRANCISCO CA 11/20/2009 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in full; warrants not outstanding

UST0165 PRESIDIO BANK SAN FRANCISCO CA 12/10/2012 $262,635.10 310 $847.21 ($47,364.90) $83,086.12 97

UST0165 PRESIDIO BANK SAN FRANCISCO CA 12/11/2012 $8,887,232.90 10,490 $847.21 ($1,602,767.10) $195,295.20 228

UST0165 PRESIDIO BANK SAN FRANCISCO CA 1/11/2013 ($91,498.68)

UST0372 75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 1/23/2009 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 Currently Not Collectible

UST0372 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 11/2/2012 ($25,083,000.00)

UST0726 8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 2/27/2009 Preferred Stock w/ Exercised Warrants $4,960,000.00 $0.00 $10,836,280.71 Redeemed, in full; warrants not outstanding

UST0726 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 12/29/2009 $3,262,000.00

UST0726 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 6/25/2014 $8,222,000.00 8,222 $1,000.00 $248,000.00 248

UST0332 12 PRIVATEBANCORP, INC. CHICAGO IL 1/30/2009 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in full; warrants not outstanding

UST0332 PRIVATEBANCORP, INC. CHICAGO IL 10/24/2012 $243,815,000.00 243,815 $1,000.00

UST0332 PRIVATEBANCORP, INC. CHICAGO IL 11/14/2012 $1,225,000.00 645,013

UST1215 8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 10/2/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in full; warrants not outstanding

UST1215 PROVIDENCE BANK ROCKY MOUNT NC 9/15/2011 $4,000,000.00 4,000 $1,000.00 $175,000.00 175

UST0013 88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 11/14/2008 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in full; warrants not outstanding

UST0013 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 8/21/2012 $151,500,000.00 151,500 $1,000.00

UST0013 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/20/2013 $71.62

UST0013 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 3/25/2013 $19,047,005.12

UST0918 107 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 3/13/2009 Preferred Stock w/ Warrants $9,266,000.00 $0.00 $5,639,391.00 Sold, in full; warrants not outstanding

UST0918 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 4/30/2014 $5,096,300.00 9,266 $550.00 ($4,169,700.00)

UST0785 8,11,14 PSB FINANCIAL CORPORATION MANY LA 2/27/2009 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in full; warrants not outstanding

UST0785 PSB FINANCIAL CORPORATION MANY LA 9/29/2010 $9,270,000.00 9,270 $1,000.00 $464,000.00 464

UST0424 8,14,44 PUGET SOUND BANK BELLEVUE WA 1/16/2009 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in full; warrants not outstanding

UST0424 PUGET SOUND BANK BELLEVUE WA 8/11/2011 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

UST0507 PULASKI FINANCIAL CORP. CREVE COEUR MO 1/16/2009 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in full; warrants not outstanding

UST0507 PULASKI FINANCIAL CORP. CREVE COEUR MO 7/3/2012 $28,893,744.00 ($433,406.16) 32,538 $888.00 ($3,644,256.00)

UST0507 PULASKI FINANCIAL CORP. CREVE COEUR MO 8/8/2012 $1,100,000.00 778,421

UST0287 44 QCR HOLDINGS, INC. MOLINE IL 2/13/2009 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in full; warrants not outstanding

UST0287 QCR HOLDINGS, INC. MOLINE IL 9/15/2011 $38,237,000.00 38,237 $1,000.00

UST0287 QCR HOLDINGS, INC. MOLINE IL 11/16/2011 $1,100,000.00 521,888

UST13398 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 10/30/2009 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in full; warrants not outstanding

UST1339 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 9/30/2013 $6,229,000.00 6,229 $1,000.00 $311,000.00 311

UST1248 8,17 RCB FINANCIAL CORPORATION ROME GA 6/19/2009 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,139,863.61 Sold, in full; warrants not outstanding

UST1248 RCB FINANCIAL CORPORATION ROME GA 9/25/2013 $8,073,279.00 8,900 $907.11 ($826,721.00) $253,383.25 268

UST1248 RCB FINANCIAL CORPORATION ROME GA 10/29/2013 ($80,732.79)

UST0389 8,14,44 REDWOOD CAPITAL BANCORP EUREKA CA 1/16/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in full; warrants not outstanding

UST0389 REDWOOD CAPITAL BANCORP EUREKA CA 7/21/2011 $3,800,000.00 3,800 $1,000.00 $190,000.00 190

UST0199 8,14,44 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 1/9/2009 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in full; warrants not outstanding

UST0199 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 8/18/2011 $2,995,000.00 2,995 $1,000.00 $150,000.00 150

UST0868 8,114 REGENT BANCORP, INC. DAVIE FL 3/6/2009 Preferred Stock w/ Exercised Warrants $9,982,000.00 $0.00 $8,755,019.00 Sold, in full; warrants not outstanding

UST0868 REGENT BANCORP, INC. DAVIE FL 10/17/2014 $7,970,737.50 1,449,225 $5.50 ($2,011,262.50)

UST0727 8,14,44 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 2/27/2009 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in full; warrants not outstanding

UST0727 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 7/21/2011 $2,655,000.00 2,655 $1,000.00 $133,000.00 133

UST0541 8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 10/23/2009 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in full; warrants not outstanding

UST0541 REGENTS BANCSHARES, INC. VANCOUVER WA 1/26/2012 $12,700,000.00 12,700 $1,000.00 $381,000.00 381

UST0620 8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 2/13/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in full; warrants not outstanding

UST0620 REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/8/2012 $246,975.00 267 $925.00 ($20,025.00)

UST0620 REGIONAL BANKSHARES, INC. HARTSVILLE SC 11/9/2012 $1,140,525.00 1,233 $925.00 ($92,475.00) $50,000.00 75

UST0620 REGIONAL BANKSHARES, INC. HARTSVILLE SC 1/11/2013 ($13,875.00)

UST0620 REGIONAL BANKSHARES, INC. HARTSVILLE SC 3/26/2013 ($11,125.00)

UST0019 11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in full; warrants not outstanding

UST0019 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4/4/2012 $3,500,000,000.00 3,500,000 $1,000.00

UST0019 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 5/2/2012 $45,000,000.00 48,253,677

UST05958 RELIANCE BANCSHARES, INC. FRONTENAC MO 2/13/2009 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $45,820,950.80 Sold, in full; warrants not outstanding

UST0595 RELIANCE BANCSHARES, INC. FRONTENAC MO 9/25/2013 $40,000,000.00 40,000 $1,004.90 $196,000.00 $2,199,799.80 2,000

UST0595 RELIANCE BANCSHARES, INC. FRONTENAC MO 10/29/2013 ($401,960.00)

UST0655 8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/27/2009 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in full; warrants not outstanding

UST0655 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 2/20/2013 $8,966,340.00 10,900 $822.60 ($1,933,660.00) $476,206.83 545

UST0655 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 3/26/2013 ($89,663.40)

UST0313 8,116 RISING SUN BANCORP RISING SUN MD 1/9/2009 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $195,637.00 Currently Not Collectible

UST0313 RISING SUN BANCORP RISING SUN MD 10/17/2014 ($5,983,000.00)

UST1216 11,14,15 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/12/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in full; warrants not outstanding

UST1216 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6/6/2012 $10,500,000.00 10,500,000 $1.00

UST1216 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 5/15/2013 $4,500,000.00 4,500,000 $1.00 $750,000.00 750,000

UST1060 15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/15/2009 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $0.00 $1,622,708.57 Redeemed, in full; warrants not outstanding

UST1060 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 5/14/2014 $1,100,000.00 1,100,000 $1.00 $55,000.00 55,000

UST0501 8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 1/30/2009 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 Currently Not Collectible

UST0501 ROGERS BANCSHARES, INC. LITTLE ROCK AR 7/5/2013 ($25,000,000.00)

UST0512 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2/20/2009 Preferred Stock w/ Warrants $30,407,000.00 $0.00 $38,451,518.83 Sold, in full; warrants not outstanding

UST0512 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/1/2014 $9,000,000.00 9,000 $1,207.11 $1,863,990.00

UST0512 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 7/2/2014 $21,407,000.00 21,407 $1,207.11 $4,433,603.77

UST0512 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 9/26/2014 ($367,045.94)

UST0512 ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 2/28/2018 $1,755,000.00 1,368,041

UST0347 11 S&T BANCORP, INC. INDIANA PA 1/16/2009 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in full; warrants not outstanding

UST0347 S&T BANCORP, INC. INDIANA PA 12/7/2011 $108,676,000.00 108,676 $1,000.00

UST0347 S&T BANCORP, INC. INDIANA PA 6/11/2013 $527,361.00 517,012

UST00338 SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A. WESTMINSTER CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,549,000.00 $0.00 $1,646,325.00 Redeemed, in full; warrants not outstanding

UST0033 SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A. WESTMINSTER CA 4/5/2017 $1,549,000.00 1,549 $1,000.00 $77,000.00 77

UST0366 44 SALISBURY BANCORP, INC. LAKEVILLE CT 3/13/2009 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in full; warrants not outstanding

UST0366 SALISBURY BANCORP, INC. LAKEVILLE CT 8/25/2011 $8,816,000.00 8,816 $1,000.00

UST0366 SALISBURY BANCORP, INC. LAKEVILLE CT 11/2/2011 $205,000.00 57,671

UST0089 11,44 SANDY SPRING BANCORP, INC. OLNEY MD 12/5/2008 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in full; warrants not outstanding

UST0089 SANDY SPRING BANCORP, INC. OLNEY MD 7/21/2010 $41,547,000.00 41,547 $1,000.00

UST0089 SANDY SPRING BANCORP, INC. OLNEY MD 12/15/2010 $41,547,000.00 41,547 $1,000.00

UST0089 SANDY SPRING BANCORP, INC. OLNEY MD 2/23/2011 $4,450,000.00 651,547

UST0540 8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 2/13/2009 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in full; warrants not outstanding

UST0540 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 3/8/2013 $2,465,029.00 2,900 $850.01 ($434,971.00) $98,251.45 145

UST0540 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 4/9/2013 ($25,000.00)

UST0168 SANTA LUCIA BANCORP ATASCADERO CA 12/19/2008 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in full; warrants not outstanding

UST0168 SANTA LUCIA BANCORP ATASCADERO CA 10/21/2011 $2,800,000.00 4,000 $700.00 ($1,200,000.00)

UST0151 8,14,44 SBT BANCORP, INC. SIMSBURY CT 3/27/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

UST0151 SBT BANCORP, INC. SIMSBURY CT 8/11/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0305 11 SCBT FINANCIAL CORPORATION COLUMBIA SC 1/16/2009 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in full; warrants not outstanding

UST0305 SCBT FINANCIAL CORPORATION COLUMBIA SC 5/20/2009 $64,779,000.00 64,779 $1,000.00

UST0305 SCBT FINANCIAL CORPORATION COLUMBIA SC 6/24/2009 $1,400,000.00 303,083

UST0175 SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 12/19/2008 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in full; warrants not outstanding

UST0175 SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 4/3/2012 $41,020,000.00 ($615,300.00) 2,000 $20,510.00 ($8,980,000.00)

UST0175 SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 5/30/2012 $55,000.00 589,623

UST0181 8,14,44 SEACOAST COMMERCE BANK CHULA VISTA CA 12/23/2008 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in full; warrants not outstanding

UST0181 SEACOAST COMMERCE BANK CHULA VISTA CA 9/1/2011 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

UST0474 8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 2/13/2009 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in full; warrants not outstanding

UST0474 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/10/2012 $174,537.72 252 $692.61 ($77,462.28)

UST0474 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 12/11/2012 $1,315,959.00 1,900 $692.61 ($584,041.00) $69,186.80 108

UST0474 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 1/11/2013 ($14,904.97)

UST0474 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 3/26/2013 ($10,095.03)

UST0143 8,14,44 SECURITY BUSINESS BANCORP SAN DIEGO CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in full; warrants not outstanding

UST0143 SECURITY BUSINESS BANCORP SAN DIEGO CA 7/14/2011 $5,803,000.00 5,803 $1,000.00 $290,000.00 290

27
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0107 8,14,44 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 1/9/2009 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in full; warrants not outstanding

UST0107 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9/15/2011 $6,815,000.00 6,815 $1,000.00 $341,000.00 341

UST1207 8,14,36,111 SECURITY CAPITAL CORPORATION BATESVILLE MS 6/26/2009 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in full; warrants not outstanding

UST1207 SECURITY CAPITAL CORPORATION BATESVILLE MS 9/29/2010 $17,388,000.00 17,388 $1,000.00 $522,000.00 522

UST0208 11,36 SECURITY FEDERAL CORPORATION AIKEN SC 12/19/2008 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in full; warrants not outstanding

UST0208 SECURITY FEDERAL CORPORATION AIKEN SC 9/29/2010 $18,000,000.00 18,000 $1,000.00

UST0208 SECURITY FEDERAL CORPORATION AIKEN SC 7/31/2013 $50,000.00 137,966

UST0763 8,14,44 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 2/20/2009 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in full; warrants not outstanding

UST0763 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 9/22/2011 $12,500,000.00 12,500 $1,000.00 $625,000.00 625

UST1055 14,15 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 5/1/2009 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in full; warrants not outstanding

UST1055 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 6/24/2013 $10,750,000.00 10,750,000 $1.17 $1,784,607.50 $720,368.55 538,000

UST1055 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 7/26/2013 ($125,346.08)

UST0071 SEVERN BANCORP, INC. ANNAPOLIS MD 11/21/2008 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $27,435,463.85 Sold, in full; warrants not outstanding

UST0071 SEVERN BANCORP, INC. ANNAPOLIS MD 9/25/2013 $23,367,267.70 23,393 $998.90 ($25,732.30)

UST0071 SEVERN BANCORP, INC. ANNAPOLIS MD 10/29/2013 ($233,672.68)

UST0071 SEVERN BANCORP, INC. ANNAPOLIS MD 12/20/2017 $520,000.00 556,976

UST0394 11 SHORE BANCSHARES, INC. EASTON MD 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in full; warrants not outstanding

UST0394 SHORE BANCSHARES, INC. EASTON MD 4/15/2009 $25,000,000.00 25,000 $1,000.00

UST0394 SHORE BANCSHARES, INC. EASTON MD 11/16/2011 $25,000.00 172,970

UST1148 11,14,15 SIGNATURE BANCSHARES, INC. DALLAS TX 6/26/2009 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in full; warrants not outstanding

UST1148 SIGNATURE BANCSHARES, INC. DALLAS TX 12/15/2010 $1,700,000.00 1,700,000 $1.00 $85,000.00 85,000

UST0104 11 SIGNATURE BANK NEW YORK NY 12/12/2008 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in full; warrants not outstanding

UST0104 SIGNATURE BANK NEW YORK NY 3/31/2009 $120,000,000.00 120,000 $1,000.00

UST0104 SIGNATURE BANK NEW YORK NY 3/16/2010 $11,150,939.74 595,829

UST0269 11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 1/16/2009 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in full; warrants not outstanding

UST0269 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 5/20/2009 $7,414,000.00 7,414 $1,000.00

UST0269 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 6/24/2009 $275,000.00 163,065

UST0425 8,32,97,132 SONOMA VALLEY BANCORP SONOMA CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $497,164.00 Currently Not Collectible

UST0425 SONOMA VALLEY BANCORP SONOMA CA 8/20/2010 ($8,653,000.00)

UST0144 8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in full; warrants not outstanding

UST0144 SOUND BANKING COMPANY MOREHEAD CITY NC 11/13/2012 $2,832,412.70 3,070 $922.61 ($237,587.30) $124,412.34 154

UST0144 SOUND BANKING COMPANY MOREHEAD CITY NC 1/11/2013 ($25,000.00)

UST0099 SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 12/5/2008 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in full; warrants not outstanding

UST0099 SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 9/30/2010 $130,179,218.75 130,179 $1,000.00 ($216,820,781.25) $400,000.00 10,106,796

UST1210 8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 7/17/2009 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in full; warrants not outstanding

UST1210 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/8/2013 $1,814,620.00 2,000 $907.31 ($185,380.00)

UST1210 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 3/11/2013 $9,889,679.00 10,900 $907.31 ($1,010,321.00) $588,264.19 645

UST1210 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 4/9/2013 ($117,042.99)

UST0490 9,11,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 1/16/2009 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in full; warrants not outstanding

UST0490 SOUTHERN BANCORP, INC. ARKADELPHIA AR 8/6/2010 $11,000,000.00 11,000 $1,000.00

UST0105 SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 12/5/2008 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in full; warrants not outstanding

UST0105 SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 10/1/2012 $42,750,000.00 42,750 $1,000.00

UST0701 SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 2/27/2009 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; warrants not outstanding

UST0701 SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/3/2012 $15,638,296.00 ($234,574.44) 17,299 $904.00 ($1,660,704.00)

UST0701 SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 7/25/2012 $1,100,000.00 399,970

UST1115 8,14,45 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 5/15/2009 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in full; warrants not outstanding

UST1115 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 9/8/2011 $4,862,000.00 4,862 $1,000.00 $243,000.00 243

UST0491 8,14,44 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in full; warrants not outstanding

UST0491 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 8/25/2011 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

UST0145 44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 12/5/2008 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $13,504,763.89 Redeemed, in full; warrants not outstanding

UST0145 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 7/21/2011 $9,550,000.00 9,550 $1,000.00

UST0145 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5/13/2015 $2,700,000.00 231,891

UST12218 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/12/2009 Preferred Stock w/ Exercised Warrants $2,760,000.00 $0.00 $3,202,464.28 Sold, in full; warrants not outstanding

UST1221 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 6/29/2015 $2,722,050.00 2,760 $986.25 ($37,950.00) $140,617.94 138

UST1221 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 8/6/2015 ($25,000.00)

UST0114 11 SOUTHWEST BANCORP, INC. STILLWATER OK 12/5/2008 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in full; warrants not outstanding

UST0114 SOUTHWEST BANCORP, INC. STILLWATER OK 8/8/2012 $70,000,000.00 70,000 $1,000.00

UST0114 SOUTHWEST BANCORP, INC. STILLWATER OK 5/29/2013 $2,287,197.00 703,753

UST0910 8,14,44 SOVEREIGN BANCSHARES, INC. DALLAS TX 3/13/2009 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in full; warrants not outstanding

UST0910 SOVEREIGN BANCSHARES, INC. DALLAS TX 9/22/2011 $18,215,000.00 18,215 $1,000.00 $911,000.00 911

UST10098 SPIRIT BANKCORP, INC. BRISTOW OK 3/27/2009 Preferred Stock w/ Exercised Warrants $30,000,000.00 $0.00 $11,803,691.75 Sold, in full; warrants not outstanding

UST1009 SPIRIT BANKCORP, INC. BRISTOW OK 10/21/2013 $9,000,000.00 30,000 $300.00 ($21,000,000.00) $631,941.75 1,500

UST1009 SPIRIT BANKCORP, INC. BRISTOW OK 1/6/2014 ($90,000.00)

UST07518 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 3/13/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $5,031,220.50 Redeemed, in full; warrants not outstanding

UST0751 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 1/10/2018 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

UST1114 8,14,74 STANDARD BANCSHARES, INC. HICKORY HILLS IL 4/24/2009 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in full; warrants not outstanding

UST1114 STANDARD BANCSHARES, INC. HICKORY HILLS IL 2/22/2013 $60,000,000.00 12,903,226 $4.65 $3,000,000.00

UST0146 11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/5/2008 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,514,919.19 Redeemed, in full; warrants not outstanding

UST0146 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 12/14/2011 $36,842,000.00 36,842 $1,000.00

UST0146 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5/27/2015 $100,566.69 488,847

UST0944 15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 9/4/2009 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in full; warrants not outstanding

UST0944 STATE BANK OF BARTLEY, THE BARTLEY NE 9/22/2011 $1,697,000.00 1,697,000 $1.00 $51,000.00 51,000

UST0477 8,11 STATE BANKSHARES, INC. FARGO ND 1/16/2009 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in full; warrants not outstanding

UST0477 STATE BANKSHARES, INC. FARGO ND 8/12/2009 $12,500,000.00 12,500 $1,000.00

UST0477 STATE BANKSHARES, INC. FARGO ND 6/29/2011 $37,500,000.00 37,500 $1,000.00 $2,500,000.00 250

UST0478 8,11,36 STATE CAPITAL CORP. GREENWOOD MS 2/13/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in full; warrants not outstanding

UST0478 STATE CAPITAL CORP. GREENWOOD MS 9/29/2010 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

UST0020 12,16 STATE STREET CORPORATION BOSTON MA 10/28/2008 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in full; warrants not outstanding

UST0020 STATE STREET CORPORATION BOSTON MA 6/17/2009 $2,000,000,000.00 20,000 $100,000.00

UST0020 STATE STREET CORPORATION BOSTON MA 7/8/2009 $60,000,000.00 2,788,104

UST0919 11,14,15 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 6/26/2009 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in full; warrants not outstanding

UST0919 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 1/18/2012 $24,900,000.00 24,900,000 $1.00 $1,245,000.00 1,245,000

UST1316 15,17,45 STEELE STREET BANK CORPORATION DENVER CO 9/25/2009 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in full; warrants not outstanding

UST1316 STEELE STREET BANK CORPORATION DENVER CO 9/1/2011 $11,019,000.00 11,019,000 $1.00 $331,000.00 331,000

UST0237 11 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, in full; warrants not outstanding

UST0237 STELLARONE CORPORATION CHARLOTTESVILLE VA 4/13/2011 $7,500,000.00 7,500 $1,000.00

UST0237 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/28/2011 $22,500,000.00 22,500 $1,000.00

UST0237 STELLARONE CORPORATION CHARLOTTESVILLE VA 12/18/2013 $2,920,000.00 302,623

UST0299 11 STERLING BANCORP NEW YORK NY 12/23/2008 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in full; warrants not outstanding

UST0299 STERLING BANCORP NEW YORK NY 4/27/2011 $42,000,000.00 42,000 $1,000.00

UST0299 STERLING BANCORP NEW YORK NY 5/18/2011 $945,775.00 516,817

UST0147 11 STERLING BANCSHARES, INC. HOUSTON TX 12/12/2008 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in full; warrants not outstanding

UST0147 STERLING BANCSHARES, INC. HOUSTON TX 5/5/2009 $125,198,000.00 125,198 $1,000.00

UST0147 STERLING BANCSHARES, INC. HOUSTON TX 6/15/2010 $2,857,914.52 2,615,557

UST0183 31 STERLING FINANCIAL CORPORATION SPOKANE WA 12/5/2008 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in full; warrants not outstanding

UST0183 STERLING FINANCIAL CORPORATION SPOKANE WA 8/20/2012 $114,772,740.00 ($1,434,659.25) 5,738,637 $20.00 ($188,227,260.00)

UST0183 STERLING FINANCIAL CORPORATION SPOKANE WA 9/19/2012 $825,000.00 97,541

UST0380 44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1/30/2009 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in full; warrants not outstanding

UST0380 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 9/1/2011 $10,000,000.00 10,000 $1,000.00

UST0380 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 10/26/2011 $107,398.00 133,475

UST0475 8,11,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 2/6/2009 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in full; warrants not outstanding

UST0475 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 1/12/2011 $4,000,000.00 4,000 $1,000.00

UST0475 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 3/16/2011 $11,568,000.00 11,568 $1,000.00 $778,000.00 778

UST0559 8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 1/23/2009 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in full; warrants not outstanding

UST0559 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/26/2013 $1,796,209.03 10,351 $173.53 ($8,554,790.97) $130,704.17 516

UST0559 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 3/27/2013 $107,935.66 622 $173.53 ($514,064.34) $8,358.99 33

UST0559 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 4/9/2013 ($25,000.00)

UST1289 15,123 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 6/19/2009 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $24,929,429.70 Redeemed, in full; warrants not outstanding

UST1289 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 7/16/2015 $15,000,000.00 15,000,000 $1.00 $750,000.00 750,000

UST0148 44 SUMMIT STATE BANK SANTA ROSA CA 12/19/2008 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in full; warrants not outstanding

UST0148 SUMMIT STATE BANK SANTA ROSA CA 8/4/2011 $8,500,000.00 8,500 $1,000.00

UST0148 SUMMIT STATE BANK SANTA ROSA CA 9/14/2011 $315,000.00 239,212

UST0188 11 SUN BANCORP, INC. VINELAND NJ 1/9/2009 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in full; warrants not outstanding

UST0188 SUN BANCORP, INC. VINELAND NJ 4/8/2009 $89,310,000.00 89,310 $1,000.00

UST0188 SUN BANCORP, INC. VINELAND NJ 5/27/2009 $2,100,000.00 1,620,545

UST0005 11 SUNTRUST BANKS, INC. ATLANTA GA 11/14/2008 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in full; warrants not outstanding

UST0005 SUNTRUST BANKS, INC. ATLANTA GA 12/31/2008 $1,350,000,000.00

UST0005 SUNTRUST BANKS, INC. ATLANTA GA 3/30/2011 $4,850,000,000.00 48,500 $100,000.00

UST0005 SUNTRUST BANKS, INC. ATLANTA GA 9/28/2011 $30,066,661.40 17,900,182

UST0112 24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 12/5/2008 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 Currently Not Collectible

UST0112 SUPERIOR BANCORP INC. BIRMINGHAM AL 4/15/2011 ($69,000,000.00)

UST0202 8,11,14 SURREY BANCORP MOUNT AIRY NC 1/9/2009 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in full; warrants not outstanding

UST0202 SURREY BANCORP MOUNT AIRY NC 12/29/2010 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

UST0095 11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/12/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in full; warrants not outstanding

UST0095 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 4/21/2010 $200,000,000.00 200,000 $1,000.00

UST0095 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12/22/2010 $100,000,000.00 100,000 $1,000.00

UST0095 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 1/19/2011 $5,269,179.36 3,028,264

UST1079 8,11,14 SV FINANCIAL, INC. STERLING IL 4/10/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in full; warrants not outstanding

UST1079 SV FINANCIAL, INC. STERLING IL 8/31/2011 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0087 12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12/12/2008 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in full; warrants not outstanding

28
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0087 SVB FINANCIAL GROUP SANTA CLARA CA 12/23/2009 $235,000,000.00 235,000 $1,000.00

UST0087 SVB FINANCIAL GROUP SANTA CLARA CA 6/16/2010 $6,820,000.00 354,058

UST1145 14,15,44 SWORD FINANCIAL CORPORATION HORICON WI 5/8/2009 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in full; warrants not outstanding

UST1145 SWORD FINANCIAL CORPORATION HORICON WI 9/15/2011 $13,644,000.00 13,644,000 $1.00 $682,000.00 682,000

UST0100 11,150 SYNOVUS FINANCIAL CORP. COLUMBUS GA 12/19/2008 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,191,019,526.39 Redeemed, in full; warrants not outstanding

UST0100 SYNOVUS FINANCIAL CORP. COLUMBUS GA 7/26/2013 $967,870,000.00 967,870 $1,000.00

UST0100 SYNOVUS FINANCIAL CORP. COLUMBUS GA 7/17/2018 $405,000.00 2,215,820

UST0395 8,103 SYRINGA BANCORP BOISE ID 1/16/2009 Preferred Stock w/ Exercised Warrants $8,000,000.00 $0.00 $253,122.22 Currently Not Collectible

UST0395 SYRINGA BANCORP BOISE ID 1/31/2014 ($8,000,000.00)

UST0083 TAYLOR CAPITAL GROUP ROSEMONT IL 11/21/2008 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in full; warrants not outstanding

UST0083 TAYLOR CAPITAL GROUP ROSEMONT IL 6/19/2012 $93,659,350.50 ($1,404,890.26) 104,823 $893.50 ($11,163,649.50)

UST0083 TAYLOR CAPITAL GROUP ROSEMONT IL 7/18/2012 $9,839,273.00 1,462,647

UST1314 15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 8/28/2009 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in full; warrants not outstanding

UST1314 TCB CORPORATION/COUNTY BANK GREENWOOD SC 9/8/2011 $9,720,000.00 9,720,000 $1.00 $292,000.00 292,000

UST0218 8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 1/16/2009 Preferred Stock w/ Exercised Warrants $11,730,000.00 $0.00 $690,832.08 Currently Not Collectible

UST0218 TCB HOLDING COMPANY THE WOODLANDS TX 12/13/2013 ($11,730,000.00)

UST0052 11 TCF FINANCIAL CORPORATION WAYZATA MN 11/14/2008 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in full; warrants not outstanding

UST0052 TCF FINANCIAL CORPORATION WAYZATA MN 4/22/2009 $361,172,000.00 361,172 $1,000.00

UST0052 TCF FINANCIAL CORPORATION WAYZATA MN 12/21/2009 $9,449,980.56 3,199,988

UST0213 8,11,14 TCNB FINANCIAL CORP DAYTON OH 12/23/2008 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in full; warrants not outstanding

UST0213 TCNB FINANCIAL CORP DAYTON OH 8/3/2011 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

UST0101 63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 12/19/2008 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 Currently Not Collectible

UST0101 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 1/27/2012 ($30,000,000.00)

UST0350 8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 12/23/2008 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in full; warrants not outstanding

UST0350 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/26/2013 $298,000.00 298 $1,022.11 $6,588.78 $19,218.87 20

UST0350 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 4/29/2013 $2,702,000.00 2,702 $1,022.11 $59,741.22 $124,922.63 130

UST0350 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 5/31/2013 ($25,000.00)

UST0373 11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 1/16/2009 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in full; warrants not outstanding

UST0373 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 5/13/2009 $75,000,000.00 75,000 $1,000.00

UST0373 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 3/17/2010 $6,559,066.21 758,086

UST0376 8,11,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 1/9/2009 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in full; warrants not outstanding

UST0376 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 5/19/2010 $3,981,000.00 3,981 $1,000.00 $199,000.00 199

UST0746 8,14,44 THE ANB CORPORATION TERRELL TX 8/7/2009 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in full; warrants not outstanding

UST0746 THE ANB CORPORATION TERRELL TX 8/25/2011 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

UST0149 12,16 THE BANCORP, INC. WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in full; warrants not outstanding

UST0149 THE BANCORP, INC. WILMINGTON DE 3/10/2010 $45,220,000.00 45,220 $1,000.00

UST0149 THE BANCORP, INC. WILMINGTON DE 9/8/2010 $4,753,984.55 980,203

UST06438 THE BANK OF CURRITUCK MOYOCK NC 2/6/2009 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in full; warrants not outstanding

UST0643 THE BANK OF CURRITUCK MOYOCK NC 12/3/2010 $1,742,850.00 4,021 $433.44 ($2,278,150.00)

UST0362 11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 2/13/2009 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in full; warrants not outstanding

UST0362 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 12/22/2010 $17,000,000.00 17,000 $1,000.00

UST0362 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 11/23/2011 $17,000,000.00 17,000 $1,000.00

UST0362 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 5/29/2013 $2,150,648.55 276,078

UST0443 8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 1/16/2009 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in full; warrants not outstanding

UST0443 THE BARABOO BANCORPORATION, INC. BARABOO WI 12/10/2012 $1,956,900.00 3,000 $652.30 ($1,043,100.00) $403,161.92 487

UST0443 THE BARABOO BANCORPORATION, INC. BARABOO WI 12/11/2012 $11,577,672.70 17,749 $652.30 ($6,171,327.30) $455,316.35 550

UST0443 THE BARABOO BANCORPORATION, INC. BARABOO WI 1/11/2013 ($135,345.73)

UST0163 THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 12/19/2008 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in full; warrants not outstanding

UST0163 THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 4/19/2012 $5,448,000.00 5,448 $1,000.00 $792,783.00 175,742

UST0293 44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 12/19/2008 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $11,795,867.07 Redeemed, in full; warrants not outstanding

UST0293 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 8/25/2011 $9,090,000.00 9,090 $1,000.00

UST0293 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 5/6/2015 $1,486,292.07 151,030

UST0186 11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 1/9/2009 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,722,063.78 Redeemed, in full; warrants not outstanding

UST0186 THE FIRST BANCORP, INC. DAMARISCOTTA ME 8/24/2011 $12,500,000.00 12,500 $1,000.00

UST0186 THE FIRST BANCORP, INC. DAMARISCOTTA ME 3/27/2013 $2,500,000.00 2,500 $1,000.00

UST0186 THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/8/2013 $10,000,000.00 10,000 $1,000.00

UST0186 THE FIRST BANCORP, INC. DAMARISCOTTA ME 5/28/2015 $389,077.67 226,819

UST0511 11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 2/6/2009 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,714,215.56 Redeemed, in full; warrants not outstanding

UST0511 THE FIRST BANCSHARES, INC. HATTIESBURG MS 9/29/2010 $5,000,000.00 5,000 $1,000.00

UST0511 THE FIRST BANCSHARES, INC. HATTIESBURG MS 5/13/2015 $302,410.00 54,705

UST0652 8,11,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 2/27/2009 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in full; warrants not outstanding

UST0652 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 4/14/2010 $731,000.00 731 $1,000.00 $37,000.00 37

UST0470 8,11,14 THE FREEPORT STATE BANK HARPER KS 2/6/2009 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in full; warrants not outstanding

UST0470 THE FREEPORT STATE BANK HARPER KS 12/19/2012 $301,000.00 301 $1,000.00 $15,000.00 15

UST0830 11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 6/26/2009 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in full; warrants not outstanding

UST0830 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 3/31/2010 $3,400,000,000.00 3,400,000 $1,000.00

UST0830 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 9/27/2010 $706,264,559.89 52,093,973

UST0896 8,14,44 THE LANDRUM COMPANY COLUMBIA MO 5/22/2009 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in full; warrants not outstanding

UST0896 THE LANDRUM COMPANY COLUMBIA MO 8/18/2011 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

UST0150 8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 12/23/2008 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in full; warrants not outstanding

UST0150 THE LITTLE BANK, INCORPORATED KINSTON NC 10/31/2012 $7,359,000.00 7,500 $981.20 ($141,000.00) $371,250.00 375

UST0150 THE LITTLE BANK, INCORPORATED KINSTON NC 1/11/2013 ($73,590.00)

UST0032 11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 12/31/2008 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in full; warrants not outstanding

UST0032 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 2/10/2010 $7,579,200,000.00 75,792 $100,000.00

UST0032 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5/5/2010 $320,372,284.16 16,885,192

UST0500 8,14,44 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 2/20/2009 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in full; warrants not outstanding

UST0500 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 9/1/2011 $5,450,000.00 5,450 $1,000.00 $273,000.00 273

UST0047 8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 1/9/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in full; warrants not outstanding

UST0047 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/8/2013 $244,225.00 250 $976.90 ($5,775.00) $4,806.455

UST0047 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 3/11/2013 $11,478,575.00 11,750 $976.90 ($271,425.00) $571,967.55 595

UST0047 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 4/9/2013 ($117,228.00)

UST0874 8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 2/27/2009 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in full; warrants not outstanding

UST0874 THE VICTORY BANCORP, INC. LIMERICK PA 12/11/2009 $1,505,000.00

UST0874 THE VICTORY BANCORP, INC. LIMERICK PA 9/22/2011 $2,046,000.00 2,046 $1,000.00 $61,000.00 61

UST0212 8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/23/2009 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in full; warrants not outstanding

UST0212 THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/8/2012 $1,165,528.32 1,312 $888.36 ($146,471.68)

UST0212 THREE SHORES BANCORPORATION, INC. ORLANDO FL 11/9/2012 $3,877,691.40 4,365 $888.36 ($487,308.60) $282,284.64 284

UST0212 THREE SHORES BANCORPORATION, INC. ORLANDO FL 1/11/2013 ($50,432.20)

UST0152 TIB FINANCIAL CORP NAPLES FL 12/5/2008 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in full; warrants not outstanding

UST0152 TIB FINANCIAL CORP NAPLES FL 9/30/2010 $12,119,637.37 12,120 $1,000.00 ($24,880,362.63) $40,000.00 1,106,389

UST0246 134 TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 12/19/2008 Preferred Stock w/ Warrants $14,448,000.00 $0.00 $10,180,200.33 Sold, in full; warrants not outstanding

UST0246 TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 7/1/2016 $8,984,227.00 14,448 $621.83 ($5,463,773.00)

UST0824 8,47,97 TIFTON BANKING COMPANY TIFTON GA 4/17/2009 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Exited bankruptcy/Receivership

UST0824 TIFTON BANKING COMPANY TIFTON GA 11/12/2010 ($3,800,000.00)

UST0365 TIMBERLAND BANCORP, INC. HOQUIAM WA 12/23/2008 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in full; warrants not outstanding

UST0365 TIMBERLAND BANCORP, INC. HOQUIAM WA 11/8/2012 $3,290,437.50 3,815 $862.50 ($524,562.50)

UST0365 TIMBERLAND BANCORP, INC. HOQUIAM WA 11/9/2012 $1,580,962.50 1,833 $862.50 ($252,037.50)

UST0365 TIMBERLAND BANCORP, INC. HOQUIAM WA 11/13/2012 $9,481,462.50 10,993 $862.50 ($1,511,537.50)

UST0365 TIMBERLAND BANCORP, INC. HOQUIAM WA 1/11/2013 ($143,528.63)

UST0365 TIMBERLAND BANCORP, INC. HOQUIAM WA 6/11/2013 $1,301,856.00 370,899

UST0906 8,11,14 TITONKA BANCSHARES, INC. TITONKA IA 4/3/2009 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in full; warrants not outstanding

UST0906 TITONKA BANCSHARES, INC. TITONKA IA 4/4/2012 $2,117,000.00 2,117 $1,000.00 $106,000.00 106

UST05828 TODD BANCSHARES, INC. HOPKINSVILLE KY 2/6/2009 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in full; warrants not outstanding

UST0582 TODD BANCSHARES, INC. HOPKINSVILLE KY 9/25/2013 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

UST0153 45 TOWNEBANK PORTSMOUTH VA 12/12/2008 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in full; warrants not outstanding

UST0153 TOWNEBANK PORTSMOUTH VA 9/22/2011 $76,458,000.00 76,458 $1,000.00

UST0153 TOWNEBANK PORTSMOUTH VA 5/15/2013 $1,500,000.00 554,330

UST05558 TREATY OAK BANCORP, INC. AUSTIN TX 1/16/2009 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $2,412,702.03 Sold, in full; warrants not outstanding

UST0555 TREATY OAK BANCORP, INC. AUSTIN TX 2/15/2011 $500,000.00 3,118 $160.36 ($2,618,000.00)

UST0555 TREATY OAK BANCORP, INC. AUSTIN TX 12/21/2012 $150,000.00 150,000 $1.00

UST0555 TREATY OAK BANCORP, INC. AUSTIN TX 8/6/2015 $1,570,287.00

UST0854 8,14,44 TRIAD BANCORP, INC. FRONTENAC MO 3/27/2009 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in full; warrants not outstanding

UST0854 TRIAD BANCORP, INC. FRONTENAC MO 9/22/2011 $3,700,000.00 3,700 $1,000.00 $185,000.00 185

UST0075 8,14,44 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 12/19/2008 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in full; warrants not outstanding

UST0075 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 9/22/2011 $15,540,000.00 15,540 $1,000.00 $777,000.00 777

UST0700 8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 3/27/2009 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in full; warrants not outstanding

UST0700 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/7/2012 $2,639,379.50 3,518 $750.25 ($878,620.50) $163,062.90 175

UST0700 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/9/2012 $7,038,845.50 9,382 $750.25 ($2,343,154.50) $1,300,776.05 1,396

UST0700 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 8/10/2012 $16,984,909.75 22,639 $750.25 ($5,654,090.25) $191,948.33 206

UST0700 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9/11/2012 ($266,631.35)

UST0610 8,9,11 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 4/3/2009 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in full; warrants not outstanding

UST0610 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 8/13/2010 $2,795,000.00 2,795 $1,000.00

UST0696 8,11 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 2/27/2009 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in full; warrants not outstanding

UST0696 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 9/26/2012 $23,000,000.00 23,000 $1,000.00 $1,150,000.00 1,150

UST0933 8,14,18 TRISUMMIT BANK KINGSPORT TN 4/3/2009 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in full; warrants not outstanding

UST0933 TRISUMMIT BANK KINGSPORT TN 12/22/2009 $4,237,000.00

UST0933 TRISUMMIT BANK KINGSPORT TN 11/29/2012 $5,251,500.00 7,002 $750.00 ($1,750,500.00) $124,665.75 138

UST0933 TRISUMMIT BANK KINGSPORT TN 1/11/2013 ($52,515.00)

UST0077 11 TRUSTMARK CORPORATION JACKSON MS 11/21/2008 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in full; warrants not outstanding

UST0077 TRUSTMARK CORPORATION JACKSON MS 12/9/2009 $215,000,000.00 215,000 $1,000.00

29
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0077 TRUSTMARK CORPORATION JACKSON MS 12/30/2009 $10,000,000.00 1,647,931

UST1236 8,14,44 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 5/29/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in full; warrants not outstanding

UST1236 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 9/1/2011 $12,000,000.00 12,000 $1,000.00 $600,000.00 60

UST0048 11 U.S. BANCORP MINNEAPOLIS MN 11/14/2008 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in full; warrants not outstanding

UST0048 U.S. BANCORP MINNEAPOLIS MN 6/17/2009 $6,599,000,000.00 6,599,000 $1,000.00

UST0048 U.S. BANCORP MINNEAPOLIS MN 7/15/2009 $139,000,000.00 32,679,102

UST0782 8,122 U.S. CENTURY BANK MIAMI FL 8/7/2009 Preferred Stock w/ Exercised Warrants $50,236,000.00 $0.00 $13,070,409.40 Sold, in full; warrants not outstanding

UST0782 U.S. CENTURY BANK MIAMI FL 3/17/2015 $11,738,143.76 50,236 $233.66 ($38,497,856.24) $586,953.92 2,512

UST0502 8,14,44 UBT BANCSHARES, INC. MARYSVILLE KS 1/30/2009 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in full; warrants not outstanding

UST0502 UBT BANCSHARES, INC. MARYSVILLE KS 8/11/2011 $8,950,000.00 8,950 $1,000.00 $450,000.00 45

UST0003 22,97,141 UCBH HOLDINGS INC. SAN FRANCISCO CA 11/14/2008 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,510,095.07 Currently Not Collectible

UST0003 UCBH HOLDINGS INC. SAN FRANCISCO CA 11/6/2009 ($298,737,000.00)

UST0014 12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 11/14/2008 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in full; warrants not outstanding

UST0014 UMPQUA HOLDINGS CORP. PORTLAND OR 2/17/2010 $214,181,000.00 214,181 $1,000.00

UST0014 UMPQUA HOLDINGS CORP. PORTLAND OR 3/31/2010 $4,500,000.00 1,110,898

UST1150 8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 5/1/2009 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in full; warrants not outstanding

UST1150 UNION BANK & TRUST COMPANY OXFORD NC 12/18/2009 $2,997,000.00

UST1150 UNION BANK & TRUST COMPANY OXFORD NC 9/22/2011 $6,191,000.00 6,191 $1,000.00 $160,000.00 160

UST1350 8,11,17 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 12/29/2009 Preferred Stock w/ Exercised Warrants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, in full; warrants not outstanding

UST1350 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 7/25/2012 $600,000.00 600 $1,000.00

UST1350 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 10/2/2013 $1,579,000.00 1,579 $1,000.00 $65,000.00 65

UST0238 12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/19/2008 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in full; warrants not outstanding

UST0238 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 11/18/2009 $59,000,000.00 59,000 $1,000.00

UST0238 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 12/23/2009 $450,000.00 211,318

UST06648 UNITED AMERICAN BANK SAN MATEO CA 2/20/2009 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $3,432,657.85 Sold, in full; warrants not outstanding

UST0664 UNITED AMERICAN BANK SAN MATEO CA 7/2/2014 $3,319,050.00 8,700 $381.50 ($5,380,950.00) $138,607.85 435

UST0664 UNITED AMERICAN BANK SAN MATEO CA 9/26/2014 ($25,000.00)

UST0448 UNITED BANCORP, INC. TECUMSEH MI 1/16/2009 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in full; warrants not outstanding

UST0448 UNITED BANCORP, INC. TECUMSEH MI 6/19/2012 $17,005,300.00 ($255,079.50) 20,600 $825.50 ($3,594,700.00)

UST0448 UNITED BANCORP, INC. TECUMSEH MI 7/18/2012 $38,000.00 311,492

UST0272 11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 12/23/2008 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,182,763.89 Redeemed, in full; warrants not outstanding

UST0272 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 9/3/2010 $10,300,000.00 10,300 $1,000.00

UST0272 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 5/13/2015 $10,125.00 111,258

UST1111 11,14,15 UNITED BANK CORPORATION BARNESVILLE GA 5/22/2009 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in full; warrants not outstanding

UST1111 UNITED BANK CORPORATION BARNESVILLE GA 7/3/2012 $14,400,000.00 14,400,000 $1.00 $720,000.00 720,000

UST0059 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 12/5/2008 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in full; warrants not outstanding

UST0059 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/26/2013 $1,516,900.00 1,576 $962.50 ($59,100.00)

UST0059 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/27/2013 $12,587,575.00 13,078 $962.50 ($490,425.00)

UST0059 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 3/28/2013 $159,145,525.00 165,346 $962.50 ($6,200,475.00)

UST0059 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 4/9/2013 ($1,732,500.00)

UST0059 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 6/10/2013 $6,677.00 219,908

UST0426 8,11,44 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 1/16/2009 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in full; warrants not outstanding

UST0426 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 12/15/2010 $3,000,000.00 3,000 $1,000.00

UST0426 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 9/15/2011 $2,658,000.00 2,658 $1,000.00 $283,000.00 283

UST0154 11 UNITY BANCORP, INC. CLINTON NJ 12/5/2008 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in full; warrants not outstanding

UST0154 UNITY BANCORP, INC. CLINTON NJ 5/15/2013 $10,324,000.00 10,324 $1,000.00

UST0154 UNITY BANCORP, INC. CLINTON NJ 7/3/2013 $10,325,000.00 10,325 $1,000.00

UST0154 UNITY BANCORP, INC. CLINTON NJ 8/28/2013 $2,707,314.00 764,778

UST11978 UNIVERSAL BANCORP BLOOMFIELD IN 5/22/2009 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in full; warrants not outstanding

UST1197 UNIVERSAL BANCORP BLOOMFIELD IN 8/8/2013 $237,527.50 250 $950.11 ($12,472.50)

UST1197 UNIVERSAL BANCORP BLOOMFIELD IN 8/12/2013 $9,168,561.50 9,650 $950.11 ($481,438.50) $476,573.62 495

UST1197 UNIVERSAL BANCORP BLOOMFIELD IN 9/12/2013 ($94,060.89)

UST1267 9,11,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 6/19/2009 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in full; warrants not outstanding

UST1267 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 7/30/2010 $11,926,000.00 11,926,000 $1.00

UST04998 US METRO BANK GARDEN GROVE CA 2/6/2009 Preferred Stock w/ Exercised Warrants $2,861,000.00 $0.00 $3,465,216.00 Redeemed, in full; warrants not outstanding

UST0499 US METRO BANK GARDEN GROVE CA 3/23/2016 $2,861,000.00 2,861 $1,000.00 $143,000.00 143

UST0129 8,11 UWHARRIE CAPITAL CORP ALBEMARLE NC 12/23/2008 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, in full; warrants not outstanding

UST0129 UWHARRIE CAPITAL CORP ALBEMARLE NC 4/3/2013 $7,742,000.00 7,742 $1,000.00

UST0129 UWHARRIE CAPITAL CORP ALBEMARLE NC 10/16/2013 $2,258,000.00 2,258 $1,000.00 $500,000.00 500

UST0333 8,11,14 VALLEY COMMERCE BANCORP VISALIA CA 1/30/2009 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in full; warrants not outstanding

UST0333 VALLEY COMMERCE BANCORP VISALIA CA 3/21/2012 $7,700,000.00 7,700 $1,000.00 $385,000.00 385

UST02548 VALLEY COMMUNITY BANK PLEASANTON CA 1/9/2009 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $2,947,090.75 Sold, in full; warrants not outstanding

UST0254 VALLEY COMMUNITY BANK PLEASANTON CA 10/21/2013 $2,296,800.00 5,500 $417.60 ($3,203,200.00) $45,815.25 275

UST0254 VALLEY COMMUNITY BANK PLEASANTON CA 1/6/2014 ($25,000.00)

UST0169 11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12/12/2008 Preferred Stock w/ Warrants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, in full; warrants not outstanding

UST0169 VALLEY FINANCIAL CORPORATION ROANOKE VA 11/14/2012 $1,600,000.00 1,600 $1,000.00

UST0169 VALLEY FINANCIAL CORPORATION ROANOKE VA 2/20/2013 $1,600,000.00 1,600 $1,000.00

UST0169 VALLEY FINANCIAL CORPORATION ROANOKE VA 5/15/2013 $1,600,000.00 1,600 $1,000.00

UST0169 VALLEY FINANCIAL CORPORATION ROANOKE VA 8/14/2013 $1,600,000.00 1,600 $1,000.00

UST0169 VALLEY FINANCIAL CORPORATION ROANOKE VA 10/16/2013 $9,619,000.00 9,619 $1,000.00

UST0169 VALLEY FINANCIAL CORPORATION ROANOKE VA 11/13/2013 $1,547,891.58 344,742

UST1310 8,14,44 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 12/18/2009 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in full; warrants not outstanding

UST1310 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 9/22/2011 $1,300,000.00 1,300 $1,000.00 $65,000.00 65

UST0034 11 VALLEY NATIONAL BANCORP WAYNE NJ 11/14/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in full; warrants not outstanding

UST0034 VALLEY NATIONAL BANCORP WAYNE NJ 6/3/2009 $75,000,000.00 75,000 $1,000.00

UST0034 VALLEY NATIONAL BANCORP WAYNE NJ 9/23/2009 $125,000,000.00 125,000 $1,000.00

UST0034 VALLEY NATIONAL BANCORP WAYNE NJ 12/23/2009 $100,000,000.00 100,000 $1,000.00

UST0034 VALLEY NATIONAL BANCORP WAYNE NJ 5/24/2010 $5,421,615.27 2,532,542

UST0571 8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 6/26/2009 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in full; warrants not outstanding

UST0571 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 8/25/2011 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

UST1137 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 5/1/2009 Preferred Stock w/ Warrants $14,738,000.00 $0.00 $6,933,870.05 Sold, in full; warrants not outstanding

UST1137 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 11/19/2013 $5,672,361.44 14,738 $384.88 ($9,065,638.56)

UST1137 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1/6/2014 ($56,723.61)

UST0221 11 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/12/2008 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $118,453,138.89 Redeemed, in full; warrants not outstanding

UST0221 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12/11/2012 $71,000,000.00 71,000 $1,000.00

UST0221 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 1/31/2014 $33,263,000.00 2,696,203

UST1231 8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 6/12/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in full; warrants not outstanding

UST1231 VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/8/2013 $325,353.86 533 $610.42 ($207,646.14)

UST1231 VIRGINIA COMPANY BANK NEWPORT NEWS VA 8/12/2013 $2,543,620.14 4,167 $610.42 ($1,623,379.86) $63,481.25 143

UST1231 VIRGINIA COMPANY BANK NEWPORT NEWS VA 9/12/2013 ($25,000.00)

UST0732 8,11,14 VISION BANK - TEXAS RICHARDSON TX 4/24/2009 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in full; warrants not outstanding

UST0732 VISION BANK - TEXAS RICHARDSON TX 12/28/2012 $787,500.00 788 $1,000.00

UST0732 VISION BANK - TEXAS RICHARDSON TX 7/10/2013 $712,500.00 713 $1,000.00 $75,000.00 75

UST0155 VIST FINANCIAL CORP. WYOMISSING PA 12/19/2008 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in full; warrants not outstanding

UST0155 VIST FINANCIAL CORP. WYOMISSING PA 8/1/2012 $25,000,000.00 25,000 $1,000.00 $1,189,813.00 367,984

UST0513 8,14,45 W.T.B. FINANCIAL CORPORATION SPOKANE WA 1/30/2009 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in full; warrants not outstanding

UST0513 W.T.B. FINANCIAL CORPORATION SPOKANE WA 9/15/2011 $110,000,000.00 110,000 $1,000.00 $5,500,000.00 5,500

UST1345 8,11,17 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 12/11/2009 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,731,826.23 Redeemed, in full; warrants not outstanding

UST1345 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/4/2012 $3,000,000.00 3,000 $1,000.00

UST1345 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 1/30/2013 $4,000,000.00 4,000 $1,000.00

UST1345 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4/23/2014 $5,000,000.00 5,000 $1,000.00 $478,000.00 478

UST0156 11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/19/2008 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in full; warrants not outstanding

UST0156 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 11/24/2009 $22,000,000.00 22,000 $1,000.00

UST0156 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 12/16/2009 $568,700.00 390,071

UST0157 11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 1/16/2009 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in full; warrants not outstanding

UST0157 WASHINGTON BANKING COMPANY OAK HARBOR WA 1/12/2011 $26,380,000.00 26,380 $1,000.00

UST0157 WASHINGTON BANKING COMPANY OAK HARBOR WA 3/2/2011 $1,625,000.00 246,082

UST0011 11 WASHINGTON FEDERAL, INC. SEATTLE WA 11/14/2008 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in full; warrants not outstanding

UST0011 WASHINGTON FEDERAL, INC. SEATTLE WA 5/27/2009 $200,000,000.00 200,000 $1,000.00

UST0011 WASHINGTON FEDERAL, INC. SEATTLE WA 3/15/2010 $15,388,874.07 1,707,456

UST0554 8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 1/30/2009 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in full; warrants not outstanding

UST0554 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 10/30/2009 $6,842,000.00

UST0554 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 8/4/2011 $13,475,000.00 13,475 $1,000.00 $332,000.00 332

UST1169 8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 6/26/2009 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in full; warrants not outstanding

UST1169 WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/6/2013 $4,831,002.80 5,212 $926.90 ($380,997.20) $18,644.66 19

UST1169 WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/7/2013 $92,690.00 100 $926.90 ($7,310.00) $147,194.69 150

UST1169 WAUKESHA BANKSHARES, INC. WAUKESHA WI 2/8/2013 $290,119.70 313 $926.90 ($22,880.30)

UST1169 WAUKESHA BANKSHARES, INC. WAUKESHA WI 3/26/2013 ($52,138.13)

UST0050 11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 11/21/2008 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in full; warrants not outstanding

UST0050 WEBSTER FINANCIAL CORPORATION WATERBURY CT 3/3/2010 $100,000,000.00 100,000 $1,000.00

UST0050 WEBSTER FINANCIAL CORPORATION WATERBURY CT 10/13/2010 $100,000,000.00 100,000 $1,000.00

UST0050 WEBSTER FINANCIAL CORPORATION WATERBURY CT 12/29/2010 $200,000,000.00 200,000 $1,000.00

UST0050 WEBSTER FINANCIAL CORPORATION WATERBURY CT 6/8/2011 $20,388,842.06 3,282,276

UST0036 11 WELLS FARGO & CO. MINNEAPOLIS MN 10/28/2008 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in full; warrants not outstanding

UST0036 WELLS FARGO & CO. MINNEAPOLIS MN 12/23/2009 $25,000,000,000.00 25,000 $1,000,000.00

UST0036 WELLS FARGO & CO. MINNEAPOLIS MN 5/26/2010 $840,374,891.73 110,261,688

UST0068 11 WESBANCO, INC. WHEELING WV 12/5/2008 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in full; warrants not outstanding

UST0068 WESBANCO, INC. WHEELING WV 9/9/2009 $75,000,000.00 75,000 $1,000.00

UST0068 WESBANCO, INC. WHEELING WV 12/23/2009 $950,000.00 439,282

UST0270 11 WEST BANCORPORATION, INC. WEST DES MOINES IA 12/31/2008 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in full; warrants not outstanding

30
UST0885 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 9/18/2012 $280,115.76 344 $814.29 ($63,884.24)

UST0270 WEST BANCORPORATION, INC. WEST DES MOINES IA 6/29/2011 $36,000,000.00 36,000 $1,000.00

UST0270 WEST BANCORPORATION, INC. WEST DES MOINES IA 8/31/2011 $700,000.00 474,100

UST0320 11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 2/13/2009 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in full; warrants not outstanding

UST0320 WESTAMERICA BANCORPORATION SAN RAFAEL CA 9/2/2009 $41,863,000.00 41,863 $1,000.00

UST0320 WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/18/2009 $41,863,000.00 41,863 $1,000.00

UST0320 WESTAMERICA BANCORPORATION SAN RAFAEL CA 11/21/2011 $878,256.00 246,698

UST0044 44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/21/2008 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in full; warrants not outstanding

UST0044 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 9/27/2011 $140,000,000.00 140,000 $1,000.00

UST0044 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 11/23/2011 $415,000.00 787,107

UST0280 8,117 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 12/23/2008 Preferred Stock w/ Exercised Warrants $7,290,000.00 $0.00 $554,083.00 Currently Not Collectible

UST0280 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 11/7/2014 ($7,290,000.00)

UST0006 8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/23/2008 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in full; warrants not outstanding

UST0006 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 12/29/2009 $4,567,000.00

UST0006 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/8/2012 $1,050,524.72 1,117 $940.49 ($66,475.28)

UST0006 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11/9/2012 $9,673,015.37 10,305 $938.67 ($631,984.63) $335,417.06 343

UST0006 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 1/11/2013 ($107,235.41)

UST0949 8,11,78 WESTERN RESERVE BANCORP, INC. MEDINA OH 5/15/2009 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in full; warrants not outstanding

UST0949 WESTERN RESERVE BANCORP, INC. MEDINA OH 11/30/2012 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

UST06608 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 2/20/2009 Preferred Stock w/ Exercised Warrants $16,800,000.00 $0.00 $20,275,427.10 Sold, in full; warrants not outstanding

UST0660 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/1/2014 $1,300,000.00 1,300 $1,063.21 $82,173.00

UST0660 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 7/2/2014 $15,500,000.00 15,500 $1,063.21 $979,755.00 $1,002,535.38 840

UST0660 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 9/26/2014 ($178,619.28)

UST0161 WHITNEY HOLDING CORPORATION NEW ORLEANS LA 12/19/2008 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in full; warrants not outstanding

UST0161 WHITNEY HOLDING CORPORATION NEW ORLEANS LA 6/3/2011 $300,000,000.00 300,000 $1,000.00 $6,900,000.00 2,631,579

UST0094 11 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 12/12/2008 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, in full; warrants not outstanding

UST0094 WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION WILMINGTON DE 5/13/2011 $330,000,000.00 330,000 $1,000.00

UST0158 WILSHIRE BANCORP, INC. LOS ANGELES CA 12/12/2008 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in full; warrants not outstanding

UST0158 WILSHIRE BANCORP, INC. LOS ANGELES CA 4/3/2012 $58,646,694.58 ($879,700.42) 62,158 $943.51 ($3,511,305.42)

UST0158 WILSHIRE BANCORP, INC. LOS ANGELES CA 6/20/2012 $760,000.00 949,460

UST0222 11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/19/2008 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in full; warrants not outstanding

UST0222 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 12/22/2010 $250,000,000.00 250,000 $1,000.00

UST0222 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 2/14/2011 $25,600,564.15 1,643,295

UST0986 8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 5/15/2009 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in full; warrants not outstanding

UST0986 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 6/24/2013 $2,343,851.20 2,720 $861.71 ($376,148.80) $90,940.00 136

UST0986 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 7/26/2013 ($24,999.99)

UST0514 WSFS FINANCIAL CORPORATION WILMINGTON DE 1/23/2009 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in full; warrants not outstanding

UST0514 WSFS FINANCIAL CORPORATION WILMINGTON DE 4/3/2012 $48,157,663.75 ($722,364.96) 52,625 $915.11 ($4,467,336.25)

UST0514 WSFS FINANCIAL CORPORATION WILMINGTON DE 9/12/2012 $1,800,000.00 175,105

UST0391 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 1/16/2009 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in full; warrants not outstanding

UST0391 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 7/24/2009 $13,312,000.00

UST0391 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 9/18/2012 $44,149,056.00 ($662,235.84) 49,312 $895.30 ($5,162,944.00)

UST0391 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/10/2013 $55,677.00 91,178

UST0391 YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION ELKIN NC 6/11/2013 $20,000.00 128,663

UST1120 8,14,45 YORK TRADITIONS BANK YORK PA 4/24/2009 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in full; warrants not outstanding

UST1120 YORK TRADITIONS BANK YORK PA 7/14/2011 $4,871,000.00 4,871 $1,000.00 $244,000.00 244

UST0037 11 ZIONS BANCORPORATION SALT LAKE CITY UT 11/14/2008 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in full; warrants not outstanding

UST0037 ZIONS BANCORPORATION SALT LAKE CITY UT 3/28/2012 $700,000,000.00 700,000 $1,000.00

UST0037 ZIONS BANCORPORATION SALT LAKE CITY UT 9/26/2012 $700,000,000.00 700,000 $1,000.00

UST0037 ZIONS BANCORPORATION SALT LAKE CITY UT 12/5/2012 $7,666,418.51 5,789,909

TOTALS $204,894,726,320.00 $17,371,193.11 $226,776,593,579.33 $199,671,087,294.36 ($38,027,858.19) ($5,206,267,832.66) $6,919,736,371.86 $8,070,112,497.60

31
Footnote Footnote Description

1 All pricing is at par.

2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).

3 Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.

4 Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000 (per 

issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid approximately one 

month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the "Gain" 

column. Note that "(Fee)" is a negative number.

6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that 

settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on 1/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net 

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010 appear 

on a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 

million or less.

10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

12 Redemption pursuant to a qualified equity offering.

13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.

16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.

17 This institution participated in the expansion of CPP for small banks.

18 This institution received an additional investment through the expansion of CPP for small banks.

19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. 

On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred Stock, Series H (CPP 

Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M 

Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692 shares of common stock and the 

associated warrant terminated on receipt of certain shareholder approvals.

20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, 

administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.

21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank 

holding companies. The institution in which Treasury's original investment was made is shown in parentheses.

22 As of the date of this report, this institution is in bankruptcy proceedings.

32
Footnote Footnote Description

23 On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by 

contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior 

Capital Trust II, administrative trustee for Superior Bancorp.

25 On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market 

on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original investment.

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was 

extinguished.

27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the conditions 

related to its capital plan, the MCP may be converted to common stock.

28 On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from 

a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.

29 On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), 

which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. On 7/26/13, Treasury entered into a securities 

purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions specified in such 

agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the 

preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave Morgan Stanley & Co. 

Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the 

period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26, 2010, Treasury again gave Morgan 

Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 

30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary 

authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on 

completion of the sale). Completion of the sale under this authority occurred on September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan 

Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on 

December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, 

Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following 

page for the actual number of shares sold by Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred 

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion conditions set forth in 

the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 

shares of common stock.

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by 

First Merchants Capital Trust III.

33
Footnote Footnote Description

34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion of the 

conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury 

received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors meetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific 

Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of capitalized previously 

accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was 

converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital common stock. 

Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive 

$46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an 

investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.

37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. 

Therefore this disposition amount does not represent cash proceeds to Treasury.

38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred 

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the conversion conditions set forth 

in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to 

Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 

5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the 

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the 

acquiror entered into on 3/23/2011.

42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC 

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc., which is 

equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among 

Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation 

("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, 

pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.

44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the 

Small Business Lending Fund.

45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection 

with the institution’s participation in the Small Business Lending Fund.

34
Footnote Footnote Description

46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the 

Federal Deposit Insurance Corporation (FDIC) was named Receiver.

47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance 

Corporation (FDIC) was named Receiver.

50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit 

Insurance Corporation (FDIC) was named Receiver.

51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common 

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the 

acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement 

among Treasury, the acquired company and the acquiror entered into on 9/16/2011.

55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending 

Fund, which occurred at a later date.

57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of 

Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant 

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation 

were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN Bancorp, Inc. 

entered into on 11/30/2011.

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) 

for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of the agreement 

between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was 

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount 

together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by Regents.

35
Footnote Footnote Description

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial 

Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the 

Federal Deposit Insurance Corporation (FDIC) as receiver.

65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is 

subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and 

exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, 

the acquired company and the acquiror entered into on 7/19/2012.

68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal 

Deposit Insurance Corporation (FDIC) as receiver.

69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to 

Pinnacle at a discount subject to the satisfaction of the conditions specified in the agreement.

70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as 

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which 

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of 

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement agency 

agreement executed on 10/23/2012.

73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.

74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with 

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with W 

Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the 

Federal Deposit Insurance Corporation (FDIC) was named Receiver.

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a 

discount subject to the satisfaction of the conditions specified in the agreement.

77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had 

been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant, 

pursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.

78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B 

preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant 

to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.

80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck Bancshares, 

Inc. (“Starbuck”) entered into on 12/11/2012.

36
Footnote Footnote Description

81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all 

of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community Financial 

warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00 

per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement 

agency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark 

Corporation (“Trustmark”) entered into on 02/11/2013.

84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of the 

agreement between Treasury and FBG entered into on 2/12/13.

85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97 

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury 

exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.

86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013, 

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers 

party thereto.

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold such 

shares of common stock on 3/19/2013.

89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like amount 

of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc. entered into on 

4/1/2013.

90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. Corporation, 

pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was 

named Receiver.

92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.

93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury agreed 

to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to 

implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its 

terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On 

9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.

37
Footnote Footnote Description

96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation preference 

of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to common stock 

upon the receipt of certain shareholder approvals.

97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference 

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website: 

http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Monthly-Report-to-Congress.aspx.

98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury's CPP warrant and $6,785,000 of preferred stock for common 

stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the CPP 

warrant and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of 11/15/2013.

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of the 

Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia 

corporation (CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant to 

the terms of an agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.

102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to which 

Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on 12/31/2013.

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been issued to 

Treasury by Alaska Pacific Bancshares, Inc.

105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to 

BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.

106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to securities 

purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.

107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to which 

Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on 4/30/2014.

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 11/25/2014, the bankruptcy court for the District of Idaho confirmed 

Idaho Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 and $3,522.87, respectively, from Idaho Bancorp (after 

payment to the Department of Justice of a 3% litigation fee).

109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of 

4/29/2014, with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase 

agreements, each dated as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P., Endeavour 

Regional Bank Opportunities Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.

110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.

38
Footnote Footnote Description

111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant to 

which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.

112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the Bank 

of New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from BNYM to 

Treasury on 7/1/2014.

113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell its 

Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to the 

satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.

114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement, dated 

as of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements dated as of 

10/16/2014.

115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community 

Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.

116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on 

Friday, 10/17/2014.

117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday, 

11/7/2014.

118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time 

during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.

119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of 

November 25, 2014.

120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers & 

Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers & 

Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.

121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time 

during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.

122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of $12.3 million, pursuant to a securities purchase agreement dated as 

of March 17, 2015.

123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which Treasury agreed to sell its CPP senior subordinated securities to 

Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specified in such agreement. This transaction was in conjunction with a 

merger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.

124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the 

Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 8/7/2015.

125 On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for 

an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.

126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connection with a merger pursuant to which Treasury agreed to sell its 

Patapsco Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus (ii) all accrued and unpaid dividends, subject to the 

satisfaction of the conditions specified in the agreement. The sale was completed on 8/28/2015.

39
Footnote Footnote Description

127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which Treasury agreed to sell all of its CPP preferred stock issued by 

Goldwater Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreement. The sale was completed on 9/21/2015.

128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement 

of the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid dividends through June 30, 2015. As part of the exchange 

transaction, Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements, each dated as of 

10/2/2015, with the purchaser parties thereto.

129 On 11/13/2015, Treasury received $3.88 million from the Department of Justice as a payment related to the United States’ $4.00 million False Claims Act action against the estate and 

trusts of the late Layton P. Stuart, former owner, president, and Chief Executive Officer of One Financial Corporation.

130 On 12/23/2015, Treasury completed the exchange of its CalWest Bancorp preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same 

date with CalWest Bancorp. As part of that transaction, Treasury immediately sold the resulting CalWest Bancorp common stock to purchasers pursuant to securities purchase 

agreements, each dated as of 12/23/2015, with the purchaser parties thereto.

131 On 2/29/2016, Treasury entered into an agreement with HCSB (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a discount 

subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 4/11/2016.

132 Sonoma Valley Bancorp was liquidated and dissolved pursuant to the provision of the California Corporations Code. As part of that liquidation and dissolution, UST received a distribution 

of $150,000 from Sonoma Valley Bancorp on 6/15/2016.

133 On 6/30/2016, Treasury completed the exchange of its Liberty Shares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same 

date with Liberty Shares, Inc. As part of that transaction, Treasury immediately sold the resulting Liberty Shares, Inc. common stock to purchasers pursuant to securities purchase 

agreements, each dated as of 6/30/2016, with the purchaser parties thereto.

134 On 7/1/2016, Treasury completed the sale to United Community Banks, Inc. (UCBI) of all of its CPP preferred stock and associated warrants issued by Tidelands Bancshares, Inc. 

(Tidelands) to UCBI for total proceeds of $8,984,227 subject to the satisfaction of conditions specified in the agreement. This transaction was in conjunction with a merger between 

Tidelands and UCBI.

135 On 6/28/2016, the United States completed a settlement of several lawsuits related to Treasury’s investment in One Financial Corporation (OFC). As a result of that settlement, it received 

344,227 shares of OFC common stock on 6/23/2016.

136 On 12/21/2016, Treasury entered into an agreement with Broadway Financial Corporation, First Republic Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust, pursuant to 

which Treasury agreed to sell part of its CPP common stock to the three entities for total proceeds of $7,477,547.40 subject to the satisfaction of conditions specified in the agreement. The 

transaction was completed on December 22, 2016.

137 On 12/28/2016, Treasury entered into an agreement with Allied First Bancorp (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a 

discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/28/2016.

138 On 2/28/2017, Treasury completed the exchange of its Citizens Commerce Bancshares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange 

agreement of the same date with Citizens Commerce Bancshares, Inc. As part of that transaction, Treasury immediately sold the resulting Citizens Commerce Bancshares, Inc. common 

stock to purchasers pursuant to securities purchase agreements, each dated as of 2/28/2017, with the purchaser parties thereto.

139 On 5/8/2017, Treasury obtained 344,577 shares of One Bank & Trust common shares in an Execution Sale conducted by the United States Marshal’s Service.

140 On 5/15/2017, Treasury sold 10,291,553 shares of First BanCorp common stock at $5.61 per share for total proceeds of $57,735,612.

141 On 5/31/17, Treasury received a court ordered $100.00 restitution check from a former executive of United Commercial Bank.

142 On 6/28/2017, Treasury entered into agreements with Broadway Financial Corporation, Pacific Western Bank and Community Bank, pursuant to which Treasury agreed to sell part of its 

CPP common stock to Pacific Western Bank and Community Bank for total proceeds of $3,480,975 subject to the satisfaction of conditions specified in the agreement. The transaction 

was completed on 6/29/2017.

143 On 6/30/2017, Cecil Bancorp, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Maryland (Baltimore).

40
Footnote Footnote Description

144 On 9/7/2017, Treasury completed the exchange of its Grand Mountain Bancshares, Inc. preferred stock for common stock pursuant to an exchange agreement of the same date with Grand 

Mountain Bancshares, Inc.. As part of that transaction, Treasury immediately sold the resulting Grand Mountain Bancshares, Inc. common stock to purchasers pursuant to securities 

purchase agreements, each dated as of 9/7/2017, with the purchaser parties thereto.

145 On 9/21/2017, Treasury entered into agreements with Broadway Financial Corporation and Pacific Premier Bank, pursuant to which Treasury agreed to sell part of its CPP common stock to 

Pacific Premier Bank for total proceeds of $1,877,894.30 subject to the satisfaction of conditions specified in the agreement. The transaction was completed on 9/21/2017.

146 Pursuant to the 10/11/2017 Confirmation Order of the United States Bankruptcy Court for the District of Maryland, on 10/26/2017 Treasury completed the exchange of its Cecil Bancorp, 

Inc. (Cecil) preferred stock for common stock pursuant to an exchange agreement of the same date with Cecil. As part of that transaction, Treasury immediately (i) sold the resulting Cecil 

common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/26/2017, with the purchaser parties thereto and (ii) cancelled Treasury’s warrant.

147 On 5/17/2018, Treasury exercised its warrant on a cashless basis and received (i) 730,571 shares of common stock and (ii) $6.58 in cash in lieu of fractional shares. Treasury sold such 

shares of common stock on 5/21/2018 for total proceeds of $5,702,106.66.

148 On 5/22/2018, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to 

the Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 5/22/2018.

149 On 7/13/2018, Treasury exchanged its preferred stock in Harbor Bankshares Corporation (“Harbor”) and all accrued, unpaid dividends on that stock for 5,491,843 shares of common stock 

and payment of $2,272,617 pursuant to the terms of the exchange agreement between Treasury and Harbor entered into on that day.

150 On 07/16/2018, Treasury entered into an agreement with CSS, LLC (CSS) pursuant to which Treasury agreed to sell its warrant in Synovus Financial Corp. to CSS subject to the 

satisfaction of the conditions specified in the agreement. The sale was completed on 07/17/2018.

151 On 7/31/2018, Treasury entered into an agreement with One Bank & Trust, N.A. and First Paragould Bankshares, Inc., pursuant to which Treasury agreed to sell its 344,577 shares of CPP 

common stock in One Bank & Trust, N.A. to First Paragould Bankshares, Inc. for total proceeds of $3,515,448.62 subject to the satisfaction of conditions specified in the agreement. The 

transaction was completed on 7/31/2018. 

152 On 8/15/18, Treasury determined that its securities holdings in One Financial Corporation (OFC) were worthless because OFC is defunct, cannot be located, and has no assets. OFC has: 

ceased all operations; not had any directors or officers since early 2013; not filed with the Federal Reserve since early 2013; failed to file tax returns or make payments to the Arkansas 

Secretary of State since 2013, and; had its’ charter revoked by the Arkansas Secretary of State for failure to file. Treasury determined that OFC has not had any assets since May 8, 2017 

when Treasury purchased OFC’s common shares in OFC’s former banking subsidiary One Bank in an execution sale held by the United States’ Marshals Service.

153 On 1/16/2019, Treasury entered into an agreement with Harbor Bankshares Corporation, pursuant to which Treasury agreed to sell part of its CPP common stock to Harbor Bankshares 

Corporation for total proceeds of $999,999.97 subject to the satisfaction of conditions specified in the agreement. The transaction was completed on 1/16/2019.

154 On 5/01/2019, Treasury entered into agreements with Broadway Financial Corporation, The Capital Corps, LLC and the National Asian American Coalition, pursuant to which Treasury 

agreed to sell its remaining CPP common stock at a discount to The Capital Corps, LLC and the National Asian American Coalition for total proceeds of $3,503,502.60 subject to the 

satisfaction of conditions specified in the agreement. The transaction was completed on 5/01/2019.

41
Pricing Mechanism6 Number of Shares Proceeds7

4/26/2010 -

5/26/2010

1

$4.1217 1,500,000,000 $ 6,182,493,158 

5/26/2010 - 

6/30/2010

2

$3.8980 1,108,971,857 $ 4,322,726,825 

7/23/2010 - 

9/30/2010

3

$3.9090 1,500,000,000 $ 5,863,489,587 

10/19/2010 - 

12/6/2010

4

$4.2609 1,165,928,228 $ 4,967,921,811 

12/6/2010

5

$4.3500 2,417,407,607 $ 10,515,723,090 

Total Proceeds: $31,852,354,471

4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of 

common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.

5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.

6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.

7/ Amount represents the gross proceeds to Treasury.

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.

COMMON STOCK DISPOSITION

Date

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. 

2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. 

3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.

42
*Investment Status Definition Key

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

Redeemed – institution has repaid Treasury’s investment

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

Exited bankruptcy/receivership - Treasury has no outstanding investment

UST Number Footnote Institution Name City State Date Original Investment Type1 Exchange From CPP Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Amount (Fee) Shares Avg. Price (Realized Loss) / (Write-off) Gain

UST1402 26 Alternatives Federal Credit Union Ithaca NY 9/24/2010 Subordinated Debentures $2,234,000.00 $0.00 $2,334,902.34 Sold, in full

UST1402 Alternatives Federal Credit Union Ithaca NY 12/27/2016 $2,055,280.00 2,234,000 $0.92 ($178,720.00)

UST1454 8 American Bancorp of Illinois, Inc. Oak Brook IL 9/17/2010 Subordinated Debentures $5,457,000.00 $0.00 $6,549,066.96 Redeemed, in Full

UST1454 American Bancorp of Illinois, Inc. Oak Brook IL 3/1/2017 $5,457,000.00 5,457,000 $1.00

UST1378 8 Atlantic City Federal Credit Union Lander WY 9/24/2010 Subordinated Debentures $2,500,000.00 $0.00 $2,600,277.77 Redeemed, in Full

UST1378 Atlantic City Federal Credit Union Lander WY 9/26/2012 $2,500,000.00 2,500,000 $1.00

UST1456 8 Bainbridge Bancshares, Inc. Bainbridge GA 9/24/2010 Preferred Stock $3,372,000.00 $0.00 $3,645,637.33 Redeemed, in Full

UST1456 Bainbridge Bancshares, Inc. Bainbridge GA 9/10/2014 $2,372,000.00 2,372 $1,000.00

UST1456 Bainbridge Bancshares, Inc. Bainbridge GA 1/7/2015 $1,000,000.00 1,000 $1,000.00

UST1453 8 Bancorp of Okolona, Inc. Okolona MS 9/29/2010 Subordinated Debentures $3,297,000.00 $0.00 $3,547,974.96 Redeemed, in Full

UST1453 Bancorp of Okolona, Inc. Okolona MS 3/13/2013 $3,297,000.00 3,297,000 $1.00

UST0767 3,4,14 BancPlus Corporation Ridgeland MS 9/29/2010 Preferred Stock $50,400,000.00 $30,514,000.00 $0.00 $85,045,109.22 Sold, in full

UST0767 BancPlus Corporation Ridgeland MS 10/18/2016 $75,250,020.00 80,914 $930.00 ($5,663,980.00)

UST0938 8,11 BankAsiana Palisades Park NJ 9/29/2010 Preferred Stock $5,250,000.00 $0.00 $5,565,583.34 Redeemed, in Full

UST0938 BankAsiana Palisades Park NJ 10/1/2013 $5,250,000.00 5,250 $1,000.00

UST1373 8 Bethex Federal Credit Union Bronx NY 9/29/2010 Subordinated Debentures $502,000.00 $0.00 $553,566.56 Redeemed, in Full

UST1373 Bethex Federal Credit Union Bronx NY 11/18/2015 $502,000.00 502,000 $1.00

UST1399 8 Border Federal Credit Union Del Rio TX 9/29/2010 Subordinated Debentures $3,260,000.00 $0.00 $3,523,697.78 Redeemed, in Full

UST1399 Border Federal Credit Union Del Rio TX 10/15/2014 $3,260,000.00 3,260,000 $1.00

UST1428 8 Brewery Credit Union Milwaukee WI 9/24/2010 Subordinated Debentures $1,096,000.00 $0.00 $1,140,388.00 Redeemed, in Full

UST1428 Brewery Credit Union Milwaukee WI 10/3/2012 $1,096,000.00 1,096,000 $1.00

UST1401 27 Brooklyn Cooperative Federal Credit Union Brooklyn NY 9/30/2010 Subordinated Debentures $300,000.00 $0.00 $317,450.00 Sold, in full

UST1401 Brooklyn Cooperative Federal Credit Union Brooklyn NY 12/27/2016 $280,000.00 300,000 $0.93 ($20,000.00)

UST1395 Buffalo Cooperative Federal Credit Union Buffalo NY 9/24/2010 Subordinated Debentures $145,000.00 $145,000.00 $34,836.25 Full investment outstanding

UST1408 8,10 Butte Federal Credit Union Biggs CA 9/24/2010 Subordinated Debentures $1,000,000.00 $0.00 $1,085,388.88 Redeemed, in Full

UST1408 Butte Federal Credit Union Biggs CA 12/31/2014 $1,000,000.00 1,000,000 $1.00

UST1382 8 Carter Federal Credit Union Springhill LA 9/29/2010 Subordinated Debentures $6,300,000.00 $0.00 $6,990,172.22 Redeemed, in Full

UST1382 Carter Federal Credit Union Springhill LA 2/6/2013 $2,500,000.00 2,500,000 $1.00

UST1382 Carter Federal Credit Union Springhill LA 4/11/2018 $3,800,000.00 3,800,000 $1.00

UST0413 3,6 Carver Bancorp, Inc New York NY 8/27/2010 Common Stock $18,980,000.00 $18,980,000.00 $446,512.41 Full investment outstanding

UST0900 20 CFBanc Corporation Washington DC 9/17/2010 Preferred Stock $5,781,000.00 $0.00 $6,273,348.50 Sold, in full

UST0900 CFBanc Corporation Washington DC 12/20/2016 $5,549,760.00 5,781 $960.00 ($231,240.00)

UST0318 3,5,8,33 Citizens Bancshares Corporation Atlanta GA 8/13/2010 Preferred Stock $7,462,000.00 $0.00 $13,305,408.94 Sold, in full

UST0318 Citizens Bancshares Corporation Atlanta GA 9/17/2010 $4,379,000.00

UST0318 Citizens Bancshares Corporation Atlanta GA 12/30/2016 $4,227,049.00 4,379 $965.30 ($151,951.00)

UST0318 Citizens Bancshares Corporation Atlanta GA 10/4/2017 $7,462,000.00 7,462 $1,000.00

UST0956 3,12 Community Bancshares of Mississippi, Inc. Brandon MS 9/29/2010 Preferred Stock $54,600,000.00 $0.00 $57,366,400.00 Sold, in full

UST0956 Community Bancshares of Mississippi, Inc. Brandon MS 10/11/2016 $50,778,000.00 54,600 $930.00 ($3,822,000.00)

UST0354 3,4 Community Bank of the Bay Oakland CA 9/29/2010 Preferred Stock $1,747,000.00 $2,313,000.00 $0.00 $4,690,202.23 Redeemed, in Full

UST0354 Community Bank of the Bay Oakland CA 10/3/2018 $4,060,000.00 4,060 $1,000.00

UST1423 Community First Guam Federal Credit Union Hagatna GU 9/24/2010 Subordinated Debentures $2,650,000.00 $0.00 $3,073,116.66 Redeemed, in Full

UST1423 Community First Guam Federal Credit Union Hagatna GU 9/18/2018 $2,650,000.00 2,650,000 $1.00

UST1391 21 Community Plus Federal Credit Union Rantoul IL 9/29/2010 Subordinated Debentures $450,000.00 $0.00 $471,025.00 Sold, in full

UST1391 Community Plus Federal Credit Union Rantoul IL 12/20/2016 $415,000.00 450,000 $0.92 ($35,000.00)

UST1421 Cooperative Center Federal Credit Union Berkeley CA 9/24/2010 Subordinated Debentures $2,799,000.00 $2,799,000.00 $672,459.75 Full investment outstanding

UST1430 34 D.C. Federal Credit Union Washington DC 9/29/2010 Subordinated Debentures $1,522,000.00 $500,000.00 $1,218,206.78 Sold, in part

UST1430 D.C. Federal Credit Union Washington DC 12/30/2016 $970,900.00 1,022,000 $0.95 ($51,100.00)

UST1389 39 East End Baptist Tabernacle Federal Credit Union Bridgeport CT 9/29/2010 Subordinated Debentures $7,000.00 $0.00 $8,120.00 Redeemed, in Full

UST1389 East End Baptist Tabernacle Federal Credit Union Bridgeport CT 10/1/2018 $7,000.00 7,000 $1.00

UST1444 Episcopal Community Federal Credit Union Los Angeles CA 9/29/2010 Subordinated Debentures $100,000.00 $0.00 $115,066.67 Redeemed, in Full

UST1444 Episcopal Community Federal Credit Union Los Angeles CA 4/11/2018 $100,000.00 100,000 $1.00

UST1447 8 Fairfax County Federal Credit Union Fairfax VA 9/24/2010 Subordinated Debentures $8,044,000.00 $0.00 $9,165,244.22 Redeemed, in Full

UST1447 Fairfax County Federal Credit Union Fairfax VA 9/13/2017 $8,044,000.00 8,044,000 $1.00

UST1431 8 Faith Based Federal Credit Union Oceanside CA 9/29/2010 Subordinated Debentures $30,000.00 $0.00 $32,933.34 Redeemed, in Full

UST1431 Faith Based Federal Credit Union Oceanside CA 8/19/2015 $30,000.00 30,000 $1.00

UST1372 8 Fidelis Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $14,000.00 $0.00 $15,411.67 Redeemed, in Full

UST1372 Fidelis Federal Credit Union New York NY 10/14/2015 $14,000.00 14,000 $1.00

UST0596 3 First American International Corp. Brooklyn NY 8/13/2010 Preferred Stock $17,000,000.00 $0.00 $19,825,475.79 Redeemed, in Full

UST0596 First American International Corp. Brooklyn NY 8/15/2018 $10,000,000.00 10,000 $1,000.00

UST0596 First American International Corp. Brooklyn NY 10/5/2018 $7,000,000.00 7,000 $1,000.00

UST0649 3,8 First Choice Bank Cerritos CA 9/24/2010 Preferred Stock $5,146,000.00 $0.00 $5,413,877.89 Redeemed, in Full

UST0649 First Choice Bank Cerritos CA 5/1/2013 $5,146,000.00 5,146 $1,000.00

UST1297 3,8 First Eagle Bancshares, Inc. Hanover Park IL 9/17/2010 Subordinated Debentures $7,875,000.00 $0.00 $9,223,112.50 Redeemed, in Full

UST1297 First Eagle Bancshares, Inc. Hanover Park IL 3/25/2016 $7,875,000.00 7,875,000 $1.00

UST1420 8 First Legacy Community Credit Union Charlotte NC 9/29/2010 Subordinated Debentures $1,000,000.00 $0.00 $1,070,166.67 Redeemed, in Full

UST1420 First Legacy Community Credit Union Charlotte NC 4/2/2014 $1,000,000.00 1,000,000 $1.00

UST0344 3,8 First M&F Corporation Kosciusko MS 9/29/2010 Preferred Stock $30,000,000.00 $0.00 $31,751,666.67 Redeemed, in Full

UST0344 First M&F Corporation Kosciusko MS 8/30/2013 $30,000,000.00 30,000 $1,000.00

UST1199 3,17 First Vernon Bancshares, Inc. Vernon AL 9/29/2010 Preferred Stock $6,245,000.00 $0.00 $6,662,801.06 Sold, in full

UST1199 First Vernon Bancshares, Inc. Vernon AL 11/29/2016 $5,745,400.00 6,245 $920.00 ($499,600.00)

UST1443 8 Freedom First Federal Credit Union Roanoke VA 9/29/2010 Subordinated Debentures $9,278,000.00 $0.00 $9,779,527.44 Redeemed, in Full

UST1443 Freedom First Federal Credit Union Roanoke VA 6/12/2013 $9,278,000.00 9,278,000 $1.00

UST1384 8 Gateway Community Federal Credit Union Missoula MT 9/24/2010 Subordinated Debentures $1,657,000.00 $0.00 $1,725,397.27 Redeemed, in Full

UST1384 Gateway Community Federal Credit Union Missoula MT 10/17/2012 $1,657,000.00 1,657,000 $1.00

UST1425 28 Genesee Co-op Federal Credit Union Rochester NY 9/17/2010 Subordinated Debentures $300,000.00 $0.00 $316,666.67 Sold, in full

UST1425 Genesee Co-op Federal Credit Union Rochester NY 12/27/2016 $279,000.00 300,000 $0.93 ($21,000.00)

UST1433 8 Greater Kinston Credit Union Kinston NC 9/29/2010 Subordinated Debentures $350,000.00 $0.00 $360,714.44 Redeemed, in Full

UST1433 Greater Kinston Credit Union Kinston NC 4/10/2012 $350,000.00 350,000 $1.00

UST1233 3,8 Guaranty Capital Corporation Belzoni MS 7/30/2010 Subordinated Debentures $14,000,000.00 $0.00 $16,773,983.33 Redeemed, in Full

UST1233 Guaranty Capital Corporation Belzoni MS 12/21/2016 $14,000,000.00 14,000,000 $1.00

UST1439 8 Hill District Federal Credit Union Pittsburgh PA 9/29/2010 Subordinated Debentures $100,000.00 $0.00 $113,650.00 Redeemed, in Full

UST1439 Hill District Federal Credit Union Pittsburgh PA 7/26/2017 $100,000.00 100,000 $1.00

UST1398 Hope Federal Credit Union Jackson MS 9/17/2010 Subordinated Debentures $4,520,000.00 $0.00 $5,473,720.00 Redeemed, in Full

UST1398 Hope Federal Credit Union Jackson MS 4/11/2019 $4,520,000.00 4,520,000 $1.00

Capital Repayment / Disposition / Auction

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized 

Loss) / (Write-off)

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

In full – all of Treasury’s investment amount

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

43
UST1421 Cooperative Center Federal Credit Union Berkeley CA 9/24/2010 Subordinated Debentures $2,799,000.00 $2,799,000.00 $672,459.75 Full investment outstanding

UST1163 3,4,8 IBC Bancorp, Inc. Chicago IL 9/10/2010 Subordinated Debentures $4,205,000.00 $3,881,000.00 $0.00 $9,982,706.07 Redeemed, in Full

UST1163 IBC Bancorp, Inc. Chicago IL 4/4/2018 $8,086,000.00 8,086,000 $1.00

UST0801 3,35 IBW Financial Corporation Washington DC 9/3/2010 Preferred Stock $6,000,000.00 $0.00 $6,369,000.00 Sold, in full

UST0801 IBW Financial Corporation Washington DC 12/30/2016 $5,610,000.00 6,000 $935.00 ($390,000.00)

UST14518 Independent Employers Group Federal Credit Union Hilo HI 9/29/2010 Subordinated Debentures $698,000.00 $0.00 $769,700.70 Redeemed, in Full

UST1451 Independent Employers Group Federal Credit Union Hilo HI 11/18/2015 $698,000.00 698,000 $1.00

UST12958 Kilmichael Bancorp, Inc. Kilmichael MS 9/3/2010 Subordinated Debentures $3,154,000.00 $0.00 $3,756,668.07 Redeemed, in Full

UST1295 Kilmichael Bancorp, Inc. Kilmichael MS 11/2/2016 $3,154,000.00 3,154,000 $1.00

UST0526 3,8 Lafayette Bancorp, Inc. Oxford MS 9/29/2010 Preferred Stock $4,551,000.00 $0.00 $5,035,934.33 Redeemed, in Full

UST0526 Lafayette Bancorp, Inc. Oxford MS 1/27/2016 $4,551,000.00 4,551 $1,000.00

UST1403

8 Liberty County Teachers Federal Credit Union Liberty TX 9/24/2010 Subordinated Debentures $435,000.00 $0.00 $481,433.83 Redeemed, in Full

UST1403 Liberty County Teachers Federal Credit Union Liberty TX 4/2/2014 $87,000.00 87,000 $1.00

UST1403 Liberty County Teachers Federal Credit Union Liberty TX 12/31/2014 $87,000.00 87,000 $1.00

UST1403 Liberty County Teachers Federal Credit Union Liberty TX 12/16/2015 $87,000.00 87,000 $1.00

UST1403 Liberty County Teachers Federal Credit Union Liberty TX 1/11/2017 $87,000.00 87,000 $1.00

UST1403 Liberty County Teachers Federal Credit Union Liberty TX 2/7/2018 $87,000.00 87,000 $1.00

UST0551 3,4,22 Liberty Financial Services, Inc. New Orleans LA 9/24/2010 Preferred Stock $5,645,000.00 $5,689,000.00 $0.00 $12,005,854.33 Sold, in full

UST0551 Liberty Financial Services, Inc. New Orleans LA 12/20/2016 $10,591,623.00 11,334 $934.50 ($742,377.00)

UST1374 36 Lower East Side People's Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $898,000.00 $0.00 $939,667.55 Sold, in full

UST1374 Lower East Side People's Federal Credit Union New York NY 12/30/2016 $827,118.22 898,000 $0.92 ($70,881.78)

UST1256 3,23 M&F Bancorp, Inc. Durham NC 8/20/2010 Preferred Stock $11,735,000.00 $0.00 $10,874,433.34 Sold, in full

UST1256 M&F Bancorp, Inc. Durham NC 12/20/2016 $9,388,000.00 11,735 $800.00 ($2,347,000.00)

UST0139 3,5,8 Mission Valley Bancorp Sun Valley CA 8/20/2010 Preferred Stock $5,500,000.00 $0.00 $11,775,627.99 Redeemed, in Full

UST0139 Mission Valley Bancorp Sun Valley CA 9/24/2010 $4,836,000.00

UST0139 Mission Valley Bancorp Sun Valley CA 8/23/2017 $10,336,000.00 10,336 $2,000.00

UST1383 Neighborhood Trust Federal Credit Union New York NY 9/24/2010 Subordinated Debentures $283,000.00 $0.00 $336,183.18 Redeemed, in Full

UST1383 Neighborhood Trust Federal Credit Union New York NY 1/3/2019 $150,000.00 150,000 $1.00

UST1383 Neighborhood Trust Federal Credit Union New York NY 1/30/2019 $133,000.00 133,000 $1.00

UST1387 North Side Community Federal Credit Union Chicago IL 9/29/2010 Subordinated Debentures $325,000.00 $0.00 $407,631.25 Redeemed, in Full

UST1387 North Side Community Federal Credit Union Chicago IL 10/16/2019 $325,000.00 325,000 $1.00

UST1441 Northeast Community Federal Credit Union San Francisco CA 9/24/2010 Subordinated Debentures $350,000.00 $0.00 $404,036.11 Redeemed, in Full

UST1441 Northeast Community Federal Credit Union San Francisco CA 6/13/2018 $350,000.00 350,000 $1.00

UST1409 Opportunities Credit Union Burlington VT 9/29/2010 Subordinated Debentures $1,091,000.00 $0.00 $1,266,651.00 Redeemed, in Full

UST1409 Opportunities Credit Union Burlington VT 10/3/2018 $1,091,000.00 1,091,000 $1.00

UST0451 3,24 PGB Holdings, Inc. Chicago IL 8/13/2010 Preferred Stock $3,000,000.00 $0.00 $3,327,125.28 Sold, in full

UST0451 PGB Holdings, Inc. Chicago IL 12/20/2016 $2,940,000.00 3,000 $980.00 ($60,000.00)

UST1414 30 Phenix Pride Federal Credit Union Phenix City AL 9/24/2010 Subordinated Debentures $153,000.00 $0.00 $161,150.50 Sold, in full

UST1414 Phenix Pride Federal Credit Union Phenix City AL 12/27/2016 $142,000.00 153,000 $0.93 ($11,000.00)

UST1214 3,7 Premier Bancorp, Inc. Wilmette IL 8/13/2010 Subordinated Debentures $6,784,000.00 $0.00 $79,900.00 Sold, in full

UST1214 Premier Bancorp, Inc. Wilmette IL 1/29/2013 $79,900.00 6,784,000 $0.01 ($6,704,100.00)

UST14228 Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/24/2010 Subordinated Debentures $273,000.00 $0.00 $300,072.50 Redeemed, in Full

UST1422 Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union Honolulu HI 9/9/2015 $273,000.00 273,000 $1.00

UST0785 3,8 PSB Financial Corporation Many LA 9/29/2010 Preferred Stock $9,734,000.00 $0.00 $10,171,489.22 Redeemed, in Full

UST0785 PSB Financial Corporation Many LA 12/28/2012 $9,734,000.00 9,734 $1,000.00

UST1417 8,16 Pyramid Federal Credit Union Tucson AZ 9/24/2010 Subordinated Debentures $2,500,000.00 $0.00 $2,716,972.22 Sold, in full

UST1417 Pyramid Federal Credit Union Tucson AZ 3/9/2016 $1,500,000.00 1,500,000 $1.00

UST1417 Pyramid Federal Credit Union Tucson AZ 11/22/2016 $930,000.00 1,000,000 $0.93 ($70,000.00)

UST14508 Renaissance Community Development Credit Union Somerset NJ 9/29/2010 Subordinated Debentures $31,000.00 $0.00 $35,241.83 Redeemed, in Full

UST1450 Renaissance Community Development Credit Union Somerset NJ 8/2/2017 $31,000.00 31,000 $1.00

UST1438 37 Santa Cruz Community Credit Union Santa Cruz CA 9/24/2010 Subordinated Debentures $2,828,000.00 $0.00 $2,963,429.78 Sold, in full

UST1438 Santa Cruz Community Credit Union Santa Cruz CA 1/10/2017 $2,607,416.00 2,828,000 $0.92 ($220,584.00)

UST1207 3,8 Security Capital Corporation Batesville MS 9/29/2010 Preferred Stock $17,910,000.00 $0.00 $19,794,559.99 Redeemed, in Full

UST1207 Security Capital Corporation Batesville MS 9/9/2015 $9,250,000.00 9,250 $1,000.00

UST1207 Security Capital Corporation Batesville MS 3/23/2016 $3,000,000.00 3,000 $1,000.00

UST1207 Security Capital Corporation Batesville MS 5/27/2016 $5,660,000.00 5,660 $1,000.00

UST0208 3,4,15 Security Federal Corporation Aiken SC 9/29/2010 Preferred Stock $18,000,000.00 $4,000,000.00 $0.00 $24,019,111.11 Sold, in full

UST0208 Security Federal Corporation Aiken SC 10/31/2016 $21,340,000.00 22,000 $970.00 ($660,000.00)

UST1379 31 Shreveport Federal Credit Union Shreveport LA 9/29/2010 Subordinated Debentures $2,646,000.00 $0.00 $2,764,776.00 Sold, in full

UST1379 Shreveport Federal Credit Union Shreveport LA 12/27/2016 $2,434,320.00 2,646,000 $0.92 ($211,680.00)

UST0490 3,4,18 Southern Bancorp, Inc. Arkadelphia AR 8/6/2010 Preferred Stock $11,000,000.00 $22,800,000.00 $0.00 $35,702,188.89 Sold, in full

UST0490 Southern Bancorp, Inc. Arkadelphia AR 11/29/2016 $31,434,000.00 33,800 $930.00 ($2,366,000.00)

UST1370 25 Southern Chautauqua Federal Credit Union Lakewood NY 9/29/2010 Subordinated Debentures $1,709,000.00 $0.00 $1,802,139.70 Sold, in full

UST1370 Southern Chautauqua Federal Credit Union Lakewood NY 12/20/2016 $1,589,370.00 1,709,000 $0.93 ($119,630.00)

UST1429

8 Southside Credit Union San Antonio TX 9/29/2010 Subordinated Debentures $1,100,000.00 $0.00 $1,167,894.44 Redeemed, in Full

UST1429 Southside Credit Union San Antonio TX 10/30/2013 $1,100,000.00 1,100,000 $1.00

UST0478 3,13 State Capital Corporation Greenwood MS 9/29/2010 Preferred Stock $15,750,000.00 $0.00 $16,650,500.00 Sold, in full

UST0478 State Capital Corporation Greenwood MS 10/11/2016 $14,750,000.00 15,750 $936.51 ($1,000,000.00)

UST0511 3,4,19 The First Bancshares, Inc. Hattiesburg MS 9/29/2010 Preferred Stock $5,000,000.00 $12,123,000.00 $0.00 $18,043,495.61 Sold, in full

UST0511 The First Bancshares, Inc. Hattiesburg MS 12/6/2016 $15,925,000.00 17,123 $930.04 ($1,198,000.00)

UST07548 The Magnolia State Corporation Bay Springs MS 9/29/2010 Subordinated Debentures $7,922,000.00 $0.00 $9,276,380.53 Redeemed, in Full

UST0754 The Magnolia State Corporation Bay Springs MS 12/17/2014 $3,700,000.00 3,700,000 $1.00

UST0754 The Magnolia State Corporation Bay Springs MS 5/24/2017 $4,222,000.00 4,222,000 $1.00

UST1410 29 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union / Harborstone Credit Union Olympia WA 9/24/2010 Subordinated Debentures $75,000.00 $0.00 $80,592.50 Sold, in full

UST1410 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union / Harborstone Credit Union Olympia WA 12/27/2016 $71,205.00 75,000 $0.95 ($3,795.00)

UST1435 38 Tongass Federal Credit Union Ketchikan AK 9/24/2010 Subordinated Debentures $1,600,000.00 $0.00 $1,754,666.66 Sold, in full

UST1435 Tongass Federal Credit Union Ketchikan AK 1/24/2017 $1,552,000.00 1,600,000 $0.97 ($48,000.00)

UST06103 Tri-State Bank of Memphis Memphis TN 8/13/2010 Preferred Stock $2,795,000.00 $0.00 $3,036,008.06 Redeemed, in Full

UST0610 Tri-State Bank of Memphis Memphis TN 11/28/2018 $1,000,000.00 1,000 $1,000.00

UST0610 Tri-State Bank of Memphis Memphis TN 4/17/2019 $1,795,000.00 1,795 $1,000.00

UST1400 Tulane-Loyola Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $424,000.00 $0.00 $490,756.44 Redeemed, in Full

UST1400 Tulane-Loyola Federal Credit Union New Orleans LA 8/8/2018 $424,000.00 424,000 $1.00

UST1390 39 Union Baptist Church Federal Credit Union Fort Wayne IN 9/24/2010 Subordinated Debentures $10,000.00 $0.00 $11,600.00 Redeemed, in Full

UST1390 Union Baptist Church Federal Credit Union Fort Wayne IN 9/24/2018 $10,000.00 10,000 $1.00

UST14269 Union Settlement Federal Credit Union New York NY 9/29/2010 Subordinated Debentures $295,000.00 $0.00 $308,622.56 Sold, in full

UST1426 Union Settlement Federal Credit Union New York NY 12/30/2016 $271,714.78 295,000 $0.92 ($23,285.22)

UST0272 3,8 United Bancorporation of Alabama, Inc. Atmore AL 9/3/2010 Preferred Stock $10,300,000.00 $0.00 $11,577,772.22 Redeemed, in Full

UST0272 United Bancorporation of Alabama, Inc. Atmore AL 11/16/2016 $10,300,000.00 10,300 $1,000.00

UST13868 UNITEHERE Federal Credit Union
(Workers United Federal Credit Union) New York NY 9/29/2010 Subordinated Debentures $57,000.00 $0.00 $59,821.50 Redeemed, in Full

UST1386 UNITEHERE Federal Credit Union
(Workers United Federal Credit Union) New York NY 3/20/2013 $57,000.00 57,000 $1.00

UST1267 3,4,8 University Financial Corp, Inc. St. Paul MN 7/30/2010 Subordinated Debentures $11,926,000.00 $10,189,000.00 $0.00 $23,710,842.97 Redeemed, in Full

UST1267 University Financial Corp, Inc. St. Paul MN 11/28/2012 $22,115,000.00 22,115,000 $1.00

UST14048 UNO Federal Credit Union New Orleans LA 9/24/2010 Subordinated Debentures $743,000.00 $0.00 $786,754.45 Redeemed, in Full

UST1404 UNO Federal Credit Union New Orleans LA 9/4/2013 $743,000.00 743,000 $1.00

UST1449 8,32 Vigo County Federal Credit Union Terre Haute IN 9/29/2010 Subordinated Debentures $1,229,000.00 $0.00 $1,330,468.70 Sold, in full

UST1449 Vigo County Federal Credit Union Terre Haute IN 2/25/2015 $491,600.00 491,600 $1.00

UST1449 Vigo County Federal Credit Union Terre Haute IN 12/23/2015 $245,800.00 245,800 $1.00

UST1449 Vigo County Federal Credit Union Terre Haute IN 12/27/2016 $358,018.00 389,150 $0.92 ($31,132.00)

UST1449 Vigo County Federal Credit Union Terre Haute IN 1/17/2018 $102,450.00 102,450 $1.00

UST1458

8 Virginia Community Capital, Inc. Christiansburg VA 9/24/2010 Subordinated Debentures $1,915,000.00 $0.00 $2,135,756.94 Redeemed, in Full

UST1458 Virginia Community Capital, Inc. Christiansburg VA 6/29/2016 $1,915,000.00 1,915,000 $1.00

TOTALS $363,290,000.00 $206,783,000.00 $22,424,000.00 $586,943,885.86 $520,696,944.00 $0.00 ($26,952,056.00) $0.00

44
Footnote Footnote Description

1 All pricing is at par.

2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).

3

This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of 

investment with Treasury under the CDCI program terms.

4 Treasury made an additional investment in this institution at the time it entered the CDCI program.

5 Treasury made an additional investment in this institution after the time it entered the CDCI program.

6

On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the 

terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

7

On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of 

Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of distributions paid to creditors 

as a result of the liquidation of Premier Bancorp, Inc.

8

Repayment pursuant to one or more of the following, as appropriate: Section 5 of the CDCI Certificate of Designation, Section 6.10 or 6.11 of the CDCI Securities Purchase Agreement, 

and/or Section 5.11 of the CDCI Exchange Agreement.

9

On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury 

exchanged its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities. Accrued 

dividends on the Union senior subordinated securities were paid on the date of the exchange.

10

On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated 

securities for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.

11

On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock that had been issued by BankAsiana (“BankAsiana”) to Treasury for a 

purchase price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasury, Wilshire and BankAsiana entered into on 9/25/2013 in connection with the 

merger of Wilshire and BankAsiana.

12

On 10/11/2016, Treasury entered into an agreement with Community Bancshares of Mississippi, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to 

the Company for fair value of $50,778,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 10/11/2016.

13

On 10/11/2016, Treasury entered into an agreement with State Capital Corp. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $14,750,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

10/11/2016.

14

On 10/18/2016, Treasury entered into an agreement with BancPlus Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $75,250,020 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

10/18/2016.

15

On 10/31/2016, Treasury entered into an agreement with Security Federal Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company 

for fair value of $21,340,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

10/31/2016.

16

On 11/22/2016, Treasury entered into an agreement with Pyramid Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities 

to the Company for fair value of $930,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 11/22/2016.

45
Footnote Footnote Description

17

On 11/29/2016, Treasury entered into an agreement with First Vernon Bancshares, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the 

Company for fair value of $5,745,400 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 11/29/2016.

18

On 11/29/2016, Treasury entered into an agreement with Southern Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for 

fair value of $31,434,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

11/29/2016.

19

On 12/06/2016, Treasury entered into an agreement with The First Bancshares, Inc. (“the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company 

for fair value of $15,925,000.00 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed 

on 12/06/2016.

20

On 12/20/2016, Treasury entered into an agreement with CFBanc Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $5,549,760 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

21

On 12/20/2016, Treasury entered into an agreement with Community Plus Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $415,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/20/2016.

22

On 12/20/2016, Treasury entered into an agreement with Liberty Financial Services, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the 

Company for fair value of $10,591,623 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 12/20/2016.

23

On 12/20/2016, Treasury entered into an agreement with M&F Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $9,388,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

24

On 12/20/2016, Treasury entered into an agreement with PGB Holdings, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair 

value of $2,940,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 

12/20/2016.

25

On 12/20/2016, Treasury entered into an agreement with Southern Chautauqua Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior 

subordinated securities to the Company for fair value of $1,589,370 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/20/2016.

26

On 12/27/2016, Treasury entered into an agreement with Alternatives Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $2,055,280 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The 

sale was completed on 12/27/2016.

27

On 12/27/2016, Treasury entered into an agreement with Brooklyn Cooperative Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior 

subordinated securities to the Company for fair value of $280,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/27/2016.

28

On 12/27/2016, Treasury entered into an agreement with Genesee Co-Op Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $279,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/27/2016.

29

On 12/27/2016, Treasury entered into an agreement with Harborstone Credit Union (the “Company”), which had purchased Thurston Union of Low-Income People (TULIP) Cooperative 

Credit Union, pursuant to which Treasury agreed to sell its TULIP CDCI senior subordinated securities to the Company for fair value of $71,205 plus accrued and unpaid interest to the date 

of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/27/2016.

46
Footnote Footnote Description

30

On 12/27/2016, Treasury entered into an agreement with Phenix Pride Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $142,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/27/2016.

31

On 12/27/2016, Treasury entered into an agreement with Shreveport Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $2,434,320 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The 

sale was completed on 12/27/2016.

32

On 12/27/2016, Treasury entered into an agreement with Vigo County Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell 389,150 of its CDCI senior 

subordinated securities to the Company for fair value of $358,018 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/27/2016.

33

On 12/30/2016, Treasury entered into an agreement with Citizens Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to State 

Capital Corp. for fair value of $4,227,049 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 12/30/2016.

34

On 12/30/2016, Treasury entered into an agreement with D.C. Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell 1,022,000 of its CDCI senior subordinated 

securities to the Company for fair value of $970,900 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale 

was completed on 12/30/2016.

35

On 12/30/2016, Treasury entered into an agreement with IBW Financial Corporation (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to State Capital 

Corp. for fair value of $5,610,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed 

on 12/30/2016.

36

On 12/30/2016, Treasury entered into an agreement with Lower East Side People's Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior 

subordinated securities to the Company for fair value of $1,098,833 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the 

agreement. The sale was completed on 12/30/2016.

37

On 1/10/2017, Treasury entered into an agreement with Santa Cruz Community Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated 

securities to the Company for fair value of $2,607,416 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The 

sale was completed on 1/10/2017.

38

On 1/24/2017, Treasury entered into an agreement with Tongass Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities 

to the Company for fair value of $1,552,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was 

completed on 1/24/2017.

39 This institution repaid Treasury on the date of maturity of its Subordinated Debentures.

47
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised 

Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

1/23/2014 Partial Disposition40 $ 3,023,750,000 Common Stock 36.96%

4/15/2014 Partial Disposition41 $ 2,375,000,000 Common Stock 17.09%

5/14/2014 Partial Disposition42 $ 181,141,750 Common Stock 15.60%

9/12/2014 Partial Disposition43 $ 218,680,700 Common Stock 13.40%

10/16/2014 Partial Disposition44 $ 245,492,605 Common Stock 11.40%

12/24/2014 Partial Disposition45 $ 1,277,036,382 Common Stock 0.00%

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,667,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,667,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2 5/29/2009 Exchange for equity interest in GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 10, 11, 24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

12/21/2012 Partial Disposition 33 $ 5,500,000,000 Common Stock 21.97%

4/11/2013 Partial Disposition 34 $ 1,637,839,844 Common Stock 17.69%

6/12/2013 Partial Disposition 35 $ 1,031,700,000 Common Stock 13.80%

9/13/2013 Partial Disposition 36 $ 3,822,724,832 Common Stock 7.32%

11/20/2013 Partial Disposition 37 $ 2,563,441,956 Common Stock 2.24%

12/9/2013 Partial Disposition 39 $ 1,208,249,982 Common Stock 0.00%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Right to recover 

proceeds N/A 

4/5/2011 Partial Repayment $ 45,000,000 Right to recover 

proceeds N/A 

5/3/2011 Partial Repayment $ 15,887,795 Right to recover 

proceeds N/A 

12/16/2011 Partial Repayment $ 144,444 Right to recover 

proceeds N/A 

12/23/2011 Partial Repayment $ 18,890,294 Right to recover 

proceeds N/A 

1/11/2012 Partial Repayment $ 6,713,489 Right to recover 

proceeds N/A 

10/23/2012 Partial Repayment $ 435,097 Right to recover 

proceeds N/A 

5/22/2013 Partial Repayment $ 10,048,968 Right to recover 

proceeds N/A 

9/20/2013 Partial Repayment $ 11,832,877 Right to recover 

proceeds N/A 

12/27/2013 Partial Repayment $ 410,705 Right to recover 

proceeds N/A 

1/9/2014 Partial Repayment $ 470,269 Right to recover 

proceeds N/A 

5/22/2015 Partial Repayment $ 8,325,185 Right to recover 

proceeds N/A 

8/1/2016 Partial Repayment $ 2,961,564 Right to recover 

proceeds N/A 

11/17/2016 Partial Repayment $ 5,033,898 Right to recover 

proceeds N/A 

3/16/2018 Partial Repayment $ 12,912,262 Right to recover 

proceeds N/A 

12/28/2018 Partial Repayment $ 436,600 Right to recover 

proceeds N/A 

Par

General 

Motors Detroit, MI

7/10/2009 Exchange for preferred and 

common stock in New GM N/A

Exchange for preferred and 

common stock in New GM

5/27/2009

5/20/2009 Purchase General Motors 

Corporation

Purchase Par 6 General Motors 

Corporation

Debt Obligation w/ Additional 

Note

 $ 360,624,198 

$ 4,000,000,000 Par

$ 360,624,198 Debt Obligation w/ Additional 

Note

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 21, 22 Convertible 

Preferred Stock

11, 12

7

Common Stock

Debt Obligation

5/21/2009 Purchase GMAC

N/A 22, 

26

3, 26, 

32, 38 GMAC (Ally)

N/A

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000

$ 13,400,000,000

Date Date Type Amount/ Proceeds

Remaining 

Investment 

Description

Remaining 

Investment 

Amount/Equity %

Par

Amount

Pricing 

Transaction Type Seller Description Amount Type Mechanism Obligor Description

Pricing 

Mechanism Date

$ 7,500,000,000 Par

$ 5,937,500,000 $ 0 

Common Stock

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details

12/30/2009

11/20/2013

Partial conversion of preferred 

stock for common stock

26

Disposition 38 N/A

Convertible Preferred Stock 

w/ Exercised Warrants

Debt Obligation w/ Additional 

Note 12/31/2008 Purchase General Motors Corporation

Treasury Investment After Exchange/Transfer/Other

Amount/Equity %

Payment or Disposition1

City, State

$ 5,925,000,000

 $ 4,000,000,000 

63.45%

$ 3,000,000,000

7 $ 7,072,488,605 General Motors Holdings 

LLC

12/30/2010 Partial conversion of preferred 

stock for common stock $ 5,500,000,000

22

5 7/10/2009 N/A 60.8% 10, 11, 

25 General Motors Company

48
7/2/2019 Partial Repayment $ 40,382,914 Right to recover 

proceeds N/A 

9/3/2019 Partial Repayment $ 32,148,396 Right to recover 

proceeds N/A 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A - 

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A - 

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust 23 Right to recover proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A 

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - -

17

9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover 

proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover 

proceeds N/A 

9/21/2015 Proceeds from sale of collateral $ 93,871,306 Right to recover 

proceeds N/A 

9/29/2015 Proceeds from sale of collateral $ 6,341,426 Right to recover 

proceeds N/A 

2/26/2016 Proceeds from sale of collateral $ 2,000,000 Right to recover 

proceeds N/A 

5/27/2009 Purchase New Chrysler Debt Obligation w/ Additional 

Note, Zero Coupon Note, $ 6,642,000,000 N/A 18 6/10/2009 Issuance of equity in New Chrysler $ - N/A Chrysler Group LLC 19, 31 Debt obligation w/ additional note & $ 7,142,000,000 5/24/2011 Repayment - Principal $ 5,076,460,000

5/24/2011 Termination of undrawn facility 31 $ 2,065,540,000

5/24/2011 Repayment* - Additional Note $ 288,000,000

5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000

Chrysler Group LLC 30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 64,131,948,948

$ 403,000,000

Total Treasury Investment Amount

Chrysler 

FinCo

Farmington 

Hills, MI

Chrysler Auburn Hills, 

MI

Termination and settlement 

payment 20

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A $ 0 

Additional Proceeds *

 $ 11,659,290,023 

49
City State Adjustment Amount Date Type Remaining Investment 

Description Amount

11/20/2009

Partial 

repayment Debt Obligation w/ Additional Note $ 140,000,000 

2/11/2010

Partial 

repayment Debt Obligation w/ Additional Note $ 100,000,000 

3/4/2010 Repayment5 Additional Note $ 50,000,000 

6

4/5/2010 Payment6 None $ 56,541,893 

7/8/2009 3 $ (500,000,000) 3/9/2010 Repayment5 Additional Note $ 123,076,735 

7 4/7/2010 Payment7 None $ 44,533,054 

$ 5,000,000,000 Total Proceeds from Additional Notes $ 101,074,947

7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

5/ All outstanding principal drawn under the credit agreement was repaid.

2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009. 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

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.

$ 2,500,000,000

Footnote Date

Seller

Transaction Type

Investment 

Description Investment Amount

$ 290,000,000

Pricing Mechanism

Adjustment Details

Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3 $ (1,000,000,000)

23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from time to time of 

the specified collateral security attached to such loan.

24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.

25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common stock from Treasury 

at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.

27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.

28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and restatement 

through but excluding the closing date that Treasury will receive separately at settlement.

29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of Liquidation. 

Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.

30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the exercise 

of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the 

trust's shares in Chrysler.

45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.

"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.

Footnotes appear on following page.

"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).

"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.

6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.

As used in this table and its footnotes:

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.

12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.

13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.

2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 

3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)

4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.

5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green lines in table 

above) and (ii) $986 million, which remained a debt obligation of Old GM. 

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)

11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General Motors LLC". 

General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining principal amount 

reflects the final amount of funds disbursed under the Chrysler DIP Loan.

7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)

41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.

42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.

43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.

17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated. 

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from Chrysler 

Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.

19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 

20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and accrued and 

unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

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. 

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. 

26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.

34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.

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.

35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.

36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this authority 

37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.

38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional shares of common stock to be 

39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.

14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.

Payment or Disposition4

Name of Institution

Adjustment 

Date

$ 1,000,000,000

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC on 7/10/2009.

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 1,500,000,000 N/A $ 123,076,735

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735

Adjusted or Final 

Investment Amount

1 4/9/2009 GM Supplier Receivables LLC

50
Pricing Mechanism1 Number of Shares Proceeds2

01/18/13 – 

04/17/13

3

$28.0490 58,392,078 $ 1,637,839,844 

05/6/13 – 

9/13/2013

4

$34.6461 110,336,510 $ 3,822,724,832 

9/26/13 – 

11/20/13

5

$36.5087 70,214,460 $ 2,563,441,956 

11/21/2013 - 

12/9/2013

6

$38.8228 31,122,206 $ 1,208,249,982 

Total Proceeds: $9,232,256,614

3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of 

common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.

4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell 

subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this 

authority occurred on September 13, 2013.

5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares 

of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.

6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time 

during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.

51
Pricing Mechanism1 Number of Shares Proceeds2

08/14/14 – 

09/12/14

3

$24.5985 8,890,000 $ 218,680,700 

09/12/14 - 

10/16/14

4

$21.8234 11,249,044 $ 245,492,605 

Total Proceeds: $464,173,305

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.

COMMON STOCK DISPOSITION

Date

1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.

2/ Amount represents the gross proceeds to Treasury.

3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period 

ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.

4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period 

ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.

52
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining Capital 

Amount

Remaining Capital 

Description Final Disposition Date 3

Final Disposition 

Description

Final Disposition 

Proceeds

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities 

w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2011 A Warrants $ 190,386,428 

1/16/2009

Bank of America 

Corporation Charlotte NC Purchase

Preferred Stock w/ 

Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 A Warrants $ 1,236,804,513 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,427,190,941 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock for 

trust preferred securities

Trust Preferred 

Securities w/ Warrants 3 12/23/2009 Partial cancellation for early termination of guarantee $ (1,800,000,000) Trust Preferred Securities w/ Warrants $ 2,234,000,000 

5 9/30/2010 Disposition $ 2,246,000,000 Warrants $ 0

1/25/2011 Warrant Auction $ 67,197,045 None $ 0

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities 

received from the FDIC

Trust Preferred 

Securities

7 2/4/2013

Exchange Trust preferred 

securities for subordinated 

note

Subordinated Note 8 2/8/2013 Disposition $ 894,000,000.00 None $ 0

TOTAL $ 0 Total Proceeds $ 3,207,197,045 

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, 

Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Amount Date Type Amount

Remaining Premium 

Description Description

Seller

Type Description Guarantee Limit

Remaining 

Premium 

1 1/16/2009 Citigroup Inc. New York NY Guarantee Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants

Description Footnote Date Type Amount Footnote

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.

 $ 4,034,000,000 

 $ 4,034,000,000 

4 9/29/2010

Exchange trust preferred 

securities for trust preferred 

securities

Trust Preferred 

Securities w/ Warrants $ 2,246,000,000 

3 $ 800,000,000.00 

 $ 894,000,000.00 

8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.

2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred 

Securities. 

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the 

conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.

4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.

5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.

6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities. 

7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.

53
Seller 

Name of Institution City State 

Transaction 

Type Investment Amount Date Transaction Type Amount

Pricing 

Mechanism

4/17/2009 Exchange

Preferred Stock w/ Warrants 

(Series E) 1 $ 40,000,000,000 Par 

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

TOTAL $ 69,835,000,000 Date Transaction Type Proceeds

3/1/2013 Repurchase $ 25,150,923.10

3/1/2013 Repurchase $ 5,767.50

Total Warrant Proceeds

Note Date Investment Description Date Transaction Type Pricing Mechanism

$ 2,000,000,000 5/27/2011 Cancellation N/A $ 0 10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

8/17/2011 Payment Par

8/18/2011 Payment Par

9/2/2011 Payment Par

11/1/2011 Payment Par

3/8/2012 Payment Par

3/15/2012 Payment Par

3/22/2012 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2012 Payment Par

1,455,037,962

77%

1,248,141,410

70%

1,084,206,984

63%

1,059,616,821

61%

895,682,395

55%

871,092,231

53%

317,246,078

22%

234,169,156

16%

234,169,156

0%

Footnotes appear on following page.

Pricing Mechanism Investment Description

Warrants (Series D)

$ 40,000,000,000 Par

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description 

Preferred Stock w/ Warrants 

(Series D)

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

Final Disposition

Investment

1 11/25/2008 AIG New York NY Purchase

8

Warrants (Series F)

$ 25,156,690.60

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the 

cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

$ 185,726,192

$ 1,493,250,339

Final Disposition

Transaction Type Pricing Mechanism Investment Description Amount / Shares Proceeds 8

Remaining Recap 

Investment Amount, 

Shares, or Equity %

Exchange

$ 55,885,302

$ 971,506,765

$ 5,576,121,382

$ 1,521,632,096

$ -

$ 0

$ 5,511,067,614

$ 55,833,333

$ 97,008,351

$ 2,153,520,000

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

AIG POST-RECAPITALIZATION

Recapitalization Treasury Holdings Post-Recapitalization

Preferred Stock (Series G)

N/A

AIA Preferred Units $ 16,916,603,568 7

$ 0

5 1/14/2011 Preferred Stock (Series E) Exchange 924,546,133

4 1/14/2011 Preferred Stock (Series F)

Exchange

N/A Common Stock

6

ALICO Junior Preferred Interests

Exchange Par

 167,623,733

1/14/2011 Common Stock (non-TARP) Transfer 562,868,096

8 $ 1,383,888,037

$ 44,941,843

$ 3,375,328,432

9

7

$ 2,009,932,072

$ 750,000,002 N/A

5/24/2011 Partial Disposition $ 5,800,000,000 N/A

$ 749,999,972

N/A

13

12

8/3/2012 Partial Disposition $ 4,999,999,993 N/A 13

5/7/2012 Partial Disposition N/A

12/14/2012 Final Disposition

9/10/2012

Partial Disposition $ 2,699,999,965

$ 7,610,497,570 N/A

N/A

8/6/2012

9/11/2012

Partial Disposition

11

5/6/2012 Partial Disposition $ 4,999,999,993 N/A 12

3/8/2012 Partial Disposition $ 6,000,000,008

14

Partial Disposition $ 17,999,999,973 N/A 14

15

54
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.

15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG Common 

Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.

5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.

6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 562,868,096 

shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.

7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.

10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.

11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.

12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.

55
Name of Institution City State Amount Date Description Amount

7/19/2010 2 $ 4,300,000,000

2/6/2013 Contingent Interest Proceeds $ 212,829,610

3/6/2013 Contingent Interest Proceeds $ 97,594,053

4/4/2013 Contingent Interest Proceeds $ 6,069,968

5/6/2013 Contingent Interest Proceeds $ 4,419,259

6/6/2013 Contingent Interest Proceeds $ 96,496,772

7/5/2013 Contingent Interest Proceeds $ 11,799,670

8/6/2013 Contingent Interest Proceeds $ 66,072,965

9/6/2013 Contingent Interest Proceeds $ 74,797,684

10/4/2013 Contingent Interest Proceeds $ 1,114,074

11/6/2013 Contingent Interest Proceeds $ 933,181

12/5/2013 Contingent Interest Proceeds $ 1,102,424

1/7/2014 Contingent Interest Proceeds $ 1,026,569

2/6/2014 Contingent Interest Proceeds $ 1,107,574

3/6/2014 Contingent Interest Proceeds $ 1,225,983

4/4/2014 Contingent Interest Proceeds $ 11,597,602

5/6/2014 Contingent Interest Proceeds $ 1,055,556

6/5/2014 Contingent Interest Proceeds $ 1,343,150

7/7/2014 Contingent Interest Proceeds $ 27,005,139

8/6/2014 Contingent Interest Proceeds $ 14,059,971

9/5/2014 Contingent Interest Proceeds $ 262,036

10/6/2014 Contingent Interest Proceeds $ 17,394,583

11/6/2014 Contingent Interest Proceeds $ 21,835,385

Total Investment Amount $ 100,000,000 Total Repayment Amount 5 $ 771,143,209

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.

Final Investment Amount

Repayment 5

Date

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

Adjusted Investment

$ 100,000,000

6/28/2012 3 $ 1,400,000,000

1/15/2013 4 $ 100,000,000

2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.

3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.

Purchase Debt Obligation w/ Additional Note

4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary. 

$ 20,000,000,000 N/A $ 100,000,000

2/6/2013 Principal Repayment

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

1 3/3/2009 TALF LLC Wilmington DE

56
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 

3

Senior Security 

Proceeds 4 Trade Date PMF6

Purchase Face 

Amount 3

Current Face 

Amount 6, 8

Life-to-date 

Principal Received 

1, 8

Disposition 

Amount 5, 6

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 $ 4,377,249 $ 2,184 6/21/2011 - $ 4,070,000 $ 3,151,186 $ 902,633 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130 10/19/2011 - $ 7,617,617 $ 5,891,602 $ 1,685,710 $ 6,462,972

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 $ 8,716,265 $ 4,348 6/21/2011 - $ 8,030,000 $ 5,964,013 $ 2,022,652 $ 6,555,383

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 $ 26,041,643 $ 12,983 6/7/2011 - $ 23,500,000 $ 22,350,367 $ 1,149,633 $ 25,039,989

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 $ 9,598,523 $ 4,783 6/7/2011 - $ 8,900,014 $ 6,542,218 $ 2,357,796 $ 7,045,774

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 $ 11,511,052 $ 5,741 6/7/2011 - $ 10,751,382 $ 9,819,270 $ 932,112 $ 10,550,917

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 $ 14,151,229 $ 7,057 6/7/2011 - $ 12,898,996 $ 12,570,392 $ 328,604 $ 13,886,504

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 $ 9,717,173 $ 4,844 6/7/2011 - $ 8,744,333 $ 8,483,188 $ 261,145 $ 9,482,247

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 $ 9,294,363 $ 4,635 6/7/2011 - $ 8,417,817 $ 8,171,159 $ 246,658 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377 9/20/2011 - $ 17,119,972 $ 15,030,712 $ 2,089,260 $ 16,658,561

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 $ 38,273,995 $ 19,077 6/21/2011 - $ 34,441,059 $ 32,656,125 $ 1,784,934 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801 9/20/2011 - $ 28,209,085 $ 25,930,433 $ 2,278,652 $ 29,142,474

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 3,200 6/21/2011 - $ 6,004,156 $ 5,656,049 $ 348,107 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722 10/19/2011 - $ 6,860,835 $ 6,520,875 $ 339,960 $ 7,105,304

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 $ 14,789,302 $ 7,373 6/21/2011 - $ 13,183,361 $ 12,704,841 $ 478,520 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408 1/24/2012 - $ 2,598,386 $ 1,903,407 $ 694,979 $ 2,052,702

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 5,187 6/21/2011 - $ 9,719,455 $ 9,531,446 $ 188,009 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561 9/20/2011 - $ 8,279,048 $ 6,425,217 $ 1,853,831 $ 7,078,089

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752 10/19/2011 - $ 5,000,000 $ 4,580,543 $ 419,457 $ 5,029,356

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541 10/19/2011 - $ 10,000,000 $ 9,030,539 $ 969,461 $ 9,994,806

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123 9/20/2011 - $ 9,272,482 $ 8,403,846 $ 868,636 $ 9,230,008

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820 10/19/2011 - $ 10,350,000 $ 10,099,555 $ 250,445 $ 11,314,651

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652 1/24/2012 - $ 6,900,000 $ 6,236,800 $ 663,200 $ 6,556,341

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966 1/24/2012 - $ 8,902,230 $ 7,503,681 $ 1,398,549 $ 8,269,277

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458 1/24/2012 - $ 8,050,000 $ 7,053,867 $ 996,133 $ 7,703,610

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061 1/24/2012 - $ 5,750,000 $ 5,473,724 $ 276,276 $ 5,764,858

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172 1/24/2012 - $ 5,741,753 $ 4,307,881 $ 1,433,872 $ 4,693,918

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912 10/19/2011 - $ 3,450,000 $ 3,367,168 $ 82,832 $ 3,698,411

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535 1/24/2012 - $ 11,482,421 $ 10,592,775 $ 889,646 $ 11,818,944

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632 10/19/2011 - $ 13,402,491 $ 12,963,737 $ 438,754 $ 14,433,039

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521 1/24/2012 - $ 14,950,000 $ 14,562,161 $ 387,839 $ 16,383,544

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 334,924,711

TOTAL INVESTMENT AMOUNT $ 368,145,452 TOTAL PROGRAM PROCEEDS TO DATE7 $ 376,748,302

Investment Description

TBA or 

PMF3

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Purchase Details 1 Settlement Details Final Disposition

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2016 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2017 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2019 -

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020 -

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about 

the 11th business day of each month).

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a 

purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication of 

the applicable month's factor (on or about the 11th business day of each month).

4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal to 

the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth in 

the Master Purchase Agreement.

-

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2026 -

57
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 $ 156,250,000 1/4/2010 4 $ 156,250,000 $ 156,250,000 1/29/2010 Distribution 5 $ 20,091,872

2/24/2010 Final Distribution 5 $ 48,922

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 1/4/2010 4 $ 200,000,000 1/4/2010 4 $ 200,000,000 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ 

Contingent Proceeds

1/29/2010 Distribution 5

$ 502,302

2/24/2010 Final Distribution 5

$ 1,223

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 856,000,000 $ 580,960,000 2/18/2010 $ 2,444,347 $ 578,515,653 Membership Interest 10

4/15/2010 $ 3,533,199 $ 574,982,454 Membership Interest 10

9/15/2010 $ 30,011,187 $ 544,971,267 Membership Interest 10

11/15/2010 $ 66,463,982 $ 478,507,285 Membership Interest 10

12/14/2010 $ 15,844,536 $ 462,662,749 Membership Interest 10

1/14/2011 $ 13,677,726 $ 448,985,023 Membership Interest 10

2/14/2011 $ 48,523,845 $ 400,461,178 Membership Interest 10

3/14/2011 $ 68,765,544 $ 331,695,634 Membership Interest 10

4/14/2011 $ 77,704,254 $ 253,991,380 Membership Interest 10

5/20/2011 $ 28,883,733 $ 225,107,647 Membership Interest 10

6/14/2011 $ 9,129,709 $ 215,977,938 Membership Interest 10

7/15/2011 $ 31,061,747 $ 184,916,192 Membership Interest 10

8/12/2011 $ 10,381,214 $ 174,534,977 Membership Interest 10

10/17/2011 $ 6,230,731 $ 168,304,246 Membership Interest 10

12/14/2011 $ 1,183,959 $ 167,120,288 Membership Interest 10

1/17/2012 $ 1,096,185 $ 166,024,103 Membership Interest 10

2/14/2012 $ 1,601,688 $ 164,422,415 Membership Interest 10

3/14/2012 $ 3,035,546 $ 161,386,870 Membership Interest 10

3/29/2012 Distribution 5 $ 56,390,209

8/9/2012 Distribution 5 $ 1,056,751

9/28/2012 Final Distribution 5 $ 18,772

6/4/2013 Adjusted Distribution5, 13 $ 69,399

7/8/2013 Distribution 5, 14 $ 64,444

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000 2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ 

Contingent Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ 

Contingent Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ 

Contingent Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ 

Contingent Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ 

Contingent Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ 

Contingent Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ 

Contingent Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ 

Contingent Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ 

Contingent Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ 

Contingent Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ 

Contingent Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ 

Contingent Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ 

Contingent Proceeds

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ 

Contingent Proceeds

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ 

Contingent Proceeds

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ 

Contingent Proceeds

3/29/2012 Distribution 5

$ 3,434,460

8/9/2012 Distribution 5

$ 40,556

9/28/2012 Final Distribution 5 $ 469

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

1/15/2010 $ 156,250,000 Membership Interest

Membership Interest 10

Contingent Proceeds

$ 0

Distribution or Disposition

CREDIT MARKET PROGRAMS

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

Footnote Date

Seller

$ 0

1/12/2010 $ 166,000,000 $ 0

3/29/2012 $ 161,386,870

3/14/2012 $ 284,468,750 $ 0 Contingent Proceeds

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

58
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

6/4/2013 Adjusted Distribution5, 13 $ 1,735

7/8/2013 Distribution 5, 14 $ 1,611

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,262,037,500 7/16/2010 $ 1,149,487,000 $ 1,149,487,000 7/16/2012 $ 62,499,688 $ 1,086,987,313 Membership Interest 10

9/17/2012 $ 152,499,238 $ 934,488,075 Membership Interest 10

1/15/2013 $ 254,581,112 $ 679,906,963 Membership Interest 10

2/13/2013 $ 436,447,818 $ 243,459,145 Membership Interest 10

3/13/2013 Distribution 5

$ 479,509,240

7/11/2013 Distribution 5, 11 $ 2,802,754

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,524,075,000 7/16/2010 $ 2,298,974,000 $ 2,298,974,000 6/26/2012 $ 125,000,000 $ 2,173,974,000

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 305,000,000 $ 1,868,974,000

Debt Obligation w/ 

Contingent Proceeds

12/6/2012 $ 800,000,000 $ 1,068,974,000

Debt Obligation w/ 

Contingent Proceeds

12/21/2012 $ 630,000,000 $ 438,974,000

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 97,494,310 $ 341,479,690

Debt Obligation w/ 

Contingent Proceeds

4/17/2013 Distribution 5, 11 $ 16,195,771

7/11/2013 Distribution 5, 11 $ 69,932

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,150,423,500 $ 1,064,141,738 1/15/2010 $ 44,043 $ 1,064,097,694 Membership Interest 10

2/14/2011 $ 712,284 $ 1,063,385,410 Membership Interest 10

3/14/2011 $ 6,716,327 $ 1,056,669,083 Membership Interest 10

4/14/2011 $ 7,118,388 $ 1,049,550,694 Membership Interest 10

5/14/2012 $ 39,999,800 $ 1,009,550,894 Membership Interest 10

6/14/2012 $ 287,098,565 $ 722,452,330 Membership Interest 10

7/16/2012 $ 68,749,656 $ 653,702,674 Membership Interest 10

8/14/2012 $ 361,248,194 $ 292,454,480 Membership Interest 10

8/30/2012 Distribution 5, 11 $ 75,278,664

9/12/2012 Distribution 5, 11 $ 79,071,633

9/19/2012 Distribution 5, 11 $ 106,300,357

10/1/2012 Distribution 5, 11 $ 25,909,972

12/21/2012 Distribution 5, 11 $ 678,683

8/13/2013 Distribution Refund $ (18,405)

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,300,847,000 12 $ 2,128,000,000 5/16/2011 $ 30,244,575 $ 2,097,755,425

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 88,087 $ 2,097,667,339

Debt Obligation w/ 

Contingent Proceeds

5/3/2012 $ 80,000,000 $ 2,017,667,339

Debt Obligation w/ 

Contingent Proceeds

5/14/2012 $ 30,000,000 $ 1,987,667,339

Debt Obligation w/ 

Contingent Proceeds

5/23/2012 $ 500,000,000 $ 1,487,667,339

Debt Obligation w/ 

Contingent Proceeds

6/14/2012 $ 44,200,000 $ 1,443,467,339

Debt Obligation w/ 

Contingent Proceeds

6/25/2012 $ 120,000,000 $ 1,323,467,339

Debt Obligation w/ 

Contingent Proceeds

7/16/2012 $ 17,500,000 $ 1,305,967,339

Debt Obligation w/ 

Contingent Proceeds

7/27/2012 $ 450,000,000 $ 855,967,339

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 272,500,000 $ 583,467,339

Debt Obligation w/ 

Contingent Proceeds

10/3/2012 Distribution 5, 11 $ 12,012,957

12/21/2012 Distribution 5, 11 $ 16,967

8/13/2013 Distribution Refund $ (460)

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 694,980,000 $ 528,184,800 8/14/2012 $ 90,269,076 $ 437,915,724 Membership Interest 10

9/17/2012 $ 8,833,632 $ 429,082,092 Membership Interest 10

10/15/2012 $ 10,055,653 $ 419,026,439 Membership Interest 10

11/5/2012 Distribution 5, 11 $ 297,511,708

12/5/2012 Distribution 5, 11 $ 57,378,964

12/6/2013 Distribution 5, 11 $ 1,609,739

2 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,389,960,000 $ 1,053,000,000 7/31/2012 $ 175,000,000 $ 878,000,000

Debt Obligation w/ 

Contingent Proceeds

 $ - 

$ - Contingent Proceeds

8/30/2012 $ 292,454,480

11/5/2012 $ 419,026,439

Membership Interest 10

Membership Interest 10

$ - Membership Interest 10

3/13/2013 $ 243,459,145 $ 0

 

8/22/2012 $ 583,467,339 $ - Contingent Proceeds

1/24/2013 $ 341,479,690

59
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

8/14/2012 $ 5,539,055 $ 872,460,945

Debt Obligation w/ 

Contingent Proceeds

8/31/2012 $ 16,000,000 $ 856,460,945

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 1,667,352 $ 854,793,592

Debt Obligation w/ 

Contingent Proceeds

9/28/2012 $ 35,000,000 $ 819,793,592

Debt Obligation w/ 

Contingent Proceeds

10/15/2012 $ 25,334,218 $ 794,459,374

Debt Obligation w/ 

Contingent Proceeds

11/5/2012 Distribution 5, 11 $ 8,289,431

12/5/2012 Distribution 5, 11 $ 1,433,088

12/6/2013 Distribution 5, 11 $ 141,894

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,271,337,500 7/16/2010 $ 1,243,275,000 $ 1,117,399,170 2/14/2012 $ 87,099,565 $ 1,030,299,606 Membership Interest 10

3/14/2012 $ 99,462,003 $ 930,837,603 Membership Interest 10

5/14/2012 $ 74,999,625 $ 855,837,978 Membership Interest 10

7/16/2012 $ 18,749,906 $ 837,088,072 Membership Interest 10

8/14/2012 $ 68,399,658 $ 768,688,414 Membership Interest 10

9/17/2012 $ 124,999,375 $ 643,689,039 Membership Interest 10

10/15/2012 $ 240,673,797 $ 403,015,242 Membership Interest 10

11/15/2012 $ 45,764,825 $ 357,250,417 Membership Interest 10

12/14/2012 $ 24,588,926 $ 332,661,491 Membership Interest 10

1/15/2013 $ 30,470,429 $ 302,191,061 Membership Interest 10

2/14/2013 $ 295,328,636 $ 6,862,425 Membership Interest 10

2/21/2013 Distribution 5, 11 $ 184,431,858

2/27/2013 Distribution 5, 11 $ 20,999,895

3/14/2013 Distribution 5, 11 $ 156,174,219

4/19/2013 Distribution 5, 11 $ 105,620,441

4/25/2013 Distribution 5, 11 $ 42,099,442

5/29/2013 Distribution 5, 11 $ 49,225,244

9/30/2014 Final Distribution 5, 11 $ 1,748,833

12/8/2017 Final Distribution 5, 16 $ 510,899

11/16/2018 Final Distribution 5, 17 $ 54,981

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,542,675,000 7/16/2010 $ 2,486,550,000 $ 2,234,798,340 2/14/2012 $ 174,200,000 $ 2,060,598,340

Debt Obligation w/ 

Contingent Proceeds

3/14/2012 $ 198,925,000 $ 1,861,673,340

Debt Obligation w/ 

Contingent Proceeds

5/14/2012 $ 150,000,000 $ 1,711,673,340

Debt Obligation w/ 

Contingent Proceeds

7/16/2012 $ 37,500,000 $ 1,674,173,340

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 136,800,000 $ 1,537,373,340

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 250,000,000 $ 1,287,373,340

Debt Obligation w/ 

Contingent Proceeds

10/15/2012 $ 481,350,000 $ 806,023,340

Debt Obligation w/ 

Contingent Proceeds

11/15/2012 $ 274,590,324 $ 531,433,016

Debt Obligation w/ 

Contingent Proceeds

12/14/2012 $ 147,534,295 $ 383,898,721

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 182,823,491 $ 201,075,230

Debt Obligation w/ 

Contingent Proceeds

4/19/2013 Distribution 5, 11 $ 17,118,005

4/25/2013 Distribution 5, 11 $ 1,052,497

5/29/2013 Distribution 5, 11 $ 1,230,643

9/30/2014 Final Distribution 5, 11 $ 41,556

12/8/2017 Final Distribution 5, 16 $ 12,773

11/16/2018 Final Distribution 5, 17 $ 1,375

1 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 620,578,258 $ 620,578,258 3/14/2011 $ 1,202,957 $ 619,375,301 Membership Interest 10

4/14/2011 $ 3,521,835 $ 615,853,465 Membership Interest 10

8/14/2012 $ 104,959,251 $ 510,894,215 Membership Interest 10

9/17/2012 $ 72,640,245 $ 438,253,970 Membership Interest 10

9/28/2012 $ 180,999,095 $ 257,254,875 Membership Interest 10

$ 6,862,425 $ - Membership Interest 10

2/14/2013 $ 201,075,230 $ - Contingent Proceeds

2/21/2013

10/18/2012 $ 794,459,374 $ - Contingent Proceeds

60
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

10/15/2012 $ 134,999,325 $ 122,255,550 Membership Interest 10

10/19/2012 Distribution 5, 11 $ 147,464,888

11/2/2012 Distribution 5, 11 $ 148,749,256

12/21/2012 Distribution 5, 11 $ 549,997

12/11/2013 Final Distribution 5, 11 $ 75,372

1/28/2015 Distribution 5, 15 $ 61,767

12/31/2018 Distribution 5, 18 $ 181,500

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,241,156,516 $ 1,241,000,000 5/13/2011 $ 13,531,530 $ 1,227,468,470

Debt Obligation w/ 

Contingent Proceeds

7/31/2012 $ 618,750,000 $ 608,718,470

Debt Obligation w/ 

Contingent Proceeds

8/9/2012 $ 151,006,173 $ 457,712,297

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 11,008,652 $ 446,703,645

Debt Obligation w/ 

Contingent Proceeds

8/23/2012 $ 160,493,230 $ 286,210,415

Debt Obligation w/ 

Contingent Proceeds

8/29/2012 $ 103,706,836 $ 182,503,579

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 20,637,410 $ 161,866,170

Debt Obligation w/ 

Contingent Proceeds

10/19/2012 Distribution 5, 11 $ 6,789,287

11/2/2012 Distribution 5, 11 $ 3,718,769

12/21/2012 Distribution 5, 11 $ 13,750

12/11/2013 Final Distribution 5, 11 $ 1,884

1/28/2015 Distribution 5, 15 $ 1,544

12/31/2018 Distribution 5, 18 $ 4,538

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 474,550,000 $ 474,550,000 9/17/2012 $ 74,499,628 $ 400,050,373 Membership Interest 10

11/15/2012 $ 59,787,459 $ 340,262,914 Membership Interest 10

12/14/2012 $ 40,459,092 $ 299,803,821 Membership Interest 10

1/15/2013 $ 10,409,317 $ 289,394,504 Membership Interest 10

1/30/2013 $ 219,998,900 $ 69,395,604 Membership Interest 10

2/25/2013 $ 39,026,406 $ 30,369,198 Membership Interest 10

3/25/2013 Distribution 5, 11 $ 164,629,827

4/16/2013 Distribution 5, 11 $ 71,462,104

5/16/2013 Distribution 5, 11 $ 38,536,072

7/11/2013 Distribution 5, 11 $ 29,999,850

9/5/2013 Distribution 5, 11 $ 3,999,980

12/27/2013 Distribution 5, 11 $ 5,707,723

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 949,100,000 $ 949,000,000 9/17/2012 $ 149,000,000 $ 800,000,000

Debt Obligation w/ 

Contingent Proceeds

11/15/2012 $ 119,575,516 $ 680,424,484

Debt Obligation w/ 

Contingent Proceeds

11/20/2012 $ 195,000,000 $ 485,424,484

Debt Obligation w/ 

Contingent Proceeds

12/14/2012 $ 47,755,767 $ 437,668,717

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 62,456,214 $ 375,212,503

Debt Obligation w/ 

Contingent Proceeds

4/16/2013 Distribution 5, 11 $ 7,143,340

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,160,784,100 $ 555,904,633 5/16/2013 Distribution 5, 11 $ 963,411

7/11/2013 Distribution 5, 11 $ 750,004

9/5/2013 Distribution 5, 11 $ 100,001

12/27/2013 Distribution 5, 11 $ 142,168

7/15/2011 $ 39,499,803 $ 516,404,830 Membership Interest 10

3/14/2012 $ 39,387,753 $ 477,017,077 Membership Interest 10

9/17/2012 $ 22,111,961 $ 454,905,116 Membership Interest 10

10/15/2012 $ 32,496,972 $ 422,408,144 Membership Interest 10

11/15/2012 $ 111,539,536 $ 310,868,608 Membership Interest 10

12/14/2012 $ 55,540,026 $ 255,328,581 Membership Interest 10

1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10

4/12/2013 $ 18,268,328 $ 222,210,343 Membership Interest 10

9/21/2012 $ 161,866,170 $ - Contingent Proceeds

3/25/2013 $ 30,369,198 $ - Membership Interest 10

1/24/2013 $ 375,212,503 $ - Contingent Proceeds

10/19/2012 $ 122,255,550 $ - Membership Interest 10

61
Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

 

Distribution or Disposition

Footnote Date

Seller

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment

5/14/2013 $ 70,605,973 $ 151,604,370 Membership Interest 10

5/28/2013 $ 119,769,362 $ 31,835,008 Membership Interest 10

6/3/2013 Distribution 5, 11 $ 46,575,750

6/14/2013 Distribution 5, 11 $ 54,999,725

6/24/2013 Distribution 5, 11 $ 27,999,860

6/26/2013 Distribution 5, 11 $ 11,749,941

7/9/2013 Distribution 5, 11 $ 40,974,795

12/12/2013 Final Distribution 5, 11 $ 539,009

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,321,568,200 $ 1,111,000,000 7/15/2011 $ 79,000,000 $ 1,032,000,000

Debt Obligation w/ 

Contingent Proceeds

3/14/2012 $ 78,775,901 $ 953,224,099

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 44,224,144 $ 908,999,956

Debt Obligation w/ 

Contingent Proceeds

10/15/2012 $ 64,994,269 $ 844,005,687

Debt Obligation w/ 

Contingent Proceeds

11/15/2012 $ 223,080,187 $ 620,925,500

Debt Obligation w/ 

Contingent Proceeds

12/14/2012 $ 111,080,608 $ 509,844,892

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 89,099,906 $ 420,744,985

Debt Obligation w/ 

Contingent Proceeds

4/12/2013 $ 109,610,516 $ 311,134,469

Debt Obligation w/ 

Contingent Proceeds

5/28/2013 Distribution 5, 11 $ 444,393

6/3/2013 Distribution 5, 11 $ 1,960,289

6/14/2013 Distribution 5, 11 $ 1,375,007

6/24/2013 Distribution 5, 11 $ 700,004

6/26/2013 Distribution 5, 11 $ 293,751

7/9/2013 Distribution 5, 11 $ 1,024,380

12/12/2013 Final Distribution 5, 11 $ 13,475

$ 30,000,000,000 $ 21,856,403,574 $ 2,645,935,688

TOTAL CAPITAL REPAYMENT AMOUNT $ 18,625,147,938

17/ On 11/16/2018, AG GECC PPIF Master Fund, L.P. made a distribution to Treasury in respect of certain settlement proceeds.

18/ On 12/31/2018, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.

6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, 

respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.

13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012. 

14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.

15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.

16/ On 12/8/2017, AG GECC PPIF Master Fund, L.P. made a distribution to Treasury in respect of certain settlement proceeds.

6/3/2013 $ 31,835,008 $ - Membership Interest 10

5/14/2013 $ 311,134,469 $ - Contingent Proceeds

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.

8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

9/ Cumulative capital drawn at end of the Investment Period.

10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.

11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.

5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.

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.

TOTAL DISTRIBUTIONS 5

1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.

2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.

3/ Adjusted to show Treasury's maximum obligations to a fund.

62
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending 10/25/2019

MAKING HOME AFFORDABLE PROGRAM

Name of Institution City State Pricing 

Mechanism

Note Reason for Adjustment

21st Mortgage Corporation Knoxville TN - N/A 3 $ 130,000 Transfer of cap due to servicing transfer

$ 129,999 Updated due to quarterly assessment and reallocation

$ 159,999 Transfer of cap due to servicing transfer

$ 159,903 Updated due to quarterly assessment and reallocation

$ 339,903 Transfer of cap due to servicing transfer

$ 339,883 Updated due to quarterly assessment and reallocation

$ 10,339,883 Transfer of cap due to servicing transfer

$ 10,529,883 Transfer of cap due to servicing transfer

$ 10,526,735 Updated due to quarterly assessment and reallocation

$ 10,520,560 Updated due to quarterly assessment and reallocation

$ 10,570,560 Transfer of cap due to servicing transfer

$ 10,700,560 Transfer of cap due to servicing transfer

$ 10,698,414 Updated due to quarterly assessment and reallocation

$ 10,748,414 Transfer of cap due to servicing transfer

$ 14,212,215 Updated due to quarterly assessment and reallocation

$ 14,252,215 Transfer of cap due to servicing transfer

$ 14,333,296 Updated due to quarterly assessment and reallocation

$ 14,383,296 Transfer of cap due to servicing transfer

$ 14,316,775 Updated due to quarterly assessment and reallocation

$ 14,358,643 Updated due to quarterly assessment and reallocation

$ 14,671,585 Updated due to quarterly assessment and reallocation

$ 14,610,796 Updated due to quarterly assessment and reallocation

$ 14,114,277 Reallocation due to MHA program deobligation

$ 14,102,435 Updated due to quarterly assessment and reallocation

$ 17,332,435 Transfer of cap due to servicing transfer

$ 16,548,727 Updated due to quarterly assessment and reallocation

$ 16,137,892 Updated due to quarterly assessment and reallocation

$ 15,825,097 Updated due to quarterly assessment and reallocation

$ 15,746,948 Updated due to quarterly assessment and reallocation

$ 15,836,635 Updated due to quarterly assessment and reallocation

$ 15,836,635 Updated due to quarterly assessment and reallocation

$ 15,832,195 Updated due to quarterly assessment and reallocation

$ 15,831,304 Transfer of cap due to servicing transfer

$ 15,825,716 Transfer of cap due to servicing transfer

$ 15,824,887 Transfer of cap due to servicing transfer

$ 15,814,624 Transfer of cap due to servicing transfer

$ 15,814,307 Transfer of cap due to servicing transfer

$ 15,779,169 Transfer of cap due to servicing transfer

$ 15,756,442 Transfer of cap due to servicing transfer

$ 15,726,818 Transfer of cap due to servicing transfer

$ 15,724,982 Transfer of cap due to servicing transfer

$ 15,718,194 Transfer of cap due to servicing transfer

$ 15,702,400 Transfer of cap due to servicing transfer

$ 15,699,359 Transfer of cap due to servicing transfer

$ 13,416,681 Reallocation due to MHA program deobligation

$ 13,416,549 Transfer of cap due to servicing transfer

$ 13,416,391 Transfer of cap due to servicing transfer

$ 13,410,672 Transfer of cap due to servicing transfer

AgFirst Farm Credit Bank Columbia SC $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

- Termination of SPA

Allstate Mortgage Loans & Investments, 

Inc. Ocala FL $ 250,000 N/A $ 310,000 Updated portfolio data from servicer/additional program initial cap

$ 230,000 Updated portfolio data from servicer/additional program initial cap

$ 510,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

09/29/2014 $ (63) $ 144,461 Updated due to quarterly assessment and reallocation

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ (410,000)

03/26/2010 $ 280,000

12/30/2009 $ (80,000)

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 60,000

03/23/2011 $ (145,056)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

10/25/2018 $ (5,719)

09/26/2018 $ (158)

08/27/2018 $ (132)

07/26/2018 $ (2,282,678)

06/21/2018 $ (3,041)

04/25/2018 $ (15,794)

03/22/2018 $ (6,788)

02/26/2018 $ (1,836)

12/21/2017 $ (29,624)

10/26/2017 $ (22,727)

09/26/2017 $ (35,138)

07/26/2017 $ (317)

06/26/2017 $ (10,263)

04/26/2017 $ (829)

02/27/2017 $ (5,588)

12/27/2016 $ (891)

11/29/2016 $ (4,440)

11/07/2016 -

10/25/2016 $ 89,687

09/28/2016 $ (78,149)

07/27/2016 $ (312,795)

06/27/2016 $ (410,835)

05/31/2016 $ (783,708)

05/16/2016 $ 3,230,000

03/28/2016 $ (11,842)

02/25/2016 $ (496,519)

12/28/2015 $ (60,789)

09/28/2015 $ 312,942

06/25/2015 $ 41,868

04/28/2015 $ (66,521)

04/16/2015 $ 50,000

03/26/2015 $ 81,081

01/15/2015 $ 40,000

12/29/2014 $ 3,463,801

11/14/2014 $ 50,000

09/29/2014 $ (2,146)

09/16/2014 $ 130,000

08/14/2014 $ 50,000

07/29/2014 $ (6,175)

06/26/2014 $ (3,148)

06/16/2014 $ 190,000

04/16/2014 $ 10,000,000

03/26/2014 $ (20)

01/16/2014 $ 180,000

12/23/2013 $ (96)

12/16/2013 $ 30,000

03/25/2013 $ (1)

CAP Adjustment Amount Adjusted CAP

03/14/2013 Purchase Financial Instrument for Home Loan Modifications 03/14/2013 $ 130,000

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

63
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

$ 100,072 Reallocation due to MHA program deobligation

$ 100,071 Transfer of cap due to servicing transfer

6 $ 39,094 Termination of SPA

Ally Bank Midvale UT - N/A 3 $ 7,600,000 Transfer of cap due to servicing transfer

$ 7,598,848 Updated due to quarterly assessment and reallocation

$ 9,431,735 Updated due to quarterly assessment and reallocation

$ 9,501,735 Transfer of cap due to servicing transfer

$ 9,611,735 Transfer of cap due to servicing transfer

$ 9,608,497 Updated due to quarterly assessment and reallocation

$ 9,573,953 Updated due to quarterly assessment and reallocation

$ 9,544,669 Updated due to quarterly assessment and reallocation

$ 5,744,669 Transfer of cap due to servicing transfer

$ 5,579,534 Updated due to quarterly assessment and reallocation

$ 5,179,534 Transfer of cap due to servicing transfer

$ 5,015,073 Updated due to quarterly assessment and reallocation

$ 4,398,747 Reallocation due to MHA program deobligation

$ 4,408,747 Transfer of cap due to servicing transfer

$ 4,395,712 Updated due to quarterly assessment and reallocation

$ 45,235,712 Transfer of cap due to servicing transfer

$ 36,502,887 Updated due to quarterly assessment and reallocation

$ 31,285,155 Updated due to quarterly assessment and reallocation

$ 26,052,939 Updated due to quarterly assessment and reallocation

$ 16,963,529 Updated due to quarterly assessment and reallocation

$ 8,404,373 Updated due to quarterly assessment and reallocation

$ 11,704,229 Updated due to quarterly assessment and reallocation

$ 11,645,147 Updated due to quarterly assessment and reallocation

$ 11,636,307 Transfer of cap due to servicing transfer

$ 11,488,734 Transfer of cap due to servicing transfer

$ 11,479,144 Transfer of cap due to servicing transfer

$ 11,406,467 Transfer of cap due to servicing transfer

$ 11,404,187 Transfer of cap due to servicing transfer

$ 8,513,540 Transfer of cap due to servicing transfer

$ 8,152,994 Transfer of cap due to servicing transfer

$ 7,774,447 Transfer of cap due to servicing transfer

$ 7,755,820 Transfer of cap due to servicing transfer

$ 7,694,571 Transfer of cap due to servicing transfer

$ 7,572,787 Transfer of cap due to servicing transfer

$ 7,549,349 Transfer of cap due to servicing transfer

$ 4,355,444 Reallocation due to MHA program deobligation

$ 4,355,269 Transfer of cap due to servicing transfer

$ 4,355,082 Transfer of cap due to servicing transfer

$ 4,348,443 Transfer of cap due to servicing transfer

Amarillo National Bank Amarillo TX $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

09/27/2012 $ (2) $ 145,052 Updated due to quarterly assessment and reallocation

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

10/25/2018 $ (6,639)

09/26/2018 $ (187)

08/27/2018 $ (175)

07/26/2018 $ (3,193,905)

06/21/2018 $ (23,438)

04/25/2018 $ (121,784)

03/22/2018 $ (61,249)

02/26/2018 $ (18,627)

12/21/2017 $ (378,547)

10/26/2017 $ (360,546)

09/26/2017 $ (2,890,647)

07/26/2017 $ (2,280)

06/26/2017 $ (72,677)

04/26/2017 $ (9,590)

02/27/2017 $ (147,573)

12/27/2016 $ (8,840)

11/29/2016 $ (59,082)

11/07/2016 $ 3,299,856

10/25/2016 $ (8,559,156)

09/28/2016 $ (9,089,410)

07/27/2016 $ (5,232,216)

06/27/2016 $ (5,217,732)

05/31/2016 $ (8,732,825)

05/16/2016 $ 40,840,000

03/28/2016 $ (13,035)

03/16/2016 $ 10,000

02/25/2016 $ (616,326)

12/28/2015 $ (164,461)

10/15/2015 $ (400,000)

09/28/2015 $ (165,135)

08/14/2015 $ (3,800,000)

06/25/2015 $ (29,284)

04/28/2015 $ (34,544)

03/26/2015 $ (3,238)

02/13/2015 $ 110,000

01/15/2015 $ 70,000

12/29/2014 $ 1,832,887

09/29/2014 $ (1,152)

08/14/2014 Purchase Financial Instrument for Home Loan Modifications 08/14/2014 $ 7,600,000

09/12/2019 $ (60,977)

10/25/2018 $ (1)

07/26/2018 $ (386)

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

64
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

- Termination of SPA

Ameriana Bank New Castle IN - N/A 3 $ 60,000 Transfer of cap due to servicing transfer

$ 50,000 Transfer of cap due to servicing transfer

American Eagle Federal Credit Union East Hartford CT $ 1,590,000 N/A $ 1,660,000 Updated portfolio data from servicer/additional program initial cap

$ 1,370,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,319 Updated due to quarterly assessment and reallocation

- Termination of SPA

American Finance House LARIBA Pasadena CA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

- Termination of SPA

American Financial Resources Inc. Parsippany NJ $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

- Termination of SPA

Apex Bank (Bank of Camden) Knoxville TN - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$ 140,000 Transfer of cap due to servicing transfer

$ 132,563 Updated due to quarterly assessment and reallocation

$ 119,159 Updated due to quarterly assessment and reallocation

$ 106,493 Updated due to quarterly assessment and reallocation

11/07/2016 $ 4,883 $ 111,376 Updated due to quarterly assessment and reallocation

10/25/2016 $ (12,666)

09/28/2016 $ (13,404)

07/27/2016 $ (7,437)

07/14/2016 $ 120,000

04/16/2015 Purchase Financial Instrument for Home Loan Modifications 04/16/2015 $ 20,000

06/15/2017 $ (101,069)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

02/02/2011 $ (145,056)

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

01/25/2012 $ (870,319)

06/29/2011 $ (13)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 70,334

07/14/2010 $ (570,000)

03/26/2010 $ (290,000)

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 70,000

01/13/2017 $ (10,000)

07/16/2014 Purchase Financial Instrument for Home Loan Modifications 07/16/2014 $ 60,000

06/15/2017 $ (101,069)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

65
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 111,288 Updated due to quarterly assessment and reallocation

$ 141,288 Transfer of cap due to servicing transfer

$ 141,239 Transfer of cap due to servicing transfer

$ 140,390 Transfer of cap due to servicing transfer

$ 140,334 Transfer of cap due to servicing transfer

$ 139,906 Transfer of cap due to servicing transfer

$ 139,893 Transfer of cap due to servicing transfer

$ 122,824 Transfer of cap due to servicing transfer

$ 120,707 Transfer of cap due to servicing transfer

$ 118,502 Transfer of cap due to servicing transfer

$ 118,395 Transfer of cap due to servicing transfer

$ 118,056 Transfer of cap due to servicing transfer

$ 574,880 Transfer of cap due to servicing transfer

$ 574,595 Transfer of cap due to servicing transfer

$ 474,673 Reallocation due to MHA program deobligation

$ 474,666 Transfer of cap due to servicing transfer

$ 474,657 Transfer of cap due to servicing transfer

$ 474,335 Transfer of cap due to servicing transfer

$ 543,024 Transfer of cap due to servicing transfer

Aurora Financial Group, Inc. Marlton NJ $ 10,000 N/A $ 40,000 Updated portfolio data from servicer/additional program initial cap

$ 290,111 Updated portfolio data from servicer

$ 350,000 Updated due to quarterly assessment and reallocation

$ 349,998 Updated due to quarterly assessment and reallocation

$ 349,993 Updated due to quarterly assessment and reallocation

$ 349,992 Updated due to quarterly assessment and reallocation

$ 349,989 Updated due to quarterly assessment and reallocation

$ 349,988 Updated due to quarterly assessment and reallocation

$ 349,229 Updated due to quarterly assessment and reallocation

$ 349,202 Updated due to quarterly assessment and reallocation

$ 348,887 Updated due to quarterly assessment and reallocation

$ 348,262 Updated due to quarterly assessment and reallocation

$ 348,055 Updated due to quarterly assessment and reallocation

$ 344,559 Updated due to quarterly assessment and reallocation

$ 134,559 Transfer of cap due to servicing transfer

$ 131,856 Updated due to quarterly assessment and reallocation

$ 121,202 Updated due to quarterly assessment and reallocation

$ 118,675 Updated due to quarterly assessment and reallocation

$ 115,300 Updated due to quarterly assessment and reallocation

$ 112,802 Updated due to quarterly assessment and reallocation

$ 105,669 Reallocation due to MHA program deobligation

$ 105,520 Updated due to quarterly assessment and reallocation

$ 104,354 Updated due to quarterly assessment and reallocation

$ 103,657 Updated due to quarterly assessment and reallocation

$ 102,960 Updated due to quarterly assessment and reallocation

$ 101,742 Updated due to quarterly assessment and reallocation

$ 100,590 Updated due to quarterly assessment and reallocation

$ 101,034 Updated due to quarterly assessment and reallocation

$ 101,026 Updated due to quarterly assessment and reallocation

$ 101,025 Transfer of cap due to servicing transfer

$ 101,004 Transfer of cap due to servicing transfer

$ 101,003 Transfer of cap due to servicing transfer

$ 100,992 Transfer of cap due to servicing transfer

$ 100,568 Transfer of cap due to servicing transfer

$ 100,515 Transfer of cap due to servicing transfer

$ 100,460 Transfer of cap due to servicing transfer

$ 100,457 Transfer of cap due to servicing transfer

$ 100,448 Transfer of cap due to servicing transfer

$ 100,431 Transfer of cap due to servicing transfer

$ 100,428 Transfer of cap due to servicing transfer

$ 100,067 Reallocation due to MHA program deobligation

$ 100,066 Transfer of cap due to servicing transfer

Aurora Loan Services, LLC Littleton CO $ 798,000,000 N/A $ 459,550,000 Updated portfolio data from servicer

$ 447,690,000 Updated portfolio data from servicer/additional program initial cap

$ 469,020,000 Updated portfolio data from servicer/additional program initial cap

$ 478,170,000 Updated portfolio data from servicer

$ 401,300,000 Updated portfolio data from servicer

$ 401,700,000 Updated portfolio data from servicer/additional program initial cap

$ 393,245,731 Updated portfolio data from servicer

$ 393,245,389 Updated due to quarterly assessment and reallocation

$ 393,245,015 Updated due to quarterly assessment and reallocation

$ 411,245,015 Transfer of cap due to servicing transfer

06/29/2011 $ (3,273) $ 411,241,742 Updated due to quarterly assessment and reallocation

05/13/2011 $ 18,000,000

03/30/2011 $ (374)

01/06/2011 $ (342)

09/30/2010 $ (8,454,269)

09/01/2010 $ 400,000

07/14/2010 $ (76,870,000)

03/26/2010 $ 9,150,000

12/30/2009 $ 21,330,000

09/30/2009 $ (11,860,000)

05/01/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (338,450,000)

10/25/2018 $ (1)

07/26/2018 $ (361)

06/21/2018 $ (3)

04/25/2018 $ (17)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (55)

10/26/2017 $ (53)

09/26/2017 $ (424)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (21)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 444

10/25/2016 $ (1,152)

09/28/2016 $ (1,218)

07/27/2016 $ (697)

06/27/2016 $ (697)

05/31/2016 $ (1,166)

03/28/2016 $ (149)

02/25/2016 $ (7,133)

12/28/2015 $ (2,498)

09/28/2015 $ (3,375)

06/25/2015 $ (2,527)

04/28/2015 $ (10,654)

03/26/2015 $ (2,703)

03/16/2015 $ (210,000)

12/29/2014 $ (3,496)

09/29/2014 $ (207)

07/29/2014 $ (625)

06/26/2014 $ (315)

03/26/2014 $ (27)

12/23/2013 $ (759)

06/27/2013 $ (1)

03/25/2013 $ (3)

12/27/2012 $ (1)

09/27/2012 $ (5)

06/28/2012 $ (2)

06/29/2011 $ 59,889

09/30/2010 $ 250,111

05/21/2010 Purchase Financial Instrument for Home Loan Modifications 05/26/2010 $ 30,000

03/25/2019 $ 68,689

10/25/2018 $ (322)

09/26/2018 $ (9)

08/27/2018 $ (7)

07/26/2018 $ (99,922)

06/21/2018 $ (285)

04/25/2018 $ 456,824

03/22/2018 $ (339)

02/26/2018 $ (107)

12/21/2017 $ (2,205)

10/26/2017 $ (2,117)

09/26/2017 $ (17,069)

07/26/2017 $ (13)

06/26/2017 $ (428)

04/26/2017 $ (56)

02/27/2017 $ (849)

12/27/2016 $ (49)

12/15/2016 $ 30,000

11/29/2016 $ (88)

66
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 411,041,742 Transfer of cap due to servicing transfer

$ 411,141,742 Transfer of cap due to servicing transfer

$ 410,641,742 Transfer of cap due to servicing transfer

$ 410,639,974 Updated due to quarterly assessment and reallocation

$ 410,549,974 Transfer of cap due to servicing transfer

$ 276,319,974 Transfer of cap due to servicing transfer

$ 109,343,125 Transfer of cap due to servicing transfer

$ 109,343,126 Updated due to quarterly assessment and reallocation

$ 109,113,126 Transfer of cap due to servicing transfer

$ 109,113,125 Updated due to quarterly assessment and reallocation

$ 109,093,125 Transfer of cap due to servicing transfer

$ 109,043,125 Transfer of cap due to servicing transfer

$ 109,043,110 Updated due to quarterly assessment and reallocation

11 $ 85,863,519 Termination of SPA

Axiom Bank (Urban Trust Bank) Lake Mary FL $ 1,060,000 N/A $ 5,500,000 Updated portfolio data from servicer

- Termination of SPA

3 $ 40,000 Transfer of cap due to servicing transfer

$ 42,719 Updated due to quarterly assessment and reallocation

Banco Popular de Puerto Rico San Juan PR $ 1,700,000 N/A $ 2,465,945 Updated portfolio data from servicer

$ 2,465,942 Updated due to quarterly assessment and reallocation

$ 2,465,938 Updated due to quarterly assessment and reallocation

$ 2,465,902 Updated due to quarterly assessment and reallocation

$ 2,465,872 Updated due to quarterly assessment and reallocation

$ 2,465,789 Updated due to quarterly assessment and reallocation

$ 2,465,775 Updated due to quarterly assessment and reallocation

$ 2,465,722 Updated due to quarterly assessment and reallocation

$ 2,465,702 Updated due to quarterly assessment and reallocation

$ 2,925,702 Transfer of cap due to servicing transfer

$ 2,925,695 Updated due to quarterly assessment and reallocation

$ 2,913,356 Updated due to quarterly assessment and reallocation

$ 2,963,356 Transfer of cap due to servicing transfer

$ 2,962,907 Updated due to quarterly assessment and reallocation

$ 2,972,907 Transfer of cap due to servicing transfer

$ 2,992,907 Transfer of cap due to servicing transfer

$ 2,987,585 Updated due to quarterly assessment and reallocation

$ 2,976,956 Updated due to quarterly assessment and reallocation

$ 2,973,441 Updated due to quarterly assessment and reallocation

$ 2,618,637 Updated due to quarterly assessment and reallocation

$ 2,484,183 Updated due to quarterly assessment and reallocation

$ 1,954,111 Updated due to quarterly assessment and reallocation

$ 1,827,586 Updated due to quarterly assessment and reallocation

$ 1,655,658 Updated due to quarterly assessment and reallocation

$ 1,508,396 Updated due to quarterly assessment and reallocation

$ 1,059,005 Reallocation due to MHA program deobligation

$ 1,049,402 Updated due to quarterly assessment and reallocation

$ 977,449 Updated due to quarterly assessment and reallocation

$ 939,297 Updated due to quarterly assessment and reallocation

$ 904,010 Updated due to quarterly assessment and reallocation

$ 892,088 Updated due to quarterly assessment and reallocation

$ 8,556,210 Updated due to quarterly assessment and reallocation

$ 8,556,210 Updated due to quarterly assessment and reallocation

$ 8,547,437 Updated due to quarterly assessment and reallocation

$ 8,545,945 Transfer of cap due to servicing transfer

$ 14,889,415 Transfer of cap due to servicing transfer

$ 16,865,154 Transfer of cap due to servicing transfer

$ 17,547,824 Transfer of cap due to servicing transfer

$ 17,547,798 Transfer of cap due to servicing transfer

$ 13,528,045 Transfer of cap due to servicing transfer

$ 17,810,060 Transfer of cap due to servicing transfer

$ 17,743,290 Transfer of cap due to servicing transfer

$ 17,739,800 Transfer of cap due to servicing transfer

$ 17,725,872 Transfer of cap due to servicing transfer

$ 17,697,246 Transfer of cap due to servicing transfer

$ 17,690,518 Transfer of cap due to servicing transfer

$ 13,883,837 Reallocation due to MHA program deobligation

$ 13,883,428 Transfer of cap due to servicing transfer

$ 13,882,893 Transfer of cap due to servicing transfer

$ 13,862,938 Transfer of cap due to servicing transfer

$ 13,862,937 Transfer of cap due to servicing transfer

Bangor Savings Bank Bangor ME - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

- Termination of SPA

04/17/2009 Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 N/A 06/12/2009 $ 5,540,000 $ 804,440,000 Updated portfolio data from servicer

10/16/2017 $ (100,000)

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/15/2011 $ 100,000

12/14/2018 $ (1)

10/25/2018 $ (19,955)

09/26/2018 $ (535)

08/27/2018 $ (409)

07/26/2018 $ (3,806,681)

06/21/2018 $ (6,728)

04/25/2018 $ (28,626)

03/22/2018 $ (13,928)

02/26/2018 $ (3,490)

12/21/2017 $ (66,770)

10/26/2017 $ 4,282,015

09/26/2017 $ (4,019,753)

07/26/2017 $ (26)

06/26/2017 $ 682,670

04/26/2017 $ 1,975,739

02/27/2017 $ 6,343,470

12/27/2016 $ (1,492)

11/29/2016 $ (8,773)

11/07/2016 -

10/25/2016 $ 7,664,122

09/28/2016 $ (11,922)

07/27/2016 $ (35,287)

06/27/2016 $ (38,152)

05/31/2016 $ (71,953)

03/28/2016 $ (9,603)

02/25/2016 $ (449,391)

12/28/2015 $ (147,262)

09/28/2015 $ (171,928)

06/25/2015 $ (126,525)

04/28/2015 $ (530,072)

03/26/2015 $ (134,454)

12/29/2014 $ (354,804)

09/29/2014 $ (3,515)

07/29/2014 $ (10,629)

06/26/2014 $ (5,322)

05/15/2014 $ 20,000

04/16/2014 $ 10,000

03/26/2014 $ (449)

01/16/2014 $ 50,000

12/23/2013 $ (12,339)

09/27/2013 $ (7)

09/16/2013 $ 460,000

06/27/2013 $ (20)

03/25/2013 $ (53)

12/27/2012 $ (14)

09/27/2012 $ (83)

06/28/2012 $ (30)

06/29/2011 $ (36)

03/30/2011 $ (4)

01/06/2011 $ (3)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 765,945

12/29/2014 $ 2,719

12/16/2013 $ 40,000

09/24/2010 $ (5,500,000)

03/03/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ 4,440,000

07/09/2013 $ (23,179,591)

06/27/2013 $ (15)

06/14/2013 $ (50,000)

05/16/2013 $ (20,000)

03/25/2013 $ (1)

11/15/2012 $ (230,000)

09/27/2012 $ 1

08/23/2012 $ (166,976,849)

08/16/2012 $ (134,230,000)

07/16/2012 $ (90,000)

06/28/2012 $ (1,768)

04/16/2012 $ (500,000)

03/15/2012 $ 100,000

10/14/2011 $ (200,000)

67
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 967,120,000 Updated portfolio data from servicer/additional program initial cap

$ 1,632,630,000 Updated portfolio data from servicer/additional program initial cap

$ 2,433,020,000 Updated portfolio data from servicer/additional program initial cap

$ 1,603,650,000 Updated portfolio data from servicer

$ 1,236,900,000 Updated portfolio data from servicer

$ 1,332,200,000 Updated portfolio data from servicer/additional program initial cap

$ 1,555,141,084 Updated portfolio data from servicer

$ 1,555,138,885 Updated due to quarterly assessment and reallocation

$ 1,555,136,337 Updated due to quarterly assessment and reallocation

$ 1,555,113,000 Updated due to quarterly assessment and reallocation

$ 1,554,813,000 Transfer of cap due to servicing transfer

$ 1,434,113,000 Transfer of cap due to servicing transfer

$ 1,433,213,000 Transfer of cap due to servicing transfer

$ 1,433,013,000 Transfer of cap due to servicing transfer

$ 1,432,995,107 Updated due to quarterly assessment and reallocation

7 $ 31,278,513 Termination of SPA

7 $ 31,017,611 Termination of SPA

Bank of America, N.A. (BAC Home 

Loans Servicing, LP) Simi Valley CA $ 1,864,000,000 N/A $ 5,182,840,000 Updated portfolio data from servicer

$ 4,465,420,000 Updated portfolio data from servicer/additional program initial cap

$ 6,756,200,000 Updated portfolio data from servicer/additional program initial cap

$ 7,206,300,000 Updated portfolio data from servicer/additional program initial cap

$ 8,111,310,000 Updated portfolio data from servicer

$ 8,121,590,000 Transfer of cap due to servicing transfer

$ 8,408,100,000 Transfer of cap due to servicing transfer

$ 6,620,800,000 Updated portfolio data from servicer

$ 6,726,300,000 Updated portfolio data from servicer/additional program initial cap

$ 6,111,772,638 Updated portfolio data from servicer

$ 6,347,772,638 Transfer of cap due to servicing transfer

$ 6,347,764,626 Updated due to quarterly assessment and reallocation

$ 6,349,564,626 Transfer of cap due to servicing transfer

$ 6,349,664,626 Transfer of cap due to servicing transfer

$ 6,349,655,436 Updated due to quarterly assessment and reallocation

$ 6,349,855,436 Transfer of cap due to servicing transfer

$ 6,350,155,436 Transfer of cap due to servicing transfer

$ 6,349,155,436 Transfer of cap due to servicing transfer

$ 6,349,073,089 Updated due to quarterly assessment and reallocation

$ 6,348,873,089 Transfer of cap due to servicing transfer

$ 6,345,473,089 Transfer of cap due to servicing transfer

$ 6,344,073,089 Transfer of cap due to servicing transfer

$ 6,464,673,089 Transfer of cap due to servicing transfer

$ 6,782,629,378 Transfer of cap due to merger/acquisition

$ 6,783,429,378 Transfer of cap due to servicing transfer

$ 6,765,829,378 Transfer of cap due to servicing transfer

$ 6,763,729,378 Transfer of cap due to servicing transfer

$ 6,739,829,378 Transfer of cap due to servicing transfer

$ 6,676,029,378 Transfer of cap due to servicing transfer

$ 6,676,049,378 Transfer of cap due to servicing transfer

$ 6,667,189,378 Transfer of cap due to servicing transfer

$ 6,667,130,828 Updated due to quarterly assessment and reallocation

$ 6,660,290,828 Transfer of cap due to servicing transfer

$ 8,062,007,423 Transfer of cap due to merger/acquisition

$ 8,057,227,423 Transfer of cap due to servicing transfer

$ 8,057,021,476 Updated due to quarterly assessment and reallocation

$ 7,903,801,476 Transfer of cap due to servicing transfer

$ 7,876,501,476 Transfer of cap due to servicing transfer

$ 7,826,151,476 Transfer of cap due to servicing transfer

$ 7,826,117,961 Updated due to quarterly assessment and reallocation

$ 7,799,117,961 Transfer of cap due to servicing transfer

$ 7,757,287,961 Transfer of cap due to servicing transfer

$ 7,751,387,961 Transfer of cap due to servicing transfer

$ 7,751,265,357 Updated due to quarterly assessment and reallocation

$ 7,749,855,357 Transfer of cap due to servicing transfer

$ 7,748,915,357 Transfer of cap due to servicing transfer

$ 7,731,965,357 Transfer of cap due to servicing transfer

$ 7,731,920,254 Updated due to quarterly assessment and reallocation

$ 7,706,340,254 Transfer of cap due to servicing transfer

$ 7,699,610,254 Transfer of cap due to servicing transfer

$ 7,408,970,254 Transfer of cap due to servicing transfer

$ 7,408,954,843 Updated due to quarterly assessment and reallocation

$ 7,329,754,843 Transfer of cap due to servicing transfer

$ 7,330,015,745 Transfer of cap due to merger/acquisition

11/14/2013 $ (14,600,000) $ 7,315,415,745 Transfer of cap due to servicing transfer

10/16/2013 $ 260,902

10/15/2013 $ (79,200,000)

09/27/2013 $ (15,411)

09/16/2013 $ (290,640,000)

08/15/2013 $ (6,730,000)

07/16/2013 $ (25,580,000)

06/27/2013 $ (45,103)

06/14/2013 $ (16,950,000)

05/16/2013 $ (940,000)

04/16/2013 $ (1,410,000)

03/25/2013 $ (122,604)

03/14/2013 $ (5,900,000)

02/14/2013 $ (41,830,000)

01/16/2013 $ (27,000,000)

12/27/2012 $ (33,515)

12/14/2012 $ (50,350,000)

11/15/2012 $ (27,300,000)

10/16/2012 $ (153,220,000)

09/27/2012 $ (205,946)

08/16/2012 $ (4,780,000)

08/10/2012 $ 1,401,716,594

07/16/2012 $ (6,840,000)

06/28/2012 $ (58,550)

06/14/2012 $ (8,860,000)

05/16/2012 $ 20,000

04/16/2012 $ (63,800,000)

03/15/2012 $ (23,900,000)

02/16/2012 $ (2,100,000)

12/15/2011 $ (17,600,000)

11/16/2011 $ 800,000

10/19/2011 $ 317,956,289

10/14/2011 $ 120,600,000

09/15/2011 $ (1,400,000)

08/16/2011 $ (3,400,000)

07/14/2011 $ (200,000)

06/29/2011 $ (82,347)

06/16/2011 $ (1,000,000)

05/13/2011 $ 300,000

04/13/2011 $ 200,000

03/30/2011 $ (9,190)

03/16/2011 $ 100,000

02/16/2011 $ 1,800,000

01/06/2011 $ (8,012)

12/15/2010 $ 236,000,000

09/30/2010 $ (614,527,362)

09/30/2010 $ 105,500,000

07/14/2010 $ (1,787,300,000)

06/16/2010 $ 286,510,000

04/19/2010 $ 10,280,000

03/26/2010 $ 905,010,000

01/26/2010 $ 450,100,000

12/30/2009 $ 2,290,780,000

09/30/2009 $ (717,420,000)

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 3,318,840,000

10/16/2013 $ (260,902)

08/10/2012 $ (1,401,716,594)

06/28/2012 $ (17,893)

05/16/2012 $ (200,000)

11/16/2011 $ (900,000)

10/14/2011 $ (120,700,000)

08/16/2011 $ (300,000)

06/29/2011 $ (23,337)

03/30/2011 $ (2,548)

01/06/2011 $ (2,199)

09/30/2010 $ 222,941,084

09/30/2010 $ 95,300,000

07/14/2010 $ (366,750,000)

03/26/2010 $ (829,370,000)

01/26/2010 $ 800,390,000

12/30/2009 $ 665,510,000

09/30/2009 $ 162,680,000

68
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 7,292,195,745 Transfer of cap due to servicing transfer

$ 7,266,968,885 Updated due to quarterly assessment and reallocation

$ 7,239,898,885 Transfer of cap due to servicing transfer

$ 7,129,788,885 Transfer of cap due to servicing transfer

$ 7,102,148,885 Transfer of cap due to servicing transfer

$ 7,101,280,460 Updated due to quarterly assessment and reallocation

$ 7,083,570,460 Transfer of cap due to servicing transfer

$ 7,053,530,460 Transfer of cap due to servicing transfer

$ 7,043,870,460 Transfer of cap due to servicing transfer

$ 7,033,785,490 Updated due to quarterly assessment and reallocation

$ 7,027,605,490 Transfer of cap due to servicing transfer

$ 7,007,720,292 Updated due to quarterly assessment and reallocation

$ 6,995,850,292 Transfer of cap due to servicing transfer

$ 6,974,460,292 Transfer of cap due to servicing transfer

$ 6,967,926,873 Updated due to quarterly assessment and reallocation

$ 6,949,476,873 Transfer of cap due to servicing transfer

$ 6,929,086,873 Transfer of cap due to servicing transfer

$ 6,919,556,873 Transfer of cap due to servicing transfer

$ 6,199,740,079 Updated due to quarterly assessment and reallocation

$ 6,198,500,079 Transfer of cap due to servicing transfer

$ 6,163,490,079 Transfer of cap due to servicing transfer

$ 6,158,500,079 Transfer of cap due to servicing transfer

$ 5,893,378,506 Updated due to quarterly assessment and reallocation

$ 5,894,558,506 Transfer of cap due to servicing transfer

$ 4,903,845,569 Updated due to quarterly assessment and reallocation

$ 4,897,775,569 Transfer of cap due to servicing transfer

$ 4,890,385,569 Transfer of cap due to servicing transfer

$ 4,658,277,465 Updated due to quarterly assessment and reallocation

$ 4,661,227,465 Transfer of cap due to servicing transfer

$ 4,654,397,465 Transfer of cap due to servicing transfer

$ 4,645,847,465 Transfer of cap due to servicing transfer

$ 4,337,499,679 Updated due to quarterly assessment and reallocation

$ 4,322,519,679 Transfer of cap due to servicing transfer

$ 4,324,199,679 Transfer of cap due to servicing transfer

$ 4,286,789,679 Transfer of cap due to servicing transfer

$ 4,066,292,150 Updated due to quarterly assessment and reallocation

$ 4,073,772,150 Transfer of cap due to servicing transfer

$ 4,078,732,150 Transfer of cap due to servicing transfer

$ 3,361,741,019 Reallocation due to MHA program deobligation

$ 3,355,031,019 Transfer of cap due to servicing transfer

$ 3,340,257,296 Updated due to quarterly assessment and reallocation

$ 3,344,887,296 Transfer of cap due to servicing transfer

$ 3,346,977,296 Transfer of cap due to servicing transfer

$ 3,235,489,497 Updated due to quarterly assessment and reallocation

$ 3,240,009,497 Transfer of cap due to servicing transfer

$ 3,173,472,284 Updated due to quarterly assessment and reallocation

$ 3,182,592,284 Transfer of cap due to servicing transfer

$ 3,116,908,153 Updated due to quarterly assessment and reallocation

$ 3,109,278,153 Transfer of cap due to servicing transfer

$ 3,098,898,153 Transfer of cap due to servicing transfer

$ 2,989,812,279 Updated due to quarterly assessment and reallocation

$ 2,928,882,279 Transfer of cap due to servicing transfer

$ 2,865,714,751 Updated due to quarterly assessment and reallocation

$ 2,890,068,060 Updated due to quarterly assessment and reallocation

$ 2,882,518,060 Transfer of cap due to servicing transfer

$ 2,880,919,555 Updated due to quarterly assessment and reallocation

$ 2,911,529,555 Transfer of cap due to servicing transfer

$ 2,911,279,951 Transfer of cap due to servicing transfer

$ 2,911,419,951 Transfer of cap due to servicing transfer

$ 2,897,279,951 Transfer of cap due to servicing transfer

$ 2,893,240,979 Transfer of cap due to servicing transfer

$ 2,874,290,979 Transfer of cap due to servicing transfer

$ 2,874,040,726 Transfer of cap due to servicing transfer

$ 2,871,769,076 Transfer of cap due to servicing transfer

$ 2,871,699,100 Transfer of cap due to servicing transfer

$ 2,840,808,618 Transfer of cap due to servicing transfer

$ 2,834,457,037 Transfer of cap due to servicing transfer

$ 2,827,131,721 Transfer of cap due to servicing transfer

$ 2,826,702,006 Transfer of cap due to servicing transfer

$ 2,825,079,837 Transfer of cap due to servicing transfer

$ 2,820,574,431 Transfer of cap due to servicing transfer

06/21/2018 $ (786,872) $ 2,819,787,559 Transfer of cap due to servicing transfer

04/25/2018 $ (4,505,406)

03/22/2018 $ (1,622,169)

02/26/2018 $ (429,715)

12/21/2017 $ (7,325,316)

10/26/2017 $ (6,351,581)

09/26/2017 $ (30,890,482)

07/26/2017 $ (69,976)

06/26/2017 $ (2,271,650)

04/26/2017 $ (250,253)

03/16/2017 $ (18,950,000)

02/27/2017 $ (4,038,972)

02/16/2017 $ (14,140,000)

01/13/2017 $ 140,000

12/27/2016 $ (249,604)

12/15/2016 $ 30,610,000

11/29/2016 $ (1,598,505)

11/16/2016 $ (7,550,000)

11/07/2016 $ 24,353,309

10/25/2016 $ (63,167,528)

10/14/2016 $ (60,930,000)

09/28/2016 $ (109,085,874)

09/15/2016 $ (10,380,000)

08/16/2016 $ (7,630,000)

07/27/2016 $ (65,684,131)

07/14/2016 $ 9,120,000

06/27/2016 $ (66,537,213)

06/16/2016 $ 4,520,000

05/31/2016 $ (111,487,799)

05/16/2016 $ 2,090,000

04/14/2016 $ 4,630,000

03/28/2016 $ (14,773,723)

03/16/2016 $ (6,710,000)

02/25/2016 $ (716,991,131)

02/16/2016 $ 4,960,000

01/14/2016 $ 7,480,000

12/28/2015 $ (220,497,529)

12/16/2015 $ (37,410,000)

11/16/2015 $ 1,680,000

10/15/2015 $ (14,980,000)

09/28/2015 $ (308,347,786)

09/16/2015 $ (8,550,000)

08/14/2015 $ (6,830,000)

07/16/2015 $ 2,950,000

06/25/2015 $ (232,108,104)

06/16/2015 $ (7,390,000)

05/14/2015 $ (6,070,000)

04/28/2015 $ (990,712,937)

04/16/2015 $ 1,180,000

03/26/2015 $ (265,121,573)

03/16/2015 $ (4,990,000)

02/13/2015 $ (35,010,000)

01/15/2015 $ (1,240,000)

12/29/2014 $ (719,816,794)

12/16/2014 $ (9,530,000)

11/14/2014 $ (20,390,000)

10/16/2014 $ (18,450,000)

09/29/2014 $ (6,533,419)

09/16/2014 $ (21,390,000)

08/14/2014 $ (11,870,000)

07/29/2014 $ (19,885,198)

07/16/2014 $ (6,180,000)

06/26/2014 $ (10,084,970)

06/16/2014 $ (9,660,000)

05/15/2014 $ (30,040,000)

04/16/2014 $ (17,710,000)

03/26/2014 $ (868,425)

03/14/2014 $ (27,640,000)

02/13/2014 $ (110,110,000)

01/16/2014 $ (27,070,000)

12/23/2013 $ (25,226,860)

12/16/2013 $ (23,220,000)

69
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,385,648,225 Reallocation due to MHA program deobligation

$ 2,385,625,085 Transfer of cap due to servicing transfer

$ 2,385,600,529 Transfer of cap due to servicing transfer

$ 2,384,724,263 Transfer of cap due to servicing transfer

$ 2,382,960,328 Transfer of cap due to servicing transfer

$ 2,350,386,210 Reallocation due to MHA program deobligation

$ 2,350,114,293 Transfer of cap due to servicing transfer

Bank United Miami Lakes FL $ 93,660,000 N/A $ 98,030,000 Updated portfolio data from servicer/additional program initial cap

$ 121,910,000 Updated portfolio data from servicer

$ 105,300,000 Updated portfolio data from servicer

$ 107,051,033 Updated portfolio data from servicer

$ 107,050,956 Updated due to quarterly assessment and reallocation

$ 97,150,956 Transfer of cap due to servicing transfer

$ 97,150,868 Updated due to quarterly assessment and reallocation

$ 97,150,095 Updated due to quarterly assessment and reallocation

$ 95,750,095 Transfer of cap due to servicing transfer

$ 95,749,818 Updated due to quarterly assessment and reallocation

$ 95,749,269 Updated due to quarterly assessment and reallocation

$ 95,749,204 Updated due to quarterly assessment and reallocation

$ 93,079,204 Transfer of cap due to servicing transfer

$ 93,079,062 Updated due to quarterly assessment and reallocation

$ 92,469,062 Transfer of cap due to servicing transfer

$ 92,469,014 Updated due to quarterly assessment and reallocation

$ 92,429,014 Transfer of cap due to servicing transfer

$ 92,429,000 Updated due to quarterly assessment and reallocation

$ 92,399,000 Transfer of cap due to servicing transfer

$ 91,209,000 Transfer of cap due to servicing transfer

$ 91,194,047 Updated due to quarterly assessment and reallocation

$ 91,024,047 Transfer of cap due to servicing transfer

$ 91,023,326 Updated due to quarterly assessment and reallocation

$ 90,363,326 Transfer of cap due to servicing transfer

$ 90,356,344 Updated due to quarterly assessment and reallocation

$ 90,342,589 Updated due to quarterly assessment and reallocation

$ 89,902,589 Transfer of cap due to servicing transfer

$ 89,898,784 Updated due to quarterly assessment and reallocation

$ 89,648,784 Transfer of cap due to servicing transfer

$ 101,428,113 Updated due to quarterly assessment and reallocation

$ 101,328,113 Transfer of cap due to servicing transfer

$ 100,728,113 Transfer of cap due to servicing transfer

$ 100,720,410 Updated due to quarterly assessment and reallocation

$ 100,390,410 Transfer of cap due to servicing transfer

$ 100,579,549 Updated due to quarterly assessment and reallocation

$ 100,569,549 Transfer of cap due to servicing transfer

$ 100,880,610 Updated due to quarterly assessment and reallocation

$ 103,100,266 Updated due to quarterly assessment and reallocation

$ 103,070,266 Transfer of cap due to servicing transfer

$ 105,698,104 Updated due to quarterly assessment and reallocation

$ 102,194,887 Reallocation due to MHA program deobligation

$ 102,120,373 Updated due to quarterly assessment and reallocation

$ 101,558,159 Updated due to quarterly assessment and reallocation

$ 100,808,159 Transfer of cap due to servicing transfer

$ 100,479,873 Updated due to quarterly assessment and reallocation

$ 99,525,919 Updated due to quarterly assessment and reallocation

$ 98,535,919 Transfer of cap due to servicing transfer

$ 96,656,324 Updated due to quarterly assessment and reallocation

$ 96,626,324 Transfer of cap due to servicing transfer

$ 95,325,739 Updated due to quarterly assessment and reallocation

$ 95,827,160 Updated due to quarterly assessment and reallocation

$ 95,776,262 Updated due to quarterly assessment and reallocation

$ 95,766,595 Transfer of cap due to servicing transfer

$ 95,696,595 Transfer of cap due to servicing transfer

$ 95,514,830 Transfer of cap due to servicing transfer

$ 95,194,830 Transfer of cap due to servicing transfer

$ 95,181,623 Transfer of cap due to servicing transfer

$ 95,068,022 Transfer of cap due to servicing transfer

$ 95,064,569 Transfer of cap due to servicing transfer

$ 91,909,211 Transfer of cap due to servicing transfer

$ 91,517,307 Transfer of cap due to servicing transfer

$ 91,102,694 Transfer of cap due to servicing transfer

$ 91,078,305 Transfer of cap due to servicing transfer

$ 90,997,725 Transfer of cap due to servicing transfer

04/25/2018 $ (159,322) $ 90,838,403 Transfer of cap due to servicing transfer

03/22/2018 $ (80,580)

02/26/2018 $ (24,389)

12/21/2017 $ (414,613)

10/26/2017 $ (391,904)

09/26/2017 $ (3,155,358)

07/26/2017 $ (3,453)

06/26/2017 $ (113,601)

04/26/2017 $ (13,207)

03/16/2017 $ (320,000)

02/27/2017 $ (181,765)

01/13/2017 $ (70,000)

12/27/2016 $ (9,667)

11/29/2016 $ (50,898)

11/07/2016 $ 501,421

10/25/2016 $ (1,300,585)

10/14/2016 $ (30,000)

09/28/2016 $ (1,879,595)

09/15/2016 $ (990,000)

07/27/2016 $ (953,954)

06/27/2016 $ (328,286)

06/16/2016 $ (750,000)

05/31/2016 $ (562,214)

03/28/2016 $ (74,514)

02/25/2016 $ (3,503,217)

12/28/2015 $ 2,627,838

11/16/2015 $ (30,000)

09/28/2015 $ 2,219,656

06/25/2015 $ 311,061

05/14/2015 $ (10,000)

04/28/2015 $ 189,139

04/16/2015 $ (330,000)

03/26/2015 $ (7,703)

03/16/2015 $ (600,000)

01/15/2015 $ (100,000)

12/29/2014 $ 11,779,329

12/16/2014 $ (250,000)

09/29/2014 $ (3,805)

09/16/2014 $ (440,000)

07/29/2014 $ (13,755)

06/26/2014 $ (6,982)

06/16/2014 $ (660,000)

03/26/2014 $ (721)

02/13/2014 $ (170,000)

12/23/2013 $ (14,953)

12/16/2013 $ (1,190,000)

11/14/2013 $ (30,000)

09/27/2013 $ (14)

09/16/2013 $ (40,000)

06/27/2013 $ (48)

05/16/2013 $ (610,000)

03/25/2013 $ (142)

02/14/2013 $ (2,670,000)

12/27/2012 $ (65)

09/27/2012 $ (549)

06/28/2012 $ (277)

03/15/2012 $ (1,400,000)

06/29/2011 $ (773)

03/30/2011 $ (88)

03/16/2011 $ (9,900,000)

01/06/2011 $ (77)

09/30/2010 $ 1,751,033

07/14/2010 $ (16,610,000)

03/26/2010 $ 23,880,000

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 4,370,000

09/23/2019 $ (271,917)

08/22/2019 $ (32,574,118)

03/25/2019 $ (1,763,935)

10/25/2018 $ (876,266)

09/26/2018 $ (24,556)

08/27/2018 $ (23,140)

07/26/2018 $ (434,139,334)

70
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 90,801,651 Transfer of cap due to servicing transfer

$ 75,777,900 Reallocation due to MHA program deobligation

$ 75,777,079 Transfer of cap due to servicing transfer

$ 75,776,207 Transfer of cap due to servicing transfer

$ 75,738,861 Transfer of cap due to servicing transfer

6 $ 71,949,933 Termination of SPA

Banner Bank Walla Walla WA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Bay Federal Credit Union Capitola CA $ 410,000 N/A $ 500,000 Updated portfolio data from servicer/additional program initial cap

$ 1,960,000 Updated portfolio data from servicer/additional program initial cap

$ 2,120,000 Updated portfolio data from servicer

$ 2,000,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

- Termination of SPA

Bay Gulf Credit Union Tampa FL $ 230,000 N/A $ 240,000 Updated portfolio data from servicer/additional program initial cap

$ 680,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

- Termination of SPA

Bayview Loan Servicing, LLC Coral Gables FL $ 44,260,000 N/A $ 68,110,000 Updated portfolio data from servicer/additional program initial cap

$ 111,700,000 Updated portfolio data from servicer/additional program initial cap

$ 146,240,000 Updated portfolio data from servicer

$ 147,250,000 Updated portfolio data from servicer/additional program initial cap

$ 113,000,000 Updated portfolio data from servicer

$ 113,600,000 Updated portfolio data from servicer/additional program initial cap

$ 98,347,697 Updated portfolio data from servicer

$ 98,347,627 Updated due to quarterly assessment and reallocation

$ 98,347,541 Updated due to quarterly assessment and reallocation

$ 98,747,541 Transfer of cap due to servicing transfer

$ 98,847,541 Transfer of cap due to servicing transfer

$ 98,846,770 Updated due to quarterly assessment and reallocation

$ 99,446,770 Transfer of cap due to servicing transfer

$ 80,546,770 Transfer of cap due to servicing transfer

$ 81,446,770 Transfer of cap due to servicing transfer

$ 83,846,770 Transfer of cap due to servicing transfer

$ 83,746,770 Transfer of cap due to servicing transfer

$ 83,946,770 Transfer of cap due to servicing transfer

$ 83,976,770 Transfer of cap due to servicing transfer

$ 85,786,770 Transfer of cap due to servicing transfer

$ 85,786,262 Updated due to quarterly assessment and reallocation

$ 88,446,262 Transfer of cap due to servicing transfer

$ 88,445,013 Updated due to quarterly assessment and reallocation

$ 88,605,013 Transfer of cap due to servicing transfer

$ 95,575,013 Transfer of cap due to servicing transfer

$ 109,165,013 Transfer of cap due to servicing transfer

$ 109,164,715 Updated due to quarterly assessment and reallocation

$ 109,254,715 Transfer of cap due to servicing transfer

$ 112,504,715 Transfer of cap due to servicing transfer

$ 113,334,715 Transfer of cap due to servicing transfer

$ 113,333,692 Updated due to quarterly assessment and reallocation

$ 114,823,692 Transfer of cap due to servicing transfer

$ 115,483,692 Transfer of cap due to servicing transfer

$ 122,953,692 Transfer of cap due to servicing transfer

$ 122,953,384 Updated due to quarterly assessment and reallocation

$ 144,383,384 Transfer of cap due to servicing transfer

$ 156,113,384 Transfer of cap due to servicing transfer

$ 156,113,293 Updated due to quarterly assessment and reallocation

$ 161,543,293 Transfer of cap due to servicing transfer

$ 182,443,293 Transfer of cap due to servicing transfer

$ 182,703,293 Transfer of cap due to servicing transfer

$ 182,571,740 Updated due to quarterly assessment and reallocation

$ 183,641,740 Transfer of cap due to servicing transfer

$ 186,211,740 Transfer of cap due to servicing transfer

$ 187,741,740 Transfer of cap due to servicing transfer

$ 187,740,690 Updated due to quarterly assessment and reallocation

$ 193,010,690 Transfer of cap due to servicing transfer

$ 193,510,690 Transfer of cap due to servicing transfer

$ 196,110,690 Transfer of cap due to servicing transfer

$ 214,668,341 Updated due to quarterly assessment and reallocation

07/16/2014 $ 10,000 $ 214,678,341 Transfer of cap due to servicing transfer

06/26/2014 $ 18,557,651

06/16/2014 $ 2,600,000

05/15/2014 $ 500,000

04/16/2014 $ 5,270,000

03/26/2014 $ (1,050)

03/14/2014 $ 1,530,000

02/13/2014 $ 2,570,000

01/16/2014 $ 1,070,000

12/23/2013 $ (131,553)

12/16/2013 $ 260,000

11/14/2013 $ 20,900,000

10/15/2013 $ 5,430,000

09/27/2013 $ (91)

09/16/2013 $ 11,730,000

07/16/2013 $ 21,430,000

06/27/2013 $ (308)

06/14/2013 $ 7,470,000

05/16/2013 $ 660,000

04/16/2013 $ 1,490,000

03/25/2013 $ (1,023)

03/14/2013 $ 830,000

02/14/2013 $ 3,250,000

01/16/2013 $ 90,000

12/27/2012 $ (298)

12/14/2012 $ 13,590,000

11/15/2012 $ 6,970,000

10/16/2012 $ 160,000

09/27/2012 $ (1,249)

07/16/2012 $ 2,660,000

06/28/2012 $ (508)

06/14/2012 $ 1,810,000

05/16/2012 $ 30,000

04/16/2012 $ 200,000

03/15/2012 $ (100,000)

02/16/2012 $ 2,400,000

01/13/2012 $ 900,000

10/14/2011 $ (18,900,000)

09/15/2011 $ 600,000

06/29/2011 $ (771)

05/13/2011 $ 100,000

04/13/2011 $ 400,000

03/30/2011 $ (86)

01/06/2011 $ (70)

09/30/2010 $ (15,252,303)

09/30/2010 $ 600,000

07/14/2010 $ (34,250,000)

05/07/2010 $ 1,010,000

03/26/2010 $ 34,540,000

12/30/2009 $ 43,590,000

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 23,850,000

10/15/2010 $ (580,222)

09/30/2010 $ (19,778)

07/14/2010 $ (80,000)

03/26/2010 $ 440,000

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

01/25/2012 $ (580,212)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (1,419,778)

07/14/2010 $ (120,000)

03/26/2010 $ 160,000

12/30/2009 $ 1,460,000

09/16/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 90,000

06/16/2016 Purchase Financial Instrument for Home Loan Modifications 06/16/2016 $ 20,000

09/12/2019 $ (3,788,928)

10/25/2018 $ (37,346)

09/26/2018 $ (872)

08/27/2018 $ (821)

07/26/2018 $ (15,023,751)

06/21/2018 $ (36,752)

71
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 228,039,184 Updated due to quarterly assessment and reallocation

$ 232,299,184 Transfer of cap due to servicing transfer

$ 232,559,184 Transfer of cap due to servicing transfer

$ 246,278,025 Updated due to quarterly assessment and reallocation

$ 245,598,025 Transfer of cap due to servicing transfer

$ 251,668,025 Transfer of cap due to servicing transfer

$ 251,678,025 Transfer of cap due to servicing transfer

$ 332,789,154 Updated due to quarterly assessment and reallocation

$ 333,119,154 Transfer of cap due to servicing transfer

$ 333,239,154 Transfer of cap due to servicing transfer

$ 372,669,154 Transfer of cap due to servicing transfer

$ 409,624,966 Updated due to quarterly assessment and reallocation

$ 416,494,966 Transfer of cap due to servicing transfer

$ 415,742,297 Updated due to quarterly assessment and reallocation

$ 421,632,297 Transfer of cap due to servicing transfer

$ 438,572,297 Transfer of cap due to servicing transfer

$ 438,391,543 Updated due to quarterly assessment and reallocation

$ 447,891,543 Transfer of cap due to servicing transfer

$ 448,321,543 Transfer of cap due to servicing transfer

$ 444,781,543 Transfer of cap due to servicing transfer

$ 456,945,127 Updated due to quarterly assessment and reallocation

$ 473,585,127 Transfer of cap due to servicing transfer

$ 470,435,127 Transfer of cap due to servicing transfer

$ 481,585,127 Transfer of cap due to servicing transfer

$ 481,149,563 Updated due to quarterly assessment and reallocation

$ 480,969,563 Transfer of cap due to servicing transfer

$ 463,629,563 Transfer of cap due to servicing transfer

$ 462,679,275 Reallocation due to MHA program deobligation

$ 462,149,275 Transfer of cap due to servicing transfer

$ 501,000,627 Updated due to quarterly assessment and reallocation

$ 501,530,627 Transfer of cap due to servicing transfer

$ 508,530,627 Transfer of cap due to servicing transfer

$ 521,747,049 Updated due to quarterly assessment and reallocation

$ 521,867,049 Transfer of cap due to servicing transfer

$ 532,273,680 Updated due to quarterly assessment and reallocation

$ 531,203,680 Transfer of cap due to servicing transfer

$ 529,285,406 Updated due to quarterly assessment and reallocation

$ 528,795,406 Transfer of cap due to servicing transfer

$ 528,575,406 Transfer of cap due to servicing transfer

$ 525,446,120 Updated due to quarterly assessment and reallocation

$ 535,196,120 Transfer of cap due to servicing transfer

$ 529,186,943 Updated due to quarterly assessment and reallocation

$ 531,503,692 Updated due to quarterly assessment and reallocation

$ 529,043,692 Transfer of cap due to servicing transfer

$ 528,708,107 Updated due to quarterly assessment and reallocation

$ 512,338,107 Transfer of cap due to servicing transfer

$ 512,308,838 Transfer of cap due to servicing transfer

$ 510,128,838 Transfer of cap due to servicing transfer

$ 531,998,838 Transfer of cap due to servicing transfer

$ 531,599,027 Transfer of cap due to servicing transfer

$ 531,029,027 Transfer of cap due to servicing transfer

$ 531,010,000 Transfer of cap due to servicing transfer

$ 530,899,738 Transfer of cap due to servicing transfer

$ 530,892,655 Transfer of cap due to servicing transfer

$ 529,988,068 Transfer of cap due to servicing transfer

$ 529,747,726 Transfer of cap due to servicing transfer

$ 528,567,544 Transfer of cap due to servicing transfer

$ 528,489,966 Transfer of cap due to servicing transfer

$ 528,137,511 Transfer of cap due to servicing transfer

$ 527,266,863 Transfer of cap due to servicing transfer

$ 526,967,147 Transfer of cap due to servicing transfer

$ 428,533,168 Reallocation due to MHA program deobligation

$ 428,526,427 Transfer of cap due to servicing transfer

$ 428,518,620 Transfer of cap due to servicing transfer

$ 428,160,824 Transfer of cap due to servicing transfer

BMO Harris Bank, NA Chicago IL - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 90,000 Transfer of cap due to servicing transfer

Bramble Savings Bank Cincinanati OH $ 700,000 N/A $ 1,740,667 Updated portfolio data from servicer

$ 1,740,665 Updated due to quarterly assessment and reallocation

$ 1,740,662 Updated due to quarterly assessment and reallocation

06/29/2011 $ (28) $ 1,740,634 Updated due to quarterly assessment and reallocation

03/30/2011 $ (3)

01/06/2011 $ (2)

08/20/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 1,040,667

04/16/2015 $ 20,000

11/14/2014 $ 40,000

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 30,000

10/25/2018 $ (357,796)

09/26/2018 $ (7,807)

08/27/2018 $ (6,741)

07/26/2018 $ (98,433,979)

06/21/2018 $ (299,716)

04/25/2018 $ (870,648)

03/22/2018 $ (352,455)

02/26/2018 $ (77,578)

12/21/2017 $ (1,180,182)

10/26/2017 $ (240,342)

09/26/2017 $ (904,587)

07/26/2017 $ (7,083)

06/26/2017 $ (110,262)

04/26/2017 $ (19,027)

03/16/2017 $ (570,000)

02/27/2017 $ (399,811)

02/16/2017 $ 21,870,000

01/13/2017 $ (2,180,000)

12/27/2016 $ (29,269)

12/15/2016 $ (16,370,000)

11/29/2016 $ (335,585)

11/16/2016 $ (2,460,000)

11/07/2016 $ 2,316,749

10/25/2016 $ (6,009,177)

10/14/2016 $ 9,750,000

09/28/2016 $ (3,129,286)

09/15/2016 $ (220,000)

08/16/2016 $ (490,000)

07/27/2016 $ (1,918,274)

07/14/2016 $ (1,070,000)

06/27/2016 $ 10,406,631

06/16/2016 $ 120,000

05/31/2016 $ 13,216,422

05/16/2016 $ 7,000,000

04/14/2016 $ 530,000

03/28/2016 $ 38,851,352

03/16/2016 $ (530,000)

02/25/2016 $ (950,288)

02/16/2016 $ (17,340,000)

01/14/2016 $ (180,000)

12/28/2015 $ (435,564)

12/16/2015 $ 11,150,000

11/16/2015 $ (3,150,000)

10/15/2015 $ 16,640,000

09/28/2015 $ 12,163,584

09/16/2015 $ (3,540,000)

08/14/2015 $ 430,000

07/16/2015 $ 9,500,000

06/25/2015 $ (180,754)

06/16/2015 $ 16,940,000

05/14/2015 $ 5,890,000

04/28/2015 $ (752,669)

04/16/2015 $ 6,870,000

03/26/2015 $ 36,955,812

03/16/2015 $ 39,430,000

02/13/2015 $ 120,000

01/15/2015 $ 330,000

12/29/2014 $ 81,111,129

12/16/2014 $ 10,000

11/14/2014 $ 6,070,000

10/16/2014 $ (680,000)

09/29/2014 $ 13,718,841

09/16/2014 $ 260,000

08/14/2014 $ 4,260,000

07/29/2014 $ 13,360,843

72
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

- Termination of SPA

Branch Banking and Trust Winston-Salem NC $ 1 N/A $ 25,837 Reallocation due to MHA program deobligation

Bridgelock Capital dba Peak Loan 

Servicing Woodland Hills CA - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 40,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 110,000 Transfer of cap due to servicing transfer

$ 109,979 Updated due to quarterly assessment and reallocation

$ 109,936 Updated due to quarterly assessment and reallocation

$ 109,922 Updated due to quarterly assessment and reallocation

$ 149,922 Transfer of cap due to servicing transfer

$ 119,922 Transfer of cap due to servicing transfer

$ 116,492 Updated due to quarterly assessment and reallocation

$ 115,202 Updated due to quarterly assessment and reallocation

$ 110,118 Updated due to quarterly assessment and reallocation

$ 108,912 Updated due to quarterly assessment and reallocation

$ 118,912 Transfer of cap due to servicing transfer

$ 128,912 Transfer of cap due to servicing transfer

$ 123,687 Updated due to quarterly assessment and reallocation

$ 133,687 Transfer of cap due to servicing transfer

$ 113,687 Transfer of cap due to servicing transfer

$ 111,453 Updated due to quarterly assessment and reallocation

$ 105,072 Reallocation due to MHA program deobligation

$ 104,939 Updated due to quarterly assessment and reallocation

$ 103,896 Updated due to quarterly assessment and reallocation

$ 263,896 Transfer of cap due to servicing transfer

$ 237,673 Updated due to quarterly assessment and reallocation

$ 211,442 Updated due to quarterly assessment and reallocation

$ 221,442 Transfer of cap due to servicing transfer

$ 231,442 Transfer of cap due to servicing transfer

$ 177,335 Updated due to quarterly assessment and reallocation

$ 126,208 Updated due to quarterly assessment and reallocation

$ 145,919 Updated due to quarterly assessment and reallocation

$ 145,565 Updated due to quarterly assessment and reallocation

$ 145,511 Transfer of cap due to servicing transfer

$ 144,574 Transfer of cap due to servicing transfer

$ 144,513 Transfer of cap due to servicing transfer

$ 144,041 Transfer of cap due to servicing transfer

$ 144,027 Transfer of cap due to servicing transfer

$ 125,189 Transfer of cap due to servicing transfer

$ 122,853 Transfer of cap due to servicing transfer

$ 120,419 Transfer of cap due to servicing transfer

$ 120,301 Transfer of cap due to servicing transfer

$ 119,916 Transfer of cap due to servicing transfer

$ 119,154 Transfer of cap due to servicing transfer

$ 119,011 Transfer of cap due to servicing transfer

$ 102,968 Reallocation due to MHA program deobligation

$ 102,967 Transfer of cap due to servicing transfer

$ 102,966 Transfer of cap due to servicing transfer

$ 102,933 Transfer of cap due to servicing transfer

Caliber Home Loans, Inc (Vericrest 

Financial, Inc.) Oklahoma City OK - N/A 3 $ 1,000,000 Transfer of cap due to servicing transfer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 4,450,554 Transfer of cap due to servicing transfer

$ 14,650,554 Transfer of cap due to servicing transfer

$ 14,650,530 Updated due to quarterly assessment and reallocation

$ 14,650,303 Updated due to quarterly assessment and reallocation

$ 26,650,303 Transfer of cap due to servicing transfer

$ 30,750,303 Transfer of cap due to servicing transfer

$ 31,650,303 Transfer of cap due to servicing transfer

$ 31,950,303 Transfer of cap due to servicing transfer

$ 31,950,037 Updated due to quarterly assessment and reallocation

$ 31,949,348 Updated due to quarterly assessment and reallocation

$ 32,669,348 Transfer of cap due to servicing transfer

$ 32,669,234 Updated due to quarterly assessment and reallocation

$ 40,689,234 Transfer of cap due to servicing transfer

$ 40,688,643 Updated due to quarterly assessment and reallocation

$ 40,648,643 Transfer of cap due to servicing transfer

$ 40,648,420 Updated due to quarterly assessment and reallocation

$ 40,648,340 Updated due to quarterly assessment and reallocation

$ 40,512,564 Updated due to quarterly assessment and reallocation

01/16/2014 $ (1,130,000) $ 39,382,564 Transfer of cap due to servicing transfer

12/23/2013 $ (135,776)

09/27/2013 $ (80)

06/27/2013 $ (223)

05/16/2013 $ (40,000)

03/25/2013 $ (591)

01/16/2013 $ 8,020,000

12/27/2012 $ (114)

11/15/2012 $ 720,000

09/27/2012 $ (689)

06/28/2012 $ (266)

04/16/2012 $ 300,000

01/13/2012 $ 900,000

12/15/2011 $ 4,100,000

07/14/2011 $ 12,000,000

06/29/2011 $ (227)

03/30/2011 $ (24)

03/16/2011 $ 10,200,000

02/16/2011 $ 3,000,000

01/06/2011 $ (2)

09/30/2010 $ 450,556

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/15/2010 $ 1,000,000

10/25/2018 $ (33)

09/26/2018 $ (1)

08/27/2018 $ (1)

07/26/2018 $ (16,043)

06/21/2018 $ (143)

04/25/2018 $ (762)

03/22/2018 $ (385)

02/26/2018 $ (118)

12/21/2017 $ (2,434)

10/26/2017 $ (2,336)

09/26/2017 $ (18,838)

07/26/2017 $ (14)

06/26/2017 $ (472)

04/26/2017 $ (61)

02/27/2017 $ (937)

12/27/2016 $ (54)

11/29/2016 $ (354)

11/07/2016 $ 19,711

10/25/2016 $ (51,127)

09/28/2016 $ (54,107)

09/15/2016 $ 10,000

08/16/2016 $ 10,000

07/27/2016 $ (26,231)

06/27/2016 $ (26,223)

06/16/2016 $ 160,000

05/31/2016 $ (1,043)

03/28/2016 $ (133)

02/25/2016 $ (6,381)

12/28/2015 $ (2,234)

11/16/2015 $ (20,000)

10/15/2015 $ 10,000

09/28/2015 $ (5,225)

09/16/2015 $ 10,000

08/14/2015 $ 10,000

06/25/2015 $ (1,206)

04/28/2015 $ (5,084)

03/26/2015 $ (1,290)

12/29/2014 $ (3,430)

12/16/2014 $ (30,000)

10/16/2014 $ 40,000

09/29/2014 $ (14)

07/29/2014 $ (43)

06/26/2014 $ (21)

06/16/2014 $ 40,000

04/16/2014 $ 30,000

12/16/2013 $ 30,000

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/16/2013 $ 10,000

04/16/2019 Purchase Financial Instrument for Home Loan Modifications 08/22/2019 $ 25,836

08/10/2011 $ (1,740,634)

73
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 36,882,564 Transfer of cap due to servicing transfer

$ 36,972,564 Transfer of cap due to servicing transfer

$ 36,967,867 Updated due to quarterly assessment and reallocation

$ 36,912,425 Updated due to quarterly assessment and reallocation

$ 39,502,425 Transfer of cap due to servicing transfer

$ 39,381,700 Updated due to quarterly assessment and reallocation

$ 39,340,818 Updated due to quarterly assessment and reallocation

$ 47,020,818 Transfer of cap due to servicing transfer

$ 54,740,818 Transfer of cap due to servicing transfer

$ 58,950,818 Transfer of cap due to servicing transfer

$ 50,883,608 Updated due to quarterly assessment and reallocation

$ 52,983,608 Transfer of cap due to servicing transfer

$ 53,063,608 Transfer of cap due to servicing transfer

$ 62,053,608 Transfer of cap due to servicing transfer

$ 58,271,884 Updated due to quarterly assessment and reallocation

$ 58,251,884 Transfer of cap due to servicing transfer

$ 43,436,764 Updated due to quarterly assessment and reallocation

$ 46,106,764 Transfer of cap due to servicing transfer

$ 46,076,764 Transfer of cap due to servicing transfer

$ 42,443,382 Updated due to quarterly assessment and reallocation

$ 43,883,382 Transfer of cap due to servicing transfer

$ 43,873,382 Transfer of cap due to servicing transfer

$ 51,133,382 Transfer of cap due to servicing transfer

$ 45,849,177 Updated due to quarterly assessment and reallocation

$ 58,219,177 Transfer of cap due to servicing transfer

$ 62,379,177 Transfer of cap due to servicing transfer

$ 72,879,177 Transfer of cap due to servicing transfer

$ 64,970,188 Updated due to quarterly assessment and reallocation

$ 63,840,188 Transfer of cap due to servicing transfer

$ 63,790,188 Transfer of cap due to servicing transfer

$ 41,067,198 Reallocation due to MHA program deobligation

$ 44,077,198 Transfer of cap due to servicing transfer

$ 43,569,856 Updated due to quarterly assessment and reallocation

$ 43,289,856 Transfer of cap due to servicing transfer

$ 49,729,856 Transfer of cap due to servicing transfer

$ 44,569,110 Updated due to quarterly assessment and reallocation

$ 46,169,110 Transfer of cap due to servicing transfer

$ 42,972,540 Updated due to quarterly assessment and reallocation

$ 57,192,540 Transfer of cap due to servicing transfer

$ 51,787,148 Updated due to quarterly assessment and reallocation

$ 51,757,148 Transfer of cap due to servicing transfer

$ 68,677,148 Transfer of cap due to servicing transfer

$ 52,779,593 Updated due to quarterly assessment and reallocation

$ 71,019,593 Transfer of cap due to servicing transfer

$ 46,289,739 Updated due to quarterly assessment and reallocation

$ 55,823,967 Updated due to quarterly assessment and reallocation

$ 54,733,967 Transfer of cap due to servicing transfer

$ 54,573,676 Updated due to quarterly assessment and reallocation

$ 54,583,676 Transfer of cap due to servicing transfer

$ 54,558,898 Transfer of cap due to servicing transfer

$ 54,578,898 Transfer of cap due to servicing transfer

$ 54,218,898 Transfer of cap due to servicing transfer

$ 53,796,537 Transfer of cap due to servicing transfer

$ 56,056,537 Transfer of cap due to servicing transfer

$ 56,029,029 Transfer of cap due to servicing transfer

$ 55,803,566 Transfer of cap due to servicing transfer

$ 55,796,442 Transfer of cap due to servicing transfer

$ 46,928,271 Transfer of cap due to servicing transfer

$ 45,617,021 Transfer of cap due to servicing transfer

$ 43,959,783 Transfer of cap due to servicing transfer

$ 43,862,798 Transfer of cap due to servicing transfer

$ 43,515,248 Transfer of cap due to servicing transfer

$ 42,824,355 Transfer of cap due to servicing transfer

$ 42,688,119 Transfer of cap due to servicing transfer

$ 24,224,631 Reallocation due to MHA program deobligation

$ 24,223,498 Transfer of cap due to servicing transfer

$ 24,222,274 Transfer of cap due to servicing transfer

$ 24,170,391 Transfer of cap due to servicing transfer

California Housing Finance Agency Sacramento CA - N/A 3 $ 210,000 Transfer of cap due to servicing transfer

$ 209,980 Updated due to quarterly assessment and reallocation

$ 219,980 Transfer of cap due to servicing transfer

06/26/2014 $ (258) $ 219,722 Updated due to quarterly assessment and reallocation

06/16/2014 $ 10,000

03/26/2014 $ (20)

03/14/2014 Purchase Financial Instrument for Home Loan Modifications 03/14/2014 $ 210,000

10/25/2018 $ (51,883)

09/26/2018 $ (1,224)

08/27/2018 $ (1,133)

07/26/2018 $ (18,463,488)

06/21/2018 $ (136,236)

04/25/2018 $ (690,893)

03/22/2018 $ (347,550)

02/26/2018 $ (96,985)

12/21/2017 $ (1,657,238)

10/26/2017 $ (1,311,250)

09/26/2017 $ (8,868,171)

07/26/2017 $ (7,124)

06/26/2017 $ (225,463)

04/26/2017 $ (27,508)

03/16/2017 $ 2,260,000

02/27/2017 $ (422,361)

02/16/2017 $ (360,000)

01/13/2017 $ 20,000

12/27/2016 $ (24,778)

12/15/2016 $ 10,000

11/29/2016 $ (160,291)

11/16/2016 $ (1,090,000)

11/07/2016 $ 9,534,228

10/25/2016 $ (24,729,854)

10/14/2016 $ 18,240,000

09/28/2016 $ (15,897,555)

09/15/2016 $ 16,920,000

08/16/2016 $ (30,000)

07/27/2016 $ (5,405,392)

07/14/2016 $ 14,220,000

06/27/2016 $ (3,196,570)

06/16/2016 $ 1,600,000

05/31/2016 $ (5,160,746)

05/16/2016 $ 6,440,000

04/14/2016 $ (280,000)

03/28/2016 $ (507,342)

03/16/2016 $ 3,010,000

02/25/2016 $ (22,722,990)

02/16/2016 $ (50,000)

01/14/2016 $ (1,130,000)

12/28/2015 $ (7,908,989)

12/16/2015 $ 10,500,000

11/16/2015 $ 4,160,000

10/15/2015 $ 12,370,000

09/28/2015 $ (5,284,205)

09/16/2015 $ 7,260,000

08/14/2015 $ (10,000)

07/16/2015 $ 1,440,000

06/25/2015 $ (3,633,382)

06/16/2015 $ (30,000)

05/14/2015 $ 2,670,000

04/28/2015 $ (14,815,120)

04/16/2015 $ (20,000)

03/26/2015 $ (3,781,724)

03/16/2015 $ 8,990,000

02/13/2015 $ 80,000

01/15/2015 $ 2,100,000

12/29/2014 $ (8,067,210)

12/16/2014 $ 4,210,000

11/14/2014 $ 7,720,000

10/16/2014 $ 7,680,000

09/29/2014 $ (40,882)

07/29/2014 $ (120,725)

07/16/2014 $ 2,590,000

06/26/2014 $ (55,442)

03/26/2014 $ (4,697)

03/14/2014 $ 90,000

02/13/2014 $ (2,500,000)

74
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 219,210 Updated due to quarterly assessment and reallocation

$ 219,041 Updated due to quarterly assessment and reallocation

$ 198,547 Updated due to quarterly assessment and reallocation

$ 308,547 Transfer of cap due to servicing transfer

$ 292,236 Updated due to quarterly assessment and reallocation

$ 227,947 Updated due to quarterly assessment and reallocation

$ 212,700 Updated due to quarterly assessment and reallocation

$ 192,333 Updated due to quarterly assessment and reallocation

$ 177,260 Updated due to quarterly assessment and reallocation

$ 134,213 Reallocation due to MHA program deobligation

$ 133,314 Updated due to quarterly assessment and reallocation

$ 493,314 Transfer of cap due to servicing transfer

$ 410,225 Updated due to quarterly assessment and reallocation

$ 360,589 Updated due to quarterly assessment and reallocation

$ 310,938 Updated due to quarterly assessment and reallocation

$ 224,107 Updated due to quarterly assessment and reallocation

$ 142,058 Updated due to quarterly assessment and reallocation

$ 173,691 Updated due to quarterly assessment and reallocation

$ 173,123 Updated due to quarterly assessment and reallocation

$ 173,036 Transfer of cap due to servicing transfer

$ 171,532 Transfer of cap due to servicing transfer

$ 171,433 Transfer of cap due to servicing transfer

$ 170,675 Transfer of cap due to servicing transfer

$ 170,652 Transfer of cap due to servicing transfer

$ 140,422 Transfer of cap due to servicing transfer

$ 136,673 Transfer of cap due to servicing transfer

$ 132,768 Transfer of cap due to servicing transfer

$ 132,578 Transfer of cap due to servicing transfer

$ 131,960 Transfer of cap due to servicing transfer

$ 130,738 Transfer of cap due to servicing transfer

$ 130,509 Transfer of cap due to servicing transfer

$ 104,763 Reallocation due to MHA program deobligation

$ 104,762 Transfer of cap due to servicing transfer

$ 104,761 Transfer of cap due to servicing transfer

$ 104,708 Transfer of cap due to servicing transfer

Capital International Financial, Inc. Coral Gables FL $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

Carrington Mortgage Services, LLC Santa Ana CA $ 195,000,000 N/A $ 131,020,000 Updated portfolio data from servicer

$ 222,010,000 Updated portfolio data from servicer/additional program initial cap

$ 279,990,000 Updated portfolio data from servicer/additional program initial cap

$ 354,510,000 Updated portfolio data from servicer

$ 278,900,000 Updated portfolio data from servicer

$ 280,000,000 Transfer of cap due to servicing transfer

09/30/2010 $ 3,763,685 $ 283,763,685 Updated portfolio data from servicer

08/13/2010 $ 1,100,000

07/14/2010 $ (75,610,000)

03/26/2010 $ 74,520,000

12/30/2009 $ 57,980,000

09/30/2009 $ 90,990,000

04/27/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (63,980,000)

08/16/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

10/25/2018 $ (53)

09/26/2018 $ (1)

08/27/2018 $ (1)

07/26/2018 $ (25,746)

06/21/2018 $ (229)

04/25/2018 $ (1,222)

03/22/2018 $ (618)

02/26/2018 $ (190)

12/21/2017 $ (3,905)

10/26/2017 $ (3,749)

09/26/2017 $ (30,230)

07/26/2017 $ (23)

06/26/2017 $ (758)

04/26/2017 $ (99)

02/27/2017 $ (1,504)

12/27/2016 $ (87)

11/29/2016 $ (568)

11/07/2016 $ 31,633

10/25/2016 $ (82,049)

09/28/2016 $ (86,831)

07/27/2016 $ (49,651)

06/27/2016 $ (49,636)

05/31/2016 $ (83,089)

04/14/2016 $ 360,000

03/28/2016 $ (899)

02/25/2016 $ (43,047)

12/28/2015 $ (15,073)

09/28/2015 $ (20,367)

06/25/2015 $ (15,247)

04/28/2015 $ (64,289)

03/26/2015 $ (16,311)

01/15/2015 $ 110,000

12/29/2014 $ (20,494)

09/29/2014 $ (169)

07/29/2014 $ (512)

75
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 284,063,685 Transfer of cap due to servicing transfer

$ 284,063,360 Updated due to quarterly assessment and reallocation

$ 286,463,360 Transfer of cap due to servicing transfer

$ 286,462,976 Updated due to quarterly assessment and reallocation

$ 286,459,384 Updated due to quarterly assessment and reallocation

$ 288,259,384 Transfer of cap due to servicing transfer

$ 288,359,384 Transfer of cap due to servicing transfer

$ 289,359,384 Transfer of cap due to servicing transfer

$ 290,459,384 Transfer of cap due to servicing transfer

$ 290,559,384 Transfer of cap due to servicing transfer

$ 291,409,384 Transfer of cap due to servicing transfer

$ 293,649,384 Transfer of cap due to servicing transfer

$ 293,646,864 Updated due to quarterly assessment and reallocation

$ 295,336,864 Transfer of cap due to servicing transfer

$ 295,306,864 Transfer of cap due to servicing transfer

$ 295,300,232 Updated due to quarterly assessment and reallocation

$ 298,180,232 Transfer of cap due to servicing transfer

$ 299,680,232 Transfer of cap due to servicing transfer

$ 301,720,232 Transfer of cap due to servicing transfer

$ 301,719,129 Updated due to quarterly assessment and reallocation

$ 301,709,129 Transfer of cap due to servicing transfer

$ 306,669,129 Transfer of cap due to servicing transfer

$ 306,639,129 Transfer of cap due to servicing transfer

$ 306,634,950 Updated due to quarterly assessment and reallocation

$ 306,564,950 Transfer of cap due to servicing transfer

$ 308,134,950 Transfer of cap due to servicing transfer

$ 306,254,950 Transfer of cap due to servicing transfer

$ 306,253,428 Updated due to quarterly assessment and reallocation

$ 306,523,428 Transfer of cap due to servicing transfer

$ 311,893,428 Transfer of cap due to servicing transfer

$ 311,892,903 Updated due to quarterly assessment and reallocation

$ 311,652,903 Transfer of cap due to servicing transfer

$ 313,652,903 Transfer of cap due to servicing transfer

$ 315,022,903 Transfer of cap due to servicing transfer

$ 314,149,012 Updated due to quarterly assessment and reallocation

$ 314,269,012 Transfer of cap due to servicing transfer

$ 314,549,012 Transfer of cap due to servicing transfer

$ 314,599,012 Transfer of cap due to servicing transfer

$ 314,568,928 Updated due to quarterly assessment and reallocation

$ 317,228,928 Transfer of cap due to servicing transfer

$ 316,798,928 Transfer of cap due to servicing transfer

$ 316,668,928 Transfer of cap due to servicing transfer

$ 316,317,415 Updated due to quarterly assessment and reallocation

$ 292,857,415 Transfer of cap due to servicing transfer

$ 292,235,817 Updated due to quarterly assessment and reallocation

$ 291,675,817 Transfer of cap due to servicing transfer

$ 300,485,817 Transfer of cap due to servicing transfer

$ 300,280,446 Updated due to quarterly assessment and reallocation

$ 280,680,446 Transfer of cap due to servicing transfer

$ 280,690,446 Transfer of cap due to servicing transfer

$ 280,740,446 Transfer of cap due to servicing transfer

$ 265,812,979 Updated due to quarterly assessment and reallocation

$ 298,042,979 Transfer of cap due to servicing transfer

$ 298,022,979 Transfer of cap due to servicing transfer

$ 289,895,859 Updated due to quarterly assessment and reallocation

$ 289,935,859 Transfer of cap due to servicing transfer

$ 258,130,493 Updated due to quarterly assessment and reallocation

$ 258,100,493 Transfer of cap due to servicing transfer

$ 267,890,493 Transfer of cap due to servicing transfer

$ 259,713,227 Updated due to quarterly assessment and reallocation

$ 259,443,227 Transfer of cap due to servicing transfer

$ 259,293,227 Transfer of cap due to servicing transfer

$ 258,613,227 Transfer of cap due to servicing transfer

$ 248,410,187 Updated due to quarterly assessment and reallocation

$ 247,680,187 Transfer of cap due to servicing transfer

$ 247,140,187 Transfer of cap due to servicing transfer

$ 247,090,187 Transfer of cap due to servicing transfer

$ 240,510,502 Updated due to quarterly assessment and reallocation

$ 240,090,502 Transfer of cap due to servicing transfer

$ 240,120,502 Transfer of cap due to servicing transfer

$ 216,098,728 Reallocation due to MHA program deobligation

03/16/2016 $ 4,710,000 $ 220,808,728 Transfer of cap due to servicing transfer

02/25/2016 $ (24,021,774)

02/16/2016 $ 30,000

01/14/2016 $ (420,000)

12/28/2015 $ (6,579,685)

12/16/2015 $ (50,000)

11/16/2015 $ (540,000)

10/15/2015 $ (730,000)

09/28/2015 $ (10,203,040)

09/16/2015 $ (680,000)

08/14/2015 $ (150,000)

07/16/2015 $ (270,000)

06/25/2015 $ (8,177,266)

06/16/2015 $ 9,790,000

05/14/2015 $ (30,000)

04/28/2015 $ (31,805,366)

04/16/2015 $ 40,000

03/26/2015 $ (8,127,120)

03/16/2015 $ (20,000)

01/15/2015 $ 32,230,000

12/29/2014 $ (14,927,467)

12/16/2014 $ 50,000

11/14/2014 $ 10,000

10/16/2014 $ (19,600,000)

09/29/2014 $ (205,371)

09/16/2014 $ 8,810,000

08/14/2014 $ (560,000)

07/29/2014 $ (621,598)

07/16/2014 $ (23,460,000)

06/26/2014 $ (351,513)

06/16/2014 $ (130,000)

05/15/2014 $ (430,000)

04/16/2014 $ 2,660,000

03/26/2014 $ (30,084)

03/14/2014 $ 50,000

02/13/2014 $ 280,000

01/16/2014 $ 120,000

12/23/2013 $ (873,891)

12/16/2013 $ 1,370,000

11/14/2013 $ 2,000,000

10/15/2013 $ (240,000)

09/27/2013 $ (525)

09/16/2013 $ 5,370,000

07/16/2013 $ 270,000

06/27/2013 $ (1,522)

06/14/2013 $ (1,880,000)

05/16/2013 $ 1,570,000

04/16/2013 $ (70,000)

03/25/2013 $ (4,179)

03/14/2013 $ (30,000)

02/14/2013 $ 4,960,000

01/16/2013 $ (10,000)

12/27/2012 $ (1,103)

12/14/2012 $ 2,040,000

11/15/2012 $ 1,500,000

10/16/2012 $ 2,880,000

09/27/2012 $ (6,632)

08/16/2012 $ (30,000)

07/16/2012 $ 1,690,000

06/28/2012 $ (2,520)

06/14/2012 $ 2,240,000

05/16/2012 $ 850,000

04/16/2012 $ 100,000

02/16/2012 $ 1,100,000

11/16/2011 $ 1,000,000

09/15/2011 $ 100,000

08/16/2011 $ 1,800,000

06/29/2011 $ (3,592)

03/30/2011 $ (384)

01/13/2011 $ 2,400,000

01/06/2011 $ (325)

12/15/2010 $ 300,000

76
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 220,228,042 Updated due to quarterly assessment and reallocation

$ 226,668,042 Transfer of cap due to servicing transfer

$ 235,218,042 Transfer of cap due to servicing transfer

$ 228,418,173 Updated due to quarterly assessment and reallocation

$ 228,038,173 Transfer of cap due to servicing transfer

$ 224,175,500 Updated due to quarterly assessment and reallocation

$ 227,825,500 Transfer of cap due to servicing transfer

$ 223,717,819 Updated due to quarterly assessment and reallocation

$ 230,247,819 Transfer of cap due to servicing transfer

$ 230,027,819 Transfer of cap due to servicing transfer

$ 221,642,548 Updated due to quarterly assessment and reallocation

$ 284,142,548 Transfer of cap due to servicing transfer

$ 237,006,936 Updated due to quarterly assessment and reallocation

$ 255,179,371 Updated due to quarterly assessment and reallocation

$ 254,989,371 Transfer of cap due to servicing transfer

$ 254,582,423 Updated due to quarterly assessment and reallocation

$ 255,302,423 Transfer of cap due to servicing transfer

$ 255,241,371 Transfer of cap due to servicing transfer

$ 257,131,371 Transfer of cap due to servicing transfer

$ 258,291,371 Transfer of cap due to servicing transfer

$ 257,233,793 Transfer of cap due to servicing transfer

$ 258,213,793 Transfer of cap due to servicing transfer

$ 258,144,511 Transfer of cap due to servicing transfer

$ 257,782,602 Transfer of cap due to servicing transfer

$ 257,771,526 Transfer of cap due to servicing transfer

$ 248,577,396 Transfer of cap due to servicing transfer

$ 266,562,880 Transfer of cap due to servicing transfer

$ 266,101,819 Transfer of cap due to servicing transfer

$ 266,079,172 Transfer of cap due to servicing transfer

$ 265,941,585 Transfer of cap due to servicing transfer

$ 288,378,888 Transfer of cap due to servicing transfer

$ 288,351,245 Transfer of cap due to servicing transfer

$ 248,090,399 Reallocation due to MHA program deobligation

$ 248,087,963 Transfer of cap due to servicing transfer

$ 248,085,323 Transfer of cap due to servicing transfer

$ 247,983,858 Transfer of cap due to servicing transfer

CCO Mortgage, a division of RBS 

Citizens NA Glen Allen VA $ 16,520,000 N/A $ 29,590,000 Updated portfolio data from servicer/additional program initial cap

$ 175,100,000 Updated portfolio data from servicer/additional program initial cap

$ 58,150,000 Updated portfolio data from servicer

$ 34,800,000 Updated portfolio data from servicer

$ 42,646,346 Updated portfolio data from servicer

$ 42,646,300 Updated due to quarterly assessment and reallocation

$ 42,646,245 Updated due to quarterly assessment and reallocation

$ 42,645,793 Updated due to quarterly assessment and reallocation

$ 42,645,484 Updated due to quarterly assessment and reallocation

$ 42,644,677 Updated due to quarterly assessment and reallocation

$ 42,644,546 Updated due to quarterly assessment and reallocation

$ 42,644,071 Updated due to quarterly assessment and reallocation

$ 42,643,896 Updated due to quarterly assessment and reallocation

$ 42,643,834 Updated due to quarterly assessment and reallocation

$ 42,546,388 Updated due to quarterly assessment and reallocation

$ 42,543,187 Updated due to quarterly assessment and reallocation

$ 42,507,313 Updated due to quarterly assessment and reallocation

$ 42,437,998 Updated due to quarterly assessment and reallocation

$ 42,416,617 Updated due to quarterly assessment and reallocation

$ 41,455,742 Updated due to quarterly assessment and reallocation

$ 41,148,635 Updated due to quarterly assessment and reallocation

$ 44,446,004 Updated due to quarterly assessment and reallocation

$ 44,414,577 Updated due to quarterly assessment and reallocation

$ 46,724,010 Updated due to quarterly assessment and reallocation

$ 46,704,010 Transfer of cap due to servicing transfer

$ 48,015,824 Updated due to quarterly assessment and reallocation

$ 46,348,766 Reallocation due to MHA program deobligation

$ 46,323,844 Updated due to quarterly assessment and reallocation

$ 46,238,637 Updated due to quarterly assessment and reallocation

$ 46,213,962 Updated due to quarterly assessment and reallocation

$ 46,481,808 Updated due to quarterly assessment and reallocation

$ 46,640,547 Updated due to quarterly assessment and reallocation

$ 39,950,547 Transfer of cap due to servicing transfer

$ 39,626,603 Updated due to quarterly assessment and reallocation

11/07/2016 $ 124,892 $ 39,751,495 Updated due to quarterly assessment and reallocation

10/25/2016 $ (323,944)

10/14/2016 $ (6,690,000)

09/28/2016 $ 158,739

07/27/2016 $ 267,846

06/27/2016 $ (24,675)

05/31/2016 $ (85,207)

03/28/2016 $ (24,922)

02/25/2016 $ (1,667,058)

12/28/2015 $ 1,311,814

10/15/2015 $ (20,000)

09/28/2015 $ 2,309,433

06/25/2015 $ (31,427)

04/28/2015 $ 3,297,369

03/26/2015 $ (307,107)

12/29/2014 $ (960,875)

09/29/2014 $ (21,381)

07/29/2014 $ (69,315)

06/26/2014 $ (35,874)

03/26/2014 $ (3,201)

12/23/2013 $ (97,446)

09/27/2013 $ (62)

06/27/2013 $ (175)

03/25/2013 $ (475)

12/27/2012 $ (131)

09/27/2012 $ (807)

06/28/2012 $ (309)

06/29/2011 $ (452)

03/30/2011 $ (55)

01/06/2011 $ (46)

09/30/2010 $ 7,846,346

07/14/2010 $ (23,350,000)

03/26/2010 $ (116,950,000)

12/30/2009 $ 145,510,000

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 13,070,000

10/25/2018 $ (101,465)

09/26/2018 $ (2,640)

08/27/2018 $ (2,436)

07/26/2018 $ (40,260,846)

06/21/2018 $ (27,643)

04/25/2018 $ 22,437,303

03/22/2018 $ (137,587)

02/26/2018 $ (22,647)

12/21/2017 $ (461,061)

10/26/2017 $ 17,985,484

09/26/2017 $ (9,194,130)

07/26/2017 $ (11,076)

06/26/2017 $ (361,909)

04/26/2017 $ (69,282)

03/16/2017 $ 980,000

02/27/2017 $ (1,057,578)

02/16/2017 $ 1,160,000

01/13/2017 $ 1,890,000

12/27/2016 $ (61,052)

12/15/2016 $ 720,000

11/29/2016 $ (406,948)

11/16/2016 $ (190,000)

11/07/2016 $ 18,172,435

10/25/2016 $ (47,135,612)

10/14/2016 $ 62,500,000

09/28/2016 $ (8,385,271)

09/15/2016 $ (220,000)

08/16/2016 $ 6,530,000

07/27/2016 $ (4,107,681)

07/14/2016 $ 3,650,000

06/27/2016 $ (3,862,673)

06/16/2016 $ (380,000)

05/31/2016 $ (6,799,869)

05/16/2016 $ 8,550,000

04/14/2016 $ 6,440,000

03/28/2016 $ (580,686)

77
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 39,733,192 Updated due to quarterly assessment and reallocation

$ 38,873,192 Transfer of cap due to servicing transfer

$ 38,871,180 Transfer of cap due to servicing transfer

$ 38,841,438 Transfer of cap due to servicing transfer

$ 38,839,519 Transfer of cap due to servicing transfer

$ 38,823,389 Transfer of cap due to servicing transfer

$ 38,822,888 Transfer of cap due to servicing transfer

$ 39,316,428 Transfer of cap due to servicing transfer

$ 39,307,831 Transfer of cap due to servicing transfer

$ 39,285,085 Transfer of cap due to servicing transfer

$ 39,274,075 Transfer of cap due to servicing transfer

$ 39,235,417 Transfer of cap due to servicing transfer

$ 39,156,846 Transfer of cap due to servicing transfer

$ 39,140,777 Transfer of cap due to servicing transfer

$ 32,748,246 Reallocation due to MHA program deobligation

$ 32,747,853 Transfer of cap due to servicing transfer

$ 32,747,427 Transfer of cap due to servicing transfer

$ 32,731,474 Transfer of cap due to servicing transfer

Cenlar FSB Ewing NJ - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

Central Florida Educators Federal Credit 

Union Lake Mary FL $ 1,250,000 N/A $ 1,530,000 Updated portfolio data from servicer/additional program initial cap

$ 780,000 Updated portfolio data from servicer/additional program initial cap

$ 900,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,327 Updated due to quarterly assessment and reallocation

$ 892,044 Updated due to quarterly assessment and reallocation

$ 1,082,121 Updated due to quarterly assessment and reallocation

$ 1,118,087 Updated due to quarterly assessment and reallocation

$ 1,177,551 Updated due to quarterly assessment and reallocation

$ 1,212,989 Updated due to quarterly assessment and reallocation

$ 1,239,915 Updated due to quarterly assessment and reallocation

$ 1,326,960 Updated due to quarterly assessment and reallocation

$ 1,358,164 Updated due to quarterly assessment and reallocation

$ 1,426,423 Updated due to quarterly assessment and reallocation

$ 1,426,421 Updated due to quarterly assessment and reallocation

$ 1,426,400 Updated due to quarterly assessment and reallocation

$ 1,867,716 Updated due to quarterly assessment and reallocation

$ 1,867,176 Updated due to quarterly assessment and reallocation

$ 1,900,763 Updated due to quarterly assessment and reallocation

$ 1,931,589 Updated due to quarterly assessment and reallocation

$ 1,929,635 Updated due to quarterly assessment and reallocation

$ 1,933,499 Updated due to quarterly assessment and reallocation

$ 1,870,910 Reallocation due to MHA program deobligation

$ 1,869,599 Updated due to quarterly assessment and reallocation

$ 1,864,079 Updated due to quarterly assessment and reallocation

$ 1,860,750 Updated due to quarterly assessment and reallocation

$ 1,857,376 Updated due to quarterly assessment and reallocation

$ 1,848,264 Updated due to quarterly assessment and reallocation

$ 1,839,436 Updated due to quarterly assessment and reallocation

$ 1,842,839 Updated due to quarterly assessment and reallocation

$ 1,841,990 Updated due to quarterly assessment and reallocation

$ 1,841,860 Transfer of cap due to servicing transfer

$ 1,839,289 Transfer of cap due to servicing transfer

$ 1,839,103 Transfer of cap due to servicing transfer

$ 1,837,670 Transfer of cap due to servicing transfer

$ 1,837,627 Transfer of cap due to servicing transfer

$ 1,823,243 Transfer of cap due to servicing transfer

$ 1,821,450 Transfer of cap due to servicing transfer

$ 1,818,060 Transfer of cap due to servicing transfer

$ 1,817,895 Transfer of cap due to servicing transfer

$ 1,817,358 Transfer of cap due to servicing transfer

$ 1,815,420 Transfer of cap due to servicing transfer

$ 1,815,056 Transfer of cap due to servicing transfer

$ 1,550,387 Reallocation due to MHA program deobligation

$ 1,550,372 Transfer of cap due to servicing transfer

$ 1,550,357 Transfer of cap due to servicing transfer

$ 1,549,809 Transfer of cap due to servicing transfer

Central Jersey Federal Credit Union Woodbridge NJ $ 30,000 N/A $ 40,000 Updated portfolio data from servicer/additional program initial cap

12/30/2009 $ 120,000 $ 160,000 Updated portfolio data from servicer/additional program initial cap

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 10,000

10/25/2018 $ (548)

09/26/2018 $ (15)

08/27/2018 $ (15)

07/26/2018 $ (264,669)

06/21/2018 $ (364)

04/25/2018 $ (1,938)

03/22/2018 $ (537)

02/26/2018 $ (165)

12/21/2017 $ (3,390)

10/26/2017 $ (1,793)

09/26/2017 $ (14,384)

07/26/2017 $ (43)

06/26/2017 $ (1,433)

04/26/2017 $ (186)

02/27/2017 $ (2,571)

12/27/2016 $ (130)

11/29/2016 $ (849)

11/07/2016 $ 3,403

10/25/2016 $ (8,828)

09/28/2016 $ (9,112)

07/27/2016 $ (3,374)

06/27/2016 $ (3,329)

05/31/2016 $ (5,520)

03/28/2016 $ (1,311)

02/25/2016 $ (62,589)

12/28/2015 $ 3,864

09/28/2015 $ (1,954)

06/25/2015 $ 30,826

04/28/2015 $ 33,587

03/26/2015 $ (540)

12/29/2014 $ 441,316

09/29/2014 $ (21)

07/29/2014 $ (2)

06/26/2014 $ 68,259

03/26/2014 $ 31,204

12/23/2013 $ 87,045

09/27/2013 $ 26,926

06/27/2013 $ 35,438

03/25/2013 $ 59,464

12/27/2012 $ 35,966

09/27/2012 $ 190,077

06/28/2012 $ 21,717

06/29/2011 $ (5)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 270,334

07/14/2010 $ (300,000)

03/26/2010 $ 120,000

12/30/2009 $ (750,000)

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 280,000

11/16/2015 Purchase Financial Instrument for Home Loan Modifications 11/16/2015 $ 10,000

10/25/2018 $ (15,953)

09/26/2018 $ (426)

08/27/2018 $ (393)

07/26/2018 $ (6,392,531)

06/21/2018 $ (16,069)

04/25/2018 $ (78,571)

03/22/2018 $ (38,658)

02/26/2018 $ (11,010)

12/21/2017 $ (22,746)

10/26/2017 $ (8,597)

09/26/2017 $ 493,540

07/26/2017 $ (501)

06/26/2017 $ (16,130)

04/26/2017 $ (1,919)

02/27/2017 $ (29,742)

12/27/2016 $ (2,012)

12/15/2016 $ (860,000)

11/29/2016 $ (18,303)

78
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 170,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Central Pacific Bank Honolulu HI - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Centrue Bank Ottawa IL $ 1,900,000 N/A $ 2,756,056 Updated portfolio data from servicer

$ 2,756,052 Updated due to quarterly assessment and reallocation

- Termination of SPA

Chase Home Finance, LLC Iselin NJ $ 3,552,000,000 N/A 1 - Termination of SPA

Cheviot Savings Bank Cincinnati OH - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 11,344 Updated due to quarterly assessment and reallocation

$ 17,594 Updated due to quarterly assessment and reallocation

$ 17,593 Transfer of cap due to servicing transfer

CIT Bank, N.A. (OneWest Bank, N.A.) Pasadena CA $ 668,440,000 N/A $ 814,240,000 Updated portfolio data from servicer/additional program initial cap

$ 2,170,170,000 Updated portfolio data from servicer/additional program initial cap

$ 2,291,350,000 Updated portfolio data from servicer

$ 1,882,500,000 Updated portfolio data from servicer

$ 1,888,000,000 Updated portfolio data from servicer/additional program initial cap

$ 1,836,258,837 Updated portfolio data from servicer

$ 1,836,256,555 Updated due to quarterly assessment and reallocation

$ 1,836,253,881 Updated due to quarterly assessment and reallocation

$ 1,836,229,265 Updated due to quarterly assessment and reallocation

$ 1,836,213,784 Updated due to quarterly assessment and reallocation

$ 1,836,173,178 Updated due to quarterly assessment and reallocation

$ 1,836,166,490 Updated due to quarterly assessment and reallocation

$ 1,836,141,679 Updated due to quarterly assessment and reallocation

$ 1,836,132,621 Updated due to quarterly assessment and reallocation

$ 1,836,129,467 Updated due to quarterly assessment and reallocation

$ 1,835,629,467 Transfer of cap due to servicing transfer

$ 1,831,189,467 Transfer of cap due to servicing transfer

$ 1,553,509,467 Transfer of cap due to servicing transfer

$ 1,548,320,680 Updated due to quarterly assessment and reallocation

$ 1,522,570,680 Transfer of cap due to servicing transfer

$ 1,522,560,680 Transfer of cap due to servicing transfer

$ 1,516,320,680 Transfer of cap due to servicing transfer

$ 1,516,138,915 Updated due to quarterly assessment and reallocation

$ 1,516,108,915 Transfer of cap due to servicing transfer

$ 1,513,969,153 Updated due to quarterly assessment and reallocation

$ 1,496,349,153 Transfer of cap due to servicing transfer

$ 1,492,115,551 Updated due to quarterly assessment and reallocation

$ 1,492,765,551 Transfer of cap due to servicing transfer

$ 1,491,371,108 Updated due to quarterly assessment and reallocation

$ 1,491,471,108 Transfer of cap due to servicing transfer

$ 1,491,651,108 Transfer of cap due to servicing transfer

$ 1,327,516,049 Updated due to quarterly assessment and reallocation

$ 1,327,536,049 Transfer of cap due to servicing transfer

$ 1,266,060,328 Updated due to quarterly assessment and reallocation

$ 1,266,070,328 Transfer of cap due to servicing transfer

$ 1,024,257,544 Updated due to quarterly assessment and reallocation

$ 1,024,247,544 Transfer of cap due to servicing transfer

$ 1,024,107,544 Transfer of cap due to servicing transfer

$ 967,079,746 Updated due to quarterly assessment and reallocation

$ 966,859,746 Transfer of cap due to servicing transfer

$ 890,889,926 Updated due to quarterly assessment and reallocation

$ 835,043,797 Updated due to quarterly assessment and reallocation

$ 658,301,825 Reallocation due to MHA program deobligation

$ 654,679,212 Updated due to quarterly assessment and reallocation

$ 627,607,454 Updated due to quarterly assessment and reallocation

$ 611,554,693 Updated due to quarterly assessment and reallocation

$ 595,675,553 Updated due to quarterly assessment and reallocation

$ 568,055,410 Updated due to quarterly assessment and reallocation

$ 542,176,874 Updated due to quarterly assessment and reallocation

$ 552,153,959 Updated due to quarterly assessment and reallocation

$ 551,749,897 Updated due to quarterly assessment and reallocation

$ 551,687,205 Transfer of cap due to servicing transfer

$ 551,677,205 Transfer of cap due to servicing transfer

$ 550,605,921 Transfer of cap due to servicing transfer

$ 549,025,921 Transfer of cap due to servicing transfer

$ 548,956,403 Transfer of cap due to servicing transfer

$ 548,418,774 Transfer of cap due to servicing transfer

$ 548,402,447 Transfer of cap due to servicing transfer

09/26/2017 $ (9,223,004) $ 539,179,443 Transfer of cap due to servicing transfer

07/26/2017 $ (16,327)

06/26/2017 $ (537,629)

04/26/2017 $ (69,518)

03/16/2017 $ (1,580,000)

02/27/2017 $ (1,071,284)

02/16/2017 $ (10,000)

12/27/2016 $ (62,692)

11/29/2016 $ (404,062)

11/07/2016 $ 9,977,085

10/25/2016 $ (25,878,536)

09/28/2016 $ (27,620,143)

07/27/2016 $ (15,879,140)

06/27/2016 $ (16,052,761)

05/31/2016 $ (27,071,758)

03/28/2016 $ (3,622,613)

02/25/2016 $ (176,741,972)

12/28/2015 $ (55,846,129)

09/28/2015 $ (75,969,820)

07/16/2015 $ (220,000)

06/25/2015 $ (57,027,798)

06/16/2015 $ (140,000)

05/14/2015 $ (10,000)

04/28/2015 $ (241,812,784)

04/16/2015 $ 10,000

03/26/2015 $ (61,475,721)

01/15/2015 $ 20,000

12/29/2014 $ (164,135,059)

12/16/2014 $ 180,000

11/14/2014 $ 100,000

09/29/2014 $ (1,394,443)

09/16/2014 $ 650,000

07/29/2014 $ (4,233,602)

07/16/2014 $ (17,620,000)

06/26/2014 $ (2,139,762)

06/16/2014 $ (30,000)

03/26/2014 $ (181,765)

03/14/2014 $ (6,240,000)

02/13/2014 $ (10,000)

01/16/2014 $ (25,750,000)

12/23/2013 $ (5,188,787)

12/16/2013 $ (277,680,000)

11/14/2013 $ (4,440,000)

10/15/2013 $ (500,000)

09/27/2013 $ (3,154)

06/27/2013 $ (9,058)

03/25/2013 $ (24,811)

12/27/2012 $ (6,688)

09/27/2012 $ (40,606)

06/28/2012 $ (15,481)

06/29/2011 $ (24,616)

03/30/2011 $ (2,674)

01/06/2011 $ (2,282)

09/30/2010 $ (51,741,163)

09/30/2010 $ 5,500,000

07/14/2010 $ (408,850,000)

03/26/2010 $ 121,180,000

12/30/2009 $ 1,355,930,000

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 145,800,000

06/15/2017 $ (1)

12/29/2014 $ 6,250

06/27/2013 $ 1,344

06/14/2013 Purchase Financial Instrument for Home Loan Modifications 06/14/2013 $ 10,000

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 07/31/2009 $ (3,552,000,000)

03/09/2011 $ (2,756,052)

01/06/2011 $ (4)

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 856,056

03/16/2016 Purchase Financial Instrument for Home Loan Modifications 03/16/2016 $ 20,000

10/29/2010 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ (70,000)

03/26/2010 $ 10,000

79
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 538,004,210 Transfer of cap due to servicing transfer

$ 536,740,353 Transfer of cap due to servicing transfer

$ 536,675,778 Transfer of cap due to servicing transfer

$ 536,456,623 Transfer of cap due to servicing transfer

$ 536,015,087 Transfer of cap due to servicing transfer

$ 535,929,919 Transfer of cap due to servicing transfer

$ 459,874,127 Reallocation due to MHA program deobligation

$ 459,869,942 Transfer of cap due to servicing transfer

$ 459,865,472 Transfer of cap due to servicing transfer

$ 459,705,739 Transfer of cap due to servicing transfer

CitiMortgage, Inc. O'Fallon MO $ 2,071,000,000 N/A $ 1,079,420,000 Updated portfolio data from servicer

$ 2,089,600,000 Updated portfolio data from servicer/additional program initial cap

$ 1,984,190,000 Updated portfolio data from servicer/additional program initial cap

$ 1,784,890,000 Updated portfolio data from servicer/additional program initial cap

$ 1,784,660,000 Transfer of cap due to servicing transfer

$ 1,781,660,000 Transfer of cap due to servicing transfer

$ 1,769,380,000 Transfer of cap due to servicing transfer

$ 1,011,700,000 Updated portfolio data from servicer

$ 1,004,590,000 Transfer of cap due to servicing transfer

$ 998,290,000 Transfer of cap due to servicing transfer

$ 989,990,000 Transfer of cap due to servicing transfer

$ 1,022,390,000 Updated portfolio data from servicer/additional program initial cap

$ 1,123,677,484 Updated portfolio data from servicer

$ 1,122,277,484 Transfer of cap due to servicing transfer

$ 1,119,077,484 Transfer of cap due to servicing transfer

$ 1,119,076,503 Updated due to quarterly assessment and reallocation

$ 1,108,576,503 Transfer of cap due to servicing transfer

$ 1,103,976,503 Transfer of cap due to servicing transfer

$ 1,073,476,503 Transfer of cap due to servicing transfer

$ 1,073,475,472 Updated due to quarterly assessment and reallocation

$ 1,073,575,472 Transfer of cap due to servicing transfer

$ 1,066,375,472 Transfer of cap due to servicing transfer

$ 1,065,975,472 Transfer of cap due to servicing transfer

$ 1,065,966,341 Updated due to quarterly assessment and reallocation

$ 1,051,466,341 Transfer of cap due to servicing transfer

$ 1,049,866,341 Transfer of cap due to servicing transfer

$ 1,050,566,341 Transfer of cap due to servicing transfer

$ 1,065,766,341 Transfer of cap due to servicing transfer

$ 1,062,866,341 Transfer of cap due to servicing transfer

$ 1,057,866,341 Transfer of cap due to servicing transfer

$ 1,056,966,341 Transfer of cap due to servicing transfer

$ 1,055,866,341 Transfer of cap due to servicing transfer

$ 1,054,166,341 Transfer of cap due to servicing transfer

$ 1,053,566,341 Transfer of cap due to servicing transfer

$ 1,053,226,341 Transfer of cap due to servicing transfer

$ 1,050,346,341 Transfer of cap due to servicing transfer

$ 1,050,340,843 Updated due to quarterly assessment and reallocation

$ 751,380,843 Transfer of cap due to servicing transfer

$ 1,014,930,843 Transfer of cap due to servicing transfer

$ 1,014,960,843 Transfer of cap due to servicing transfer

$ 1,014,948,121 Updated due to quarterly assessment and reallocation

$ 1,010,928,121 Transfer of cap due to servicing transfer

$ 1,009,468,121 Transfer of cap due to servicing transfer

$ 1,003,468,121 Transfer of cap due to servicing transfer

$ 1,003,466,205 Updated due to quarterly assessment and reallocation

$ 995,016,205 Transfer of cap due to servicing transfer

$ 993,126,205 Transfer of cap due to servicing transfer

$ 993,119,599 Updated due to quarterly assessment and reallocation

$ 989,629,599 Transfer of cap due to servicing transfer

$ 985,999,599 Transfer of cap due to servicing transfer

$ 985,997,438 Updated due to quarterly assessment and reallocation

$ 959,117,438 Transfer of cap due to servicing transfer

$ 946,957,438 Transfer of cap due to servicing transfer

$ 946,956,828 Updated due to quarterly assessment and reallocation

$ 908,006,828 Transfer of cap due to servicing transfer

$ 899,406,828 Transfer of cap due to servicing transfer

$ 898,637,129 Updated due to quarterly assessment and reallocation

$ 893,277,129 Transfer of cap due to servicing transfer

$ 885,597,129 Transfer of cap due to servicing transfer

$ 882,647,129 Transfer of cap due to servicing transfer

$ 882,625,302 Updated due to quarterly assessment and reallocation

04/16/2014 $ (60,000) $ 882,565,302 Transfer of cap due to servicing transfer

03/26/2014 $ (21,827)

03/14/2014 $ (2,950,000)

02/13/2014 $ (7,680,000)

01/16/2014 $ (5,360,000)

12/23/2013 $ (769,699)

12/16/2013 $ (8,600,000)

11/14/2013 $ (38,950,000)

09/27/2013 $ (610)

09/16/2013 $ (12,160,000)

07/16/2013 $ (26,880,000)

06/27/2013 $ (2,161)

06/14/2013 $ (3,630,000)

04/16/2013 $ (3,490,000)

03/25/2013 $ (6,606)

03/14/2013 $ (1,890,000)

02/14/2013 $ (8,450,000)

12/27/2012 $ (1,916)

12/14/2012 $ (6,000,000)

11/15/2012 $ (1,460,000)

10/16/2012 $ (4,020,000)

09/27/2012 $ (12,722)

08/16/2012 $ 30,000

07/27/2012 $ 263,550,000

07/16/2012 $ (298,960,000)

06/28/2012 $ (5,498)

06/14/2012 $ (2,880,000)

05/16/2012 $ (340,000)

04/16/2012 $ (600,000)

03/15/2012 $ (1,700,000)

02/16/2012 $ (1,100,000)

01/13/2012 $ (900,000)

12/15/2011 $ (5,000,000)

11/16/2011 $ (2,900,000)

10/14/2011 $ 15,200,000

09/15/2011 $ 700,000

08/16/2011 $ (1,600,000)

07/14/2011 $ (14,500,000)

06/29/2011 $ (9,131)

06/16/2011 $ (400,000)

05/13/2011 $ (7,200,000)

04/13/2011 $ 100,000

03/30/2011 $ (1,031)

03/16/2011 $ (30,500,000)

02/16/2011 $ (4,600,000)

01/13/2011 $ (10,500,000)

01/06/2011 $ (981)

11/16/2010 $ (3,200,000)

10/15/2010 $ (1,400,000)

09/30/2010 $ 101,287,484

09/30/2010 $ 32,400,000

09/15/2010 $ (8,300,000)

08/13/2010 $ (6,300,000)

07/16/2010 $ (7,110,000)

07/14/2010 $ (757,680,000)

06/16/2010 $ (12,280,000)

05/14/2010 $ (3,000,000)

04/19/2010 $ (230,000)

03/26/2010 $ (199,300,000)

12/30/2009 $ (105,410,000)

09/30/2009 $ 1,010,180,000

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ (991,580,000)

10/25/2018 $ (159,733)

09/26/2018 $ (4,470)

08/27/2018 $ (4,185)

07/26/2018 $ (76,055,792)

06/21/2018 $ (85,168)

04/25/2018 $ (441,536)

03/22/2018 $ (219,155)

02/26/2018 $ (64,575)

12/21/2017 $ (1,263,857)

10/26/2017 $ (1,175,233)

80
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 882,535,302 Transfer of cap due to servicing transfer

$ 882,205,302 Transfer of cap due to servicing transfer

$ 882,009,540 Updated due to quarterly assessment and reallocation

$ 881,579,540 Transfer of cap due to servicing transfer

$ 881,201,976 Updated due to quarterly assessment and reallocation

$ 880,121,976 Transfer of cap due to servicing transfer

$ 880,029,481 Updated due to quarterly assessment and reallocation

$ 878,519,481 Transfer of cap due to servicing transfer

$ 878,549,481 Transfer of cap due to servicing transfer

$ 875,639,481 Transfer of cap due to servicing transfer

$ 969,728,706 Updated due to quarterly assessment and reallocation

$ 935,078,706 Transfer of cap due to servicing transfer

$ 932,638,706 Transfer of cap due to servicing transfer

$ 913,528,706 Transfer of cap due to servicing transfer

$ 989,880,066 Updated due to quarterly assessment and reallocation

$ 983,130,066 Transfer of cap due to servicing transfer

$ 1,040,729,990 Updated due to quarterly assessment and reallocation

$ 1,013,649,990 Transfer of cap due to servicing transfer

$ 934,579,990 Transfer of cap due to servicing transfer

$ 1,020,831,396 Updated due to quarterly assessment and reallocation

$ 1,020,801,396 Transfer of cap due to servicing transfer

$ 1,002,481,396 Transfer of cap due to servicing transfer

$ 1,002,191,396 Transfer of cap due to servicing transfer

$ 1,026,222,572 Updated due to quarterly assessment and reallocation

$ 1,026,212,572 Transfer of cap due to servicing transfer

$ 1,023,782,572 Transfer of cap due to servicing transfer

$ 1,010,142,572 Transfer of cap due to servicing transfer

$ 1,030,468,319 Updated due to quarterly assessment and reallocation

$ 1,030,028,319 Transfer of cap due to servicing transfer

$ 1,029,778,319 Transfer of cap due to servicing transfer

$ 995,220,778 Reallocation due to MHA program deobligation

$ 989,100,778 Transfer of cap due to servicing transfer

$ 988,512,313 Updated due to quarterly assessment and reallocation

$ 973,522,313 Transfer of cap due to servicing transfer

$ 953,272,313 Transfer of cap due to servicing transfer

$ 966,696,212 Updated due to quarterly assessment and reallocation

$ 949,956,212 Transfer of cap due to servicing transfer

$ 957,236,216 Updated due to quarterly assessment and reallocation

$ 954,276,216 Transfer of cap due to servicing transfer

$ 959,916,321 Updated due to quarterly assessment and reallocation

$ 926,356,321 Transfer of cap due to servicing transfer

$ 922,376,321 Transfer of cap due to servicing transfer

$ 941,743,327 Updated due to quarterly assessment and reallocation

$ 670,383,327 Transfer of cap due to servicing transfer

$ 942,945,782 Updated due to quarterly assessment and reallocation

$ 942,945,782 Updated due to quarterly assessment and reallocation

$ 942,865,782 Transfer of cap due to servicing transfer

$ 942,506,381 Updated due to quarterly assessment and reallocation

$ 941,246,381 Transfer of cap due to servicing transfer

$ 941,198,637 Transfer of cap due to servicing transfer

$ 941,218,637 Transfer of cap due to servicing transfer

$ 939,258,637 Transfer of cap due to servicing transfer

$ 938,720,372 Transfer of cap due to servicing transfer

$ 938,630,372 Transfer of cap due to servicing transfer

$ 938,592,296 Transfer of cap due to servicing transfer

$ 938,246,014 Transfer of cap due to servicing transfer

$ 938,235,157 Transfer of cap due to servicing transfer

$ 944,474,645 Transfer of cap due to servicing transfer

$ 944,753,756 Transfer of cap due to servicing transfer

$ 944,424,077 Transfer of cap due to servicing transfer

$ 944,346,068 Transfer of cap due to servicing transfer

$ 944,224,078 Transfer of cap due to servicing transfer

$ 946,433,312 Transfer of cap due to servicing transfer

$ 946,429,228 Transfer of cap due to servicing transfer

$ 826,326,942 Reallocation due to MHA program deobligation

$ 826,319,956 Transfer of cap due to servicing transfer

$ 826,311,797 Transfer of cap due to servicing transfer

$ 826,013,333 Transfer of cap due to servicing transfer

Citizens Community Bank Freeburg IL $ 800,000 N/A $ 1,160,445 Updated portfolio data from servicer

$ 1,160,443 Updated due to quarterly assessment and reallocation

- Termination of SPA

12/16/2009 Citizens First National Bank Spring Valley IL Purchase Financial Instrument for Home Loan Modifications $ 620,000 N/A 01/22/2010 $ 30,000 $ 650,000 Updated portfolio data from servicer/additional program initial cap

03/23/2011 $ (1,160,443)

01/06/2011 $ (2)

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 360,445

10/25/2018 $ (298,464)

09/26/2018 $ (8,159)

08/27/2018 $ (6,986)

07/26/2018 $ (120,102,286)

06/21/2018 $ (4,084)

04/25/2018 $ 2,209,234

03/22/2018 $ (121,990)

02/26/2018 $ (78,009)

12/21/2017 $ (329,679)

10/26/2017 $ 279,111

09/26/2017 $ 6,239,488

07/26/2017 $ (10,857)

06/26/2017 $ (346,282)

04/26/2017 $ (38,076)

03/16/2017 $ (90,000)

02/27/2017 $ (538,265)

02/16/2017 $ (1,960,000)

01/13/2017 $ 20,000

12/27/2016 $ (47,744)

12/15/2016 $ (1,260,000)

11/29/2016 $ (359,401)

11/16/2016 $ (80,000)

11/07/2016 -

10/25/2016 $ 272,562,455

10/14/2016 $ (271,360,000)

09/28/2016 $ 19,367,006

09/15/2016 $ (3,980,000)

08/16/2016 $ (33,560,000)

07/27/2016 $ 5,640,105

07/14/2016 $ (2,960,000)

06/27/2016 $ 7,280,004

06/16/2016 $ (16,740,000)

05/31/2016 $ 13,423,899

05/16/2016 $ (20,250,000)

04/14/2016 $ (14,990,000)

03/28/2016 $ (588,465)

03/16/2016 $ (6,120,000)

02/25/2016 $ (34,557,541)

02/16/2016 $ (250,000)

01/14/2016 $ (440,000)

12/28/2015 $ 20,325,747

12/16/2015 $ (13,640,000)

11/16/2015 $ (2,430,000)

10/15/2015 $ (10,000)

09/28/2015 $ 24,031,176

09/16/2015 $ (290,000)

08/14/2015 $ (18,320,000)

07/16/2015 $ (30,000)

06/25/2015 $ 86,251,406

06/16/2015 $ (79,070,000)

05/14/2015 $ (27,080,000)

04/28/2015 $ 57,599,924

04/16/2015 $ (6,750,000)

03/26/2015 $ 76,351,360

03/16/2015 $ (19,110,000)

02/13/2015 $ (2,440,000)

01/15/2015 $ (34,650,000)

12/29/2014 $ 94,089,225

12/16/2014 $ (2,910,000)

11/14/2014 $ 30,000

10/16/2014 $ (1,510,000)

09/29/2014 $ (92,495)

08/14/2014 $ (1,080,000)

07/29/2014 $ (377,564)

07/16/2014 $ (430,000)

06/26/2014 $ (195,762)

06/16/2014 $ (330,000)

05/15/2014 $ (30,000)

81
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 70,000 Updated portfolio data from servicer

$ 1,500,000 Updated portfolio data from servicer

$ 1,595,612 Updated portfolio data from servicer

$ 1,595,610 Updated due to quarterly assessment and reallocation

$ 1,595,607 Updated due to quarterly assessment and reallocation

$ 1,595,583 Updated due to quarterly assessment and reallocation

$ 1,595,567 Updated due to quarterly assessment and reallocation

$ 1,595,522 Updated due to quarterly assessment and reallocation

$ 1,595,514 Updated due to quarterly assessment and reallocation

$ 1,595,484 Updated due to quarterly assessment and reallocation

$ 1,595,473 Updated due to quarterly assessment and reallocation

$ 1,595,469 Updated due to quarterly assessment and reallocation

$ 1,588,736 Updated due to quarterly assessment and reallocation

$ 1,588,499 Updated due to quarterly assessment and reallocation

$ 1,498,499 Transfer of cap due to servicing transfer

$ 1,495,659 Updated due to quarterly assessment and reallocation

6 $ 141,806 Termination of SPA

Citizens First Wholesale Mortgage 

Company The Villages FL $ 30,000 N/A $ 20,000 Updated portfolio data from servicer/additional program initial cap

$ 610,000 Updated portfolio data from servicer/additional program initial cap

$ 30,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Colorado Federal Savings Bank Greenwood Village CO - N/A 3 $ 70,000 Transfer of cap due to servicing transfer

$ 80,000 Transfer of cap due to servicing transfer

$ 320,000 Transfer of cap due to servicing transfer

$ 284,085 Updated due to quarterly assessment and reallocation

$ 274,085 Transfer of cap due to servicing transfer

$ 177,091 Reallocation due to MHA program deobligation

$ 187,091 Transfer of cap due to servicing transfer

$ 184,802 Updated due to quarterly assessment and reallocation

$ 166,887 Updated due to quarterly assessment and reallocation

$ 156,185 Updated due to quarterly assessment and reallocation

$ 145,480 Updated due to quarterly assessment and reallocation

$ 126,759 Updated due to quarterly assessment and reallocation

$ 109,068 Updated due to quarterly assessment and reallocation

$ 115,889 Updated due to quarterly assessment and reallocation

$ 115,767 Updated due to quarterly assessment and reallocation

$ 115,748 Transfer of cap due to servicing transfer

$ 115,424 Transfer of cap due to servicing transfer

$ 115,403 Transfer of cap due to servicing transfer

$ 115,240 Transfer of cap due to servicing transfer

$ 115,235 Transfer of cap due to servicing transfer

$ 108,716 Transfer of cap due to servicing transfer

$ 107,908 Transfer of cap due to servicing transfer

$ 107,066 Transfer of cap due to servicing transfer

$ 107,025 Transfer of cap due to servicing transfer

$ 106,892 Transfer of cap due to servicing transfer

$ 106,628 Transfer of cap due to servicing transfer

$ 106,579 Transfer of cap due to servicing transfer

$ 101,027 Reallocation due to MHA program deobligation

$ 101,016 Transfer of cap due to servicing transfer

Columbia Bank Fair Lawn NJ - N/A 3 $ 160,000 Transfer of cap due to servicing transfer

$ 159,928 Updated due to quarterly assessment and reallocation

$ 159,785 Updated due to quarterly assessment and reallocation

$ 159,738 Updated due to quarterly assessment and reallocation

$ 195,347 Updated due to quarterly assessment and reallocation

$ 193,506 Updated due to quarterly assessment and reallocation

$ 182,162 Reallocation due to MHA program deobligation

$ 181,922 Updated due to quarterly assessment and reallocation

$ 180,026 Updated due to quarterly assessment and reallocation

$ 178,862 Updated due to quarterly assessment and reallocation

$ 177,661 Updated due to quarterly assessment and reallocation

$ 175,439 Updated due to quarterly assessment and reallocation

$ 173,274 Updated due to quarterly assessment and reallocation

$ 174,109 Updated due to quarterly assessment and reallocation

$ 173,978 Updated due to quarterly assessment and reallocation

$ 173,958 Transfer of cap due to servicing transfer

$ 173,610 Transfer of cap due to servicing transfer

$ 213,610 Transfer of cap due to servicing transfer

04/26/2017 $ (70) $ 213,540 Transfer of cap due to servicing transfer

03/16/2017 $ 40,000

02/27/2017 $ (348)

12/27/2016 $ (20)

11/29/2016 $ (131)

11/07/2016 $ 835

10/25/2016 $ (2,165)

09/28/2016 $ (2,222)

07/27/2016 $ (1,201)

06/27/2016 $ (1,164)

05/31/2016 $ (1,896)

03/28/2016 $ (240)

02/25/2016 $ (11,344)

12/28/2015 $ (1,841)

12/29/2014 $ 35,609

09/29/2014 $ (47)

07/29/2014 $ (143)

06/26/2014 $ (72)

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 160,000

10/25/2018 $ (11)

07/26/2018 $ (5,552)

06/21/2018 $ (49)

04/25/2018 $ (264)

03/22/2018 $ (133)

02/26/2018 $ (41)

12/21/2017 $ (842)

10/26/2017 $ (808)

09/26/2017 $ (6,519)

07/26/2017 $ (5)

06/26/2017 $ (163)

04/26/2017 $ (21)

02/27/2017 $ (324)

12/27/2016 $ (19)

11/29/2016 $ (122)

11/07/2016 $ 6,821

10/25/2016 $ (17,691)

09/28/2016 $ (18,721)

07/27/2016 $ (10,705)

06/27/2016 $ (10,702)

05/31/2016 $ (17,915)

03/28/2016 $ (2,289)

03/16/2016 $ 10,000

02/25/2016 $ (96,994)

02/16/2016 $ (10,000)

12/28/2015 $ (35,915)

11/16/2015 $ 240,000

10/15/2015 $ 10,000

03/16/2015 Purchase Financial Instrument for Home Loan Modifications 03/16/2015 $ 70,000

02/17/2011 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ 70,000

03/26/2010 $ (580,000)

12/30/2009 $ 590,000

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (10,000)

07/01/2014 $ (1,353,853)

06/26/2014 $ (2,840)

05/15/2014 $ (90,000)

03/26/2014 $ (237)

12/23/2013 $ (6,733)

09/27/2013 $ (4)

06/27/2013 $ (11)

03/25/2013 $ (30)

12/27/2012 $ (8)

09/27/2012 $ (45)

06/28/2012 $ (16)

06/29/2011 $ (24)

03/30/2011 $ (3)

01/06/2011 $ (2)

09/30/2010 $ 95,612

07/14/2010 $ 1,430,000

03/26/2010 $ (580,000)

82
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 213,000 Transfer of cap due to servicing transfer

$ 212,984 Transfer of cap due to servicing transfer

$ 195,519 Transfer of cap due to servicing transfer

$ 193,353 Transfer of cap due to servicing transfer

$ 191,097 Transfer of cap due to servicing transfer

$ 190,987 Transfer of cap due to servicing transfer

$ 190,630 Transfer of cap due to servicing transfer

$ 189,924 Transfer of cap due to servicing transfer

$ 189,792 Transfer of cap due to servicing transfer

$ 153,124 Reallocation due to MHA program deobligation

$ 153,122 Transfer of cap due to servicing transfer

$ 153,118 Transfer of cap due to servicing transfer

$ 152,987 Transfer of cap due to servicing transfer

Community Bank & Trust Company Clarks Summit PA $ 380,000 N/A $ 390,000 Updated portfolio data from servicer/additional program initial cap

$ 910,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

- Termination of SPA

Community Credit Union of Florida Rockledge FL $ 2,000,000 N/A $ 2,901,112 Updated portfolio data from servicer

$ 2,901,108 Updated due to quarterly assessment and reallocation

$ 2,901,103 Updated due to quarterly assessment and reallocation

$ 2,901,055 Updated due to quarterly assessment and reallocation

$ 2,901,019 Updated due to quarterly assessment and reallocation

6 $ 12,632 Termination of SPA

Credit Union Mortgage Association, Inc. Fairfax VA $ 1 N/A $ 5,000 Reallocation due to MHA program deobligation

CU Mortgage Services, Inc. New Brighton MN $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

Desjardins Bank N.A. Hallandale Beach FL - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 40,000 Transfer of cap due to servicing transfer

Digital Federal Credit Union Marlborough MA $ 3,050,000 N/A $ 15,240,000 Updated portfolio data from servicer

- Termination of SPA

Ditech Financial LLC (Green Tree 

Servicing LLC) Saint Paul MN $ 156,000,000 N/A $ 91,010,000 Updated portfolio data from servicer

$ 221,790,000 Updated portfolio data from servicer/additional program initial cap

$ 105,040,000 Updated portfolio data from servicer/additional program initial cap

03/26/2010 $ 13,080,000 $ 118,120,000 Updated portfolio data from servicer

12/30/2009 $ (116,750,000)

09/30/2009 $ 130,780,000

04/24/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (64,990,000)

05/14/2010 $ (15,240,000)

01/15/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 12,190,000

09/16/2014 $ 10,000

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/16/2013 $ 30,000

07/14/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

07/16/2019 Purchase Financial Instrument for Home Loan Modifications 08/22/2019 $ 4,999

09/14/2012 $ (2,888,387)

06/28/2012 $ (36)

06/29/2011 $ (48)

03/30/2011 $ (5)

01/06/2011 $ (4)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 901,112

08/26/2014 $ (144,524)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ (810,000)

03/26/2010 $ 520,000

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

10/25/2018 $ (131)

09/26/2018 $ (4)

08/27/2018 $ (2)

07/26/2018 $ (36,668)

06/21/2018 $ (132)

04/25/2018 $ (706)

03/22/2018 $ (357)

02/26/2018 $ (110)

12/21/2017 $ (2,256)

10/26/2017 $ (2,166)

09/26/2017 $ (17,465)

07/26/2017 $ (16)

06/26/2017 $ (540)

83
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 93,900,000 Updated portfolio data from servicer

$ 94,110,000 Transfer of cap due to servicing transfer

$ 96,310,000 Transfer of cap due to servicing transfer

$ 130,910,000 Updated portfolio data from servicer/additional program initial cap

$ 136,510,000 Updated portfolio data from servicer/additional program initial cap

$ 146,695,090 Updated portfolio data from servicer

$ 147,095,090 Transfer of cap due to servicing transfer

$ 147,094,877 Updated due to quarterly assessment and reallocation

$ 147,094,627 Updated due to quarterly assessment and reallocation

$ 148,294,627 Transfer of cap due to servicing transfer

$ 148,394,627 Transfer of cap due to servicing transfer

$ 148,392,325 Updated due to quarterly assessment and reallocation

$ 150,292,325 Transfer of cap due to servicing transfer

$ 150,492,325 Transfer of cap due to servicing transfer

$ 150,692,325 Transfer of cap due to servicing transfer

$ 151,092,325 Transfer of cap due to servicing transfer

$ 151,992,325 Transfer of cap due to servicing transfer

$ 152,092,325 Transfer of cap due to servicing transfer

$ 155,352,325 Transfer of cap due to servicing transfer

$ 156,272,325 Transfer of cap due to servicing transfer

$ 156,270,703 Updated due to quarterly assessment and reallocation

$ 156,380,703 Transfer of cap due to servicing transfer

$ 161,500,703 Transfer of cap due to servicing transfer

$ 161,496,194 Updated due to quarterly assessment and reallocation

$ 170,306,194 Transfer of cap due to servicing transfer

$ 173,216,194 Transfer of cap due to servicing transfer

$ 173,215,392 Updated due to quarterly assessment and reallocation

$ 183,425,392 Transfer of cap due to servicing transfer

$ 183,422,369 Updated due to quarterly assessment and reallocation

$ 183,562,369 Transfer of cap due to servicing transfer

$ 183,561,292 Updated due to quarterly assessment and reallocation

$ 190,771,292 Transfer of cap due to servicing transfer

$ 197,501,292 Transfer of cap due to servicing transfer

$ 197,500,904 Updated due to quarterly assessment and reallocation

$ 201,110,904 Transfer of cap due to servicing transfer

$ 200,790,904 Transfer of cap due to servicing transfer

$ 222,070,904 Transfer of cap due to servicing transfer

$ 221,360,553 Updated due to quarterly assessment and reallocation

$ 223,060,553 Transfer of cap due to servicing transfer

$ 223,038,153 Updated due to quarterly assessment and reallocation

$ 225,318,153 Transfer of cap due to servicing transfer

$ 238,128,153 Transfer of cap due to servicing transfer

$ 236,128,153 Transfer of cap due to servicing transfer

$ 235,865,618 Updated due to quarterly assessment and reallocation

$ 235,995,618 Transfer of cap due to servicing transfer

$ 235,495,832 Updated due to quarterly assessment and reallocation

$ 233,555,832 Transfer of cap due to servicing transfer

$ 233,935,832 Transfer of cap due to servicing transfer

$ 233,785,166 Updated due to quarterly assessment and reallocation

$ 232,665,166 Transfer of cap due to servicing transfer

$ 233,425,166 Transfer of cap due to servicing transfer

$ 239,335,166 Transfer of cap due to servicing transfer

$ 229,163,417 Updated due to quarterly assessment and reallocation

$ 228,393,417 Transfer of cap due to servicing transfer

$ 234,393,417 Transfer of cap due to servicing transfer

$ 232,993,417 Transfer of cap due to servicing transfer

$ 229,994,077 Updated due to quarterly assessment and reallocation

$ 228,554,077 Transfer of cap due to servicing transfer

$ 635,437,651 Updated due to quarterly assessment and reallocation

$ 639,277,651 Transfer of cap due to servicing transfer

$ 641,210,946 Updated due to quarterly assessment and reallocation

$ 647,690,946 Transfer of cap due to servicing transfer

$ 647,850,946 Transfer of cap due to servicing transfer

$ 647,120,946 Transfer of cap due to servicing transfer

$ 648,435,577 Updated due to quarterly assessment and reallocation

$ 648,405,577 Transfer of cap due to servicing transfer

$ 646,605,577 Transfer of cap due to servicing transfer

$ 646,114,055 Updated due to quarterly assessment and reallocation

$ 646,104,055 Transfer of cap due to servicing transfer

$ 643,284,055 Transfer of cap due to servicing transfer

$ 585,466,086 Reallocation due to MHA program deobligation

03/16/2016 $ 1,530,000 $ 586,996,086 Transfer of cap due to servicing transfer

02/25/2016 $ (57,817,969)

02/16/2016 $ (2,820,000)

01/14/2016 $ (10,000)

12/28/2015 $ (491,522)

12/16/2015 $ (1,800,000)

11/16/2015 $ (30,000)

09/28/2015 $ 1,314,631

09/16/2015 $ (730,000)

08/14/2015 $ 160,000

07/16/2015 $ 6,480,000

06/25/2015 $ 1,933,295

05/14/2015 $ 3,840,000

04/28/2015 $ 406,883,574

04/16/2015 $ (1,440,000)

03/26/2015 $ (2,999,340)

03/16/2015 $ (1,400,000)

02/13/2015 $ 6,000,000

01/15/2015 $ (770,000)

12/29/2014 $ (10,171,749)

12/16/2014 $ 5,910,000

11/14/2014 $ 760,000

10/16/2014 $ (1,120,000)

09/29/2014 $ (150,666)

09/16/2014 $ 380,000

08/14/2014 $ (1,940,000)

07/29/2014 $ (499,786)

07/16/2014 $ 130,000

06/26/2014 $ (262,535)

06/16/2014 $ (2,000,000)

05/15/2014 $ 12,810,000

04/16/2014 $ 2,280,000

03/26/2014 $ (22,400)

02/13/2014 $ 1,700,000

12/23/2013 $ (710,351)

12/16/2013 $ 21,280,000

11/14/2013 $ (320,000)

10/15/2013 $ 3,610,000

09/27/2013 $ (388)

08/15/2013 $ 6,730,000

07/16/2013 $ 7,210,000

06/27/2013 $ (1,077)

05/16/2013 $ 140,000

03/25/2013 $ (3,023)

02/14/2013 $ 10,210,000

12/27/2012 $ (802)

11/15/2012 $ 2,910,000

10/16/2012 $ 8,810,000

09/27/2012 $ (4,509)

08/16/2012 $ 5,120,000

07/16/2012 $ 110,000

06/28/2012 $ (1,622)

06/14/2012 $ 920,000

05/16/2012 $ 3,260,000

03/15/2012 $ 100,000

02/16/2012 $ 900,000

11/16/2011 $ 400,000

10/14/2011 $ 200,000

09/15/2011 $ 200,000

07/14/2011 $ 1,900,000

06/29/2011 $ (2,302)

06/16/2011 $ 100,000

05/13/2011 $ 1,200,000

03/30/2011 $ (250)

01/06/2011 $ (213)

10/15/2010 $ 400,000

09/30/2010 $ 10,185,090

09/30/2010 $ 5,600,000

09/10/2010 $ 34,600,000

08/13/2010 $ 2,200,000

07/16/2010 $ 210,000

07/14/2010 $ (24,220,000)

84
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 585,610,807 Updated due to quarterly assessment and reallocation

$ 589,470,807 Transfer of cap due to servicing transfer

$ 587,930,807 Transfer of cap due to servicing transfer

$ 576,554,183 Updated due to quarterly assessment and reallocation

$ 570,774,183 Transfer of cap due to servicing transfer

$ 561,807,631 Updated due to quarterly assessment and reallocation

$ 555,267,631 Transfer of cap due to servicing transfer

$ 545,694,448 Updated due to quarterly assessment and reallocation

$ 549,844,448 Transfer of cap due to servicing transfer

$ 551,324,448 Transfer of cap due to servicing transfer

$ 533,392,776 Updated due to quarterly assessment and reallocation

$ 529,022,776 Transfer of cap due to servicing transfer

$ 510,500,542 Updated due to quarterly assessment and reallocation

$ 517,641,514 Updated due to quarterly assessment and reallocation

$ 517,051,514 Transfer of cap due to servicing transfer

$ 516,776,425 Updated due to quarterly assessment and reallocation

$ 514,306,425 Transfer of cap due to servicing transfer

$ 514,257,854 Transfer of cap due to servicing transfer

$ 513,137,854 Transfer of cap due to servicing transfer

$ 512,957,854 Transfer of cap due to servicing transfer

$ 511,998,915 Transfer of cap due to servicing transfer

$ 508,518,915 Transfer of cap due to servicing transfer

$ 508,444,563 Transfer of cap due to servicing transfer

$ 507,767,173 Transfer of cap due to servicing transfer

$ 507,745,277 Transfer of cap due to servicing transfer

$ 483,950,878 Transfer of cap due to servicing transfer

$ 479,265,132 Transfer of cap due to servicing transfer

$ 473,226,024 Transfer of cap due to servicing transfer

$ 472,834,691 Transfer of cap due to servicing transfer

$ 471,525,262 Transfer of cap due to servicing transfer

$ 468,873,782 Transfer of cap due to servicing transfer

$ 468,356,113 Transfer of cap due to servicing transfer

$ 358,619,294 Reallocation due to MHA program deobligation

$ 358,613,028 Transfer of cap due to servicing transfer

$ 358,605,882 Transfer of cap due to servicing transfer

$ 358,330,731 Transfer of cap due to servicing transfer

DuPage Credit Union Naperville IL $ 70,000 N/A $ 80,000 Updated portfolio data from servicer/additional program initial cap

$ 90,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,053 Updated due to quarterly assessment and reallocation

$ 144,908 Updated due to quarterly assessment and reallocation

$ 144,903 Updated due to quarterly assessment and reallocation

$ 144,844 Updated due to quarterly assessment and reallocation

$ 144,727 Updated due to quarterly assessment and reallocation

$ 144,688 Updated due to quarterly assessment and reallocation

$ 144,311 Updated due to quarterly assessment and reallocation

$ 144,169 Updated due to quarterly assessment and reallocation

$ 217,497 Updated due to quarterly assessment and reallocation

$ 215,238 Updated due to quarterly assessment and reallocation

$ 213,566 Updated due to quarterly assessment and reallocation

$ 202,073 Reallocation due to MHA program deobligation

$ 201,833 Updated due to quarterly assessment and reallocation

$ 199,954 Updated due to quarterly assessment and reallocation

$ 198,831 Updated due to quarterly assessment and reallocation

$ 197,708 Updated due to quarterly assessment and reallocation

$ 195,744 Updated due to quarterly assessment and reallocation

$ 193,889 Updated due to quarterly assessment and reallocation

$ 194,604 Updated due to quarterly assessment and reallocation

$ 194,509 Updated due to quarterly assessment and reallocation

$ 194,494 Transfer of cap due to servicing transfer

$ 194,241 Transfer of cap due to servicing transfer

$ 194,224 Transfer of cap due to servicing transfer

$ 194,097 Transfer of cap due to servicing transfer

$ 194,093 Transfer of cap due to servicing transfer

$ 193,599 Transfer of cap due to servicing transfer

$ 193,538 Transfer of cap due to servicing transfer

$ 193,474 Transfer of cap due to servicing transfer

$ 193,437 Transfer of cap due to servicing transfer

03/22/2018 $ (121) $ 193,316 Transfer of cap due to servicing transfer

02/26/2018 $ (37)

12/21/2017 $ (64)

10/26/2017 $ (61)

09/26/2017 $ (494)

07/26/2017 $ (4)

06/26/2017 $ (127)

04/26/2017 $ (17)

02/27/2017 $ (253)

12/27/2016 $ (15)

11/29/2016 $ (95)

11/07/2016 $ 715

10/25/2016 $ (1,855)

09/28/2016 $ (1,964)

07/27/2016 $ (1,123)

06/27/2016 $ (1,123)

05/31/2016 $ (1,879)

03/28/2016 $ (240)

02/25/2016 $ (11,493)

12/28/2015 $ (1,672)

09/28/2015 $ (2,259)

04/28/2015 $ 73,328

03/26/2015 $ (142)

12/29/2014 $ (377)

09/29/2014 $ (39)

07/29/2014 $ (117)

06/26/2014 $ (59)

03/26/2014 $ (5)

12/23/2013 $ (145)

03/25/2013 $ (1)

09/27/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ 10,000

03/26/2010 $ 10,000

10/30/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

10/25/2018 $ (275,151)

09/26/2018 $ (7,146)

08/27/2018 $ (6,266)

07/26/2018 $ (109,736,819)

06/21/2018 $ (517,669)

04/25/2018 $ (2,651,480)

03/22/2018 $ (1,309,429)

02/26/2018 $ (391,333)

12/21/2017 $ (6,039,108)

10/26/2017 $ (4,685,746)

09/26/2017 $ (23,794,399)

07/26/2017 $ (21,896)

06/26/2017 $ (677,390)

04/26/2017 $ (74,352)

03/16/2017 $ (3,480,000)

02/27/2017 $ (958,939)

02/16/2017 $ (180,000)

01/13/2017 $ (1,120,000)

12/27/2016 $ (48,571)

12/15/2016 $ (2,470,000)

11/29/2016 $ (275,089)

11/16/2016 $ (590,000)

11/07/2016 $ 7,140,972

10/25/2016 $ (18,522,234)

10/14/2016 $ (4,370,000)

09/28/2016 $ (17,931,672)

09/15/2016 $ 1,480,000

08/16/2016 $ 4,150,000

07/27/2016 $ (9,573,183)

07/14/2016 $ (6,540,000)

06/27/2016 $ (8,966,552)

06/16/2016 $ (5,780,000)

05/31/2016 $ (11,376,624)

05/16/2016 $ (1,540,000)

04/14/2016 $ 3,860,000

03/28/2016 $ (1,385,279)

85
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 193,077 Transfer of cap due to servicing transfer

$ 193,032 Transfer of cap due to servicing transfer

$ 164,311 Reallocation due to MHA program deobligation

$ 164,309 Transfer of cap due to servicing transfer

$ 164,307 Transfer of cap due to servicing transfer

$ 164,248 Transfer of cap due to servicing transfer

Eastern Bank Boston MA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Eaton National Bank & Trust Company Eaton OH $ 60,000 N/A $ 150,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

EMC Mortgage Corporation Lewisville TX $ 707,380,000 N/A $ 707,370,000 Updated portfolio data from servicer/additional program initial cap

$ 1,209,800,000 Updated portfolio data from servicer/additional program initial cap

$ 1,075,240,000 Updated portfolio data from servicer/additional program initial cap

$ 683,100,000 Updated portfolio data from servicer

$ 682,470,000 Transfer of cap due to servicing transfer

$ 695,570,000 Updated portfolio data from servicer/additional program initial cap

$ 687,563,543 Updated portfolio data from servicer

$ 687,463,543 Transfer of cap due to servicing transfer

$ 683,063,543 Transfer of cap due to servicing transfer

$ 683,062,741 Updated due to quarterly assessment and reallocation

$ 682,162,741 Transfer of cap due to servicing transfer

$ 678,162,741 Transfer of cap due to servicing transfer

$ 678,161,816 Updated due to quarterly assessment and reallocation

$ 555,261,816 Transfer of cap due to servicing transfer

$ 555,253,088 Updated due to quarterly assessment and reallocation

$ 554,653,088 Transfer of cap due to servicing transfer

8 $ 35,441,779 Termination of SPA

Farmers State Bank West Salem OH $ 170,000 N/A $ 80,000 Updated portfolio data from servicer/additional program initial cap

$ 130,000 Updated portfolio data from servicer/additional program initial cap

$ 230,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Fay Servicing, LLC Chicago IL $ 3,100,000 N/A $ 8,268,169 Updated portfolio data from servicer

$ 8,268,157 Updated due to quarterly assessment and reallocation

$ 8,268,142 Updated due to quarterly assessment and reallocation

$ 8,668,142 Transfer of cap due to servicing transfer

$ 8,667,999 Updated due to quarterly assessment and reallocation

$ 9,367,999 Transfer of cap due to servicing transfer

$ 9,467,999 Transfer of cap due to servicing transfer

$ 9,667,999 Transfer of cap due to servicing transfer

$ 11,367,999 Transfer of cap due to servicing transfer

$ 12,967,999 Transfer of cap due to servicing transfer

$ 13,007,999 Transfer of cap due to servicing transfer

$ 12,797,999 Transfer of cap due to servicing transfer

$ 12,797,894 Updated due to quarterly assessment and reallocation

$ 12,847,894 Transfer of cap due to servicing transfer

$ 12,937,894 Transfer of cap due to servicing transfer

$ 12,937,600 Updated due to quarterly assessment and reallocation

$ 14,747,600 Transfer of cap due to servicing transfer

$ 14,747,539 Updated due to quarterly assessment and reallocation

$ 14,777,539 Transfer of cap due to servicing transfer

$ 14,187,539 Transfer of cap due to servicing transfer

$ 14,107,539 Transfer of cap due to servicing transfer

$ 14,107,325 Updated due to quarterly assessment and reallocation

$ 14,307,325 Transfer of cap due to servicing transfer

$ 18,017,325 Transfer of cap due to servicing transfer

$ 19,777,325 Transfer of cap due to servicing transfer

$ 19,777,239 Updated due to quarterly assessment and reallocation

$ 26,427,239 Transfer of cap due to servicing transfer

$ 26,447,239 Transfer of cap due to servicing transfer

$ 31,287,239 Transfer of cap due to servicing transfer

$ 31,287,185 Updated due to quarterly assessment and reallocation

$ 32,007,185 Transfer of cap due to servicing transfer

$ 33,047,185 Transfer of cap due to servicing transfer

$ 33,187,185 Transfer of cap due to servicing transfer

$ 33,102,809 Updated due to quarterly assessment and reallocation

$ 41,452,809 Transfer of cap due to servicing transfer

$ 47,342,809 Transfer of cap due to servicing transfer

03/14/2014 $ 5,720,000 $ 53,062,809 Transfer of cap due to servicing transfer

02/13/2014 $ 5,890,000

01/16/2014 $ 8,350,000

12/23/2013 $ (84,376)

12/16/2013 $ 140,000

11/14/2013 $ 1,040,000

10/15/2013 $ 720,000

09/27/2013 $ (54)

09/16/2013 $ 4,840,000

08/15/2013 $ 20,000

07/16/2013 $ 6,650,000

06/27/2013 $ (86)

06/14/2013 $ 1,760,000

05/16/2013 $ 3,710,000

04/16/2013 $ 200,000

03/25/2013 $ (214)

03/14/2013 $ (80,000)

02/14/2013 $ (590,000)

01/16/2013 $ 30,000

12/27/2012 $ (61)

10/16/2012 $ 1,810,000

09/27/2012 $ (294)

08/16/2012 $ 90,000

07/16/2012 $ 50,000

06/28/2012 $ (105)

06/14/2012 $ (210,000)

05/16/2012 $ 40,000

04/16/2012 $ 1,600,000

12/15/2011 $ 1,700,000

11/16/2011 $ 200,000

10/14/2011 $ 100,000

09/15/2011 $ 700,000

06/29/2011 $ (143)

04/13/2011 $ 400,000

03/30/2011 $ (15)

01/06/2011 $ (12)

09/03/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 5,168,169

05/20/2011 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ (130,000)

03/26/2010 $ 100,000

12/30/2009 $ 50,000

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (90,000)

10/19/2011 $ (519,211,309)

07/14/2011 $ (600,000)

06/29/2011 $ (8,728)

05/13/2011 $ (122,900,000)

03/30/2011 $ (925)

03/16/2011 $ (4,000,000)

02/16/2011 $ (900,000)

01/06/2011 $ (802)

12/15/2010 $ (4,400,000)

10/15/2010 $ (100,000)

09/30/2010 $ (8,006,457)

09/30/2010 $ 13,100,000

07/16/2010 $ (630,000)

07/14/2010 $ (392,140,000)

03/26/2010 $ (134,560,000)

12/30/2009 $ 502,430,000

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (10,000)

05/20/2011 $ (145,056)

09/30/2010 $ (54,944)

07/14/2010 $ 50,000

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 90,000

03/16/2016 Purchase Financial Instrument for Home Loan Modifications 03/16/2016 $ 20,000

10/25/2018 $ (59)

09/26/2018 $ (2)

08/27/2018 $ (2)

07/26/2018 $ (28,721)

06/21/2018 $ (45)

04/25/2018 $ (239)

86
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 53,058,764 Updated due to quarterly assessment and reallocation

$ 53,128,764 Transfer of cap due to servicing transfer

$ 53,768,764 Transfer of cap due to servicing transfer

$ 69,548,764 Transfer of cap due to servicing transfer

$ 69,479,204 Updated due to quarterly assessment and reallocation

$ 69,189,204 Transfer of cap due to servicing transfer

$ 69,051,020 Updated due to quarterly assessment and reallocation

$ 70,041,020 Transfer of cap due to servicing transfer

$ 72,931,020 Transfer of cap due to servicing transfer

$ 72,892,870 Updated due to quarterly assessment and reallocation

$ 71,062,870 Transfer of cap due to servicing transfer

$ 77,042,870 Transfer of cap due to servicing transfer

$ 71,112,870 Transfer of cap due to servicing transfer

$ 70,783,986 Updated due to quarterly assessment and reallocation

$ 70,863,986 Transfer of cap due to servicing transfer

$ 72,393,986 Transfer of cap due to servicing transfer

$ 71,623,986 Transfer of cap due to servicing transfer

$ 72,694,591 Updated due to quarterly assessment and reallocation

$ 73,324,591 Transfer of cap due to servicing transfer

$ 73,206,401 Updated due to quarterly assessment and reallocation

$ 73,386,401 Transfer of cap due to servicing transfer

$ 73,916,401 Transfer of cap due to servicing transfer

$ 73,736,587 Updated due to quarterly assessment and reallocation

$ 67,236,587 Transfer of cap due to servicing transfer

$ 73,516,587 Transfer of cap due to servicing transfer

$ 75,266,587 Transfer of cap due to servicing transfer

$ 76,297,146 Updated due to quarterly assessment and reallocation

$ 81,607,146 Transfer of cap due to servicing transfer

$ 85,487,146 Transfer of cap due to servicing transfer

$ 89,407,146 Transfer of cap due to servicing transfer

$ 88,249,178 Updated due to quarterly assessment and reallocation

$ 95,649,178 Transfer of cap due to servicing transfer

$ 94,909,178 Transfer of cap due to servicing transfer

$ 86,889,652 Reallocation due to MHA program deobligation

$ 89,869,652 Transfer of cap due to servicing transfer

$ 89,689,802 Updated due to quarterly assessment and reallocation

$ 90,799,802 Transfer of cap due to servicing transfer

$ 92,329,802 Transfer of cap due to servicing transfer

$ 91,165,511 Updated due to quarterly assessment and reallocation

$ 94,215,511 Transfer of cap due to servicing transfer

$ 93,612,463 Updated due to quarterly assessment and reallocation

$ 92,842,463 Transfer of cap due to servicing transfer

$ 92,290,387 Updated due to quarterly assessment and reallocation

$ 92,970,387 Transfer of cap due to servicing transfer

$ 96,250,387 Transfer of cap due to servicing transfer

$ 97,200,157 Updated due to quarterly assessment and reallocation

$ 98,340,157 Transfer of cap due to servicing transfer

$ 96,999,233 Updated due to quarterly assessment and reallocation

$ 97,516,206 Updated due to quarterly assessment and reallocation

$ 100,216,206 Transfer of cap due to servicing transfer

$ 100,156,425 Updated due to quarterly assessment and reallocation

$ 100,396,425 Transfer of cap due to servicing transfer

$ 100,387,041 Transfer of cap due to servicing transfer

$ 103,397,041 Transfer of cap due to servicing transfer

$ 106,457,041 Transfer of cap due to servicing transfer

$ 106,251,004 Transfer of cap due to servicing transfer

$ 106,231,004 Transfer of cap due to servicing transfer

$ 106,218,041 Transfer of cap due to servicing transfer

$ 108,603,471 Transfer of cap due to servicing transfer

$ 109,096,647 Transfer of cap due to servicing transfer

$ 113,700,539 Transfer of cap due to servicing transfer

$ 116,953,344 Transfer of cap due to servicing transfer

$ 118,541,841 Transfer of cap due to servicing transfer

$ 119,618,182 Transfer of cap due to servicing transfer

$ 119,618,181 Transfer of cap due to servicing transfer

$ 120,379,792 Transfer of cap due to servicing transfer

$ 120,849,484 Transfer of cap due to servicing transfer

$ 126,457,485 Transfer of cap due to servicing transfer

$ 110,755,313 Reallocation due to MHA program deobligation

$ 110,754,377 Transfer of cap due to servicing transfer

$ 110,753,602 Transfer of cap due to servicing transfer

10/25/2018 $ (30,624) $ 110,722,978 Transfer of cap due to servicing transfer

09/26/2018 $ (775)

08/27/2018 $ (936)

07/26/2018 $ (15,702,172)

06/21/2018 $ 5,608,001

04/25/2018 $ 469,692

03/22/2018 $ 761,611

03/15/2018 $ (1)

02/26/2018 $ 1,076,341

12/21/2017 $ 1,588,497

10/26/2017 $ 3,252,805

09/26/2017 $ 4,603,892

07/26/2017 $ 493,176

06/26/2017 $ 2,385,430

04/26/2017 $ (12,963)

03/16/2017 $ (20,000)

02/27/2017 $ (206,037)

02/16/2017 $ 3,060,000

01/13/2017 $ 3,010,000

12/27/2016 $ (9,384)

12/15/2016 $ 240,000

11/29/2016 $ (59,781)

11/16/2016 $ 2,700,000

11/07/2016 $ 516,973

10/25/2016 $ (1,340,924)

10/14/2016 $ 1,140,000

09/28/2016 $ 949,770

09/15/2016 $ 3,280,000

08/16/2016 $ 680,000

07/27/2016 $ (552,076)

07/14/2016 $ (770,000)

06/27/2016 $ (603,048)

06/16/2016 $ 3,050,000

05/31/2016 $ (1,164,291)

05/16/2016 $ 1,530,000

04/14/2016 $ 1,110,000

03/28/2016 $ (179,850)

03/16/2016 $ 2,980,000

02/25/2016 $ (8,019,526)

02/16/2016 $ (740,000)

01/14/2016 $ 7,400,000

12/28/2015 $ (1,157,968)

12/16/2015 $ 3,920,000

11/16/2015 $ 3,880,000

10/15/2015 $ 5,310,000

09/28/2015 $ 1,030,559

09/16/2015 $ 1,750,000

08/14/2015 $ 6,280,000

07/16/2015 $ (6,500,000)

06/25/2015 $ (179,814)

06/16/2015 $ 530,000

05/14/2015 $ 180,000

04/28/2015 $ (118,190)

04/16/2015 $ 630,000

03/26/2015 $ 1,070,605

03/16/2015 $ (770,000)

02/13/2015 $ 1,530,000

01/15/2015 $ 80,000

12/29/2014 $ (328,884)

12/16/2014 $ (5,930,000)

11/14/2014 $ 5,980,000

10/16/2014 $ (1,830,000)

09/29/2014 $ (38,150)

09/16/2014 $ 2,890,000

08/14/2014 $ 990,000

07/29/2014 $ (138,184)

07/16/2014 $ (290,000)

06/26/2014 $ (69,560)

06/16/2014 $ 15,780,000

05/15/2014 $ 640,000

04/16/2014 $ 70,000

03/26/2014 $ (4,045)

87
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 112,072,812 Transfer of cap due to servicing transfer

FCI Lender Services, Inc. Anaheim Hills CA - N/A 3 $ 500,000 Transfer of cap due to servicing transfer

$ 600,000 Transfer of cap due to servicing transfer

$ 599,991 Updated due to quarterly assessment and reallocation

$ 799,991 Transfer of cap due to servicing transfer

$ 899,991 Transfer of cap due to servicing transfer

$ 3,399,991 Transfer of cap due to servicing transfer

$ 4,909,991 Transfer of cap due to servicing transfer

$ 5,359,991 Transfer of cap due to servicing transfer

$ 5,359,925 Updated due to quarterly assessment and reallocation

$ 5,609,925 Transfer of cap due to servicing transfer

$ 5,699,925 Transfer of cap due to servicing transfer

$ 5,699,734 Updated due to quarterly assessment and reallocation

$ 5,839,734 Transfer of cap due to servicing transfer

$ 5,909,734 Transfer of cap due to servicing transfer

$ 5,949,734 Transfer of cap due to servicing transfer

$ 5,949,700 Updated due to quarterly assessment and reallocation

$ 5,989,700 Transfer of cap due to servicing transfer

$ 6,039,700 Transfer of cap due to servicing transfer

$ 6,399,700 Transfer of cap due to servicing transfer

$ 6,399,565 Updated due to quarterly assessment and reallocation

$ 6,389,565 Transfer of cap due to servicing transfer

$ 6,429,565 Transfer of cap due to servicing transfer

$ 6,629,565 Transfer of cap due to servicing transfer

$ 6,629,512 Updated due to quarterly assessment and reallocation

$ 6,649,512 Transfer of cap due to servicing transfer

$ 6,649,493 Updated due to quarterly assessment and reallocation

$ 6,909,493 Transfer of cap due to servicing transfer

$ 6,939,493 Transfer of cap due to servicing transfer

$ 6,905,738 Updated due to quarterly assessment and reallocation

$ 7,015,738 Transfer of cap due to servicing transfer

$ 7,655,738 Transfer of cap due to servicing transfer

$ 7,654,433 Updated due to quarterly assessment and reallocation

$ 7,774,433 Transfer of cap due to servicing transfer

$ 7,814,433 Transfer of cap due to servicing transfer

$ 7,924,433 Transfer of cap due to servicing transfer

$ 7,908,595 Updated due to quarterly assessment and reallocation

$ 8,348,595 Transfer of cap due to servicing transfer

$ 8,315,304 Updated due to quarterly assessment and reallocation

$ 9,425,304 Transfer of cap due to servicing transfer

$ 9,465,304 Transfer of cap due to servicing transfer

$ 9,452,850 Updated due to quarterly assessment and reallocation

$ 9,472,850 Transfer of cap due to servicing transfer

$ 9,492,850 Transfer of cap due to servicing transfer

$ 9,682,850 Transfer of cap due to servicing transfer

$ 8,118,179 Updated due to quarterly assessment and reallocation

$ 8,128,179 Transfer of cap due to servicing transfer

$ 8,138,179 Transfer of cap due to servicing transfer

$ 7,545,170 Updated due to quarterly assessment and reallocation

$ 5,204,049 Updated due to quarterly assessment and reallocation

$ 5,254,049 Transfer of cap due to servicing transfer

$ 5,314,049 Transfer of cap due to servicing transfer

$ 4,747,883 Updated due to quarterly assessment and reallocation

$ 4,827,883 Transfer of cap due to servicing transfer

$ 5,047,883 Transfer of cap due to servicing transfer

$ 5,307,883 Transfer of cap due to servicing transfer

$ 4,460,330 Updated due to quarterly assessment and reallocation

$ 4,540,330 Transfer of cap due to servicing transfer

$ 4,960,330 Transfer of cap due to servicing transfer

$ 5,380,330 Transfer of cap due to servicing transfer

$ 4,600,203 Updated due to quarterly assessment and reallocation

$ 4,830,203 Transfer of cap due to servicing transfer

$ 5,080,203 Transfer of cap due to servicing transfer

$ 2,543,797 Reallocation due to MHA program deobligation

$ 2,573,797 Transfer of cap due to servicing transfer

$ 2,519,447 Updated due to quarterly assessment and reallocation

$ 2,869,447 Transfer of cap due to servicing transfer

$ 2,869,447 Transfer of cap due to servicing transfer

$ 2,396,749 Updated due to quarterly assessment and reallocation

$ 2,476,749 Transfer of cap due to servicing transfer

$ 2,186,547 Updated due to quarterly assessment and reallocation

07/14/2016 $ (100,000) $ 2,086,547 Transfer of cap due to servicing transfer

06/27/2016 $ (290,202)

06/16/2016 $ 80,000

05/31/2016 $ (472,698)

05/16/2016 -

04/14/2016 $ 350,000

03/28/2016 $ (54,350)

03/16/2016 $ 30,000

02/25/2016 $ (2,536,406)

02/16/2016 $ 250,000

01/14/2016 $ 230,000

12/28/2015 $ (780,127)

12/16/2015 $ 420,000

11/16/2015 $ 420,000

10/15/2015 $ 80,000

09/28/2015 $ (847,553)

09/16/2015 $ 260,000

08/14/2015 $ 220,000

07/16/2015 $ 80,000

06/25/2015 $ (566,166)

06/16/2015 $ 60,000

05/14/2015 $ 50,000

04/28/2015 $ (2,341,121)

03/26/2015 $ (593,009)

02/13/2015 $ 10,000

01/15/2015 $ 10,000

12/29/2014 $ (1,564,671)

12/16/2014 $ 190,000

11/14/2014 $ 20,000

10/16/2014 $ 20,000

09/29/2014 $ (12,454)

09/16/2014 $ 40,000

08/14/2014 $ 1,110,000

07/29/2014 $ (33,291)

07/16/2014 $ 440,000

06/26/2014 $ (15,838)

06/16/2014 $ 110,000

05/15/2014 $ 40,000

04/16/2014 $ 120,000

03/26/2014 $ (1,305)

03/14/2014 $ 640,000

02/13/2014 $ 110,000

12/23/2013 $ (33,755)

11/14/2013 $ 30,000

10/15/2013 $ 260,000

09/27/2013 $ (19)

07/16/2013 $ 20,000

06/27/2013 $ (53)

06/14/2013 $ 200,000

05/16/2013 $ 40,000

04/16/2013 $ (10,000)

03/25/2013 $ (135)

03/14/2013 $ 360,000

02/14/2013 $ 50,000

01/16/2013 $ 40,000

12/27/2012 $ (34)

12/14/2012 $ 40,000

11/15/2012 $ 70,000

10/16/2012 $ 140,000

09/27/2012 $ (191)

08/16/2012 $ 90,000

07/16/2012 $ 250,000

06/28/2012 $ (66)

06/14/2012 $ 450,000

05/16/2012 $ 1,510,000

11/16/2011 $ 2,500,000

09/15/2011 $ 100,000

07/14/2011 $ 200,000

06/29/2011 $ (9)

06/16/2011 $ 100,000

05/13/2011 Purchase Financial Instrument for Home Loan Modifications 05/13/2011 $ 500,000

03/25/2019 $ 1,349,834

88
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,805,531 Updated due to quarterly assessment and reallocation

$ 1,905,531 Transfer of cap due to servicing transfer

$ 2,265,531 Transfer of cap due to servicing transfer

$ 1,553,439 Updated due to quarterly assessment and reallocation

$ 1,673,439 Transfer of cap due to servicing transfer

$ 943,418 Updated due to quarterly assessment and reallocation

$ 1,224,867 Updated due to quarterly assessment and reallocation

$ 1,304,867 Transfer of cap due to servicing transfer

$ 1,298,887 Updated due to quarterly assessment and reallocation

$ 2,148,887 Transfer of cap due to servicing transfer

$ 2,146,965 Transfer of cap due to servicing transfer

$ 2,666,965 Transfer of cap due to servicing transfer

$ 2,866,965 Transfer of cap due to servicing transfer

$ 2,820,743 Transfer of cap due to servicing transfer

$ 2,830,743 Transfer of cap due to servicing transfer

$ 2,827,700 Transfer of cap due to servicing transfer

$ 2,805,423 Transfer of cap due to servicing transfer

$ 2,804,742 Transfer of cap due to servicing transfer

$ 1,920,074 Transfer of cap due to servicing transfer

$ 1,808,472 Transfer of cap due to servicing transfer

$ 1,695,480 Transfer of cap due to servicing transfer

$ 1,689,994 Transfer of cap due to servicing transfer

$ 1,671,534 Transfer of cap due to servicing transfer

$ 1,633,947 Transfer of cap due to servicing transfer

$ 1,627,467 Transfer of cap due to servicing transfer

$ 817,115 Reallocation due to MHA program deobligation

$ 817,071 Transfer of cap due to servicing transfer

$ 817,032 Transfer of cap due to servicing transfer

$ 815,743 Transfer of cap due to servicing transfer

Fidelity Bank (Fidelity Homestead 

SavingsBank) New Orleans LA $ 2,940,000 N/A $ 3,080,000 Updated portfolio data from servicer/additional program initial cap

$ 9,380,000 Updated portfolio data from servicer

$ 7,400,000 Updated portfolio data from servicer

$ 1,015,389 Updated portfolio data from servicer

$ 1,015,388 Updated due to quarterly assessment and reallocation

$ 1,015,386 Updated due to quarterly assessment and reallocation

$ 1,015,370 Updated due to quarterly assessment and reallocation

$ 1,015,358 Updated due to quarterly assessment and reallocation

$ 1,015,326 Updated due to quarterly assessment and reallocation

$ 1,015,321 Updated due to quarterly assessment and reallocation

$ 1,015,300 Updated due to quarterly assessment and reallocation

$ 1,015,292 Updated due to quarterly assessment and reallocation

$ 1,015,289 Updated due to quarterly assessment and reallocation

$ 1,010,573 Updated due to quarterly assessment and reallocation

$ 1,010,408 Updated due to quarterly assessment and reallocation

$ 1,008,464 Updated due to quarterly assessment and reallocation

$ 1,004,602 Updated due to quarterly assessment and reallocation

$ 1,003,326 Updated due to quarterly assessment and reallocation

$ 872,692 Updated due to quarterly assessment and reallocation

$ 823,555 Updated due to quarterly assessment and reallocation

$ 636,149 Updated due to quarterly assessment and reallocation

$ 590,545 Updated due to quarterly assessment and reallocation

$ 529,607 Updated due to quarterly assessment and reallocation

$ 488,383 Updated due to quarterly assessment and reallocation

$ 361,409 Reallocation due to MHA program deobligation

$ 358,754 Updated due to quarterly assessment and reallocation

$ 333,114 Updated due to quarterly assessment and reallocation

$ 317,797 Updated due to quarterly assessment and reallocation

$ 302,475 Updated due to quarterly assessment and reallocation

$ 275,640 Updated due to quarterly assessment and reallocation

$ 250,217 Updated due to quarterly assessment and reallocation

$ 260,019 Updated due to quarterly assessment and reallocation

$ 259,741 Updated due to quarterly assessment and reallocation

$ 259,698 Transfer of cap due to servicing transfer

$ 258,959 Transfer of cap due to servicing transfer

$ 258,893 Transfer of cap due to servicing transfer

$ 258,224 Transfer of cap due to servicing transfer

$ 258,204 Transfer of cap due to servicing transfer

$ 236,441 Transfer of cap due to servicing transfer

$ 233,742 Transfer of cap due to servicing transfer

$ 230,930 Transfer of cap due to servicing transfer

02/26/2018 $ (171) $ 230,759 Transfer of cap due to servicing transfer

12/21/2017 $ (2,812)

10/26/2017 $ (2,699)

09/26/2017 $ (21,763)

07/26/2017 $ (20)

06/26/2017 $ (669)

04/26/2017 $ (66)

02/27/2017 $ (739)

12/27/2016 $ (43)

11/29/2016 $ (278)

11/07/2016 $ 9,802

10/25/2016 $ (25,423)

09/28/2016 $ (26,835)

07/27/2016 $ (15,322)

06/27/2016 $ (15,317)

05/31/2016 $ (25,640)

03/28/2016 $ (2,655)

02/25/2016 $ (126,974)

12/28/2015 $ (41,224)

09/28/2015 $ (60,938)

06/25/2015 $ (45,604)

04/28/2015 $ (187,406)

03/26/2015 $ (49,137)

12/29/2014 $ (130,634)

09/29/2014 $ (1,276)

07/29/2014 $ (3,862)

06/26/2014 $ (1,944)

03/26/2014 $ (165)

12/23/2013 $ (4,716)

09/27/2013 $ (3)

06/27/2013 $ (8)

03/25/2013 $ (21)

12/27/2012 $ (5)

09/27/2012 $ (32)

06/28/2012 $ (12)

06/29/2011 $ (16)

03/30/2011 $ (2)

01/06/2011 $ (1)

09/30/2010 $ (6,384,611)

07/14/2010 $ (1,980,000)

03/26/2010 $ 6,300,000

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 140,000

10/25/2018 $ (1,289)

09/26/2018 $ (39)

08/27/2018 $ (44)

07/26/2018 $ (810,352)

06/21/2018 $ (6,480)

04/25/2018 $ (37,587)

03/22/2018 $ (18,460)

02/26/2018 $ (5,486)

12/21/2017 $ (112,992)

10/26/2017 $ (111,602)

09/26/2017 $ (884,668)

07/26/2017 $ (681)

06/26/2017 $ (22,277)

04/26/2017 $ (3,043)

03/16/2017 $ 10,000

02/27/2017 $ (46,222)

02/16/2017 $ 200,000

01/13/2017 $ 520,000

12/27/2016 $ (1,922)

12/15/2016 $ 850,000

11/29/2016 $ (5,980)

11/16/2016 $ 80,000

11/07/2016 $ 281,449

10/25/2016 $ (730,021)

10/14/2016 $ 120,000

09/28/2016 $ (712,092)

09/15/2016 $ 360,000

08/16/2016 $ 100,000

07/27/2016 $ (281,016)

89
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 230,202 Transfer of cap due to servicing transfer

$ 229,101 Transfer of cap due to servicing transfer

$ 228,894 Transfer of cap due to servicing transfer

$ 180,198 Reallocation due to MHA program deobligation

$ 180,195 Transfer of cap due to servicing transfer

$ 180,192 Transfer of cap due to servicing transfer

$ 180,036 Transfer of cap due to servicing transfer

Fifth Third Bank Cincinnati OH $ 1 N/A $ 15,000 Transfer of cap due to servicing transfer

FIRST BANK St. Louis MO $ 6,460,000 N/A $ 4,930,000 Updated portfolio data from servicer/additional program initial cap

$ 5,610,000 Updated portfolio data from servicer/additional program initial cap

$ 8,070,000 Updated portfolio data from servicer

$ 5,600,000 Updated portfolio data from servicer

$ 8,123,114 Updated portfolio data from servicer

$ 8,123,112 Updated due to quarterly assessment and reallocation

$ 8,123,110 Updated due to quarterly assessment and reallocation

$ 8,123,095 Updated due to quarterly assessment and reallocation

$ 8,123,092 Updated due to quarterly assessment and reallocation

$ 8,123,087 Updated due to quarterly assessment and reallocation

$ 8,123,086 Updated due to quarterly assessment and reallocation

$ 8,123,081 Updated due to quarterly assessment and reallocation

$ 8,123,080 Updated due to quarterly assessment and reallocation

$ 8,122,606 Updated due to quarterly assessment and reallocation

$ 8,122,588 Updated due to quarterly assessment and reallocation

$ 8,122,553 Updated due to quarterly assessment and reallocation

$ 8,124,275 Updated due to quarterly assessment and reallocation

$ 8,157,474 Updated due to quarterly assessment and reallocation

$ 10,461,807 Updated due to quarterly assessment and reallocation

$ 10,466,222 Updated due to quarterly assessment and reallocation

$ 10,962,208 Updated due to quarterly assessment and reallocation

$ 11,000,545 Updated due to quarterly assessment and reallocation

$ 11,016,767 Updated due to quarterly assessment and reallocation

$ 11,029,056 Updated due to quarterly assessment and reallocation

$ 10,636,309 Reallocation due to MHA program deobligation

$ 10,628,199 Updated due to quarterly assessment and reallocation

$ 10,648,199 Transfer of cap due to servicing transfer

$ 10,586,948 Updated due to quarterly assessment and reallocation

$ 10,553,534 Updated due to quarterly assessment and reallocation

$ 10,516,006 Updated due to quarterly assessment and reallocation

$ 10,471,344 Updated due to quarterly assessment and reallocation

$ 10,438,125 Updated due to quarterly assessment and reallocation

$ 10,450,932 Updated due to quarterly assessment and reallocation

$ 9,180,932 Transfer of cap due to servicing transfer

$ 9,176,164 Updated due to quarterly assessment and reallocation

$ 9,175,472 Transfer of cap due to servicing transfer

$ 9,163,782 Transfer of cap due to servicing transfer

$ 9,163,024 Transfer of cap due to servicing transfer

$ 9,157,078 Transfer of cap due to servicing transfer

$ 9,156,898 Transfer of cap due to servicing transfer

$ 9,133,728 Transfer of cap due to servicing transfer

$ 9,130,855 Transfer of cap due to servicing transfer

$ 9,127,862 Transfer of cap due to servicing transfer

$ 9,127,717 Transfer of cap due to servicing transfer

$ 9,127,243 Transfer of cap due to servicing transfer

$ 9,126,306 Transfer of cap due to servicing transfer

$ 9,126,130 Transfer of cap due to servicing transfer

$ 7,954,155 Reallocation due to MHA program deobligation

$ 7,954,091 Transfer of cap due to servicing transfer

$ 7,954,020 Transfer of cap due to servicing transfer

$ 7,951,493 Transfer of cap due to servicing transfer

First Citizens Bank & Trust Company Hendersonville NC - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

First Federal Bank of Florida Lake City FL $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

09/29/2014 $ (63) $ 144,461 Updated due to quarterly assessment and reallocation

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

12/15/2016 $ 20,000

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 10,000

10/25/2018 $ (2,527)

09/26/2018 $ (71)

08/27/2018 $ (64)

07/26/2018 $ (1,171,975)

06/21/2018 $ (176)

04/25/2018 $ (937)

03/22/2018 $ (474)

02/26/2018 $ (145)

12/21/2017 $ (2,993)

10/26/2017 $ (2,873)

09/26/2017 $ (23,170)

07/26/2017 $ (180)

06/26/2017 $ (5,946)

04/26/2017 $ (758)

02/27/2017 $ (11,690)

12/27/2016 $ (692)

11/29/2016 $ (4,768)

11/16/2016 $ (1,270,000)

11/07/2016 $ 12,807

10/25/2016 $ (33,219)

09/28/2016 $ (44,662)

07/27/2016 $ (37,528)

06/27/2016 $ (33,414)

05/31/2016 $ (61,251)

05/16/2016 $ 20,000

03/28/2016 $ (8,110)

02/25/2016 $ (392,747)

12/28/2015 $ 12,289

09/28/2015 $ 16,222

06/25/2015 $ 38,337

04/28/2015 $ 495,986

03/26/2015 $ 4,415

12/29/2014 $ 2,304,333

09/29/2014 $ 33,199

07/29/2014 $ 1,722

06/26/2014 $ (35)

03/26/2014 $ (18)

12/23/2013 $ (474)

06/27/2013 $ (1)

03/25/2013 $ (5)

12/27/2012 $ (1)

09/27/2012 $ (5)

06/28/2012 $ (3)

06/29/2011 $ (15)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 2,523,114

07/14/2010 $ (2,470,000)

03/26/2010 $ 2,460,000

12/30/2009 $ 680,000

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (1,530,000)

06/14/2018 Purchase Financial Instrument for Home Loan Modifications 06/21/2018 $ 14,999

10/25/2018 $ (156)

09/26/2018 $ (3)

08/27/2018 $ (3)

07/26/2018 $ (48,696)

06/21/2018 $ (207)

04/25/2018 $ (1,101)

03/22/2018 $ (557)

90
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

First Federal Savings and Loan Port Angeles WA $ 770,000 N/A $ 2,790,000 Updated portfolio data from servicer/additional program initial cap

$ 14,160,000 Updated portfolio data from servicer

- Termination of SPA

First Federal Savings and Loan 

Association of Lakewood Lakewood OH $ 3,460,000 N/A $ 3,620,000 Updated portfolio data from servicer/additional program initial cap

- Termination of SPA

First Financial Bank, N.A. Terre Haute ID $ 4,300,000 N/A $ 11,314,337 Updated portfolio data from servicer

$ 11,314,320 Updated due to quarterly assessment and reallocation

$ 11,314,300 Updated due to quarterly assessment and reallocation

$ 11,314,108 Updated due to quarterly assessment and reallocation

$ 11,313,964 Updated due to quarterly assessment and reallocation

$ 11,313,568 Updated due to quarterly assessment and reallocation

$ 11,313,501 Updated due to quarterly assessment and reallocation

$ 11,313,248 Updated due to quarterly assessment and reallocation

$ 11,313,153 Updated due to quarterly assessment and reallocation

$ 11,313,119 Updated due to quarterly assessment and reallocation

$ 11,255,343 Updated due to quarterly assessment and reallocation

$ 11,253,312 Updated due to quarterly assessment and reallocation

$ 11,229,340 Updated due to quarterly assessment and reallocation

$ 11,181,727 Updated due to quarterly assessment and reallocation

$ 11,165,999 Updated due to quarterly assessment and reallocation

$ 9,260,871 Updated due to quarterly assessment and reallocation

$ 8,544,383 Updated due to quarterly assessment and reallocation

$ 5,720,330 Updated due to quarterly assessment and reallocation

$ 5,050,576 Updated due to quarterly assessment and reallocation

$ 5,060,576 Transfer of cap due to servicing transfer

$ 4,164,101 Updated due to quarterly assessment and reallocation

$ 3,500,639 Updated due to quarterly assessment and reallocation

$ 1,605,921 Reallocation due to MHA program deobligation

$ 1,566,343 Updated due to quarterly assessment and reallocation

$ 1,256,573 Updated due to quarterly assessment and reallocation

$ 1,071,522 Updated due to quarterly assessment and reallocation

$ 886,415 Updated due to quarterly assessment and reallocation

$ 562,694 Updated due to quarterly assessment and reallocation

$ 256,800 Updated due to quarterly assessment and reallocation

$ 374,733 Updated due to quarterly assessment and reallocation

$ 372,617 Updated due to quarterly assessment and reallocation

$ 372,294 Transfer of cap due to servicing transfer

$ 366,688 Transfer of cap due to servicing transfer

$ 366,321 Transfer of cap due to servicing transfer

$ 363,495 Transfer of cap due to servicing transfer

$ 363,410 Transfer of cap due to servicing transfer

$ 250,704 Transfer of cap due to servicing transfer

$ 236,727 Transfer of cap due to servicing transfer

$ 222,166 Transfer of cap due to servicing transfer

$ 221,459 Transfer of cap due to servicing transfer

$ 219,154 Transfer of cap due to servicing transfer

$ 214,598 Transfer of cap due to servicing transfer

$ 213,744 Transfer of cap due to servicing transfer

$ 117,758 Reallocation due to MHA program deobligation

$ 117,753 Transfer of cap due to servicing transfer

09/26/2018 $ (6) $ 117,747 Transfer of cap due to servicing transfer

08/27/2018 $ (5)

07/26/2018 $ (95,986)

06/21/2018 $ (854)

04/25/2018 $ (4,556)

03/22/2018 $ (2,305)

02/26/2018 $ (707)

12/21/2017 $ (14,561)

10/26/2017 $ (13,977)

09/26/2017 $ (112,706)

07/26/2017 $ (85)

06/26/2017 $ (2,826)

04/26/2017 $ (367)

02/27/2017 $ (5,606)

12/27/2016 $ (323)

11/29/2016 $ (2,116)

11/07/2016 $ 117,933

10/25/2016 $ (305,894)

09/28/2016 $ (323,721)

07/27/2016 $ (185,107)

06/27/2016 $ (185,051)

05/31/2016 $ (309,770)

03/28/2016 $ (39,578)

02/25/2016 $ (1,894,718)

12/28/2015 $ (663,462)

09/28/2015 $ (896,475)

07/16/2015 $ 10,000

06/25/2015 $ (669,754)

04/28/2015 $ (2,824,053)

03/26/2015 $ (716,488)

12/29/2014 $ (1,905,128)

09/29/2014 $ (15,728)

07/29/2014 $ (47,613)

06/26/2014 $ (23,972)

03/26/2014 $ (2,031)

12/23/2013 $ (57,776)

09/27/2013 $ (34)

06/27/2013 $ (95)

03/25/2013 $ (253)

12/27/2012 $ (67)

09/27/2012 $ (396)

06/28/2012 $ (144)

06/29/2011 $ (192)

03/30/2011 $ (20)

01/06/2011 $ (17)

08/27/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 7,014,337

04/21/2010 $ (3,620,000)

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 160,000

05/26/2010 $ (14,160,000)

03/26/2010 $ 11,370,000

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ 2,020,000

07/14/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

91
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 117,549 Transfer of cap due to servicing transfer

First Keystone Bank Media PA $ 1,280,000 N/A $ 1,330,000 Updated portfolio data from servicer/additional program initial cap

$ 2,350,000 Updated portfolio data from servicer

$ 1,400,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

$ 1,350,552 Transfer of cap due to servicing transfer

$ 1,350,531 Updated due to quarterly assessment and reallocation

6 $ 14,917 Termination of SPA

First Merchants Bank Muncie IN - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

First Mortgage Company, LLC Oklahoma City OK - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

- Termination of SPA

First Mortgage Corporation Diamond Bar CA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 103,635 Transfer of cap due to servicing transfer

$ 101,610 Reallocation due to MHA program deobligation

$ 101,568 Updated due to quarterly assessment and reallocation

$ 81,568 Transfer of cap due to servicing transfer

$ 71,568 Transfer of cap due to servicing transfer

First National Bank of Grant Park Grant Park IL $ 140,000 N/A $ 290,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

- Termination of SPA

First National Bank of Pennsylvania Hermitage PA $ 1 N/A $ 29,233 Transfer of cap due to servicing transfer

$ 30,757 Transfer of cap due to servicing transfer

First Safety Bank Cincinnati OH $ 400,000 N/A $ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

- Termination of SPA

First State Bank Mendota IL - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 30,588 Updated due to quarterly assessment and reallocation

Flagstar Capital Markets Corporation Troy MI $ 800,000 N/A $ 1,160,445 Updated portfolio data from servicer

$ 1,160,443 Updated due to quarterly assessment and reallocation

$ 1,160,441 Updated due to quarterly assessment and reallocation

$ 1,160,423 Updated due to quarterly assessment and reallocation

$ 1,160,409 Updated due to quarterly assessment and reallocation

$ 1,160,372 Updated due to quarterly assessment and reallocation

$ 1,160,366 Updated due to quarterly assessment and reallocation

$ 1,160,342 Updated due to quarterly assessment and reallocation

$ 1,160,333 Updated due to quarterly assessment and reallocation

$ 1,160,330 Updated due to quarterly assessment and reallocation

$ 1,154,867 Updated due to quarterly assessment and reallocation

$ 1,154,675 Updated due to quarterly assessment and reallocation

$ 1,152,408 Updated due to quarterly assessment and reallocation

- Termination of SPA

3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

$ 40,000 Transfer of cap due to servicing transfer

$ 50,000 Transfer of cap due to servicing transfer

$ 2,598,642 Transfer of cap due to servicing transfer

Florida Community Bank, NA Weston FL - N/A 3 $ 150,000 Transfer of cap due to servicing transfer

$ 149,998 Updated due to quarterly assessment and reallocation

$ 169,998 Transfer of cap due to servicing transfer

$ 169,961 Updated due to quarterly assessment and reallocation

$ 169,888 Updated due to quarterly assessment and reallocation

09/29/2014 $ (25) $ 169,863 Updated due to quarterly assessment and reallocation

07/29/2014 $ (73)

06/26/2014 $ (37)

04/16/2014 $ 20,000

03/26/2014 $ (2)

02/13/2014 Purchase Financial Instrument for Home Loan Modifications 02/13/2014 $ 150,000

03/25/2019 $ 2,548,642

01/13/2017 $ 10,000

09/15/2016 $ 10,000

01/14/2016 $ 10,000

05/14/2015 $ 10,000

04/16/2015 $ 10,000

07/01/2014 $ (1,152,408)

06/26/2014 $ (2,267)

03/26/2014 $ (192)

12/23/2013 $ (5,463)

09/27/2013 $ (3)

06/27/2013 $ (9)

03/25/2013 $ (24)

12/27/2012 $ (6)

09/27/2012 $ (37)

06/28/2012 $ (14)

06/29/2011 $ (18)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 360,445

05/31/2016 $ 588

04/14/2016 Purchase Financial Instrument for Home Loan Modifications 04/14/2016 $ 30,000

03/23/2011 $ (580,221)

01/06/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 180,222

09/26/2017 $ 1,524

07/14/2017 Purchase Financial Instrument for Home Loan Modifications 07/26/2017 $ 29,232

01/26/2011 $ (290,111)

09/30/2010 $ (9,889)

07/14/2010 $ 10,000

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 150,000

07/14/2016 $ (10,000)

05/16/2016 $ (20,000)

03/28/2016 $ (42)

02/25/2016 $ (2,025)

02/16/2016 $ (10,000)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

08/16/2017 $ (20,000)

06/16/2014 Purchase Financial Instrument for Home Loan Modifications 06/16/2014 $ 20,000

01/13/2017 Purchase Financial Instrument for Home Loan Modifications 01/13/2017 $ 10,000

07/22/2011 $ (1,335,614)

06/29/2011 $ (21)

06/16/2011 $ (100,000)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 50,556

07/14/2010 $ (950,000)

03/26/2010 $ 1,020,000

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 50,000

10/25/2018 $ (198)

92
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 197,023 Updated due to quarterly assessment and reallocation

$ 197,007 Updated due to quarterly assessment and reallocation

$ 196,943 Updated due to quarterly assessment and reallocation

$ 196,928 Updated due to quarterly assessment and reallocation

$ 196,908 Updated due to quarterly assessment and reallocation

$ 182,372 Updated due to quarterly assessment and reallocation

$ 137,326 Reallocation due to MHA program deobligation

$ 127,326 Transfer of cap due to servicing transfer

$ 126,608 Updated due to quarterly assessment and reallocation

$ 120,987 Updated due to quarterly assessment and reallocation

$ 117,629 Updated due to quarterly assessment and reallocation

$ 114,270 Updated due to quarterly assessment and reallocation

$ 84,270 Transfer of cap due to servicing transfer

FNF Servicing, Inc Virginia Beach VA - N/A 3 $ 3,650,000 Transfer of cap due to servicing transfer

$ 3,578,915 Transfer of cap due to servicing transfer

$ 3,574,199 Transfer of cap due to servicing transfer

$ 3,537,831 Transfer of cap due to servicing transfer

$ 3,536,730 Transfer of cap due to servicing transfer

$ 2,089,469 Transfer of cap due to servicing transfer

$ 1,909,976 Transfer of cap due to servicing transfer

$ 1,722,333 Transfer of cap due to servicing transfer

$ 1,713,222 Transfer of cap due to servicing transfer

$ 1,683,518 Transfer of cap due to servicing transfer

$ 1,624,790 Transfer of cap due to servicing transfer

$ 1,620,338 Transfer of cap due to servicing transfer

$ 917,328 Reallocation due to MHA program deobligation

$ 917,266 Transfer of cap due to servicing transfer

$ 917,200 Transfer of cap due to servicing transfer

$ 914,869 Transfer of cap due to servicing transfer

Franklin Credit Management 

Corporation Jersey City NJ $ 27,510,000 N/A $ 33,520,000 Updated portfolio data from servicer/additional program initial cap

$ 13,770,000 Updated portfolio data from servicer/additional program initial cap

$ 8,990,000 Updated portfolio data from servicer

$ 6,600,000 Updated portfolio data from servicer

$ 9,573,670 Updated portfolio data from servicer

$ 9,573,667 Updated due to quarterly assessment and reallocation

$ 7,773,667 Transfer of cap due to servicing transfer

$ 7,773,661 Updated due to quarterly assessment and reallocation

$ 7,773,600 Updated due to quarterly assessment and reallocation

$ 7,673,600 Transfer of cap due to servicing transfer

$ 7,673,542 Updated due to quarterly assessment and reallocation

$ 7,673,378 Updated due to quarterly assessment and reallocation

$ 7,673,349 Updated due to quarterly assessment and reallocation

$ 7,673,239 Updated due to quarterly assessment and reallocation

$ 7,673,197 Updated due to quarterly assessment and reallocation

$ 7,673,182 Updated due to quarterly assessment and reallocation

$ 7,647,458 Updated due to quarterly assessment and reallocation

$ 7,687,458 Transfer of cap due to servicing transfer

$ 7,686,545 Updated due to quarterly assessment and reallocation

$ 7,675,767 Updated due to quarterly assessment and reallocation

$ 7,654,357 Updated due to quarterly assessment and reallocation

$ 7,647,284 Updated due to quarterly assessment and reallocation

$ 6,890,088 Updated due to quarterly assessment and reallocation

$ 6,605,319 Updated due to quarterly assessment and reallocation

$ 6,595,319 Transfer of cap due to servicing transfer

$ 5,473,220 Updated due to quarterly assessment and reallocation

$ 5,207,102 Updated due to quarterly assessment and reallocation

$ 5,197,102 Transfer of cap due to servicing transfer

$ 4,843,425 Updated due to quarterly assessment and reallocation

$ 4,833,425 Transfer of cap due to servicing transfer

$ 4,575,548 Updated due to quarterly assessment and reallocation

$ 3,732,460 Reallocation due to MHA program deobligation

$ 3,714,849 Updated due to quarterly assessment and reallocation

$ 3,577,011 Updated due to quarterly assessment and reallocation

$ 3,494,670 Updated due to quarterly assessment and reallocation

$ 3,411,183 Updated due to quarterly assessment and reallocation

$ 3,281,183 Transfer of cap due to servicing transfer

$ 3,185,545 Updated due to quarterly assessment and reallocation

$ 3,095,173 Updated due to quarterly assessment and reallocation

$ 3,130,015 Updated due to quarterly assessment and reallocation

$ 3,128,085 Updated due to quarterly assessment and reallocation

12/27/2016 $ (295) $ 3,127,790 Transfer of cap due to servicing transfer

11/29/2016 $ (1,930)

11/07/2016 $ 34,842

10/25/2016 $ (90,372)

09/28/2016 $ (95,638)

08/16/2016 $ (130,000)

07/27/2016 $ (83,487)

06/27/2016 $ (82,341)

05/31/2016 $ (137,838)

03/28/2016 $ (17,611)

02/25/2016 $ (843,088)

12/28/2015 $ (257,877)

11/16/2015 $ (10,000)

09/28/2015 $ (353,677)

08/14/2015 $ (10,000)

06/25/2015 $ (266,118)

04/28/2015 $ (1,122,099)

04/16/2015 $ (10,000)

03/26/2015 $ (284,769)

12/29/2014 $ (757,196)

09/29/2014 $ (7,073)

07/29/2014 $ (21,410)

06/26/2014 $ (10,778)

03/26/2014 $ (913)

03/14/2014 $ 40,000

12/23/2013 $ (25,724)

09/27/2013 $ (15)

06/27/2013 $ (42)

03/25/2013 $ (110)

12/27/2012 $ (29)

09/27/2012 $ (164)

06/28/2012 $ (58)

10/14/2011 $ (100,000)

06/29/2011 $ (61)

03/30/2011 $ (6)

02/16/2011 $ (1,800,000)

01/06/2011 $ (3)

09/30/2010 $ 2,973,670

07/14/2010 $ (2,390,000)

03/26/2010 $ (4,780,000)

12/30/2009 $ (19,750,000)

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 6,010,000

10/25/2018 $ (2,331)

09/26/2018 $ (66)

08/27/2018 $ (62)

07/26/2018 $ (703,010)

06/21/2018 $ (4,452)

04/25/2018 $ (58,728)

03/22/2018 $ (29,704)

02/26/2018 $ (9,111)

12/21/2017 $ (187,643)

10/26/2017 $ (179,493)

09/26/2017 $ (1,447,261)

07/26/2017 $ (1,101)

06/26/2017 $ (36,368)

04/26/2017 $ (4,716)

02/27/2017 $ (71,085)

02/16/2017 Purchase Financial Instrument for Home Loan Modifications 02/16/2017 $ 3,650,000

09/15/2016 $ (30,000)

07/27/2016 $ (3,359)

06/27/2016 $ (3,358)

05/31/2016 $ (5,621)

03/28/2016 $ (718)

03/16/2016 $ (10,000)

02/25/2016 $ (45,046)

12/28/2015 $ (14,536)

09/28/2015 $ (20)

06/25/2015 $ (15)

04/28/2015 $ (64)

03/26/2015 $ (16)

12/29/2014 $ 27,160

93
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 3,122,678 Transfer of cap due to servicing transfer

$ 3,122,343 Transfer of cap due to servicing transfer

$ 3,119,766 Transfer of cap due to servicing transfer

$ 3,119,688 Transfer of cap due to servicing transfer

$ 3,089,378 Transfer of cap due to servicing transfer

$ 3,085,619 Transfer of cap due to servicing transfer

$ 3,081,703 Transfer of cap due to servicing transfer

$ 3,081,513 Transfer of cap due to servicing transfer

$ 3,080,893 Transfer of cap due to servicing transfer

$ 3,079,668 Transfer of cap due to servicing transfer

$ 3,079,438 Transfer of cap due to servicing transfer

$ 2,667,696 Reallocation due to MHA program deobligation

$ 2,667,673 Transfer of cap due to servicing transfer

$ 2,667,649 Transfer of cap due to servicing transfer

$ 2,666,801 Transfer of cap due to servicing transfer

Franklin Savings Cincinnati OH $ 1,700,000 N/A $ 2,465,945 Updated portfolio data from servicer

$ 2,465,941 Updated due to quarterly assessment and reallocation

$ 2,465,937 Updated due to quarterly assessment and reallocation

$ 2,465,897 Updated due to quarterly assessment and reallocation

$ 2,465,867 Updated due to quarterly assessment and reallocation

$ 2,465,784 Updated due to quarterly assessment and reallocation

$ 2,465,770 Updated due to quarterly assessment and reallocation

$ 2,465,717 Updated due to quarterly assessment and reallocation

$ 2,455,717 Transfer of cap due to servicing transfer

$ 2,455,697 Updated due to quarterly assessment and reallocation

$ 2,455,690 Updated due to quarterly assessment and reallocation

6 $ 9,615 Termination of SPA

Freedom Mortgage Corporation Fishers IN - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

Fresno County Federal Credit Union Fresno CA $ 260,000 N/A $ 740,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

6 $ 24,954 Termination of SPA

Gateway Mortgage Group, LLC Tulsa OK $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

- Termination of SPA

Georgia Housing & Finance Authority 

DBA State Home Mortgage Atlanta GA - N/A 3 $ 40,000 Transfer of cap due to servicing transfer

GFA Federal Credit Union Gardner MA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

03/23/2011 $ (145,056) - Termination of SPA

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

05/14/2015 Purchase Financial Instrument for Home Loan Modifications 05/14/2015 $ 40,000

08/16/2017 $ (101,058)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

07/06/2012 $ (555,252)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (19,778)

07/14/2010 $ (140,000)

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 480,000

01/13/2017 $ 10,000

07/14/2016 $ 10,000

02/16/2016 Purchase Financial Instrument for Home Loan Modifications 02/16/2016 $ 10,000

10/24/2013 $ (2,446,075)

09/27/2013 $ (7)

06/27/2013 $ (20)

06/14/2013 $ (10,000)

03/25/2013 $ (53)

12/27/2012 $ (14)

09/27/2012 $ (83)

06/28/2012 $ (30)

06/29/2011 $ (40)

03/30/2011 $ (4)

01/06/2011 $ (4)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 765,945

10/25/2018 $ (848)

09/26/2018 $ (24)

08/27/2018 $ (23)

07/26/2018 $ (411,742)

06/21/2018 $ (230)

04/25/2018 $ (1,225)

03/22/2018 $ (620)

02/26/2018 $ (190)

12/21/2017 $ (3,916)

10/26/2017 $ (3,759)

09/26/2017 $ (30,310)

07/26/2017 $ (78)

06/26/2017 $ (2,577)

04/26/2017 $ (335)

02/27/2017 $ (5,112)

94
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

Glass City Federal Credit Union Maumee OH $ 230,000 N/A $ 290,000 Updated portfolio data from servicer/additional program initial cap

$ 280,000 Updated portfolio data from servicer/additional program initial cap

$ 410,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,098 Updated due to quarterly assessment and reallocation

$ 290,094 Updated due to quarterly assessment and reallocation

$ 290,092 Updated due to quarterly assessment and reallocation

$ 290,091 Updated due to quarterly assessment and reallocation

$ 289,112 Updated due to quarterly assessment and reallocation

$ 289,078 Updated due to quarterly assessment and reallocation

$ 288,672 Updated due to quarterly assessment and reallocation

$ 287,865 Updated due to quarterly assessment and reallocation

$ 287,598 Updated due to quarterly assessment and reallocation

6 $ 12,474 Termination of SPA

Glenview State Bank Glenview IL $ 370,000 N/A $ 390,000 Updated portfolio data from servicer/additional program initial cap

$ 1,640,000 Updated portfolio data from servicer

- Termination of SPA

Golden Plains Credit Union Garden City KS $ 170,000 N/A $ 180,000 Updated portfolio data from servicer/additional program initial cap

$ 210,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

- Termination of SPA

Grafton Suburban Credit Union North Grafton MA $ 340,000 N/A $ 360,000 Updated portfolio data from servicer/additional program initial cap

$ 40,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 725,265 Updated due to quarterly assessment and reallocation

- Termination of SPA

Great Lakes Credit Union North Chicago IL $ 570,000 N/A $ 1,600,000 Updated portfolio data from servicer/additional program initial cap

$ 720,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,186 Updated due to quarterly assessment and reallocation

$ 580,175 Updated due to quarterly assessment and reallocation

$ 580,171 Updated due to quarterly assessment and reallocation

$ 580,170 Updated due to quarterly assessment and reallocation

$ 577,732 Updated due to quarterly assessment and reallocation

$ 577,646 Updated due to quarterly assessment and reallocation

$ 576,721 Updated due to quarterly assessment and reallocation

$ 574,932 Updated due to quarterly assessment and reallocation

$ 574,325 Updated due to quarterly assessment and reallocation

$ 509,427 Updated due to quarterly assessment and reallocation

$ 484,048 Updated due to quarterly assessment and reallocation

$ 398,646 Updated due to quarterly assessment and reallocation

$ 379,644 Updated due to quarterly assessment and reallocation

$ 356,376 Updated due to quarterly assessment and reallocation

$ 336,315 Updated due to quarterly assessment and reallocation

$ 265,238 Reallocation due to MHA program deobligation

$ 263,753 Updated due to quarterly assessment and reallocation

$ 252,133 Updated due to quarterly assessment and reallocation

$ 244,250 Updated due to quarterly assessment and reallocation

$ 236,364 Updated due to quarterly assessment and reallocation

$ 222,574 Updated due to quarterly assessment and reallocation

$ 209,543 Updated due to quarterly assessment and reallocation

$ 214,567 Updated due to quarterly assessment and reallocation

$ 214,390 Updated due to quarterly assessment and reallocation

$ 214,389 Transfer of cap due to servicing transfer

$ 214,223 Transfer of cap due to servicing transfer

$ 214,197 Transfer of cap due to servicing transfer

$ 213,996 Transfer of cap due to servicing transfer

07/26/2017 $ (4) $ 213,992 Transfer of cap due to servicing transfer

06/26/2017 $ (201)

04/26/2017 $ (26)

02/27/2017 $ (166)

12/27/2016 $ (1)

11/29/2016 $ (177)

11/07/2016 $ 5,024

10/25/2016 $ (13,031)

09/28/2016 $ (13,790)

07/27/2016 $ (7,886)

06/27/2016 $ (7,883)

05/31/2016 $ (11,620)

03/28/2016 $ (1,485)

02/25/2016 $ (71,077)

12/28/2015 $ (20,061)

09/28/2015 $ (23,268)

06/25/2015 $ (19,002)

04/28/2015 $ (85,402)

03/26/2015 $ (25,379)

12/29/2014 $ (64,898)

09/29/2014 $ (607)

07/29/2014 $ (1,789)

06/26/2014 $ (925)

03/26/2014 $ (86)

12/23/2013 $ (2,438)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (11)

12/27/2012 $ (3)

09/27/2012 $ (17)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 180,222

07/14/2010 $ (320,000)

03/26/2010 $ (880,000)

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ 1,030,000

01/25/2012 $ (725,265)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (74,722)

07/14/2010 $ 760,000

03/26/2010 $ (320,000)

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

02/17/2011 $ (290,111)

09/30/2010 $ 90,111

07/14/2010 $ (10,000)

03/26/2010 $ 30,000

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

05/26/2010 $ (1,640,000)

03/26/2010 $ 1,250,000

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

11/03/2014 $ (275,124)

09/29/2014 $ (267)

07/29/2014 $ (807)

06/26/2014 $ (406)

03/26/2014 $ (34)

12/23/2013 $ (979)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (4)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ (9,889)

07/14/2010 $ (110,000)

03/26/2010 $ 130,000

12/30/2009 $ (10,000)

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 60,000

95
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 213,302 Transfer of cap due to servicing transfer

$ 213,216 Transfer of cap due to servicing transfer

$ 213,127 Transfer of cap due to servicing transfer

$ 213,123 Transfer of cap due to servicing transfer

$ 213,109 Transfer of cap due to servicing transfer

$ 213,081 Transfer of cap due to servicing transfer

$ 213,076 Transfer of cap due to servicing transfer

$ 185,605 Reallocation due to MHA program deobligation

$ 185,603 Transfer of cap due to servicing transfer

$ 185,601 Transfer of cap due to servicing transfer

$ 185,544 Transfer of cap due to servicing transfer

Greater Nevada LLC dba Greater 

Nevada Mortgage Carson City NV $ 770,000 N/A $ 9,450,000 Updated portfolio data from servicer

$ 700,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,324 Updated due to quarterly assessment and reallocation

$ 870,320 Updated due to quarterly assessment and reallocation

$ 870,310 Updated due to quarterly assessment and reallocation

$ 870,308 Updated due to quarterly assessment and reallocation

$ 870,301 Updated due to quarterly assessment and reallocation

$ 870,299 Updated due to quarterly assessment and reallocation

$ 870,298 Updated due to quarterly assessment and reallocation

$ 868,794 Updated due to quarterly assessment and reallocation

$ 868,751 Updated due to quarterly assessment and reallocation

$ 868,260 Updated due to quarterly assessment and reallocation

$ 867,285 Updated due to quarterly assessment and reallocation

$ 866,963 Updated due to quarterly assessment and reallocation

$ 856,850 Updated due to quarterly assessment and reallocation

$ 855,078 Updated due to quarterly assessment and reallocation

$ 1,352,737 Updated due to quarterly assessment and reallocation

$ 1,351,980 Updated due to quarterly assessment and reallocation

$ 1,346,394 Updated due to quarterly assessment and reallocation

$ 1,336,121 Updated due to quarterly assessment and reallocation

$ 1,120,511 Reallocation due to MHA program deobligation

$ 1,115,386 Updated due to quarterly assessment and reallocation

$ 1,067,819 Updated due to quarterly assessment and reallocation

$ 1,036,580 Updated due to quarterly assessment and reallocation

$ 1,005,332 Updated due to quarterly assessment and reallocation

$ 972,342 Updated due to quarterly assessment and reallocation

$ 1,048,719 Updated due to quarterly assessment and reallocation

$ 1,048,719 Updated due to quarterly assessment and reallocation

$ 1,048,483 Updated due to quarterly assessment and reallocation

$ 1,048,453 Transfer of cap due to servicing transfer

$ 1,047,713 Transfer of cap due to servicing transfer

$ 1,047,664 Transfer of cap due to servicing transfer

$ 1,047,232 Transfer of cap due to servicing transfer

$ 1,047,219 Transfer of cap due to servicing transfer

$ 1,066,160 Transfer of cap due to servicing transfer

$ 1,065,614 Transfer of cap due to servicing transfer

$ 1,065,046 Transfer of cap due to servicing transfer

$ 1,086,160 Transfer of cap due to servicing transfer

$ 948,672 Reallocation due to MHA program deobligation

$ 948,664 Transfer of cap due to servicing transfer

$ 948,656 Transfer of cap due to servicing transfer

$ 948,317 Transfer of cap due to servicing transfer

Gregory Funding, LLC Beaverton OR - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 1,100,000 Transfer of cap due to servicing transfer

$ 1,200,000 Transfer of cap due to servicing transfer

$ 1,199,991 Updated due to quarterly assessment and reallocation

$ 1,219,991 Transfer of cap due to servicing transfer

$ 1,219,965 Updated due to quarterly assessment and reallocation

$ 1,269,965 Transfer of cap due to servicing transfer

$ 1,279,965 Transfer of cap due to servicing transfer

$ 1,279,960 Updated due to quarterly assessment and reallocation

$ 1,409,960 Transfer of cap due to servicing transfer

$ 1,529,960 Transfer of cap due to servicing transfer

$ 1,529,940 Updated due to quarterly assessment and reallocation

$ 1,609,940 Transfer of cap due to servicing transfer

$ 2,029,940 Transfer of cap due to servicing transfer

06/27/2013 $ (10) $ 2,029,930 Updated due to quarterly assessment and reallocation

06/14/2013 $ 420,000

05/16/2013 $ 80,000

03/25/2013 $ (20)

02/14/2013 $ 120,000

01/16/2013 $ 130,000

12/27/2012 $ (5)

12/14/2012 $ 10,000

10/16/2012 $ 50,000

09/27/2012 $ (26)

08/16/2012 $ 20,000

06/28/2012 $ (9)

01/13/2012 $ 100,000

11/16/2011 $ 900,000

07/14/2011 Purchase Financial Instrument for Home Loan Modifications 07/14/2011 $ 200,000

10/25/2018 $ (339)

09/26/2018 $ (8)

08/27/2018 $ (8)

07/26/2018 $ (137,488)

02/26/2018 $ 21,114

12/21/2017 $ (568)

10/26/2017 $ (546)

09/26/2017 $ 18,941

07/26/2017 $ (13)

06/26/2017 $ (432)

04/26/2017 $ (49)

02/27/2017 $ (740)

12/27/2016 $ (30)

11/29/2016 $ (236)

11/07/2016 -

10/25/2016 $ 76,377

09/28/2016 $ (32,990)

07/27/2016 $ (31,248)

06/27/2016 $ (31,239)

05/31/2016 $ (47,567)

03/28/2016 $ (5,125)

02/25/2016 $ (215,610)

12/28/2015 $ (10,273)

09/28/2015 $ (5,586)

06/25/2015 $ (757)

04/28/2015 $ 497,659

03/26/2015 $ (1,772)

12/29/2014 $ (10,113)

09/29/2014 $ (322)

07/29/2014 $ (975)

06/26/2014 $ (491)

03/26/2014 $ (43)

12/23/2013 $ (1,504)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (7)

12/27/2012 $ (2)

09/27/2012 $ (10)

06/28/2012 $ (4)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 170,334

07/14/2010 $ (8,750,000)

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 8,680,000

10/25/2018 $ (57)

09/26/2018 $ (2)

08/27/2018 $ (2)

07/26/2018 $ (27,471)

06/21/2018 $ (5)

04/25/2018 $ (28)

03/22/2018 $ (14)

02/26/2018 $ (4)

12/21/2017 $ (89)

10/26/2017 $ (86)

09/26/2017 $ (690)

96
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,029,926 Updated due to quarterly assessment and reallocation

$ 2,149,926 Transfer of cap due to servicing transfer

$ 2,142,241 Updated due to quarterly assessment and reallocation

$ 2,152,241 Transfer of cap due to servicing transfer

$ 2,151,967 Updated due to quarterly assessment and reallocation

$ 2,391,967 Transfer of cap due to servicing transfer

$ 2,421,967 Transfer of cap due to servicing transfer

$ 2,418,571 Updated due to quarterly assessment and reallocation

$ 2,412,030 Updated due to quarterly assessment and reallocation

$ 2,502,030 Transfer of cap due to servicing transfer

$ 2,532,030 Transfer of cap due to servicing transfer

$ 2,529,880 Updated due to quarterly assessment and reallocation

$ 2,629,880 Transfer of cap due to servicing transfer

$ 2,889,880 Transfer of cap due to servicing transfer

$ 2,767,248 Updated due to quarterly assessment and reallocation

$ 2,827,248 Transfer of cap due to servicing transfer

$ 3,517,248 Transfer of cap due to servicing transfer

$ 3,479,843 Updated due to quarterly assessment and reallocation

$ 3,335,359 Updated due to quarterly assessment and reallocation

$ 3,294,130 Updated due to quarterly assessment and reallocation

$ 3,334,130 Transfer of cap due to servicing transfer

$ 5,194,130 Transfer of cap due to servicing transfer

$ 6,754,130 Transfer of cap due to servicing transfer

$ 6,345,866 Updated due to quarterly assessment and reallocation

$ 7,085,866 Transfer of cap due to servicing transfer

$ 7,635,866 Transfer of cap due to servicing transfer

$ 7,166,600 Updated due to quarterly assessment and reallocation

$ 7,796,600 Transfer of cap due to servicing transfer

$ 8,536,600 Transfer of cap due to servicing transfer

$ 6,147,489 Reallocation due to MHA program deobligation

$ 6,327,489 Transfer of cap due to servicing transfer

$ 6,273,958 Updated due to quarterly assessment and reallocation

$ 7,023,958 Transfer of cap due to servicing transfer

$ 7,173,958 Transfer of cap due to servicing transfer

$ 6,573,340 Updated due to quarterly assessment and reallocation

$ 7,133,340 Transfer of cap due to servicing transfer

$ 6,774,610 Updated due to quarterly assessment and reallocation

$ 6,894,610 Transfer of cap due to servicing transfer

$ 6,512,418 Updated due to quarterly assessment and reallocation

$ 6,652,418 Transfer of cap due to servicing transfer

$ 6,702,418 Transfer of cap due to servicing transfer

$ 5,914,953 Updated due to quarterly assessment and reallocation

$ 7,104,953 Transfer of cap due to servicing transfer

$ 6,117,959 Updated due to quarterly assessment and reallocation

$ 6,498,480 Updated due to quarterly assessment and reallocation

$ 6,488,331 Updated due to quarterly assessment and reallocation

$ 7,878,331 Transfer of cap due to servicing transfer

$ 7,875,780 Transfer of cap due to servicing transfer

$ 8,845,780 Transfer of cap due to servicing transfer

$ 8,786,829 Transfer of cap due to servicing transfer

$ 10,076,829 Transfer of cap due to servicing transfer

$ 10,071,865 Transfer of cap due to servicing transfer

$ 10,033,512 Transfer of cap due to servicing transfer

$ 10,032,436 Transfer of cap due to servicing transfer

$ 8,793,586 Transfer of cap due to servicing transfer

$ 8,648,519 Transfer of cap due to servicing transfer

$ 8,482,109 Transfer of cap due to servicing transfer

$ 10,801,939 Transfer of cap due to servicing transfer

$ 10,796,739 Transfer of cap due to servicing transfer

$ 10,788,906 Transfer of cap due to servicing transfer

$ 10,788,533 Transfer of cap due to servicing transfer

$ 9,447,595 Reallocation due to MHA program deobligation

$ 9,678,621 Transfer of cap due to servicing transfer

$ 9,678,602 Transfer of cap due to servicing transfer

$ 9,677,761 Transfer of cap due to servicing transfer

$ 9,741,330 Transfer of cap due to servicing transfer

Guaranty Bank Saint Paul MN $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

12/23/2013 $ (232) $ 144,819 Updated due to quarterly assessment and reallocation

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

09/23/2019 $ 63,569

10/25/2018 $ (841)

09/26/2018 $ (19)

08/27/2018 $ 231,026

07/26/2018 $ (1,340,938)

06/21/2018 $ (373)

04/25/2018 $ (7,833)

03/22/2018 $ (5,200)

02/26/2018 $ 2,319,830

12/21/2017 $ (166,410)

10/26/2017 $ (145,067)

09/26/2017 $ (1,238,850)

07/26/2017 $ (1,076)

06/26/2017 $ (38,353)

04/26/2017 $ (4,964)

03/16/2017 $ 1,290,000

02/27/2017 $ (58,951)

01/13/2017 $ 970,000

12/27/2016 $ (2,551)

12/15/2016 $ 1,390,000

11/29/2016 $ (10,149)

11/07/2016 $ 380,521

10/25/2016 $ (986,994)

10/14/2016 $ 1,190,000

09/28/2016 $ (787,465)

09/15/2016 $ 50,000

08/16/2016 $ 140,000

07/27/2016 $ (382,192)

07/14/2016 $ 120,000

06/27/2016 $ (358,730)

06/16/2016 $ 560,000

05/31/2016 $ (600,618)

05/16/2016 $ 150,000

04/14/2016 $ 750,000

03/28/2016 $ (53,531)

03/16/2016 $ 180,000

02/25/2016 $ (2,389,111)

02/16/2016 $ 740,000

01/14/2016 $ 630,000

12/28/2015 $ (469,266)

12/16/2015 $ 550,000

10/15/2015 $ 740,000

09/28/2015 $ (408,264)

09/16/2015 $ 1,560,000

08/14/2015 $ 1,860,000

07/16/2015 $ 40,000

06/25/2015 $ (41,229)

04/28/2015 $ (144,484)

03/26/2015 $ (37,405)

03/16/2015 $ 690,000

01/15/2015 $ 60,000

12/29/2014 $ (122,632)

12/16/2014 $ 260,000

11/14/2014 $ 100,000

09/29/2014 $ (2,150)

09/16/2014 $ 30,000

08/14/2014 $ 90,000

07/29/2014 $ (6,541)

06/26/2014 $ (3,396)

06/16/2014 $ 30,000

04/16/2014 $ 240,000

03/26/2014 $ (274)

03/14/2014 $ 10,000

12/23/2013 $ (7,685)

11/14/2013 $ 120,000

09/27/2013 $ (4)

97
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

$ 100,072 Reallocation due to MHA program deobligation

$ 100,071 Transfer of cap due to servicing transfer

6 $ 1,917 Termination of SPA

Guardian Mortgage Company, Inc Richardson TX $ 1 N/A $ 88,275 Transfer of cap due to servicing transfer

Harleysville National Bank & Trust 

Company Harleysville PA $ 1,070,000 N/A - Termination of SPA

Hartford Savings Bank Hartford WI $ 630,000 N/A $ 660,000 Updated portfolio data from servicer/additional program initial cap

$ 1,460,000 Updated portfolio data from servicer

$ 1,100,000 Updated portfolio data from servicer

$ 1,160,445 Updated portfolio data from servicer

$ 1,160,443 Updated due to quarterly assessment and reallocation

$ 1,160,441 Updated due to quarterly assessment and reallocation

$ 1,160,423 Updated due to quarterly assessment and reallocation

$ 1,160,409 Updated due to quarterly assessment and reallocation

$ 1,160,372 Updated due to quarterly assessment and reallocation

$ 1,160,366 Updated due to quarterly assessment and reallocation

$ 1,160,342 Updated due to quarterly assessment and reallocation

$ 1,160,333 Updated due to quarterly assessment and reallocation

$ 1,160,330 Updated due to quarterly assessment and reallocation

$ 1,154,867 Updated due to quarterly assessment and reallocation

$ 1,154,675 Updated due to quarterly assessment and reallocation

$ 1,152,408 Updated due to quarterly assessment and reallocation

$ 1,147,906 Updated due to quarterly assessment and reallocation

$ 1,146,419 Updated due to quarterly assessment and reallocation

$ 966,267 Updated due to quarterly assessment and reallocation

$ 898,515 Updated due to quarterly assessment and reallocation

- Termination of SPA

Heartland Bank & Trust Company Bloomington IL - N/A 3 $ 90,000 Transfer of cap due to servicing transfer

$ 110,556 Updated due to quarterly assessment and reallocation

$ 110,555 Updated due to quarterly assessment and reallocation

$ 190,556 Updated due to quarterly assessment and reallocation

$ 190,532 Updated due to quarterly assessment and reallocation

$ 190,401 Updated due to quarterly assessment and reallocation

$ 190,345 Updated due to quarterly assessment and reallocation

$ 190,214 Updated due to quarterly assessment and reallocation

$ 188,276 Updated due to quarterly assessment and reallocation

$ 176,896 Reallocation due to MHA program deobligation

$ 176,658 Updated due to quarterly assessment and reallocation

$ 174,798 Updated due to quarterly assessment and reallocation

$ 173,687 Updated due to quarterly assessment and reallocation

$ 172,575 Updated due to quarterly assessment and reallocation

09/28/2016 $ (1,944) $ 170,631 Updated due to quarterly assessment and reallocation

07/27/2016 $ (1,112)

06/27/2016 $ (1,111)

05/31/2016 $ (1,860)

03/28/2016 $ (238)

02/25/2016 $ (11,380)

12/28/2015 $ (1,938)

09/28/2015 $ (131)

06/25/2015 $ (56)

04/28/2015 $ (131)

03/26/2015 $ (24)

12/29/2014 $ 80,001

09/29/2014 $ (1)

06/26/2014 $ 20,556

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/15/2014 $ 90,000

04/02/2015 $ (898,515)

03/26/2015 $ (67,752)

12/29/2014 $ (180,152)

09/29/2014 $ (1,487)

07/29/2014 $ (4,502)

06/26/2014 $ (2,267)

03/26/2014 $ (192)

12/23/2013 $ (5,463)

09/27/2013 $ (3)

06/27/2013 $ (9)

03/25/2013 $ (24)

12/27/2012 $ (6)

09/27/2012 $ (37)

06/28/2012 $ (14)

06/29/2011 $ (18)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 60,445

07/14/2010 $ (360,000)

03/26/2010 $ 800,000

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (1,070,000)

03/15/2018 Purchase Financial Instrument for Home Loan Modifications 03/22/2018 $ 88,274

09/12/2019 $ (98,154)

10/25/2018 $ (1)

07/26/2018 $ (386)

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

98
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 168,793 Updated due to quarterly assessment and reallocation

$ 169,502 Updated due to quarterly assessment and reallocation

$ 169,417 Updated due to quarterly assessment and reallocation

$ 169,404 Transfer of cap due to servicing transfer

$ 169,180 Transfer of cap due to servicing transfer

$ 169,165 Transfer of cap due to servicing transfer

$ 169,052 Transfer of cap due to servicing transfer

$ 169,049 Transfer of cap due to servicing transfer

$ 168,537 Transfer of cap due to servicing transfer

$ 168,473 Transfer of cap due to servicing transfer

$ 168,407 Transfer of cap due to servicing transfer

$ 168,404 Transfer of cap due to servicing transfer

$ 168,394 Transfer of cap due to servicing transfer

$ 168,373 Transfer of cap due to servicing transfer

$ 168,369 Transfer of cap due to servicing transfer

$ 146,685 Reallocation due to MHA program deobligation

$ 146,684 Transfer of cap due to servicing transfer

$ 146,683 Transfer of cap due to servicing transfer

$ 146,638 Transfer of cap due to servicing transfer

Hillsdale County National Bank Hillsdale MI $ 1,670,000 N/A $ 1,750,000 Updated portfolio data from servicer/additional program initial cap

$ 2,080,000 Updated portfolio data from servicer

$ 1,000,000 Updated portfolio data from servicer

$ 1,160,445 Updated portfolio data from servicer

$ 1,160,444 Updated due to quarterly assessment and reallocation

$ 1,160,442 Updated due to quarterly assessment and reallocation

$ 1,160,426 Updated due to quarterly assessment and reallocation

$ 1,160,414 Updated due to quarterly assessment and reallocation

$ 1,160,381 Updated due to quarterly assessment and reallocation

$ 1,160,375 Updated due to quarterly assessment and reallocation

$ 1,160,354 Updated due to quarterly assessment and reallocation

$ 1,160,346 Updated due to quarterly assessment and reallocation

$ 1,160,343 Updated due to quarterly assessment and reallocation

$ 1,155,546 Updated due to quarterly assessment and reallocation

$ 1,155,377 Updated due to quarterly assessment and reallocation

$ 1,153,381 Updated due to quarterly assessment and reallocation

$ 1,149,416 Updated due to quarterly assessment and reallocation

$ 1,148,105 Updated due to quarterly assessment and reallocation

$ 1,004,094 Updated due to quarterly assessment and reallocation

$ 949,074 Updated due to quarterly assessment and reallocation

$ 796,936 Updated due to quarterly assessment and reallocation

$ 763,511 Updated due to quarterly assessment and reallocation

$ 718,805 Updated due to quarterly assessment and reallocation

$ 684,699 Updated due to quarterly assessment and reallocation

$ 505,039 Reallocation due to MHA program deobligation

$ 501,132 Updated due to quarterly assessment and reallocation

$ 470,549 Updated due to quarterly assessment and reallocation

$ 452,279 Updated due to quarterly assessment and reallocation

$ 432,883 Updated due to quarterly assessment and reallocation

$ 450,481 Updated due to quarterly assessment and reallocation

$ 450,288 Updated due to quarterly assessment and reallocation

$ 450,259 Transfer of cap due to servicing transfer

$ 449,748 Transfer of cap due to servicing transfer

$ 449,715 Transfer of cap due to servicing transfer

$ 449,458 Transfer of cap due to servicing transfer

$ 449,450 Transfer of cap due to servicing transfer

$ 450,481 Transfer of cap due to servicing transfer

$ 450,369 Transfer of cap due to servicing transfer

$ 450,148 Transfer of cap due to servicing transfer

$ 450,481 Transfer of cap due to servicing transfer

$ 393,458 Reallocation due to MHA program deobligation

$ 393,455 Transfer of cap due to servicing transfer

$ 393,452 Transfer of cap due to servicing transfer

$ 393,335 Transfer of cap due to servicing transfer

Home Financing Center, Inc Coral Gables FL $ 230,000 N/A - Termination of SPA

Home Loan Services, Inc. Pittsburgh PA $ 319,000,000 N/A $ 447,300,000 Updated portfolio data from servicer

$ 494,030,000 Updated portfolio data from servicer/additional program initial cap

$ 639,850,000 Updated portfolio data from servicer/additional program initial cap

$ 622,410,000 Updated portfolio data from servicer

$ 549,400,000 Updated portfolio data from servicer

$ 556,100,000 Updated portfolio data from servicer/additional program initial cap

$ 478,973,590 Updated portfolio data from servicer

12/15/2010 $ (314,900,000) $ 164,073,590 Transfer of cap due to servicing transfer

09/30/2010 $ (77,126,410)

09/30/2010 $ 6,700,000

07/14/2010 $ (73,010,000)

03/26/2010 $ (17,440,000)

12/30/2009 $ 145,820,000

09/30/2009 $ 46,730,000

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 128,300,000

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (230,000)

10/25/2018 $ (117)

09/26/2018 $ (3)

08/27/2018 $ (3)

07/26/2018 $ (57,023)

06/21/2018 $ 333

04/25/2018 $ (221)

03/22/2018 $ (112)

09/26/2017 $ 1,031

07/26/2017 $ (8)

06/26/2017 $ (257)

04/26/2017 $ (33)

02/27/2017 $ (511)

12/27/2016 $ (29)

11/29/2016 $ (193)

09/28/2016 $ 17,598

07/27/2016 $ (19,396)

06/27/2016 $ (18,270)

05/31/2016 $ (30,583)

03/28/2016 $ (3,907)

02/25/2016 $ (179,660)

12/28/2015 $ (34,106)

09/28/2015 $ (44,706)

06/25/2015 $ (33,425)

04/28/2015 $ (152,138)

03/26/2015 $ (55,020)

12/29/2014 $ (144,011)

09/29/2014 $ (1,311)

07/29/2014 $ (3,965)

06/26/2014 $ (1,996)

03/26/2014 $ (169)

12/23/2013 $ (4,797)

09/27/2013 $ (3)

06/27/2013 $ (8)

03/25/2013 $ (21)

12/27/2012 $ (6)

09/27/2012 $ (33)

06/28/2012 $ (12)

06/29/2011 $ (16)

03/30/2011 $ (2)

01/06/2011 $ (1)

09/30/2010 $ 160,445

07/14/2010 $ (1,080,000)

03/26/2010 $ 330,000

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 80,000

10/25/2018 $ (45)

09/26/2018 $ (1)

08/27/2018 $ (1)

07/26/2018 $ (21,684)

06/21/2018 $ (4)

04/25/2018 $ (21)

03/22/2018 $ (10)

02/26/2018 $ (3)

12/21/2017 $ (66)

10/26/2017 $ (64)

09/26/2017 $ (512)

07/26/2017 $ (3)

06/26/2017 $ (113)

04/26/2017 $ (15)

02/27/2017 $ (224)

12/27/2016 $ (13)

11/29/2016 $ (85)

11/07/2016 $ 709

10/25/2016 $ (1,838)

99
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 164,073,357 Updated due to quarterly assessment and reallocation

$ 162,173,357 Transfer of cap due to servicing transfer

$ 161,773,357 Transfer of cap due to servicing transfer

$ 161,773,079 Updated due to quarterly assessment and reallocation

$ 161,373,079 Transfer of cap due to servicing transfer

$ 161,370,454 Updated due to quarterly assessment and reallocation

7 $ 6,309,233 Termination of SPA

Home Servicing, LLC Baton Rouge LA - N/A 3 $ 510,000 Transfer of cap due to servicing transfer

$ 509,991 Updated due to quarterly assessment and reallocation

$ 709,991 Transfer of cap due to servicing transfer

$ 749,991 Transfer of cap due to servicing transfer

$ 749,987 Updated due to quarterly assessment and reallocation

$ 629,987 Transfer of cap due to servicing transfer

$ 629,985 Updated due to quarterly assessment and reallocation

$ 627,365 Updated due to quarterly assessment and reallocation

$ 627,273 Updated due to quarterly assessment and reallocation

$ 626,185 Updated due to quarterly assessment and reallocation

$ 624,024 Updated due to quarterly assessment and reallocation

$ 334,024 Transfer of cap due to servicing transfer

$ 333,692 Updated due to quarterly assessment and reallocation

$ 293,459 Updated due to quarterly assessment and reallocation

$ 278,328 Updated due to quarterly assessment and reallocation

$ 218,690 Updated due to quarterly assessment and reallocation

$ 288,690 Transfer of cap due to servicing transfer

$ 266,205 Updated due to quarterly assessment and reallocation

$ 286,205 Transfer of cap due to servicing transfer

$ 636,205 Transfer of cap due to servicing transfer

$ 559,923 Updated due to quarterly assessment and reallocation

$ 589,923 Transfer of cap due to servicing transfer

$ 525,810 Updated due to quarterly assessment and reallocation

$ 336,254 Reallocation due to MHA program deobligation

$ 766,254 Transfer of cap due to servicing transfer

$ 751,387 Updated due to quarterly assessment and reallocation

$ 761,387 Transfer of cap due to servicing transfer

$ 636,466 Updated due to quarterly assessment and reallocation

$ 966,466 Transfer of cap due to servicing transfer

$ 842,781 Updated due to quarterly assessment and reallocation

$ 719,058 Updated due to quarterly assessment and reallocation

$ 999,058 Transfer of cap due to servicing transfer

$ 1,489,058 Transfer of cap due to servicing transfer

$ 1,010,956 Updated due to quarterly assessment and reallocation

$ 559,182 Updated due to quarterly assessment and reallocation

$ 733,357 Updated due to quarterly assessment and reallocation

$ 730,091 Updated due to quarterly assessment and reallocation

$ 729,592 Transfer of cap due to servicing transfer

$ 1,439,592 Transfer of cap due to servicing transfer

$ 1,469,592 Transfer of cap due to servicing transfer

$ 1,446,783 Transfer of cap due to servicing transfer

$ 1,456,783 Transfer of cap due to servicing transfer

$ 1,455,288 Transfer of cap due to servicing transfer

$ 1,443,252 Transfer of cap due to servicing transfer

$ 1,442,888 Transfer of cap due to servicing transfer

$ 970,881 Transfer of cap due to servicing transfer

$ 912,345 Transfer of cap due to servicing transfer

$ 851,365 Transfer of cap due to servicing transfer

$ 848,405 Transfer of cap due to servicing transfer

$ 838,753 Transfer of cap due to servicing transfer

$ 819,671 Transfer of cap due to servicing transfer

$ 815,239 Transfer of cap due to servicing transfer

$ 288,863 Reallocation due to MHA program deobligation

$ 288,834 Transfer of cap due to servicing transfer

$ 288,803 Transfer of cap due to servicing transfer

$ 287,719 Transfer of cap due to servicing transfer

HomEq Servicing North Highlands CA $ 674,000,000 N/A $ 552,810,000 Updated portfolio data from servicer/additional program initial cap

$ 516,520,000 Updated portfolio data from servicer/additional program initial cap

$ 715,840,000 Updated portfolio data from servicer

$ 526,800,000 Updated portfolio data from servicer

$ 565,426,728 Updated portfolio data from servicer

$ 394,626,728 Transfer of cap due to servicing transfer

$ 372,426,728 Transfer of cap due to servicing transfer

$ 372,426,179 Updated due to quarterly assessment and reallocation

02/16/2011 $ (900,000) $ 371,526,179 Transfer of cap due to servicing transfer

01/06/2011 $ (549)

12/15/2010 $ (22,200,000)

10/15/2010 $ (170,800,000)

09/30/2010 $ 38,626,728

07/14/2010 $ (189,040,000)

03/26/2010 $ 199,320,000

12/30/2009 $ (36,290,000)

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (121,190,000)

10/25/2018 $ (1,084)

09/26/2018 $ (31)

08/27/2018 $ (29)

07/26/2018 $ (526,376)

06/21/2018 $ (4,432)

04/25/2018 $ (19,082)

03/22/2018 $ (9,652)

02/26/2018 $ (2,960)

12/21/2017 $ (60,980)

10/26/2017 $ (58,536)

09/26/2017 $ (472,007)

07/26/2017 $ (364)

06/26/2017 $ (12,036)

04/26/2017 $ (1,495)

03/16/2017 $ 10,000

02/27/2017 $ (22,809)

02/16/2017 $ 30,000

01/13/2017 $ 710,000

12/27/2016 $ (499)

11/29/2016 $ (3,266)

11/07/2016 $ 174,175

10/25/2016 $ (451,774)

09/28/2016 $ (478,102)

09/15/2016 $ 490,000

08/16/2016 $ 280,000

07/27/2016 $ (123,723)

06/27/2016 $ (123,685)

06/16/2016 $ 330,000

05/31/2016 $ (124,921)

05/16/2016 $ 10,000

03/28/2016 $ (14,867)

03/16/2016 $ 430,000

02/25/2016 $ (189,556)

12/28/2015 $ (64,113)

12/16/2015 $ 30,000

09/28/2015 $ (76,282)

08/14/2015 $ 350,000

07/16/2015 $ 20,000

06/25/2015 $ (22,485)

06/16/2015 $ 70,000

04/28/2015 $ (59,638)

03/26/2015 $ (15,131)

12/29/2014 $ (40,233)

09/29/2014 $ (332)

09/16/2014 $ (290,000)

07/29/2014 $ (2,161)

06/26/2014 $ (1,088)

03/26/2014 $ (92)

12/23/2013 $ (2,620)

09/27/2013 $ (2)

07/16/2013 $ (120,000)

06/27/2013 $ (4)

05/16/2013 $ 40,000

04/16/2013 $ 200,000

03/25/2013 $ (9)

02/14/2013 Purchase Financial Instrument for Home Loan Modifications 02/14/2013 $ 510,000

10/19/2011 $ (155,061,221)

06/29/2011 $ (2,625)

05/13/2011 $ (400,000)

03/30/2011 $ (278)

03/16/2011 $ (400,000)

02/16/2011 $ (1,900,000)

01/06/2011 $ (233)

100
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 371,525,526 Updated due to quarterly assessment and reallocation

$ 371,519,358 Updated due to quarterly assessment and reallocation

$ 371,514,724 Updated due to quarterly assessment and reallocation

$ 371,084,724 Transfer of cap due to servicing transfer

$ 371,071,996 Updated due to quarterly assessment and reallocation

$ 371,051,996 Transfer of cap due to servicing transfer

$ 371,049,848 Updated due to quarterly assessment and reallocation

$ 371,041,711 Updated due to quarterly assessment and reallocation

$ 371,038,640 Updated due to quarterly assessment and reallocation

$ 371,037,539 Updated due to quarterly assessment and reallocation

$ 371,027,539 Transfer of cap due to servicing transfer

$ 369,169,319 Updated due to quarterly assessment and reallocation

13 $ 8,308,819 Termination of SPA

HomeStar Bank & Financial Services Manteno IL $ 310,000 N/A $ 330,000 Updated portfolio data from servicer/additional program initial cap

$ 1,150,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,319 Updated due to quarterly assessment and reallocation

$ 870,309 Updated due to quarterly assessment and reallocation

6 $ 13,323 Termination of SPA

Homeward Residential, Inc. (American 

Home Mortgage Servicing, Inc) Coppell TX $ 1,272,490,000 N/A $ 1,218,820,000 Updated portfolio data from servicer/additional program initial cap

$ 1,469,270,000 Updated portfolio data from servicer/additional program initial cap

$ 1,594,090,000 Updated portfolio data from servicer

$ 1,304,100,000 Updated portfolio data from servicer

$ 1,305,790,508 Updated portfolio data from servicer

$ 1,306,090,508 Transfer of cap due to servicing transfer

$ 1,305,990,508 Transfer of cap due to servicing transfer

$ 1,305,989,335 Updated due to quarterly assessment and reallocation

$ 1,305,489,335 Transfer of cap due to servicing transfer

$ 1,305,487,935 Updated due to quarterly assessment and reallocation

$ 1,308,587,935 Transfer of cap due to servicing transfer

$ 1,308,575,052 Updated due to quarterly assessment and reallocation

$ 1,307,575,052 Transfer of cap due to servicing transfer

$ 1,307,475,052 Transfer of cap due to servicing transfer

$ 1,306,375,052 Transfer of cap due to servicing transfer

$ 1,306,365,052 Transfer of cap due to servicing transfer

$ 1,306,356,674 Updated due to quarterly assessment and reallocation

$ 1,305,886,674 Transfer of cap due to servicing transfer

$ 1,305,806,674 Transfer of cap due to servicing transfer

$ 1,305,784,180 Updated due to quarterly assessment and reallocation

$ 1,305,524,180 Transfer of cap due to servicing transfer

$ 1,305,494,180 Transfer of cap due to servicing transfer

$ 1,305,444,180 Transfer of cap due to servicing transfer

$ 1,305,440,504 Updated due to quarterly assessment and reallocation

$ 1,305,360,504 Transfer of cap due to servicing transfer

$ 1,305,380,504 Transfer of cap due to servicing transfer

$ 1,221,220,504 Transfer of cap due to servicing transfer

$ 1,221,207,683 Updated due to quarterly assessment and reallocation

$ 600,097,683 Transfer of cap due to servicing transfer

$ 580,977,683 Transfer of cap due to servicing transfer

$ 580,975,736 Updated due to quarterly assessment and reallocation

$ 566,105,736 Transfer of cap due to servicing transfer

$ 566,105,081 Updated due to quarterly assessment and reallocation

$ 566,125,081 Transfer of cap due to servicing transfer

$ 565,014,892 Updated due to quarterly assessment and reallocation

$ 564,975,861 Updated due to quarterly assessment and reallocation

$ 564,965,861 Transfer of cap due to servicing transfer

14 $ 280,490,773 Termination of SPA

Horicon Bank Horicon WI $ 560,000 N/A $ 690,000 Updated portfolio data from servicer/additional program initial cap

$ 1,730,000 Updated portfolio data from servicer/additional program initial cap

$ 50,000 Updated portfolio data from servicer

$ 1,310,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer/additional program initial cap

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

12/27/2012 $ (1) $ 290,098 Updated due to quarterly assessment and reallocation

09/27/2012 $ (7)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ (9,889)

09/30/2010 $ 100,000

07/14/2010 $ (1,110,000)

05/12/2010 $ 1,260,000

03/26/2010 $ (1,680,000)

12/30/2009 $ 1,040,000

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 130,000

05/28/2014 $ (284,475,088)

04/16/2014 $ (10,000)

03/26/2014 $ (39,031)

12/23/2013 $ (1,110,189)

12/16/2013 $ 20,000

09/27/2013 $ (655)

07/16/2013 $ (14,870,000)

06/27/2013 $ (1,947)

05/16/2013 $ (19,120,000)

04/16/2013 $ (621,110,000)

03/25/2013 $ (12,821)

03/14/2013 $ (84,160,000)

02/14/2013 $ 20,000

01/16/2013 $ (80,000)

12/27/2012 $ (3,676)

12/14/2012 $ (50,000)

11/15/2012 $ (30,000)

10/16/2012 $ (260,000)

09/27/2012 $ (22,494)

08/16/2012 $ (80,000)

07/16/2012 $ (470,000)

06/28/2012 $ (8,378)

05/16/2012 $ (10,000)

11/16/2011 $ (1,100,000)

10/14/2011 $ (100,000)

09/15/2011 $ (1,000,000)

06/29/2011 $ (12,883)

04/13/2011 $ 3,100,000

03/30/2011 $ (1,400)

02/16/2011 $ (500,000)

01/06/2011 $ (1,173)

11/16/2010 $ (100,000)

10/15/2010 $ 300,000

09/30/2010 $ 1,690,508

07/14/2010 $ (289,990,000)

03/26/2010 $ 124,820,000

12/30/2009 $ 250,450,000

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (53,670,000)

07/06/2012 $ (856,986)

06/28/2012 $ (10)

06/29/2011 $ (13)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 70,334

07/14/2010 $ (350,000)

03/26/2010 $ 820,000

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

02/27/2014 $ (360,860,500)

12/23/2013 $ (1,858,220)

11/14/2013 $ (10,000)

09/27/2013 $ (1,101)

06/27/2013 $ (3,071)

03/25/2013 $ (8,137)

12/27/2012 $ (2,148)

12/14/2012 $ (20,000)

09/27/2012 $ (12,728)

08/16/2012 $ (430,000)

06/28/2012 $ (4,634)

06/29/2011 $ (6,168)

03/30/2011 $ (653)

101
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 290,094 Updated due to quarterly assessment and reallocation

$ 290,092 Updated due to quarterly assessment and reallocation

$ 290,091 Updated due to quarterly assessment and reallocation

$ 289,112 Updated due to quarterly assessment and reallocation

$ 289,078 Updated due to quarterly assessment and reallocation

$ 288,672 Updated due to quarterly assessment and reallocation

$ 287,865 Updated due to quarterly assessment and reallocation

$ 287,598 Updated due to quarterly assessment and reallocation

$ 255,301 Updated due to quarterly assessment and reallocation

$ 243,155 Updated due to quarterly assessment and reallocation

$ 195,280 Updated due to quarterly assessment and reallocation

$ 183,926 Updated due to quarterly assessment and reallocation

$ 168,759 Updated due to quarterly assessment and reallocation

$ 157,534 Updated due to quarterly assessment and reallocation

$ 125,478 Reallocation due to MHA program deobligation

$ 124,808 Updated due to quarterly assessment and reallocation

$ 119,567 Updated due to quarterly assessment and reallocation

$ 116,436 Updated due to quarterly assessment and reallocation

$ 113,304 Updated due to quarterly assessment and reallocation

$ 107,828 Updated due to quarterly assessment and reallocation

$ 102,653 Updated due to quarterly assessment and reallocation

$ 104,648 Updated due to quarterly assessment and reallocation

$ 104,612 Updated due to quarterly assessment and reallocation

$ 104,607 Transfer of cap due to servicing transfer

$ 104,512 Transfer of cap due to servicing transfer

$ 104,506 Transfer of cap due to servicing transfer

$ 104,458 Transfer of cap due to servicing transfer

$ 104,457 Transfer of cap due to servicing transfer

$ 102,550 Transfer of cap due to servicing transfer

$ 102,313 Transfer of cap due to servicing transfer

$ 102,067 Transfer of cap due to servicing transfer

$ 102,055 Transfer of cap due to servicing transfer

$ 102,016 Transfer of cap due to servicing transfer

$ 101,939 Transfer of cap due to servicing transfer

$ 101,925 Transfer of cap due to servicing transfer

$ 100,301 Reallocation due to MHA program deobligation

$ 100,298 Transfer of cap due to servicing transfer

Horizon Bank, NA Michigan City IN $ 700,000 N/A $ 730,000 Updated portfolio data from servicer/additional program initial cap

$ 2,470,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

$ 1,450,529 Updated due to quarterly assessment and reallocation

$ 1,450,512 Updated due to quarterly assessment and reallocation

- Termination of SPA

Iberiabank Sarasota FL $ 4,230,000 N/A $ 4,430,000 Updated portfolio data from servicer/additional program initial cap

$ 2,960,000 Updated portfolio data from servicer

$ 1,400,000 Updated portfolio data from servicer

$ 7,252,780 Updated portfolio data from servicer

$ 7,252,769 Updated due to quarterly assessment and reallocation

$ 7,252,756 Updated due to quarterly assessment and reallocation

$ 6,952,756 Transfer of cap due to servicing transfer

6 $ 25,502 Termination of SPA

IBM Southeast Employees' Federal 

Credit Union Delray Beach FL $ 870,000 N/A $ 860,000 Updated portfolio data from servicer/additional program initial cap

$ 1,110,000 Updated portfolio data from servicer/additional program initial cap

$ 1,100,000 Updated portfolio data from servicer

$ 700,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,320 Updated due to quarterly assessment and reallocation

$ 870,311 Updated due to quarterly assessment and reallocation

6 $ 48,589 Termination of SPA

IC Federal Credit Union Fitchburg MA $ 760,000 N/A $ 800,000 Updated portfolio data from servicer/additional program initial cap

$ 40,000 Updated portfolio data from servicer

$ 2,670,000 Updated portfolio data from servicer

$ 1,900,000 Updated portfolio data from servicer

$ 2,465,945 Updated portfolio data from servicer

$ 2,465,941 Updated due to quarterly assessment and reallocation

03/30/2011 $ (4) $ 2,465,937 Updated due to quarterly assessment and reallocation

01/06/2011 $ (4)

09/30/2010 $ 565,945

07/14/2010 $ (770,000)

05/12/2010 $ 2,630,000

03/26/2010 $ (760,000)

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 40,000

09/14/2012 $ (821,722)

06/28/2012 $ (9)

06/29/2011 $ (12)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 170,334

07/14/2010 $ (400,000)

03/26/2010 $ (10,000)

12/30/2009 $ 250,000

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (10,000)

06/03/2011 $ (6,927,254)

04/13/2011 $ (300,000)

03/30/2011 $ (13)

01/06/2011 $ (11)

09/30/2010 $ 5,852,780

07/14/2010 $ (1,560,000)

03/26/2010 $ (1,470,000)

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 200,000

09/21/2012 $ (1,450,512)

06/28/2012 $ (17)

06/29/2011 $ (23)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 850,556

07/14/2010 $ (1,870,000)

03/26/2010 $ 1,740,000

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

10/25/2018 $ (3)

07/26/2018 $ (1,624)

06/21/2018 $ (14)

04/25/2018 $ (77)

03/22/2018 $ (39)

02/26/2018 $ (12)

12/21/2017 $ (246)

10/26/2017 $ (237)

09/26/2017 $ (1,907)

07/26/2017 $ (1)

06/26/2017 $ (48)

04/26/2017 $ (6)

02/27/2017 $ (95)

12/27/2016 $ (5)

11/29/2016 $ (36)

11/07/2016 $ 1,995

10/25/2016 $ (5,175)

09/28/2016 $ (5,476)

07/27/2016 $ (3,132)

06/27/2016 $ (3,131)

05/31/2016 $ (5,241)

03/28/2016 $ (670)

02/25/2016 $ (32,056)

12/28/2015 $ (11,225)

09/28/2015 $ (15,167)

06/25/2015 $ (11,354)

04/28/2015 $ (47,875)

03/26/2015 $ (12,146)

12/29/2014 $ (32,297)

09/29/2014 $ (267)

07/29/2014 $ (807)

06/26/2014 $ (406)

03/26/2014 $ (34)

12/23/2013 $ (979)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (4)

102
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,465,897 Updated due to quarterly assessment and reallocation

$ 2,465,868 Updated due to quarterly assessment and reallocation

$ 2,465,788 Updated due to quarterly assessment and reallocation

$ 2,465,774 Updated due to quarterly assessment and reallocation

$ 2,465,722 Updated due to quarterly assessment and reallocation

$ 2,465,703 Updated due to quarterly assessment and reallocation

$ 2,465,696 Updated due to quarterly assessment and reallocation

$ 2,454,138 Updated due to quarterly assessment and reallocation

$ 2,453,728 Updated due to quarterly assessment and reallocation

$ 2,448,891 Updated due to quarterly assessment and reallocation

$ 2,439,284 Updated due to quarterly assessment and reallocation

$ 2,436,111 Updated due to quarterly assessment and reallocation

$ 2,061,394 Updated due to quarterly assessment and reallocation

$ 1,920,445 Updated due to quarterly assessment and reallocation

$ 1,385,792 Updated due to quarterly assessment and reallocation

$ 1,257,510 Updated due to quarterly assessment and reallocation

$ 1,084,535 Updated due to quarterly assessment and reallocation

$ 956,520 Updated due to quarterly assessment and reallocation

$ 574,533 Reallocation due to MHA program deobligation

$ 566,245 Updated due to quarterly assessment and reallocation

$ 501,353 Updated due to quarterly assessment and reallocation

$ 461,646 Updated due to quarterly assessment and reallocation

$ 421,927 Updated due to quarterly assessment and reallocation

$ 350,045 Updated due to quarterly assessment and reallocation

$ 282,121 Updated due to quarterly assessment and reallocation

$ 308,308 Updated due to quarterly assessment and reallocation

$ 307,732 Updated due to quarterly assessment and reallocation

$ 307,644 Transfer of cap due to servicing transfer

$ 306,005 Transfer of cap due to servicing transfer

$ 305,898 Transfer of cap due to servicing transfer

$ 305,072 Transfer of cap due to servicing transfer

$ 305,047 Transfer of cap due to servicing transfer

$ 277,823 Transfer of cap due to servicing transfer

$ 274,447 Transfer of cap due to servicing transfer

$ 269,677 Transfer of cap due to servicing transfer

$ 269,445 Transfer of cap due to servicing transfer

$ 268,690 Transfer of cap due to servicing transfer

$ 267,197 Transfer of cap due to servicing transfer

$ 266,819 Transfer of cap due to servicing transfer

$ 192,769 Reallocation due to MHA program deobligation

$ 192,765 Transfer of cap due to servicing transfer

$ 192,761 Transfer of cap due to servicing transfer

$ 192,608 Transfer of cap due to servicing transfer

Idaho Housing and Finance Association Boise ID $ 9,430,000 N/A $ 9,870,000 Updated portfolio data from servicer/additional program initial cap

$ 24,350,000 Updated portfolio data from servicer

$ 150,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,100 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,096 Updated due to quarterly assessment and reallocation

$ 290,095 Updated due to quarterly assessment and reallocation

$ 289,348 Updated due to quarterly assessment and reallocation

$ 289,322 Updated due to quarterly assessment and reallocation

$ 289,008 Updated due to quarterly assessment and reallocation

$ 288,382 Updated due to quarterly assessment and reallocation

$ 288,156 Updated due to quarterly assessment and reallocation

$ 269,304 Updated due to quarterly assessment and reallocation

$ 262,168 Updated due to quarterly assessment and reallocation

$ 521,716 Updated due to quarterly assessment and reallocation

$ 521,681 Updated due to quarterly assessment and reallocation

$ 520,384 Updated due to quarterly assessment and reallocation

$ 514,210 Updated due to quarterly assessment and reallocation

$ 477,432 Reallocation due to MHA program deobligation

$ 476,509 Updated due to quarterly assessment and reallocation

$ 466,780 Updated due to quarterly assessment and reallocation

$ 460,968 Updated due to quarterly assessment and reallocation

$ 454,034 Updated due to quarterly assessment and reallocation

09/28/2016 $ (19,392) $ 434,642 Updated due to quarterly assessment and reallocation

07/27/2016 $ (6,934)

06/27/2016 $ (5,812)

05/31/2016 $ (9,729)

03/28/2016 $ (923)

02/25/2016 $ (36,778)

12/28/2015 $ (6,174)

09/28/2015 $ (1,297)

06/25/2015 $ (35)

04/28/2015 $ 259,548

03/26/2015 $ (7,136)

12/29/2014 $ (18,852)

09/29/2014 $ (226)

07/29/2014 $ (626)

06/26/2014 $ (314)

03/26/2014 $ (26)

12/23/2013 $ (747)

06/27/2013 $ (1)

03/25/2013 $ (3)

12/27/2012 $ (1)

09/27/2012 $ (6)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ (9,889)

07/14/2010 $ 150,000

05/26/2010 $ (24,200,000)

03/26/2010 $ 14,480,000

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 440,000

10/25/2018 $ (153)

09/26/2018 $ (4)

08/27/2018 $ (4)

07/26/2018 $ (74,050)

06/21/2018 $ (378)

04/25/2018 $ (1,493)

03/22/2018 $ (755)

02/26/2018 $ (232)

12/21/2017 $ (4,770)

10/26/2017 $ (3,376)

09/26/2017 $ (27,224)

07/26/2017 $ (25)

06/26/2017 $ (826)

04/26/2017 $ (107)

02/27/2017 $ (1,639)

12/27/2016 $ (88)

11/29/2016 $ (576)

11/07/2016 $ 26,187

10/25/2016 $ (67,924)

09/28/2016 $ (71,882)

07/27/2016 $ (39,719)

06/27/2016 $ (39,707)

05/31/2016 $ (64,892)

03/28/2016 $ (8,288)

02/25/2016 $ (381,987)

12/28/2015 $ (128,015)

09/28/2015 $ (172,975)

06/25/2015 $ (128,282)

04/28/2015 $ (534,653)

03/26/2015 $ (140,949)

12/29/2014 $ (374,717)

09/29/2014 $ (3,173)

07/29/2014 $ (9,607)

06/26/2014 $ (4,837)

03/26/2014 $ (410)

12/23/2013 $ (11,558)

09/27/2013 $ (7)

06/27/2013 $ (19)

03/25/2013 $ (52)

12/27/2012 $ (14)

09/27/2012 $ (80)

06/28/2012 $ (29)

06/29/2011 $ (40)

103
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 416,318 Updated due to quarterly assessment and reallocation

$ 423,383 Updated due to quarterly assessment and reallocation

$ 423,082 Updated due to quarterly assessment and reallocation

$ 423,010 Transfer of cap due to servicing transfer

$ 422,442 Transfer of cap due to servicing transfer

$ 422,397 Transfer of cap due to servicing transfer

$ 421,934 Transfer of cap due to servicing transfer

$ 421,920 Transfer of cap due to servicing transfer

$ 410,471 Transfer of cap due to servicing transfer

$ 409,051 Transfer of cap due to servicing transfer

$ 406,319 Transfer of cap due to servicing transfer

$ 406,118 Transfer of cap due to servicing transfer

$ 405,352 Transfer of cap due to servicing transfer

$ 403,838 Transfer of cap due to servicing transfer

$ 403,554 Transfer of cap due to servicing transfer

$ 325,354 Reallocation due to MHA program deobligation

$ 325,350 Transfer of cap due to servicing transfer

$ 325,344 Transfer of cap due to servicing transfer

$ 325,071 Transfer of cap due to servicing transfer

Investors Bank Iselin NJ $ 1 N/A 3 $ 6,750 Transfer of cap due to servicing transfer

iServe Residential Lending, LLC San Diego CA $ 960,000 N/A $ 230,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer/additional program initial cap

$ 435,167 Updated portfolio data from servicer

$ 535,167 Transfer of cap due to servicing transfer

$ 535,166 Updated due to quarterly assessment and reallocation

$ 535,165 Updated due to quarterly assessment and reallocation

$ 535,158 Updated due to quarterly assessment and reallocation

$ 535,152 Updated due to quarterly assessment and reallocation

$ 535,137 Updated due to quarterly assessment and reallocation

$ 535,134 Updated due to quarterly assessment and reallocation

$ 535,124 Updated due to quarterly assessment and reallocation

$ 535,120 Updated due to quarterly assessment and reallocation

$ 535,119 Updated due to quarterly assessment and reallocation

$ 532,877 Updated due to quarterly assessment and reallocation

$ 532,798 Updated due to quarterly assessment and reallocation

$ 531,868 Updated due to quarterly assessment and reallocation

$ 530,020 Updated due to quarterly assessment and reallocation

$ 529,410 Updated due to quarterly assessment and reallocation

$ 455,483 Updated due to quarterly assessment and reallocation

$ 427,680 Updated due to quarterly assessment and reallocation

$ 318,094 Updated due to quarterly assessment and reallocation

$ 292,105 Updated due to quarterly assessment and reallocation

$ 257,388 Updated due to quarterly assessment and reallocation

$ 231,695 Updated due to quarterly assessment and reallocation

$ 158,319 Reallocation due to MHA program deobligation

$ 156,786 Updated due to quarterly assessment and reallocation

$ 144,790 Updated due to quarterly assessment and reallocation

$ 137,624 Updated due to quarterly assessment and reallocation

$ 130,455 Updated due to quarterly assessment and reallocation

$ 117,918 Updated due to quarterly assessment and reallocation

$ 106,072 Updated due to quarterly assessment and reallocation

$ 110,639 Updated due to quarterly assessment and reallocation

$ 110,557 Updated due to quarterly assessment and reallocation

$ 110,544 Transfer of cap due to servicing transfer

$ 110,327 Transfer of cap due to servicing transfer

$ 110,313 Transfer of cap due to servicing transfer

$ 110,204 Transfer of cap due to servicing transfer

$ 110,201 Transfer of cap due to servicing transfer

$ 105,836 Transfer of cap due to servicing transfer

$ 105,295 Transfer of cap due to servicing transfer

$ 104,731 Transfer of cap due to servicing transfer

$ 104,704 Transfer of cap due to servicing transfer

$ 104,615 Transfer of cap due to servicing transfer

$ 104,439 Transfer of cap due to servicing transfer

$ 104,406 Transfer of cap due to servicing transfer

$ 100,688 Reallocation due to MHA program deobligation

$ 100,680 Transfer of cap due to servicing transfer

iServe Servicing, Inc. Irving TX $ 28,040,000 N/A $ 28,160,000 Updated portfolio data from servicer/additional program initial cap

$ 15,500,000 Updated portfolio data from servicer

$ 15,600,000 Updated portfolio data from servicer/additional program initial cap

09/30/2010 $ (3,125,218) $ 12,474,782 Updated portfolio data from servicer

09/30/2010 $ 100,000

07/14/2010 $ (12,660,000)

03/05/2010 Purchase Financial Instrument for Home Loan Modifications 05/26/2010 $ 120,000

10/25/2018 $ (8)

07/26/2018 $ (3,718)

06/21/2018 $ (33)

04/25/2018 $ (176)

03/22/2018 $ (89)

02/26/2018 $ (27)

12/21/2017 $ (564)

10/26/2017 $ (541)

09/26/2017 $ (4,365)

07/26/2017 $ (3)

06/26/2017 $ (109)

04/26/2017 $ (14)

02/27/2017 $ (217)

12/27/2016 $ (13)

11/29/2016 $ (82)

11/07/2016 $ 4,567

10/25/2016 $ (11,846)

09/28/2016 $ (12,537)

07/27/2016 $ (7,169)

06/27/2016 $ (7,166)

05/31/2016 $ (11,996)

03/28/2016 $ (1,533)

02/25/2016 $ (73,376)

12/28/2015 $ (25,693)

09/28/2015 $ (34,717)

06/25/2015 $ (25,989)

04/28/2015 $ (109,586)

03/26/2015 $ (27,803)

12/29/2014 $ (73,927)

09/29/2014 $ (610)

07/29/2014 $ (1,848)

06/26/2014 $ (930)

03/26/2014 $ (79)

12/23/2013 $ (2,242)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (10)

12/27/2012 $ (3)

09/27/2012 $ (15)

06/28/2012 $ (6)

06/29/2011 $ (7)

03/30/2011 $ (1)

01/06/2011 $ (1)

11/16/2010 $ 100,000

09/30/2010 $ (364,833)

09/30/2010 $ 200,000

07/14/2010 $ 370,000

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (730,000)

09/16/2019 Purchase Financial Instrument for Home Loan Modifications 09/23/2019 $ 6,749

10/25/2018 $ (273)

09/26/2018 $ (6)

08/27/2018 $ (4)

07/26/2018 $ (78,200)

06/21/2018 $ (284)

04/25/2018 $ (1,514)

03/22/2018 $ (766)

02/26/2018 $ (201)

12/21/2017 $ (2,732)

10/26/2017 $ (1,420)

09/26/2017 $ (11,449)

07/26/2017 $ (14)

06/26/2017 $ (463)

04/26/2017 $ (45)

02/27/2017 $ (568)

12/27/2016 $ (72)

11/29/2016 $ (301)

11/07/2016 $ 7,065

10/25/2016 $ (18,324)

104
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 13,274,782 Transfer of cap due to servicing transfer

$ 13,274,762 Updated due to quarterly assessment and reallocation

$ 13,274,738 Updated due to quarterly assessment and reallocation

$ 13,274,517 Updated due to quarterly assessment and reallocation

$ 13,274,348 Updated due to quarterly assessment and reallocation

$ 13,273,883 Updated due to quarterly assessment and reallocation

$ 13,273,805 Updated due to quarterly assessment and reallocation

$ 13,273,508 Updated due to quarterly assessment and reallocation

$ 13,273,396 Updated due to quarterly assessment and reallocation

$ 13,263,396 Transfer of cap due to servicing transfer

$ 13,263,356 Updated due to quarterly assessment and reallocation

$ 13,203,356 Updated due to quarterly assessment and reallocation

$ 13,135,840 Updated due to quarterly assessment and reallocation

$ 13,133,467 Updated due to quarterly assessment and reallocation

$ 13,105,453 Updated due to quarterly assessment and reallocation

$ 13,049,813 Updated due to quarterly assessment and reallocation

$ 13,031,434 Updated due to quarterly assessment and reallocation

$ 10,805,151 Updated due to quarterly assessment and reallocation

$ 9,967,882 Updated due to quarterly assessment and reallocation

- Termination of SPA

James B. Nutter & Company Kansas City MO $ 300,000 N/A $ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

$ 435,165 Updated due to quarterly assessment and reallocation

$ 435,159 Updated due to quarterly assessment and reallocation

$ 435,155 Updated due to quarterly assessment and reallocation

$ 435,143 Updated due to quarterly assessment and reallocation

$ 435,141 Updated due to quarterly assessment and reallocation

$ 435,133 Updated due to quarterly assessment and reallocation

$ 435,130 Updated due to quarterly assessment and reallocation

$ 435,129 Updated due to quarterly assessment and reallocation

$ 433,402 Updated due to quarterly assessment and reallocation

$ 433,341 Updated due to quarterly assessment and reallocation

$ 432,625 Updated due to quarterly assessment and reallocation

$ 431,202 Updated due to quarterly assessment and reallocation

$ 430,732 Updated due to quarterly assessment and reallocation

$ 373,793 Updated due to quarterly assessment and reallocation

$ 352,379 Updated due to quarterly assessment and reallocation

$ 267,976 Updated due to quarterly assessment and reallocation

$ 247,959 Updated due to quarterly assessment and reallocation

$ 221,220 Updated due to quarterly assessment and reallocation

$ 201,431 Updated due to quarterly assessment and reallocation

$ 144,917 Reallocation due to MHA program deobligation

$ 143,737 Updated due to quarterly assessment and reallocation

$ 134,497 Updated due to quarterly assessment and reallocation

$ 128,978 Updated due to quarterly assessment and reallocation

$ 124,104 Updated due to quarterly assessment and reallocation

$ 120,938 Updated due to quarterly assessment and reallocation

$ 889,633 Updated due to quarterly assessment and reallocation

$ 889,633 Updated due to quarterly assessment and reallocation

$ 888,691 Updated due to quarterly assessment and reallocation

$ 888,570 Transfer of cap due to servicing transfer

$ 885,807 Transfer of cap due to servicing transfer

$ 885,624 Transfer of cap due to servicing transfer

$ 884,123 Transfer of cap due to servicing transfer

$ 884,075 Transfer of cap due to servicing transfer

$ 828,863 Transfer of cap due to servicing transfer

$ 820,931 Transfer of cap due to servicing transfer

$ 810,340 Transfer of cap due to servicing transfer

$ 809,635 Transfer of cap due to servicing transfer

$ 806,907 Transfer of cap due to servicing transfer

$ 801,495 Transfer of cap due to servicing transfer

$ 800,404 Transfer of cap due to servicing transfer

$ 585,708 Reallocation due to MHA program deobligation

$ 585,696 Transfer of cap due to servicing transfer

$ 585,680 Transfer of cap due to servicing transfer

$ 584,948 Transfer of cap due to servicing transfer

JP Morgan Chase Bank, NA Lewisville TX $ 2,699,720,000 N/A $ 2,684,870,000 Updated portfolio data from servicer/additional program initial cap

$ 3,863,050,000 Updated portfolio data from servicer/additional program initial cap

$ 4,869,630,000 Updated portfolio data from servicer/additional program initial cap

$ 2,935,400,000 Updated portfolio data from servicer

$ 3,007,800,000 Updated portfolio data from servicer/additional program initial cap

09/30/2010 $ 215,625,536 $ 3,223,425,536 Updated portfolio data from servicer

09/30/2010 $ 72,400,000

07/14/2010 $ (1,934,230,000)

03/26/2010 $ 1,006,580,000

12/30/2009 $ 1,178,180,000

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (14,850,000)

10/25/2018 $ (732)

09/26/2018 $ (16)

08/27/2018 $ (12)

07/26/2018 $ (214,696)

06/21/2018 $ (1,091)

04/25/2018 $ (5,412)

03/22/2018 $ (2,728)

02/26/2018 $ (705)

12/21/2017 $ (10,591)

10/26/2017 $ (7,932)

09/26/2017 $ (55,212)

07/26/2017 $ (48)

06/26/2017 $ (1,501)

04/26/2017 $ (183)

02/27/2017 $ (2,763)

12/27/2016 $ (121)

11/29/2016 $ (942)

11/07/2016 -

10/25/2016 $ 768,695

09/28/2016 $ (3,166)

07/27/2016 $ (4,874)

06/27/2016 $ (5,519)

05/31/2016 $ (9,240)

03/28/2016 $ (1,180)

02/25/2016 $ (56,514)

12/28/2015 $ (19,789)

09/28/2015 $ (26,739)

06/25/2015 $ (20,017)

04/28/2015 $ (84,403)

03/26/2015 $ (21,414)

12/29/2014 $ (56,939)

09/29/2014 $ (470)

07/29/2014 $ (1,423)

06/26/2014 $ (716)

03/26/2014 $ (61)

12/23/2013 $ (1,727)

09/27/2013 $ (1)

06/27/2013 $ (3)

03/25/2013 $ (8)

12/27/2012 $ (2)

09/27/2012 $ (12)

06/28/2012 $ (4)

06/29/2011 $ (6)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 135,167

04/02/2015 $ (9,967,882)

03/26/2015 $ (837,269)

12/29/2014 $ (2,226,283)

09/29/2014 $ (18,379)

07/29/2014 $ (55,640)

06/26/2014 $ (28,014)

03/26/2014 $ (2,373)

12/23/2013 $ (67,516)

11/14/2013 $ (60,000)

09/27/2013 $ (40)

07/16/2013 $ (10,000)

06/27/2013 $ (112)

03/25/2013 $ (297)

12/27/2012 $ (78)

09/27/2012 $ (465)

06/28/2012 $ (169)

06/29/2011 $ (221)

03/30/2011 $ (24)

01/06/2011 $ (20)

11/16/2010 $ 800,000

105
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 3,223,421,900 Updated due to quarterly assessment and reallocation

$ 3,223,321,900 Transfer of cap due to servicing transfer

$ 3,223,317,901 Updated due to quarterly assessment and reallocation

$ 3,223,117,901 Transfer of cap due to servicing transfer

$ 3,345,817,901 Transfer of cap due to servicing transfer

$ 3,345,783,295 Updated due to quarterly assessment and reallocation

$ 3,346,383,295 Transfer of cap due to servicing transfer

$ 3,345,983,295 Transfer of cap due to servicing transfer

$ 3,345,883,295 Transfer of cap due to servicing transfer

$ 3,346,083,295 Transfer of cap due to servicing transfer

$ 3,865,294,604 Transfer of cap due to servicing transfer

$ 3,862,494,604 Transfer of cap due to servicing transfer

$ 3,862,394,604 Transfer of cap due to servicing transfer

$ 3,862,294,604 Transfer of cap due to servicing transfer

$ 3,736,214,604 Transfer of cap due to servicing transfer

$ 3,734,594,604 Transfer of cap due to servicing transfer

$ 3,734,578,412 Updated due to quarterly assessment and reallocation

$ 3,732,278,412 Transfer of cap due to servicing transfer

$ 3,732,258,412 Transfer of cap due to servicing transfer

$ 3,732,221,071 Updated due to quarterly assessment and reallocation

$ 3,731,091,071 Transfer of cap due to servicing transfer

$ 3,727,321,071 Transfer of cap due to servicing transfer

$ 3,727,141,071 Transfer of cap due to servicing transfer

$ 3,727,136,536 Updated due to quarterly assessment and reallocation

$ 3,727,076,536 Transfer of cap due to servicing transfer

$ 3,726,556,536 Transfer of cap due to servicing transfer

$ 3,726,466,536 Transfer of cap due to servicing transfer

$ 3,726,452,226 Updated due to quarterly assessment and reallocation

$ 3,726,342,226 Transfer of cap due to servicing transfer

$ 3,726,222,226 Transfer of cap due to servicing transfer

$ 3,726,172,226 Transfer of cap due to servicing transfer

$ 3,726,168,448 Updated due to quarterly assessment and reallocation

$ 3,622,928,448 Transfer of cap due to servicing transfer

$ 3,622,908,448 Transfer of cap due to servicing transfer

$ 3,522,948,448 Transfer of cap due to servicing transfer

$ 3,522,947,724 Updated due to quarterly assessment and reallocation

$ 3,444,957,724 Transfer of cap due to servicing transfer

$ 3,429,347,724 Transfer of cap due to servicing transfer

$ 3,429,297,724 Transfer of cap due to servicing transfer

$ 3,428,457,328 Updated due to quarterly assessment and reallocation

$ 3,422,667,328 Transfer of cap due to servicing transfer

$ 3,369,997,328 Transfer of cap due to servicing transfer

$ 3,366,267,328 Transfer of cap due to servicing transfer

$ 3,366,245,916 Updated due to quarterly assessment and reallocation

$ 3,352,245,916 Transfer of cap due to servicing transfer

$ 3,333,275,916 Transfer of cap due to servicing transfer

$ 3,303,105,916 Transfer of cap due to servicing transfer

$ 3,303,004,164 Updated due to quarterly assessment and reallocation

$ 3,290,024,164 Transfer of cap due to servicing transfer

$ 3,289,869,871 Updated due to quarterly assessment and reallocation

$ 3,282,689,871 Transfer of cap due to servicing transfer

$ 3,273,049,871 Transfer of cap due to servicing transfer

$ 3,273,031,783 Updated due to quarterly assessment and reallocation

$ 3,272,641,783 Transfer of cap due to servicing transfer

$ 3,262,491,783 Transfer of cap due to servicing transfer

$ 3,257,691,783 Transfer of cap due to servicing transfer

$ 3,807,624,890 Updated due to quarterly assessment and reallocation

$ 3,796,904,890 Transfer of cap due to servicing transfer

$ 3,792,874,890 Transfer of cap due to servicing transfer

$ 3,745,854,890 Transfer of cap due to servicing transfer

$ 3,786,558,851 Updated due to quarterly assessment and reallocation

$ 3,783,548,851 Transfer of cap due to servicing transfer

$ 4,116,209,608 Updated due to quarterly assessment and reallocation

$ 4,107,999,608 Transfer of cap due to servicing transfer

$ 4,093,869,608 Transfer of cap due to servicing transfer

$ 4,134,458,490 Updated due to quarterly assessment and reallocation

$ 4,116,938,490 Transfer of cap due to servicing transfer

$ 4,116,928,490 Transfer of cap due to servicing transfer

$ 4,117,688,490 Transfer of cap due to servicing transfer

$ 4,144,914,375 Updated due to quarterly assessment and reallocation

$ 4,137,174,375 Transfer of cap due to servicing transfer

11/16/2015 $ (6,050,000) $ 4,131,124,375 Transfer of cap due to servicing transfer

10/15/2015 $ (7,740,000)

09/28/2015 $ 27,225,885

09/16/2015 $ 760,000

08/14/2015 $ (10,000)

07/16/2015 $ (17,520,000)

06/25/2015 $ 40,588,882

06/16/2015 $ (14,130,000)

05/14/2015 $ (8,210,000)

04/28/2015 $ 332,660,757

04/16/2015 $ (3,010,000)

03/26/2015 $ 40,703,961

03/16/2015 $ (47,020,000)

02/13/2015 $ (4,030,000)

01/15/2015 $ (10,720,000)

12/29/2014 $ 549,933,107

12/16/2014 $ (4,800,000)

11/14/2014 $ (10,150,000)

10/16/2014 $ (390,000)

09/29/2014 $ (18,088)

09/16/2014 $ (9,640,000)

08/14/2014 $ (7,180,000)

07/29/2014 $ (154,293)

07/16/2014 $ (12,980,000)

06/26/2014 $ (101,752)

06/16/2014 $ (30,170,000)

05/15/2014 $ (18,970,000)

04/16/2014 $ (14,000,000)

03/26/2014 $ (21,412)

03/14/2014 $ (3,730,000)

02/13/2014 $ (52,670,000)

01/16/2014 $ (5,790,000)

12/23/2013 $ (840,396)

12/16/2013 $ (50,000)

11/14/2013 $ (15,610,000)

10/15/2013 $ (77,990,000)

09/27/2013 $ (724)

09/16/2013 $ (99,960,000)

08/15/2013 $ (20,000)

07/16/2013 $ (103,240,000)

06/27/2013 $ (3,778)

06/14/2013 $ (50,000)

05/16/2013 $ (120,000)

04/16/2013 $ (110,000)

03/25/2013 $ (14,310)

03/14/2013 $ (90,000)

02/14/2013 $ (520,000)

01/16/2013 $ (60,000)

12/27/2012 $ (4,535)

12/14/2012 $ (180,000)

11/15/2012 $ (3,770,000)

10/16/2012 $ (1,130,000)

09/27/2012 $ (37,341)

08/16/2012 $ (20,000)

07/16/2012 $ (2,300,000)

06/28/2012 $ (16,192)

06/14/2012 $ (1,620,000)

05/16/2012 $ (126,080,000)

02/16/2012 $ (100,000)

01/13/2012 $ (100,000)

11/16/2011 $ (2,800,000)

10/19/2011 $ 519,211,309

10/14/2011 $ 200,000

09/15/2011 $ (100,000)

08/16/2011 $ (400,000)

07/14/2011 $ 600,000

06/29/2011 $ (34,606)

05/13/2011 $ 122,700,000

04/13/2011 $ (200,000)

03/30/2011 $ (3,999)

03/16/2011 $ (100,000)

01/06/2011 $ (3,636)

106
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 4,129,394,375 Transfer of cap due to servicing transfer

$ 4,166,795,473 Updated due to quarterly assessment and reallocation

$ 4,130,095,473 Transfer of cap due to servicing transfer

$ 4,129,895,473 Transfer of cap due to servicing transfer

$ 3,997,374,866 Reallocation due to MHA program deobligation

$ 3,988,054,866 Transfer of cap due to servicing transfer

$ 3,985,776,271 Updated due to quarterly assessment and reallocation

$ 3,975,336,271 Transfer of cap due to servicing transfer

$ 3,968,606,271 Transfer of cap due to servicing transfer

$ 3,958,673,048 Updated due to quarterly assessment and reallocation

$ 3,946,333,048 Transfer of cap due to servicing transfer

$ 3,943,497,685 Updated due to quarterly assessment and reallocation

$ 3,939,387,685 Transfer of cap due to servicing transfer

$ 3,938,439,528 Updated due to quarterly assessment and reallocation

$ 3,934,859,528 Transfer of cap due to servicing transfer

$ 3,920,589,528 Transfer of cap due to servicing transfer

$ 3,935,964,809 Updated due to quarterly assessment and reallocation

$ 3,926,854,809 Transfer of cap due to servicing transfer

$ 3,947,641,314 Updated due to quarterly assessment and reallocation

$ 3,947,641,314 Updated due to quarterly assessment and reallocation

$ 3,945,541,314 Transfer of cap due to servicing transfer

$ 3,943,964,078 Updated due to quarterly assessment and reallocation

$ 3,928,894,078 Transfer of cap due to servicing transfer

$ 3,928,670,439 Transfer of cap due to servicing transfer

$ 3,928,200,439 Transfer of cap due to servicing transfer

$ 3,916,410,439 Transfer of cap due to servicing transfer

$ 3,912,639,791 Transfer of cap due to servicing transfer

$ 3,903,229,791 Transfer of cap due to servicing transfer

$ 3,902,981,852 Transfer of cap due to servicing transfer

$ 3,900,948,808 Transfer of cap due to servicing transfer

$ 3,900,886,761 Transfer of cap due to servicing transfer

$ 3,915,087,881 Transfer of cap due to servicing transfer

$ 3,914,313,103 Transfer of cap due to servicing transfer

$ 3,946,340,298 Transfer of cap due to servicing transfer

$ 3,946,159,417 Transfer of cap due to servicing transfer

$ 3,945,359,554 Transfer of cap due to servicing transfer

$ 3,943,606,465 Transfer of cap due to servicing transfer

$ 3,943,210,317 Transfer of cap due to servicing transfer

$ 3,402,782,028 Reallocation due to MHA program deobligation

$ 3,402,751,343 Transfer of cap due to servicing transfer

$ 3,402,717,482 Transfer of cap due to servicing transfer

$ 3,401,481,996 Transfer of cap due to servicing transfer

$ 3,399,044,260 Transfer of cap due to servicing transfer

$ 3,351,433,307 Reallocation due to MHA program deobligation

$ 3,351,034,700 Transfer of cap due to servicing transfer

KeyBank National Association Cleveland OH $ 1 N/A $ 20,000 Reallocation due to MHA program deobligation

Kondaur Capital Corporation Orange CA - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

$ 100,000 Transfer of cap due to servicing transfer

$ 90,000 Transfer of cap due to servicing transfer

$ 80,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

$ 200,000 Transfer of cap due to servicing transfer

$ 150,000 Transfer of cap due to servicing transfer

$ 130,000 Transfer of cap due to servicing transfer

$ 129,845 Updated due to quarterly assessment and reallocation

$ 2,369,845 Transfer of cap due to servicing transfer

$ 2,369,472 Updated due to quarterly assessment and reallocation

$ 2,364,975 Updated due to quarterly assessment and reallocation

$ 2,356,043 Updated due to quarterly assessment and reallocation

$ 2,316,043 Transfer of cap due to servicing transfer

$ 2,313,089 Updated due to quarterly assessment and reallocation

$ 1,973,089 Transfer of cap due to servicing transfer

$ 1,923,089 Transfer of cap due to servicing transfer

$ 1,626,995 Updated due to quarterly assessment and reallocation

$ 1,526,995 Transfer of cap due to servicing transfer

$ 1,506,995 Transfer of cap due to servicing transfer

$ 1,414,408 Updated due to quarterly assessment and reallocation

$ 7,774,408 Transfer of cap due to servicing transfer

$ 5,401,715 Updated due to quarterly assessment and reallocation

$ 4,971,715 Transfer of cap due to servicing transfer

$ 4,731,715 Transfer of cap due to servicing transfer

06/25/2015 $ (505,871) $ 4,225,844 Updated due to quarterly assessment and reallocation

06/16/2015 $ (240,000)

05/14/2015 $ (430,000)

04/28/2015 $ (2,372,693)

04/16/2015 $ 6,360,000

03/26/2015 $ (92,587)

02/13/2015 $ (20,000)

01/15/2015 $ (100,000)

12/29/2014 $ (296,094)

12/16/2014 $ (50,000)

11/14/2014 $ (340,000)

09/29/2014 $ (2,954)

09/16/2014 $ (40,000)

07/29/2014 $ (8,932)

06/26/2014 $ (4,497)

03/26/2014 $ (373)

03/14/2014 $ 2,240,000

12/23/2013 $ (155)

07/16/2013 $ (20,000)

06/14/2013 $ (50,000)

05/16/2013 $ 130,000

04/16/2013 $ (10,000)

02/14/2013 $ (10,000)

01/16/2013 $ (10,000)

12/14/2012 $ 70,000

11/15/2012 Purchase Financial Instrument for Home Loan Modifications 11/15/2012 $ 30,000

07/16/2019 Purchase Financial Instrument for Home Loan Modifications 08/22/2019 $ 19,999

09/23/2019 $ (398,607)

08/22/2019 $ (47,610,953)

03/25/2019 $ (2,437,736)

10/25/2018 $ (1,235,486)

09/26/2018 $ (33,861)

08/27/2018 $ (30,685)

07/26/2018 $ (540,428,289)

06/21/2018 $ (396,148)

04/25/2018 $ (1,753,089)

03/22/2018 $ (799,863)

02/26/2018 $ (180,881)

12/21/2017 $ 32,027,195

10/26/2017 $ (774,778)

09/26/2017 $ 14,201,120

07/26/2017 $ (62,047)

06/26/2017 $ (2,033,044)

04/26/2017 $ (247,939)

03/16/2017 $ (9,410,000)

02/27/2017 $ (3,770,648)

02/16/2017 $ (11,790,000)

01/13/2017 $ (470,000)

12/27/2016 $ (223,639)

12/15/2016 $ (15,070,000)

11/29/2016 $ (1,577,236)

11/16/2016 $ (2,100,000)

11/07/2016 -

10/25/2016 $ 20,786,505

10/14/2016 $ (9,110,000)

09/28/2016 $ 15,375,281

09/15/2016 $ (14,270,000)

08/16/2016 $ (3,580,000)

07/27/2016 $ (948,157)

07/14/2016 $ (4,110,000)

06/27/2016 $ (2,835,363)

06/16/2016 $ (12,340,000)

05/31/2016 $ (9,933,223)

05/16/2016 $ (6,730,000)

04/14/2016 $ (10,440,000)

03/28/2016 $ (2,278,595)

03/16/2016 $ (9,320,000)

02/25/2016 $ (132,520,607)

02/16/2016 $ (200,000)

01/14/2016 $ (36,700,000)

12/28/2015 $ 37,401,098

12/16/2015 $ (1,730,000)

107
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 4,195,844 Transfer of cap due to servicing transfer

$ 4,035,844 Transfer of cap due to servicing transfer

$ 4,015,844 Transfer of cap due to servicing transfer

$ 3,367,858 Updated due to quarterly assessment and reallocation

$ 3,537,858 Transfer of cap due to servicing transfer

$ 3,277,858 Transfer of cap due to servicing transfer

$ 3,737,858 Transfer of cap due to servicing transfer

$ 3,191,719 Updated due to quarterly assessment and reallocation

$ 3,241,719 Transfer of cap due to servicing transfer

$ 1,641,297 Reallocation due to MHA program deobligation

$ 291,297 Transfer of cap due to servicing transfer

$ 334,002 Updated due to quarterly assessment and reallocation

$ 284,002 Transfer of cap due to servicing transfer

$ 234,002 Transfer of cap due to servicing transfer

$ 519,061 Updated due to quarterly assessment and reallocation

$ 596,928 Updated due to quarterly assessment and reallocation

$ 566,928 Transfer of cap due to servicing transfer

$ 694,955 Updated due to quarterly assessment and reallocation

$ 664,955 Transfer of cap due to servicing transfer

$ 674,955 Transfer of cap due to servicing transfer

$ 671,394 Updated due to quarterly assessment and reallocation

$ 639,728 Updated due to quarterly assessment and reallocation

$ 651,936 Updated due to quarterly assessment and reallocation

$ 621,936 Transfer of cap due to servicing transfer

$ 621,695 Updated due to quarterly assessment and reallocation

$ 431,695 Transfer of cap due to servicing transfer

$ 561,222 Transfer of cap due to servicing transfer

$ 621,222 Transfer of cap due to servicing transfer

$ 611,222 Transfer of cap due to servicing transfer

$ 609,957 Transfer of cap due to servicing transfer

$ 599,957 Transfer of cap due to servicing transfer

$ 599,809 Transfer of cap due to servicing transfer

$ 596,255 Transfer of cap due to servicing transfer

$ 596,147 Transfer of cap due to servicing transfer

$ 563,100 Transfer of cap due to servicing transfer

$ 552,847 Transfer of cap due to servicing transfer

$ 542,907 Transfer of cap due to servicing transfer

$ 542,424 Transfer of cap due to servicing transfer

$ 540,851 Transfer of cap due to servicing transfer

$ 1,213,740 Transfer of cap due to servicing transfer

$ 1,212,817 Transfer of cap due to servicing transfer

$ 966,848 Reallocation due to MHA program deobligation

$ 966,832 Transfer of cap due to servicing transfer

$ 966,813 Transfer of cap due to servicing transfer

$ 965,969 Transfer of cap due to servicing transfer

Lake City Bank Warsaw IN $ 420,000 N/A $ 600,000 Updated portfolio data from servicer/additional program initial cap

$ 250,000 Updated portfolio data from servicer/additional program initial cap

$ 270,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 290,111 Updated portfolio data from servicer

$ 290,108 Updated due to quarterly assessment and reallocation

$ 290,106 Updated due to quarterly assessment and reallocation

$ 290,099 Updated due to quarterly assessment and reallocation

$ 290,098 Updated due to quarterly assessment and reallocation

$ 290,094 Updated due to quarterly assessment and reallocation

$ 290,092 Updated due to quarterly assessment and reallocation

$ 290,091 Updated due to quarterly assessment and reallocation

$ 289,112 Updated due to quarterly assessment and reallocation

$ 289,078 Updated due to quarterly assessment and reallocation

$ 288,672 Updated due to quarterly assessment and reallocation

$ 287,865 Updated due to quarterly assessment and reallocation

$ 287,598 Updated due to quarterly assessment and reallocation

$ 261,541 Updated due to quarterly assessment and reallocation

$ 251,735 Updated due to quarterly assessment and reallocation

$ 233,987 Updated due to quarterly assessment and reallocation

$ 229,024 Updated due to quarterly assessment and reallocation

$ 222,375 Updated due to quarterly assessment and reallocation

$ 217,403 Updated due to quarterly assessment and reallocation

$ 193,637 Reallocation due to MHA program deobligation

$ 193,295 Updated due to quarterly assessment and reallocation

$ 189,335 Updated due to quarterly assessment and reallocation

06/27/2016 $ (2,382) $ 186,953 Updated due to quarterly assessment and reallocation

05/31/2016 $ (3,960)

03/28/2016 $ (342)

02/25/2016 $ (23,766)

12/28/2015 $ (4,972)

09/28/2015 $ (6,649)

06/25/2015 $ (4,963)

04/28/2015 $ (17,748)

03/26/2015 $ (9,806)

12/29/2014 $ (26,057)

09/29/2014 $ (267)

07/29/2014 $ (807)

06/26/2014 $ (406)

03/26/2014 $ (34)

12/23/2013 $ (979)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (4)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (2)

06/29/2011 $ (3)

09/30/2010 $ 90,111

07/14/2010 $ (70,000)

03/26/2010 $ 20,000

12/30/2009 $ (350,000)

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 180,000

10/25/2018 $ (844)

09/26/2018 $ (19)

08/27/2018 $ (16)

07/26/2018 $ (245,969)

06/21/2018 $ (923)

04/25/2018 $ 672,889

03/22/2018 $ (1,573)

02/26/2018 $ (483)

12/21/2017 $ (9,940)

10/26/2017 $ (10,253)

09/26/2017 $ (33,047)

07/26/2017 $ (108)

06/26/2017 $ (3,554)

04/26/2017 $ (148)

03/16/2017 $ (10,000)

02/27/2017 $ (1,265)

02/16/2017 $ (10,000)

01/13/2017 $ 60,000

12/27/2016 $ 129,527

12/15/2016 $ (190,000)

11/29/2016 $ (241)

11/16/2016 $ (30,000)

11/07/2016 $ 12,208

10/25/2016 $ (31,666)

09/28/2016 $ (3,561)

09/15/2016 $ 10,000

08/16/2016 $ (30,000)

07/27/2016 $ 128,027

07/14/2016 $ (30,000)

06/27/2016 $ 77,867

05/31/2016 $ 285,059

05/16/2016 $ (50,000)

04/14/2016 $ (50,000)

03/28/2016 $ 42,705

03/16/2016 $ (1,350,000)

02/25/2016 $ (1,600,422)

01/14/2016 $ 50,000

12/28/2015 $ (546,139)

12/16/2015 $ 460,000

11/16/2015 $ (260,000)

10/15/2015 $ 170,000

09/28/2015 $ (647,986)

09/16/2015 $ (20,000)

08/14/2015 $ (160,000)

07/16/2015 $ (30,000)

108
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 183,450 Updated due to quarterly assessment and reallocation

$ 177,283 Updated due to quarterly assessment and reallocation

$ 171,391 Updated due to quarterly assessment and reallocation

$ 173,663 Updated due to quarterly assessment and reallocation

$ 173,549 Updated due to quarterly assessment and reallocation

$ 173,522 Transfer of cap due to servicing transfer

$ 173,048 Transfer of cap due to servicing transfer

$ 173,017 Transfer of cap due to servicing transfer

$ 172,719 Transfer of cap due to servicing transfer

$ 172,710 Transfer of cap due to servicing transfer

$ 164,352 Transfer of cap due to servicing transfer

$ 163,306 Transfer of cap due to servicing transfer

$ 161,570 Transfer of cap due to servicing transfer

$ 161,485 Transfer of cap due to servicing transfer

$ 161,205 Transfer of cap due to servicing transfer

$ 160,651 Transfer of cap due to servicing transfer

$ 160,547 Transfer of cap due to servicing transfer

$ 130,297 Reallocation due to MHA program deobligation

$ 130,295 Transfer of cap due to servicing transfer

$ 130,293 Transfer of cap due to servicing transfer

$ 130,231 Transfer of cap due to servicing transfer

Lake National Bank Mentor OH $ 100,000 N/A $ 250,000 Updated portfolio data from servicer/additional program initial cap

$ 380,000 Updated portfolio data from servicer/additional program initial cap

$ 430,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

$ 435,165 Updated due to quarterly assessment and reallocation

$ 435,159 Updated due to quarterly assessment and reallocation

$ 435,155 Updated due to quarterly assessment and reallocation

6 $ 10,651 Termination of SPA

Land/Home Financial Services, Inc. Concord CA - N/A 3 $ 40,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

LenderLive Network, Inc Glendale CO - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

$ 110,000 Transfer of cap due to servicing transfer

$ 109,998 Updated due to quarterly assessment and reallocation

$ 129,998 Transfer of cap due to servicing transfer

$ 209,998 Transfer of cap due to servicing transfer

$ 209,762 Updated due to quarterly assessment and reallocation

$ 349,762 Transfer of cap due to servicing transfer

$ 348,693 Updated due to quarterly assessment and reallocation

$ 408,693 Transfer of cap due to servicing transfer

$ 408,255 Updated due to quarterly assessment and reallocation

$ 377,648 Updated due to quarterly assessment and reallocation

$ 366,105 Updated due to quarterly assessment and reallocation

$ 320,537 Updated due to quarterly assessment and reallocation

$ 309,668 Updated due to quarterly assessment and reallocation

$ 319,668 Transfer of cap due to servicing transfer

$ 303,285 Updated due to quarterly assessment and reallocation

$ 313,285 Transfer of cap due to servicing transfer

$ 299,494 Updated due to quarterly assessment and reallocation

$ 659,494 Transfer of cap due to servicing transfer

$ 407,934 Reallocation due to MHA program deobligation

$ 427,934 Transfer of cap due to servicing transfer

$ 422,154 Updated due to quarterly assessment and reallocation

$ 352,154 Transfer of cap due to servicing transfer

$ 306,657 Updated due to quarterly assessment and reallocation

$ 279,478 Updated due to quarterly assessment and reallocation

$ 252,291 Updated due to quarterly assessment and reallocation

$ 204,745 Updated due to quarterly assessment and reallocation

$ 204,745 Transfer of cap due to servicing transfer

$ 159,817 Updated due to quarterly assessment and reallocation

$ 177,139 Updated due to quarterly assessment and reallocation

$ 176,770 Updated due to quarterly assessment and reallocation

$ 176,714 Transfer of cap due to servicing transfer

$ 175,736 Transfer of cap due to servicing transfer

$ 175,672 Transfer of cap due to servicing transfer

$ 175,179 Transfer of cap due to servicing transfer

$ 175,164 Transfer of cap due to servicing transfer

$ 158,744 Transfer of cap due to servicing transfer

10/26/2017 $ (2,036) $ 156,708 Transfer of cap due to servicing transfer

09/26/2017 $ (16,420)

07/26/2017 $ (15)

06/26/2017 $ (493)

04/26/2017 $ (64)

02/27/2017 $ (978)

12/27/2016 $ (56)

11/29/2016 $ (369)

11/07/2016 $ 17,322

10/25/2016 $ (44,928)

10/14/2016 -

09/28/2016 $ (47,546)

07/27/2016 $ (27,187)

06/27/2016 $ (27,179)

05/31/2016 $ (45,497)

04/14/2016 $ (70,000)

03/28/2016 $ (5,780)

03/16/2016 $ 20,000

02/25/2016 $ (251,560)

02/16/2016 $ 360,000

12/28/2015 $ (13,791)

11/16/2015 $ 10,000

09/28/2015 $ (16,383)

07/16/2015 $ 10,000

06/25/2015 $ (10,869)

04/28/2015 $ (45,568)

03/26/2015 $ (11,543)

12/29/2014 $ (30,607)

09/29/2014 $ (438)

08/14/2014 $ 60,000

07/29/2014 $ (1,069)

07/16/2014 $ 140,000

06/26/2014 $ (236)

06/16/2014 $ 80,000

05/15/2014 $ 20,000

03/26/2014 $ (2)

03/14/2014 $ 10,000

01/16/2014 Purchase Financial Instrument for Home Loan Modifications 01/16/2014 $ 100,000

07/14/2016 $ 10,000

09/16/2014 $ 20,000

06/16/2014 Purchase Financial Instrument for Home Loan Modifications 06/16/2014 $ 40,000

08/23/2012 $ (424,504)

06/28/2012 $ (4)

06/29/2011 $ (6)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 35,167

07/14/2010 $ (30,000)

03/26/2010 $ 50,000

12/30/2009 $ 130,000

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 150,000

10/25/2018 $ (62)

09/26/2018 $ (2)

08/27/2018 $ (2)

07/26/2018 $ (30,250)

06/21/2018 $ (104)

04/25/2018 $ (554)

03/22/2018 $ (280)

02/26/2018 $ (85)

12/21/2017 $ (1,736)

10/26/2017 $ (1,046)

09/26/2017 $ (8,358)

07/26/2017 $ (9)

06/26/2017 $ (298)

04/26/2017 $ (31)

02/27/2017 $ (474)

12/27/2016 $ (27)

11/29/2016 $ (114)

11/07/2016 $ 2,272

10/25/2016 $ (5,892)

09/28/2016 $ (6,167)

07/27/2016 $ (3,503)

109
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 154,587 Transfer of cap due to servicing transfer

$ 154,484 Transfer of cap due to servicing transfer

$ 154,148 Transfer of cap due to servicing transfer

$ 153,484 Transfer of cap due to servicing transfer

$ 153,360 Transfer of cap due to servicing transfer

$ 122,060 Reallocation due to MHA program deobligation

$ 122,058 Transfer of cap due to servicing transfer

$ 122,056 Transfer of cap due to servicing transfer

$ 121,992 Transfer of cap due to servicing transfer

Liberty Bank and Trust Co New Orleans LA $ 1,000,000 N/A $ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

$ 1,450,529 Updated due to quarterly assessment and reallocation

$ 1,450,512 Updated due to quarterly assessment and reallocation

$ 1,450,464 Updated due to quarterly assessment and reallocation

$ 1,450,456 Updated due to quarterly assessment and reallocation

$ 1,450,426 Updated due to quarterly assessment and reallocation

$ 1,450,415 Updated due to quarterly assessment and reallocation

$ 1,450,411 Updated due to quarterly assessment and reallocation

$ 1,443,453 Updated due to quarterly assessment and reallocation

$ 1,443,208 Updated due to quarterly assessment and reallocation

$ 1,440,321 Updated due to quarterly assessment and reallocation

$ 1,434,587 Updated due to quarterly assessment and reallocation

$ 1,432,693 Updated due to quarterly assessment and reallocation

$ 1,203,256 Updated due to quarterly assessment and reallocation

$ 1,116,968 Updated due to quarterly assessment and reallocation

$ 776,864 Updated due to quarterly assessment and reallocation

$ 696,205 Updated due to quarterly assessment and reallocation

$ 588,459 Updated due to quarterly assessment and reallocation

$ 508,718 Updated due to quarterly assessment and reallocation

$ 280,994 Reallocation due to MHA program deobligation

$ 276,237 Updated due to quarterly assessment and reallocation

$ 239,006 Updated due to quarterly assessment and reallocation

$ 216,765 Updated due to quarterly assessment and reallocation

$ 194,517 Updated due to quarterly assessment and reallocation

$ 155,610 Updated due to quarterly assessment and reallocation

$ 118,845 Updated due to quarterly assessment and reallocation

$ 133,019 Updated due to quarterly assessment and reallocation

$ 132,765 Updated due to quarterly assessment and reallocation

$ 132,726 Transfer of cap due to servicing transfer

$ 132,052 Transfer of cap due to servicing transfer

$ 132,008 Transfer of cap due to servicing transfer

$ 131,668 Transfer of cap due to servicing transfer

$ 131,658 Transfer of cap due to servicing transfer

- Termination of SPA

Liberty Savings Bank, FSB Wilmington OH - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

- Termination of SPA

Litton Loan Servicing, LP Houston TX $ 774,900,000 N/A $ 1,087,950,000 Updated portfolio data from servicer/additional program initial cap

$ 1,363,320,000 Updated portfolio data from servicer/additional program initial cap

$ 1,642,230,000 Updated portfolio data from servicer

$ 1,167,500,000 Updated portfolio data from servicer

$ 1,166,800,000 Transfer of cap due to servicing transfer

$ 1,165,800,000 Transfer of cap due to servicing transfer

$ 1,050,782,764 Updated portfolio data from servicer

$ 1,049,982,764 Transfer of cap due to servicing transfer

$ 1,050,782,764 Transfer of cap due to servicing transfer

$ 1,050,781,478 Updated due to quarterly assessment and reallocation

$ 1,059,581,478 Transfer of cap due to servicing transfer

$ 1,059,580,008 Updated due to quarterly assessment and reallocation

$ 1,056,280,008 Transfer of cap due to servicing transfer

$ 1,055,980,008 Transfer of cap due to servicing transfer

$ 1,055,280,008 Transfer of cap due to servicing transfer

$ 1,055,266,911 Updated due to quarterly assessment and reallocation

$ 1,055,066,911 Transfer of cap due to servicing transfer

$ 1,052,166,911 Transfer of cap due to servicing transfer

$ 1,051,866,911 Transfer of cap due to servicing transfer

$ 1,051,366,911 Transfer of cap due to servicing transfer

$ 1,048,766,911 Transfer of cap due to servicing transfer

$ 853,966,911 Transfer of cap due to servicing transfer

$ 853,566,911 Transfer of cap due to servicing transfer

$ 853,557,183 Updated due to quarterly assessment and reallocation

08/16/2012 $ (7,990,000) $ 845,567,183 Transfer of cap due to servicing transfer

06/28/2012 $ (9,728)

02/16/2012 $ (400,000)

01/13/2012 $ (194,800,000)

12/15/2011 $ (2,600,000)

11/16/2011 $ (500,000)

10/14/2011 $ (300,000)

09/15/2011 $ (2,900,000)

07/14/2011 $ (200,000)

06/29/2011 $ (13,097)

06/16/2011 $ (700,000)

05/13/2011 $ (300,000)

04/13/2011 $ (3,300,000)

03/30/2011 $ (1,470)

03/16/2011 $ 8,800,000

01/06/2011 $ (1,286)

12/15/2010 $ 800,000

10/15/2010 $ (800,000)

09/30/2010 $ (115,017,236)

09/15/2010 $ (1,000,000)

08/13/2010 $ (700,000)

07/14/2010 $ (474,730,000)

03/26/2010 $ 278,910,000

12/30/2009 $ 275,370,000

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 313,050,000

08/16/2017 $ (10,000)

12/16/2014 Purchase Financial Instrument for Home Loan Modifications 12/16/2014 $ 10,000

08/16/2017 $ (131,658)

07/26/2017 $ (10)

06/26/2017 $ (340)

04/26/2017 $ (44)

02/27/2017 $ (674)

12/27/2016 $ (39)

11/29/2016 $ (254)

11/07/2016 $ 14,174

10/25/2016 $ (36,765)

09/28/2016 $ (38,907)

07/27/2016 $ (22,248)

06/27/2016 $ (22,241)

05/31/2016 $ (37,231)

03/28/2016 $ (4,757)

02/25/2016 $ (227,724)

12/28/2015 $ (79,741)

09/28/2015 $ (107,746)

06/25/2015 $ (80,659)

04/28/2015 $ (340,104)

03/26/2015 $ (86,288)

12/29/2014 $ (229,437)

09/29/2014 $ (1,894)

07/29/2014 $ (5,734)

06/26/2014 $ (2,887)

03/26/2014 $ (245)

12/23/2013 $ (6,958)

09/27/2013 $ (4)

06/27/2013 $ (11)

03/25/2013 $ (30)

12/27/2012 $ (8)

09/27/2012 $ (48)

06/28/2012 $ (17)

06/29/2011 $ (23)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 450,556

10/25/2018 $ (64)

09/26/2018 $ (2)

08/27/2018 $ (2)

07/26/2018 $ (31,300)

06/21/2018 $ (124)

04/25/2018 $ (664)

03/22/2018 $ (336)

02/26/2018 $ (103)

12/21/2017 $ (2,121)

110
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 845,540,716 Updated due to quarterly assessment and reallocation

$ 845,536,250 Updated due to quarterly assessment and reallocation

$ 845,519,328 Updated due to quarterly assessment and reallocation

$ 845,512,942 Updated due to quarterly assessment and reallocation

$ 845,510,653 Updated due to quarterly assessment and reallocation

$ 845,450,653 Transfer of cap due to servicing transfer

$ 841,586,150 Updated due to quarterly assessment and reallocation

$ 841,556,150 Transfer of cap due to servicing transfer

12 $ 76,324,760 Termination of SPA

Los Alamos National Bank Los Alamos NM $ 700,000 N/A $ 740,000 Updated portfolio data from servicer/additional program initial cap

$ 790,000 Updated portfolio data from servicer

$ 2,100,000 Updated portfolio data from servicer

$ 2,175,834 Updated portfolio data from servicer

$ 2,175,831 Updated due to quarterly assessment and reallocation

$ 2,175,827 Updated due to quarterly assessment and reallocation

$ 2,175,792 Updated due to quarterly assessment and reallocation

$ 2,175,766 Updated due to quarterly assessment and reallocation

$ 2,175,696 Updated due to quarterly assessment and reallocation

$ 2,175,684 Updated due to quarterly assessment and reallocation

$ 2,175,639 Updated due to quarterly assessment and reallocation

$ 2,175,622 Updated due to quarterly assessment and reallocation

$ 2,175,616 Updated due to quarterly assessment and reallocation

$ 2,165,684 Updated due to quarterly assessment and reallocation

$ 2,165,338 Updated due to quarterly assessment and reallocation

$ 2,161,251 Updated due to quarterly assessment and reallocation

$ 2,153,132 Updated due to quarterly assessment and reallocation

$ 2,150,450 Updated due to quarterly assessment and reallocation

$ 1,844,275 Updated due to quarterly assessment and reallocation

$ 1,728,224 Updated due to quarterly assessment and reallocation

$ 1,377,372 Updated due to quarterly assessment and reallocation

$ 1,294,139 Updated due to quarterly assessment and reallocation

$ 1,182,955 Updated due to quarterly assessment and reallocation

$ 1,100,670 Updated due to quarterly assessment and reallocation

$ 834,613 Reallocation due to MHA program deobligation

$ 829,055 Updated due to quarterly assessment and reallocation

$ 781,787 Updated due to quarterly assessment and reallocation

$ 754,460 Updated due to quarterly assessment and reallocation

$ 725,985 Updated due to quarterly assessment and reallocation

$ 668,574 Updated due to quarterly assessment and reallocation

$ 602,657 Updated due to quarterly assessment and reallocation

$ 628,070 Updated due to quarterly assessment and reallocation

$ 627,371 Updated due to quarterly assessment and reallocation

$ 627,258 Transfer of cap due to servicing transfer

$ 625,177 Transfer of cap due to servicing transfer

$ 625,041 Transfer of cap due to servicing transfer

$ 623,992 Transfer of cap due to servicing transfer

$ 623,960 Transfer of cap due to servicing transfer

$ 595,354 Transfer of cap due to servicing transfer

$ 591,261 Transfer of cap due to servicing transfer

$ 586,997 Transfer of cap due to servicing transfer

$ 586,382 Transfer of cap due to servicing transfer

$ 584,376 Transfer of cap due to servicing transfer

$ 580,409 Transfer of cap due to servicing transfer

$ 579,665 Transfer of cap due to servicing transfer

$ 435,255 Reallocation due to MHA program deobligation

$ 435,247 Transfer of cap due to servicing transfer

$ 435,239 Transfer of cap due to servicing transfer

$ 434,942 Transfer of cap due to servicing transfer

6 $ 403,398 Termination of SPA

M&T Bank Buffalo NY $ 700,000 N/A $ 1,015,389 Updated portfolio data from servicer

$ 1,015,388 Updated due to quarterly assessment and reallocation

$ 1,015,387 Updated due to quarterly assessment and reallocation

$ 1,015,376 Updated due to quarterly assessment and reallocation

$ 1,015,365 Updated due to quarterly assessment and reallocation

$ 1,015,335 Updated due to quarterly assessment and reallocation

$ 1,015,330 Updated due to quarterly assessment and reallocation

$ 1,015,310 Updated due to quarterly assessment and reallocation

$ 1,015,303 Updated due to quarterly assessment and reallocation

$ 1,015,300 Updated due to quarterly assessment and reallocation

$ 1,010,919 Updated due to quarterly assessment and reallocation

$ 2,290,919 Transfer of cap due to servicing transfer

03/26/2014 $ 125,146 $ 2,416,065 Updated due to quarterly assessment and reallocation

02/13/2014 $ 1,280,000

12/23/2013 $ (4,381)

09/27/2013 $ (3)

06/27/2013 $ (7)

03/25/2013 $ (20)

12/27/2012 $ (5)

09/27/2012 $ (30)

06/28/2012 $ (11)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 315,389

09/12/2019 $ (31,544)

10/25/2018 $ (297)

09/26/2018 $ (8)

08/27/2018 $ (8)

07/26/2018 $ (144,410)

06/21/2018 $ (744)

04/25/2018 $ (3,967)

03/22/2018 $ (2,006)

02/26/2018 $ (615)

12/21/2017 $ (4,264)

10/26/2017 $ (4,093)

09/26/2017 $ (28,606)

07/26/2017 $ (32)

06/26/2017 $ (1,049)

04/26/2017 $ (136)

02/27/2017 $ (2,081)

12/27/2016 $ (113)

11/29/2016 $ (699)

11/07/2016 $ 25,413

10/25/2016 $ (65,917)

09/28/2016 $ (57,411)

07/27/2016 $ (28,475)

06/27/2016 $ (27,327)

05/31/2016 $ (47,268)

03/28/2016 $ (5,558)

02/25/2016 $ (266,057)

12/28/2015 $ (82,285)

09/28/2015 $ (111,184)

06/25/2015 $ (83,233)

04/28/2015 $ (350,852)

03/26/2015 $ (116,051)

12/29/2014 $ (306,175)

09/29/2014 $ (2,682)

07/29/2014 $ (8,119)

06/26/2014 $ (4,087)

03/26/2014 $ (346)

12/23/2013 $ (9,932)

09/27/2013 $ (6)

06/27/2013 $ (17)

03/25/2013 $ (45)

12/27/2012 $ (12)

09/27/2012 $ (70)

06/28/2012 $ (26)

06/29/2011 $ (35)

03/30/2011 $ (4)

01/06/2011 $ (3)

09/30/2010 $ 75,834

07/14/2010 $ 1,310,000

03/26/2010 $ 50,000

11/06/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 40,000

01/31/2014 $ (765,231,390)

01/16/2014 $ (30,000)

12/23/2013 $ (3,864,503)

12/16/2013 $ (60,000)

09/27/2013 $ (2,289)

06/27/2013 $ (6,386)

03/25/2013 $ (16,922)

12/27/2012 $ (4,466)

09/27/2012 $ (26,467)

111
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,436,065 Transfer of cap due to servicing transfer

$ 2,516,065 Transfer of cap due to servicing transfer

$ 2,656,065 Transfer of cap due to servicing transfer

$ 2,886,781 Updated due to quarterly assessment and reallocation

$ 3,575,101 Updated due to quarterly assessment and reallocation

$ 5,885,101 Transfer of cap due to servicing transfer

$ 5,905,101 Transfer of cap due to servicing transfer

$ 7,373,965 Updated due to quarterly assessment and reallocation

$ 7,433,965 Transfer of cap due to servicing transfer

$ 13,350,693 Updated due to quarterly assessment and reallocation

$ 17,143,872 Updated due to quarterly assessment and reallocation

$ 16,889,896 Updated due to quarterly assessment and reallocation

$ 19,617,693 Updated due to quarterly assessment and reallocation

$ 24,561,405 Updated due to quarterly assessment and reallocation

$ 25,391,405 Transfer of cap due to servicing transfer

$ 25,411,405 Transfer of cap due to servicing transfer

$ 25,298,976 Updated due to quarterly assessment and reallocation

$ 26,478,976 Transfer of cap due to servicing transfer

$ 24,175,308 Reallocation due to MHA program deobligation

$ 24,130,503 Updated due to quarterly assessment and reallocation

$ 24,140,503 Transfer of cap due to servicing transfer

$ 24,588,515 Updated due to quarterly assessment and reallocation

$ 25,888,338 Updated due to quarterly assessment and reallocation

$ 25,874,456 Updated due to quarterly assessment and reallocation

$ 25,593,972 Updated due to quarterly assessment and reallocation

$ 25,613,972 Transfer of cap due to servicing transfer

$ 24,933,609 Updated due to quarterly assessment and reallocation

$ 25,195,913 Updated due to quarterly assessment and reallocation

$ 25,178,768 Updated due to quarterly assessment and reallocation

$ 24,708,768 Transfer of cap due to servicing transfer

$ 24,705,820 Transfer of cap due to servicing transfer

$ 24,647,744 Transfer of cap due to servicing transfer

$ 24,645,191 Transfer of cap due to servicing transfer

$ 24,631,090 Transfer of cap due to servicing transfer

$ 24,630,676 Transfer of cap due to servicing transfer

$ 24,563,590 Transfer of cap due to servicing transfer

$ 24,527,554 Transfer of cap due to servicing transfer

$ 24,448,996 Transfer of cap due to servicing transfer

$ 24,444,743 Transfer of cap due to servicing transfer

$ 24,429,831 Transfer of cap due to servicing transfer

$ 24,397,473 Transfer of cap due to servicing transfer

$ 24,388,401 Transfer of cap due to servicing transfer

$ 20,336,811 Reallocation due to MHA program deobligation

$ 20,336,554 Transfer of cap due to servicing transfer

$ 20,336,250 Transfer of cap due to servicing transfer

$ 20,324,664 Transfer of cap due to servicing transfer

$ 33,004,080 Reallocation due to MHA program deobligation

Magna Bank Germantown TN $ 1,400,000 N/A $ 2,030,778 Updated portfolio data from servicer

$ 2,030,775 Updated due to quarterly assessment and reallocation

$ 2,030,772 Updated due to quarterly assessment and reallocation

$ 2,030,739 Updated due to quarterly assessment and reallocation

$ 2,030,714 Updated due to quarterly assessment and reallocation

$ 2,030,646 Updated due to quarterly assessment and reallocation

$ 2,030,635 Updated due to quarterly assessment and reallocation

$ 2,030,591 Updated due to quarterly assessment and reallocation

$ 2,030,575 Updated due to quarterly assessment and reallocation

$ 2,030,569 Updated due to quarterly assessment and reallocation

$ 2,020,622 Updated due to quarterly assessment and reallocation

$ 2,020,272 Updated due to quarterly assessment and reallocation

$ 2,016,145 Updated due to quarterly assessment and reallocation

$ 2,007,947 Updated due to quarterly assessment and reallocation

$ 2,005,239 Updated due to quarterly assessment and reallocation

$ 1,677,232 Updated due to quarterly assessment and reallocation

$ 1,553,874 Updated due to quarterly assessment and reallocation

$ 1,067,655 Updated due to quarterly assessment and reallocation

$ 952,343 Updated due to quarterly assessment and reallocation

$ 798,308 Updated due to quarterly assessment and reallocation

$ 684,310 Updated due to quarterly assessment and reallocation

$ 358,753 Reallocation due to MHA program deobligation

$ 351,953 Updated due to quarterly assessment and reallocation

$ 298,727 Updated due to quarterly assessment and reallocation

06/27/2016 $ (31,796) $ 266,931 Updated due to quarterly assessment and reallocation

05/31/2016 $ (53,226)

03/28/2016 $ (6,800)

02/25/2016 $ (325,557)

12/28/2015 $ (113,998)

09/28/2015 $ (154,035)

06/25/2015 $ (115,312)

04/28/2015 $ (486,219)

03/26/2015 $ (123,358)

12/29/2014 $ (328,007)

09/29/2014 $ (2,708)

07/29/2014 $ (8,198)

06/26/2014 $ (4,127)

03/26/2014 $ (350)

12/23/2013 $ (9,947)

09/27/2013 $ (6)

06/27/2013 $ (16)

03/25/2013 $ (44)

12/27/2012 $ (11)

09/27/2012 $ (68)

06/28/2012 $ (25)

06/29/2011 $ (33)

03/30/2011 $ (3)

01/06/2011 $ (3)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 630,778

08/22/2019 $ 12,679,416

10/25/2018 $ (11,586)

09/26/2018 $ (304)

08/27/2018 $ (257)

07/26/2018 $ (4,051,590)

06/21/2018 $ (9,072)

04/25/2018 $ (32,358)

03/22/2018 $ (14,912)

02/26/2018 $ (4,253)

12/21/2017 $ (78,558)

10/26/2017 $ (36,036)

09/26/2017 $ (67,086)

07/26/2017 $ (414)

06/26/2017 $ (14,101)

04/26/2017 $ (2,553)

02/27/2017 $ (58,076)

12/27/2016 $ (2,948)

12/15/2016 $ (470,000)

11/29/2016 $ (17,145)

11/07/2016 $ 262,304

10/25/2016 $ (680,363)

10/14/2016 $ 20,000

09/28/2016 $ (280,484)

07/27/2016 $ (13,882)

06/27/2016 $ 1,299,823

05/31/2016 $ 448,012

05/16/2016 $ 10,000

03/28/2016 $ (44,805)

02/25/2016 $ (2,303,668)

02/16/2016 $ 1,180,000

12/28/2015 $ (112,429)

12/16/2015 $ 20,000

11/16/2015 $ 830,000

09/28/2015 $ 4,943,712

06/25/2015 $ 2,727,797

04/28/2015 $ (253,976)

03/26/2015 $ 3,793,179

12/29/2014 $ 5,916,728

11/14/2014 $ 60,000

09/29/2014 $ 1,468,864

09/16/2014 $ 20,000

08/14/2014 $ 2,310,000

07/29/2014 $ 688,320

06/26/2014 $ 230,716

06/16/2014 $ 140,000

05/15/2014 $ 80,000

04/16/2014 $ 20,000

112
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 235,125 Updated due to quarterly assessment and reallocation

- Termination of SPA

Mainsource Bank Greensburg IN $ 1 N/A 3 $ 5,556 Updated due to quarterly assessment and reallocation

$ 5,882 Transfer of cap due to servicing transfer

Mainstreet Credit Union Lexena KS $ 500,000 N/A $ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

- Termination of SPA

Marix Servicing, LLC Phoenix AZ $ 20,360,000 N/A $ 21,310,000 Updated portfolio data from servicer/additional program initial cap

$ 3,430,000 Updated portfolio data from servicer

$ 4,460,000 Transfer of cap due to servicing transfer

$ 3,300,000 Updated portfolio data from servicer

$ 4,100,000 Transfer of cap due to servicing transfer

$ 4,300,000 Updated portfolio data from servicer/additional program initial cap

$ 5,657,168 Updated portfolio data from servicer

$ 5,657,167 Updated due to quarterly assessment and reallocation

$ 11,357,167 Transfer of cap due to servicing transfer

$ 11,357,161 Updated due to quarterly assessment and reallocation

$ 18,657,161 Transfer of cap due to servicing transfer

$ 18,957,161 Transfer of cap due to servicing transfer

$ 19,857,161 Transfer of cap due to servicing transfer

$ 19,857,007 Updated due to quarterly assessment and reallocation

$ 19,957,007 Transfer of cap due to servicing transfer

$ 20,257,007 Transfer of cap due to servicing transfer

$ 18,757,007 Transfer of cap due to servicing transfer

$ 16,657,007 Transfer of cap due to servicing transfer

$ 15,357,007 Transfer of cap due to servicing transfer

$ 7,007,007 Transfer of cap due to servicing transfer

$ 7,006,969 Updated due to quarterly assessment and reallocation

$ 6,916,969 Transfer of cap due to servicing transfer

$ 6,916,866 Updated due to quarterly assessment and reallocation

$ 5,896,866 Transfer of cap due to servicing transfer

$ 6,066,866 Transfer of cap due to servicing transfer

$ 6,066,851 Updated due to quarterly assessment and reallocation

$ 5,966,851 Transfer of cap due to servicing transfer

$ 5,476,851 Transfer of cap due to servicing transfer

$ 5,476,790 Updated due to quarterly assessment and reallocation

$ 5,466,790 Transfer of cap due to servicing transfer

$ 5,436,790 Transfer of cap due to servicing transfer

$ 5,426,790 Transfer of cap due to servicing transfer

$ 5,426,767 Updated due to quarterly assessment and reallocation

$ 5,406,767 Transfer of cap due to servicing transfer

$ 5,406,759 Updated due to quarterly assessment and reallocation

$ 5,392,825 Updated due to quarterly assessment and reallocation

$ 5,392,335 Updated due to quarterly assessment and reallocation

$ 5,386,554 Updated due to quarterly assessment and reallocation

$ 5,375,071 Updated due to quarterly assessment and reallocation

$ 5,371,278 Updated due to quarterly assessment and reallocation

$ 4,911,825 Updated due to quarterly assessment and reallocation

$ 4,739,032 Updated due to quarterly assessment and reallocation

$ 4,057,966 Updated due to quarterly assessment and reallocation

$ 3,896,444 Updated due to quarterly assessment and reallocation

$ 3,680,680 Updated due to quarterly assessment and reallocation

$ 3,520,998 Updated due to quarterly assessment and reallocation

$ 2,976,403 Reallocation due to MHA program deobligation

$ 2,965,027 Updated due to quarterly assessment and reallocation

$ 2,875,990 Updated due to quarterly assessment and reallocation

$ 2,822,801 Updated due to quarterly assessment and reallocation

$ 2,769,596 Updated due to quarterly assessment and reallocation

$ 2,676,550 Updated due to quarterly assessment and reallocation

$ 2,588,628 Updated due to quarterly assessment and reallocation

$ 2,622,525 Updated due to quarterly assessment and reallocation

$ 2,620,828 Updated due to quarterly assessment and reallocation

$ 2,620,569 Transfer of cap due to servicing transfer

$ 2,616,074 Transfer of cap due to servicing transfer

$ 2,615,779 Transfer of cap due to servicing transfer

$ 2,613,514 Transfer of cap due to servicing transfer

$ 2,613,445 Transfer of cap due to servicing transfer

$ 2,583,543 Transfer of cap due to servicing transfer

$ 2,579,835 Transfer of cap due to servicing transfer

$ 2,575,972 Transfer of cap due to servicing transfer

$ 2,575,784 Transfer of cap due to servicing transfer

03/22/2018 $ (611) $ 2,575,173 Transfer of cap due to servicing transfer

02/26/2018 $ (188)

12/21/2017 $ (3,863)

10/26/2017 $ (3,708)

09/26/2017 $ (29,902)

07/26/2017 $ (69)

06/26/2017 $ (2,265)

04/26/2017 $ (295)

02/27/2017 $ (4,495)

12/27/2016 $ (259)

11/29/2016 $ (1,697)

11/07/2016 $ 33,897

10/25/2016 $ (87,922)

09/28/2016 $ (93,046)

07/27/2016 $ (53,205)

06/27/2016 $ (53,189)

05/31/2016 $ (89,037)

03/28/2016 $ (11,376)

02/25/2016 $ (544,595)

12/28/2015 $ (159,682)

09/28/2015 $ (215,764)

06/25/2015 $ (161,522)

04/28/2015 $ (681,066)

03/26/2015 $ (172,793)

12/29/2014 $ (459,453)

09/29/2014 $ (3,793)

07/29/2014 $ (11,483)

06/26/2014 $ (5,781)

03/26/2014 $ (490)

12/23/2013 $ (13,934)

09/27/2013 $ (8)

07/16/2013 $ (20,000)

06/27/2013 $ (23)

06/14/2013 $ (10,000)

05/16/2013 $ (30,000)

04/16/2013 $ (10,000)

03/25/2013 $ (61)

03/14/2013 $ (490,000)

02/14/2013 $ (100,000)

12/27/2012 $ (15)

11/15/2012 $ 170,000

10/16/2012 $ (1,020,000)

09/27/2012 $ (103)

08/16/2012 $ (90,000)

06/28/2012 $ (38)

06/14/2012 $ (8,350,000)

04/16/2012 $ (1,300,000)

02/16/2012 $ (2,100,000)

01/13/2012 $ (1,500,000)

08/16/2011 $ 300,000

07/14/2011 $ 100,000

06/29/2011 $ (154)

06/16/2011 $ 900,000

05/13/2011 $ 300,000

04/13/2011 $ 7,300,000

03/30/2011 $ (6)

03/16/2011 $ 5,700,000

01/06/2011 $ (1)

09/30/2010 $ 1,357,168

09/30/2010 $ 200,000

08/13/2010 $ 800,000

07/14/2010 $ (1,160,000)

06/16/2010 $ 1,030,000

03/26/2010 $ (17,880,000)

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 950,000

03/09/2011 $ (725,277)

01/06/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 225,278

09/26/2017 $ 326

06/15/2017 Purchase Financial Instrument for Home Loan Modifications 06/26/2017 $ 5,555

08/04/2016 $ (235,125)

07/27/2016 $ (31,806)

113
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,573,964 Transfer of cap due to servicing transfer

$ 2,573,737 Transfer of cap due to servicing transfer

$ 2,226,302 Reallocation due to MHA program deobligation

$ 2,226,283 Transfer of cap due to servicing transfer

$ 2,226,263 Transfer of cap due to servicing transfer

$ 2,225,547 Transfer of cap due to servicing transfer

Marsh Associates, Inc. Charlotte NC $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,053 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 85,052 Transfer of cap due to servicing transfer

6 $ 20,337 Termination of SPA

Maryland Community Development 

Administration Lanham MD - N/A 3 $ 470,000 Transfer of cap due to servicing transfer

$ 478,805 Transfer of cap due to servicing transfer

$ 476,810 Transfer of cap due to servicing transfer

$ 476,665 Transfer of cap due to servicing transfer

$ 475,397 Transfer of cap due to servicing transfer

$ 475,359 Transfer of cap due to servicing transfer

$ 433,503 Transfer of cap due to servicing transfer

$ 428,270 Transfer of cap due to servicing transfer

$ 426,875 Transfer of cap due to servicing transfer

$ 426,804 Transfer of cap due to servicing transfer

$ 426,569 Transfer of cap due to servicing transfer

$ 426,101 Transfer of cap due to servicing transfer

$ 425,934 Transfer of cap due to servicing transfer

$ 355,903 Reallocation due to MHA program deobligation

$ 355,899 Transfer of cap due to servicing transfer

$ 355,893 Transfer of cap due to servicing transfer

$ 355,686 Transfer of cap due to servicing transfer

Matrix Financial Services Corp Phoenix AZ - N/A 3 $ 500,000 Transfer of cap due to servicing transfer

$ 495,221 Transfer of cap due to servicing transfer

$ 494,892 Transfer of cap due to servicing transfer

$ 492,439 Transfer of cap due to servicing transfer

$ 492,365 Transfer of cap due to servicing transfer

$ 397,626 Transfer of cap due to servicing transfer

$ 384,802 Transfer of cap due to servicing transfer

$ 370,638 Transfer of cap due to servicing transfer

$ 369,950 Transfer of cap due to servicing transfer

$ 367,582 Transfer of cap due to servicing transfer

$ 362,900 Transfer of cap due to servicing transfer

$ 362,021 Transfer of cap due to servicing transfer

$ 232,217 Reallocation due to MHA program deobligation

$ 232,210 Transfer of cap due to servicing transfer

$ 232,202 Transfer of cap due to servicing transfer

$ 231,933 Transfer of cap due to servicing transfer

Members Mortgage Company, Inc Woburn MA $ 510,000 N/A - Termination of SPA

Metropolitan National Bank Little Rock AR $ 280,000 N/A $ 350,000 Updated portfolio data from servicer/additional program initial cap

$ 970,000 Updated portfolio data from servicer/additional program initial cap

$ 1,070,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

- Termination of SPA

Mid America Mortgage, Inc. (Schmidt 

Mortgage Company) Rocky River OH $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

02/25/2016 $ (7,597) $ 106,038 Reallocation due to MHA program deobligation

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

01/26/2011 $ (435,166)

01/06/2011 $ (1)

09/30/2010 $ 35,167

07/14/2010 $ (670,000)

03/26/2010 $ 100,000

12/30/2009 $ 620,000

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 70,000

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (510,000)

10/25/2018 $ (269)

09/26/2018 $ (8)

08/27/2018 $ (7)

07/26/2018 $ (129,804)

06/21/2018 $ (879)

04/25/2018 $ (4,682)

03/22/2018 $ (2,368)

02/26/2018 $ (688)

12/21/2017 $ (14,164)

10/26/2017 $ (12,824)

09/26/2017 $ (94,739)

07/26/2017 $ (74)

06/26/2017 $ (2,453)

04/26/2017 $ (329)

02/27/2017 $ (4,779)

01/13/2017 Purchase Financial Instrument for Home Loan Modifications 01/13/2017 $ 500,000

10/25/2018 $ (207)

09/26/2018 $ (6)

08/27/2018 $ (4)

07/26/2018 $ (70,031)

06/21/2018 $ (167)

04/25/2018 $ (468)

03/22/2018 $ (235)

02/26/2018 $ (71)

12/21/2017 $ (1,395)

10/26/2017 $ (5,233)

09/26/2017 $ (41,856)

07/26/2017 $ (38)

06/26/2017 $ (1,268)

04/26/2017 $ (145)

02/27/2017 $ (1,995)

12/27/2016 $ 8,805

12/15/2016 Purchase Financial Instrument for Home Loan Modifications 12/15/2016 $ 470,000

09/12/2019 $ (64,715)

10/15/2013 $ (60,000)

03/25/2013 $ (1)

09/27/2012 $ (1)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

10/25/2018 $ (716)

09/26/2018 $ (20)

08/27/2018 $ (19)

07/26/2018 $ (347,435)

06/21/2018 $ (227)

04/25/2018 $ (1,209)

114
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

- Termination of SPA

MidFirst Bank (Midland Mortgage Co.) Oklahoma City OK $ 43,500,000 N/A $ 93,415,806 Updated portfolio data from servicer

$ 93,415,681 Updated due to quarterly assessment and reallocation

$ 93,415,542 Updated due to quarterly assessment and reallocation

$ 93,414,319 Updated due to quarterly assessment and reallocation

$ 93,413,522 Updated due to quarterly assessment and reallocation

$ 387,953,522 Transfer of cap due to servicing transfer

$ 124,403,522 Transfer of cap due to servicing transfer

$ 124,400,352 Updated due to quarterly assessment and reallocation

$ 124,399,845 Updated due to quarterly assessment and reallocation

$ 124,398,116 Updated due to quarterly assessment and reallocation

$ 124,397,523 Updated due to quarterly assessment and reallocation

$ 124,397,324 Updated due to quarterly assessment and reallocation

$ 124,117,263 Updated due to quarterly assessment and reallocation

$ 124,108,329 Updated due to quarterly assessment and reallocation

$ 124,012,977 Updated due to quarterly assessment and reallocation

$ 154,905,162 Updated due to quarterly assessment and reallocation

$ 154,895,917 Updated due to quarterly assessment and reallocation

$ 230,510,241 Updated due to quarterly assessment and reallocation

$ 230,269,873 Updated due to quarterly assessment and reallocation

$ 229,590,468 Updated due to quarterly assessment and reallocation

$ 256,670,468 Transfer of cap due to servicing transfer

$ 264,920,468 Transfer of cap due to servicing transfer

$ 264,833,089 Updated due to quarterly assessment and reallocation

$ 278,753,089 Transfer of cap due to servicing transfer

$ 312,970,599 Updated due to quarterly assessment and reallocation

$ 315,070,599 Transfer of cap due to servicing transfer

$ 327,498,892 Updated due to quarterly assessment and reallocation

$ 319,278,360 Reallocation due to MHA program deobligation

$ 319,198,360 Updated due to quarterly assessment and reallocation

$ 322,518,360 Transfer of cap due to servicing transfer

$ 322,502,552 Updated due to quarterly assessment and reallocation

$ 328,642,792 Updated due to quarterly assessment and reallocation

$ 331,597,718 Updated due to quarterly assessment and reallocation

$ 334,067,718 Transfer of cap due to servicing transfer

$ 338,997,886 Updated due to quarterly assessment and reallocation

$ 342,862,254 Updated due to quarterly assessment and reallocation

$ 342,862,254 Updated due to quarterly assessment and reallocation

$ 342,737,747 Updated due to quarterly assessment and reallocation

$ 343,957,747 Transfer of cap due to servicing transfer

$ 343,938,797 Transfer of cap due to servicing transfer

$ 343,576,441 Transfer of cap due to servicing transfer

$ 343,547,791 Transfer of cap due to servicing transfer

$ 343,344,085 Transfer of cap due to servicing transfer

$ 343,337,212 Transfer of cap due to servicing transfer

$ 339,759,548 Transfer of cap due to servicing transfer

$ 338,974,585 Transfer of cap due to servicing transfer

$ 337,628,433 Transfer of cap due to servicing transfer

$ 337,525,194 Transfer of cap due to servicing transfer

$ 337,149,348 Transfer of cap due to servicing transfer

$ 336,364,937 Transfer of cap due to servicing transfer

$ 336,194,292 Transfer of cap due to servicing transfer

$ 275,997,777 Reallocation due to MHA program deobligation

$ 275,993,948 Transfer of cap due to servicing transfer

$ 275,989,400 Transfer of cap due to servicing transfer

$ 275,808,999 Transfer of cap due to servicing transfer

Midwest Bank and Trust Co. Elmwood Park IL $ 300,000 N/A $ 600,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

03/30/2011 $ (1) $ 580,220 Updated due to quarterly assessment and reallocation

01/06/2011 $ (1)

09/30/2010 $ (19,778)

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ 300,000

10/25/2018 $ (180,401)

09/26/2018 $ (4,548)

08/27/2018 $ (3,829)

07/26/2018 $ (60,196,515)

06/21/2018 $ (170,645)

04/25/2018 $ (784,411)

03/22/2018 $ (375,846)

02/26/2018 $ (103,239)

12/21/2017 $ (1,346,152)

10/26/2017 $ (784,963)

09/26/2017 $ (3,577,664)

07/26/2017 $ (6,873)

06/26/2017 $ (203,706)

04/26/2017 $ (28,650)

02/27/2017 $ (362,356)

12/27/2016 $ (18,950)

12/15/2016 $ 1,220,000

11/29/2016 $ (124,507)

11/07/2016 -

10/25/2016 $ 3,864,368

09/28/2016 $ 4,930,168

08/16/2016 $ 2,470,000

07/27/2016 $ 2,954,926

06/27/2016 $ 6,140,240

05/31/2016 $ (15,808)

04/14/2016 $ 3,320,000

03/28/2016 $ (80,000)

02/25/2016 $ (8,220,532)

12/28/2015 $ 12,428,293

12/16/2015 $ 2,100,000

09/28/2015 $ 34,217,510

08/14/2015 $ 13,920,000

06/25/2015 $ (87,379)

06/16/2015 $ 8,250,000

05/14/2015 $ 27,080,000

04/28/2015 $ (679,405)

03/26/2015 $ (240,368)

12/29/2014 $ 75,614,324

09/29/2014 $ (9,245)

07/29/2014 $ 30,892,185

06/26/2014 $ (95,352)

03/26/2014 $ (8,934)

12/23/2013 $ (280,061)

09/27/2013 $ (199)

06/27/2013 $ (593)

03/25/2013 $ (1,729)

12/27/2012 $ (507)

09/27/2012 $ (3,170)

07/27/2012 $ (263,550,000)

07/16/2012 $ 294,540,000

06/28/2012 $ (797)

06/29/2011 $ (1,223)

03/30/2011 $ (139)

01/06/2011 $ (125)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 49,915,806

06/15/2017 $ (101,069)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

115
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 580,212 Updated due to quarterly assessment and reallocation

- Termination of SPA

Midwest Community Bank Freeport IL $ 400,000 N/A $ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,186 Updated due to quarterly assessment and reallocation

$ 580,175 Updated due to quarterly assessment and reallocation

$ 580,171 Updated due to quarterly assessment and reallocation

$ 580,170 Updated due to quarterly assessment and reallocation

$ 577,696 Updated due to quarterly assessment and reallocation

$ 577,609 Updated due to quarterly assessment and reallocation

$ 576,582 Updated due to quarterly assessment and reallocation

$ 574,543 Updated due to quarterly assessment and reallocation

$ 573,870 Updated due to quarterly assessment and reallocation

$ 492,288 Updated due to quarterly assessment and reallocation

$ 461,606 Updated due to quarterly assessment and reallocation

$ 340,674 Updated due to quarterly assessment and reallocation

$ 311,994 Updated due to quarterly assessment and reallocation

$ 273,682 Updated due to quarterly assessment and reallocation

$ 245,329 Updated due to quarterly assessment and reallocation

$ 164,357 Reallocation due to MHA program deobligation

$ 162,666 Updated due to quarterly assessment and reallocation

$ 149,428 Updated due to quarterly assessment and reallocation

$ 141,520 Updated due to quarterly assessment and reallocation

$ 133,609 Updated due to quarterly assessment and reallocation

$ 119,774 Updated due to quarterly assessment and reallocation

$ 106,701 Updated due to quarterly assessment and reallocation

$ 111,741 Updated due to quarterly assessment and reallocation

$ 111,651 Updated due to quarterly assessment and reallocation

$ 111,637 Transfer of cap due to servicing transfer

$ 111,397 Transfer of cap due to servicing transfer

$ 111,381 Transfer of cap due to servicing transfer

$ 111,260 Transfer of cap due to servicing transfer

$ 111,256 Transfer of cap due to servicing transfer

$ 106,440 Transfer of cap due to servicing transfer

$ 105,843 Transfer of cap due to servicing transfer

$ 105,221 Transfer of cap due to servicing transfer

$ 105,191 Transfer of cap due to servicing transfer

$ 105,093 Transfer of cap due to servicing transfer

$ 104,898 Transfer of cap due to servicing transfer

$ 104,861 Transfer of cap due to servicing transfer

$ 100,759 Reallocation due to MHA program deobligation

$ 100,751 Transfer of cap due to servicing transfer

Mission Federal Credit Union San Diego CA $ 860,000 N/A $ 370,000 Updated portfolio data from servicer/additional program initial cap

$ 7,120,000 Updated portfolio data from servicer/additional program initial cap

$ 780,000 Updated portfolio data from servicer

$ 600,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,273 Updated due to quarterly assessment and reallocation

$ 725,272 Updated due to quarterly assessment and reallocation

$ 725,271 Updated due to quarterly assessment and reallocation

$ 772,934 Updated due to quarterly assessment and reallocation

$ 772,785 Updated due to quarterly assessment and reallocation

$ 772,780 Updated due to quarterly assessment and reallocation

$ 772,716 Updated due to quarterly assessment and reallocation

$ 772,697 Updated due to quarterly assessment and reallocation

$ 772,690 Updated due to quarterly assessment and reallocation

$ 993,848 Updated due to quarterly assessment and reallocation

$ 992,968 Updated due to quarterly assessment and reallocation

$ 990,138 Updated due to quarterly assessment and reallocation

$ 988,102 Updated due to quarterly assessment and reallocation

$ 1,003,395 Updated due to quarterly assessment and reallocation

$ 1,025,609 Updated due to quarterly assessment and reallocation

$ 991,886 Reallocation due to MHA program deobligation

$ 991,179 Updated due to quarterly assessment and reallocation

$ 985,645 Updated due to quarterly assessment and reallocation

$ 982,339 Updated due to quarterly assessment and reallocation

07/27/2016 $ (3,325) $ 979,014 Updated due to quarterly assessment and reallocation

06/27/2016 $ (3,306)

05/31/2016 $ (5,534)

03/28/2016 $ (707)

02/25/2016 $ (33,723)

12/28/2015 $ 22,214

09/28/2015 $ 15,293

06/25/2015 $ (2,036)

04/28/2015 $ (2,830)

03/26/2015 $ (880)

12/29/2014 $ 221,158

09/29/2014 $ (7)

07/29/2014 $ (19)

06/26/2014 $ (64)

03/26/2014 $ (5)

12/23/2013 $ (149)

03/25/2013 $ 47,663

09/27/2012 $ (1)

06/28/2012 $ (1)

06/29/2011 $ (4)

03/30/2011 $ (1)

09/30/2010 $ 125,278

07/14/2010 $ (180,000)

03/26/2010 $ (6,340,000)

12/30/2009 $ 6,750,000

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (490,000)

10/25/2018 $ (8)

07/26/2018 $ (4,102)

06/21/2018 $ (37)

04/25/2018 $ (195)

03/22/2018 $ (98)

02/26/2018 $ (30)

12/21/2017 $ (622)

10/26/2017 $ (597)

09/26/2017 $ (4,816)

07/26/2017 $ (4)

06/26/2017 $ (121)

04/26/2017 $ (16)

02/27/2017 $ (240)

12/27/2016 $ (14)

11/29/2016 $ (90)

11/07/2016 $ 5,040

10/25/2016 $ (13,073)

09/28/2016 $ (13,835)

07/27/2016 $ (7,911)

06/27/2016 $ (7,908)

05/31/2016 $ (13,238)

03/28/2016 $ (1,691)

02/25/2016 $ (80,972)

12/28/2015 $ (28,353)

09/28/2015 $ (38,312)

06/25/2015 $ (28,680)

04/28/2015 $ (120,932)

03/26/2015 $ (30,682)

12/29/2014 $ (81,582)

09/29/2014 $ (673)

07/29/2014 $ (2,039)

06/26/2014 $ (1,027)

03/26/2014 $ (87)

12/23/2013 $ (2,474)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (11)

12/27/2012 $ (3)

09/27/2012 $ (17)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 180,222

07/14/2011 $ (580,212)

06/29/2011 $ (8)

116
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 970,777 Updated due to quarterly assessment and reallocation

$ 1,000,239 Updated due to quarterly assessment and reallocation

$ 1,000,239 Updated due to quarterly assessment and reallocation

$ 999,811 Updated due to quarterly assessment and reallocation

$ 999,752 Transfer of cap due to servicing transfer

$ 998,847 Transfer of cap due to servicing transfer

$ 998,758 Transfer of cap due to servicing transfer

$ 998,075 Transfer of cap due to servicing transfer

$ 998,054 Transfer of cap due to servicing transfer

$ 994,331 Transfer of cap due to servicing transfer

$ 993,869 Transfer of cap due to servicing transfer

$ 993,388 Transfer of cap due to servicing transfer

$ 993,365 Transfer of cap due to servicing transfer

$ 993,289 Transfer of cap due to servicing transfer

$ 993,138 Transfer of cap due to servicing transfer

$ 993,108 Transfer of cap due to servicing transfer

$ 864,564 Reallocation due to MHA program deobligation

$ 864,557 Transfer of cap due to servicing transfer

$ 864,550 Transfer of cap due to servicing transfer

$ 864,285 Transfer of cap due to servicing transfer

MorEquity, Inc. Evansville IN $ 23,480,000 N/A $ 42,010,000 Updated portfolio data from servicer/additional program initial cap

$ 66,520,000 Updated portfolio data from servicer/additional program initial cap

$ 84,880,000 Updated portfolio data from servicer

$ 62,300,000 Updated portfolio data from servicer

$ 54,105,739 Updated portfolio data from servicer

$ 54,105,702 Updated due to quarterly assessment and reallocation

$ 24,705,702 Transfer of cap due to servicing transfer

$ 24,705,668 Updated due to quarterly assessment and reallocation

5 $ 4,628,165 Termination of SPA

Mortgage Center, LLC Southfield MI $ 4,210,000 N/A $ 5,990,000 Updated portfolio data from servicer/additional program initial cap

$ 8,830,000 Updated portfolio data from servicer/additional program initial cap

$ 11,630,000 Updated portfolio data from servicer

$ 5,900,000 Updated portfolio data from servicer

$ 8,558,280 Updated portfolio data from servicer

$ 8,558,268 Updated due to quarterly assessment and reallocation

$ 8,558,254 Updated due to quarterly assessment and reallocation

$ 8,558,125 Updated due to quarterly assessment and reallocation

$ 8,558,031 Updated due to quarterly assessment and reallocation

$ 8,557,775 Updated due to quarterly assessment and reallocation

$ 8,557,732 Updated due to quarterly assessment and reallocation

$ 8,557,570 Updated due to quarterly assessment and reallocation

$ 8,557,510 Updated due to quarterly assessment and reallocation

$ 8,557,489 Updated due to quarterly assessment and reallocation

$ 8,521,738 Updated due to quarterly assessment and reallocation

$ 8,520,492 Updated due to quarterly assessment and reallocation

$ 8,505,832 Updated due to quarterly assessment and reallocation

$ 8,476,846 Updated due to quarterly assessment and reallocation

$ 8,467,356 Updated due to quarterly assessment and reallocation

$ 7,457,995 Updated due to quarterly assessment and reallocation

$ 7,081,866 Updated due to quarterly assessment and reallocation

$ 5,702,360 Updated due to quarterly assessment and reallocation

$ 5,379,763 Updated due to quarterly assessment and reallocation

$ 4,963,599 Updated due to quarterly assessment and reallocation

$ 4,668,599 Updated due to quarterly assessment and reallocation

$ 3,679,608 Reallocation due to MHA program deobligation

$ 3,659,239 Updated due to quarterly assessment and reallocation

$ 3,510,798 Updated due to quarterly assessment and reallocation

$ 3,426,340 Updated due to quarterly assessment and reallocation

$ 3,340,718 Updated due to quarterly assessment and reallocation

$ 3,216,404 Updated due to quarterly assessment and reallocation

$ 3,145,493 Updated due to quarterly assessment and reallocation

$ 3,172,832 Updated due to quarterly assessment and reallocation

$ 3,171,226 Updated due to quarterly assessment and reallocation

$ 3,170,981 Transfer of cap due to servicing transfer

$ 3,167,857 Transfer of cap due to servicing transfer

$ 3,167,655 Transfer of cap due to servicing transfer

$ 3,165,905 Transfer of cap due to servicing transfer

$ 3,165,854 Transfer of cap due to servicing transfer

$ 3,130,048 Transfer of cap due to servicing transfer

$ 3,125,608 Transfer of cap due to servicing transfer

$ 3,117,734 Transfer of cap due to servicing transfer

02/26/2018 $ (382) $ 3,117,352 Transfer of cap due to servicing transfer

12/21/2017 $ (7,874)

10/26/2017 $ (4,440)

09/26/2017 $ (35,806)

07/26/2017 $ (51)

06/26/2017 $ (1,750)

04/26/2017 $ (202)

02/27/2017 $ (3,124)

12/27/2016 $ (245)

11/29/2016 $ (1,606)

11/07/2016 $ 27,339

10/25/2016 $ (70,911)

09/28/2016 $ (124,314)

07/27/2016 $ (85,622)

06/27/2016 $ (84,458)

05/31/2016 $ (148,441)

03/28/2016 $ (20,369)

02/25/2016 $ (988,991)

12/28/2015 $ (295,000)

09/28/2015 $ (416,164)

06/25/2015 $ (322,597)

04/28/2015 $ (1,379,506)

03/26/2015 $ (376,129)

12/29/2014 $ (1,009,361)

09/29/2014 $ (9,490)

07/29/2014 $ (28,986)

06/26/2014 $ (14,660)

03/26/2014 $ (1,246)

12/23/2013 $ (35,751)

09/27/2013 $ (21)

06/27/2013 $ (60)

03/25/2013 $ (162)

12/27/2012 $ (43)

09/27/2012 $ (256)

06/28/2012 $ (94)

06/29/2011 $ (129)

03/30/2011 $ (14)

01/06/2011 $ (12)

09/30/2010 $ 2,658,280

07/14/2010 $ (5,730,000)

03/26/2010 $ 2,800,000

12/30/2009 $ 2,840,000

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 1,780,000

05/26/2011 $ (20,077,503)

03/30/2011 $ (34)

03/16/2011 $ (29,400,000)

01/06/2011 $ (37)

09/30/2010 $ (8,194,261)

07/14/2010 $ (22,580,000)

03/26/2010 $ 18,360,000

12/30/2009 $ 24,510,000

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 18,530,000

10/25/2018 $ (265)

09/26/2018 $ (7)

08/27/2018 $ (7)

07/26/2018 $ (128,544)

06/21/2018 $ (30)

04/25/2018 $ (151)

03/22/2018 $ (76)

02/26/2018 $ (23)

12/21/2017 $ (481)

10/26/2017 $ (462)

09/26/2017 $ (3,723)

07/26/2017 $ (21)

06/26/2017 $ (683)

04/26/2017 $ (89)

02/27/2017 $ (905)

12/27/2016 $ (59)

11/29/2016 $ (428)

11/07/2016 -

10/25/2016 $ 29,462

09/28/2016 $ (8,237)

117
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 3,116,106 Transfer of cap due to servicing transfer

$ 3,112,808 Transfer of cap due to servicing transfer

$ 3,112,072 Transfer of cap due to servicing transfer

$ 2,643,576 Reallocation due to MHA program deobligation

$ 2,643,549 Transfer of cap due to servicing transfer

$ 2,643,518 Transfer of cap due to servicing transfer

$ 2,642,421 Transfer of cap due to servicing transfer

Mortgage Clearing Corporation Tulsa OK $ 4,860,000 N/A $ 1,960,000 Updated portfolio data from servicer/additional program initial cap

$ 360,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

Mortgage Investors Group Knoxville TN - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 16,042 Updated due to quarterly assessment and reallocation

Nationstar Mortgage, LLC dba Mr 

Cooper Lewisville TX $ 101,000,000 N/A $ 117,140,000 Updated portfolio data from servicer

$ 251,700,000 Updated portfolio data from servicer/additional program initial cap

$ 331,950,000 Updated portfolio data from servicer/additional program initial cap

$ 399,200,000 Updated portfolio data from servicer

$ 313,300,000 Updated portfolio data from servicer

$ 313,400,000 Transfer of cap due to servicing transfer

$ 316,300,000 Updated portfolio data from servicer/additional program initial cap

$ 350,101,486 Updated portfolio data from servicer

$ 350,801,486 Transfer of cap due to servicing transfer

$ 352,501,486 Transfer of cap due to servicing transfer

$ 352,501,123 Updated due to quarterly assessment and reallocation

$ 353,401,123 Transfer of cap due to servicing transfer

$ 383,201,123 Transfer of cap due to servicing transfer

$ 383,200,695 Updated due to quarterly assessment and reallocation

$ 403,278,198 Transfer of cap due to servicing transfer

$ 403,273,950 Updated due to quarterly assessment and reallocation

$ 403,373,950 Transfer of cap due to servicing transfer

$ 403,273,950 Transfer of cap due to servicing transfer

$ 403,363,950 Transfer of cap due to servicing transfer

$ 400,983,950 Transfer of cap due to servicing transfer

$ 400,980,993 Updated due to quarterly assessment and reallocation

$ 398,400,993 Transfer of cap due to servicing transfer

$ 529,850,993 Transfer of cap due to servicing transfer

$ 696,827,842 Transfer of cap due to servicing transfer

$ 696,815,036 Updated due to quarterly assessment and reallocation

$ 696,975,036 Transfer of cap due to servicing transfer

$ 697,025,036 Transfer of cap due to servicing transfer

$ 697,023,154 Updated due to quarterly assessment and reallocation

$ 697,013,154 Transfer of cap due to servicing transfer

$ 696,733,154 Transfer of cap due to servicing transfer

$ 696,726,717 Updated due to quarterly assessment and reallocation

$ 696,756,717 Transfer of cap due to servicing transfer

$ 695,246,717 Transfer of cap due to servicing transfer

$ 694,176,717 Transfer of cap due to servicing transfer

$ 694,174,618 Updated due to quarterly assessment and reallocation

$ 717,354,209 Transfer of cap due to servicing transfer

$ 717,844,209 Transfer of cap due to servicing transfer

$ 1,006,914,209 Transfer of cap due to servicing transfer

$ 1,006,913,091 Updated due to quarterly assessment and reallocation

$ 1,070,353,091 Transfer of cap due to servicing transfer

$ 1,075,413,091 Transfer of cap due to servicing transfer

$ 1,078,623,091 Transfer of cap due to servicing transfer

$ 1,076,925,840 Updated due to quarterly assessment and reallocation

$ 1,076,825,840 Transfer of cap due to servicing transfer

$ 1,109,195,840 Transfer of cap due to servicing transfer

$ 1,109,175,840 Transfer of cap due to servicing transfer

$ 1,109,128,663 Updated due to quarterly assessment and reallocation

$ 1,109,498,663 Transfer of cap due to servicing transfer

$ 1,150,538,663 Transfer of cap due to servicing transfer

$ 1,150,658,663 Transfer of cap due to servicing transfer

$ 1,150,161,847 Updated due to quarterly assessment and reallocation

$ 1,150,251,847 Transfer of cap due to servicing transfer

$ 1,149,334,396 Updated due to quarterly assessment and reallocation

$ 1,196,334,396 Transfer of cap due to servicing transfer

$ 1,200,584,396 Transfer of cap due to servicing transfer

$ 1,200,238,542 Updated due to quarterly assessment and reallocation

10/16/2014 $ 23,560,000 $ 1,223,798,542 Transfer of cap due to servicing transfer

09/29/2014 $ (345,854)

09/16/2014 $ 4,250,000

08/14/2014 $ 47,000,000

07/29/2014 $ (917,451)

07/16/2014 $ 90,000

06/26/2014 $ (496,816)

06/16/2014 $ 120,000

05/15/2014 $ 41,040,000

04/16/2014 $ 370,000

03/26/2014 $ (47,177)

03/14/2014 $ (20,000)

02/13/2014 $ 32,370,000

01/16/2014 $ (100,000)

12/23/2013 $ (1,697,251)

12/16/2013 $ 3,210,000

11/14/2013 $ 5,060,000

10/15/2013 $ 63,440,000

09/27/2013 $ (1,118)

09/16/2013 $ 289,070,000

07/16/2013 $ 490,000

07/09/2013 $ 23,179,591

06/27/2013 $ (2,099)

06/14/2013 $ (1,070,000)

05/16/2013 $ (1,510,000)

04/16/2013 $ 30,000

03/25/2013 $ (6,437)

03/14/2013 $ (280,000)

02/14/2013 $ (10,000)

12/27/2012 $ (1,882)

12/14/2012 $ 50,000

11/15/2012 $ 160,000

09/27/2012 $ (12,806)

08/23/2012 $ 166,976,849

08/16/2012 $ 131,450,000

07/16/2012 $ (2,580,000)

06/28/2012 $ (2,957)

06/14/2012 $ (2,380,000)

05/16/2012 $ 90,000

03/15/2012 $ (100,000)

11/16/2011 $ 100,000

06/29/2011 $ (4,248)

05/26/2011 $ 20,077,503

03/30/2011 $ (428)

03/16/2011 $ 29,800,000

02/16/2011 $ 900,000

01/06/2011 $ (363)

12/15/2010 $ 1,700,000

11/16/2010 $ 700,000

09/30/2010 $ 33,801,486

09/30/2010 $ 2,900,000

08/13/2010 $ 100,000

07/14/2010 $ (85,900,000)

03/26/2010 $ 67,250,000

12/30/2009 $ 80,250,000

09/30/2009 $ 134,560,000

05/28/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 16,140,000

12/29/2014 $ 6,042

07/16/2014 Purchase Financial Instrument for Home Loan Modifications 07/16/2014 $ 10,000

03/09/2011 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ (260,000)

03/26/2010 $ (1,600,000)

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ (2,900,000)

10/25/2018 $ (1,097)

09/26/2018 $ (31)

08/27/2018 $ (27)

07/26/2018 $ (468,496)

06/21/2018 $ (736)

04/25/2018 $ (3,298)

03/22/2018 $ (1,246)

118
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,224,148,542 Transfer of cap due to servicing transfer

$ 1,222,978,542 Transfer of cap due to servicing transfer

$ 1,338,850,026 Updated due to quarterly assessment and reallocation

$ 1,339,240,026 Transfer of cap due to servicing transfer

$ 1,339,220,026 Transfer of cap due to servicing transfer

$ 1,342,990,026 Transfer of cap due to servicing transfer

$ 1,420,465,805 Updated due to quarterly assessment and reallocation

$ 1,421,865,805 Transfer of cap due to servicing transfer

$ 1,858,431,842 Updated due to quarterly assessment and reallocation

$ 1,858,431,842 Transfer of cap due to servicing transfer

$ 1,858,501,842 Transfer of cap due to servicing transfer

$ 1,906,408,529 Updated due to quarterly assessment and reallocation

$ 1,904,928,529 Transfer of cap due to servicing transfer

$ 1,904,918,529 Transfer of cap due to servicing transfer

$ 1,903,048,529 Transfer of cap due to servicing transfer

$ 2,064,799,149 Updated due to quarterly assessment and reallocation

$ 2,065,149,149 Transfer of cap due to servicing transfer

$ 2,065,089,149 Transfer of cap due to servicing transfer

$ 2,064,999,149 Transfer of cap due to servicing transfer

$ 2,195,703,846 Updated due to quarterly assessment and reallocation

$ 2,192,843,846 Transfer of cap due to servicing transfer

$ 2,196,243,846 Transfer of cap due to servicing transfer

$ 2,094,134,339 Reallocation due to MHA program deobligation

$ 2,095,184,339 Transfer of cap due to servicing transfer

$ 2,093,330,538 Updated due to quarterly assessment and reallocation

$ 2,093,210,538 Transfer of cap due to servicing transfer

$ 2,094,570,538 Transfer of cap due to servicing transfer

$ 2,085,238,181 Updated due to quarterly assessment and reallocation

$ 2,085,048,181 Transfer of cap due to servicing transfer

$ 2,083,959,356 Updated due to quarterly assessment and reallocation

$ 2,079,669,356 Transfer of cap due to servicing transfer

$ 2,083,752,629 Updated due to quarterly assessment and reallocation

$ 2,083,412,629 Transfer of cap due to servicing transfer

$ 2,091,152,629 Transfer of cap due to servicing transfer

$ 2,108,661,218 Updated due to quarterly assessment and reallocation

$ 2,373,921,218 Transfer of cap due to servicing transfer

$ 2,198,698,147 Updated due to quarterly assessment and reallocation

$ 2,108,879,936 Updated due to quarterly assessment and reallocation

$ 2,109,269,936 Transfer of cap due to servicing transfer

$ 2,108,792,843 Updated due to quarterly assessment and reallocation

$ 2,110,402,843 Transfer of cap due to servicing transfer

$ 2,110,333,824 Transfer of cap due to servicing transfer

$ 2,110,473,824 Transfer of cap due to servicing transfer

$ 2,111,643,824 Transfer of cap due to servicing transfer

$ 2,110,608,566 Transfer of cap due to servicing transfer

$ 2,112,668,566 Transfer of cap due to servicing transfer

$ 2,112,593,150 Transfer of cap due to servicing transfer

$ 2,111,955,660 Transfer of cap due to servicing transfer

$ 2,111,933,006 Transfer of cap due to servicing transfer

$ 2,149,987,229 Transfer of cap due to servicing transfer

$ 2,149,987,228 Transfer of cap due to servicing transfer

$ 2,149,043,448 Transfer of cap due to servicing transfer

$ 2,146,543,221 Transfer of cap due to servicing transfer

$ 2,146,329,769 Transfer of cap due to servicing transfer

$ 2,145,452,451 Transfer of cap due to servicing transfer

$ 2,143,796,801 Transfer of cap due to servicing transfer

$ 2,143,393,201 Transfer of cap due to servicing transfer

$ 1,828,553,085 Reallocation due to MHA program deobligation

$ 1,828,534,410 Transfer of cap due to servicing transfer

$ 1,828,512,861 Transfer of cap due to servicing transfer

$ 1,827,677,377 Transfer of cap due to servicing transfer

$ 1,826,191,658 Transfer of cap due to servicing transfer

$ 1,826,191,657 Transfer of cap due to servicing transfer

$ 1,826,191,656 Transfer of cap due to servicing transfer

$ 1,794,247,709 Reallocation due to MHA program deobligation

$ 1,793,968,821 Transfer of cap due to servicing transfer

Nationwide Advantage Mortgage 

Company Des Moines IA - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

Navy Federal Credit Union Vienna VA $ 60,780,000 N/A $ 15,900,000 Updated portfolio data from servicer

$ 16,971,505 Updated portfolio data from servicer

01/06/2011 $ (23) $ 16,971,482 Updated due to quarterly assessment and reallocation

09/30/2010 $ 1,071,505

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ (44,880,000)

05/15/2014 $ 10,000

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/16/2013 $ 10,000

09/23/2019 $ (278,888)

08/22/2019 $ (31,943,947)

07/16/2019 $ (1)

04/16/2019 $ (1)

03/25/2019 $ (1,485,719)

10/25/2018 $ (835,484)

09/26/2018 $ (21,549)

08/27/2018 $ (18,675)

07/26/2018 $ (314,840,116)

06/21/2018 $ (403,600)

04/25/2018 $ (1,655,650)

03/22/2018 $ (877,318)

02/26/2018 $ (213,452)

12/21/2017 $ (2,500,227)

10/26/2017 $ (943,780)

10/16/2017 $ (1)

09/26/2017 $ 38,054,223

07/26/2017 $ (22,654)

06/26/2017 $ (637,490)

04/26/2017 $ (75,416)

03/16/2017 $ 2,060,000

02/27/2017 $ (1,035,258)

02/16/2017 $ 1,170,000

01/13/2017 $ 140,000

12/27/2016 $ (69,019)

12/15/2016 $ 1,610,000

11/29/2016 $ (477,093)

11/16/2016 $ 390,000

11/07/2016 $ (89,818,211)

10/25/2016 $ (175,223,071)

10/14/2016 $ 265,260,000

09/28/2016 $ 17,508,589

09/15/2016 $ 7,740,000

08/16/2016 $ (340,000)

07/27/2016 $ 4,083,273

07/14/2016 $ (4,290,000)

06/27/2016 $ (1,088,825)

06/16/2016 $ (190,000)

05/31/2016 $ (9,332,357)

05/16/2016 $ 1,360,000

04/14/2016 $ (120,000)

03/28/2016 $ (1,853,801)

03/16/2016 $ 1,050,000

02/25/2016 $ (102,109,507)

02/16/2016 $ 3,400,000

01/14/2016 $ (2,860,000)

12/28/2015 $ 130,704,697

12/16/2015 $ (90,000)

11/16/2015 $ (60,000)

10/15/2015 $ 350,000

09/28/2015 $ 161,750,620

09/16/2015 $ (1,870,000)

08/14/2015 $ (10,000)

07/16/2015 $ (1,480,000)

06/25/2015 $ 47,906,687

06/16/2015 $ 70,000

05/14/2015 -

04/28/2015 $ 436,566,037

04/16/2015 $ 1,400,000

03/26/2015 $ 77,475,779

03/16/2015 $ 3,770,000

02/13/2015 $ (20,000)

01/15/2015 $ 390,000

12/29/2014 $ 115,871,484

12/16/2014 $ (1,170,000)

11/14/2014 $ 350,000

119
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 16,971,456 Updated due to quarterly assessment and reallocation

$ 16,971,218 Updated due to quarterly assessment and reallocation

$ 16,971,073 Updated due to quarterly assessment and reallocation

$ 16,970,699 Updated due to quarterly assessment and reallocation

$ 16,970,641 Updated due to quarterly assessment and reallocation

$ 16,970,442 Updated due to quarterly assessment and reallocation

$ 16,970,374 Updated due to quarterly assessment and reallocation

$ 16,970,352 Updated due to quarterly assessment and reallocation

$ 16,934,035 Updated due to quarterly assessment and reallocation

$ 16,932,805 Updated due to quarterly assessment and reallocation

$ 16,919,097 Updated due to quarterly assessment and reallocation

$ 16,892,497 Updated due to quarterly assessment and reallocation

$ 16,883,850 Updated due to quarterly assessment and reallocation

$ 16,410,047 Updated due to quarterly assessment and reallocation

$ 16,268,642 Updated due to quarterly assessment and reallocation

$ 17,258,493 Updated due to quarterly assessment and reallocation

$ 17,337,262 Updated due to quarterly assessment and reallocation

$ 17,596,453 Updated due to quarterly assessment and reallocation

$ 17,876,506 Updated due to quarterly assessment and reallocation

$ 17,265,315 Reallocation due to MHA program deobligation

$ 17,258,311 Updated due to quarterly assessment and reallocation

$ 17,220,151 Updated due to quarterly assessment and reallocation

$ 17,201,697 Updated due to quarterly assessment and reallocation

$ 17,178,355 Updated due to quarterly assessment and reallocation

$ 17,137,062 Updated due to quarterly assessment and reallocation

$ 17,059,998 Updated due to quarterly assessment and reallocation

$ 17,089,709 Updated due to quarterly assessment and reallocation

$ 17,081,855 Updated due to quarterly assessment and reallocation

$ 17,080,713 Transfer of cap due to servicing transfer

$ 17,062,255 Transfer of cap due to servicing transfer

$ 17,060,937 Transfer of cap due to servicing transfer

$ 17,050,052 Transfer of cap due to servicing transfer

$ 17,049,701 Transfer of cap due to servicing transfer

$ 16,931,898 Transfer of cap due to servicing transfer

$ 16,910,025 Transfer of cap due to servicing transfer

$ 16,879,677 Transfer of cap due to servicing transfer

$ 16,877,157 Transfer of cap due to servicing transfer

$ 16,868,752 Transfer of cap due to servicing transfer

$ 16,844,735 Transfer of cap due to servicing transfer

$ 16,839,404 Transfer of cap due to servicing transfer

$ 14,182,914 Reallocation due to MHA program deobligation

$ 14,182,765 Transfer of cap due to servicing transfer

$ 14,182,590 Transfer of cap due to servicing transfer

$ 14,176,042 Transfer of cap due to servicing transfer

New York Community Bank (AmTrust 

Bank) Cleveland OH - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 300,000 Transfer of cap due to servicing transfer

$ 600,000 Transfer of cap due to servicing transfer

$ 599,991 Updated due to quarterly assessment and reallocation

$ 799,991 Transfer of cap due to servicing transfer

$ 799,984 Updated due to quarterly assessment and reallocation

$ 799,965 Updated due to quarterly assessment and reallocation

$ 799,962 Updated due to quarterly assessment and reallocation

$ 799,950 Updated due to quarterly assessment and reallocation

$ 799,945 Updated due to quarterly assessment and reallocation

$ 949,945 Transfer of cap due to servicing transfer

$ 949,943 Updated due to quarterly assessment and reallocation

$ 946,489 Updated due to quarterly assessment and reallocation

$ 946,368 Updated due to quarterly assessment and reallocation

$ 944,935 Updated due to quarterly assessment and reallocation

$ 942,089 Updated due to quarterly assessment and reallocation

$ 941,149 Updated due to quarterly assessment and reallocation

$ 847,698 Updated due to quarterly assessment and reallocation

$ 809,418 Updated due to quarterly assessment and reallocation

$ 658,536 Updated due to quarterly assessment and reallocation

$ 622,008 Updated due to quarterly assessment and reallocation

$ 573,213 Updated due to quarterly assessment and reallocation

$ 537,101 Updated due to quarterly assessment and reallocation

$ 422,435 Reallocation due to MHA program deobligation

$ 420,040 Updated due to quarterly assessment and reallocation

$ 401,293 Updated due to quarterly assessment and reallocation

06/16/2016 $ 40,000 $ 441,293 Transfer of cap due to servicing transfer

05/31/2016 $ (18,747)

03/28/2016 $ (2,395)

02/25/2016 $ (114,666)

12/28/2015 $ (36,112)

09/28/2015 $ (48,795)

06/25/2015 $ (36,528)

04/28/2015 $ (150,882)

03/26/2015 $ (38,280)

12/29/2014 $ (93,451)

09/29/2014 $ (940)

07/29/2014 $ (2,846)

06/26/2014 $ (1,433)

03/26/2014 $ (121)

12/23/2013 $ (3,454)

09/27/2013 $ (2)

07/16/2013 $ 150,000

06/27/2013 $ (5)

03/25/2013 $ (12)

12/27/2012 $ (3)

09/27/2012 $ (19)

06/28/2012 $ (7)

08/16/2011 $ 200,000

06/29/2011 $ (9)

06/16/2011 $ 300,000

05/13/2011 $ 100,000

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 200,000

10/25/2018 $ (6,548)

09/26/2018 $ (175)

08/27/2018 $ (149)

07/26/2018 $ (2,656,490)

06/21/2018 $ (5,331)

04/25/2018 $ (24,017)

03/22/2018 $ (8,405)

02/26/2018 $ (2,520)

12/21/2017 $ (30,348)

10/26/2017 $ (21,873)

09/26/2017 $ (117,803)

07/26/2017 $ (351)

06/26/2017 $ (10,885)

04/26/2017 $ (1,318)

02/27/2017 $ (18,458)

12/27/2016 $ (1,142)

11/29/2016 $ (7,854)

11/07/2016 $ 29,711

10/25/2016 $ (77,064)

09/28/2016 $ (41,293)

07/27/2016 $ (23,342)

06/27/2016 $ (18,454)

05/31/2016 $ (38,160)

03/28/2016 $ (7,004)

02/25/2016 $ (611,191)

12/28/2015 $ 280,053

09/28/2015 $ 259,191

06/25/2015 $ 78,769

04/28/2015 $ 989,851

03/26/2015 $ (141,405)

12/29/2014 $ (473,803)

09/29/2014 $ (8,647)

07/29/2014 $ (26,600)

06/26/2014 $ (13,708)

03/26/2014 $ (1,230)

12/23/2013 $ (36,317)

09/27/2013 $ (22)

06/27/2013 $ (68)

03/25/2013 $ (199)

12/27/2012 $ (58)

09/27/2012 $ (374)

06/28/2012 $ (145)

06/29/2011 $ (238)

03/30/2011 $ (26)

120
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 430,654 Updated due to quarterly assessment and reallocation

$ 417,022 Updated due to quarterly assessment and reallocation

$ 393,181 Updated due to quarterly assessment and reallocation

$ 370,653 Updated due to quarterly assessment and reallocation

$ 379,338 Updated due to quarterly assessment and reallocation

$ 379,028 Updated due to quarterly assessment and reallocation

$ 378,981 Transfer of cap due to servicing transfer

$ 378,161 Transfer of cap due to servicing transfer

$ 378,099 Transfer of cap due to servicing transfer

$ 377,625 Transfer of cap due to servicing transfer

$ 377,611 Transfer of cap due to servicing transfer

$ 367,113 Transfer of cap due to servicing transfer

$ 365,811 Transfer of cap due to servicing transfer

$ 364,455 Transfer of cap due to servicing transfer

$ 364,287 Transfer of cap due to servicing transfer

$ 363,739 Transfer of cap due to servicing transfer

$ 362,656 Transfer of cap due to servicing transfer

$ 362,453 Transfer of cap due to servicing transfer

$ 297,188 Reallocation due to MHA program deobligation

$ 297,184 Transfer of cap due to servicing transfer

$ 297,180 Transfer of cap due to servicing transfer

$ 297,046 Transfer of cap due to servicing transfer

NewRez LLC D/B/A Shellpoint Mortgage 

Servicing (New Penn Financial, LLC) Greenville SC - N/A 3 $ 240,000 Transfer of cap due to servicing transfer

$ 59,470,004 Transfer of cap due to servicing transfer

$ 59,400,166 Updated due to quarterly assessment and reallocation

$ 70,880,166 Transfer of cap due to servicing transfer

$ 71,680,846 Transfer of cap due to merger/acquisition

$ 73,430,846 Transfer of cap due to servicing transfer

$ 73,870,846 Transfer of cap due to servicing transfer

$ 66,761,485 Updated due to quarterly assessment and reallocation

$ 67,061,485 Transfer of cap due to servicing transfer

$ 70,441,485 Transfer of cap due to servicing transfer

$ 71,741,485 Transfer of cap due to servicing transfer

$ 68,664,391 Updated due to quarterly assessment and reallocation

$ 66,604,391 Transfer of cap due to servicing transfer

$ 55,011,060 Updated due to quarterly assessment and reallocation

$ 56,421,060 Transfer of cap due to servicing transfer

$ 62,141,060 Transfer of cap due to servicing transfer

$ 59,283,248 Updated due to quarterly assessment and reallocation

$ 72,413,248 Transfer of cap due to servicing transfer

$ 69,603,248 Transfer of cap due to servicing transfer

$ 70,883,248 Transfer of cap due to servicing transfer

$ 67,174,918 Updated due to quarterly assessment and reallocation

$ 67,854,918 Transfer of cap due to servicing transfer

$ 67,554,918 Transfer of cap due to servicing transfer

$ 68,964,918 Transfer of cap due to servicing transfer

$ 66,108,417 Updated due to quarterly assessment and reallocation

$ 69,138,417 Transfer of cap due to servicing transfer

$ 73,908,417 Transfer of cap due to servicing transfer

$ 60,503,085 Reallocation due to MHA program deobligation

$ 80,493,085 Transfer of cap due to servicing transfer

$ 79,734,493 Updated due to quarterly assessment and reallocation

$ 87,534,493 Transfer of cap due to servicing transfer

$ 91,584,493 Transfer of cap due to servicing transfer

$ 83,906,643 Updated due to quarterly assessment and reallocation

$ 88,476,643 Transfer of cap due to servicing transfer

$ 83,913,005 Updated due to quarterly assessment and reallocation

$ 84,293,005 Transfer of cap due to servicing transfer

$ 79,754,321 Updated due to quarterly assessment and reallocation

$ 82,184,321 Transfer of cap due to servicing transfer

$ 82,634,321 Transfer of cap due to servicing transfer

$ 76,039,406 Updated due to quarterly assessment and reallocation

$ 77,359,406 Transfer of cap due to servicing transfer

$ 77,199,011 Updated due to quarterly assessment and reallocation

$ 77,260,849 Updated due to quarterly assessment and reallocation

$ 78,210,849 Transfer of cap due to servicing transfer

$ 90,022,589 Updated due to quarterly assessment and reallocation

$ 92,762,589 Transfer of cap due to servicing transfer

$ 94,385,009 Transfer of cap due to servicing transfer

01/13/2017 $ 630,000 $ 95,015,009 Transfer of cap due to servicing transfer

12/27/2016 $ 1,622,420

12/15/2016 $ 2,740,000

11/29/2016 $ 11,811,740

11/16/2016 $ 950,000

11/07/2016 $ 61,838

10/25/2016 $ (160,395)

10/14/2016 $ 1,320,000

09/28/2016 $ (6,594,915)

09/15/2016 $ 450,000

08/16/2016 $ 2,430,000

07/27/2016 $ (4,538,684)

07/14/2016 $ 380,000

06/27/2016 $ (4,563,638)

06/16/2016 $ 4,570,000

05/31/2016 $ (7,677,850)

05/16/2016 $ 4,050,000

04/14/2016 $ 7,800,000

03/28/2016 $ (758,592)

03/16/2016 $ 19,990,000

02/25/2016 $ (13,405,332)

02/16/2016 $ 4,770,000

01/14/2016 $ 3,030,000

12/28/2015 $ (2,856,501)

12/16/2015 $ 1,410,000

11/16/2015 $ (300,000)

10/15/2015 $ 680,000

09/28/2015 $ (3,708,330)

09/16/2015 $ 1,280,000

08/14/2015 $ (2,810,000)

07/16/2015 $ 13,130,000

06/25/2015 $ (2,857,812)

06/16/2015 $ 5,720,000

05/14/2015 $ 1,410,000

04/28/2015 $ (11,593,331)

04/16/2015 $ (2,060,000)

03/26/2015 $ (3,077,094)

03/16/2015 $ 1,300,000

02/13/2015 $ 3,380,000

01/15/2015 $ 300,000

12/29/2014 $ (7,109,361)

12/16/2014 $ 440,000

11/14/2014 $ 1,750,000

11/03/2014 $ 800,680

10/16/2014 $ 11,480,000

09/29/2014 $ (69,838)

09/16/2014 $ 59,230,004

08/14/2014 Purchase Financial Instrument for Home Loan Modifications 08/14/2014 $ 240,000

10/25/2018 $ (134)

09/26/2018 $ (4)

08/27/2018 $ (4)

07/26/2018 $ (65,265)

06/21/2018 $ (203)

04/25/2018 $ (1,083)

03/22/2018 $ (548)

02/26/2018 $ (168)

12/21/2017 $ (1,356)

10/26/2017 $ (1,302)

09/26/2017 $ (10,498)

07/26/2017 $ (14)

06/26/2017 $ (474)

04/26/2017 $ (62)

02/27/2017 $ (820)

12/27/2016 $ (47)

11/29/2016 $ (310)

11/07/2016 $ 8,685

10/25/2016 $ (22,528)

09/28/2016 $ (23,841)

07/27/2016 $ (13,632)

06/27/2016 $ (10,639)

121
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 166,445,009 Transfer of cap due to servicing transfer

$ 165,676,229 Transfer of cap due to servicing transfer

$ 167,946,229 Transfer of cap due to servicing transfer

$ 167,896,794 Transfer of cap due to servicing transfer

$ 167,554,024 Transfer of cap due to servicing transfer

$ 167,544,082 Transfer of cap due to servicing transfer

$ 158,624,818 Transfer of cap due to servicing transfer

$ 157,271,437 Transfer of cap due to servicing transfer

$ 155,635,556 Transfer of cap due to servicing transfer

$ 155,571,286 Transfer of cap due to servicing transfer

$ 155,357,084 Transfer of cap due to servicing transfer

$ 154,951,612 Transfer of cap due to servicing transfer

$ 154,847,772 Transfer of cap due to servicing transfer

$ 124,971,877 Reallocation due to MHA program deobligation

$ 124,970,089 Transfer of cap due to servicing transfer

$ 124,967,678 Transfer of cap due to servicing transfer

$ 124,917,807 Transfer of cap due to servicing transfer

NJ Housing & Mortgage Finance Trenton NJ - N/A 3 $ 210,000 Transfer of cap due to servicing transfer

$ 262,082 Updated due to quarterly assessment and reallocation

$ 241,822 Updated due to quarterly assessment and reallocation

$ 237,002 Updated due to quarterly assessment and reallocation

$ 230,696 Updated due to quarterly assessment and reallocation

$ 225,945 Updated due to quarterly assessment and reallocation

$ 205,714 Reallocation due to MHA program deobligation

$ 205,291 Updated due to quarterly assessment and reallocation

$ 201,984 Updated due to quarterly assessment and reallocation

$ 200,008 Updated due to quarterly assessment and reallocation

$ 198,013 Updated due to quarterly assessment and reallocation

$ 194,484 Updated due to quarterly assessment and reallocation

$ 191,084 Updated due to quarterly assessment and reallocation

$ 192,395 Updated due to quarterly assessment and reallocation

$ 192,290 Updated due to quarterly assessment and reallocation

$ 192,274 Transfer of cap due to servicing transfer

$ 191,995 Transfer of cap due to servicing transfer

$ 191,977 Transfer of cap due to servicing transfer

$ 191,836 Transfer of cap due to servicing transfer

$ 191,832 Transfer of cap due to servicing transfer

$ 190,556 Transfer of cap due to servicing transfer

$ 190,389 Transfer of cap due to servicing transfer

$ 190,194 Transfer of cap due to servicing transfer

$ 190,183 Transfer of cap due to servicing transfer

$ 190,147 Transfer of cap due to servicing transfer

$ 190,071 Transfer of cap due to servicing transfer

$ 190,055 Transfer of cap due to servicing transfer

$ 164,430 Reallocation due to MHA program deobligation

$ 164,429 Transfer of cap due to servicing transfer

$ 164,427 Transfer of cap due to servicing transfer

$ 164,372 Transfer of cap due to servicing transfer

North American Savings Bank Grandview MO $ 1 N/A 3 $ 51,483 Transfer of cap due to servicing transfer

Oakland Municipal Credit Union Oakland CA $ 140,000 N/A $ 430,000 Updated portfolio data from servicer/additional program initial cap

$ 640,000 Updated portfolio data from servicer/additional program initial cap

$ 810,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 525,276 Transfer of cap due to servicing transfer

$ 525,269 Updated due to quarterly assessment and reallocation

6 $ 10,068 Termination of SPA

Ocwen Loan Servicing, LLC (as 

successor in interest to GMAC 

Mortgage, LLC)

Ft. Washington PA $ 633,000,000 N/A $ 1,017,650,000 Updated portfolio data from servicer

$ 3,554,890,000 Updated portfolio data from servicer/additional program initial cap

$ 1,875,370,000 Updated portfolio data from servicer/additional program initial cap

$ 2,065,550,000 Updated portfolio data from servicer

$ 2,067,430,000 Transfer of cap due to servicing transfer

$ 1,185,900,000 Updated portfolio data from servicer

$ 1,182,200,000 Transfer of cap due to servicing transfer

$ 1,301,400,000 Updated portfolio data from servicer/additional program initial cap

$ 1,518,398,139 Updated portfolio data from servicer

$ 1,517,898,139 Transfer of cap due to servicing transfer

$ 1,517,896,405 Updated due to quarterly assessment and reallocation

03/16/2011 $ (100,000) $ 1,517,796,405 Transfer of cap due to servicing transfer

01/06/2011 $ (1,734)

12/15/2010 $ (500,000)

09/30/2010 $ 216,998,139

09/30/2010 $ 119,200,000

08/13/2010 $ (3,700,000)

07/14/2010 $ (881,530,000)

05/14/2010 $ 1,880,000

03/26/2010 $ 190,180,000

12/30/2009 $ (1,679,520,000)

09/30/2009 $ 2,537,240,000

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 384,650,000

07/22/2011 $ (515,201)

06/29/2011 $ (7)

04/13/2011 $ (200,000)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ (74,722)

07/14/2010 $ (10,000)

03/26/2010 $ 170,000

12/30/2009 $ 210,000

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 290,000

10/16/2017 Purchase Financial Instrument for Home Loan Modifications 10/26/2017 $ 51,482

10/25/2018 $ (55)

09/26/2018 $ (2)

08/27/2018 $ (1)

07/26/2018 $ (25,625)

06/21/2018 $ (16)

04/25/2018 $ (76)

03/22/2018 $ (36)

02/26/2018 $ (11)

12/21/2017 $ (195)

10/26/2017 $ (167)

09/26/2017 $ (1,276)

07/26/2017 $ (4)

06/26/2017 $ (141)

04/26/2017 $ (18)

02/27/2017 $ (279)

12/27/2016 $ (16)

11/29/2016 $ (105)

11/07/2016 $ 1,311

10/25/2016 $ (3,400)

09/28/2016 $ (3,529)

07/27/2016 $ (1,995)

06/27/2016 $ (1,976)

05/31/2016 $ (3,307)

03/28/2016 $ (423)

02/25/2016 $ (20,231)

12/28/2015 $ (4,751)

09/28/2015 $ (6,306)

06/25/2015 $ (4,820)

04/28/2015 $ (20,260)

03/26/2015 $ 52,082

03/16/2015 Purchase Financial Instrument for Home Loan Modifications 03/16/2015 $ 210,000

10/25/2018 $ (49,871)

09/26/2018 $ (2,411)

08/27/2018 $ (1,788)

07/26/2018 $ (29,875,895)

06/21/2018 $ (103,840)

04/25/2018 $ (405,472)

03/22/2018 $ (214,202)

02/26/2018 $ (64,270)

12/21/2017 $ (1,635,881)

10/26/2017 $ (1,353,381)

09/26/2017 $ (8,919,264)

07/26/2017 $ (9,942)

06/26/2017 $ (342,770)

04/26/2017 $ (49,435)

03/16/2017 $ 2,270,000

02/27/2017 $ (768,780)

02/16/2017 $ 71,430,000

122
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,517,794,381 Updated due to quarterly assessment and reallocation

$ 1,516,994,381 Transfer of cap due to servicing transfer

$ 1,499,094,381 Transfer of cap due to servicing transfer

$ 1,499,075,924 Updated due to quarterly assessment and reallocation

$ 1,498,875,924 Transfer of cap due to servicing transfer

$ 1,502,275,924 Transfer of cap due to servicing transfer

$ 1,502,475,924 Transfer of cap due to servicing transfer

$ 1,501,675,924 Transfer of cap due to servicing transfer

$ 1,501,475,924 Transfer of cap due to servicing transfer

$ 1,504,075,924 Transfer of cap due to servicing transfer

$ 1,502,475,924 Transfer of cap due to servicing transfer

$ 1,502,075,924 Transfer of cap due to servicing transfer

$ 1,501,975,924 Transfer of cap due to servicing transfer

$ 1,501,175,924 Transfer of cap due to servicing transfer

$ 1,500,185,924 Transfer of cap due to servicing transfer

$ 1,500,173,461 Updated due to quarterly assessment and reallocation

$ 1,500,183,461 Transfer of cap due to servicing transfer

$ 1,500,150,251 Updated due to quarterly assessment and reallocation

$ 1,498,950,251 Transfer of cap due to servicing transfer

$ 1,498,990,251 Transfer of cap due to servicing transfer

$ 1,498,984,819 Updated due to quarterly assessment and reallocation

$ 1,499,044,819 Transfer of cap due to servicing transfer

$ 1,499,014,819 Transfer of cap due to servicing transfer

$ 1,498,934,819 Transfer of cap due to servicing transfer

$ 1,498,914,981 Updated due to quarterly assessment and reallocation

$ 1,498,944,981 Transfer of cap due to servicing transfer

$ 1,498,937,876 Updated due to quarterly assessment and reallocation

$ 1,432,437,876 Transfer of cap due to servicing transfer

$ 1,432,435,446 Updated due to quarterly assessment and reallocation

$ 1,235,215,446 Transfer of cap due to servicing transfer

$ 1,235,185,446 Transfer of cap due to servicing transfer

$ 1,232,955,446 Transfer of cap due to servicing transfer

$ 1,229,052,628 Updated due to quarterly assessment and reallocation

$ 1,219,702,628 Transfer of cap due to servicing transfer

$ 1,183,142,628 Transfer of cap due to servicing transfer

$ 1,165,972,628 Transfer of cap due to servicing transfer

$ 1,165,836,421 Updated due to quarterly assessment and reallocation

$ 1,145,266,421 Transfer of cap due to servicing transfer

$ 1,145,006,421 Transfer of cap due to servicing transfer

$ 1,144,606,421 Transfer of cap due to servicing transfer

$ 1,143,020,889 Updated due to quarterly assessment and reallocation

$ 1,142,950,889 Transfer of cap due to servicing transfer

$ 1,139,851,445 Updated due to quarterly assessment and reallocation

$ 1,131,951,445 Transfer of cap due to servicing transfer

$ 1,129,471,445 Transfer of cap due to servicing transfer

$ 1,128,449,437 Updated due to quarterly assessment and reallocation

$ 1,128,209,437 Transfer of cap due to servicing transfer

$ 1,127,949,437 Transfer of cap due to servicing transfer

$ 1,126,749,437 Transfer of cap due to servicing transfer

$ 1,006,334,360 Updated due to quarterly assessment and reallocation

$ 1,006,244,360 Transfer of cap due to servicing transfer

$ 974,204,360 Transfer of cap due to servicing transfer

$ 928,462,547 Updated due to quarterly assessment and reallocation

$ 928,542,547 Transfer of cap due to servicing transfer

$ 748,284,103 Updated due to quarterly assessment and reallocation

$ 748,104,103 Transfer of cap due to servicing transfer

$ 705,348,627 Updated due to quarterly assessment and reallocation

$ 648,232,399 Updated due to quarterly assessment and reallocation

$ 605,579,042 Updated due to quarterly assessment and reallocation

$ 471,085,703 Reallocation due to MHA program deobligation

16 $ 309,559,668 Termination of SPA

Oriental Bank San Juan PR $ 1 N/A 3 $ 117,141 Transfer of cap due to servicing transfer

ORNL Federal Credit Union Oak Ridge TN $ 2,070,000 N/A $ 2,530,000 Updated portfolio data from servicer/additional program initial cap

$ 5,260,000 Updated portfolio data from servicer/additional program initial cap

$ 18,540,000 Updated portfolio data from servicer

$ 5,000,000 Updated portfolio data from servicer

$ 6,817,613 Updated portfolio data from servicer

$ 6,817,603 Updated due to quarterly assessment and reallocation

$ 6,817,591 Updated due to quarterly assessment and reallocation

$ 6,817,476 Updated due to quarterly assessment and reallocation

$ 6,817,390 Updated due to quarterly assessment and reallocation

09/27/2012 $ (236) $ 6,817,154 Updated due to quarterly assessment and reallocation

06/28/2012 $ (86)

06/29/2011 $ (115)

03/30/2011 $ (12)

01/06/2011 $ (10)

09/30/2010 $ 1,817,613

07/14/2010 $ (13,540,000)

03/26/2010 $ 13,280,000

12/30/2009 $ 2,730,000

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 460,000

12/14/2018 Purchase Financial Instrument for Home Loan Modifications 03/25/2019 $ 117,140

03/04/2016 $ (161,526,035)

02/25/2016 $ (134,493,339)

12/28/2015 $ (42,653,357)

09/28/2015 $ (57,116,228)

06/25/2015 $ (42,755,476)

06/16/2015 $ (180,000)

04/28/2015 $ (180,258,444)

04/16/2015 $ 80,000

03/26/2015 $ (45,741,813)

02/13/2015 $ (32,040,000)

01/15/2015 $ (90,000)

12/29/2014 $ (120,415,077)

12/16/2014 $ (1,200,000)

11/14/2014 $ (260,000)

10/16/2014 $ (240,000)

09/29/2014 $ (1,022,008)

09/16/2014 $ (2,480,000)

08/14/2014 $ (7,900,000)

07/29/2014 $ (3,099,444)

07/16/2014 $ (70,000)

06/26/2014 $ (1,585,532)

06/16/2014 $ (400,000)

05/15/2014 $ (260,000)

04/16/2014 $ (20,570,000)

03/26/2014 $ (136,207)

03/14/2014 $ (17,170,000)

02/13/2014 $ (36,560,000)

01/16/2014 $ (9,350,000)

12/23/2013 $ (3,902,818)

12/16/2013 $ (2,230,000)

11/14/2013 $ (30,000)

10/15/2013 $ (197,220,000)

09/27/2013 $ (2,430)

09/16/2013 $ (66,500,000)

06/27/2013 $ (7,105)

06/14/2013 $ 30,000

03/25/2013 $ (19,838)

03/14/2013 $ (80,000)

02/14/2013 $ (30,000)

01/16/2013 $ 60,000

12/27/2012 $ (5,432)

12/14/2012 $ 40,000

11/15/2012 $ (1,200,000)

09/27/2012 $ (33,210)

08/16/2012 $ 10,000

06/28/2012 $ (12,463)

06/14/2012 $ (990,000)

05/16/2012 $ (800,000)

04/16/2012 $ (100,000)

03/15/2012 $ (400,000)

01/13/2012 $ (1,600,000)

12/15/2011 $ 2,600,000

11/16/2011 $ (200,000)

10/14/2011 $ (800,000)

09/15/2011 $ 200,000

08/16/2011 $ 3,400,000

07/14/2011 $ (200,000)

06/29/2011 $ (18,457)

05/13/2011 $ (17,900,000)

04/13/2011 $ (800,000)

03/30/2011 $ (2,024)

123
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 6,817,114 Updated due to quarterly assessment and reallocation

$ 6,816,965 Updated due to quarterly assessment and reallocation

$ 6,816,909 Updated due to quarterly assessment and reallocation

$ 6,816,889 Updated due to quarterly assessment and reallocation

$ 6,782,910 Updated due to quarterly assessment and reallocation

$ 6,781,718 Updated due to quarterly assessment and reallocation

$ 6,767,669 Updated due to quarterly assessment and reallocation

$ 6,739,781 Updated due to quarterly assessment and reallocation

$ 6,730,551 Updated due to quarterly assessment and reallocation

$ 5,625,727 Updated due to quarterly assessment and reallocation

$ 5,209,184 Updated due to quarterly assessment and reallocation

$ 3,608,317 Updated due to quarterly assessment and reallocation

$ 3,228,631 Updated due to quarterly assessment and reallocation

$ 2,720,333 Updated due to quarterly assessment and reallocation

$ 2,344,153 Updated due to quarterly assessment and reallocation

$ 1,252,943 Reallocation due to MHA program deobligation

$ 1,230,145 Updated due to quarterly assessment and reallocation

$ 1,051,687 Updated due to quarterly assessment and reallocation

$ 945,053 Updated due to quarterly assessment and reallocation

$ 838,355 Updated due to quarterly assessment and reallocation

$ 644,987 Updated due to quarterly assessment and reallocation

$ 462,268 Updated due to quarterly assessment and reallocation

$ 532,713 Updated due to quarterly assessment and reallocation

$ 531,291 Updated due to quarterly assessment and reallocation

$ 531,073 Transfer of cap due to servicing transfer

$ 527,295 Transfer of cap due to servicing transfer

$ 527,036 Transfer of cap due to servicing transfer

$ 524,679 Transfer of cap due to servicing transfer

$ 524,608 Transfer of cap due to servicing transfer

$ 435,731 Transfer of cap due to servicing transfer

$ 425,255 Transfer of cap due to servicing transfer

$ 414,341 Transfer of cap due to servicing transfer

$ 413,777 Transfer of cap due to servicing transfer

$ 411,937 Transfer of cap due to servicing transfer

$ 408,296 Transfer of cap due to servicing transfer

$ 407,613 Transfer of cap due to servicing transfer

$ 290,775 Reallocation due to MHA program deobligation

$ 290,769 Transfer of cap due to servicing transfer

$ 290,762 Transfer of cap due to servicing transfer

$ 290,521 Transfer of cap due to servicing transfer

OwnersChoice Funding, Inc. (CUC 

Mortgage Corporation) Albany NY $ 4,350,000 N/A $ 5,300,000 Updated portfolio data from servicer/additional program initial cap

$ 11,000,000 Updated portfolio data from servicer/additional program initial cap

$ 11,740,000 Updated portfolio data from servicer

$ 10,300,000 Updated portfolio data from servicer

$ 3,626,390 Updated portfolio data from servicer

$ 3,626,385 Updated due to quarterly assessment and reallocation

$ 3,626,379 Updated due to quarterly assessment and reallocation

$ 3,626,327 Updated due to quarterly assessment and reallocation

$ 3,626,289 Updated due to quarterly assessment and reallocation

$ 3,626,182 Updated due to quarterly assessment and reallocation

$ 3,626,164 Updated due to quarterly assessment and reallocation

$ 3,626,095 Updated due to quarterly assessment and reallocation

$ 3,626,069 Updated due to quarterly assessment and reallocation

$ 3,626,060 Updated due to quarterly assessment and reallocation

$ 3,610,321 Updated due to quarterly assessment and reallocation

$ 3,609,767 Updated due to quarterly assessment and reallocation

$ 3,603,229 Updated due to quarterly assessment and reallocation

$ 3,590,240 Updated due to quarterly assessment and reallocation

$ 3,585,948 Updated due to quarterly assessment and reallocation

$ 3,087,778 Updated due to quarterly assessment and reallocation

$ 2,904,722 Updated due to quarterly assessment and reallocation

$ 2,199,829 Updated due to quarterly assessment and reallocation

$ 2,032,736 Updated due to quarterly assessment and reallocation

$ 1,808,529 Updated due to quarterly assessment and reallocation

$ 1,657,567 Updated due to quarterly assessment and reallocation

$ 1,191,012 Reallocation due to MHA program deobligation

$ 1,181,259 Updated due to quarterly assessment and reallocation

$ 1,111,332 Updated due to quarterly assessment and reallocation

$ 1,068,587 Updated due to quarterly assessment and reallocation

$ 1,025,773 Updated due to quarterly assessment and reallocation

09/28/2016 $ (66,682) $ 959,091 Updated due to quarterly assessment and reallocation

07/27/2016 $ (42,814)

06/27/2016 $ (42,745)

05/31/2016 $ (69,927)

03/28/2016 $ (9,753)

02/25/2016 $ (466,555)

12/28/2015 $ (150,962)

09/28/2015 $ (224,207)

06/25/2015 $ (167,093)

04/28/2015 $ (704,893)

03/26/2015 $ (183,056)

12/29/2014 $ (498,170)

09/29/2014 $ (4,292)

07/29/2014 $ (12,989)

06/26/2014 $ (6,538)

03/26/2014 $ (554)

12/23/2013 $ (15,739)

09/27/2013 $ (9)

06/27/2013 $ (26)

03/25/2013 $ (69)

12/27/2012 $ (18)

09/27/2012 $ (107)

06/28/2012 $ (38)

06/29/2011 $ (52)

03/30/2011 $ (6)

01/06/2011 $ (5)

09/30/2010 $ (6,673,610)

07/14/2010 $ (1,440,000)

03/26/2010 $ 740,000

12/30/2009 $ 5,700,000

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 950,000

10/25/2018 $ (241)

09/26/2018 $ (7)

08/27/2018 $ (6)

07/26/2018 $ (116,838)

06/21/2018 $ (683)

04/25/2018 $ (3,641)

03/22/2018 $ (1,840)

02/26/2018 $ (564)

12/21/2017 $ (10,914)

10/26/2017 $ (10,476)

09/26/2017 $ (88,877)

07/26/2017 $ (71)

06/26/2017 $ (2,357)

04/26/2017 $ (259)

02/27/2017 $ (3,778)

12/27/2016 $ (218)

11/29/2016 $ (1,422)

11/07/2016 $ 70,445

10/25/2016 $ (182,719)

09/28/2016 $ (193,368)

07/27/2016 $ (106,698)

06/27/2016 $ (106,634)

05/31/2016 $ (178,458)

03/28/2016 $ (22,798)

02/25/2016 $ (1,091,210)

12/28/2015 $ (376,180)

09/28/2015 $ (508,298)

06/25/2015 $ (379,686)

04/28/2015 $ (1,600,867)

03/26/2015 $ (416,543)

12/29/2014 $ (1,104,824)

09/29/2014 $ (9,230)

07/29/2014 $ (27,888)

06/26/2014 $ (14,049)

03/26/2014 $ (1,192)

12/23/2013 $ (33,979)

09/27/2013 $ (20)

06/27/2013 $ (56)

03/25/2013 $ (149)

12/27/2012 $ (40)

124
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 896,017 Updated due to quarterly assessment and reallocation

$ 920,334 Updated due to quarterly assessment and reallocation

$ 919,383 Updated due to quarterly assessment and reallocation

$ 919,238 Transfer of cap due to servicing transfer

$ 916,598 Transfer of cap due to servicing transfer

$ 916,410 Transfer of cap due to servicing transfer

$ 914,959 Transfer of cap due to servicing transfer

$ 914,915 Transfer of cap due to servicing transfer

$ 876,679 Transfer of cap due to servicing transfer

$ 871,937 Transfer of cap due to servicing transfer

$ 864,846 Transfer of cap due to servicing transfer

$ 864,502 Transfer of cap due to servicing transfer

$ 863,380 Transfer of cap due to servicing transfer

$ 861,161 Transfer of cap due to servicing transfer

$ 860,744 Transfer of cap due to servicing transfer

$ 711,987 Reallocation due to MHA program deobligation

$ 711,979 Transfer of cap due to servicing transfer

$ 711,970 Transfer of cap due to servicing transfer

$ 711,662 Transfer of cap due to servicing transfer

Park View Federal Savings Bank Solon OH $ 760,000 N/A $ 800,000 Updated portfolio data from servicer/additional program initial cap

$ 940,000 Updated portfolio data from servicer

$ 800,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

$ 870,332 Updated due to quarterly assessment and reallocation

$ 870,320 Updated due to quarterly assessment and reallocation

$ 870,310 Updated due to quarterly assessment and reallocation

6 $ 53,937 Termination of SPA

Pathfinder Bank Oswego NY $ 1,300,000 N/A $ 3,481,334 Updated portfolio data from servicer

$ 3,481,329 Updated due to quarterly assessment and reallocation

$ 3,481,323 Updated due to quarterly assessment and reallocation

$ 3,481,265 Updated due to quarterly assessment and reallocation

$ 3,481,222 Updated due to quarterly assessment and reallocation

$ 3,481,103 Updated due to quarterly assessment and reallocation

$ 3,481,083 Updated due to quarterly assessment and reallocation

$ 3,481,007 Updated due to quarterly assessment and reallocation

$ 3,480,978 Updated due to quarterly assessment and reallocation

$ 3,480,968 Updated due to quarterly assessment and reallocation

$ 3,463,547 Updated due to quarterly assessment and reallocation

$ 3,462,935 Updated due to quarterly assessment and reallocation

$ 3,455,707 Updated due to quarterly assessment and reallocation

$ 3,441,351 Updated due to quarterly assessment and reallocation

$ 3,436,609 Updated due to quarterly assessment and reallocation

$ 2,873,173 Updated due to quarterly assessment and reallocation

$ 2,661,796 Updated due to quarterly assessment and reallocation

$ 1,832,830 Updated due to quarterly assessment and reallocation

$ 1,635,318 Updated due to quarterly assessment and reallocation

$ 1,370,037 Updated due to quarterly assessment and reallocation

$ 1,171,199 Updated due to quarterly assessment and reallocation

$ 596,803 Reallocation due to MHA program deobligation

$ 584,805 Updated due to quarterly assessment and reallocation

$ 491,787 Updated due to quarterly assessment and reallocation

$ 436,220 Updated due to quarterly assessment and reallocation

$ 380,636 Updated due to quarterly assessment and reallocation

$ 281,007 Updated due to quarterly assessment and reallocation

$ 196,282 Updated due to quarterly assessment and reallocation

$ 228,946 Updated due to quarterly assessment and reallocation

$ 228,294 Updated due to quarterly assessment and reallocation

$ 228,194 Transfer of cap due to servicing transfer

$ 226,468 Transfer of cap due to servicing transfer

$ 226,346 Transfer of cap due to servicing transfer

$ 225,407 Transfer of cap due to servicing transfer

$ 225,379 Transfer of cap due to servicing transfer

$ 187,957 Transfer of cap due to servicing transfer

$ 183,316 Transfer of cap due to servicing transfer

$ 178,481 Transfer of cap due to servicing transfer

$ 178,246 Transfer of cap due to servicing transfer

$ 177,481 Transfer of cap due to servicing transfer

$ 175,968 Transfer of cap due to servicing transfer

$ 175,684 Transfer of cap due to servicing transfer

$ 126,357 Reallocation due to MHA program deobligation

08/27/2018 $ (3) $ 126,354 Transfer of cap due to servicing transfer

07/26/2018 $ (49,327)

06/21/2018 $ (284)

04/25/2018 $ (1,513)

03/22/2018 $ (765)

02/26/2018 $ (235)

12/21/2017 $ (4,835)

10/26/2017 $ (4,641)

09/26/2017 $ (37,422)

07/26/2017 $ (28)

06/26/2017 $ (939)

04/26/2017 $ (122)

02/27/2017 $ (1,726)

12/27/2016 $ (100)

11/29/2016 $ (652)

11/07/2016 $ 32,664

10/25/2016 $ (84,725)

09/28/2016 $ (99,629)

07/27/2016 $ (55,584)

06/27/2016 $ (55,567)

05/31/2016 $ (93,018)

03/28/2016 $ (11,998)

02/25/2016 $ (574,396)

12/28/2015 $ (198,838)

09/28/2015 $ (265,281)

06/25/2015 $ (197,512)

04/28/2015 $ (828,966)

03/26/2015 $ (211,377)

12/29/2014 $ (563,436)

09/29/2014 $ (4,742)

07/29/2014 $ (14,356)

06/26/2014 $ (7,228)

03/26/2014 $ (612)

12/23/2013 $ (17,421)

09/27/2013 $ (10)

06/27/2013 $ (29)

03/25/2013 $ (76)

12/27/2012 $ (20)

09/27/2012 $ (119)

06/28/2012 $ (43)

06/29/2011 $ (58)

03/30/2011 $ (6)

01/06/2011 $ (5)

08/25/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 2,181,334

09/14/2012 $ (816,373)

06/28/2012 $ (10)

06/29/2011 $ (12)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 70,334

07/14/2010 $ (140,000)

03/26/2010 $ 140,000

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 40,000

10/25/2018 $ (308)

09/26/2018 $ (9)

08/27/2018 $ (8)

07/26/2018 $ (148,757)

06/21/2018 $ (417)

04/25/2018 $ (2,219)

03/22/2018 $ (1,122)

02/26/2018 $ (344)

12/21/2017 $ (7,091)

10/26/2017 $ (4,742)

09/26/2017 $ (38,236)

07/26/2017 $ (44)

06/26/2017 $ (1,451)

04/26/2017 $ (188)

02/27/2017 $ (2,640)

12/27/2016 $ (145)

11/29/2016 $ (951)

11/07/2016 $ 24,317

10/25/2016 $ (63,074)

125
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 126,351 Transfer of cap due to servicing transfer

$ 126,249 Transfer of cap due to servicing transfer

PennyMac Loan Services, LLC Calasbasa CA $ 6,210,000 N/A $ 5,010,000 Updated portfolio data from servicer/additional program initial cap

$ 35,810,000 Updated portfolio data from servicer/additional program initial cap

$ 59,010,000 Updated portfolio data from servicer

$ 61,720,000 Transfer of cap due to servicing transfer

$ 43,700,000 Updated portfolio data from servicer

$ 50,380,000 Transfer of cap due to servicing transfer

$ 52,980,000 Transfer of cap due to servicing transfer

$ 52,880,000 Transfer of cap due to servicing transfer

$ 53,080,000 Updated portfolio data from servicer/additional program initial cap

$ 51,656,803 Updated portfolio data from servicer

$ 53,056,803 Transfer of cap due to servicing transfer

$ 52,956,803 Transfer of cap due to servicing transfer

$ 52,956,731 Updated due to quarterly assessment and reallocation

$ 57,056,731 Transfer of cap due to servicing transfer

$ 56,956,731 Transfer of cap due to servicing transfer

$ 60,956,731 Transfer of cap due to servicing transfer

$ 60,956,637 Updated due to quarterly assessment and reallocation

$ 60,856,637 Transfer of cap due to servicing transfer

$ 66,656,637 Transfer of cap due to servicing transfer

$ 67,256,637 Transfer of cap due to servicing transfer

$ 67,255,825 Updated due to quarterly assessment and reallocation

$ 69,755,825 Transfer of cap due to servicing transfer

$ 72,555,825 Transfer of cap due to servicing transfer

$ 72,855,825 Transfer of cap due to servicing transfer

$ 73,755,825 Transfer of cap due to servicing transfer

$ 74,555,825 Transfer of cap due to servicing transfer

$ 74,755,825 Transfer of cap due to servicing transfer

$ 76,655,825 Transfer of cap due to servicing transfer

$ 76,855,825 Transfer of cap due to servicing transfer

$ 78,195,825 Transfer of cap due to servicing transfer

$ 78,195,485 Updated due to quarterly assessment and reallocation

$ 81,125,485 Transfer of cap due to servicing transfer

$ 82,015,485 Transfer of cap due to servicing transfer

$ 82,014,511 Updated due to quarterly assessment and reallocation

$ 83,814,511 Transfer of cap due to servicing transfer

$ 87,674,511 Transfer of cap due to servicing transfer

$ 87,674,357 Updated due to quarterly assessment and reallocation

$ 90,654,357 Transfer of cap due to servicing transfer

$ 90,653,851 Updated due to quarterly assessment and reallocation

$ 92,813,851 Transfer of cap due to servicing transfer

$ 95,253,851 Transfer of cap due to servicing transfer

$ 95,253,723 Updated due to quarterly assessment and reallocation

$ 95,253,716 Updated due to quarterly assessment and reallocation

$ 99,703,716 Transfer of cap due to servicing transfer

$ 115,529,931 Updated due to quarterly assessment and reallocation

$ 120,659,931 Transfer of cap due to servicing transfer

$ 118,269,931 Transfer of cap due to servicing transfer

$ 120,287,357 Updated due to quarterly assessment and reallocation

$ 120,277,357 Transfer of cap due to servicing transfer

$ 122,637,357 Transfer of cap due to servicing transfer

$ 128,596,558 Updated due to quarterly assessment and reallocation

$ 128,606,558 Transfer of cap due to servicing transfer

$ 132,314,939 Updated due to quarterly assessment and reallocation

$ 132,464,939 Transfer of cap due to servicing transfer

$ 129,854,939 Transfer of cap due to servicing transfer

$ 129,847,722 Updated due to quarterly assessment and reallocation

$ 104,757,722 Transfer of cap due to servicing transfer

$ 104,777,722 Transfer of cap due to servicing transfer

$ 121,577,569 Updated due to quarterly assessment and reallocation

$ 121,597,569 Transfer of cap due to servicing transfer

$ 124,064,673 Updated due to quarterly assessment and reallocation

$ 127,274,673 Transfer of cap due to servicing transfer

$ 128,678,718 Updated due to quarterly assessment and reallocation

$ 125,308,718 Transfer of cap due to servicing transfer

$ 128,688,718 Transfer of cap due to servicing transfer

$ 131,052,770 Updated due to quarterly assessment and reallocation

$ 131,502,770 Transfer of cap due to servicing transfer

$ 135,912,770 Transfer of cap due to servicing transfer

$ 142,525,577 Updated due to quarterly assessment and reallocation

12/28/2015 $ 4,078,670 $ 146,604,247 Updated due to quarterly assessment and reallocation

09/28/2015 $ 6,612,807

08/14/2015 $ 4,410,000

07/16/2015 $ 450,000

06/25/2015 $ 2,364,052

06/16/2015 $ 3,380,000

05/14/2015 $ (3,370,000)

04/28/2015 $ 1,404,045

04/16/2015 $ 3,210,000

03/26/2015 $ 2,467,104

02/13/2015 $ 20,000

12/29/2014 $ 16,799,847

11/14/2014 $ 20,000

10/16/2014 $ (25,090,000)

09/29/2014 $ (7,217)

09/16/2014 $ (2,610,000)

08/14/2014 $ 150,000

07/29/2014 $ 3,708,381

07/16/2014 $ 10,000

06/26/2014 $ 5,959,201

06/16/2014 $ 2,360,000

05/15/2014 $ (10,000)

03/26/2014 $ 2,017,426

03/14/2014 $ (2,390,000)

02/13/2014 $ 5,130,000

12/23/2013 $ 15,826,215

10/15/2013 $ 4,450,000

09/27/2013 $ (7)

06/27/2013 $ (128)

06/14/2013 $ 2,440,000

04/16/2013 $ 2,160,000

03/25/2013 $ (506)

02/14/2013 $ 2,980,000

12/27/2012 $ (154)

12/14/2012 $ 3,860,000

10/16/2012 $ 1,800,000

09/27/2012 $ (974)

08/16/2012 $ 890,000

07/16/2012 $ 2,930,000

06/28/2012 $ (340)

06/14/2012 $ 1,340,000

04/16/2012 $ 200,000

03/15/2012 $ 1,900,000

01/13/2012 $ 200,000

12/15/2011 $ 800,000

11/16/2011 $ 900,000

10/14/2011 $ 300,000

09/15/2011 $ 2,800,000

07/14/2011 $ 2,500,000

06/29/2011 $ (812)

06/16/2011 $ 600,000

05/13/2011 $ 5,800,000

04/13/2011 $ (100,000)

03/30/2011 $ (94)

03/16/2011 $ 4,000,000

02/16/2011 $ (100,000)

01/13/2011 $ 4,100,000

01/06/2011 $ (72)

12/15/2010 $ (100,000)

11/16/2010 $ 1,400,000

09/30/2010 $ (1,423,197)

09/30/2010 $ 200,000

09/15/2010 $ (100,000)

08/13/2010 $ 2,600,000

07/16/2010 $ 6,680,000

07/14/2010 $ (18,020,000)

06/16/2010 $ 2,710,000

03/26/2010 $ 23,200,000

12/30/2009 $ 30,800,000

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (1,200,000)

10/25/2018 $ (102)

09/26/2018 $ (3)

126
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 141,173,792 Reallocation due to MHA program deobligation

$ 141,193,792 Transfer of cap due to servicing transfer

$ 141,068,531 Updated due to quarterly assessment and reallocation

$ 141,098,531 Transfer of cap due to servicing transfer

$ 141,088,531 Transfer of cap due to servicing transfer

$ 143,062,498 Updated due to quarterly assessment and reallocation

$ 126,192,498 Transfer of cap due to servicing transfer

$ 126,065,545 Updated due to quarterly assessment and reallocation

$ 126,025,545 Transfer of cap due to servicing transfer

$ 125,747,732 Updated due to quarterly assessment and reallocation

$ 129,571,219 Updated due to quarterly assessment and reallocation

$ 129,621,219 Transfer of cap due to servicing transfer

$ 131,838,441 Updated due to quarterly assessment and reallocation

$ 131,838,441 Updated due to quarterly assessment and reallocation

$ 138,278,441 Transfer of cap due to servicing transfer

$ 138,193,907 Updated due to quarterly assessment and reallocation

$ 138,180,429 Transfer of cap due to servicing transfer

$ 146,930,429 Transfer of cap due to servicing transfer

$ 146,536,448 Transfer of cap due to servicing transfer

$ 142,476,448 Transfer of cap due to servicing transfer

$ 142,455,431 Transfer of cap due to servicing transfer

$ 142,262,893 Transfer of cap due to servicing transfer

$ 142,257,204 Transfer of cap due to servicing transfer

$ 138,764,808 Transfer of cap due to servicing transfer

$ 138,061,655 Transfer of cap due to servicing transfer

$ 136,816,012 Transfer of cap due to servicing transfer

$ 136,748,552 Transfer of cap due to servicing transfer

$ 136,442,665 Transfer of cap due to servicing transfer

$ 135,818,909 Transfer of cap due to servicing transfer

$ 135,664,553 Transfer of cap due to servicing transfer

$ 103,489,682 Reallocation due to MHA program deobligation

$ 103,487,835 Transfer of cap due to servicing transfer

$ 103,485,764 Transfer of cap due to servicing transfer

$ 103,408,947 Transfer of cap due to servicing transfer

PHH Mortgage Corporation Mt. Laurel NJ - N/A 3 $ 1,300,000 Transfer of cap due to servicing transfer

$ 1,299,985 Updated due to quarterly assessment and reallocation

$ 1,299,943 Updated due to quarterly assessment and reallocation

$ 1,439,943 Transfer of cap due to servicing transfer

$ 1,439,935 Updated due to quarterly assessment and reallocation

$ 1,439,905 Updated due to quarterly assessment and reallocation

$ 1,439,894 Updated due to quarterly assessment and reallocation

$ 7,289,894 Transfer of cap due to servicing transfer

$ 7,289,874 Updated due to quarterly assessment and reallocation

$ 7,255,329 Updated due to quarterly assessment and reallocation

$ 7,254,113 Updated due to quarterly assessment and reallocation

$ 7,239,742 Updated due to quarterly assessment and reallocation

$ 7,211,181 Updated due to quarterly assessment and reallocation

$ 7,201,745 Updated due to quarterly assessment and reallocation

$ 6,123,537 Updated due to quarterly assessment and reallocation

$ 5,717,157 Updated due to quarterly assessment and reallocation

$ 4,115,297 Updated due to quarterly assessment and reallocation

$ 3,732,877 Updated due to quarterly assessment and reallocation

$ 3,722,877 Transfer of cap due to servicing transfer

$ 3,210,281 Updated due to quarterly assessment and reallocation

$ 2,822,450 Updated due to quarterly assessment and reallocation

$ 1,687,457 Reallocation due to MHA program deobligation

$ 1,663,748 Updated due to quarterly assessment and reallocation

$ 1,478,187 Updated due to quarterly assessment and reallocation

$ 1,366,341 Updated due to quarterly assessment and reallocation

$ 1,254,456 Updated due to quarterly assessment and reallocation

$ 1,058,788 Updated due to quarterly assessment and reallocation

$ 869,960 Updated due to quarterly assessment and reallocation

$ 942,760 Updated due to quarterly assessment and reallocation

$ 941,123 Updated due to quarterly assessment and reallocation

$ 940,873 Transfer of cap due to servicing transfer

$ 936,388 Transfer of cap due to servicing transfer

$ 936,094 Transfer of cap due to servicing transfer

$ 933,833 Transfer of cap due to servicing transfer

$ 933,765 Transfer of cap due to servicing transfer

$ 852,098 Transfer of cap due to servicing transfer

$ 841,420 Transfer of cap due to servicing transfer

12/21/2017 $ (11,134) $ 830,286 Transfer of cap due to servicing transfer

10/26/2017 $ (10,678)

09/26/2017 $ (81,667)

07/26/2017 $ (68)

06/26/2017 $ (2,261)

04/26/2017 $ (294)

02/27/2017 $ (4,485)

12/27/2016 $ (250)

11/29/2016 $ (1,637)

11/07/2016 $ 72,800

10/25/2016 $ (188,828)

09/28/2016 $ (195,668)

07/27/2016 $ (111,885)

06/27/2016 $ (111,846)

05/31/2016 $ (185,561)

03/28/2016 $ (23,709)

02/25/2016 $ (1,134,993)

12/28/2015 $ (387,831)

09/28/2015 $ (512,596)

08/14/2015 $ (10,000)

06/25/2015 $ (382,420)

04/28/2015 $ (1,601,860)

03/26/2015 $ (406,380)

12/29/2014 $ (1,078,208)

09/29/2014 $ (9,436)

07/29/2014 $ (28,561)

06/26/2014 $ (14,371)

03/26/2014 $ (1,216)

12/23/2013 $ (34,545)

09/27/2013 $ (20)

07/16/2013 $ 5,850,000

06/27/2013 $ (11)

03/25/2013 $ (30)

12/27/2012 $ (8)

10/16/2012 $ 140,000

09/27/2012 $ (42)

06/28/2012 $ (15)

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/15/2011 $ 1,300,000

10/25/2018 $ (76,817)

09/26/2018 $ (2,071)

08/27/2018 $ (1,847)

07/26/2018 $ (32,174,871)

06/21/2018 $ (154,356)

04/25/2018 $ (623,756)

03/22/2018 $ (305,887)

02/26/2018 $ (67,460)

12/21/2017 $ (1,245,643)

10/26/2017 $ (703,153)

09/26/2017 $ (3,492,396)

07/26/2017 $ (5,689)

06/26/2017 $ (192,538)

04/26/2017 $ (21,017)

03/16/2017 $ (4,060,000)

02/27/2017 $ (393,981)

02/16/2017 $ 8,750,000

12/27/2016 $ (13,478)

11/29/2016 $ (84,534)

11/16/2016 $ 6,440,000

11/07/2016 -

10/25/2016 $ 2,217,222

10/14/2016 $ 50,000

09/28/2016 $ 3,823,487

07/27/2016 $ (277,813)

07/14/2016 $ (40,000)

06/27/2016 $ (126,953)

06/16/2016 $ (16,870,000)

05/31/2016 $ 1,973,967

05/16/2016 $ (10,000)

04/14/2016 $ 30,000

03/28/2016 $ (125,261)

03/16/2016 $ 20,000

02/25/2016 $ (5,430,455)

127
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 829,745 Transfer of cap due to servicing transfer

$ 827,981 Transfer of cap due to servicing transfer

$ 824,493 Transfer of cap due to servicing transfer

$ 823,839 Transfer of cap due to servicing transfer

$ 657,104 Reallocation due to MHA program deobligation

$ 657,095 Transfer of cap due to servicing transfer

$ 657,085 Transfer of cap due to servicing transfer

$ 805,272 Transfer of cap due to servicing transfer

$ 805,271 Transfer of cap due to servicing transfer

PHH Mortgage, a subsidiary of Ocwen 

Financial Corporation West Palm Beach FL $ 659,000,000 N/A $ 553,380,000 Updated portfolio data from servicer

$ 655,960,000 Updated portfolio data from servicer/additional program initial cap

$ 933,600,000 Updated portfolio data from servicer/additional program initial cap

$ 980,460,000 Updated portfolio data from servicer

$ 1,136,510,000 Transfer of cap due to servicing transfer

$ 944,900,000 Updated portfolio data from servicer

$ 968,610,000 Transfer of cap due to servicing transfer

$ 968,710,000 Updated portfolio data from servicer/additional program initial cap

$ 972,452,740 Updated portfolio data from servicer

$ 1,143,252,740 Transfer of cap due to servicing transfer

$ 1,143,251,720 Updated due to quarterly assessment and reallocation

$ 1,144,151,720 Transfer of cap due to servicing transfer

$ 1,144,150,606 Updated due to quarterly assessment and reallocation

$ 1,144,140,562 Updated due to quarterly assessment and reallocation

$ 1,144,040,562 Transfer of cap due to servicing transfer

$ 1,338,840,562 Transfer of cap due to servicing transfer

$ 1,339,240,562 Transfer of cap due to servicing transfer

$ 1,339,340,562 Transfer of cap due to servicing transfer

$ 1,462,870,562 Transfer of cap due to servicing transfer

$ 1,817,160,562 Transfer of cap due to servicing transfer

$ 1,817,154,254 Updated due to quarterly assessment and reallocation

$ 1,827,234,254 Transfer of cap due to servicing transfer

$ 1,835,624,254 Transfer of cap due to servicing transfer

$ 1,835,613,521 Updated due to quarterly assessment and reallocation

$ 1,850,173,521 Transfer of cap due to servicing transfer

$ 1,863,413,521 Transfer of cap due to servicing transfer

$ 1,865,493,521 Transfer of cap due to servicing transfer

$ 1,865,492,506 Updated due to quarterly assessment and reallocation

$ 1,865,902,506 Transfer of cap due to servicing transfer

$ 1,866,862,506 Transfer of cap due to servicing transfer

$ 1,950,742,506 Transfer of cap due to servicing transfer

$ 1,950,740,629 Updated due to quarterly assessment and reallocation

$ 2,107,978,558 Transfer of cap due to servicing transfer

$ 2,728,838,558 Transfer of cap due to servicing transfer

$ 2,747,808,558 Transfer of cap due to servicing transfer

$ 2,747,618,558 Transfer of cap due to servicing transfer

$ 2,747,615,741 Updated due to quarterly assessment and reallocation

$ 2,762,325,741 Transfer of cap due to servicing transfer

$ 2,828,495,741 Transfer of cap due to servicing transfer

$ 2,828,495,465 Updated due to quarterly assessment and reallocation

$ 3,096,075,465 Transfer of cap due to servicing transfer

$ 3,100,365,465 Transfer of cap due to servicing transfer

$ 3,380,735,465 Transfer of cap due to servicing transfer

$ 3,430,022,197 Updated due to quarterly assessment and reallocation

$ 3,481,202,197 Transfer of cap due to servicing transfer

$ 4,246,433,587 Transfer of cap due to merger/acquisition

$ 4,285,333,587 Transfer of cap due to servicing transfer

$ 4,646,194,086 Transfer of cap due to merger/acquisition

$ 4,671,274,086 Transfer of cap due to servicing transfer

$ 4,671,106,435 Updated due to quarterly assessment and reallocation

$ 4,683,086,435 Transfer of cap due to servicing transfer

$ 4,683,216,435 Transfer of cap due to servicing transfer

$ 4,967,691,523 Transfer of cap due to merger/acquisition

$ 4,968,381,523 Transfer of cap due to servicing transfer

$ 4,966,096,845 Updated due to quarterly assessment and reallocation

$ 4,966,086,845 Transfer of cap due to servicing transfer

$ 4,961,750,425 Updated due to quarterly assessment and reallocation

$ 4,962,780,425 Transfer of cap due to servicing transfer

$ 4,965,070,425 Transfer of cap due to servicing transfer

$ 4,963,738,069 Updated due to quarterly assessment and reallocation

$ 4,908,128,069 Transfer of cap due to servicing transfer

11/14/2014 $ (560,000) $ 4,907,568,069 Transfer of cap due to servicing transfer

10/16/2014 $ (55,610,000)

09/29/2014 $ (1,332,356)

09/16/2014 $ 2,290,000

08/14/2014 $ 1,030,000

07/29/2014 $ (4,336,420)

07/16/2014 $ (10,000)

06/26/2014 $ (2,284,678)

06/16/2014 $ 690,000

05/28/2014 $ 284,475,088

05/15/2014 $ 130,000

04/16/2014 $ 11,980,000

03/26/2014 $ (167,651)

03/14/2014 $ 25,080,000

02/27/2014 $ 360,860,500

02/13/2014 $ 38,900,000

01/31/2014 $ 765,231,390

01/16/2014 $ 51,180,000

12/23/2013 $ 49,286,732

12/16/2013 $ 280,370,000

11/14/2013 $ 4,290,000

10/15/2013 $ 267,580,000

09/27/2013 $ (276)

09/16/2013 $ 66,170,000

07/16/2013 $ 14,710,000

06/27/2013 $ (2,817)

06/14/2013 $ (190,000)

05/16/2013 $ 18,970,000

04/16/2013 $ 620,860,000

04/09/2013 $ 157,237,929

03/25/2013 $ (1,877)

03/14/2013 $ 83,880,000

02/14/2013 $ 960,000

01/16/2013 $ 410,000

12/27/2012 $ (1,015)

12/14/2012 $ 2,080,000

11/15/2012 $ 13,240,000

10/16/2012 $ 14,560,000

09/27/2012 $ (10,733)

08/16/2012 $ 8,390,000

07/16/2012 $ 10,080,000

06/28/2012 $ (6,308)

06/14/2012 $ 354,290,000

05/16/2012 $ 123,530,000

03/15/2012 $ 100,000

02/16/2012 $ 400,000

01/13/2012 $ 194,800,000

10/14/2011 $ (100,000)

06/29/2011 $ (10,044)

03/30/2011 $ (1,114)

02/16/2011 $ 900,000

01/06/2011 $ (1,020)

10/15/2010 $ 170,800,000

09/30/2010 $ 3,742,740

09/15/2010 $ 100,000

07/16/2010 $ 23,710,000

07/14/2010 $ (191,610,000)

06/16/2010 $ 156,050,000

03/26/2010 $ 46,860,000

12/30/2009 $ 277,640,000

09/30/2009 $ 102,580,000

04/16/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ (105,620,000)

07/16/2019 $ (1)

10/25/2018 $ 148,187

09/26/2018 $ (10)

08/27/2018 $ (9)

07/26/2018 $ (166,735)

06/21/2018 $ (654)

04/25/2018 $ (3,488)

03/22/2018 $ (1,764)

02/26/2018 $ (541)

128
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 4,908,678,069 Transfer of cap due to servicing transfer

$ 5,210,082,654 Updated due to quarterly assessment and reallocation

$ 5,210,182,654 Transfer of cap due to servicing transfer

$ 5,241,722,654 Transfer of cap due to servicing transfer

$ 5,427,667,399 Updated due to quarterly assessment and reallocation

$ 5,423,127,399 Transfer of cap due to servicing transfer

$ 5,850,401,149 Updated due to quarterly assessment and reallocation

$ 5,847,611,149 Transfer of cap due to servicing transfer

$ 5,839,481,149 Transfer of cap due to servicing transfer

$ 6,005,895,469 Updated due to quarterly assessment and reallocation

$ 5,998,785,469 Transfer of cap due to servicing transfer

$ 5,988,285,469 Transfer of cap due to servicing transfer

$ 5,980,515,469 Transfer of cap due to servicing transfer

$ 6,139,173,720 Updated due to quarterly assessment and reallocation

$ 6,133,513,720 Transfer of cap due to servicing transfer

$ 6,132,913,720 Transfer of cap due to servicing transfer

$ 6,123,043,720 Transfer of cap due to servicing transfer

$ 6,208,664,981 Updated due to quarterly assessment and reallocation

$ 6,208,314,981 Transfer of cap due to servicing transfer

$ 6,208,344,981 Transfer of cap due to servicing transfer

$ 6,039,706,096 Reallocation due to MHA program deobligation

$ 6,201,232,131 Transfer of cap due to merger/acquisition

$ 6,179,842,131 Transfer of cap due to servicing transfer

$ 6,174,045,892 Updated due to quarterly assessment and reallocation

$ 6,173,585,892 Transfer of cap due to servicing transfer

$ 6,129,095,892 Transfer of cap due to servicing transfer

$ 6,208,052,238 Updated due to quarterly assessment and reallocation

$ 6,207,182,238 Transfer of cap due to servicing transfer

$ 6,291,769,478 Updated due to quarterly assessment and reallocation

$ 6,291,749,478 Transfer of cap due to servicing transfer

$ 6,386,000,092 Updated due to quarterly assessment and reallocation

$ 6,369,410,092 Transfer of cap due to servicing transfer

$ 6,471,408,988 Updated due to quarterly assessment and reallocation

$ 6,465,068,988 Transfer of cap due to servicing transfer

$ 6,513,210,084 Updated due to quarterly assessment and reallocation

$ 6,513,210,084 Updated due to quarterly assessment and reallocation

$ 6,509,430,084 Transfer of cap due to servicing transfer

$ 6,507,051,666 Updated due to quarterly assessment and reallocation

$ 6,506,111,666 Transfer of cap due to servicing transfer

$ 6,505,727,724 Transfer of cap due to servicing transfer

$ 6,505,457,724 Transfer of cap due to servicing transfer

$ 6,500,347,724 Transfer of cap due to servicing transfer

$ 6,494,217,712 Transfer of cap due to servicing transfer

$ 6,488,777,712 Transfer of cap due to servicing transfer

$ 6,488,287,668 Transfer of cap due to servicing transfer

$ 6,483,823,236 Transfer of cap due to servicing transfer

$ 6,483,680,690 Transfer of cap due to servicing transfer

$ 6,424,096,117 Transfer of cap due to servicing transfer

$ 6,414,914,802 Transfer of cap due to servicing transfer

$ 6,401,563,300 Transfer of cap due to servicing transfer

$ 6,400,787,900 Transfer of cap due to servicing transfer

$ 6,397,597,594 Transfer of cap due to servicing transfer

$ 6,390,687,312 Transfer of cap due to servicing transfer

$ 6,389,229,471 Transfer of cap due to servicing transfer

$ 5,428,025,851 Reallocation due to MHA program deobligation

$ 5,427,970,370 Transfer of cap due to servicing transfer

$ 5,427,908,334 Transfer of cap due to servicing transfer

$ 5,425,614,106 Transfer of cap due to servicing transfer

$ 5,420,517,190 Transfer of cap due to servicing transfer

$ 5,319,180,547 Reallocation due to MHA program deobligation

$ 5,318,322,260 Transfer of cap due to servicing transfer

Planet Home Lending, LLC Meriden CT - N/A 3 - Transfer of cap due to servicing transfer

$ 1,110,000 Transfer of cap due to servicing transfer

$ 1,109,756 Updated due to quarterly assessment and reallocation

$ 1,109,673 Transfer of cap due to servicing transfer

$ 1,106,221 Transfer of cap due to servicing transfer

$ 1,106,014 Transfer of cap due to servicing transfer

$ 1,103,638 Transfer of cap due to servicing transfer

$ 1,103,581 Transfer of cap due to servicing transfer

$ 1,113,116 Transfer of cap due to servicing transfer

$ 1,110,129 Transfer of cap due to servicing transfer

12/21/2017 $ (7,743) $ 1,102,386 Transfer of cap due to servicing transfer

10/26/2017 $ (2,987)

09/26/2017 $ 9,535

07/26/2017 $ (57)

06/26/2017 $ (2,376)

04/26/2017 $ (207)

02/27/2017 $ (3,452)

12/27/2016 $ (83)

11/29/2016 $ (244)

11/16/2016 $ 1,110,000

10/14/2016 Purchase Financial Instrument for Home Loan Modifications 10/14/2016 -

09/23/2019 $ (858,287)

08/22/2019 $ (101,336,643)

03/25/2019 $ (5,096,916)

10/25/2018 $ (2,294,228)

09/26/2018 $ (62,036)

08/27/2018 $ (55,481)

07/26/2018 $ (961,203,620)

06/21/2018 $ (1,457,841)

04/25/2018 $ (6,910,282)

03/22/2018 $ (3,190,306)

02/26/2018 $ (775,400)

12/21/2017 $ (13,351,502)

10/26/2017 $ (9,181,315)

09/26/2017 $ (59,584,573)

07/26/2017 $ (142,546)

06/26/2017 $ (4,464,432)

04/26/2017 $ (490,044)

03/16/2017 $ (5,440,000)

02/27/2017 $ (6,130,012)

02/16/2017 $ (5,110,000)

01/13/2017 $ (270,000)

12/27/2016 $ (383,942)

12/15/2016 $ (940,000)

11/29/2016 $ (2,378,418)

11/16/2016 $ (3,780,000)

11/07/2016 -

10/25/2016 $ 48,141,096

10/14/2016 $ (6,340,000)

09/28/2016 $ 101,998,896

09/15/2016 $ (16,590,000)

07/27/2016 $ 94,250,614

07/14/2016 $ (20,000)

06/27/2016 $ 84,587,240

06/16/2016 $ (870,000)

05/31/2016 $ 78,956,346

05/16/2016 $ (44,490,000)

04/14/2016 $ (460,000)

03/28/2016 $ (5,796,239)

03/16/2016 $ (21,390,000)

03/04/2016 $ 161,526,035

02/25/2016 $ (168,638,885)

02/16/2016 $ 30,000

01/14/2016 $ (350,000)

12/28/2015 $ 85,621,261

12/16/2015 $ (9,870,000)

11/16/2015 $ (600,000)

10/15/2015 $ (5,660,000)

09/28/2015 $ 158,658,251

09/16/2015 $ (7,770,000)

08/14/2015 $ (10,500,000)

07/16/2015 $ (7,110,000)

06/25/2015 $ 166,414,320

06/16/2015 $ (8,130,000)

05/14/2015 $ (2,790,000)

04/28/2015 $ 427,273,750

04/16/2015 $ (4,540,000)

03/26/2015 $ 185,944,745

02/13/2015 $ 31,540,000

01/15/2015 $ 100,000

12/29/2014 $ 301,404,585

12/16/2014 $ 1,110,000

129
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,101,358 Transfer of cap due to servicing transfer

$ 5,201,494 Transfer of cap due to servicing transfer

$ 5,192,284 Transfer of cap due to servicing transfer

$ 5,188,611 Transfer of cap due to servicing transfer

$ 4,176,208 Reallocation due to MHA program deobligation

$ 4,176,189 Transfer of cap due to servicing transfer

$ 4,176,014 Transfer of cap due to servicing transfer

$ 4,170,435 Transfer of cap due to servicing transfer

Plaza Home Mortgage, Inc San Diego CA - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

PNC Bank, National Association Pittsburgh PA $ 54,470,000 N/A $ 18,230,000 Updated portfolio data from servicer/additional program initial cap

$ 37,510,000 Updated portfolio data from servicer/additional program initial cap

$ 39,980,000 Updated portfolio data from servicer

$ 22,800,000 Updated portfolio data from servicer

$ 58,300,000 Updated portfolio data from servicer/additional program initial cap

$ 81,376,191 Updated portfolio data from servicer

$ 81,376,068 Updated due to quarterly assessment and reallocation

$ 81,375,921 Updated due to quarterly assessment and reallocation

$ 81,275,921 Transfer of cap due to servicing transfer

$ 81,274,539 Updated due to quarterly assessment and reallocation

$ 80,974,539 Transfer of cap due to servicing transfer

$ 80,973,536 Updated due to quarterly assessment and reallocation

$ 80,970,791 Updated due to quarterly assessment and reallocation

$ 80,970,331 Updated due to quarterly assessment and reallocation

$ 80,968,591 Updated due to quarterly assessment and reallocation

$ 81,028,591 Transfer of cap due to merger/acquisition

$ 81,027,935 Updated due to quarterly assessment and reallocation

$ 81,027,701 Updated due to quarterly assessment and reallocation

$ 80,632,775 Updated due to quarterly assessment and reallocation

$ 80,618,930 Updated due to quarterly assessment and reallocation

$ 80,456,529 Updated due to quarterly assessment and reallocation

$ 80,134,049 Updated due to quarterly assessment and reallocation

$ 80,027,644 Updated due to quarterly assessment and reallocation

$ 67,155,756 Updated due to quarterly assessment and reallocation

$ 62,329,552 Updated due to quarterly assessment and reallocation

$ 43,326,638 Updated due to quarterly assessment and reallocation

$ 38,825,193 Updated due to quarterly assessment and reallocation

$ 32,853,022 Updated due to quarterly assessment and reallocation

$ 28,431,750 Updated due to quarterly assessment and reallocation

$ 15,624,512 Reallocation due to MHA program deobligation

$ 15,356,173 Updated due to quarterly assessment and reallocation

$ 13,277,174 Updated due to quarterly assessment and reallocation

$ 12,037,805 Updated due to quarterly assessment and reallocation

$ 10,807,965 Updated due to quarterly assessment and reallocation

$ 8,650,140 Updated due to quarterly assessment and reallocation

$ 6,605,970 Updated due to quarterly assessment and reallocation

$ 7,394,069 Updated due to quarterly assessment and reallocation

$ 7,377,450 Updated due to quarterly assessment and reallocation

$ 7,374,906 Transfer of cap due to servicing transfer

$ 7,333,067 Transfer of cap due to servicing transfer

$ 7,330,463 Transfer of cap due to servicing transfer

$ 7,310,882 Transfer of cap due to servicing transfer

$ 7,310,286 Transfer of cap due to servicing transfer

$ 6,659,019 Transfer of cap due to servicing transfer

$ 6,577,691 Transfer of cap due to servicing transfer

$ 6,491,556 Transfer of cap due to servicing transfer

$ 6,487,219 Transfer of cap due to servicing transfer

$ 6,473,064 Transfer of cap due to servicing transfer

$ 6,444,835 Transfer of cap due to servicing transfer

$ 6,439,509 Transfer of cap due to servicing transfer

$ 5,102,753 Reallocation due to MHA program deobligation

$ 5,102,680 Transfer of cap due to servicing transfer

$ 5,102,602 Transfer of cap due to servicing transfer

$ 5,099,800 Transfer of cap due to servicing transfer

PNC Bank, National Association 

(successor to National City Bank) Miamisburg OH $ 294,980,000 N/A $ 610,150,000 Updated portfolio data from servicer/additional program initial cap

$ 700,430,000 Updated portfolio data from servicer/additional program initial cap

$ 681,740,000 Updated portfolio data from servicer

$ 409,100,000 Updated portfolio data from servicer

$ 489,700,000 Updated portfolio data from servicer/additional program initial cap

$ 560,930,004 Updated portfolio data from servicer

01/06/2011 $ (828) $ 560,929,176 Updated due to quarterly assessment and reallocation

09/30/2010 $ 71,230,004

09/30/2010 $ 80,600,000

07/14/2010 $ (272,640,000)

03/26/2010 $ (18,690,000)

12/30/2009 $ 90,280,000

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 315,170,000

10/25/2018 $ (2,802)

09/26/2018 $ (78)

08/27/2018 $ (73)

07/26/2018 $ (1,336,756)

06/21/2018 $ (5,326)

04/25/2018 $ (28,229)

03/22/2018 $ (14,155)

02/26/2018 $ (4,337)

12/21/2017 $ (86,135)

10/26/2017 $ (81,328)

09/26/2017 $ (651,267)

07/26/2017 $ (596)

06/26/2017 $ (19,581)

04/26/2017 $ (2,604)

02/27/2017 $ (41,839)

12/27/2016 $ (2,544)

11/29/2016 $ (16,619)

11/07/2016 $ 788,099

10/25/2016 $ (2,044,170)

09/28/2016 $ (2,157,825)

07/27/2016 $ (1,229,840)

06/27/2016 $ (1,239,369)

05/31/2016 $ (2,078,999)

03/28/2016 $ (268,339)

02/25/2016 $ (12,807,238)

12/28/2015 $ (4,421,272)

09/28/2015 $ (5,972,171)

06/25/2015 $ (4,501,445)

04/28/2015 $ (19,002,914)

03/26/2015 $ (4,826,204)

12/29/2014 $ (12,871,888)

09/29/2014 $ (106,405)

07/29/2014 $ (322,480)

06/26/2014 $ (162,401)

03/26/2014 $ (13,845)

12/23/2013 $ (394,926)

09/27/2013 $ (234)

06/27/2013 $ (656)

04/09/2013 $ 60,000

03/25/2013 $ (1,740)

12/27/2012 $ (460)

09/27/2012 $ (2,745)

06/28/2012 $ (1,003)

10/14/2011 $ (300,000)

06/29/2011 $ (1,382)

05/13/2011 $ (100,000)

03/30/2011 $ (147)

01/06/2011 $ (123)

09/30/2010 $ 23,076,191

09/30/2010 $ 35,500,000

07/14/2010 $ (17,180,000)

03/26/2010 $ 2,470,000

12/30/2009 $ 19,280,000

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (36,240,000)

07/16/2014 $ 20,000

11/14/2013 Purchase Financial Instrument for Home Loan Modifications 11/14/2013 $ 10,000

10/25/2018 $ (5,579)

09/26/2018 $ (175)

08/27/2018 $ (19)

07/26/2018 $ (1,012,403)

06/21/2018 $ (3,673)

04/25/2018 $ (9,210)

03/22/2018 $ 4,100,136

02/26/2018 $ (1,028)

130
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 561,129,176 Transfer of cap due to servicing transfer

$ 561,029,176 Transfer of cap due to servicing transfer

$ 561,028,195 Updated due to quarterly assessment and reallocation

$ 558,728,195 Transfer of cap due to servicing transfer

$ 558,528,195 Transfer of cap due to servicing transfer

$ 558,328,195 Transfer of cap due to servicing transfer

$ 558,318,998 Updated due to quarterly assessment and reallocation

$ 558,618,998 Transfer of cap due to servicing transfer

$ 558,318,998 Transfer of cap due to servicing transfer

$ 558,518,998 Transfer of cap due to servicing transfer

$ 558,418,998 Transfer of cap due to servicing transfer

$ 558,618,998 Transfer of cap due to servicing transfer

$ 558,608,998 Transfer of cap due to servicing transfer

$ 558,602,227 Updated due to quarterly assessment and reallocation

$ 558,583,760 Updated due to quarterly assessment and reallocation

$ 558,580,655 Updated due to quarterly assessment and reallocation

$ 558,568,942 Updated due to quarterly assessment and reallocation

$ 558,564,549 Updated due to quarterly assessment and reallocation

$ 558,562,984 Updated due to quarterly assessment and reallocation

$ 555,940,059 Updated due to quarterly assessment and reallocation

$ 563,620,059 Transfer of cap due to servicing transfer

$ 563,527,223 Updated due to quarterly assessment and reallocation

$ 562,437,054 Updated due to quarterly assessment and reallocation

$ 560,296,196 Updated due to quarterly assessment and reallocation

$ 559,356,196 Transfer of cap due to servicing transfer

$ 558,651,680 Updated due to quarterly assessment and reallocation

$ 558,661,680 Transfer of cap due to servicing transfer

$ 557,281,680 Transfer of cap due to servicing transfer

$ 475,385,181 Updated due to quarterly assessment and reallocation

$ 474,545,181 Transfer of cap due to servicing transfer

$ 444,139,837 Updated due to quarterly assessment and reallocation

$ 334,960,186 Updated due to quarterly assessment and reallocation

$ 309,534,498 Updated due to quarterly assessment and reallocation

$ 276,339,667 Updated due to quarterly assessment and reallocation

$ 276,309,667 Transfer of cap due to servicing transfer

$ 273,499,667 Transfer of cap due to servicing transfer

$ 248,637,253 Updated due to quarterly assessment and reallocation

$ 172,732,104 Reallocation due to MHA program deobligation

$ 171,144,658 Updated due to quarterly assessment and reallocation

$ 171,174,658 Transfer of cap due to servicing transfer

$ 159,647,815 Updated due to quarterly assessment and reallocation

$ 158,837,815 Transfer of cap due to servicing transfer

$ 151,704,386 Updated due to quarterly assessment and reallocation

$ 144,488,027 Updated due to quarterly assessment and reallocation

$ 144,508,027 Transfer of cap due to servicing transfer

$ 132,336,717 Updated due to quarterly assessment and reallocation

$ 120,869,119 Updated due to quarterly assessment and reallocation

$ 125,290,281 Updated due to quarterly assessment and reallocation

$ 125,164,412 Updated due to quarterly assessment and reallocation

$ 124,774,412 Transfer of cap due to servicing transfer

$ 124,756,434 Transfer of cap due to servicing transfer

$ 124,346,434 Transfer of cap due to servicing transfer

$ 124,043,118 Transfer of cap due to servicing transfer

$ 123,953,118 Transfer of cap due to servicing transfer

$ 123,933,158 Transfer of cap due to servicing transfer

$ 123,775,412 Transfer of cap due to servicing transfer

$ 123,770,527 Transfer of cap due to servicing transfer

$ 118,289,989 Transfer of cap due to servicing transfer

$ 117,580,892 Transfer of cap due to servicing transfer

$ 116,750,104 Transfer of cap due to servicing transfer

$ 116,704,995 Transfer of cap due to servicing transfer

$ 116,552,074 Transfer of cap due to servicing transfer

$ 116,235,126 Transfer of cap due to servicing transfer

$ 116,171,702 Transfer of cap due to servicing transfer

$ 95,170,705 Reallocation due to MHA program deobligation

$ 95,169,517 Transfer of cap due to servicing transfer

$ 95,168,170 Transfer of cap due to servicing transfer

$ 95,118,585 Transfer of cap due to servicing transfer

PrimeWest Mortgage Corporation Lubbock TX - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

06/15/2017 $ (100,000) - Termination of SPA

03/15/2012 Purchase Financial Instrument for Home Loan Modifications 03/15/2012 $ 100,000

10/25/2018 $ (49,585)

09/26/2018 $ (1,347)

08/27/2018 $ (1,188)

07/26/2018 $ (21,000,997)

06/21/2018 $ (63,424)

04/25/2018 $ (316,948)

03/22/2018 $ (152,921)

02/26/2018 $ (45,109)

12/21/2017 $ (830,788)

10/26/2017 $ (709,097)

09/26/2017 $ (5,480,538)

07/26/2017 $ (4,885)

06/26/2017 $ (157,746)

04/26/2017 $ (19,960)

03/16/2017 $ (90,000)

02/27/2017 $ (303,316)

01/13/2017 $ (410,000)

12/27/2016 $ (17,978)

12/15/2016 $ (390,000)

11/29/2016 $ (125,869)

11/07/2016 $ 4,421,162

10/25/2016 $ (11,467,598)

09/28/2016 $ (12,171,310)

09/15/2016 $ 20,000

07/27/2016 $ (7,216,359)

06/27/2016 $ (7,133,429)

06/16/2016 $ (810,000)

05/31/2016 $ (11,526,843)

04/14/2016 $ 30,000

03/28/2016 $ (1,587,446)

02/25/2016 $ (75,905,149)

12/28/2015 $ (24,862,414)

11/16/2015 $ (2,810,000)

10/15/2015 $ (30,000)

09/28/2015 $ (33,194,831)

06/25/2015 $ (25,425,688)

04/28/2015 $ (109,179,651)

03/26/2015 $ (30,405,344)

03/16/2015 $ (840,000)

12/29/2014 $ (81,896,499)

11/14/2014 $ (1,380,000)

10/16/2014 $ 10,000

09/29/2014 $ (704,516)

08/14/2014 $ (940,000)

07/29/2014 $ (2,140,858)

06/26/2014 $ (1,090,169)

03/26/2014 $ (92,836)

03/14/2014 $ 7,680,000

12/23/2013 $ (2,622,925)

09/27/2013 $ (1,565)

06/27/2013 $ (4,393)

03/25/2013 $ (11,713)

12/27/2012 $ (3,105)

09/27/2012 $ (18,467)

06/28/2012 $ (6,771)

06/14/2012 $ (10,000)

03/15/2012 $ 200,000

02/16/2012 $ (100,000)

01/13/2012 $ 200,000

11/16/2011 $ (300,000)

10/14/2011 $ 300,000

06/29/2011 $ (9,197)

06/16/2011 $ (200,000)

05/13/2011 $ (200,000)

04/13/2011 $ (2,300,000)

03/30/2011 $ (981)

03/16/2011 $ (100,000)

02/16/2011 $ 200,000

131
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

Purdue Federal Credit Union (Purdue 

Employees Federal Credit Union) West Lafayette IN $ 1,090,000 N/A $ 1,030,000 Updated portfolio data from servicer/additional program initial cap

$ 2,290,000 Updated portfolio data from servicer/additional program initial cap

$ 4,360,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,212 Updated due to quarterly assessment and reallocation

$ 580,206 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,186 Updated due to quarterly assessment and reallocation

$ 580,175 Updated due to quarterly assessment and reallocation

$ 580,171 Updated due to quarterly assessment and reallocation

$ 580,170 Updated due to quarterly assessment and reallocation

$ 577,696 Updated due to quarterly assessment and reallocation

$ 577,609 Updated due to quarterly assessment and reallocation

$ 576,582 Updated due to quarterly assessment and reallocation

$ 574,543 Updated due to quarterly assessment and reallocation

$ 573,870 Updated due to quarterly assessment and reallocation

$ 492,288 Updated due to quarterly assessment and reallocation

$ 461,606 Updated due to quarterly assessment and reallocation

$ 340,674 Updated due to quarterly assessment and reallocation

$ 311,994 Updated due to quarterly assessment and reallocation

$ 273,682 Updated due to quarterly assessment and reallocation

$ 245,329 Updated due to quarterly assessment and reallocation

$ 164,357 Reallocation due to MHA program deobligation

$ 162,666 Updated due to quarterly assessment and reallocation

$ 149,428 Updated due to quarterly assessment and reallocation

$ 141,520 Updated due to quarterly assessment and reallocation

$ 133,609 Updated due to quarterly assessment and reallocation

$ 119,774 Updated due to quarterly assessment and reallocation

$ 106,701 Updated due to quarterly assessment and reallocation

$ 111,741 Updated due to quarterly assessment and reallocation

$ 111,651 Updated due to quarterly assessment and reallocation

$ 111,637 Transfer of cap due to servicing transfer

$ 111,397 Transfer of cap due to servicing transfer

$ 111,381 Transfer of cap due to servicing transfer

$ 111,260 Transfer of cap due to servicing transfer

$ 111,256 Transfer of cap due to servicing transfer

$ 106,440 Transfer of cap due to servicing transfer

$ 105,843 Transfer of cap due to servicing transfer

$ 105,221 Transfer of cap due to servicing transfer

$ 105,191 Transfer of cap due to servicing transfer

$ 105,093 Transfer of cap due to servicing transfer

$ 104,898 Transfer of cap due to servicing transfer

$ 104,861 Transfer of cap due to servicing transfer

$ 100,759 Reallocation due to MHA program deobligation

$ 100,751 Transfer of cap due to servicing transfer

QLending, Inc. Coral Gables FL $ 20,000 N/A $ 10,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

06/27/2016 $ (742) $ 103,895 Updated due to quarterly assessment and reallocation

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 $ 45,056

07/14/2010 $ 90,000

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (10,000)

10/25/2018 $ (8)

07/26/2018 $ (4,102)

06/21/2018 $ (37)

04/25/2018 $ (195)

03/22/2018 $ (98)

02/26/2018 $ (30)

12/21/2017 $ (622)

10/26/2017 $ (597)

09/26/2017 $ (4,816)

07/26/2017 $ (4)

06/26/2017 $ (121)

04/26/2017 $ (16)

02/27/2017 $ (240)

12/27/2016 $ (14)

11/29/2016 $ (90)

11/07/2016 $ 5,040

10/25/2016 $ (13,073)

09/28/2016 $ (13,835)

07/27/2016 $ (7,911)

06/27/2016 $ (7,908)

05/31/2016 $ (13,238)

03/28/2016 $ (1,691)

02/25/2016 $ (80,972)

12/28/2015 $ (28,353)

09/28/2015 $ (38,312)

06/25/2015 $ (28,680)

04/28/2015 $ (120,932)

03/26/2015 $ (30,682)

12/29/2014 $ (81,582)

09/29/2014 $ (673)

07/29/2014 $ (2,039)

06/26/2014 $ (1,027)

03/26/2014 $ (87)

12/23/2013 $ (2,474)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (11)

12/27/2012 $ (3)

09/27/2012 $ (17)

06/28/2012 $ (6)

06/29/2011 $ (8)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 180,222

07/14/2010 $ (3,960,000)

03/26/2010 $ 2,070,000

12/30/2009 $ 1,260,000

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (60,000)

132
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 103,153 Updated due to quarterly assessment and reallocation

- Termination of SPA

Quantum Servicing Corporation Tampa FL $ 18,960,000 N/A $ 19,850,000 Updated portfolio data from servicer/additional program initial cap

$ 23,690,000 Updated portfolio data from servicer

$ 20,800,000 Updated portfolio data from servicer

$ 30,461,676 Updated portfolio data from servicer

$ 30,461,630 Updated due to quarterly assessment and reallocation

$ 32,061,630 Transfer of cap due to servicing transfer

$ 33,461,630 Transfer of cap due to servicing transfer

$ 33,461,572 Updated due to quarterly assessment and reallocation

$ 33,561,572 Transfer of cap due to servicing transfer

$ 33,661,572 Transfer of cap due to servicing transfer

$ 34,461,572 Transfer of cap due to servicing transfer

$ 34,461,013 Updated due to quarterly assessment and reallocation

$ 34,761,013 Transfer of cap due to servicing transfer

$ 34,961,013 Transfer of cap due to servicing transfer

$ 35,061,013 Transfer of cap due to servicing transfer

$ 35,161,013 Transfer of cap due to servicing transfer

$ 35,491,013 Transfer of cap due to servicing transfer

$ 35,490,585 Updated due to quarterly assessment and reallocation

$ 35,489,401 Updated due to quarterly assessment and reallocation

$ 33,579,401 Transfer of cap due to servicing transfer

$ 32,599,401 Transfer of cap due to servicing transfer

$ 32,599,214 Updated due to quarterly assessment and reallocation

$ 32,598,507 Updated due to quarterly assessment and reallocation

$ 32,358,507 Transfer of cap due to servicing transfer

$ 32,358,239 Updated due to quarterly assessment and reallocation

$ 32,368,239 Transfer of cap due to servicing transfer

$ 32,368,143 Updated due to quarterly assessment and reallocation

$ 32,348,143 Transfer of cap due to servicing transfer

$ 32,185,625 Updated due to quarterly assessment and reallocation

6 $ 645,439 Termination of SPA

Quicken Loans Inc Detroit MI - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 20,000 Transfer of cap due to servicing transfer

$ 50,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

$ 70,000 Transfer of cap due to servicing transfer

RBC Bank (USA) Raleigh NC $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 180,000 Updated due to quarterly assessment and reallocation

$ 220,000 Updated due to quarterly assessment and reallocation

$ 270,000 Updated due to quarterly assessment and reallocation

$ 70,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

9 - Termination of SPA

Residential Credit Solutions, Inc. Fort Worth TX $ 19,400,000 N/A $ 17,540,000 Updated portfolio data from servicer/additional program initial cap

$ 45,460,000 Updated portfolio data from servicer/additional program initial cap

$ 44,070,000 Updated portfolio data from servicer

$ 30,200,000 Updated portfolio data from servicer

$ 30,600,000 Updated portfolio data from servicer/additional program initial cap

$ 31,186,954 Updated portfolio data from servicer

$ 31,186,920 Updated due to quarterly assessment and reallocation

$ 31,186,883 Updated due to quarterly assessment and reallocation

$ 31,286,883 Transfer of cap due to servicing transfer

$ 31,286,554 Updated due to quarterly assessment and reallocation

$ 29,386,554 Transfer of cap due to servicing transfer

$ 32,186,554 Transfer of cap due to servicing transfer

$ 32,606,554 Transfer of cap due to servicing transfer

$ 40,666,554 Transfer of cap due to servicing transfer

$ 40,666,241 Updated due to quarterly assessment and reallocation

$ 42,826,241 Transfer of cap due to servicing transfer

$ 42,825,330 Updated due to quarterly assessment and reallocation

$ 48,515,330 Transfer of cap due to servicing transfer

$ 48,535,330 Transfer of cap due to servicing transfer

$ 48,535,152 Updated due to quarterly assessment and reallocation

$ 51,725,152 Transfer of cap due to servicing transfer

$ 51,465,152 Transfer of cap due to servicing transfer

$ 51,464,439 Updated due to quarterly assessment and reallocation

$ 52,794,439 Transfer of cap due to servicing transfer

$ 52,894,439 Transfer of cap due to servicing transfer

$ 52,914,439 Transfer of cap due to servicing transfer

$ 52,914,175 Updated due to quarterly assessment and reallocation

07/16/2013 $ 6,080,000 $ 58,994,175 Transfer of cap due to servicing transfer

06/27/2013 $ (264)

06/14/2013 $ 20,000

05/16/2013 $ 100,000

04/16/2013 $ 1,330,000

03/25/2013 $ (713)

03/14/2013 $ (260,000)

02/14/2013 $ 3,190,000

12/27/2012 $ (178)

11/15/2012 $ 20,000

10/16/2012 $ 5,690,000

09/27/2012 $ (911)

07/16/2012 $ 2,160,000

06/28/2012 $ (313)

06/14/2012 $ 8,060,000

05/16/2012 $ 420,000

11/16/2011 $ 2,800,000

09/15/2011 $ (1,900,000)

06/29/2011 $ (329)

04/13/2011 $ 100,000

03/30/2011 $ (37)

01/06/2011 $ (34)

09/30/2010 $ 586,954

09/30/2010 $ 400,000

07/14/2010 $ (13,870,000)

03/26/2010 $ (1,390,000)

12/30/2009 $ 27,920,000

06/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (1,860,000)

04/09/2013 $ (60,000)

06/14/2012 $ (10,000)

03/15/2012 $ (200,000)

06/29/2011 $ 50,000

03/30/2011 $ 40,000

01/06/2011 $ 34,944

09/01/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

01/15/2015 $ 10,000

05/15/2014 $ 10,000

03/14/2014 $ 30,000

08/15/2013 $ 10,000

12/14/2012 Purchase Financial Instrument for Home Loan Modifications 12/14/2012 $ 10,000

02/27/2014 $ (31,540,186)

12/23/2013 $ (162,518)

11/14/2013 $ (20,000)

09/27/2013 $ (96)

07/16/2013 $ 10,000

06/27/2013 $ (268)

04/16/2013 $ (240,000)

03/25/2013 $ (707)

12/27/2012 $ (187)

11/15/2012 $ (980,000)

10/16/2012 $ (1,910,000)

09/27/2012 $ (1,184)

06/28/2012 $ (428)

06/14/2012 $ 330,000

01/13/2012 $ 100,000

09/15/2011 $ 100,000

08/16/2011 $ 200,000

07/14/2011 $ 300,000

06/29/2011 $ (559)

06/16/2011 $ 800,000

05/13/2011 $ 100,000

04/13/2011 $ 100,000

03/30/2011 $ (58)

02/16/2011 $ 1,400,000

01/13/2011 $ 1,600,000

01/06/2011 $ (46)

09/30/2010 $ 9,661,676

07/14/2010 $ (2,890,000)

03/26/2010 $ 3,840,000

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 890,000

08/29/2016 $ (103,153)

07/27/2016 $ (742)

133
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 56,864,175 Transfer of cap due to servicing transfer

$ 56,864,074 Updated due to quarterly assessment and reallocation

$ 63,774,074 Transfer of cap due to servicing transfer

$ 62,724,074 Transfer of cap due to servicing transfer

$ 62,550,490 Updated due to quarterly assessment and reallocation

$ 63,860,490 Transfer of cap due to servicing transfer

$ 61,650,490 Transfer of cap due to servicing transfer

$ 60,260,490 Transfer of cap due to servicing transfer

$ 60,254,858 Updated due to quarterly assessment and reallocation

$ 60,034,858 Transfer of cap due to servicing transfer

$ 60,974,858 Transfer of cap due to servicing transfer

$ 60,334,858 Transfer of cap due to servicing transfer

$ 60,271,119 Updated due to quarterly assessment and reallocation

$ 61,271,119 Transfer of cap due to servicing transfer

$ 61,142,801 Updated due to quarterly assessment and reallocation

$ 58,442,801 Transfer of cap due to servicing transfer

$ 55,582,801 Transfer of cap due to servicing transfer

$ 55,545,754 Updated due to quarterly assessment and reallocation

$ 56,235,754 Transfer of cap due to servicing transfer

$ 56,275,754 Transfer of cap due to servicing transfer

$ 55,495,754 Transfer of cap due to servicing transfer

$ 52,454,172 Updated due to quarterly assessment and reallocation

$ 52,184,172 Transfer of cap due to servicing transfer

$ 53,484,172 Transfer of cap due to servicing transfer

$ 53,344,172 Transfer of cap due to servicing transfer

$ 52,209,757 Updated due to quarterly assessment and reallocation

$ 52,199,757 Transfer of cap due to servicing transfer

$ 48,187,047 Updated due to quarterly assessment and reallocation

$ 48,757,047 Transfer of cap due to servicing transfer

$ 49,107,047 Transfer of cap due to servicing transfer

$ 48,170,727 Updated due to quarterly assessment and reallocation

$ 48,130,727 Transfer of cap due to servicing transfer

$ 48,140,727 Transfer of cap due to servicing transfer

$ 47,840,727 Transfer of cap due to servicing transfer

$ 46,840,919 Updated due to quarterly assessment and reallocation

$ 47,130,919 Transfer of cap due to servicing transfer

$ 47,010,919 Transfer of cap due to servicing transfer

$ 46,760,919 Transfer of cap due to servicing transfer

$ 46,100,207 Updated due to quarterly assessment and reallocation

$ 42,850,207 Transfer of cap due to servicing transfer

$ 39,715,668 Reallocation due to MHA program deobligation

$ 37,645,668 Transfer of cap due to servicing transfer

$ 37,559,310 Updated due to quarterly assessment and reallocation

$ 28,829,310 Transfer of cap due to servicing transfer

$ 28,479,310 Transfer of cap due to servicing transfer

$ 28,399,145 Updated due to quarterly assessment and reallocation

$ 28,419,145 Transfer of cap due to servicing transfer

$ 28,372,196 Updated due to quarterly assessment and reallocation

$ 26,492,196 Transfer of cap due to servicing transfer

$ 26,519,717 Updated due to quarterly assessment and reallocation

$ 26,509,717 Transfer of cap due to servicing transfer

$ 26,499,717 Transfer of cap due to servicing transfer

$ 26,519,717 Updated due to quarterly assessment and reallocation

$ 26,219,717 Transfer of cap due to servicing transfer

$ 26,178,992 Updated due to quarterly assessment and reallocation

$ 26,194,693 Updated due to quarterly assessment and reallocation

$ 26,134,693 Transfer of cap due to servicing transfer

$ 26,123,661 Updated due to quarterly assessment and reallocation

$ 26,113,661 Transfer of cap due to servicing transfer

$ 26,111,926 Transfer of cap due to servicing transfer

$ 26,121,926 Transfer of cap due to servicing transfer

$ 26,091,516 Transfer of cap due to servicing transfer

$ 26,041,516 Transfer of cap due to servicing transfer

$ 26,039,489 Transfer of cap due to servicing transfer

$ 26,023,684 Transfer of cap due to servicing transfer

$ 26,023,195 Transfer of cap due to servicing transfer

$ 25,995,230 Transfer of cap due to servicing transfer

$ 25,991,762 Transfer of cap due to servicing transfer

6 $ 22,063,690 Termination of SPA

Resurgent Capital Solutions L.P. Greenville SC - N/A 3 $ 940,000 Transfer of cap due to servicing transfer

$ 1,145,242 Updated due to quarterly assessment and reallocation

09/27/2012 $ (3) $ 1,145,239 Updated due to quarterly assessment and reallocation

06/28/2012 $ 205,242

06/14/2012 Purchase Financial Instrument for Home Loan Modifications 06/14/2012 $ 940,000

11/16/2017 $ (3,928,073)

10/26/2017 $ (3,468)

09/26/2017 $ (27,965)

07/26/2017 $ (489)

06/26/2017 $ (15,805)

04/26/2017 $ (2,027)

03/16/2017 $ (50,000)

02/27/2017 $ (30,410)

02/16/2017 $ 10,000

12/27/2016 $ (1,735)

12/15/2016 $ (10,000)

11/29/2016 $ (11,032)

11/16/2016 $ (60,000)

11/07/2016 $ 15,701

10/25/2016 $ (40,725)

10/14/2016 $ (300,000)

09/28/2016 $ 20,000

09/15/2016 $ (10,000)

08/16/2016 $ (10,000)

07/27/2016 $ 27,521

07/14/2016 $ (1,880,000)

06/27/2016 $ (46,949)

06/16/2016 $ 20,000

05/31/2016 $ (80,165)

05/16/2016 $ (350,000)

04/14/2016 $ (8,730,000)

03/28/2016 $ (86,358)

03/16/2016 $ (2,070,000)

02/25/2016 $ (3,134,539)

02/16/2016 $ (3,250,000)

12/28/2015 $ (660,712)

12/16/2015 $ (250,000)

11/16/2015 $ (120,000)

10/15/2015 $ 290,000

09/28/2015 $ (999,808)

09/16/2015 $ (300,000)

08/14/2015 $ 10,000

07/16/2015 $ (40,000)

06/25/2015 $ (936,320)

06/16/2015 $ 350,000

05/14/2015 $ 570,000

04/28/2015 $ (4,012,710)

04/16/2015 $ (10,000)

03/26/2015 $ (1,134,415)

03/16/2015 $ (140,000)

02/13/2015 $ 1,300,000

01/15/2015 $ (270,000)

12/29/2014 $ (3,041,582)

12/16/2014 $ (780,000)

11/14/2014 $ 40,000

10/16/2014 $ 690,000

09/29/2014 $ (37,047)

09/16/2014 $ (2,860,000)

08/14/2014 $ (2,700,000)

07/29/2014 $ (128,318)

07/16/2014 $ 1,000,000

06/26/2014 $ (63,739)

06/16/2014 $ (640,000)

05/15/2014 $ 940,000

04/16/2014 $ (220,000)

03/26/2014 $ (5,632)

03/14/2014 $ (1,390,000)

02/13/2014 $ (2,210,000)

01/16/2014 $ 1,310,000

12/23/2013 $ (173,584)

12/16/2013 $ (1,050,000)

10/15/2013 $ 6,910,000

09/27/2013 $ (101)

09/16/2013 $ (2,130,000)

134
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,145,238 Updated due to quarterly assessment and reallocation

$ 1,155,238 Transfer of cap due to servicing transfer

$ 9,845,238 Transfer of cap due to servicing transfer

$ 11,235,238 Transfer of cap due to servicing transfer

$ 11,235,019 Updated due to quarterly assessment and reallocation

$ 11,855,019 Transfer of cap due to servicing transfer

$ 12,845,019 Transfer of cap due to servicing transfer

$ 12,844,923 Updated due to quarterly assessment and reallocation

$ 18,624,923 Transfer of cap due to servicing transfer

$ 18,624,873 Updated due to quarterly assessment and reallocation

$ 19,504,873 Transfer of cap due to servicing transfer

$ 26,114,873 Transfer of cap due to servicing transfer

$ 26,134,873 Transfer of cap due to servicing transfer

$ 26,016,544 Updated due to quarterly assessment and reallocation

$ 27,786,544 Transfer of cap due to servicing transfer

$ 51,706,544 Transfer of cap due to servicing transfer

$ 53,166,544 Transfer of cap due to servicing transfer

$ 53,159,358 Updated due to quarterly assessment and reallocation

$ 55,529,358 Transfer of cap due to servicing transfer

$ 57,519,358 Transfer of cap due to servicing transfer

$ 59,239,358 Transfer of cap due to servicing transfer

$ 59,142,643 Updated due to quarterly assessment and reallocation

$ 60,452,643 Transfer of cap due to servicing transfer

$ 60,254,693 Updated due to quarterly assessment and reallocation

$ 3,514,689 Transfer of cap due to servicing transfer

$ 4,003,402 Updated due to quarterly assessment and reallocation

15 $ 3,202,722 Termination of SPA

RG Mortgage Corporation San Juan PR $ 57,000,000 N/A $ 45,700,000 Updated portfolio data from servicer/additional program initial cap

$ 3,490,000 Updated portfolio data from servicer/additional program initial cap

$ 69,130,000 Updated portfolio data from servicer

$ 54,660,000 Updated portfolio data from servicer

$ 45,800,000 Updated portfolio data from servicer

$ 41,340,846 Updated portfolio data from servicer

$ 37,040,846 Transfer of cap due to servicing transfer

$ 37,040,795 Updated due to quarterly assessment and reallocation

$ 37,040,730 Updated due to quarterly assessment and reallocation

$ 37,040,114 Updated due to quarterly assessment and reallocation

$ 37,039,652 Updated due to quarterly assessment and reallocation

$ 37,038,382 Updated due to quarterly assessment and reallocation

$ 37,038,168 Updated due to quarterly assessment and reallocation

$ 37,037,356 Updated due to quarterly assessment and reallocation

$ 37,037,050 Updated due to quarterly assessment and reallocation

$ 37,036,940 Updated due to quarterly assessment and reallocation

$ 36,851,517 Updated due to quarterly assessment and reallocation

$ 36,844,999 Updated due to quarterly assessment and reallocation

$ 36,767,995 Updated due to quarterly assessment and reallocation

$ 36,615,052 Updated due to quarterly assessment and reallocation

$ 36,564,532 Updated due to quarterly assessment and reallocation

$ 36,534,532 Transfer of cap due to servicing transfer

6 $ 793,769 Termination of SPA

Rockland Trust Company Rockland MA - N/A 3 $ 40,000 Transfer of cap due to servicing transfer

Roebling Bank Roebling NJ $ 240,000 N/A $ 850,000 Updated portfolio data from servicer

$ 900,000 Updated portfolio data from servicer

$ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

- Termination of SPA

RoundPoint Mortgage Servicing 

Corporation Charlotte NC $ 570,000 N/A $ 700,000 Updated portfolio data from servicer/additional program initial cap

$ 390,000 Updated portfolio data from servicer/additional program initial cap

$ 2,500,000 Updated portfolio data from servicer

$ 10,800,000 Updated portfolio data from servicer

$ 16,101,172 Updated portfolio data from servicer

$ 16,101,150 Updated due to quarterly assessment and reallocation

$ 15,701,150 Transfer of cap due to servicing transfer

$ 15,701,125 Updated due to quarterly assessment and reallocation

$ 15,700,893 Updated due to quarterly assessment and reallocation

$ 15,700,719 Updated due to quarterly assessment and reallocation

$ 15,700,240 Updated due to quarterly assessment and reallocation

$ 15,350,240 Transfer of cap due to servicing transfer

$ 15,350,158 Updated due to quarterly assessment and reallocation

$ 15,349,850 Updated due to quarterly assessment and reallocation

04/16/2013 $ 80,000 $ 15,429,850 Transfer of cap due to servicing transfer

03/25/2013 $ (308)

12/27/2012 $ (82)

11/15/2012 $ (350,000)

09/27/2012 $ (479)

06/28/2012 $ (174)

06/29/2011 $ (232)

03/30/2011 $ (25)

03/16/2011 $ (400,000)

01/06/2011 $ (22)

09/30/2010 $ 5,301,172

07/14/2010 $ 8,300,000

03/26/2010 $ 2,110,000

12/30/2009 $ (310,000)

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 130,000

03/23/2011 $ (870,333)

01/06/2011 $ (1)

09/30/2010 $ (29,666)

07/14/2010 $ 50,000

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 610,000

06/16/2016 Purchase Financial Instrument for Home Loan Modifications 06/16/2016 $ 40,000

11/03/2014 $ (35,740,763)

10/16/2014 $ (30,000)

09/29/2014 $ (50,520)

07/29/2014 $ (152,943)

06/26/2014 $ (77,004)

03/26/2014 $ (6,518)

12/23/2013 $ (185,423)

09/27/2013 $ (110)

06/27/2013 $ (306)

03/25/2013 $ (812)

12/27/2012 $ (214)

09/27/2012 $ (1,270)

06/28/2012 $ (462)

06/29/2011 $ (616)

03/30/2011 $ (65)

01/06/2011 $ (51)

12/15/2010 $ (4,300,000)

09/30/2010 $ (4,459,154)

07/14/2010 $ (8,860,000)

04/09/2010 $ (14,470,000)

03/26/2010 $ 65,640,000

12/30/2009 $ (42,210,000)

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (11,300,000)

11/03/2014 $ (800,680)

09/29/2014 $ 488,713

09/16/2014 $ (56,740,004)

07/29/2014 $ (197,950)

07/16/2014 $ 1,310,000

06/26/2014 $ (96,715)

06/16/2014 $ 1,720,000

05/15/2014 $ 1,990,000

04/16/2014 $ 2,370,000

03/26/2014 $ (7,186)

03/14/2014 $ 1,460,000

02/13/2014 $ 23,920,000

01/16/2014 $ 1,770,000

12/23/2013 $ (118,329)

12/16/2013 $ 20,000

11/14/2013 $ 6,610,000

10/15/2013 $ 880,000

09/27/2013 $ (50)

07/16/2013 $ 5,780,000

06/27/2013 $ (96)

06/14/2013 $ 990,000

05/16/2013 $ 620,000

03/25/2013 $ (219)

03/14/2013 $ 1,390,000

02/14/2013 $ 8,690,000

01/16/2013 $ 10,000

12/27/2012 $ (1)

135
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 15,449,850 Transfer of cap due to servicing transfer

$ 15,449,742 Updated due to quarterly assessment and reallocation

$ 15,479,742 Transfer of cap due to servicing transfer

$ 16,119,742 Transfer of cap due to servicing transfer

$ 16,119,702 Updated due to quarterly assessment and reallocation

$ 16,309,702 Transfer of cap due to servicing transfer

$ 16,242,416 Updated due to quarterly assessment and reallocation

$ 16,762,416 Transfer of cap due to servicing transfer

$ 16,772,416 Transfer of cap due to servicing transfer

$ 16,742,416 Transfer of cap due to servicing transfer

$ 16,739,953 Updated due to quarterly assessment and reallocation

$ 16,719,953 Transfer of cap due to servicing transfer

$ 16,691,080 Updated due to quarterly assessment and reallocation

$ 17,171,080 Transfer of cap due to servicing transfer

$ 17,112,025 Updated due to quarterly assessment and reallocation

$ 17,472,025 Transfer of cap due to servicing transfer

$ 17,452,033 Updated due to quarterly assessment and reallocation

$ 17,982,033 Transfer of cap due to servicing transfer

$ 17,862,033 Transfer of cap due to servicing transfer

$ 15,509,355 Updated due to quarterly assessment and reallocation

$ 14,618,052 Updated due to quarterly assessment and reallocation

$ 11,167,319 Updated due to quarterly assessment and reallocation

$ 11,117,319 Transfer of cap due to servicing transfer

$ 10,295,068 Updated due to quarterly assessment and reallocation

$ 10,315,068 Transfer of cap due to servicing transfer

$ 9,250,817 Updated due to quarterly assessment and reallocation

$ 9,260,817 Transfer of cap due to servicing transfer

$ 8,528,527 Updated due to quarterly assessment and reallocation

$ 8,578,527 Transfer of cap due to servicing transfer

$ 8,588,527 Transfer of cap due to servicing transfer

$ 6,273,698 Reallocation due to MHA program deobligation

$ 6,473,698 Transfer of cap due to servicing transfer

$ 6,418,123 Updated due to quarterly assessment and reallocation

$ 6,438,123 Transfer of cap due to servicing transfer

$ 5,982,823 Updated due to quarterly assessment and reallocation

$ 5,972,823 Transfer of cap due to servicing transfer

$ 5,701,331 Updated due to quarterly assessment and reallocation

$ 5,432,936 Updated due to quarterly assessment and reallocation

$ 6,662,936 Transfer of cap due to servicing transfer

$ 5,734,094 Updated due to quarterly assessment and reallocation

$ 4,836,510 Updated due to quarterly assessment and reallocation

$ 5,182,560 Updated due to quarterly assessment and reallocation

$ 5,174,747 Updated due to quarterly assessment and reallocation

$ 4,494,747 Transfer of cap due to servicing transfer

$ 4,493,577 Transfer of cap due to servicing transfer

$ 4,343,577 Transfer of cap due to servicing transfer

$ 4,303,577 Transfer of cap due to servicing transfer

$ 4,284,848 Transfer of cap due to servicing transfer

$ 4,283,659 Transfer of cap due to servicing transfer

$ 4,274,905 Transfer of cap due to servicing transfer

$ 4,274,647 Transfer of cap due to servicing transfer

$ 4,008,091 Transfer of cap due to servicing transfer

$ 3,973,768 Transfer of cap due to servicing transfer

$ 3,934,191 Transfer of cap due to servicing transfer

$ 3,932,336 Transfer of cap due to servicing transfer

$ 3,926,711 Transfer of cap due to servicing transfer

$ 3,915,133 Transfer of cap due to servicing transfer

$ 3,912,543 Transfer of cap due to servicing transfer

$ 3,165,767 Reallocation due to MHA program deobligation

$ 3,165,726 Transfer of cap due to servicing transfer

$ 3,165,681 Transfer of cap due to servicing transfer

$ 3,164,128 Transfer of cap due to servicing transfer

Rushmore Loan Management Services 

LLC Irvine CA - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 800,000 Transfer of cap due to servicing transfer

$ 799,997 Updated due to quarterly assessment and reallocation

$ 909,997 Transfer of cap due to servicing transfer

$ 909,984 Updated due to quarterly assessment and reallocation

$ 2,179,984 Transfer of cap due to servicing transfer

$ 2,409,984 Transfer of cap due to servicing transfer

$ 2,409,979 Updated due to quarterly assessment and reallocation

01/16/2013 $ 990,000 $ 3,399,979 Transfer of cap due to servicing transfer

12/27/2012 $ (5)

11/15/2012 $ 230,000

10/16/2012 $ 1,270,000

09/27/2012 $ (13)

08/16/2012 $ 110,000

06/28/2012 $ (3)

04/16/2012 $ 600,000

12/15/2011 Purchase Financial Instrument for Home Loan Modifications 12/15/2011 $ 200,000

10/25/2018 $ (1,553)

09/26/2018 $ (45)

08/27/2018 $ (41)

07/26/2018 $ (746,776)

06/21/2018 $ (2,590)

04/25/2018 $ (11,578)

03/22/2018 $ (5,625)

02/26/2018 $ (1,855)

12/21/2017 $ (39,577)

10/26/2017 $ (34,323)

09/26/2017 $ (266,556)

07/26/2017 $ (258)

06/26/2017 $ (8,754)

04/26/2017 $ (1,189)

02/27/2017 $ (18,729)

02/16/2017 $ (40,000)

01/13/2017 $ (150,000)

12/27/2016 $ (1,170)

12/15/2016 $ (680,000)

11/29/2016 $ (7,813)

11/07/2016 $ 346,050

10/25/2016 $ (897,584)

09/28/2016 $ (928,842)

09/15/2016 $ 1,230,000

07/27/2016 $ (268,395)

06/27/2016 $ (271,492)

06/16/2016 $ (10,000)

05/31/2016 $ (455,300)

05/16/2016 $ 20,000

03/28/2016 $ (55,575)

03/16/2016 $ 200,000

02/25/2016 $ (2,314,829)

02/16/2016 $ 10,000

01/14/2016 $ 50,000

12/28/2015 $ (732,290)

12/16/2015 $ 10,000

09/28/2015 $ (1,064,251)

08/14/2015 $ 20,000

06/25/2015 $ (822,251)

05/14/2015 $ (50,000)

04/28/2015 $ (3,450,733)

03/26/2015 $ (891,303)

12/29/2014 $ (2,352,678)

12/16/2014 $ (120,000)

10/16/2014 $ 530,000

09/29/2014 $ (19,992)

08/14/2014 $ 360,000

07/29/2014 $ (59,055)

07/16/2014 $ 480,000

06/26/2014 $ (28,873)

04/16/2014 $ (20,000)

03/26/2014 $ (2,463)

03/14/2014 $ (30,000)

02/13/2014 $ 10,000

01/16/2014 $ 520,000

12/23/2013 $ (67,286)

12/16/2013 $ 190,000

09/27/2013 $ (40)

09/16/2013 $ 640,000

07/16/2013 $ 30,000

06/27/2013 $ (108)

06/14/2013 $ 20,000

136
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 3,999,979 Transfer of cap due to servicing transfer

$ 5,979,979 Transfer of cap due to servicing transfer

$ 5,979,902 Updated due to quarterly assessment and reallocation

$ 6,319,902 Transfer of cap due to servicing transfer

$ 7,839,902 Transfer of cap due to servicing transfer

$ 10,579,902 Transfer of cap due to servicing transfer

$ 10,579,849 Updated due to quarterly assessment and reallocation

$ 13,149,849 Transfer of cap due to servicing transfer

$ 13,149,823 Updated due to quarterly assessment and reallocation

$ 13,159,823 Transfer of cap due to servicing transfer

$ 32,299,823 Transfer of cap due to servicing transfer

$ 33,629,823 Transfer of cap due to servicing transfer

$ 33,569,179 Updated due to quarterly assessment and reallocation

$ 33,579,179 Transfer of cap due to servicing transfer

$ 33,629,179 Transfer of cap due to servicing transfer

$ 33,627,089 Updated due to quarterly assessment and reallocation

$ 38,067,089 Transfer of cap due to servicing transfer

$ 38,127,089 Transfer of cap due to servicing transfer

$ 38,507,089 Transfer of cap due to servicing transfer

$ 38,471,784 Updated due to quarterly assessment and reallocation

$ 38,741,784 Transfer of cap due to servicing transfer

$ 38,671,810 Updated due to quarterly assessment and reallocation

$ 42,711,810 Transfer of cap due to servicing transfer

$ 44,381,810 Transfer of cap due to servicing transfer

$ 44,353,828 Updated due to quarterly assessment and reallocation

$ 58,223,828 Transfer of cap due to servicing transfer

$ 66,573,828 Transfer of cap due to servicing transfer

$ 69,093,828 Transfer of cap due to servicing transfer

$ 67,569,055 Updated due to quarterly assessment and reallocation

$ 69,789,055 Transfer of cap due to servicing transfer

$ 70,769,055 Transfer of cap due to servicing transfer

$ 70,909,055 Transfer of cap due to servicing transfer

$ 69,846,600 Updated due to quarterly assessment and reallocation

$ 67,796,600 Transfer of cap due to servicing transfer

$ 64,259,871 Updated due to quarterly assessment and reallocation

$ 64,469,871 Transfer of cap due to servicing transfer

$ 73,009,871 Transfer of cap due to servicing transfer

$ 71,344,492 Updated due to quarterly assessment and reallocation

$ 73,394,492 Transfer of cap due to servicing transfer

$ 83,784,492 Transfer of cap due to servicing transfer

$ 89,084,492 Transfer of cap due to servicing transfer

$ 85,882,245 Updated due to quarterly assessment and reallocation

$ 84,622,245 Transfer of cap due to servicing transfer

$ 84,722,245 Transfer of cap due to servicing transfer

$ 85,072,245 Transfer of cap due to servicing transfer

$ 82,996,771 Updated due to quarterly assessment and reallocation

$ 83,246,771 Transfer of cap due to servicing transfer

$ 85,416,771 Transfer of cap due to servicing transfer

$ 75,648,710 Reallocation due to MHA program deobligation

$ 81,148,710 Transfer of cap due to servicing transfer

$ 80,801,696 Updated due to quarterly assessment and reallocation

$ 79,761,696 Transfer of cap due to servicing transfer

$ 78,021,696 Transfer of cap due to servicing transfer

$ 75,749,705 Updated due to quarterly assessment and reallocation

$ 81,229,705 Transfer of cap due to servicing transfer

$ 79,424,057 Updated due to quarterly assessment and reallocation

$ 81,124,057 Transfer of cap due to servicing transfer

$ 79,104,278 Updated due to quarterly assessment and reallocation

$ 77,604,278 Transfer of cap due to servicing transfer

$ 75,974,278 Transfer of cap due to servicing transfer

$ 73,656,011 Updated due to quarterly assessment and reallocation

$ 74,826,011 Transfer of cap due to servicing transfer

$ 72,106,324 Updated due to quarterly assessment and reallocation

$ 73,154,859 Updated due to quarterly assessment and reallocation

$ 74,794,859 Transfer of cap due to servicing transfer

$ 74,732,819 Updated due to quarterly assessment and reallocation

$ 75,482,819 Transfer of cap due to servicing transfer

$ 75,472,125 Transfer of cap due to servicing transfer

$ 76,802,125 Transfer of cap due to servicing transfer

$ 78,552,125 Transfer of cap due to servicing transfer

$ 78,323,796 Transfer of cap due to servicing transfer

03/16/2017 $ 1,050,000 $ 79,373,796 Transfer of cap due to servicing transfer

02/27/2017 $ (228,329)

02/16/2017 $ 1,750,000

01/13/2017 $ 1,330,000

12/27/2016 $ (10,694)

12/15/2016 $ 750,000

11/29/2016 $ (62,040)

11/16/2016 $ 1,640,000

11/07/2016 $ 1,048,535

10/25/2016 $ (2,719,687)

10/14/2016 $ 1,170,000

09/28/2016 $ (2,318,267)

09/15/2016 $ (1,630,000)

08/16/2016 $ (1,500,000)

07/27/2016 $ (2,019,779)

07/14/2016 $ 1,700,000

06/27/2016 $ (1,805,648)

06/16/2016 $ 5,480,000

05/31/2016 $ (2,271,991)

05/16/2016 $ (1,740,000)

04/14/2016 $ (1,040,000)

03/28/2016 $ (347,014)

03/16/2016 $ 5,500,000

02/25/2016 $ (9,768,061)

02/16/2016 $ 2,170,000

01/14/2016 $ 250,000

12/28/2015 $ (2,075,474)

12/16/2015 $ 350,000

11/16/2015 $ 100,000

10/15/2015 $ (1,260,000)

09/28/2015 $ (3,202,247)

09/16/2015 $ 5,300,000

08/14/2015 $ 10,390,000

07/16/2015 $ 2,050,000

06/25/2015 $ (1,665,379)

06/16/2015 $ 8,540,000

05/14/2015 $ 210,000

04/28/2015 $ (3,536,729)

04/16/2015 $ (2,050,000)

03/26/2015 $ (1,062,455)

03/16/2015 $ 140,000

02/13/2015 $ 980,000

01/15/2015 $ 2,220,000

12/29/2014 $ (1,524,773)

12/16/2014 $ 2,520,000

11/14/2014 $ 8,350,000

10/16/2014 $ 13,870,000

09/29/2014 $ (27,982)

09/16/2014 $ 1,670,000

08/14/2014 $ 4,040,000

07/29/2014 $ (69,974)

07/16/2014 $ 270,000

06/26/2014 $ (35,305)

06/16/2014 $ 380,000

05/15/2014 $ 60,000

04/16/2014 $ 4,440,000

03/26/2014 $ (2,090)

03/14/2014 $ 50,000

01/16/2014 $ 10,000

12/23/2013 $ (60,644)

12/16/2013 $ 1,330,000

11/14/2013 $ 19,140,000

10/15/2013 $ 10,000

09/27/2013 $ (26)

09/16/2013 $ 2,570,000

06/27/2013 $ (53)

06/14/2013 $ 2,740,000

05/16/2013 $ 1,520,000

04/16/2013 $ 340,000

03/25/2013 $ (77)

03/14/2013 $ 1,980,000

02/14/2013 $ 600,000

137
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 79,357,461 Transfer of cap due to servicing transfer

$ 79,232,853 Transfer of cap due to servicing transfer

$ 79,229,017 Transfer of cap due to servicing transfer

$ 78,610,725 Transfer of cap due to servicing transfer

$ 78,544,064 Transfer of cap due to servicing transfer

$ 78,193,776 Transfer of cap due to servicing transfer

$ 78,176,860 Transfer of cap due to servicing transfer

$ 78,133,332 Transfer of cap due to servicing transfer

$ 78,038,543 Transfer of cap due to servicing transfer

$ 78,038,416 Transfer of cap due to servicing transfer

$ 79,620,167 Reallocation due to MHA program deobligation

$ 79,619,468 Transfer of cap due to servicing transfer

$ 79,618,157 Transfer of cap due to servicing transfer

$ 89,193,042 Transfer of cap due to servicing transfer

$ 91,964,734 Transfer of cap due to servicing transfer

$ 95,055,633 Reallocation due to MHA program deobligation

$ 97,708,306 Transfer of cap due to servicing transfer

Santander Bank, N.A. Reading PA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$ 110,000 Transfer of cap due to servicing transfer

$ 109,986 Transfer of cap due to servicing transfer

$ 115,250 Transfer of cap due to servicing transfer

$ 122,030 Transfer of cap due to servicing transfer

$ 106,583 Reallocation due to MHA program deobligation

$ 106,581 Transfer of cap due to servicing transfer

$ 106,579 Transfer of cap due to servicing transfer

$ 106,506 Transfer of cap due to servicing transfer

Saxon Mortgage Services, Inc. Irving TX $ 407,000,000 N/A $ 632,040,000 Updated portfolio data from servicer

$ 886,420,000 Updated portfolio data from servicer/additional program initial cap

$ 1,242,130,000 Updated portfolio data from servicer/additional program initial cap

$ 1,184,410,000 Updated portfolio data from servicer

$ 1,028,360,000 Transfer of cap due to servicing transfer

$ 514,700,000 Updated portfolio data from servicer

$ 491,720,000 Transfer of cap due to servicing transfer

$ 493,520,000 Transfer of cap due to servicing transfer

$ 503,320,000 Updated portfolio data from servicer/additional program initial cap

$ 619,542,668 Updated portfolio data from servicer

$ 619,642,668 Transfer of cap due to servicing transfer

$ 628,542,668 Transfer of cap due to servicing transfer

$ 628,542,112 Updated due to quarterly assessment and reallocation

$ 630,842,112 Transfer of cap due to servicing transfer

$ 631,542,112 Transfer of cap due to servicing transfer

$ 631,541,458 Updated due to quarterly assessment and reallocation

$ 633,641,458 Transfer of cap due to servicing transfer

$ 633,635,314 Updated due to quarterly assessment and reallocation

$ 633,835,314 Transfer of cap due to servicing transfer

$ 633,735,314 Transfer of cap due to servicing transfer

$ 633,035,314 Transfer of cap due to servicing transfer

$ 650,535,314 Transfer of cap due to servicing transfer

$ 650,435,314 Transfer of cap due to servicing transfer

$ 650,535,314 Transfer of cap due to servicing transfer

$ 633,035,314 Transfer of cap due to servicing transfer

$ 632,275,314 Transfer of cap due to servicing transfer

$ 277,985,314 Transfer of cap due to servicing transfer

$ 277,983,483 Updated due to quarterly assessment and reallocation

$ 267,863,483 Transfer of cap due to servicing transfer

$ 267,853,483 Transfer of cap due to servicing transfer

$ 267,848,782 Updated due to quarterly assessment and reallocation

$ 258,628,782 Transfer of cap due to servicing transfer

$ 258,598,782 Transfer of cap due to servicing transfer

$ 258,658,782 Transfer of cap due to servicing transfer

$ 258,657,994 Updated due to quarterly assessment and reallocation

$ 258,047,994 Transfer of cap due to servicing transfer

$ 258,045,015 Updated due to quarterly assessment and reallocation

10 $ 100,807,086 Termination of SPA

Schools Financial Credit Union Sacramento CA $ 390,000 N/A $ 480,000 Updated portfolio data from servicer/additional program initial cap

$ 1,420,000 Updated portfolio data from servicer/additional program initial cap

$ 440,000 Updated portfolio data from servicer

$ 300,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,552 Updated due to quarterly assessment and reallocation

06/29/2011 $ (22) $ 1,450,530 Updated due to quarterly assessment and reallocation

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 1,150,556

07/14/2010 $ (140,000)

03/26/2010 $ (980,000)

12/30/2009 $ 940,000

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 90,000

04/09/2013 $ (157,237,929)

03/25/2013 $ (2,979)

01/16/2013 $ (610,000)

12/27/2012 $ (788)

12/14/2012 $ 60,000

11/15/2012 $ (30,000)

10/16/2012 $ (9,220,000)

09/27/2012 $ (4,701)

08/16/2012 $ (10,000)

07/16/2012 $ (10,120,000)

06/28/2012 $ (1,831)

06/14/2012 $ (354,290,000)

05/16/2012 $ (760,000)

04/16/2012 $ (17,500,000)

03/15/2012 $ 100,000

02/16/2012 $ (100,000)

12/15/2011 $ 17,500,000

09/15/2011 $ (700,000)

08/16/2011 $ (100,000)

07/14/2011 $ 200,000

06/29/2011 $ (6,144)

04/13/2011 $ 2,100,000

03/30/2011 $ (654)

03/16/2011 $ 700,000

01/13/2011 $ 2,300,000

01/06/2011 $ (556)

12/15/2010 $ 8,900,000

10/15/2010 $ 100,000

09/30/2010 $ 116,222,668

09/30/2010 $ 9,800,000

09/15/2010 $ 1,800,000

07/16/2010 $ (22,980,000)

07/14/2010 $ (513,660,000)

06/16/2010 $ (156,050,000)

03/26/2010 $ (57,720,000)

12/30/2009 $ 355,710,000

09/30/2009 $ 254,380,000

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ 225,040,000

10/25/2018 $ (73)

09/26/2018 $ (2)

08/27/2018 $ (2)

07/26/2018 $ (15,447)

09/26/2017 $ 6,780

06/26/2017 $ 5,264

04/26/2017 $ (14)

03/16/2017 $ 90,000

07/14/2016 Purchase Financial Instrument for Home Loan Modifications 07/14/2016 $ 20,000

09/23/2019 $ 2,652,673

08/22/2019 $ 3,090,899

03/25/2019 $ 2,771,692

10/25/2018 $ 9,574,885

09/26/2018 $ (1,311)

08/27/2018 $ (699)

07/26/2018 $ 1,581,751

06/21/2018 $ (127)

04/25/2018 $ (94,789)

03/22/2018 $ (43,528)

02/26/2018 $ (16,916)

12/21/2017 $ (350,288)

10/26/2017 $ (66,661)

09/26/2017 $ (618,292)

07/26/2017 $ (3,836)

06/26/2017 $ (124,608)

04/26/2017 $ (16,335)

138
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,450,514 Updated due to quarterly assessment and reallocation

$ 1,450,470 Updated due to quarterly assessment and reallocation

$ 1,450,463 Updated due to quarterly assessment and reallocation

$ 1,450,435 Updated due to quarterly assessment and reallocation

$ 1,450,424 Updated due to quarterly assessment and reallocation

$ 1,450,420 Updated due to quarterly assessment and reallocation

$ 1,444,009 Updated due to quarterly assessment and reallocation

$ 1,443,784 Updated due to quarterly assessment and reallocation

$ 1,441,123 Updated due to quarterly assessment and reallocation

$ 1,435,838 Updated due to quarterly assessment and reallocation

$ 1,434,092 Updated due to quarterly assessment and reallocation

$ 1,232,275 Updated due to quarterly assessment and reallocation

$ 1,155,855 Updated due to quarterly assessment and reallocation

$ 854,645 Updated due to quarterly assessment and reallocation

$ 783,185 Updated due to quarterly assessment and reallocation

$ 687,671 Updated due to quarterly assessment and reallocation

$ 616,966 Updated due to quarterly assessment and reallocation

$ 406,704 Reallocation due to MHA program deobligation

$ 402,312 Updated due to quarterly assessment and reallocation

$ 366,638 Updated due to quarterly assessment and reallocation

$ 345,327 Updated due to quarterly assessment and reallocation

$ 324,010 Updated due to quarterly assessment and reallocation

$ 286,729 Updated due to quarterly assessment and reallocation

$ 251,501 Updated due to quarterly assessment and reallocation

$ 265,083 Updated due to quarterly assessment and reallocation

$ 264,739 Updated due to quarterly assessment and reallocation

$ 264,687 Transfer of cap due to servicing transfer

$ 263,777 Transfer of cap due to servicing transfer

$ 263,717 Transfer of cap due to servicing transfer

$ 263,258 Transfer of cap due to servicing transfer

$ 263,244 Transfer of cap due to servicing transfer

$ 250,493 Transfer of cap due to servicing transfer

$ 248,912 Transfer of cap due to servicing transfer

$ 247,265 Transfer of cap due to servicing transfer

$ 247,185 Transfer of cap due to servicing transfer

$ 246,924 Transfer of cap due to servicing transfer

$ 246,409 Transfer of cap due to servicing transfer

$ 246,312 Transfer of cap due to servicing transfer

$ 205,903 Reallocation due to MHA program deobligation

$ 205,901 Transfer of cap due to servicing transfer

$ 205,899 Transfer of cap due to servicing transfer

$ 205,816 Transfer of cap due to servicing transfer

Scotiabank de Puerto Rico San Juan PR - N/A 3 $ 4,300,000 Transfer of cap due to servicing transfer

$ 4,299,996 Updated due to quarterly assessment and reallocation

$ 4,299,991 Updated due to quarterly assessment and reallocation

$ 4,299,968 Updated due to quarterly assessment and reallocation

$ 4,299,905 Updated due to quarterly assessment and reallocation

$ 4,299,894 Updated due to quarterly assessment and reallocation

$ 4,299,853 Updated due to quarterly assessment and reallocation

$ 4,299,837 Updated due to quarterly assessment and reallocation

$ 4,299,831 Updated due to quarterly assessment and reallocation

$ 4,290,152 Updated due to quarterly assessment and reallocation

$ 4,289,808 Updated due to quarterly assessment and reallocation

$ 4,285,721 Updated due to quarterly assessment and reallocation

$ 4,277,595 Updated due to quarterly assessment and reallocation

$ 4,274,905 Updated due to quarterly assessment and reallocation

$ 4,304,905 Transfer of cap due to servicing transfer

$ 4,141,444 Updated due to quarterly assessment and reallocation

$ 4,075,980 Updated due to quarterly assessment and reallocation

$ 3,815,861 Updated due to quarterly assessment and reallocation

$ 3,752,682 Updated due to quarterly assessment and reallocation

$ 3,664,897 Updated due to quarterly assessment and reallocation

$ 3,598,909 Updated due to quarterly assessment and reallocation

$ 3,300,316 Reallocation due to MHA program deobligation

$ 3,294,079 Updated due to quarterly assessment and reallocation

$ 3,245,262 Updated due to quarterly assessment and reallocation

$ 3,216,099 Updated due to quarterly assessment and reallocation

$ 3,186,928 Updated due to quarterly assessment and reallocation

$ 3,135,912 Updated due to quarterly assessment and reallocation

$ 3,087,705 Updated due to quarterly assessment and reallocation

$ 3,106,291 Updated due to quarterly assessment and reallocation

11/29/2016 $ (1,644) $ 3,104,647 Updated due to quarterly assessment and reallocation

11/07/2016 $ 18,586

10/25/2016 $ (48,207)

09/28/2016 $ (51,016)

07/27/2016 $ (29,171)

06/27/2016 $ (29,163)

05/31/2016 $ (48,817)

03/28/2016 $ (6,237)

02/25/2016 $ (298,593)

12/28/2015 $ (65,988)

09/28/2015 $ (87,785)

06/25/2015 $ (63,179)

04/28/2015 $ (260,119)

03/26/2015 $ (65,464)

12/29/2014 $ (163,461)

10/16/2014 $ 30,000

09/29/2014 $ (2,690)

07/29/2014 $ (8,126)

06/26/2014 $ (4,087)

03/26/2014 $ (344)

12/23/2013 $ (9,679)

09/27/2013 $ (6)

06/27/2013 $ (16)

03/25/2013 $ (41)

12/27/2012 $ (11)

09/27/2012 $ (63)

06/28/2012 $ (23)

06/29/2011 $ (5)

01/06/2011 $ (4)

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/15/2010 $ 4,300,000

10/25/2018 $ (83)

09/26/2018 $ (2)

08/27/2018 $ (2)

07/26/2018 $ (40,409)

06/21/2018 $ (97)

04/25/2018 $ (515)

03/22/2018 $ (261)

02/26/2018 $ (80)

12/21/2017 $ (1,647)

10/26/2017 $ (1,581)

09/26/2017 $ (12,751)

07/26/2017 $ (14)

06/26/2017 $ (459)

04/26/2017 $ (60)

02/27/2017 $ (910)

12/27/2016 $ (52)

11/29/2016 $ (344)

11/07/2016 $ 13,582

10/25/2016 $ (35,228)

09/28/2016 $ (37,281)

07/27/2016 $ (21,317)

06/27/2016 $ (21,311)

05/31/2016 $ (35,674)

03/28/2016 $ (4,392)

02/25/2016 $ (210,262)

12/28/2015 $ (70,705)

09/28/2015 $ (95,514)

06/25/2015 $ (71,460)

04/28/2015 $ (301,210)

03/26/2015 $ (76,420)

12/29/2014 $ (201,817)

09/29/2014 $ (1,746)

07/29/2014 $ (5,285)

06/26/2014 $ (2,661)

03/26/2014 $ (225)

12/23/2013 $ (6,411)

09/27/2013 $ (4)

06/27/2013 $ (11)

03/25/2013 $ (28)

12/27/2012 $ (7)

09/27/2012 $ (44)

06/28/2012 $ (16)

139
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 3,104,396 Transfer of cap due to servicing transfer

$ 3,100,040 Transfer of cap due to servicing transfer

$ 3,099,755 Transfer of cap due to servicing transfer

$ 3,097,560 Transfer of cap due to servicing transfer

$ 3,097,494 Transfer of cap due to servicing transfer

$ 3,082,733 Transfer of cap due to servicing transfer

$ 3,080,902 Transfer of cap due to servicing transfer

$ 3,078,995 Transfer of cap due to servicing transfer

$ 3,078,902 Transfer of cap due to servicing transfer

$ 3,078,600 Transfer of cap due to servicing transfer

$ 3,078,003 Transfer of cap due to servicing transfer

$ 3,077,891 Transfer of cap due to servicing transfer

$ 2,677,601 Reallocation due to MHA program deobligation

$ 2,677,579 Transfer of cap due to servicing transfer

$ 2,677,556 Transfer of cap due to servicing transfer

$ 2,676,731 Transfer of cap due to servicing transfer

SEFCU Albany NY $ 440,000 N/A $ 540,000 Updated portfolio data from servicer/additional program initial cap

$ 560,000 Updated portfolio data from servicer/additional program initial cap

$ 270,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

- Termination of SPA

Select Portfolio Servicing, Inc. Salt Lake City UT $ 376,000,000 N/A $ 660,590,000 Updated portfolio data from servicer

$ 782,500,000 Updated portfolio data from servicer/additional program initial cap

$ 913,840,000 Updated portfolio data from servicer/additional program initial cap

$ 558,310,000 Updated portfolio data from servicer

$ 687,000,000 Updated portfolio data from servicer

$ 691,000,000 Updated portfolio data from servicer/additional program initial cap

$ 750,807,784 Updated portfolio data from servicer

$ 750,107,784 Transfer of cap due to servicing transfer

$ 814,507,784 Transfer of cap due to servicing transfer

$ 814,507,145 Updated due to quarterly assessment and reallocation

$ 812,207,145 Transfer of cap due to servicing transfer

$ 812,307,145 Transfer of cap due to servicing transfer

$ 815,907,145 Transfer of cap due to servicing transfer

$ 815,906,410 Updated due to quarterly assessment and reallocation

$ 815,806,410 Transfer of cap due to servicing transfer

$ 816,206,410 Transfer of cap due to servicing transfer

$ 816,106,410 Transfer of cap due to servicing transfer

$ 816,099,605 Updated due to quarterly assessment and reallocation

$ 815,999,605 Transfer of cap due to servicing transfer

$ 815,799,605 Transfer of cap due to servicing transfer

$ 815,699,605 Transfer of cap due to servicing transfer

$ 815,599,605 Transfer of cap due to servicing transfer

$ 815,799,605 Transfer of cap due to servicing transfer

$ 840,599,605 Transfer of cap due to servicing transfer

$ 842,499,605 Transfer of cap due to servicing transfer

$ 842,579,605 Transfer of cap due to servicing transfer

$ 851,289,605 Transfer of cap due to servicing transfer

$ 851,284,429 Updated due to quarterly assessment and reallocation

$ 853,714,429 Transfer of cap due to servicing transfer

$ 856,024,429 Transfer of cap due to servicing transfer

$ 856,010,468 Updated due to quarterly assessment and reallocation

$ 982,950,468 Transfer of cap due to servicing transfer

$ 992,940,468 Transfer of cap due to servicing transfer

$ 1,003,590,468 Transfer of cap due to servicing transfer

$ 1,003,587,805 Updated due to quarterly assessment and reallocation

$ 1,022,237,805 Transfer of cap due to servicing transfer

$ 1,032,527,805 Transfer of cap due to servicing transfer

$ 1,036,847,805 Transfer of cap due to servicing transfer

$ 1,036,837,689 Updated due to quarterly assessment and reallocation

$ 1,037,677,689 Transfer of cap due to servicing transfer

$ 1,039,007,689 Transfer of cap due to servicing transfer

$ 1,042,627,689 Transfer of cap due to servicing transfer

$ 1,042,624,125 Updated due to quarterly assessment and reallocation

$ 1,147,704,125 Transfer of cap due to servicing transfer

$ 1,147,714,125 Transfer of cap due to servicing transfer

$ 1,246,324,125 Transfer of cap due to servicing transfer

$ 1,246,322,584 Updated due to quarterly assessment and reallocation

$ 1,247,602,584 Transfer of cap due to servicing transfer

11/14/2013 $ 15,130,000 $ 1,262,732,584 Transfer of cap due to servicing transfer

10/15/2013 $ 1,280,000

09/27/2013 $ (1,541)

09/16/2013 $ 98,610,000

08/15/2013 $ 10,000

07/16/2013 $ 105,080,000

06/27/2013 $ (3,564)

06/14/2013 $ 3,620,000

05/16/2013 $ 1,330,000

04/16/2013 $ 840,000

03/25/2013 $ (10,116)

03/14/2013 $ 4,320,000

02/14/2013 $ 10,290,000

01/16/2013 $ 18,650,000

12/27/2012 $ (2,663)

12/14/2012 $ 10,650,000

11/15/2012 $ 9,990,000

10/16/2012 $ 126,940,000

09/27/2012 $ (13,961)

08/16/2012 $ 2,310,000

07/16/2012 $ 2,430,000

06/28/2012 $ (5,176)

06/14/2012 $ 8,710,000

05/16/2012 $ 80,000

04/16/2012 $ 1,900,000

03/15/2012 $ 24,800,000

01/13/2012 $ 200,000

11/16/2011 $ (100,000)

10/14/2011 $ (100,000)

09/15/2011 $ (200,000)

08/16/2011 $ (100,000)

06/29/2011 $ (6,805)

06/16/2011 $ (100,000)

05/13/2011 $ 400,000

04/13/2011 $ (100,000)

03/30/2011 $ (735)

03/16/2011 $ 3,600,000

02/16/2011 $ 100,000

01/13/2011 $ (2,300,000)

01/06/2011 $ (639)

12/15/2010 $ 64,400,000

11/16/2010 $ (700,000)

09/30/2010 $ 59,807,784

09/30/2010 $ 4,000,000

07/14/2010 $ 128,690,000

03/26/2010 $ (355,530,000)

12/30/2009 $ 131,340,000

09/30/2009 $ 121,910,000

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 284,590,000

04/11/2012 $ (145,055)

06/29/2011 $ (1)

09/30/2010 $ (54,944)

07/14/2010 $ (70,000)

03/26/2010 $ (290,000)

12/30/2009 $ 20,000

09/25/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 100,000

10/25/2018 $ (825)

09/26/2018 $ (23)

08/27/2018 $ (22)

07/26/2018 $ (400,290)

06/21/2018 $ (112)

04/25/2018 $ (597)

03/22/2018 $ (302)

02/26/2018 $ (93)

12/21/2017 $ (1,907)

10/26/2017 $ (1,831)

09/26/2017 $ (14,761)

07/26/2017 $ (66)

06/26/2017 $ (2,195)

04/26/2017 $ (285)

02/27/2017 $ (4,356)

12/27/2016 $ (251)

140
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,269,022,584 Transfer of cap due to servicing transfer

$ 1,266,540,807 Updated due to quarterly assessment and reallocation

$ 1,268,120,807 Transfer of cap due to servicing transfer

$ 1,343,470,807 Transfer of cap due to servicing transfer

$ 1,360,370,807 Transfer of cap due to servicing transfer

$ 1,360,285,111 Updated due to quarterly assessment and reallocation

$ 1,372,755,111 Transfer of cap due to servicing transfer

$ 1,393,715,111 Transfer of cap due to servicing transfer

$ 1,407,935,111 Transfer of cap due to servicing transfer

$ 1,406,911,724 Updated due to quarterly assessment and reallocation

$ 1,419,601,724 Transfer of cap due to servicing transfer

$ 1,417,633,541 Updated due to quarterly assessment and reallocation

$ 1,375,423,541 Transfer of cap due to servicing transfer

$ 1,382,843,541 Transfer of cap due to servicing transfer

$ 1,382,303,176 Updated due to quarterly assessment and reallocation

$ 1,439,713,176 Transfer of cap due to servicing transfer

$ 1,441,203,176 Transfer of cap due to servicing transfer

$ 1,444,943,176 Transfer of cap due to servicing transfer

$ 1,451,934,554 Updated due to quarterly assessment and reallocation

$ 1,462,564,554 Transfer of cap due to servicing transfer

$ 1,466,684,554 Transfer of cap due to servicing transfer

$ 1,465,784,554 Transfer of cap due to servicing transfer

$ 1,537,149,713 Updated due to quarterly assessment and reallocation

$ 1,537,859,713 Transfer of cap due to servicing transfer

$ 1,574,757,253 Updated due to quarterly assessment and reallocation

$ 1,578,647,253 Transfer of cap due to servicing transfer

$ 1,613,267,253 Transfer of cap due to servicing transfer

$ 1,654,764,999 Updated due to quarterly assessment and reallocation

$ 1,638,334,999 Transfer of cap due to servicing transfer

$ 1,641,854,999 Transfer of cap due to servicing transfer

$ 1,652,134,999 Transfer of cap due to servicing transfer

$ 1,739,631,639 Updated due to quarterly assessment and reallocation

$ 1,722,991,639 Transfer of cap due to servicing transfer

$ 1,722,731,639 Transfer of cap due to servicing transfer

$ 1,768,691,639 Transfer of cap due to servicing transfer

$ 1,812,597,827 Updated due to quarterly assessment and reallocation

$ 1,837,307,827 Transfer of cap due to servicing transfer

$ 1,839,977,827 Transfer of cap due to servicing transfer

$ 1,792,201,961 Reallocation due to MHA program deobligation

$ 1,790,891,961 Transfer of cap due to servicing transfer

$ 1,790,697,397 Updated due to quarterly assessment and reallocation

$ 1,791,637,397 Transfer of cap due to servicing transfer

$ 1,802,517,397 Transfer of cap due to servicing transfer

$ 1,921,519,987 Updated due to quarterly assessment and reallocation

$ 1,960,249,987 Transfer of cap due to servicing transfer

$ 1,979,441,118 Updated due to quarterly assessment and reallocation

$ 1,977,161,118 Transfer of cap due to servicing transfer

$ 1,975,206,945 Updated due to quarterly assessment and reallocation

$ 2,001,716,945 Transfer of cap due to servicing transfer

$ 2,018,256,945 Transfer of cap due to servicing transfer

$ 2,054,407,505 Updated due to quarterly assessment and reallocation

$ 2,064,467,505 Transfer of cap due to servicing transfer

$ 2,079,232,215 Updated due to quarterly assessment and reallocation

$ 2,079,232,215 Updated due to quarterly assessment and reallocation

$ 2,084,302,215 Transfer of cap due to servicing transfer

$ 2,083,386,904 Updated due to quarterly assessment and reallocation

$ 2,084,836,904 Transfer of cap due to servicing transfer

$ 2,084,719,354 Transfer of cap due to servicing transfer

$ 2,084,749,354 Transfer of cap due to servicing transfer

$ 2,043,339,354 Transfer of cap due to servicing transfer

$ 2,042,099,282 Transfer of cap due to servicing transfer

$ 2,058,629,282 Transfer of cap due to servicing transfer

$ 2,058,607,321 Transfer of cap due to servicing transfer

$ 2,058,439,775 Transfer of cap due to servicing transfer

$ 2,058,435,043 Transfer of cap due to servicing transfer

$ 2,178,183,583 Transfer of cap due to servicing transfer

$ 2,187,924,373 Transfer of cap due to servicing transfer

$ 2,186,186,576 Transfer of cap due to servicing transfer

$ 2,186,149,709 Transfer of cap due to servicing transfer

$ 2,189,006,528 Transfer of cap due to servicing transfer

$ 2,190,381,827 Transfer of cap due to servicing transfer

06/21/2018 $ (47,625) $ 2,190,334,202 Transfer of cap due to servicing transfer

04/25/2018 $ 1,375,299

03/22/2018 $ 2,856,819

02/26/2018 $ (36,867)

12/21/2017 $ (1,737,797)

10/26/2017 $ 9,740,790

09/26/2017 $ 119,748,540

07/26/2017 $ (4,732)

06/26/2017 $ (167,546)

04/26/2017 $ (21,961)

03/16/2017 $ 16,530,000

02/27/2017 $ (1,240,072)

02/16/2017 $ (41,410,000)

01/13/2017 $ 30,000

12/27/2016 $ (117,550)

12/15/2016 $ 1,450,000

11/29/2016 $ (915,311)

11/16/2016 $ 5,070,000

11/07/2016 -

10/25/2016 $ 14,764,710

10/14/2016 $ 10,060,000

09/28/2016 $ 36,150,560

09/15/2016 $ 16,540,000

08/16/2016 $ 26,510,000

07/27/2016 $ (1,954,173)

07/14/2016 $ (2,280,000)

06/27/2016 $ 19,191,131

06/16/2016 $ 38,730,000

05/31/2016 $ 119,002,590

05/16/2016 $ 10,880,000

04/14/2016 $ 940,000

03/28/2016 $ (194,564)

03/16/2016 $ (1,310,000)

02/25/2016 $ (47,775,866)

02/16/2016 $ 2,670,000

01/14/2016 $ 24,710,000

12/28/2015 $ 43,906,188

12/16/2015 $ 45,960,000

11/16/2015 $ (260,000)

10/15/2015 $ (16,640,000)

09/28/2015 $ 87,496,640

09/16/2015 $ 10,280,000

08/14/2015 $ 3,520,000

07/16/2015 $ (16,430,000)

06/25/2015 $ 41,497,746

06/16/2015 $ 34,620,000

05/14/2015 $ 3,890,000

04/28/2015 $ 36,897,540

04/16/2015 $ 710,000

03/26/2015 $ 71,365,159

03/16/2015 $ (900,000)

02/13/2015 $ 4,120,000

01/15/2015 $ 10,630,000

12/29/2014 $ 6,991,378

12/16/2014 $ 3,740,000

11/14/2014 $ 1,490,000

10/16/2014 $ 57,410,000

09/29/2014 $ (540,365)

09/16/2014 $ 7,420,000

08/14/2014 $ (42,210,000)

07/29/2014 $ (1,968,183)

07/16/2014 $ 12,690,000

06/26/2014 $ (1,023,387)

06/16/2014 $ 14,220,000

05/15/2014 $ 20,960,000

04/16/2014 $ 12,470,000

03/26/2014 $ (85,696)

03/14/2014 $ 16,900,000

02/13/2014 $ 75,350,000

01/16/2014 $ 1,580,000

12/23/2013 $ (2,481,777)

12/16/2013 $ 6,290,000

141
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,909,381,773 Reallocation due to MHA program deobligation

$ 1,909,365,915 Transfer of cap due to servicing transfer

$ 1,909,347,633 Transfer of cap due to servicing transfer

$ 1,908,647,668 Transfer of cap due to servicing transfer

$ 1,907,851,184 Transfer of cap due to servicing transfer

$ 1,891,398,755 Reallocation due to MHA program deobligation

$ 1,891,254,079 Transfer of cap due to servicing transfer

Selene Finance LP Houston TX - N/A 3 $ 3,680,000 Transfer of cap due to servicing transfer

$ 6,980,000 Transfer of cap due to servicing transfer

$ 10,023,831 Updated portfolio data from servicer

$ 11,423,831 Transfer of cap due to servicing transfer

$ 11,423,814 Updated due to quarterly assessment and reallocation

$ 13,523,814 Transfer of cap due to servicing transfer

$ 13,523,790 Updated due to quarterly assessment and reallocation

$ 16,423,790 Transfer of cap due to servicing transfer

$ 16,223,790 Transfer of cap due to servicing transfer

$ 16,223,517 Updated due to quarterly assessment and reallocation

$ 16,323,517 Transfer of cap due to servicing transfer

$ 17,423,517 Transfer of cap due to servicing transfer

$ 17,623,517 Transfer of cap due to servicing transfer

$ 17,633,517 Transfer of cap due to servicing transfer

$ 17,333,517 Transfer of cap due to servicing transfer

$ 17,333,299 Updated due to quarterly assessment and reallocation

$ 17,373,299 Transfer of cap due to servicing transfer

$ 17,853,299 Transfer of cap due to servicing transfer

$ 17,852,699 Updated due to quarterly assessment and reallocation

$ 17,922,699 Transfer of cap due to servicing transfer

$ 17,922,597 Updated due to quarterly assessment and reallocation

$ 18,012,597 Transfer of cap due to servicing transfer

$ 18,012,213 Updated due to quarterly assessment and reallocation

$ 17,982,213 Transfer of cap due to servicing transfer

$ 17,982,067 Updated due to quarterly assessment and reallocation

$ 18,152,067 Transfer of cap due to servicing transfer

$ 18,152,015 Updated due to quarterly assessment and reallocation

$ 18,063,402 Updated due to quarterly assessment and reallocation

$ 18,073,402 Transfer of cap due to servicing transfer

$ 18,070,277 Updated due to quarterly assessment and reallocation

$ 18,100,277 Transfer of cap due to servicing transfer

$ 18,063,306 Updated due to quarterly assessment and reallocation

$ 41,553,306 Transfer of cap due to servicing transfer

$ 41,410,712 Updated due to quarterly assessment and reallocation

$ 43,890,712 Transfer of cap due to servicing transfer

$ 55,540,712 Transfer of cap due to servicing transfer

$ 55,487,802 Updated due to quarterly assessment and reallocation

$ 55,517,802 Transfer of cap due to servicing transfer

$ 51,039,267 Updated due to quarterly assessment and reallocation

$ 51,049,267 Transfer of cap due to servicing transfer

$ 51,069,267 Transfer of cap due to servicing transfer

$ 49,224,914 Updated due to quarterly assessment and reallocation

$ 52,084,914 Transfer of cap due to servicing transfer

$ 43,882,360 Updated due to quarterly assessment and reallocation

$ 43,912,360 Transfer of cap due to servicing transfer

$ 41,915,779 Updated due to quarterly assessment and reallocation

$ 49,525,779 Transfer of cap due to servicing transfer

$ 49,895,779 Transfer of cap due to servicing transfer

$ 45,656,305 Updated due to quarterly assessment and reallocation

$ 49,416,305 Transfer of cap due to servicing transfer

$ 50,566,305 Transfer of cap due to servicing transfer

$ 50,656,305 Transfer of cap due to servicing transfer

$ 46,903,515 Updated due to quarterly assessment and reallocation

$ 46,893,515 Transfer of cap due to servicing transfer

$ 48,143,515 Transfer of cap due to servicing transfer

$ 36,209,495 Reallocation due to MHA program deobligation

$ 35,989,495 Transfer of cap due to servicing transfer

$ 35,763,017 Updated due to quarterly assessment and reallocation

$ 35,023,017 Transfer of cap due to servicing transfer

$ 34,803,017 Transfer of cap due to servicing transfer

$ 33,179,590 Updated due to quarterly assessment and reallocation

$ 33,099,590 Transfer of cap due to servicing transfer

$ 32,095,051 Updated due to quarterly assessment and reallocation

$ 33,295,051 Transfer of cap due to servicing transfer

07/27/2016 $ (1,270,059) $ 32,024,992 Updated due to quarterly assessment and reallocation

07/14/2016 $ 1,200,000

06/27/2016 $ (1,004,539)

06/16/2016 $ (80,000)

05/31/2016 $ (1,623,427)

05/16/2016 $ (220,000)

04/14/2016 $ (740,000)

03/28/2016 $ (226,478)

03/16/2016 $ (220,000)

02/25/2016 $ (11,934,020)

02/16/2016 $ 1,250,000

01/14/2016 $ (10,000)

12/28/2015 $ (3,752,790)

12/16/2015 $ 90,000

11/16/2015 $ 1,150,000

10/15/2015 $ 3,760,000

09/28/2015 $ (4,239,474)

09/16/2015 $ 370,000

08/14/2015 $ 7,610,000

06/25/2015 $ (1,996,581)

06/16/2015 $ 30,000

04/28/2015 $ (8,202,554)

04/16/2015 $ 2,860,000

03/26/2015 $ (1,844,353)

03/16/2015 $ 20,000

01/15/2015 $ 10,000

12/29/2014 $ (4,478,535)

12/16/2014 $ 30,000

09/29/2014 $ (52,910)

09/16/2014 $ 11,650,000

08/14/2014 $ 2,480,000

07/29/2014 $ (142,594)

07/16/2014 $ 23,490,000

06/26/2014 $ (36,971)

04/16/2014 $ 30,000

03/26/2014 $ (3,125)

03/14/2014 $ 10,000

12/23/2013 $ (88,613)

09/27/2013 $ (52)

07/16/2013 $ 170,000

06/27/2013 $ (146)

05/16/2013 $ (30,000)

03/25/2013 $ (384)

03/14/2013 $ 90,000

12/27/2012 $ (102)

11/15/2012 $ 70,000

09/27/2012 $ (600)

08/16/2012 $ 480,000

07/16/2012 $ 40,000

06/28/2012 $ (218)

06/14/2012 $ (300,000)

05/16/2012 $ 10,000

04/16/2012 $ 200,000

11/16/2011 $ 1,100,000

10/14/2011 $ 100,000

06/29/2011 $ (273)

06/16/2011 $ (200,000)

04/13/2011 $ 2,900,000

03/30/2011 $ (24)

03/16/2011 $ 2,100,000

01/06/2011 $ (17)

10/15/2010 $ 1,400,000

09/30/2010 $ 3,043,831

08/13/2010 $ 3,300,000

06/16/2010 Purchase Financial Instrument for Home Loan Modifications 06/16/2010 $ 3,680,000

09/23/2019 $ (144,676)

08/22/2019 $ (16,452,429)

03/25/2019 $ (796,484)

10/25/2018 $ (699,965)

09/26/2018 $ (18,282)

08/27/2018 $ (15,858)

07/26/2018 $ (280,952,429)

142
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 31,994,992 Transfer of cap due to servicing transfer

$ 32,284,992 Transfer of cap due to servicing transfer

$ 30,181,351 Updated due to quarterly assessment and reallocation

$ 30,411,351 Transfer of cap due to servicing transfer

$ 28,177,864 Updated due to quarterly assessment and reallocation

$ 29,038,952 Updated due to quarterly assessment and reallocation

$ 27,938,952 Transfer of cap due to servicing transfer

$ 27,918,526 Updated due to quarterly assessment and reallocation

$ 27,798,526 Transfer of cap due to servicing transfer

$ 27,795,400 Transfer of cap due to servicing transfer

$ 27,435,400 Transfer of cap due to servicing transfer

$ 28,525,400 Transfer of cap due to servicing transfer

$ 28,459,391 Transfer of cap due to servicing transfer

$ 28,289,391 Transfer of cap due to servicing transfer

$ 28,287,232 Transfer of cap due to servicing transfer

$ 28,269,776 Transfer of cap due to servicing transfer

$ 28,269,194 Transfer of cap due to servicing transfer

$ 28,173,454 Transfer of cap due to servicing transfer

$ 28,422,049 Transfer of cap due to servicing transfer

$ 28,356,821 Transfer of cap due to servicing transfer

$ 28,352,487 Transfer of cap due to servicing transfer

$ 28,343,685 Transfer of cap due to servicing transfer

$ 28,319,714 Transfer of cap due to servicing transfer

$ 28,312,321 Transfer of cap due to servicing transfer

$ 23,880,145 Reallocation due to MHA program deobligation

$ 23,879,679 Transfer of cap due to servicing transfer

$ 23,879,193 Transfer of cap due to servicing transfer

$ 23,861,160 Transfer of cap due to servicing transfer

Seneca Mortgage Servicing LLC (AMS 

Servicing, LLC) Buffalo NY $ 4,390,000 N/A $ 5,350,000 Updated portfolio data from servicer/additional program initial cap

$ 2,260,000 Updated portfolio data from servicer/additional program initial cap

$ 2,490,000 Updated portfolio data from servicer

$ 7,800,000 Updated portfolio data from servicer

$ 8,123,114 Updated portfolio data from servicer

$ 8,123,102 Updated due to quarterly assessment and reallocation

$ 8,723,102 Transfer of cap due to servicing transfer

$ 8,723,086 Updated due to quarterly assessment and reallocation

$ 8,923,086 Transfer of cap due to servicing transfer

$ 9,023,086 Transfer of cap due to servicing transfer

$ 9,022,933 Updated due to quarterly assessment and reallocation

$ 9,122,933 Transfer of cap due to servicing transfer

$ 9,222,933 Transfer of cap due to servicing transfer

$ 10,322,933 Transfer of cap due to servicing transfer

$ 10,972,933 Transfer of cap due to servicing transfer

$ 10,972,797 Updated due to quarterly assessment and reallocation

$ 10,972,450 Updated due to quarterly assessment and reallocation

$ 11,222,450 Transfer of cap due to servicing transfer

$ 11,252,450 Transfer of cap due to servicing transfer

$ 11,242,450 Transfer of cap due to servicing transfer

$ 11,242,391 Updated due to quarterly assessment and reallocation

$ 11,262,391 Transfer of cap due to servicing transfer

$ 11,552,391 Transfer of cap due to servicing transfer

$ 11,562,391 Transfer of cap due to servicing transfer

$ 11,562,171 Updated due to quarterly assessment and reallocation

$ 11,502,171 Transfer of cap due to servicing transfer

$ 11,552,171 Transfer of cap due to servicing transfer

$ 11,562,171 Transfer of cap due to servicing transfer

$ 11,562,092 Updated due to quarterly assessment and reallocation

$ 11,472,092 Transfer of cap due to servicing transfer

$ 11,782,092 Transfer of cap due to servicing transfer

$ 11,782,064 Updated due to quarterly assessment and reallocation

$ 12,012,064 Transfer of cap due to servicing transfer

$ 12,132,064 Transfer of cap due to servicing transfer

$ 12,592,064 Transfer of cap due to servicing transfer

$ 12,542,651 Updated due to quarterly assessment and reallocation

$ 12,582,651 Transfer of cap due to servicing transfer

$ 12,322,651 Transfer of cap due to servicing transfer

$ 12,320,954 Updated due to quarterly assessment and reallocation

$ 12,420,954 Transfer of cap due to servicing transfer

$ 12,450,954 Transfer of cap due to servicing transfer

$ 12,430,945 Updated due to quarterly assessment and reallocation

07/29/2014 $ (39,741) $ 12,391,204 Updated due to quarterly assessment and reallocation

06/26/2014 $ (20,009)

06/16/2014 $ 30,000

04/16/2014 $ 100,000

03/26/2014 $ (1,697)

03/14/2014 $ (260,000)

01/16/2014 $ 40,000

12/23/2013 $ (49,413)

12/16/2013 $ 460,000

11/14/2013 $ 120,000

10/15/2013 $ 230,000

09/27/2013 $ (28)

09/16/2013 $ 310,000

07/16/2013 $ (90,000)

06/27/2013 $ (79)

06/14/2013 $ 10,000

05/16/2013 $ 50,000

04/16/2013 $ (60,000)

03/25/2013 $ (220)

03/14/2013 $ 10,000

02/14/2013 $ 290,000

01/16/2013 $ 20,000

12/27/2012 $ (59)

12/14/2012 $ (10,000)

11/15/2012 $ 30,000

10/16/2012 $ 250,000

09/27/2012 $ (347)

06/28/2012 $ (136)

06/14/2012 $ 650,000

04/16/2012 $ 1,100,000

11/16/2011 $ 100,000

09/15/2011 $ 100,000

06/29/2011 $ (153)

05/13/2011 $ 100,000

04/13/2011 $ 200,000

03/30/2011 $ (16)

03/16/2011 $ 600,000

01/06/2011 $ (12)

09/30/2010 $ 323,114

07/14/2010 $ 5,310,000

03/26/2010 $ 230,000

12/30/2009 $ (3,090,000)

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 960,000

10/25/2018 $ (18,033)

09/26/2018 $ (486)

08/27/2018 $ (466)

07/26/2018 $ (4,432,176)

06/21/2018 $ (7,393)

04/25/2018 $ (23,971)

03/22/2018 $ (8,802)

02/26/2018 $ (4,334)

12/21/2017 $ (65,228)

10/26/2017 $ 248,595

09/26/2017 $ (95,740)

07/26/2017 $ (582)

06/26/2017 $ (17,456)

04/26/2017 $ (2,159)

03/16/2017 $ (170,000)

02/27/2017 $ (66,009)

02/16/2017 $ 1,090,000

01/13/2017 $ (360,000)

12/27/2016 $ (3,126)

12/15/2016 $ (120,000)

11/29/2016 $ (20,426)

11/16/2016 $ (1,100,000)

11/07/2016 $ 861,088

10/25/2016 $ (2,233,487)

10/14/2016 $ 230,000

09/28/2016 $ (2,103,641)

09/15/2016 $ 290,000

08/16/2016 $ (30,000)

143
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 12,351,204 Transfer of cap due to servicing transfer

$ 12,421,204 Transfer of cap due to servicing transfer

$ 12,407,968 Updated due to quarterly assessment and reallocation

$ 12,397,968 Transfer of cap due to servicing transfer

$ 10,951,748 Updated due to quarterly assessment and reallocation

$ 10,671,748 Transfer of cap due to servicing transfer

$ 10,601,748 Transfer of cap due to servicing transfer

$ 8,631,748 Transfer of cap due to servicing transfer

$ 8,068,408 Updated due to quarterly assessment and reallocation

$ 8,048,408 Transfer of cap due to servicing transfer

$ 6,225,167 Updated due to quarterly assessment and reallocation

$ 6,385,167 Transfer of cap due to servicing transfer

$ 6,325,167 Transfer of cap due to servicing transfer

$ 5,897,997 Updated due to quarterly assessment and reallocation

$ 6,227,997 Transfer of cap due to servicing transfer

$ 6,307,997 Transfer of cap due to servicing transfer

$ 6,447,997 Transfer of cap due to servicing transfer

$ 5,886,068 Updated due to quarterly assessment and reallocation

$ 5,926,068 Transfer of cap due to servicing transfer

$ 6,506,068 Transfer of cap due to servicing transfer

$ 6,736,068 Transfer of cap due to servicing transfer

$ 6,249,785 Updated due to quarterly assessment and reallocation

$ 7,329,785 Transfer of cap due to servicing transfer

$ 7,829,785 Transfer of cap due to servicing transfer

$ 5,508,464 Reallocation due to MHA program deobligation

$ 5,838,464 Transfer of cap due to servicing transfer

$ 5,784,261 Updated due to quarterly assessment and reallocation

$ 6,624,261 Transfer of cap due to servicing transfer

$ 8,404,261 Transfer of cap due to servicing transfer

$ 7,637,234 Updated due to quarterly assessment and reallocation

$ 8,277,234 Transfer of cap due to servicing transfer

$ 7,760,646 Updated due to quarterly assessment and reallocation

$ 7,630,646 Transfer of cap due to servicing transfer

$ 7,110,786 Updated due to quarterly assessment and reallocation

$ 7,060,786 Transfer of cap due to servicing transfer

$ 7,700,786 Transfer of cap due to servicing transfer

$ 6,859,193 Updated due to quarterly assessment and reallocation

$ 5,738,439 Updated due to quarterly assessment and reallocation

$ 6,170,529 Updated due to quarterly assessment and reallocation

$ 5,060,529 Transfer of cap due to servicing transfer

$ 5,052,948 Updated due to quarterly assessment and reallocation

$ 3,652,948 Transfer of cap due to servicing transfer

$ 3,652,040 Transfer of cap due to servicing transfer

$ 3,002,040 Transfer of cap due to servicing transfer

$ 2,987,710 Transfer of cap due to servicing transfer

$ 2,986,707 Transfer of cap due to servicing transfer

$ 2,978,989 Transfer of cap due to servicing transfer

$ 2,978,740 Transfer of cap due to servicing transfer

$ 2,426,391 Transfer of cap due to servicing transfer

$ 2,357,144 Transfer of cap due to servicing transfer

$ 2,285,006 Transfer of cap due to servicing transfer

$ 2,281,504 Transfer of cap due to servicing transfer

$ 2,270,086 Transfer of cap due to servicing transfer

$ 2,247,512 Transfer of cap due to servicing transfer

$ 2,243,279 Transfer of cap due to servicing transfer

$ 1,555,112 Reallocation due to MHA program deobligation

$ 1,555,074 Transfer of cap due to servicing transfer

$ 1,555,034 Transfer of cap due to servicing transfer

$ 1,553,616 Transfer of cap due to servicing transfer

Servis One, Inc. dba BSI Financial 

Services Titusville PA $ 29,730,000 N/A $ 4,220,000 Updated portfolio data from servicer/additional program initial cap

$ 4,740,000 Updated portfolio data from servicer/additional program initial cap

$ 9,070,000 Updated portfolio data from servicer

$ 9,300,000 Transfer of cap due to servicing transfer

$ 10,150,000 Updated portfolio data from servicer/additional program initial cap

$ 9,300,000 Updated portfolio data from servicer

$ 9,400,000 Transfer of cap due to servicing transfer

$ 9,500,000 Updated portfolio data from servicer/additional program initial cap

$ 26,255,064 Updated portfolio data from servicer

$ 26,355,064 Transfer of cap due to servicing transfer

$ 26,455,064 Transfer of cap due to servicing transfer

01/06/2011 $ (40) $ 26,455,024 Updated due to quarterly assessment and reallocation

12/15/2010 $ 100,000

10/15/2010 $ 100,000

09/30/2010 $ 16,755,064

09/30/2010 $ 100,000

09/15/2010 $ 100,000

07/14/2010 $ (850,000)

05/19/2010 $ 850,000

04/19/2010 $ 230,000

03/26/2010 $ 4,330,000

12/30/2009 $ 520,000

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (25,510,000)

10/25/2018 $ (1,418)

09/26/2018 $ (40)

08/27/2018 $ (38)

07/26/2018 $ (688,167)

06/21/2018 $ (4,233)

04/25/2018 $ (22,574)

03/22/2018 $ (11,418)

02/26/2018 $ (3,502)

12/21/2017 $ (72,138)

10/26/2017 $ (69,247)

09/26/2017 $ (552,349)

07/26/2017 $ (249)

06/26/2017 $ (7,718)

04/26/2017 $ (1,003)

02/27/2017 $ (14,330)

02/16/2017 $ (650,000)

12/27/2016 $ (908)

12/15/2016 $ (1,400,000)

11/29/2016 $ (7,581)

11/16/2016 $ (1,110,000)

11/07/2016 $ 432,090

10/25/2016 $ (1,120,754)

09/28/2016 $ (841,593)

09/15/2016 $ 640,000

08/16/2016 $ (50,000)

07/27/2016 $ (519,860)

07/14/2016 $ (130,000)

06/27/2016 $ (516,588)

06/16/2016 $ 640,000

05/31/2016 $ (767,027)

05/16/2016 $ 1,780,000

04/14/2016 $ 840,000

03/28/2016 $ (54,203)

03/16/2016 $ 330,000

02/25/2016 $ (2,321,321)

02/16/2016 $ 500,000

01/14/2016 $ 1,080,000

12/28/2015 $ (486,283)

12/16/2015 $ 230,000

11/16/2015 $ 580,000

10/15/2015 $ 40,000

09/28/2015 $ (561,929)

09/16/2015 $ 140,000

08/14/2015 $ 80,000

07/16/2015 $ 330,000

06/25/2015 $ (427,170)

06/16/2015 $ (60,000)

05/14/2015 $ 160,000

04/28/2015 $ (1,823,241)

04/16/2015 $ (20,000)

03/26/2015 $ (563,340)

03/16/2015 $ (1,970,000)

02/13/2015 $ (70,000)

01/15/2015 $ (280,000)

12/29/2014 $ (1,446,220)

12/16/2014 $ (10,000)

09/29/2014 $ (13,236)

09/16/2014 $ 70,000

08/14/2014 $ (40,000)

144
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 26,755,024 Transfer of cap due to servicing transfer

$ 26,855,024 Transfer of cap due to servicing transfer

$ 29,055,024 Transfer of cap due to servicing transfer

$ 29,054,972 Updated due to quarterly assessment and reallocation

$ 30,554,972 Transfer of cap due to servicing transfer

$ 31,554,972 Transfer of cap due to servicing transfer

$ 31,654,972 Transfer of cap due to servicing transfer

$ 31,654,438 Updated due to quarterly assessment and reallocation

$ 32,354,438 Transfer of cap due to servicing transfer

$ 31,754,438 Transfer of cap due to servicing transfer

$ 35,754,438 Transfer of cap due to servicing transfer

$ 36,354,438 Transfer of cap due to servicing transfer

$ 36,554,438 Transfer of cap due to servicing transfer

$ 36,654,438 Transfer of cap due to servicing transfer

$ 37,954,438 Transfer of cap due to servicing transfer

$ 39,054,438 Transfer of cap due to servicing transfer

$ 39,854,438 Transfer of cap due to servicing transfer

$ 38,774,438 Transfer of cap due to servicing transfer

$ 40,334,438 Transfer of cap due to servicing transfer

$ 40,333,973 Updated due to quarterly assessment and reallocation

$ 40,403,973 Transfer of cap due to servicing transfer

$ 40,402,701 Updated due to quarterly assessment and reallocation

$ 42,502,701 Transfer of cap due to servicing transfer

$ 43,842,701 Transfer of cap due to servicing transfer

$ 45,002,701 Transfer of cap due to servicing transfer

$ 45,002,462 Updated due to quarterly assessment and reallocation

$ 45,212,462 Transfer of cap due to servicing transfer

$ 47,002,462 Transfer of cap due to servicing transfer

$ 48,922,462 Transfer of cap due to servicing transfer

$ 48,921,502 Updated due to quarterly assessment and reallocation

$ 49,331,502 Transfer of cap due to servicing transfer

$ 49,271,502 Transfer of cap due to servicing transfer

$ 50,891,502 Transfer of cap due to servicing transfer

$ 50,891,143 Updated due to quarterly assessment and reallocation

$ 52,921,143 Transfer of cap due to servicing transfer

$ 52,931,143 Transfer of cap due to servicing transfer

$ 55,531,143 Transfer of cap due to servicing transfer

$ 55,531,008 Updated due to quarterly assessment and reallocation

$ 55,801,008 Transfer of cap due to servicing transfer

$ 55,831,008 Transfer of cap due to servicing transfer

$ 65,791,008 Transfer of cap due to servicing transfer

$ 65,551,281 Updated due to quarterly assessment and reallocation

$ 67,641,281 Transfer of cap due to servicing transfer

$ 70,091,281 Transfer of cap due to servicing transfer

$ 69,961,281 Transfer of cap due to servicing transfer

$ 69,952,444 Updated due to quarterly assessment and reallocation

$ 70,012,444 Transfer of cap due to servicing transfer

$ 69,552,444 Transfer of cap due to servicing transfer

$ 70,472,444 Transfer of cap due to servicing transfer

$ 70,368,721 Updated due to quarterly assessment and reallocation

$ 70,163,325 Updated due to quarterly assessment and reallocation

$ 74,213,325 Transfer of cap due to servicing transfer

$ 74,633,325 Transfer of cap due to servicing transfer

$ 74,559,738 Updated due to quarterly assessment and reallocation

$ 81,949,738 Transfer of cap due to servicing transfer

$ 81,559,738 Transfer of cap due to servicing transfer

$ 86,549,738 Transfer of cap due to servicing transfer

$ 77,836,699 Updated due to quarterly assessment and reallocation

$ 77,786,699 Transfer of cap due to servicing transfer

$ 89,636,699 Transfer of cap due to servicing transfer

$ 101,296,699 Transfer of cap due to servicing transfer

$ 96,624,811 Updated due to quarterly assessment and reallocation

$ 97,214,811 Transfer of cap due to servicing transfer

$ 78,983,030 Updated due to quarterly assessment and reallocation

$ 81,083,030 Transfer of cap due to servicing transfer

$ 83,903,030 Transfer of cap due to servicing transfer

$ 79,120,108 Updated due to quarterly assessment and reallocation

$ 79,180,108 Transfer of cap due to servicing transfer

$ 81,420,108 Transfer of cap due to servicing transfer

$ 80,990,108 Transfer of cap due to servicing transfer

$ 74,882,500 Updated due to quarterly assessment and reallocation

10/15/2015 $ 1,040,000 $ 75,922,500 Transfer of cap due to servicing transfer

09/28/2015 $ (6,107,608)

09/16/2015 $ (430,000)

08/14/2015 $ 2,240,000

07/16/2015 $ 60,000

06/25/2015 $ (4,782,922)

06/16/2015 $ 2,820,000

05/14/2015 $ 2,100,000

04/28/2015 $ (18,231,781)

04/16/2015 $ 590,000

03/26/2015 $ (4,671,888)

03/16/2015 $ 11,660,000

02/13/2015 $ 11,850,000

01/15/2015 $ (50,000)

12/29/2014 $ (8,713,039)

12/16/2014 $ 4,990,000

11/14/2014 $ (390,000)

10/16/2014 $ 7,390,000

09/29/2014 $ (73,587)

09/16/2014 $ 420,000

08/14/2014 $ 4,050,000

07/29/2014 $ (205,396)

06/26/2014 $ (103,723)

06/16/2014 $ 920,000

05/15/2014 $ (460,000)

04/16/2014 $ 60,000

03/26/2014 $ (8,837)

03/14/2014 $ (130,000)

02/13/2014 $ 2,450,000

01/16/2014 $ 2,090,000

12/23/2013 $ (239,727)

12/16/2013 $ 9,960,000

11/14/2013 $ 30,000

10/15/2013 $ 270,000

09/27/2013 $ (135)

09/16/2013 $ 2,600,000

08/15/2013 $ 10,000

07/16/2013 $ 2,030,000

06/27/2013 $ (359)

06/14/2013 $ 1,620,000

05/16/2013 $ (60,000)

04/16/2013 $ 410,000

03/25/2013 $ (960)

03/14/2013 $ 1,920,000

02/14/2013 $ 1,790,000

01/16/2013 $ 210,000

12/27/2012 $ (239)

12/14/2012 $ 1,160,000

11/15/2012 $ 1,340,000

10/16/2012 $ 2,100,000

09/27/2012 $ (1,272)

08/16/2012 $ 70,000

06/28/2012 $ (465)

06/14/2012 $ 1,560,000

05/16/2012 $ (1,080,000)

04/16/2012 $ 800,000

03/15/2012 $ 1,100,000

02/16/2012 $ 1,300,000

01/13/2012 $ 100,000

12/15/2011 $ 200,000

11/16/2011 $ 600,000

10/14/2011 $ 4,000,000

09/15/2011 $ (600,000)

08/16/2011 $ 700,000

06/29/2011 $ (534)

06/16/2011 $ 100,000

05/13/2011 $ 1,000,000

04/13/2011 $ 1,500,000

03/30/2011 $ (52)

03/16/2011 $ 2,200,000

02/16/2011 $ 100,000

01/13/2011 $ 300,000

145
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 79,622,500 Transfer of cap due to servicing transfer

$ 80,122,500 Transfer of cap due to servicing transfer

$ 75,361,657 Updated due to quarterly assessment and reallocation

$ 75,461,657 Transfer of cap due to servicing transfer

$ 76,031,657 Transfer of cap due to servicing transfer

$ 61,339,858 Reallocation due to MHA program deobligation

$ 67,609,858 Transfer of cap due to servicing transfer

$ 67,274,946 Updated due to quarterly assessment and reallocation

$ 72,544,946 Transfer of cap due to servicing transfer

$ 72,044,946 Transfer of cap due to servicing transfer

$ 68,859,660 Updated due to quarterly assessment and reallocation

$ 69,519,660 Transfer of cap due to servicing transfer

$ 67,455,514 Updated due to quarterly assessment and reallocation

$ 72,625,514 Transfer of cap due to servicing transfer

$ 70,089,870 Updated due to quarterly assessment and reallocation

$ 75,659,870 Transfer of cap due to servicing transfer

$ 79,059,870 Transfer of cap due to servicing transfer

$ 71,827,945 Updated due to quarterly assessment and reallocation

$ 72,887,945 Transfer of cap due to servicing transfer

$ 66,113,152 Updated due to quarterly assessment and reallocation

$ 68,725,073 Updated due to quarterly assessment and reallocation

$ 69,705,073 Transfer of cap due to servicing transfer

$ 69,631,518 Updated due to quarterly assessment and reallocation

$ 69,211,518 Transfer of cap due to servicing transfer

$ 69,200,963 Transfer of cap due to servicing transfer

$ 69,610,963 Transfer of cap due to servicing transfer

$ 69,780,963 Transfer of cap due to servicing transfer

$ 69,632,432 Transfer of cap due to servicing transfer

$ 72,692,432 Transfer of cap due to servicing transfer

$ 72,680,958 Transfer of cap due to servicing transfer

$ 72,540,199 Transfer of cap due to servicing transfer

$ 72,535,502 Transfer of cap due to servicing transfer

$ 67,737,562 Transfer of cap due to servicing transfer

$ 67,104,762 Transfer of cap due to servicing transfer

$ 66,455,393 Transfer of cap due to servicing transfer

$ 66,417,665 Transfer of cap due to servicing transfer

$ 66,290,352 Transfer of cap due to servicing transfer

$ 65,983,851 Transfer of cap due to servicing transfer

$ 65,899,650 Transfer of cap due to servicing transfer

$ 47,991,187 Reallocation due to MHA program deobligation

$ 47,990,202 Transfer of cap due to servicing transfer

$ 47,989,127 Transfer of cap due to servicing transfer

$ 47,950,961 Transfer of cap due to servicing transfer

$ 47,950,960 Transfer of cap due to servicing transfer

ShoreBank Chicago IL $ 1,410,000 N/A $ 2,300,000 Updated portfolio data from servicer/additional program initial cap

$ 3,560,000 Updated portfolio data from servicer/additional program initial cap

$ 3,540,000 Updated portfolio data from servicer

$ 3,300,000 Updated portfolio data from servicer

$ 3,771,446 Updated portfolio data from servicer

$ 3,771,443 Updated due to quarterly assessment and reallocation

$ 3,771,439 Updated due to quarterly assessment and reallocation

$ 2,671,439 Transfer of cap due to servicing transfer

$ 2,671,401 Updated due to quarterly assessment and reallocation

$ 2,671,372 Updated due to quarterly assessment and reallocation

$ 2,671,293 Updated due to quarterly assessment and reallocation

$ 2,671,280 Updated due to quarterly assessment and reallocation

$ 2,671,230 Updated due to quarterly assessment and reallocation

6 $ 346,986 Termination of SPA

Silver State Schools Credit Union Las Vegas NV $ 1,880,000 N/A $ 1,970,000 Updated portfolio data from servicer/additional program initial cap

$ 3,080,000 Updated portfolio data from servicer

$ 1,900,000 Updated portfolio data from servicer

$ 2,175,834 Updated portfolio data from servicer

$ 2,175,832 Updated due to quarterly assessment and reallocation

$ 2,175,829 Updated due to quarterly assessment and reallocation

$ 2,175,803 Updated due to quarterly assessment and reallocation

$ 2,175,782 Updated due to quarterly assessment and reallocation

$ 2,175,725 Updated due to quarterly assessment and reallocation

$ 2,175,715 Updated due to quarterly assessment and reallocation

$ 2,175,678 Updated due to quarterly assessment and reallocation

$ 2,175,663 Updated due to quarterly assessment and reallocation

6 $ 285,844 Termination of SPA

10/15/2013 SN Servicing Corporation Baton Rouge LA Purchase Financial Instrument for Home Loan Modifications - N/A 3 10/15/2013 $ 60,000 $ 60,000 Transfer of cap due to servicing transfer

07/09/2013 $ (1,889,819)

06/27/2013 $ (15)

03/25/2013 $ (37)

12/27/2012 $ (10)

09/27/2012 $ (57)

06/28/2012 $ (21)

06/29/2011 $ (26)

03/30/2011 $ (3)

01/06/2011 $ (2)

09/30/2010 $ 275,834

07/14/2010 $ (1,180,000)

03/26/2010 $ 1,110,000

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 90,000

04/09/2013 $ (2,324,244)

03/25/2013 $ (50)

12/27/2012 $ (13)

09/27/2012 $ (79)

06/28/2012 $ (29)

06/29/2011 $ (38)

04/13/2011 $ (1,100,000)

03/30/2011 $ (4)

01/06/2011 $ (3)

09/30/2010 $ 471,446

07/14/2010 $ (240,000)

03/26/2010 $ (20,000)

12/30/2009 $ 1,260,000

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 890,000

09/16/2019 $ (1)

10/25/2018 $ (38,166)

09/26/2018 $ (1,075)

08/27/2018 $ (985)

07/26/2018 $ (17,908,463)

06/21/2018 $ (84,201)

04/25/2018 $ (306,501)

03/22/2018 $ (127,313)

02/26/2018 $ (37,728)

12/21/2017 $ (649,369)

10/26/2017 $ (632,800)

09/26/2017 $ (4,797,940)

07/26/2017 $ (4,697)

06/26/2017 $ (140,759)

04/26/2017 $ (11,474)

03/16/2017 $ 3,060,000

02/27/2017 $ (148,531)

02/16/2017 $ 170,000

01/13/2017 $ 410,000

12/27/2016 $ (10,555)

12/15/2016 $ (420,000)

11/29/2016 $ (73,555)

11/16/2016 $ 980,000

11/07/2016 $ 2,611,921

10/25/2016 $ (6,774,793)

10/14/2016 $ 1,060,000

09/28/2016 $ (7,231,925)

09/15/2016 $ 3,400,000

08/16/2016 $ 5,570,000

07/27/2016 $ (2,535,644)

07/14/2016 $ 5,170,000

06/27/2016 $ (2,064,146)

06/16/2016 $ 660,000

05/31/2016 $ (3,185,286)

05/16/2016 $ (500,000)

04/14/2016 $ 5,270,000

03/28/2016 $ (334,912)

03/16/2016 $ 6,270,000

02/25/2016 $ (14,691,799)

02/16/2016 $ 570,000

01/14/2016 $ 100,000

12/28/2015 $ (4,760,843)

12/16/2015 $ 500,000

11/16/2015 $ 3,700,000

146
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 70,000 Transfer of cap due to servicing transfer

$ 240,000 Transfer of cap due to servicing transfer

$ 239,456 Updated due to quarterly assessment and reallocation

$ 239,276 Updated due to quarterly assessment and reallocation

$ 399,276 Transfer of cap due to servicing transfer

$ 419,276 Transfer of cap due to servicing transfer

$ 479,276 Transfer of cap due to servicing transfer

$ 465,870 Updated due to quarterly assessment and reallocation

$ 555,870 Transfer of cap due to servicing transfer

$ 537,395 Updated due to quarterly assessment and reallocation

$ 464,577 Updated due to quarterly assessment and reallocation

$ 1,774,577 Transfer of cap due to servicing transfer

$ 1,854,577 Transfer of cap due to servicing transfer

$ 1,695,913 Updated due to quarterly assessment and reallocation

$ 1,715,913 Transfer of cap due to servicing transfer

$ 1,735,913 Transfer of cap due to servicing transfer

$ 1,895,913 Transfer of cap due to servicing transfer

$ 1,635,476 Updated due to quarterly assessment and reallocation

$ 4,455,476 Transfer of cap due to servicing transfer

$ 5,445,476 Transfer of cap due to servicing transfer

$ 4,729,241 Updated due to quarterly assessment and reallocation

$ 5,059,241 Transfer of cap due to servicing transfer

$ 4,979,241 Transfer of cap due to servicing transfer

$ 2,684,082 Reallocation due to MHA program deobligation

$ 3,854,082 Transfer of cap due to servicing transfer

$ 3,777,393 Updated due to quarterly assessment and reallocation

$ 4,617,393 Transfer of cap due to servicing transfer

$ 5,007,393 Transfer of cap due to servicing transfer

$ 4,181,111 Updated due to quarterly assessment and reallocation

$ 3,681,752 Updated due to quarterly assessment and reallocation

$ 3,791,752 Transfer of cap due to servicing transfer

$ 3,275,919 Updated due to quarterly assessment and reallocation

$ 3,305,919 Transfer of cap due to servicing transfer

$ 3,995,919 Transfer of cap due to servicing transfer

$ 2,828,576 Updated due to quarterly assessment and reallocation

$ 4,338,576 Transfer of cap due to servicing transfer

$ 2,208,091 Updated due to quarterly assessment and reallocation

$ 3,029,468 Updated due to quarterly assessment and reallocation

$ 3,169,468 Transfer of cap due to servicing transfer

$ 3,153,741 Updated due to quarterly assessment and reallocation

$ 3,213,741 Transfer of cap due to servicing transfer

$ 3,211,249 Transfer of cap due to servicing transfer

$ 3,551,249 Transfer of cap due to servicing transfer

$ 3,621,249 Transfer of cap due to servicing transfer

$ 3,570,267 Transfer of cap due to servicing transfer

$ 3,590,267 Transfer of cap due to servicing transfer

$ 3,586,972 Transfer of cap due to servicing transfer

$ 3,566,127 Transfer of cap due to servicing transfer

$ 3,565,497 Transfer of cap due to servicing transfer

$ 2,802,488 Transfer of cap due to servicing transfer

$ 2,710,385 Transfer of cap due to servicing transfer

$ 2,617,553 Transfer of cap due to servicing transfer

$ 2,613,011 Transfer of cap due to servicing transfer

$ 2,602,008 Transfer of cap due to servicing transfer

$ 2,590,841 Transfer of cap due to servicing transfer

$ 2,907,262 Transfer of cap due to servicing transfer

$ 3,067,390 Reallocation due to MHA program deobligation

$ 3,067,370 Transfer of cap due to servicing transfer

$ 3,326,420 Transfer of cap due to servicing transfer

$ 3,325,030 Transfer of cap due to servicing transfer

Sortis Financial, Inc. (ClearSpring Loan 

Services, Inc. fka Vantium Capital, Inc.) Plano TX $ 6,000,000 N/A 4 $ 7,310,000 Updated portfolio data from servicer/additional program initial cap

$ 3,920,000 Updated portfolio data from servicer/additional program initial cap

$ 4,330,000 Updated portfolio data from servicer

$ 3,600,000 Updated portfolio data from servicer

$ 8,300,000 Transfer of cap due to servicing transfer

$ 8,417,764 Updated portfolio data from servicer

$ 9,217,764 Transfer of cap due to servicing transfer

$ 11,917,764 Transfer of cap due to servicing transfer

$ 11,917,747 Updated due to quarterly assessment and reallocation

01/13/2011 $ 700,000 $ 12,617,747 Transfer of cap due to servicing transfer

01/06/2011 $ (17)

12/15/2010 $ 2,700,000

11/16/2010 $ 800,000

09/30/2010 $ 117,764

09/15/2010 $ 4,700,000

07/14/2010 $ (730,000)

03/26/2010 $ 410,000

12/30/2009 $ (3,390,000)

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 1,310,000

10/25/2018 $ (1,390)

09/26/2018 $ 259,050

08/27/2018 $ (20)

07/26/2018 $ 160,128

06/21/2018 $ 316,421

04/25/2018 $ (11,167)

03/22/2018 $ (11,003)

02/26/2018 $ (4,542)

12/21/2017 $ (92,832)

10/26/2017 $ (92,103)

09/26/2017 $ (763,009)

07/26/2017 $ (630)

06/26/2017 $ (20,845)

04/26/2017 $ (3,295)

03/16/2017 $ 20,000

02/27/2017 $ (50,982)

02/16/2017 $ 70,000

01/13/2017 $ 340,000

12/27/2016 $ (2,492)

12/15/2016 $ 60,000

11/29/2016 $ (15,727)

11/16/2016 $ 140,000

11/07/2016 $ 821,377

10/25/2016 $ (2,130,485)

10/14/2016 $ 1,510,000

09/28/2016 $ (1,167,343)

09/15/2016 $ 690,000

08/16/2016 $ 30,000

07/27/2016 $ (515,833)

07/14/2016 $ 110,000

06/27/2016 $ (499,359)

05/31/2016 $ (826,282)

05/16/2016 $ 390,000

04/14/2016 $ 840,000

03/28/2016 $ (76,689)

03/16/2016 $ 1,170,000

02/25/2016 $ (2,295,159)

02/16/2016 $ (80,000)

01/14/2016 $ 330,000

12/28/2015 $ (716,235)

11/16/2015 $ 990,000

10/15/2015 $ 2,820,000

09/28/2015 $ (260,437)

09/16/2015 $ 160,000

08/14/2015 $ 20,000

07/16/2015 $ 20,000

06/25/2015 $ (158,664)

06/16/2015 $ 80,000

05/14/2015 $ 1,310,000

04/28/2015 $ (72,818)

03/26/2015 $ (18,475)

01/15/2015 $ 90,000

12/29/2014 $ (13,406)

12/16/2014 $ 60,000

11/14/2014 $ 20,000

10/16/2014 $ 160,000

09/29/2014 $ (180)

07/29/2014 $ (544)

07/16/2014 $ 170,000

12/16/2013 $ 10,000

147
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 14,417,747 Transfer of cap due to servicing transfer

$ 14,417,728 Updated due to quarterly assessment and reallocation

$ 14,717,728 Transfer of cap due to servicing transfer

$ 14,717,539 Updated due to quarterly assessment and reallocation

$ 15,017,539 Transfer of cap due to servicing transfer

$ 15,117,539 Transfer of cap due to servicing transfer

$ 15,217,539 Transfer of cap due to servicing transfer

$ 15,217,392 Updated due to quarterly assessment and reallocation

$ 15,207,392 Transfer of cap due to servicing transfer

$ 15,206,979 Updated due to quarterly assessment and reallocation

$ 15,166,979 Transfer of cap due to servicing transfer

$ 15,166,908 Updated due to quarterly assessment and reallocation

$ 14,396,908 Transfer of cap due to servicing transfer

$ 14,376,908 Transfer of cap due to servicing transfer

$ 14,376,652 Updated due to quarterly assessment and reallocation

$ 13,756,652 Transfer of cap due to servicing transfer

$ 13,796,652 Transfer of cap due to servicing transfer

$ 13,806,652 Transfer of cap due to servicing transfer

$ 13,806,557 Updated due to quarterly assessment and reallocation

$ 13,516,557 Transfer of cap due to servicing transfer

$ 13,516,523 Updated due to quarterly assessment and reallocation

$ 13,556,523 Transfer of cap due to servicing transfer

$ 13,499,252 Updated due to quarterly assessment and reallocation

$ 13,409,252 Transfer of cap due to servicing transfer

$ 13,369,252 Transfer of cap due to servicing transfer

$ 13,367,263 Updated due to quarterly assessment and reallocation

$ 13,447,263 Transfer of cap due to servicing transfer

$ 13,217,263 Transfer of cap due to servicing transfer

$ 13,317,263 Transfer of cap due to servicing transfer

$ 13,293,825 Updated due to quarterly assessment and reallocation

$ 14,503,825 Transfer of cap due to servicing transfer

$ 14,452,097 Updated due to quarterly assessment and reallocation

$ 14,434,929 Updated due to quarterly assessment and reallocation

$ 14,934,929 Transfer of cap due to servicing transfer

$ 14,924,929 Transfer of cap due to servicing transfer

$ 12,826,967 Updated due to quarterly assessment and reallocation

$ 12,037,937 Updated due to quarterly assessment and reallocation

$ 8,927,926 Updated due to quarterly assessment and reallocation

$ 8,192,563 Updated due to quarterly assessment and reallocation

$ 7,962,563 Transfer of cap due to servicing transfer

$ 6,992,563 Transfer of cap due to servicing transfer

$ 6,622,563 Transfer of cap due to servicing transfer

$ 5,724,334 Updated due to quarterly assessment and reallocation

$ 6,314,334 Transfer of cap due to servicing transfer

$ 6,324,334 Transfer of cap due to servicing transfer

$ 5,549,361 Updated due to quarterly assessment and reallocation

$ 5,529,361 Transfer of cap due to servicing transfer

$ 3,266,666 Reallocation due to MHA program deobligation

$ 3,456,666 Transfer of cap due to servicing transfer

$ 3,404,613 Updated due to quarterly assessment and reallocation

$ 3,474,613 Transfer of cap due to servicing transfer

$ 3,052,416 Updated due to quarterly assessment and reallocation

$ 3,342,416 Transfer of cap due to servicing transfer

$ 3,051,202 Updated due to quarterly assessment and reallocation

$ 2,759,900 Updated due to quarterly assessment and reallocation

$ 3,399,900 Transfer of cap due to servicing transfer

$ 2,638,614 Updated due to quarterly assessment and reallocation

$ 1,919,250 Updated due to quarterly assessment and reallocation

$ 2,196,590 Updated due to quarterly assessment and reallocation

$ 2,190,950 Updated due to quarterly assessment and reallocation

$ 2,200,950 Transfer of cap due to servicing transfer

$ 2,200,077 Transfer of cap due to servicing transfer

$ 2,184,931 Transfer of cap due to servicing transfer

$ 2,183,938 Transfer of cap due to servicing transfer

$ 2,176,391 Transfer of cap due to servicing transfer

$ 2,176,163 Transfer of cap due to servicing transfer

$ 1,936,707 Transfer of cap due to servicing transfer

$ 1,907,011 Transfer of cap due to servicing transfer

$ 1,878,040 Transfer of cap due to servicing transfer

$ 1,876,650 Transfer of cap due to servicing transfer

$ 1,872,118 Transfer of cap due to servicing transfer

04/25/2018 $ (8,960) $ 1,863,158 Transfer of cap due to servicing transfer

03/22/2018 $ (4,532)

02/26/2018 $ (1,390)

12/21/2017 $ (28,971)

10/26/2017 $ (29,696)

09/26/2017 $ (239,456)

07/26/2017 $ (228)

06/26/2017 $ (7,547)

04/26/2017 $ (993)

02/27/2017 $ (15,146)

12/27/2016 $ (873)

12/15/2016 $ 10,000

11/29/2016 $ (5,640)

11/07/2016 $ 277,340

10/25/2016 $ (719,364)

09/28/2016 $ (761,286)

09/15/2016 $ 640,000

07/27/2016 $ (291,302)

06/27/2016 $ (291,214)

06/16/2016 $ 290,000

05/31/2016 $ (422,197)

05/16/2016 $ 70,000

03/28/2016 $ (52,053)

03/16/2016 $ 190,000

02/25/2016 $ (2,262,695)

01/14/2016 $ (20,000)

12/28/2015 $ (774,973)

12/16/2015 $ 10,000

10/15/2015 $ 590,000

09/28/2015 $ (898,229)

09/16/2015 $ (370,000)

08/14/2015 $ (970,000)

07/16/2015 $ (230,000)

06/25/2015 $ (735,363)

04/28/2015 $ (3,110,011)

03/26/2015 $ (789,030)

12/29/2014 $ (2,097,962)

11/14/2014 $ (10,000)

10/16/2014 $ 500,000

09/29/2014 $ (17,168)

07/29/2014 $ (51,728)

07/16/2014 $ 1,210,000

06/26/2014 $ (23,438)

06/16/2014 $ 100,000

05/15/2014 $ (230,000)

04/16/2014 $ 80,000

03/26/2014 $ (1,989)

03/14/2014 $ (40,000)

02/13/2014 $ (90,000)

12/23/2013 $ (57,271)

12/16/2013 $ 40,000

09/27/2013 $ (34)

07/16/2013 $ (290,000)

06/27/2013 $ (95)

06/14/2013 $ 10,000

05/16/2013 $ 40,000

04/16/2013 $ (620,000)

03/25/2013 $ (256)

03/14/2013 $ (20,000)

02/14/2013 $ (770,000)

12/27/2012 $ (71)

11/15/2012 $ (40,000)

09/27/2012 $ (413)

07/16/2012 $ (10,000)

06/28/2012 $ (147)

10/14/2011 $ 100,000

09/15/2011 $ 100,000

08/16/2011 $ 300,000

06/29/2011 $ (189)

04/13/2011 $ 300,000

03/30/2011 $ (19)

02/16/2011 $ 1,800,000

148
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,861,009 Transfer of cap due to servicing transfer

$ 1,420,201 Reallocation due to MHA program deobligation

$ 1,420,177 Transfer of cap due to servicing transfer

$ 1,420,151 Transfer of cap due to servicing transfer

$ 1,419,243 Transfer of cap due to servicing transfer

Sound Community Bank Seattle WA $ 440,000 N/A $ 460,000 Updated portfolio data from servicer/additional program initial cap

$ 1,890,000 Updated portfolio data from servicer

$ 1,500,000 Updated portfolio data from servicer

- Termination of SPA

Specialized Loan Servicing LLC Highlands Ranch CO $ 64,150,000 N/A $ 12,910,000 Updated portfolio data from servicer

$ 15,910,000 Transfer of cap due to servicing transfer

$ 20,770,000 Transfer of cap due to servicing transfer

$ 24,400,000 Updated portfolio data from servicer

$ 24,730,000 Transfer of cap due to servicing transfer

$ 25,430,000 Transfer of cap due to servicing transfer

$ 25,630,000 Transfer of cap due to servicing transfer

$ 23,934,174 Updated portfolio data from servicer

$ 24,134,174 Transfer of cap due to servicing transfer

$ 24,134,142 Updated due to quarterly assessment and reallocation

$ 25,634,142 Transfer of cap due to servicing transfer

$ 32,734,142 Transfer of cap due to servicing transfer

$ 32,734,106 Updated due to quarterly assessment and reallocation

$ 33,734,106 Transfer of cap due to servicing transfer

$ 33,834,106 Transfer of cap due to servicing transfer

$ 34,134,106 Transfer of cap due to servicing transfer

$ 34,133,774 Updated due to quarterly assessment and reallocation

$ 34,233,774 Transfer of cap due to servicing transfer

$ 34,533,774 Transfer of cap due to servicing transfer

$ 34,833,774 Transfer of cap due to servicing transfer

$ 33,133,774 Transfer of cap due to servicing transfer

$ 34,733,774 Transfer of cap due to servicing transfer

$ 34,833,774 Transfer of cap due to servicing transfer

$ 34,933,774 Transfer of cap due to servicing transfer

$ 112,533,774 Transfer of cap due to servicing transfer

$ 112,573,774 Transfer of cap due to servicing transfer

$ 112,223,774 Transfer of cap due to servicing transfer

$ 112,222,716 Updated due to quarterly assessment and reallocation

$ 116,652,716 Transfer of cap due to servicing transfer

$ 115,372,716 Transfer of cap due to servicing transfer

$ 115,369,655 Updated due to quarterly assessment and reallocation

$ 120,969,655 Transfer of cap due to servicing transfer

$ 121,849,655 Transfer of cap due to servicing transfer

$ 146,029,655 Transfer of cap due to servicing transfer

$ 146,028,992 Updated due to quarterly assessment and reallocation

$ 148,438,992 Transfer of cap due to servicing transfer

$ 155,088,992 Transfer of cap due to servicing transfer

$ 153,638,992 Transfer of cap due to servicing transfer

$ 153,636,408 Updated due to quarterly assessment and reallocation

$ 152,886,408 Transfer of cap due to servicing transfer

$ 151,636,408 Transfer of cap due to servicing transfer

$ 155,306,408 Transfer of cap due to servicing transfer

$ 155,305,423 Updated due to quarterly assessment and reallocation

$ 151,585,423 Transfer of cap due to servicing transfer

$ 151,405,423 Transfer of cap due to servicing transfer

$ 151,405,077 Updated due to quarterly assessment and reallocation

$ 152,265,077 Transfer of cap due to servicing transfer

$ 151,855,077 Transfer of cap due to servicing transfer

$ 141,695,077 Transfer of cap due to servicing transfer

$ 141,313,948 Updated due to quarterly assessment and reallocation

$ 149,513,948 Transfer of cap due to servicing transfer

$ 171,423,948 Transfer of cap due to servicing transfer

$ 171,723,948 Transfer of cap due to servicing transfer

$ 171,713,097 Updated due to quarterly assessment and reallocation

$ 176,183,097 Transfer of cap due to servicing transfer

$ 147,723,097 Transfer of cap due to servicing transfer

$ 152,403,097 Transfer of cap due to servicing transfer

$ 152,345,586 Updated due to quarterly assessment and reallocation

$ 168,795,586 Transfer of cap due to servicing transfer

$ 168,680,311 Updated due to quarterly assessment and reallocation

$ 168,910,311 Transfer of cap due to servicing transfer

$ 164,640,311 Transfer of cap due to servicing transfer

09/29/2014 $ (27,454) $ 164,612,857 Updated due to quarterly assessment and reallocation

09/16/2014 $ (4,270,000)

08/14/2014 $ 230,000

07/29/2014 $ (115,275)

07/16/2014 $ 16,450,000

06/26/2014 $ (57,511)

06/16/2014 $ 4,680,000

05/15/2014 $ (28,460,000)

04/16/2014 $ 4,470,000

03/26/2014 $ (10,851)

03/14/2014 $ 300,000

02/13/2014 $ 21,910,000

01/16/2014 $ 8,200,000

12/23/2013 $ (381,129)

12/16/2013 $ (10,160,000)

11/14/2013 $ (410,000)

10/15/2013 $ 860,000

09/27/2013 $ (346)

09/16/2013 $ (180,000)

07/16/2013 $ (3,720,000)

06/27/2013 $ (985)

06/14/2013 $ 3,670,000

05/16/2013 $ (1,250,000)

04/16/2013 $ (750,000)

03/25/2013 $ (2,584)

03/14/2013 $ (1,450,000)

02/14/2013 $ 6,650,000

01/16/2013 $ 2,410,000

12/27/2012 $ (663)

12/14/2012 $ 24,180,000

11/15/2012 $ 880,000

10/16/2012 $ 5,600,000

09/27/2012 $ (3,061)

08/16/2012 $ (1,280,000)

07/16/2012 $ 4,430,000

06/28/2012 $ (1,058)

06/14/2012 $ (350,000)

05/16/2012 $ 40,000

04/16/2012 $ 77,600,000

03/15/2012 $ 100,000

02/16/2012 $ 100,000

01/13/2012 $ 1,600,000

12/15/2011 $ (1,700,000)

10/14/2011 $ 300,000

09/15/2011 $ 300,000

08/16/2011 $ 100,000

06/29/2011 $ (332)

06/16/2011 $ 300,000

05/13/2011 $ 100,000

04/13/2011 $ 1,000,000

03/30/2011 $ (36)

03/16/2011 $ 7,100,000

01/13/2011 $ 1,500,000

01/06/2011 $ (32)

11/16/2010 $ 200,000

09/30/2010 $ (1,695,826)

09/15/2010 $ 200,000

08/13/2010 $ 700,000

07/16/2010 $ 330,000

07/14/2010 $ 3,630,000

06/16/2010 $ 4,860,000

05/14/2010 $ 3,000,000

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (51,240,000)

09/08/2010 $ (1,500,000)

07/14/2010 $ (390,000)

03/26/2010 $ 1,430,000

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

10/25/2018 $ (908)

09/26/2018 $ (26)

08/27/2018 $ (24)

07/26/2018 $ (440,808)

06/21/2018 $ (2,149)

149
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 165,152,857 Transfer of cap due to servicing transfer

$ 218,098,718 Updated due to quarterly assessment and reallocation

$ 217,578,718 Transfer of cap due to servicing transfer

$ 230,208,718 Transfer of cap due to servicing transfer

$ 242,098,718 Transfer of cap due to servicing transfer

$ 243,451,040 Updated due to quarterly assessment and reallocation

$ 244,501,040 Transfer of cap due to servicing transfer

$ 248,949,261 Updated due to quarterly assessment and reallocation

$ 256,119,261 Transfer of cap due to servicing transfer

$ 274,189,261 Transfer of cap due to servicing transfer

$ 292,981,887 Updated due to quarterly assessment and reallocation

$ 307,481,887 Transfer of cap due to servicing transfer

$ 309,191,887 Transfer of cap due to servicing transfer

$ 308,801,887 Transfer of cap due to servicing transfer

$ 319,325,115 Updated due to quarterly assessment and reallocation

$ 322,775,115 Transfer of cap due to servicing transfer

$ 323,745,115 Transfer of cap due to servicing transfer

$ 323,535,115 Transfer of cap due to servicing transfer

$ 330,093,528 Updated due to quarterly assessment and reallocation

$ 355,103,528 Transfer of cap due to servicing transfer

$ 357,573,528 Transfer of cap due to servicing transfer

$ 343,980,842 Reallocation due to MHA program deobligation

$ 345,020,842 Transfer of cap due to servicing transfer

$ 344,846,423 Updated due to quarterly assessment and reallocation

$ 344,456,423 Transfer of cap due to servicing transfer

$ 335,536,423 Transfer of cap due to servicing transfer

$ 345,102,699 Updated due to quarterly assessment and reallocation

$ 342,592,699 Transfer of cap due to servicing transfer

$ 346,563,664 Updated due to quarterly assessment and reallocation

$ 378,203,664 Transfer of cap due to servicing transfer

$ 377,913,126 Updated due to quarterly assessment and reallocation

$ 376,373,126 Transfer of cap due to servicing transfer

$ 371,323,126 Transfer of cap due to servicing transfer

$ 377,724,733 Updated due to quarterly assessment and reallocation

$ 377,904,733 Transfer of cap due to servicing transfer

$ 383,853,002 Updated due to quarterly assessment and reallocation

$ 383,853,002 Updated due to quarterly assessment and reallocation

$ 409,343,002 Transfer of cap due to servicing transfer

$ 409,198,939 Updated due to quarterly assessment and reallocation

$ 420,828,939 Transfer of cap due to servicing transfer

$ 420,815,967 Transfer of cap due to servicing transfer

$ 416,455,967 Transfer of cap due to servicing transfer

$ 379,395,967 Transfer of cap due to servicing transfer

$ 402,419,744 Transfer of cap due to servicing transfer

$ 439,229,744 Transfer of cap due to servicing transfer

$ 439,226,156 Transfer of cap due to servicing transfer

$ 452,621,094 Transfer of cap due to servicing transfer

$ 452,620,330 Transfer of cap due to servicing transfer

$ 483,380,004 Transfer of cap due to servicing transfer

$ 482,968,006 Transfer of cap due to servicing transfer

$ 502,635,675 Transfer of cap due to servicing transfer

$ 502,615,964 Transfer of cap due to servicing transfer

$ 507,631,495 Transfer of cap due to servicing transfer

$ 507,529,019 Transfer of cap due to servicing transfer

$ 507,502,904 Transfer of cap due to servicing transfer

$ 438,841,090 Reallocation due to MHA program deobligation

$ 438,836,879 Transfer of cap due to servicing transfer

$ 438,831,976 Transfer of cap due to servicing transfer

$ 438,644,948 Transfer of cap due to servicing transfer

$ 447,603,357 Transfer of cap due to servicing transfer

$ 452,684,207 Reallocation due to MHA program deobligation

Spirit of Alaska Federal Credit Union Fairbanks AK $ 360,000 N/A $ 370,000 Updated portfolio data from servicer/additional program initial cap

$ 1,220,000 Updated portfolio data from servicer

$ 1,100,000 Updated portfolio data from servicer

$ 1,200,000 Updated portfolio data from servicer/additional program initial cap

$ 1,305,500 Updated portfolio data from servicer

$ 1,305,498 Updated due to quarterly assessment and reallocation

- Termination of SPA

Stanford Federal Credit Union Palo Alto CA $ 300,000 N/A $ 370,000 Updated portfolio data from servicer/additional program initial cap

$ 3,050,000 Updated portfolio data from servicer/additional program initial cap

$ 3,400,000 Updated portfolio data from servicer

07/14/2010 $ (1,900,000) $ 1,500,000 Updated portfolio data from servicer

03/26/2010 $ 350,000

12/30/2009 $ 2,680,000

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 70,000

02/17/2011 $ (1,305,498)

01/06/2011 $ (2)

09/30/2010 $ 105,500

09/30/2010 $ 100,000

07/14/2010 $ (120,000)

03/26/2010 $ 850,000

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 10,000

08/22/2019 $ 5,080,850

03/25/2019 $ 8,958,409

10/25/2018 $ (187,028)

09/26/2018 $ (4,903)

08/27/2018 $ (4,211)

07/26/2018 $ (68,661,814)

06/21/2018 $ (26,115)

04/25/2018 $ (102,476)

03/22/2018 $ 5,015,531

02/26/2018 $ (19,711)

12/21/2017 $ 19,667,669

10/26/2017 $ (411,998)

09/26/2017 $ 30,759,674

07/26/2017 $ (764)

06/26/2017 $ 13,394,938

04/26/2017 $ (3,588)

03/16/2017 $ 36,810,000

02/27/2017 $ 23,023,777

02/16/2017 $ (37,060,000)

01/13/2017 $ (4,360,000)

12/27/2016 $ (12,972)

12/15/2016 $ 11,630,000

11/29/2016 $ (144,063)

11/16/2016 $ 25,490,000

11/07/2016 -

10/25/2016 $ 5,948,269

10/14/2016 $ 180,000

09/28/2016 $ 6,401,607

09/15/2016 $ (5,050,000)

08/16/2016 $ (1,540,000)

07/27/2016 $ (290,538)

07/14/2016 $ 31,640,000

06/27/2016 $ 3,970,965

06/16/2016 $ (2,510,000)

05/31/2016 $ 9,566,276

05/16/2016 $ (8,920,000)

04/14/2016 $ (390,000)

03/28/2016 $ (174,419)

03/16/2016 $ 1,040,000

02/25/2016 $ (13,592,686)

02/16/2016 $ 2,470,000

01/14/2016 $ 25,010,000

12/28/2015 $ 6,558,413

12/16/2015 $ (210,000)

11/16/2015 $ 970,000

10/15/2015 $ 3,450,000

09/28/2015 $ 10,523,228

09/16/2015 $ (390,000)

08/14/2015 $ 1,710,000

07/16/2015 $ 14,500,000

06/25/2015 $ 18,792,626

06/16/2015 $ 18,070,000

05/14/2015 $ 7,170,000

04/28/2015 $ 4,448,221

04/16/2015 $ 1,050,000

03/26/2015 $ 1,352,322

03/16/2015 $ 11,890,000

02/13/2015 $ 12,630,000

01/15/2015 $ (520,000)

12/29/2014 $ 52,945,861

11/14/2014 $ 540,000

150
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 290,111 Updated portfolio data from servicer

- Termination of SPA

Statebridge Company, LLC Denver CO - N/A 3 $ 5,000,000 Transfer of cap due to servicing transfer

$ 4,999,993 Updated due to quarterly assessment and reallocation

$ 5,499,993 Transfer of cap due to servicing transfer

$ 5,599,993 Transfer of cap due to servicing transfer

$ 5,599,984 Updated due to quarterly assessment and reallocation

$ 5,599,899 Updated due to quarterly assessment and reallocation

$ 3,099,899 Transfer of cap due to servicing transfer

$ 3,299,899 Transfer of cap due to servicing transfer

$ 3,299,859 Updated due to quarterly assessment and reallocation

$ 3,299,759 Updated due to quarterly assessment and reallocation

$ 3,469,759 Transfer of cap due to servicing transfer

$ 3,439,759 Transfer of cap due to servicing transfer

$ 3,359,759 Transfer of cap due to servicing transfer

$ 3,359,742 Updated due to quarterly assessment and reallocation

$ 3,409,742 Transfer of cap due to servicing transfer

$ 4,649,742 Transfer of cap due to servicing transfer

$ 4,739,742 Transfer of cap due to servicing transfer

$ 4,739,652 Updated due to quarterly assessment and reallocation

$ 4,729,652 Transfer of cap due to servicing transfer

$ 4,729,618 Updated due to quarterly assessment and reallocation

$ 4,729,605 Updated due to quarterly assessment and reallocation

$ 4,789,605 Transfer of cap due to servicing transfer

$ 4,767,832 Updated due to quarterly assessment and reallocation

$ 4,747,832 Transfer of cap due to servicing transfer

$ 4,807,832 Transfer of cap due to servicing transfer

$ 4,777,832 Transfer of cap due to servicing transfer

$ 4,777,062 Updated due to quarterly assessment and reallocation

$ 4,768,084 Updated due to quarterly assessment and reallocation

$ 4,918,084 Transfer of cap due to servicing transfer

$ 4,899,765 Updated due to quarterly assessment and reallocation

$ 5,229,765 Transfer of cap due to servicing transfer

$ 5,739,765 Transfer of cap due to servicing transfer

$ 5,732,681 Updated due to quarterly assessment and reallocation

$ 7,042,681 Transfer of cap due to servicing transfer

$ 12,822,681 Transfer of cap due to servicing transfer

$ 10,813,209 Updated due to quarterly assessment and reallocation

$ 10,793,209 Transfer of cap due to servicing transfer

$ 10,033,569 Updated due to quarterly assessment and reallocation

$ 7,039,429 Updated due to quarterly assessment and reallocation

$ 7,069,429 Transfer of cap due to servicing transfer

$ 6,357,686 Updated due to quarterly assessment and reallocation

$ 6,517,686 Transfer of cap due to servicing transfer

$ 6,607,686 Transfer of cap due to servicing transfer

$ 5,638,454 Updated due to quarterly assessment and reallocation

$ 6,318,454 Transfer of cap due to servicing transfer

$ 6,358,454 Transfer of cap due to servicing transfer

$ 6,908,454 Transfer of cap due to servicing transfer

$ 6,091,904 Updated due to quarterly assessment and reallocation

$ 3,732,047 Reallocation due to MHA program deobligation

$ 4,712,047 Transfer of cap due to servicing transfer

$ 4,639,923 Updated due to quarterly assessment and reallocation

$ 4,939,923 Transfer of cap due to servicing transfer

$ 5,019,923 Transfer of cap due to servicing transfer

$ 4,386,557 Updated due to quarterly assessment and reallocation

$ 4,024,269 Updated due to quarterly assessment and reallocation

$ 4,174,269 Transfer of cap due to servicing transfer

$ 3,828,213 Updated due to quarterly assessment and reallocation

$ 3,203,692 Updated due to quarterly assessment and reallocation

$ 3,223,692 Transfer of cap due to servicing transfer

$ 2,685,734 Updated due to quarterly assessment and reallocation

$ 2,893,136 Updated due to quarterly assessment and reallocation

$ 3,883,136 Transfer of cap due to servicing transfer

$ 3,871,838 Updated due to quarterly assessment and reallocation

$ 3,870,113 Transfer of cap due to servicing transfer

$ 3,770,113 Transfer of cap due to servicing transfer

$ 3,780,113 Transfer of cap due to servicing transfer

$ 3,751,837 Transfer of cap due to servicing transfer

$ 2,401,837 Transfer of cap due to servicing transfer

$ 2,400,792 Transfer of cap due to servicing transfer

06/26/2017 $ (11,705) $ 2,389,087 Transfer of cap due to servicing transfer

04/26/2017 $ (1,045)

03/16/2017 $ (1,350,000)

02/27/2017 $ (28,276)

02/16/2017 $ 10,000

01/13/2017 $ (100,000)

12/27/2016 $ (1,725)

11/29/2016 $ (11,298)

11/16/2016 $ 990,000

11/07/2016 $ 207,402

10/25/2016 $ (537,958)

10/14/2016 $ 20,000

09/28/2016 $ (624,521)

07/27/2016 $ (346,056)

07/14/2016 $ 150,000

06/27/2016 $ (362,288)

05/31/2016 $ (633,366)

05/16/2016 $ 80,000

04/14/2016 $ 300,000

03/28/2016 $ (72,124)

03/16/2016 $ 980,000

02/25/2016 $ (2,359,857)

12/28/2015 $ (816,550)

12/16/2015 $ 550,000

11/16/2015 $ 40,000

10/15/2015 $ 680,000

09/28/2015 $ (969,232)

09/16/2015 $ 90,000

08/14/2015 $ 160,000

06/25/2015 $ (711,743)

06/16/2015 $ 30,000

04/28/2015 $ (2,994,140)

03/26/2015 $ (759,640)

03/16/2015 $ (20,000)

12/29/2014 $ (2,009,472)

12/16/2014 $ 5,780,000

10/16/2014 $ 1,310,000

09/29/2014 $ (7,084)

09/16/2014 $ 510,000

08/14/2014 $ 330,000

07/29/2014 $ (18,319)

07/16/2014 $ 150,000

06/26/2014 $ (8,978)

03/26/2014 $ (770)

03/14/2014 $ (30,000)

02/13/2014 $ 60,000

01/16/2014 $ (20,000)

12/23/2013 $ (21,773)

11/14/2013 $ 60,000

09/27/2013 $ (13)

06/27/2013 $ (34)

04/16/2013 $ (10,000)

03/25/2013 $ (90)

03/14/2013 $ 90,000

02/14/2013 $ 1,240,000

01/16/2013 $ 50,000

12/27/2012 $ (17)

12/14/2012 $ (80,000)

11/15/2012 $ (30,000)

10/16/2012 $ 170,000

09/27/2012 $ (100)

06/28/2012 $ (40)

03/15/2012 $ 200,000

11/16/2011 $ (2,500,000)

06/29/2011 $ (85)

03/30/2011 $ (9)

03/16/2011 $ 100,000

02/16/2011 $ 500,000

01/06/2011 $ (7)

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/15/2010 $ 5,000,000

03/23/2011 $ (290,111)

09/30/2010 $ (1,209,889)

151
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,388,733 Transfer of cap due to servicing transfer

$ 1,948,517 Transfer of cap due to servicing transfer

$ 1,887,921 Transfer of cap due to servicing transfer

$ 1,823,889 Transfer of cap due to servicing transfer

$ 1,820,780 Transfer of cap due to servicing transfer

$ 1,810,640 Transfer of cap due to servicing transfer

$ 1,790,591 Transfer of cap due to servicing transfer

$ 1,786,598 Transfer of cap due to servicing transfer

$ 1,179,071 Reallocation due to MHA program deobligation

$ 1,179,046 Transfer of cap due to servicing transfer

$ 1,179,017 Transfer of cap due to servicing transfer

$ 1,178,091 Transfer of cap due to servicing transfer

Sterling Savings Bank Spokane WA $ 2,250,000 N/A $ 2,350,000 Updated portfolio data from servicer/additional program initial cap

$ 1,610,000 Updated portfolio data from servicer

$ 900,000 Updated portfolio data from servicer

$ 1,450,556 Updated portfolio data from servicer

$ 1,450,555 Updated due to quarterly assessment and reallocation

$ 1,450,554 Updated due to quarterly assessment and reallocation

$ 1,450,543 Updated due to quarterly assessment and reallocation

$ 1,481,450 Updated due to quarterly assessment and reallocation

$ 1,540,138 Updated due to quarterly assessment and reallocation

$ 1,775,313 Updated due to quarterly assessment and reallocation

$ 1,859,504 Updated due to quarterly assessment and reallocation

$ 1,873,290 Updated due to quarterly assessment and reallocation

$ 1,873,255 Updated due to quarterly assessment and reallocation

$ 1,885,350 Updated due to quarterly assessment and reallocation

$ 2,007,657 Updated due to quarterly assessment and reallocation

$ 2,029,841 Updated due to quarterly assessment and reallocation

$ 2,054,406 Updated due to quarterly assessment and reallocation

$ 2,636,288 Updated due to quarterly assessment and reallocation

$ 2,635,254 Updated due to quarterly assessment and reallocation

$ 2,630,969 Updated due to quarterly assessment and reallocation

$ 2,624,439 Updated due to quarterly assessment and reallocation

$ 2,612,666 Updated due to quarterly assessment and reallocation

$ 2,600,868 Updated due to quarterly assessment and reallocation

$ 2,470,205 Reallocation due to MHA program deobligation

$ 2,467,275 Updated due to quarterly assessment and reallocation

$ 1,877,275 Transfer of cap due to servicing transfer

$ 1,858,394 Updated due to quarterly assessment and reallocation

$ 2,412,539 Transfer of cap due to servicing transfer

$ 2,396,916 Updated due to quarterly assessment and reallocation

$ 1,876,916 Transfer of cap due to servicing transfer

$ 1,845,167 Updated due to quarterly assessment and reallocation

6 $ 1,453,740 Termination of SPA

Stockman Bank of Montana Miles City MT $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

$ 116,295 Updated due to quarterly assessment and reallocation

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

04/26/2017 $ (1) $ 101,069 Transfer of cap due to servicing transfer

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

09/28/2015 $ (3,595)

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

08/04/2016 $ (391,427)

07/27/2016 $ (31,749)

07/14/2016 $ (520,000)

06/27/2016 $ (15,623)

06/16/2016 $ 554,145

05/31/2016 $ (18,881)

05/16/2016 $ (590,000)

03/28/2016 $ (2,930)

02/25/2016 $ (130,663)

12/28/2015 $ (11,798)

09/28/2015 $ (11,773)

06/25/2015 $ (6,530)

04/28/2015 $ (4,285)

03/26/2015 $ (1,034)

12/29/2014 $ 581,882

09/29/2014 $ 24,565

07/29/2014 $ 22,184

06/26/2014 $ 122,307

03/26/2014 $ 12,095

12/23/2013 $ (35)

09/27/2013 $ 13,786

06/27/2013 $ 84,191

03/25/2013 $ 235,175

12/27/2012 $ 58,688

09/27/2012 $ 30,907

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 550,556

07/14/2010 $ (710,000)

03/26/2010 $ (740,000)

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 100,000

10/25/2018 $ (926)

09/26/2018 $ (29)

08/27/2018 $ (25)

07/26/2018 $ (607,527)

06/21/2018 $ (3,993)

04/25/2018 $ (20,049)

03/22/2018 $ (10,140)

02/26/2018 $ (3,109)

12/21/2017 $ (64,032)

10/26/2017 $ (60,596)

09/26/2017 $ (440,216)

07/26/2017 $ (354)

152
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

$ 100,072 Reallocation due to MHA program deobligation

$ 100,071 Transfer of cap due to servicing transfer

Suburban Mortgage Company of New 

Mexico Albuquerque NM $ 880,000 N/A $ 2,465,945 Updated portfolio data from servicer

$ 2,465,941 Updated due to quarterly assessment and reallocation

$ 2,465,937 Updated due to quarterly assessment and reallocation

$ 2,465,897 Updated due to quarterly assessment and reallocation

$ 2,465,867 Updated due to quarterly assessment and reallocation

- Termination of SPA

Sun West Mortgage Company, Inc Cerritos CA - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

- Termination of SPA

SunTrust Mortgage, Inc. Richmond VA - N/A 3 $ 100,000 Transfer of cap due to servicing transfer

$ 220,000 Transfer of cap due to servicing transfer

$ 219,999 Updated due to quarterly assessment and reallocation

$ 229,999 Transfer of cap due to servicing transfer

$ 229,329 Updated due to quarterly assessment and reallocation

$ 249,329 Transfer of cap due to servicing transfer

$ 339,329 Transfer of cap due to servicing transfer

$ 389,329 Transfer of cap due to servicing transfer

$ 389,291 Updated due to quarterly assessment and reallocation

$ 449,291 Transfer of cap due to servicing transfer

$ 448,805 Updated due to quarterly assessment and reallocation

$ 518,805 Transfer of cap due to servicing transfer

$ 517,816 Updated due to quarterly assessment and reallocation

$ 547,816 Transfer of cap due to servicing transfer

$ 547,458 Updated due to quarterly assessment and reallocation

$ 518,728 Updated due to quarterly assessment and reallocation

$ 498,728 Transfer of cap due to servicing transfer

$ 487,987 Updated due to quarterly assessment and reallocation

$ 445,618 Updated due to quarterly assessment and reallocation

$ 431,617 Updated due to quarterly assessment and reallocation

$ 411,617 Transfer of cap due to servicing transfer

$ 391,369 Updated due to quarterly assessment and reallocation

$ 376,384 Updated due to quarterly assessment and reallocation

$ 2,416,384 Transfer of cap due to servicing transfer

$ 2,666,884 Reallocation due to MHA program deobligation

$ 2,806,884 Transfer of cap due to servicing transfer

$ 2,811,401 Updated due to quarterly assessment and reallocation

$ 2,626,465 Updated due to quarterly assessment and reallocation

$ 2,465,355 Updated due to quarterly assessment and reallocation

$ 2,302,993 Updated due to quarterly assessment and reallocation

$ 1,989,021 Updated due to quarterly assessment and reallocation

$ 1,688,384 Updated due to quarterly assessment and reallocation

$ 1,804,290 Updated due to quarterly assessment and reallocation

$ 1,801,351 Updated due to quarterly assessment and reallocation

$ 1,800,902 Transfer of cap due to servicing transfer

$ 1,793,117 Transfer of cap due to servicing transfer

$ 1,792,597 Transfer of cap due to servicing transfer

$ 1,788,445 Transfer of cap due to servicing transfer

$ 1,788,319 Transfer of cap due to servicing transfer

$ 1,657,989 Transfer of cap due to servicing transfer

$ 1,641,826 Transfer of cap due to servicing transfer

$ 1,624,988 Transfer of cap due to servicing transfer

$ 1,624,171 Transfer of cap due to servicing transfer

$ 1,621,506 Transfer of cap due to servicing transfer

$ 1,618,124 Transfer of cap due to servicing transfer

$ 1,617,490 Transfer of cap due to servicing transfer

$ 1,347,963 Reallocation due to MHA program deobligation

$ 1,347,948 Transfer of cap due to servicing transfer

$ 1,347,932 Transfer of cap due to servicing transfer

$ 1,347,377 Transfer of cap due to servicing transfer

Technology Credit Union San Jose CA $ 70,000 N/A $ 2,250,000 Updated portfolio data from servicer/additional program initial cap

$ 1,530,000 Updated portfolio data from servicer

07/14/2010 $ (430,000) $ 1,100,000 Updated portfolio data from servicer

03/26/2010 $ (720,000)

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 12/30/2009 $ 2,180,000

10/25/2018 $ (555)

09/26/2018 $ (16)

08/27/2018 $ (15)

07/26/2018 $ (269,527)

06/21/2018 $ (634)

04/25/2018 $ (3,382)

03/22/2018 $ (2,665)

02/26/2018 $ (817)

12/21/2017 $ (16,838)

10/26/2017 $ (16,163)

09/26/2017 $ (130,330)

07/26/2017 $ (126)

06/26/2017 $ (4,152)

04/26/2017 $ (520)

02/27/2017 $ (7,785)

12/27/2016 $ (449)

11/29/2016 $ (2,939)

11/07/2016 $ 115,906

10/25/2016 $ (300,637)

09/28/2016 $ (313,972)

07/27/2016 $ (162,362)

06/27/2016 $ (161,110)

05/31/2016 $ (184,936)

03/28/2016 $ 4,517

03/16/2016 $ 140,000

02/25/2016 $ 250,500

01/14/2016 $ 2,040,000

12/28/2015 $ (14,985)

09/28/2015 $ (20,248)

08/14/2015 $ (20,000)

06/25/2015 $ (14,001)

04/28/2015 $ (42,369)

03/26/2015 $ (10,741)

02/13/2015 $ (20,000)

12/29/2014 $ (28,730)

09/29/2014 $ (358)

08/14/2014 $ 30,000

07/29/2014 $ (989)

07/16/2014 $ 70,000

06/26/2014 $ (486)

04/16/2014 $ 60,000

03/26/2014 $ (38)

03/14/2014 $ 50,000

02/13/2014 $ 90,000

01/16/2014 $ 20,000

12/23/2013 $ (670)

07/16/2013 $ 10,000

06/27/2013 $ (1)

06/14/2013 $ 120,000

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 100,000

08/16/2017 $ (100,000)

01/13/2012 Purchase Financial Instrument for Home Loan Modifications 01/13/2012 $ 100,000

08/10/2012 $ (2,465,867)

06/28/2012 $ (30)

06/29/2011 $ (40)

03/30/2011 $ (4)

01/06/2011 $ (4)

08/04/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 1,585,945

10/25/2018 $ (1)

07/26/2018 $ (386)

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

153
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 1,160,445 Updated portfolio data from servicer

$ 1,160,444 Updated due to quarterly assessment and reallocation

$ 1,160,443 Updated due to quarterly assessment and reallocation

$ 1,160,431 Updated due to quarterly assessment and reallocation

$ 1,160,422 Updated due to quarterly assessment and reallocation

$ 1,160,399 Updated due to quarterly assessment and reallocation

$ 1,160,395 Updated due to quarterly assessment and reallocation

$ 1,160,382 Updated due to quarterly assessment and reallocation

$ 1,160,377 Updated due to quarterly assessment and reallocation

$ 1,160,375 Updated due to quarterly assessment and reallocation

$ 1,157,646 Updated due to quarterly assessment and reallocation

$ 1,157,545 Updated due to quarterly assessment and reallocation

$ 1,156,350 Updated due to quarterly assessment and reallocation

$ 1,153,977 Updated due to quarterly assessment and reallocation

$ 1,153,193 Updated due to quarterly assessment and reallocation

$ 1,070,642 Updated due to quarterly assessment and reallocation

$ 1,037,689 Updated due to quarterly assessment and reallocation

$ 914,039 Updated due to quarterly assessment and reallocation

$ 883,282 Updated due to quarterly assessment and reallocation

$ 841,048 Updated due to quarterly assessment and reallocation

$ 807,696 Updated due to quarterly assessment and reallocation

$ 681,537 Reallocation due to MHA program deobligation

$ 678,902 Updated due to quarterly assessment and reallocation

$ 656,189 Updated due to quarterly assessment and reallocation

$ 642,621 Updated due to quarterly assessment and reallocation

$ 629,049 Updated due to quarterly assessment and reallocation

$ 605,313 Updated due to quarterly assessment and reallocation

$ 582,885 Updated due to quarterly assessment and reallocation

$ 591,532 Updated due to quarterly assessment and reallocation

$ 591,132 Updated due to quarterly assessment and reallocation

$ 591,071 Transfer of cap due to servicing transfer

$ 590,008 Transfer of cap due to servicing transfer

$ 589,938 Transfer of cap due to servicing transfer

$ 589,402 Transfer of cap due to servicing transfer

$ 589,386 Transfer of cap due to servicing transfer

$ 581,601 Transfer of cap due to servicing transfer

$ 580,090 Transfer of cap due to servicing transfer

$ 577,890 Transfer of cap due to servicing transfer

$ 577,783 Transfer of cap due to servicing transfer

$ 577,435 Transfer of cap due to servicing transfer

$ 576,746 Transfer of cap due to servicing transfer

$ 576,573 Transfer of cap due to servicing transfer

$ 487,071 Reallocation due to MHA program deobligation

$ 487,066 Transfer of cap due to servicing transfer

$ 487,061 Transfer of cap due to servicing transfer

$ 486,877 Transfer of cap due to servicing transfer

Tempe Schools Credit Union Tempe AZ $ 110,000 N/A $ 90,000 Updated portfolio data from servicer

$ 100,000 Updated portfolio data from servicer

$ 145,056 Updated portfolio data from servicer

- Termination of SPA

The Bryn Mawr Trust Co. Bryn Mawr PA $ 150,000 N/A - Termination of SPA

3 $ 100,000 Transfer of cap due to servicing transfer

The Golden 1 Credit Union Sacramento CA $ 6,160,000 N/A $ 6,450,000 Updated portfolio data from servicer/additional program initial cap

$ 6,490,000 Updated portfolio data from servicer

$ 3,600,000 Updated portfolio data from servicer

$ 4,206,612 Updated portfolio data from servicer

$ 4,206,608 Updated due to quarterly assessment and reallocation

$ 4,206,604 Updated due to quarterly assessment and reallocation

$ 4,206,569 Updated due to quarterly assessment and reallocation

$ 4,206,560 Updated due to quarterly assessment and reallocation

$ 4,206,546 Updated due to quarterly assessment and reallocation

$ 4,206,544 Updated due to quarterly assessment and reallocation

$ 4,206,536 Updated due to quarterly assessment and reallocation

$ 4,206,532 Updated due to quarterly assessment and reallocation

$ 4,206,531 Updated due to quarterly assessment and reallocation

$ 4,204,119 Updated due to quarterly assessment and reallocation

$ 4,204,035 Updated due to quarterly assessment and reallocation

$ 4,203,733 Updated due to quarterly assessment and reallocation

$ 4,203,717 Updated due to quarterly assessment and reallocation

$ 4,224,307 Updated due to quarterly assessment and reallocation

$ 5,349,512 Updated due to quarterly assessment and reallocation

03/26/2015 $ (5,668) $ 5,343,844 Updated due to quarterly assessment and reallocation

12/29/2014 $ 1,125,205

09/29/2014 $ 20,590

07/29/2014 $ (16)

06/26/2014 $ (302)

03/26/2014 $ (84)

12/23/2013 $ (2,412)

09/27/2013 $ (1)

06/27/2013 $ (4)

03/25/2013 $ (8)

12/27/2012 $ (2)

09/27/2012 $ (14)

06/28/2012 $ (9)

06/29/2011 $ (35)

03/30/2011 $ (4)

01/06/2011 $ (4)

09/30/2010 $ 606,612

07/14/2010 $ (2,890,000)

03/26/2010 $ 40,000

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 290,000

06/16/2011 $ 100,000

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 04/21/2010 $ (150,000)

12/08/2010 $ (145,056)

09/30/2010 $ 45,056

07/14/2010 $ 10,000

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ (20,000)

10/25/2018 $ (184)

09/26/2018 $ (5)

08/27/2018 $ (5)

07/26/2018 $ (89,502)

06/21/2018 $ (173)

04/25/2018 $ (689)

03/22/2018 $ (348)

02/26/2018 $ (107)

12/21/2017 $ (2,200)

10/26/2017 $ (1,511)

09/26/2017 $ (7,785)

07/26/2017 $ (16)

06/26/2017 $ (536)

04/26/2017 $ (70)

02/27/2017 $ (1,063)

12/27/2016 $ (61)

11/29/2016 $ (400)

11/07/2016 $ 8,647

10/25/2016 $ (22,428)

09/28/2016 $ (23,736)

07/27/2016 $ (13,572)

06/27/2016 $ (13,568)

05/31/2016 $ (22,713)

03/28/2016 $ (2,635)

02/25/2016 $ (126,159)

12/28/2015 $ (33,352)

09/28/2015 $ (42,234)

06/25/2015 $ (30,757)

04/28/2015 $ (123,650)

03/26/2015 $ (32,953)

12/29/2014 $ (82,551)

09/29/2014 $ (784)

07/29/2014 $ (2,373)

06/26/2014 $ (1,195)

03/26/2014 $ (101)

12/23/2013 $ (2,729)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (13)

12/27/2012 $ (4)

09/27/2012 $ (23)

06/28/2012 $ (9)

06/29/2011 $ (12)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 60,445

154
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 5,336,040 Updated due to quarterly assessment and reallocation

$ 5,328,758 Updated due to quarterly assessment and reallocation

$ 5,322,708 Updated due to quarterly assessment and reallocation

$ 5,309,632 Updated due to quarterly assessment and reallocation

$ 5,094,716 Reallocation due to MHA program deobligation

$ 5,090,220 Updated due to quarterly assessment and reallocation

$ 5,053,526 Updated due to quarterly assessment and reallocation

$ 5,030,659 Updated due to quarterly assessment and reallocation

$ 5,000,945 Updated due to quarterly assessment and reallocation

$ 4,941,804 Updated due to quarterly assessment and reallocation

$ 4,881,181 Updated due to quarterly assessment and reallocation

$ 4,904,553 Updated due to quarterly assessment and reallocation

$ 4,902,238 Updated due to quarterly assessment and reallocation

$ 4,901,867 Transfer of cap due to servicing transfer

$ 4,894,919 Transfer of cap due to servicing transfer

$ 4,894,455 Transfer of cap due to servicing transfer

$ 4,890,882 Transfer of cap due to servicing transfer

$ 4,890,774 Transfer of cap due to servicing transfer

$ 4,853,944 Transfer of cap due to servicing transfer

$ 4,848,804 Transfer of cap due to servicing transfer

$ 4,841,879 Transfer of cap due to servicing transfer

$ 4,841,542 Transfer of cap due to servicing transfer

$ 4,840,442 Transfer of cap due to servicing transfer

$ 4,838,266 Transfer of cap due to servicing transfer

$ 4,837,857 Transfer of cap due to servicing transfer

$ 4,179,762 Reallocation due to MHA program deobligation

$ 4,179,726 Transfer of cap due to servicing transfer

$ 4,179,688 Transfer of cap due to servicing transfer

$ 4,178,274 Transfer of cap due to servicing transfer

The Provident Bank Jersey City NJ - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$ 30,000 Transfer of cap due to servicing transfer

- Termination of SPA

TIAA FSB (Everbank) Jacksonville FL - N/A 3 $ 60,000 Transfer of cap due to servicing transfer

$ 90,000 Transfer of cap due to servicing transfer

$ 170,000 Transfer of cap due to servicing transfer

$ 161,308 Updated due to quarterly assessment and reallocation

$ 151,300 Updated due to quarterly assessment and reallocation

$ 122,717 Reallocation due to MHA program deobligation

$ 122,120 Updated due to quarterly assessment and reallocation

$ 117,447 Updated due to quarterly assessment and reallocation

$ 114,655 Updated due to quarterly assessment and reallocation

$ 111,863 Updated due to quarterly assessment and reallocation

$ 106,980 Updated due to quarterly assessment and reallocation

$ 102,365 Updated due to quarterly assessment and reallocation

$ 104,144 Updated due to quarterly assessment and reallocation

$ 104,112 Updated due to quarterly assessment and reallocation

$ 104,107 Transfer of cap due to servicing transfer

$ 104,022 Transfer of cap due to servicing transfer

$ 104,016 Transfer of cap due to servicing transfer

$ 103,973 Transfer of cap due to servicing transfer

$ 103,972 Transfer of cap due to servicing transfer

$ 102,272 Transfer of cap due to servicing transfer

$ 102,061 Transfer of cap due to servicing transfer

$ 101,842 Transfer of cap due to servicing transfer

$ 101,831 Transfer of cap due to servicing transfer

$ 101,796 Transfer of cap due to servicing transfer

$ 101,727 Transfer of cap due to servicing transfer

$ 101,726 Transfer of cap due to servicing transfer

$ 101,713 Transfer of cap due to servicing transfer

$ 100,267 Reallocation due to MHA program deobligation

$ 100,264 Transfer of cap due to servicing transfer

U.S. Bank National Association Owensboro KY $ 114,220,000 N/A $ 139,140,000 Updated portfolio data from servicer/additional program initial cap

$ 188,550,000 Updated portfolio data from servicer/additional program initial cap

$ 230,380,000 Updated portfolio data from servicer

$ 144,600,000 Updated portfolio data from servicer

$ 181,174,444 Updated portfolio data from servicer

$ 181,174,284 Updated due to quarterly assessment and reallocation

$ 181,174,112 Updated due to quarterly assessment and reallocation

$ 181,172,681 Updated due to quarterly assessment and reallocation

$ 181,171,935 Updated due to quarterly assessment and reallocation

$ 181,170,009 Updated due to quarterly assessment and reallocation

12/27/2012 $ (308) $ 181,169,701 Updated due to quarterly assessment and reallocation

09/27/2012 $ (1,926)

06/28/2012 $ (746)

06/29/2011 $ (1,431)

03/30/2011 $ (172)

01/06/2011 $ (160)

09/30/2010 $ 36,574,444

07/14/2010 $ (85,780,000)

03/26/2010 $ 41,830,000

12/30/2009 $ 49,410,000

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 24,920,000

10/25/2018 $ (3)

07/26/2018 $ (1,446)

06/21/2018 $ (13)

06/14/2018 $ (1)

04/25/2018 $ (69)

03/22/2018 $ (35)

02/26/2018 $ (11)

12/21/2017 $ (219)

10/26/2017 $ (211)

09/26/2017 $ (1,700)

07/26/2017 $ (1)

06/26/2017 $ (43)

04/26/2017 $ (6)

02/27/2017 $ (85)

12/27/2016 $ (5)

11/29/2016 $ (32)

11/07/2016 $ 1,779

10/25/2016 $ (4,615)

09/28/2016 $ (4,883)

07/27/2016 $ (2,792)

06/27/2016 $ (2,792)

05/31/2016 $ (4,673)

03/28/2016 $ (597)

02/25/2016 $ (28,583)

12/28/2015 $ (10,008)

09/28/2015 $ (8,692)

08/14/2015 $ 80,000

09/16/2014 $ 30,000

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/16/2013 $ 60,000

08/16/2017 $ (30,000)

07/14/2016 $ 10,000

10/16/2014 Purchase Financial Instrument for Home Loan Modifications 10/16/2014 $ 20,000

10/25/2018 $ (1,414)

09/26/2018 $ (38)

08/27/2018 $ (36)

07/26/2018 $ (658,095)

06/21/2018 $ (409)

04/25/2018 $ (2,176)

03/22/2018 $ (1,100)

02/26/2018 $ (337)

12/21/2017 $ (6,925)

10/26/2017 $ (5,140)

09/26/2017 $ (36,830)

07/26/2017 $ (108)

06/26/2017 $ (3,573)

04/26/2017 $ (464)

02/27/2017 $ (6,948)

12/27/2016 $ (371)

11/29/2016 $ (2,315)

11/07/2016 $ 23,372

10/25/2016 $ (60,623)

09/28/2016 $ (59,141)

07/27/2016 $ (29,714)

06/27/2016 $ (22,867)

05/31/2016 $ (36,694)

03/28/2016 $ (4,496)

02/25/2016 $ (214,916)

12/28/2015 $ (13,076)

09/28/2015 $ (6,050)

06/25/2015 $ (7,282)

04/28/2015 $ (7,804)

155
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 181,168,566 Updated due to quarterly assessment and reallocation

$ 181,168,148 Updated due to quarterly assessment and reallocation

$ 181,168,009 Updated due to quarterly assessment and reallocation

$ 180,955,932 Updated due to quarterly assessment and reallocation

$ 180,949,541 Updated due to quarterly assessment and reallocation

$ 180,878,332 Updated due to quarterly assessment and reallocation

$ 180,752,547 Updated due to quarterly assessment and reallocation

$ 180,713,453 Updated due to quarterly assessment and reallocation

$ 207,115,696 Updated due to quarterly assessment and reallocation

$ 207,453,290 Updated due to quarterly assessment and reallocation

$ 258,161,469 Updated due to quarterly assessment and reallocation

$ 258,181,469 Transfer of cap due to servicing transfer

$ 260,181,033 Updated due to quarterly assessment and reallocation

$ 262,349,198 Updated due to quarterly assessment and reallocation

$ 262,339,198 Transfer of cap due to servicing transfer

$ 263,341,892 Updated due to quarterly assessment and reallocation

$ 252,051,044 Reallocation due to MHA program deobligation

$ 251,871,044 Transfer of cap due to servicing transfer

$ 251,662,422 Updated due to quarterly assessment and reallocation

$ 251,572,422 Transfer of cap due to servicing transfer

$ 251,472,422 Transfer of cap due to servicing transfer

$ 250,432,971 Updated due to quarterly assessment and reallocation

$ 250,372,971 Transfer of cap due to servicing transfer

$ 250,114,310 Updated due to quarterly assessment and reallocation

$ 249,891,767 Updated due to quarterly assessment and reallocation

$ 249,871,767 Transfer of cap due to servicing transfer

$ 253,896,377 Updated due to quarterly assessment and reallocation

$ 262,707,082 Updated due to quarterly assessment and reallocation

$ 262,707,082 Updated due to quarterly assessment and reallocation

$ 262,687,082 Transfer of cap due to servicing transfer

$ 262,600,326 Updated due to quarterly assessment and reallocation

$ 262,580,326 Transfer of cap due to servicing transfer

$ 262,567,033 Transfer of cap due to servicing transfer

$ 262,272,589 Transfer of cap due to servicing transfer

$ 262,253,631 Transfer of cap due to servicing transfer

$ 262,111,885 Transfer of cap due to servicing transfer

$ 262,107,337 Transfer of cap due to servicing transfer

$ 262,011,969 Transfer of cap due to servicing transfer

$ 261,875,717 Transfer of cap due to servicing transfer

$ 261,714,095 Transfer of cap due to servicing transfer

$ 261,705,769 Transfer of cap due to servicing transfer

$ 261,688,147 Transfer of cap due to servicing transfer

$ 261,633,242 Transfer of cap due to servicing transfer

$ 261,615,181 Transfer of cap due to servicing transfer

$ 226,207,117 Reallocation due to MHA program deobligation

$ 226,205,001 Transfer of cap due to servicing transfer

$ 226,202,553 Transfer of cap due to servicing transfer

$ 226,107,395 Transfer of cap due to servicing transfer

Umpqua Bank Tigard OR - N/A $ 590,000 Transfer of cap due to servicing transfer

$ 584,146 Updated due to quarterly assessment and reallocation

$ 30,001 Transfer of cap due to servicing transfer

3 $ 550,001 Transfer of cap due to servicing transfer

$ 639,908 Updated due to quarterly assessment and reallocation

$ 634,762 Updated due to quarterly assessment and reallocation

$ 629,900 Updated due to quarterly assessment and reallocation

$ 631,774 Updated due to quarterly assessment and reallocation

$ 631,472 Updated due to quarterly assessment and reallocation

$ 631,416 Transfer of cap due to servicing transfer

$ 630,188 Transfer of cap due to servicing transfer

$ 630,107 Transfer of cap due to servicing transfer

$ 629,416 Transfer of cap due to servicing transfer

$ 629,395 Transfer of cap due to servicing transfer

$ 615,699 Transfer of cap due to servicing transfer

$ 613,991 Transfer of cap due to servicing transfer

$ 612,202 Transfer of cap due to servicing transfer

$ 612,029 Transfer of cap due to servicing transfer

$ 611,465 Transfer of cap due to servicing transfer

$ 610,342 Transfer of cap due to servicing transfer

$ 610,128 Transfer of cap due to servicing transfer

$ 518,460 Reallocation due to MHA program deobligation

$ 518,455 Transfer of cap due to servicing transfer

09/26/2018 $ (5) $ 518,450 Transfer of cap due to servicing transfer

08/27/2018 $ (5)

07/26/2018 $ (91,668)

06/21/2018 $ (214)

04/25/2018 $ (1,123)

03/22/2018 $ (564)

02/26/2018 $ (173)

12/21/2017 $ (1,789)

10/26/2017 $ (1,708)

09/26/2017 $ (13,696)

07/26/2017 $ (21)

06/26/2017 $ (691)

04/26/2017 $ (81)

02/27/2017 $ (1,228)

12/27/2016 $ (56)

11/29/2016 $ (302)

11/07/2016 $ 1,874

10/25/2016 $ (4,862)

09/28/2016 $ (5,146)

07/27/2016 $ 89,907

07/14/2016 $ 520,000

06/16/2016 $ (554,145)

05/31/2016 $ (5,854)

05/16/2016 Purchase Financial Instrument for Home Loan Modifications 05/16/2016 $ 590,000

10/25/2018 $ (95,158)

09/26/2018 $ (2,448)

08/27/2018 $ (2,116)

07/26/2018 $ (35,408,064)

06/21/2018 $ (18,061)

04/25/2018 $ (54,905)

03/22/2018 $ (17,622)

02/26/2018 $ (8,326)

12/21/2017 $ (161,622)

10/26/2017 $ (136,252)

09/26/2017 $ (95,368)

07/26/2017 $ (4,548)

06/26/2017 $ (141,746)

04/26/2017 $ (18,958)

02/27/2017 $ (294,444)

12/27/2016 $ (13,293)

12/15/2016 $ (20,000)

11/29/2016 $ (86,756)

11/16/2016 $ (20,000)

11/07/2016 -

10/25/2016 $ 8,810,705

09/28/2016 $ 4,024,610

09/15/2016 $ (20,000)

07/27/2016 $ (222,543)

06/27/2016 $ (258,661)

06/16/2016 $ (60,000)

05/31/2016 $ (1,039,451)

05/16/2016 $ (100,000)

04/14/2016 $ (90,000)

03/28/2016 $ (208,622)

03/16/2016 $ (180,000)

02/25/2016 $ (11,290,848)

12/28/2015 $ 1,002,694

11/16/2015 $ (10,000)

09/28/2015 $ 2,168,165

06/25/2015 $ 1,999,564

06/16/2015 $ 20,000

04/28/2015 $ 50,708,179

03/26/2015 $ 337,594

12/29/2014 $ 26,402,243

09/29/2014 $ (39,094)

07/29/2014 $ (125,785)

06/26/2014 $ (71,209)

03/26/2014 $ (6,391)

12/23/2013 $ (212,077)

09/27/2013 $ (139)

06/27/2013 $ (418)

03/25/2013 $ (1,135)

156
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 518,259 Transfer of cap due to servicing transfer

United Bank Griffin GA $ 540,000 N/A $ 700,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 725,265 Updated due to quarterly assessment and reallocation

$ 725,257 Updated due to quarterly assessment and reallocation

$ 725,235 Updated due to quarterly assessment and reallocation

$ 725,231 Updated due to quarterly assessment and reallocation

$ 725,217 Updated due to quarterly assessment and reallocation

$ 725,212 Updated due to quarterly assessment and reallocation

$ 725,210 Updated due to quarterly assessment and reallocation

$ 721,989 Updated due to quarterly assessment and reallocation

$ 721,876 Updated due to quarterly assessment and reallocation

$ 720,539 Updated due to quarterly assessment and reallocation

$ 717,884 Updated due to quarterly assessment and reallocation

$ 717,007 Updated due to quarterly assessment and reallocation

$ 610,783 Updated due to quarterly assessment and reallocation

$ 570,834 Updated due to quarterly assessment and reallocation

$ 550,694 Updated due to quarterly assessment and reallocation

$ 545,173 Updated due to quarterly assessment and reallocation

$ 531,021 Updated due to quarterly assessment and reallocation

$ 520,547 Updated due to quarterly assessment and reallocation

$ 462,225 Reallocation due to MHA program deobligation

$ 460,543 Updated due to quarterly assessment and reallocation

$ 446,135 Updated due to quarterly assessment and reallocation

$ 437,528 Updated due to quarterly assessment and reallocation

$ 427,798 Updated due to quarterly assessment and reallocation

$ 403,517 Updated due to quarterly assessment and reallocation

$ 372,795 Updated due to quarterly assessment and reallocation

$ 384,640 Updated due to quarterly assessment and reallocation

$ 384,275 Updated due to quarterly assessment and reallocation

$ 384,213 Transfer of cap due to servicing transfer

$ 383,131 Transfer of cap due to servicing transfer

$ 383,045 Transfer of cap due to servicing transfer

$ 382,264 Transfer of cap due to servicing transfer

$ 382,225 Transfer of cap due to servicing transfer

$ 325,520 Transfer of cap due to servicing transfer

$ 318,488 Transfer of cap due to servicing transfer

$ 310,536 Transfer of cap due to servicing transfer

$ 310,150 Transfer of cap due to servicing transfer

$ 308,891 Transfer of cap due to servicing transfer

$ 306,402 Transfer of cap due to servicing transfer

$ 305,892 Transfer of cap due to servicing transfer

$ 218,424 Reallocation due to MHA program deobligation

$ 218,419 Transfer of cap due to servicing transfer

$ 218,414 Transfer of cap due to servicing transfer

$ 218,178 Transfer of cap due to servicing transfer

United Bank Mortgage Corporation Grand Rapids MI $ 410,000 N/A $ 430,000 Updated portfolio data from servicer/additional program initial cap

$ 830,000 Updated portfolio data from servicer

$ 400,000 Updated portfolio data from servicer

$ 580,222 Updated portfolio data from servicer

$ 580,221 Updated due to quarterly assessment and reallocation

$ 580,220 Updated due to quarterly assessment and reallocation

$ 580,215 Updated due to quarterly assessment and reallocation

$ 580,211 Updated due to quarterly assessment and reallocation

$ 580,200 Updated due to quarterly assessment and reallocation

$ 580,198 Updated due to quarterly assessment and reallocation

$ 580,191 Updated due to quarterly assessment and reallocation

$ 580,189 Updated due to quarterly assessment and reallocation

$ 580,188 Updated due to quarterly assessment and reallocation

$ 578,717 Updated due to quarterly assessment and reallocation

$ 578,665 Updated due to quarterly assessment and reallocation

$ 578,052 Updated due to quarterly assessment and reallocation

$ 576,835 Updated due to quarterly assessment and reallocation

$ 576,432 Updated due to quarterly assessment and reallocation

$ 542,642 Updated due to quarterly assessment and reallocation

$ 529,934 Updated due to quarterly assessment and reallocation

$ 519,559 Updated due to quarterly assessment and reallocation

$ 517,098 Updated due to quarterly assessment and reallocation

$ 511,552 Updated due to quarterly assessment and reallocation

12/28/2015 $ (4,104) $ 507,448 Updated due to quarterly assessment and reallocation

09/28/2015 $ (5,546)

06/25/2015 $ (2,461)

04/28/2015 $ (10,375)

03/26/2015 $ (12,708)

12/29/2014 $ (33,790)

09/29/2014 $ (403)

07/29/2014 $ (1,217)

06/26/2014 $ (613)

03/26/2014 $ (52)

12/23/2013 $ (1,471)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (7)

12/27/2012 $ (2)

09/27/2012 $ (11)

06/28/2012 $ (4)

06/29/2011 $ (5)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 180,222

07/14/2010 $ (430,000)

03/26/2010 $ 400,000

10/21/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 20,000

10/25/2018 $ (236)

09/26/2018 $ (5)

08/27/2018 $ (5)

07/26/2018 $ (87,468)

06/21/2018 $ (510)

04/25/2018 $ (2,489)

03/22/2018 $ (1,259)

02/26/2018 $ (386)

12/21/2017 $ (7,952)

10/26/2017 $ (7,032)

09/26/2017 $ (56,705)

07/26/2017 $ (39)

06/26/2017 $ (781)

04/26/2017 $ (86)

02/27/2017 $ (1,082)

12/27/2016 $ (62)

11/29/2016 $ (365)

11/07/2016 $ 11,845

10/25/2016 $ (30,722)

09/28/2016 $ (24,281)

07/27/2016 $ (9,730)

06/27/2016 $ (8,607)

05/31/2016 $ (14,408)

03/28/2016 $ (1,682)

02/25/2016 $ (58,322)

12/28/2015 $ (10,474)

09/28/2015 $ (14,152)

06/25/2015 $ (5,521)

04/28/2015 $ (20,140)

03/26/2015 $ (39,949)

12/29/2014 $ (106,224)

09/29/2014 $ (877)

07/29/2014 $ (2,655)

06/26/2014 $ (1,337)

03/26/2014 $ (113)

12/23/2013 $ (3,221)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (14)

12/27/2012 $ (4)

09/27/2012 $ (22)

06/28/2012 $ (8)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 25,278

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/26/2010 $ 160,000

10/25/2018 $ (191)

157
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 479,784 Reallocation due to MHA program deobligation

$ 479,206 Updated due to quarterly assessment and reallocation

$ 474,683 Updated due to quarterly assessment and reallocation

$ 471,981 Updated due to quarterly assessment and reallocation

$ 469,279 Updated due to quarterly assessment and reallocation

$ 464,553 Updated due to quarterly assessment and reallocation

$ 460,087 Updated due to quarterly assessment and reallocation

$ 461,809 Updated due to quarterly assessment and reallocation

$ 461,582 Updated due to quarterly assessment and reallocation

$ 461,547 Transfer of cap due to servicing transfer

$ 460,946 Transfer of cap due to servicing transfer

$ 460,907 Transfer of cap due to servicing transfer

$ 460,604 Transfer of cap due to servicing transfer

$ 460,595 Transfer of cap due to servicing transfer

$ 459,398 Transfer of cap due to servicing transfer

$ 459,250 Transfer of cap due to servicing transfer

$ 459,095 Transfer of cap due to servicing transfer

$ 459,087 Transfer of cap due to servicing transfer

$ 459,063 Transfer of cap due to servicing transfer

$ 459,015 Transfer of cap due to servicing transfer

$ 459,006 Transfer of cap due to servicing transfer

$ 400,037 Reallocation due to MHA program deobligation

$ 400,034 Transfer of cap due to servicing transfer

$ 400,031 Transfer of cap due to servicing transfer

$ 399,910 Transfer of cap due to servicing transfer

University First Federal Credit Union Salt Lake City UT $ 600,000 N/A $ 870,334 Updated portfolio data from servicer

$ 870,333 Updated due to quarterly assessment and reallocation

- Termination of SPA

Urban Partnership Bank Chicago IL - N/A 3 $ 1,000,000 Transfer of cap due to servicing transfer

$ 1,233,268 Updated due to quarterly assessment and reallocation

$ 1,333,268 Transfer of cap due to servicing transfer

$ 1,333,265 Updated due to quarterly assessment and reallocation

$ 1,333,255 Updated due to quarterly assessment and reallocation

$ 1,333,253 Updated due to quarterly assessment and reallocation

$ 1,333,246 Updated due to quarterly assessment and reallocation

$ 1,333,243 Updated due to quarterly assessment and reallocation

$ 1,333,242 Updated due to quarterly assessment and reallocation

$ 1,331,498 Updated due to quarterly assessment and reallocation

$ 1,331,436 Updated due to quarterly assessment and reallocation

$ 1,330,701 Updated due to quarterly assessment and reallocation

$ 1,329,238 Updated due to quarterly assessment and reallocation

$ 1,328,740 Updated due to quarterly assessment and reallocation

$ 1,316,640 Updated due to quarterly assessment and reallocation

$ 1,311,525 Updated due to quarterly assessment and reallocation

$ 1,288,326 Updated due to quarterly assessment and reallocation

$ 1,282,799 Updated due to quarterly assessment and reallocation

$ 1,273,158 Updated due to quarterly assessment and reallocation

$ 1,266,023 Updated due to quarterly assessment and reallocation

$ 1,205,351 Reallocation due to MHA program deobligation

$ 1,204,084 Updated due to quarterly assessment and reallocation

$ 1,194,164 Updated due to quarterly assessment and reallocation

$ 1,188,238 Updated due to quarterly assessment and reallocation

$ 1,128,238 Transfer of cap due to servicing transfer

$ 1,125,897 Updated due to quarterly assessment and reallocation

$ 1,121,803 Updated due to quarterly assessment and reallocation

$ 1,117,935 Updated due to quarterly assessment and reallocation

$ 1,119,426 Updated due to quarterly assessment and reallocation

$ 1,118,922 Updated due to quarterly assessment and reallocation

$ 1,118,845 Transfer of cap due to servicing transfer

$ 1,117,509 Transfer of cap due to servicing transfer

$ 1,117,421 Transfer of cap due to servicing transfer

$ 1,116,748 Transfer of cap due to servicing transfer

$ 1,116,728 Transfer of cap due to servicing transfer

$ 1,116,396 Transfer of cap due to servicing transfer

$ 1,116,355 Transfer of cap due to servicing transfer

$ 1,116,312 Transfer of cap due to servicing transfer

$ 1,116,310 Transfer of cap due to servicing transfer

$ 1,116,303 Transfer of cap due to servicing transfer

$ 1,116,290 Transfer of cap due to servicing transfer

$ 1,116,287 Transfer of cap due to servicing transfer

$ 974,745 Reallocation due to MHA program deobligation

08/27/2018 $ (8) $ 974,737 Transfer of cap due to servicing transfer

07/26/2018 $ (141,542)

06/21/2018 $ (3)

04/25/2018 $ (13)

03/22/2018 $ (7)

02/26/2018 $ (2)

12/21/2017 $ (43)

10/26/2017 $ (41)

09/26/2017 $ (332)

07/26/2017 $ (20)

06/26/2017 $ (673)

04/26/2017 $ (88)

02/27/2017 $ (1,336)

12/27/2016 $ (77)

11/29/2016 $ (504)

11/07/2016 $ 1,491

10/25/2016 $ (3,868)

09/28/2016 $ (4,094)

07/27/2016 $ (2,341)

07/14/2016 $ (60,000)

06/27/2016 $ (5,926)

05/31/2016 $ (9,920)

03/28/2016 $ (1,267)

02/25/2016 $ (60,672)

12/28/2015 $ (7,135)

09/28/2015 $ (9,641)

06/25/2015 $ (5,527)

04/28/2015 $ (23,199)

03/26/2015 $ (5,115)

12/29/2014 $ (12,100)

09/29/2014 $ (498)

07/29/2014 $ (1,463)

06/26/2014 $ (735)

03/26/2014 $ (62)

12/23/2013 $ (1,744)

09/27/2013 $ (1)

06/27/2013 $ (3)

03/25/2013 $ (7)

12/27/2012 $ (2)

09/27/2012 $ (10)

06/28/2012 $ (3)

11/16/2011 $ 100,000

06/29/2011 $ 233,268

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 1,000,000

02/17/2011 $ (870,333)

01/06/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 270,334

10/25/2018 $ (121)

09/26/2018 $ (3)

08/27/2018 $ (3)

07/26/2018 $ (58,969)

06/21/2018 $ (9)

04/25/2018 $ (48)

03/22/2018 $ (24)

02/26/2018 $ (8)

12/21/2017 $ (155)

10/26/2017 $ (148)

09/26/2017 $ (1,197)

07/26/2017 $ (9)

06/26/2017 $ (303)

04/26/2017 $ (39)

02/27/2017 $ (601)

12/27/2016 $ (35)

11/29/2016 $ (227)

11/07/2016 $ 1,722

10/25/2016 $ (4,466)

09/28/2016 $ (4,726)

07/27/2016 $ (2,702)

06/27/2016 $ (2,702)

05/31/2016 $ (4,523)

03/28/2016 $ (578)

02/25/2016 $ (27,664)

158
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 974,729 Transfer of cap due to servicing transfer

$ 974,437 Transfer of cap due to servicing transfer

Verity Credit Union Seattle WA $ 600,000 N/A $ 630,000 Updated portfolio data from servicer/additional program initial cap

$ 1,030,000 Updated portfolio data from servicer

$ 700,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

- Termination of SPA

ViewPoint Bank Plano TX - N/A 3 $ 50,000 Transfer of cap due to servicing transfer

$ 60,000 Transfer of cap due to servicing transfer

VIST Financial Corp Wyomissing PA $ 300,000 N/A $ 700,000 Updated portfolio data from servicer

$ 725,278 Updated portfolio data from servicer

$ 725,277 Updated due to quarterly assessment and reallocation

$ 725,276 Updated due to quarterly assessment and reallocation

$ 725,265 Updated due to quarterly assessment and reallocation

$ 725,257 Updated due to quarterly assessment and reallocation

$ 725,235 Updated due to quarterly assessment and reallocation

$ 725,231 Updated due to quarterly assessment and reallocation

$ 725,217 Updated due to quarterly assessment and reallocation

$ 725,212 Updated due to quarterly assessment and reallocation

$ 725,210 Updated due to quarterly assessment and reallocation

$ 721,989 Updated due to quarterly assessment and reallocation

$ 721,876 Updated due to quarterly assessment and reallocation

- Termination of SPA

Wachovia Bank, N.A. Charlotte NC $ 85,020,000 N/A $ 47,320,000 Updated portfolio data from servicer/additional program initial cap

$ 73,480,000 Updated portfolio data from servicer/additional program initial cap

$ 83,300,000 Updated portfolio data from servicer

$ 37,100,000 Updated portfolio data from servicer

$ 8,413,225 Updated portfolio data from servicer

- Termination of SPA

Wachovia Mortgage, FSB Des Moines IA $ 634,010,000 N/A $ 1,357,890,000 Updated portfolio data from servicer/additional program initial cap

$ 2,050,530,000 Updated portfolio data from servicer/additional program initial cap

$ 293,656 Transfer of cap due to merger/acquisition

2 $ 238,890 Termination of SPA

WALLICK AND VOLK Cheyenne WY - N/A 3 $ 30,000 Transfer of cap due to servicing transfer

Wealthbridge Mortgage Corp Beaverton OR $ 6,550,000 N/A $ 6,400,000 Updated portfolio data from servicer

$ 8,000,000 Transfer of cap due to servicing transfer

$ 3,647,827 Updated portfolio data from servicer

$ 3,647,822 Updated due to quarterly assessment and reallocation

$ 3,647,816 Updated due to quarterly assessment and reallocation

$ 647,816 Transfer of cap due to servicing transfer

$ 647,807 Updated due to quarterly assessment and reallocation

$ 647,800 Updated due to quarterly assessment and reallocation

$ 647,781 Updated due to quarterly assessment and reallocation

$ 647,778 Updated due to quarterly assessment and reallocation

$ 647,766 Updated due to quarterly assessment and reallocation

$ 647,761 Updated due to quarterly assessment and reallocation

$ 647,759 Updated due to quarterly assessment and reallocation

$ 644,937 Updated due to quarterly assessment and reallocation

- Termination of SPA

Webster Bank, N.A. Cheshire CT - N/A 3 $ 10,000 Transfer of cap due to servicing transfer

$ 16,250 Updated due to quarterly assessment and reallocation

Webster First Federal Credit Union Worcester MA - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Wells Fargo Bank, NA Des Moines IA $ 2,873,000,000 N/A $ 2,410,010,000 Updated portfolio data from servicer

$ 2,475,080,000 Updated portfolio data from servicer/additional program initial cap

$ 3,688,390,000 Updated portfolio data from servicer/additional program initial cap

$ 5,738,626,344 Transfer of cap due to merger/acquisition

$ 5,738,681,110 Transfer of cap due to merger/acquisition

$ 6,406,790,000 Updated portfolio data from servicer/additional program initial cap

$ 7,089,920,000 Updated portfolio data from servicer

$ 5,051,700,000 Updated portfolio data from servicer

$ 4,764,351,172 Updated portfolio data from servicer

$ 5,108,351,172 Updated portfolio data from servicer/additional program initial cap

$ 5,116,764,397 Transfer of cap due to merger/acquisition

$ 5,138,964,397 Transfer of cap due to servicing transfer

$ 5,138,958,085 Updated due to quarterly assessment and reallocation

$ 5,138,858,085 Transfer of cap due to servicing transfer

$ 5,138,758,085 Transfer of cap due to servicing transfer

$ 5,138,750,914 Updated due to quarterly assessment and reallocation

$ 5,128,950,914 Transfer of cap due to servicing transfer

$ 5,129,050,914 Transfer of cap due to servicing transfer

06/16/2011 $ (600,000) $ 5,128,450,914 Transfer of cap due to servicing transfer

05/13/2011 $ 100,000

04/13/2011 $ (9,800,000)

03/30/2011 $ (7,171)

03/16/2011 $ (100,000)

01/13/2011 $ (100,000)

01/06/2011 $ (6,312)

12/15/2010 $ 22,200,000

12/03/2010 $ 8,413,225

09/30/2010 $ 344,000,000

09/30/2010 $ (287,348,828)

07/14/2010 $ (2,038,220,000)

03/26/2010 $ 683,130,000

03/19/2010 $ 668,108,890

03/12/2010 $ 54,767

02/17/2010 $ 2,050,236,344

12/30/2009 $ 1,213,310,000

09/30/2009 $ 65,070,000

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/17/2009 $ (462,990,000)

02/13/2015 Purchase Financial Instrument for Home Loan Modifications 02/13/2015 $ 20,000

12/29/2014 $ 6,250

12/16/2014 Purchase Financial Instrument for Home Loan Modifications 12/16/2014 $ 10,000

02/27/2014 $ (644,937)

12/23/2013 $ (2,822)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (12)

12/27/2012 $ (3)

09/27/2012 $ (19)

06/28/2012 $ (7)

06/29/2011 $ (9)

04/13/2011 $ (3,000,000)

03/30/2011 $ (6)

01/06/2011 $ (5)

09/30/2010 $ (4,352,173)

09/15/2010 $ 1,600,000

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ (150,000)

04/14/2016 Purchase Financial Instrument for Home Loan Modifications 04/14/2016 $ 30,000

03/12/2010 $ (54,767)

02/17/2010 $ (2,050,236,344)

12/30/2009 $ 692,640,000

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 723,880,000

12/03/2010 $ (8,413,225)

09/30/2010 $ (28,686,775)

07/14/2010 $ (46,200,000)

03/26/2010 $ 9,820,000

12/30/2009 $ 26,160,000

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ (37,700,000)

04/23/2014 $ (721,876)

03/26/2014 $ (113)

12/23/2013 $ (3,221)

09/27/2013 $ (2)

06/27/2013 $ (5)

03/25/2013 $ (14)

12/27/2012 $ (4)

09/27/2012 $ (22)

06/28/2012 $ (8)

06/29/2011 $ (11)

03/30/2011 $ (1)

01/06/2011 $ (1)

09/30/2010 $ 25,278

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/14/2010 $ 400,000

12/16/2013 $ 10,000

05/16/2013 Purchase Financial Instrument for Home Loan Modifications 05/16/2013 $ 50,000

02/17/2011 $ (725,277)

01/06/2011 $ (1)

09/30/2010 $ 25,278

07/14/2010 $ (330,000)

03/26/2010 $ 400,000

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/22/2010 $ 30,000

10/25/2018 $ (292)

09/26/2018 $ (8)

159
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 5,128,387,058 Updated due to quarterly assessment and reallocation

$ 5,126,087,058 Transfer of cap due to servicing transfer

$ 5,124,987,058 Transfer of cap due to servicing transfer

$ 5,126,387,058 Transfer of cap due to servicing transfer

$ 5,126,587,058 Transfer of cap due to servicing transfer

$ 5,126,387,058 Transfer of cap due to servicing transfer

$ 5,126,187,058 Transfer of cap due to servicing transfer

$ 5,125,887,058 Transfer of cap due to servicing transfer

$ 5,125,687,058 Transfer of cap due to servicing transfer

$ 5,124,687,058 Transfer of cap due to servicing transfer

$ 5,123,887,058 Transfer of cap due to servicing transfer

$ 5,123,277,058 Transfer of cap due to servicing transfer

$ 5,121,237,058 Transfer of cap due to servicing transfer

$ 5,121,197,135 Updated due to quarterly assessment and reallocation

$ 5,121,077,135 Transfer of cap due to servicing transfer

$ 5,120,973,024 Updated due to quarterly assessment and reallocation

$ 5,119,383,024 Transfer of cap due to servicing transfer

$ 5,116,473,024 Transfer of cap due to servicing transfer

$ 5,115,323,024 Transfer of cap due to servicing transfer

$ 5,115,306,632 Updated due to quarterly assessment and reallocation

$ 5,111,956,632 Transfer of cap due to servicing transfer

$ 5,111,136,632 Transfer of cap due to servicing transfer

$ 5,110,866,632 Transfer of cap due to servicing transfer

$ 5,110,807,923 Updated due to quarterly assessment and reallocation

$ 5,110,767,923 Transfer of cap due to servicing transfer

$ 5,105,447,923 Transfer of cap due to servicing transfer

$ 5,104,187,923 Transfer of cap due to servicing transfer

$ 5,104,167,327 Updated due to quarterly assessment and reallocation

$ 5,102,967,327 Transfer of cap due to servicing transfer

$ 5,102,937,327 Transfer of cap due to servicing transfer

$ 5,092,177,327 Transfer of cap due to servicing transfer

$ 5,092,170,626 Updated due to quarterly assessment and reallocation

$ 5,091,390,626 Transfer of cap due to servicing transfer

$ 5,091,330,626 Transfer of cap due to servicing transfer

$ 5,090,470,626 Transfer of cap due to servicing transfer

$ 5,079,901,322 Updated due to quarterly assessment and reallocation

$ 5,077,911,322 Transfer of cap due to servicing transfer

$ 5,077,741,322 Transfer of cap due to servicing transfer

$ 5,077,661,322 Transfer of cap due to servicing transfer

$ 5,077,302,756 Updated due to quarterly assessment and reallocation

$ 5,072,742,756 Transfer of cap due to servicing transfer

$ 5,072,182,756 Transfer of cap due to servicing transfer

$ 5,071,942,756 Transfer of cap due to servicing transfer

$ 5,067,872,336 Updated due to quarterly assessment and reallocation

$ 5,068,122,336 Transfer of cap due to servicing transfer

$ 5,060,087,283 Updated due to quarterly assessment and reallocation

$ 5,060,097,283 Transfer of cap due to servicing transfer

$ 5,060,077,283 Transfer of cap due to servicing transfer

$ 5,057,470,266 Updated due to quarterly assessment and reallocation

$ 5,057,320,266 Transfer of cap due to servicing transfer

$ 5,057,300,266 Transfer of cap due to servicing transfer

$ 5,054,580,266 Transfer of cap due to servicing transfer

$ 4,887,008,148 Updated due to quarterly assessment and reallocation

$ 4,886,998,148 Transfer of cap due to servicing transfer

$ 4,886,958,148 Transfer of cap due to servicing transfer

$ 4,886,778,148 Transfer of cap due to servicing transfer

$ 4,832,468,926 Updated due to quarterly assessment and reallocation

$ 4,827,618,926 Transfer of cap due to servicing transfer

$ 4,733,986,526 Updated due to quarterly assessment and reallocation

$ 4,725,456,526 Transfer of cap due to servicing transfer

$ 4,708,472,532 Updated due to quarterly assessment and reallocation

$ 4,707,262,532 Transfer of cap due to servicing transfer

$ 4,697,392,532 Transfer of cap due to servicing transfer

$ 4,693,112,532 Transfer of cap due to servicing transfer

$ 4,680,964,613 Updated due to quarterly assessment and reallocation

$ 4,679,404,613 Transfer of cap due to servicing transfer

$ 4,677,324,613 Transfer of cap due to servicing transfer

$ 4,664,114,613 Transfer of cap due to servicing transfer

$ 4,706,208,875 Updated due to quarterly assessment and reallocation

$ 4,675,928,875 Transfer of cap due to servicing transfer

$ 4,675,308,875 Transfer of cap due to servicing transfer

02/25/2016 $ (152,559,254) $ 4,522,749,621 Reallocation due to MHA program deobligation

02/16/2016 $ (620,000)

01/14/2016 $ (30,280,000)

12/28/2015 $ 42,094,262

12/16/2015 $ (13,210,000)

11/16/2015 $ (2,080,000)

10/15/2015 $ (1,560,000)

09/28/2015 $ (12,147,919)

09/16/2015 $ (4,280,000)

08/14/2015 $ (9,870,000)

07/16/2015 $ (1,210,000)

06/25/2015 $ (16,983,994)

05/14/2015 $ (8,530,000)

04/28/2015 $ (93,632,400)

04/16/2015 $ (4,850,000)

03/26/2015 $ (54,309,222)

03/16/2015 $ (180,000)

02/13/2015 $ (40,000)

01/15/2015 $ (10,000)

12/29/2014 $ (167,572,118)

12/16/2014 $ (2,720,000)

11/14/2014 $ (20,000)

10/16/2014 $ (150,000)

09/29/2014 $ (2,607,017)

09/16/2014 $ (20,000)

08/14/2014 $ 10,000

07/29/2014 $ (8,035,053)

07/16/2014 $ 250,000

06/26/2014 $ (4,070,420)

06/16/2014 $ (240,000)

05/15/2014 $ (560,000)

04/16/2014 $ (4,560,000)

03/26/2014 $ (358,566)

03/14/2014 $ (80,000)

02/13/2014 $ (170,000)

01/16/2014 $ (1,990,000)

12/23/2013 $ (10,569,304)

12/16/2013 $ (860,000)

11/14/2013 $ (60,000)

10/15/2013 $ (780,000)

09/27/2013 $ (6,701)

09/16/2013 $ (10,760,000)

08/15/2013 $ (30,000)

07/16/2013 $ (1,200,000)

06/27/2013 $ (20,596)

06/14/2013 $ (1,260,000)

05/16/2013 $ (5,320,000)

04/16/2013 $ (40,000)

03/25/2013 $ (58,709)

03/14/2013 $ (270,000)

02/14/2013 $ (820,000)

01/16/2013 $ (3,350,000)

12/27/2012 $ (16,392)

12/14/2012 $ (1,150,000)

11/15/2012 $ (2,910,000)

10/16/2012 $ (1,590,000)

09/27/2012 $ (104,111)

08/16/2012 $ (120,000)

06/28/2012 $ (39,923)

06/14/2012 $ (2,040,000)

05/16/2012 $ (610,000)

04/16/2012 $ (800,000)

03/15/2012 $ (1,000,000)

02/16/2012 $ (200,000)

01/13/2012 $ (300,000)

12/15/2011 $ (200,000)

11/16/2011 $ (200,000)

10/14/2011 $ 200,000

09/15/2011 $ 1,400,000

08/16/2011 $ (1,100,000)

07/14/2011 $ (2,300,000)

06/29/2011 $ (63,856)

160
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 4,522,129,621 Transfer of cap due to servicing transfer

$ 4,520,066,714 Updated due to quarterly assessment and reallocation

$ 4,520,006,714 Transfer of cap due to servicing transfer

$ 4,516,426,714 Transfer of cap due to servicing transfer

$ 4,508,238,984 Updated due to quarterly assessment and reallocation

$ 4,504,718,984 Transfer of cap due to servicing transfer

$ 4,503,343,498 Updated due to quarterly assessment and reallocation

$ 4,460,003,498 Transfer of cap due to servicing transfer

$ 4,488,970,211 Updated due to quarterly assessment and reallocation

$ 4,488,990,211 Transfer of cap due to servicing transfer

$ 4,488,110,211 Transfer of cap due to servicing transfer

$ 4,512,101,739 Updated due to quarterly assessment and reallocation

$ 4,497,411,739 Transfer of cap due to servicing transfer

$ 4,519,881,361 Updated due to quarterly assessment and reallocation

$ 4,519,881,361 Updated due to quarterly assessment and reallocation

$ 4,495,311,361 Transfer of cap due to servicing transfer

$ 4,493,466,084 Updated due to quarterly assessment and reallocation

$ 4,480,326,084 Transfer of cap due to servicing transfer

$ 4,480,042,460 Transfer of cap due to servicing transfer

$ 4,478,792,460 Transfer of cap due to servicing transfer

$ 4,477,092,460 Transfer of cap due to servicing transfer

$ 4,472,104,912 Transfer of cap due to servicing transfer

$ 4,451,214,912 Transfer of cap due to servicing transfer

$ 4,450,870,030 Transfer of cap due to servicing transfer

$ 4,448,048,945 Transfer of cap due to servicing transfer

$ 4,447,959,849 Transfer of cap due to servicing transfer

$ 4,421,888,153 Transfer of cap due to servicing transfer

$ 4,417,387,316 Transfer of cap due to servicing transfer

$ 4,408,360,780 Transfer of cap due to servicing transfer

$ 4,407,791,270 Transfer of cap due to servicing transfer

$ 4,405,569,953 Transfer of cap due to servicing transfer

$ 4,400,897,138 Transfer of cap due to servicing transfer

$ 4,399,899,305 Transfer of cap due to servicing transfer

$ 3,730,929,700 Reallocation due to MHA program deobligation

$ 3,730,891,436 Transfer of cap due to servicing transfer

$ 3,730,849,135 Transfer of cap due to servicing transfer

$ 3,729,177,463 Transfer of cap due to servicing transfer

$ 3,724,943,847 Transfer of cap due to servicing transfer

$ 3,633,959,938 Reallocation due to MHA program deobligation

$ 3,633,189,322 Transfer of cap due to servicing transfer

WesBanco Bank, Inc. Wheeling WV - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

Wescom Central Credit Union Anaheim CA $ 540,000 N/A $ 870,000 Updated portfolio data from servicer/additional program initial cap

$ 17,360,000 Updated portfolio data from servicer/additional program initial cap

$ 3,100,000 Updated portfolio data from servicer

$ 1,300,000 Updated portfolio data from servicer

$ 2,800,000 Updated portfolio data from servicer

$ 4,351,668 Updated portfolio data from servicer

$ 4,351,666 Updated due to quarterly assessment and reallocation

$ 4,351,664 Updated due to quarterly assessment and reallocation

$ 2,551,664 Transfer of cap due to servicing transfer

6 $ 678,877 Termination of SPA

3 $ 1,668,877 Transfer of cap due to servicing transfer

$ 2,041,054 Updated due to quarterly assessment and reallocation

$ 2,040,862 Updated due to quarterly assessment and reallocation

$ 2,040,854 Updated due to quarterly assessment and reallocation

$ 2,040,752 Updated due to quarterly assessment and reallocation

$ 2,040,545 Updated due to quarterly assessment and reallocation

$ 2,040,469 Updated due to quarterly assessment and reallocation

$ 2,506,362 Updated due to quarterly assessment and reallocation

$ 2,506,338 Updated due to quarterly assessment and reallocation

$ 2,504,047 Updated due to quarterly assessment and reallocation

$ 2,501,989 Updated due to quarterly assessment and reallocation

$ 2,496,981 Updated due to quarterly assessment and reallocation

$ 2,491,234 Updated due to quarterly assessment and reallocation

$ 2,394,139 Reallocation due to MHA program deobligation

$ 2,391,802 Updated due to quarterly assessment and reallocation

$ 2,372,265 Updated due to quarterly assessment and reallocation

$ 2,359,653 Updated due to quarterly assessment and reallocation

$ 2,347,037 Updated due to quarterly assessment and reallocation

$ 2,324,974 Updated due to quarterly assessment and reallocation

$ 2,304,126 Updated due to quarterly assessment and reallocation

11/07/2016 $ 8,037 $ 2,312,163 Updated due to quarterly assessment and reallocation

10/25/2016 $ (20,848)

09/28/2016 $ (22,063)

07/27/2016 $ (12,616)

06/27/2016 $ (12,612)

05/31/2016 $ (19,537)

03/28/2016 $ (2,337)

02/25/2016 $ (97,095)

12/28/2015 $ (5,747)

09/28/2015 $ (5,008)

06/25/2015 $ (2,058)

04/28/2015 $ (2,291)

03/26/2015 $ (24)

12/29/2014 $ 465,893

09/29/2014 $ (76)

07/29/2014 $ (207)

06/26/2014 $ (102)

03/26/2014 $ (8)

12/23/2013 $ (192)

09/27/2012 $ 372,177

06/14/2012 $ 990,000

06/03/2011 $ (1,872,787)

05/13/2011 $ (1,800,000)

03/30/2011 $ (2)

01/06/2011 $ (2)

09/30/2010 $ 1,551,668

07/30/2010 $ 1,500,000

07/14/2010 $ (1,800,000)

03/26/2010 $ (14,260,000)

12/30/2009 $ 16,490,000

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 09/30/2009 $ 330,000

11/16/2016 Purchase Financial Instrument for Home Loan Modifications 11/16/2016 $ 20,000

09/23/2019 $ (770,616)

08/22/2019 $ (90,983,909)

03/25/2019 $ (4,233,616)

10/25/2018 $ (1,671,672)

09/26/2018 $ (42,301)

08/27/2018 $ (38,264)

07/26/2018 $ (668,969,605)

06/21/2018 $ (997,833)

04/25/2018 $ (4,672,815)

03/22/2018 $ (2,221,317)

02/26/2018 $ (569,510)

12/21/2017 $ (9,026,536)

10/26/2017 $ (4,500,837)

09/26/2017 $ (26,071,696)

07/26/2017 $ (89,096)

06/26/2017 $ (2,821,085)

04/26/2017 $ (344,882)

03/16/2017 $ (20,890,000)

02/27/2017 $ (4,987,548)

02/16/2017 $ (1,700,000)

01/13/2017 $ (1,250,000)

12/27/2016 $ (283,624)

12/15/2016 $ (13,140,000)

11/29/2016 $ (1,845,277)

11/16/2016 $ (24,570,000)

11/07/2016 -

10/25/2016 $ 22,469,622

10/14/2016 $ (14,690,000)

09/28/2016 $ 23,991,528

09/15/2016 $ (880,000)

08/16/2016 $ 20,000

07/27/2016 $ 28,966,713

07/14/2016 $ (43,340,000)

06/27/2016 $ (1,375,486)

06/16/2016 $ (3,520,000)

05/31/2016 $ (8,187,730)

05/16/2016 $ (3,580,000)

04/14/2016 $ (60,000)

03/28/2016 $ (2,062,907)

03/16/2016 $ (620,000)

161
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 2,311,037 Updated due to quarterly assessment and reallocation

$ 2,310,865 Transfer of cap due to servicing transfer

$ 2,307,883 Transfer of cap due to servicing transfer

$ 2,307,688 Transfer of cap due to servicing transfer

$ 2,306,185 Transfer of cap due to servicing transfer

$ 2,306,140 Transfer of cap due to servicing transfer

$ 2,300,706 Transfer of cap due to servicing transfer

$ 2,300,032 Transfer of cap due to servicing transfer

$ 2,299,330 Transfer of cap due to servicing transfer

$ 2,299,296 Transfer of cap due to servicing transfer

$ 2,299,185 Transfer of cap due to servicing transfer

$ 2,298,965 Transfer of cap due to servicing transfer

$ 2,298,924 Transfer of cap due to servicing transfer

$ 2,003,988 Reallocation due to MHA program deobligation

$ 2,003,972 Transfer of cap due to servicing transfer

$ 2,003,955 Transfer of cap due to servicing transfer

$ 2,003,347 Transfer of cap due to servicing transfer

Western Federal Credit Union Hawthorne CA - N/A 3 $ 200,000 Transfer of cap due to servicing transfer

$ 217,687 Updated due to quarterly assessment and reallocation

$ 217,686 Updated due to quarterly assessment and reallocation

$ 217,685 Updated due to quarterly assessment and reallocation

$ 217,395 Updated due to quarterly assessment and reallocation

$ 217,385 Updated due to quarterly assessment and reallocation

$ 217,264 Updated due to quarterly assessment and reallocation

$ 217,024 Updated due to quarterly assessment and reallocation

$ 216,945 Updated due to quarterly assessment and reallocation

$ 214,864 Updated due to quarterly assessment and reallocation

$ 214,082 Updated due to quarterly assessment and reallocation

$ 210,998 Updated due to quarterly assessment and reallocation

$ 210,266 Updated due to quarterly assessment and reallocation

$ 209,289 Updated due to quarterly assessment and reallocation

$ 207,535 Updated due to quarterly assessment and reallocation

$ 196,018 Reallocation due to MHA program deobligation

$ 195,617 Updated due to quarterly assessment and reallocation

$ 192,476 Updated due to quarterly assessment and reallocation

$ 190,600 Updated due to quarterly assessment and reallocation

$ 188,723 Updated due to quarterly assessment and reallocation

$ 185,441 Updated due to quarterly assessment and reallocation

$ 182,340 Updated due to quarterly assessment and reallocation

$ 183,535 Updated due to quarterly assessment and reallocation

$ 183,436 Updated due to quarterly assessment and reallocation

$ 183,421 Transfer of cap due to servicing transfer

$ 183,159 Transfer of cap due to servicing transfer

$ 183,142 Transfer of cap due to servicing transfer

$ 183,010 Transfer of cap due to servicing transfer

$ 183,006 Transfer of cap due to servicing transfer

$ 182,041 Transfer of cap due to servicing transfer

$ 181,921 Transfer of cap due to servicing transfer

$ 181,796 Transfer of cap due to servicing transfer

$ 181,790 Transfer of cap due to servicing transfer

$ 181,770 Transfer of cap due to servicing transfer

$ 181,731 Transfer of cap due to servicing transfer

$ 181,724 Transfer of cap due to servicing transfer

$ 158,022 Reallocation due to MHA program deobligation

$ 158,021 Transfer of cap due to servicing transfer

$ 158,020 Transfer of cap due to servicing transfer

$ 157,971 Transfer of cap due to servicing transfer

Weststar Mortgage, Inc. Woodbridge VA $ 100,000 N/A $ 145,056 Updated portfolio data from servicer

$ 145,055 Updated due to quarterly assessment and reallocation

$ 145,054 Updated due to quarterly assessment and reallocation

$ 145,052 Updated due to quarterly assessment and reallocation

$ 145,051 Updated due to quarterly assessment and reallocation

$ 144,819 Updated due to quarterly assessment and reallocation

$ 144,811 Updated due to quarterly assessment and reallocation

$ 144,715 Updated due to quarterly assessment and reallocation

$ 144,524 Updated due to quarterly assessment and reallocation

$ 144,461 Updated due to quarterly assessment and reallocation

$ 136,807 Updated due to quarterly assessment and reallocation

$ 133,928 Updated due to quarterly assessment and reallocation

$ 122,581 Updated due to quarterly assessment and reallocation

$ 119,890 Updated due to quarterly assessment and reallocation

09/28/2015 $ (3,595) $ 116,295 Updated due to quarterly assessment and reallocation

06/25/2015 $ (2,691)

04/28/2015 $ (11,347)

03/26/2015 $ (2,879)

12/29/2014 $ (7,654)

09/29/2014 $ (63)

07/29/2014 $ (191)

06/26/2014 $ (96)

03/26/2014 $ (8)

12/23/2013 $ (232)

03/25/2013 $ (1)

09/27/2012 $ (2)

06/28/2012 $ (1)

06/29/2011 $ (1)

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/30/2010 $ 45,056

10/25/2018 $ (49)

09/26/2018 $ (1)

08/27/2018 $ (1)

07/26/2018 $ (23,702)

06/21/2018 $ (7)

04/25/2018 $ (39)

03/22/2018 $ (20)

02/26/2018 $ (6)

12/21/2017 $ (125)

10/26/2017 $ (120)

09/26/2017 $ (965)

07/26/2017 $ (4)

06/26/2017 $ (132)

04/26/2017 $ (17)

02/27/2017 $ (262)

12/27/2016 $ (15)

11/29/2016 $ (99)

11/07/2016 $ 1,195

10/25/2016 $ (3,101)

09/28/2016 $ (3,282)

07/27/2016 $ (1,877)

06/27/2016 $ (1,876)

05/31/2016 $ (3,141)

03/28/2016 $ (401)

02/25/2016 $ (11,517)

12/28/2015 $ (1,754)

09/28/2015 $ (977)

06/25/2015 $ (732)

04/28/2015 $ (3,084)

03/26/2015 $ (782)

12/29/2014 $ (2,081)

09/29/2014 $ (79)

07/29/2014 $ (240)

06/26/2014 $ (121)

03/26/2014 $ (10)

12/23/2013 $ (290)

03/25/2013 $ (1)

09/27/2012 $ (1)

06/29/2011 $ 17,687

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/13/2011 $ 200,000

10/25/2018 $ (608)

09/26/2018 $ (17)

08/27/2018 $ (16)

07/26/2018 $ (294,936)

06/21/2018 $ (41)

04/25/2018 $ (220)

03/22/2018 $ (111)

02/26/2018 $ (34)

12/21/2017 $ (702)

10/26/2017 $ (674)

09/26/2017 $ (5,434)

07/26/2017 $ (45)

06/26/2017 $ (1,503)

04/26/2017 $ (195)

02/27/2017 $ (2,982)

12/27/2016 $ (172)

11/29/2016 $ (1,126)

162
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 113,635 Updated due to quarterly assessment and reallocation

$ 106,038 Reallocation due to MHA program deobligation

$ 105,879 Updated due to quarterly assessment and reallocation

$ 104,637 Updated due to quarterly assessment and reallocation

$ 103,895 Updated due to quarterly assessment and reallocation

$ 103,153 Updated due to quarterly assessment and reallocation

$ 101,855 Updated due to quarterly assessment and reallocation

$ 100,629 Updated due to quarterly assessment and reallocation

$ 101,101 Updated due to quarterly assessment and reallocation

$ 101,093 Updated due to quarterly assessment and reallocation

$ 101,092 Transfer of cap due to servicing transfer

$ 101,070 Transfer of cap due to servicing transfer

$ 101,069 Transfer of cap due to servicing transfer

$ 101,058 Transfer of cap due to servicing transfer

$ 100,605 Transfer of cap due to servicing transfer

$ 100,549 Transfer of cap due to servicing transfer

$ 100,491 Transfer of cap due to servicing transfer

$ 100,488 Transfer of cap due to servicing transfer

$ 100,479 Transfer of cap due to servicing transfer

$ 100,461 Transfer of cap due to servicing transfer

$ 100,458 Transfer of cap due to servicing transfer

$ 100,072 Reallocation due to MHA program deobligation

$ 100,071 Transfer of cap due to servicing transfer

- Termination of SPA

Wilshire Credit Corporation Beaverton OR $ 366,000,000 N/A $ 453,130,000 Updated portfolio data from servicer

$ 203,460,000 Updated portfolio data from servicer/additional program initial cap

$ 323,160,000 Updated portfolio data from servicer/additional program initial cap

$ 375,430,000 Updated portfolio data from servicer

$ 365,150,000 Transfer of cap due to servicing transfer

$ 363,270,000 Transfer of cap due to servicing transfer

$ 76,760,000 Transfer of cap due to servicing transfer

$ 96,300,000 Updated portfolio data from servicer

$ 96,090,000 Transfer of cap due to servicing transfer

$ 95,990,000 Transfer of cap due to servicing transfer

$ 164,555,782 Updated portfolio data from servicer

$ 164,555,535 Updated due to quarterly assessment and reallocation

$ 164,555,241 Updated due to quarterly assessment and reallocation

$ 164,552,462 Updated due to quarterly assessment and reallocation

7 $ 1,657,394 Termination of SPA

Yadkin Valley Bank Elkin NC $ 240,000 N/A $ 300,000 Updated portfolio data from servicer/additional program initial cap

$ 650,000 Updated portfolio data from servicer/additional program initial cap

$ 2,010,000 Updated portfolio data from servicer

$ 200,000 Updated portfolio data from servicer

$ 435,167 Updated portfolio data from servicer

$ 435,166 Updated due to quarterly assessment and reallocation

$ 435,162 Updated due to quarterly assessment and reallocation

$ 435,159 Updated due to quarterly assessment and reallocation

$ 435,152 Updated due to quarterly assessment and reallocation

$ 435,151 Updated due to quarterly assessment and reallocation

$ 435,146 Updated due to quarterly assessment and reallocation

$ 435,144 Updated due to quarterly assessment and reallocation

$ 435,143 Updated due to quarterly assessment and reallocation

$ 433,969 Updated due to quarterly assessment and reallocation

$ 433,926 Updated due to quarterly assessment and reallocation

$ 433,419 Updated due to quarterly assessment and reallocation

$ 432,411 Updated due to quarterly assessment and reallocation

$ 432,078 Updated due to quarterly assessment and reallocation

$ 398,767 Updated due to quarterly assessment and reallocation

$ 386,223 Updated due to quarterly assessment and reallocation

$ 336,065 Updated due to quarterly assessment and reallocation

$ 327,610 Updated due to quarterly assessment and reallocation

$ 316,061 Updated due to quarterly assessment and reallocation

$ 306,493 Updated due to quarterly assessment and reallocation

$ 257,622 Reallocation due to MHA program deobligation

$ 256,601 Updated due to quarterly assessment and reallocation

$ 249,854 Updated due to quarterly assessment and reallocation

$ 245,823 Updated due to quarterly assessment and reallocation

$ 239,550 Updated due to quarterly assessment and reallocation

$ 228,579 Updated due to quarterly assessment and reallocation

$ 218,212 Updated due to quarterly assessment and reallocation

$ 222,209 Updated due to quarterly assessment and reallocation

11/29/2016 $ (164) $ 222,045 Updated due to quarterly assessment and reallocation

11/07/2016 $ 3,997

10/25/2016 $ (10,367)

09/28/2016 $ (10,971)

07/27/2016 $ (6,273)

06/27/2016 $ (4,031)

05/31/2016 $ (6,747)

03/28/2016 $ (1,021)

02/25/2016 $ (48,871)

12/28/2015 $ (9,568)

09/28/2015 $ (11,549)

06/25/2015 $ (8,455)

04/28/2015 $ (50,158)

03/26/2015 $ (12,544)

12/29/2014 $ (33,311)

09/29/2014 $ (333)

07/29/2014 $ (1,008)

06/26/2014 $ (507)

03/26/2014 $ (43)

12/23/2013 $ (1,174)

09/27/2013 $ (1)

06/27/2013 $ (2)

03/25/2013 $ (5)

12/27/2012 $ (1)

09/27/2012 $ (7)

06/28/2012 $ (3)

06/29/2011 $ (4)

01/06/2011 $ (1)

09/30/2010 $ 235,167

07/14/2010 $ (1,810,000)

03/26/2010 $ 1,360,000

12/30/2009 $ 350,000

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/02/2009 $ 60,000

10/19/2011 $ (162,895,068)

06/29/2011 $ (2,779)

03/30/2011 $ (294)

01/06/2011 $ (247)

09/30/2010 $ 68,565,782

08/13/2010 $ (100,000)

07/16/2010 $ (210,000)

07/14/2010 $ 19,540,000

06/16/2010 $ (286,510,000)

05/14/2010 $ (1,880,000)

04/19/2010 $ (10,280,000)

03/26/2010 $ 52,270,000

12/30/2009 $ 119,700,000

09/30/2009 $ (249,670,000)

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/12/2009 $ 87,130,000

09/12/2019 $ (100,071)

10/25/2018 $ (1)

07/26/2018 $ (386)

06/21/2018 $ (3)

04/25/2018 $ (18)

03/22/2018 $ (9)

02/26/2018 $ (3)

12/21/2017 $ (58)

10/26/2017 $ (56)

09/26/2017 $ (453)

06/26/2017 $ (11)

04/26/2017 $ (1)

02/27/2017 $ (22)

12/27/2016 $ (1)

11/29/2016 $ (8)

11/07/2016 $ 472

10/25/2016 $ (1,226)

09/28/2016 $ (1,298)

07/27/2016 $ (742)

06/27/2016 $ (742)

05/31/2016 $ (1,242)

03/28/2016 $ (159)

02/25/2016 $ (7,597)

12/28/2015 $ (2,660)

163
Name of Institution City State Pricing 

Mechanism

Note CAP Adjustment Amount Adjusted CAP Reason for Adjustment

Servicer Modifying Borrowers' Loans Adjustment Details

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Lenders/Investors (Cap) * 

Adjustment 

Date

$ 222,020 Transfer of cap due to servicing transfer

$ 221,472 Transfer of cap due to servicing transfer

$ 221,436 Transfer of cap due to servicing transfer

$ 221,159 Transfer of cap due to servicing transfer

$ 221,158 Transfer of cap due to servicing transfer

$ 221,138 Transfer of cap due to servicing transfer

$ 199,251 Transfer of cap due to servicing transfer

$ 196,537 Transfer of cap due to servicing transfer

$ 193,709 Transfer of cap due to servicing transfer

6 $ 144,486 Termination of SPA

ZB, N.A. Salt Lake City UT - N/A 3 $ 20,000 Transfer of cap due to servicing transfer

$

1/

2/

3/

4/

5/

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Effective June, 2014, New Penn Financial LLC d/b/a Shellpoint Mortgage Servicing, a AAA servicer, completed the acquisition of Resurgent Mortgage Servicing, from Resurgent Capital Services L.P., also a AAA servicer. The Adjusted Cap of Resurgent Capital Services L.C. stated above represents the amount previously paid to Resurgent under their AAA 

obligations pursuant to certain Servicer Participation Agreements prior to such acquisition.

Effective February 15, 2013, Ocwen Loan Servicing, LLC acquired certain assets of GMAC Mortgage, LLC, pursuant to a Sale Order entered in connection with the bankruptcy cases of Residential Capital, LLC and certain of its affiliated debtors.

* The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on 

behalf of borrowers and payments to servicers and lenders/investors. The Cap is subject to adjustment based on the total amount allocated to the program and 

individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.

RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger. 

On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by selling its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above represents the amount previously paid to Saxon Mortgage Services, Inc. prior to ceasing servicing operations.

As of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to Aurora Loan Services LLC, prior to ceasing servicing operations.

Effective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion. 

In May 2010, U.S. mortgage servicing business HomEq was sold to Ocwen Loan Servicing. The remaining Adjusted Cap stated above represents the amount previously paid to HomEq prior to such sale. 

In December 2012, Ocwen Financial Corporation completed the acquisition of Homeward Residential, Inc. The remaining Adjusted Cap stated above represents the amount previously paid to Homeward prior to such acquisition. 

This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.

On 8/27/10, an amendment was executed to reflect a change in the legal name of the institution.

MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement. 

The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.

Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior to such merger.

In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.

Total CAP $ 23,471,873,312

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 23,831,570,010 Total CAP Adjustments $ (359,696,698)

09/15/2016 Purchase Financial Instrument for Home Loan Modifications 09/15/2016 $ 20,000

01/16/2018 $ (49,223)

12/21/2017 $ (2,828)

10/26/2017 $ (2,714)

09/26/2017 $ (21,887)

07/26/2017 $ (20)

07/14/2017 $ (1)

06/26/2017 $ (277)

04/26/2017 $ (36)

02/27/2017 $ (548)

12/27/2016 $ (25)

164
Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

21st Mortgage Corporation $ 4,385,801.64 $ 6,056,504.78 $ 1,042,040.13 $ 11,484,346.55

Addition Financial Credit Union $ 614,913.41 $ 455,098.24 $ 358,526.94 $ 1,428,538.59

Allstate Mortgage Loans & Investments, Inc $ 18,448.57 $ 12,609.60 $ 8,035.81 $ 39,093.98

Ally Bank $ 863,829.45 $ 2,114,562.13 $ 324,522.87 $ 3,302,914.45

Ameriana Bank $ 8,000.00 $ 8,749.96 $ - $ 16,749.96

Apex Bank $ 366,916.71 $ 139,191.17 $ 11,000.00 $ 517,107.88

Aurora Financial Group, Inc $ 24,689.43 $ - $ 27,843.67 $ 52,533.10

Aurora Loan Services LLC $ 15,997,418.00 $ 41,236,849.69 $ 28,629,251.10 $ 85,863,518.79

Axiom Bank $ 10,000.00 $ 13,174.90 $ 1,000.00 $ 24,174.90

Banco Popular de Puerto Rico $ 4,596,712.38 $ 148,677.19 $ 2,897,135.55 $ 7,642,525.12

Bank of America, N.A. $ 4,099,061.97 $ 17,843,110.01 $ 9,075,438.92 $ 31,017,610.90

Bank of America, National Association $ 716,316,495.57 $ 995,665,094.04 $ 490,136,303.14 $ 2,202,117,892.75

BankUnited, N.A. $ 16,418,114.44 $ 41,063,268.65 $ 14,468,550.26 $ 71,949,933.35

Banner Bank $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Bayview Loan Servicing LLC $ 110,061,717.69 $ 193,837,239.98 $ 57,077,891.72 $ 360,976,849.39

BMO Harris Bank, N.A. $ 22,682.17 $ 11,297.56 $ 3,744.18 $ 37,723.91

Bridgelock Capital dba Peak Loan Servicing $ 5,833.33 $ 1,698.78 $ - $ 7,532.11

Caliber Home Loans, Inc. $ 2,643,554.17 $ 7,911,070.95 $ 5,811,267.52 $ 16,365,892.64

California Housing Finance Agency $ 12,750.00 $ 11,418.86 $ 5,800.00 $ 29,968.86

Carrington Mortgage Services, LLC $ 76,864,042.14 $ 70,288,331.27 $ 41,183,530.80 $ 188,335,904.21

Central Pacific Bank $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Cheviot Savings Bank $ 4,000.00 $ 3,075.53 $ 2,000.00 $ 9,075.53

CIT Bank, N.A. $ 86,043,034.11 $ 258,964,809.95 $ 92,960,628.05 $ 437,968,472.11

CitiMortgage, Inc. $ 192,092,019.08 $ 408,273,475.55 $ 157,641,919.32 $ 758,007,413.95

Citizens Bank, N.A. $ 10,113,998.98 $ 11,309,432.12 $ 7,104,211.77 $ 28,527,642.87

Citizens First National Bank $ 27,229.56 $ 67,847.26 $ 46,729.55 $ 141,806.37

Colorado Federal Savings Bank $ 33,691.63 $ 31,334.45 $ 4,000.00 $ 69,026.08

Columbia Bank $ 70,916.67 $ 60,423.29 $ 10,000.00 $ 141,339.96

Community Credit Union of Florida $ 3,000.00 $ 4,631.53 $ 5,000.00 $ 12,631.53

Desjardins Bank $ 13,000.00 $ 13,643.72 $ 1,000.00 $ 27,643.72

Ditech Financial LLC $ 193,070,317.93 $ 77,532,090.37 $ 28,323,217.44 $ 298,925,625.74

DuPage Credit Union $ 75,570.70 $ 52,984.20 $ 20,442.42 $ 148,997.32

Eastern Bank $ 9,916.67 $ - $ 3,000.00 $ 12,916.67

EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ 16,279,383.05 $ 35,441,779.30

Fay Servicing, LLC $ 32,641,363.38 $ 44,575,939.66 $ 10,293,062.12 $ 87,510,365.16

FCI Lender Services, Inc. $ 168,121.19 $ 240,878.34 $ 75,234.76 $ 484,234.29

Fidelity Bank $ 42,414.60 $ 53,960.71 $ 39,448.76 $ 135,824.07

FIRST BANK $ 2,788,144.53 $ 3,039,862.24 $ 1,746,409.40 $ 7,574,416.17

First Citizens Bank & Trust Company $ 15,916.67 $ 6,459.46 $ 3,000.00 $ 25,376.13

First Financial Bank N.A. $ 11,750.00 $ - $ 1,000.00 $ 12,750.00

First Keystone Bank $ 2,775.62 $ 3,423.27 $ 8,717.90 $ 14,916.79

First Merchants Bank $ 5,000.00 $ 178.53 $ - $ 5,178.53

First Mortgage Corporation $ 3,916.67 $ - $ 3,000.00 $ 6,916.67

First National Bank of Pennsylvania $ 10,916.67 $ 1,120.30 $ 1,000.00 $ 13,036.97

First State Bank $ 20,000.00 $ - $ 6,000.00 $ 26,000.00

Flagstar Capital Markets Corporation $ 263,163.51 $ - $ 179,944.93 $ 443,108.44

Florida Community Bank, NA $ 18,000.00 $ 15,460.93 $ 11,000.00 $ 44,460.93

FNF Servicing, Inc $ 333,311.00 $ 34.08 $ 69,560.95 $ 402,906.03

Franklin Credit Management Corporation $ 348,804.37 $ 659,459.08 $ 743,023.67 $ 1,751,287.12

Franklin Savings $ 1,750.00 $ 3,864.59 $ 4,000.00 $ 9,614.59

Freedom Mortgage Corporation $ 6,000.00 $ - $ - $ 6,000.00

Georgia Housing & Finance Authority DBA State Home Mortgage $ 3,500.00 $ - $ 2,000.00 $ 5,500.00

Glass City Federal Credit Union $ 4,000.00 $ 2,473.84 $ 6,000.00 $ 12,473.84

GMAC Mortgage, LLC $ 63,425,899.58 $ 148,796,298.28 $ 97,337,470.22 $ 309,559,668.08

Great Lakes Credit Union $ 75,301.37 $ 50,552.93 $ 32,443.49 $ 158,297.79

Greater Nevada LLC, dba Greater Nevada Mortgage $ 498,334.40 $ 253,511.99 $ 141,018.91 $ 892,865.30

Gregory Funding LLC $ 2,397,558.24 $ 4,121,343.24 $ 543,804.09 $ 7,062,705.57

Supplemental Information [Not Required by EESA §114(a)]

Making Home Affordable Program

Non-GSE Incentive Payments (through October 2019)

165
Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Guaranty Bank $ 916.67 $ - $ 1,000.00 $ 1,916.67

Guardian Mortgage Company, Inc $ 7,986.95 $ 26,942.02 $ 3,070.28 $ 37,999.25

Heartland Bank & Trust Company $ 84,251.53 $ 50,796.42 $ 7,625.76 $ 142,673.71

Hillsdale County National Bank $ 252,549.62 $ 62,958.65 $ 67,400.46 $ 382,908.73

Home Loan Services, Inc. $ 169,857.80 $ 2,440,767.73 $ 3,698,606.99 $ 6,309,232.52

Home Servicing, LLC $ 23,241.37 $ 37,322.44 $ 17,594.38 $ 78,158.19

HomEqServicing $ - $ 3,036,319.34 $ 5,272,500.00 $ 8,308,819.34

HomeStar Bank and Financial Services $ 1,916.66 $ 5,572.90 $ 5,833.34 $ 13,322.90

Homeward Residential, Inc. $ 51,759,481.72 $ 133,893,684.23 $ 94,837,607.23 $ 280,490,773.18

Horicon Bank $ 27,181.80 $ 27,034.56 $ 13,169.53 $ 67,385.89

Iberiabank $ - $ 10,502.00 $ 15,000.00 $ 25,502.00

IBM Southeast Employees' Credit Union $ 9,000.00 $ 23,589.08 $ 16,000.00 $ 48,589.08

IC Federal Credit Union $ 60,250.01 $ 71,619.56 $ 42,200.00 $ 174,069.57

Idaho Housing and Finance Association $ 221,181.12 $ 36,680.58 $ 33,025.20 $ 290,886.90

Investors Bank $ 1,750.00 $ - $ - $ 1,750.00

James B.Nutter and Company $ 227,241.60 $ - $ 145,434.80 $ 372,676.40

JPMorgan Chase Bank, NA $ 980,460,867.65 $ 1,598,627,542.98 $ 559,184,940.34 $ 3,138,273,350.97

KeyBank National Association $ 20,000.00 $ - $ - $ 20,000.00

Kondaur Capital Corporation $ 161,562.37 $ 178,735.77 $ 87,327.82 $ 427,625.96

Lake City Bank $ 61,961.79 $ 24,542.15 $ 28,196.44 $ 114,700.38

Lake National Bank $ 3,000.00 $ 3,651.45 $ 4,000.00 $ 10,651.45

Land/Home Financial Services, Inc. $ 916.67 $ 232.46 $ 1,000.00 $ 2,149.13

LegacyTexas Bank $ 5,000.00 $ 1,656.95 $ - $ 6,656.95

LenderLive Network, Inc $ 38,500.01 $ 69,769.61 $ 8,000.00 $ 116,269.62

Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125.99 $ 27,530,413.93 $ 76,324,760.34

Los Alamos National Bank $ 267,044.16 $ 70,265.82 $ 66,087.67 $ 403,397.65

M&T Bank $ 6,871,418.82 $ 2,670.97 $ 5,401,049.40 $ 12,275,139.19

Mainsource Bank $ 5,000.00 $ - $ - $ 5,000.00

Marix Servicing LLC $ 352,195.77 $ 970,196.74 $ 839,632.77 $ 2,162,025.28

Marsh Associates, Inc. $ 9,687.97 $ - $ 10,649.38 $ 20,337.35

Maryland Community Development Administration $ 186,537.15 $ - $ 48,454.02 $ 234,991.17

Matrix Financial Services Corp. $ 34,214.78 $ 65,089.13 $ 17,400.00 $ 116,703.91

MidFirst Bank $ 108,359,983.07 $ 5,893,228.28 $ 66,598,630.00 $ 180,851,841.35

Midwest Community Bank $ 1,000.00 $ 1,817.60 $ 2,000.00 $ 4,817.60

Mission Federal Credit Union $ 247,774.34 $ 369,954.31 $ 157,981.25 $ 775,709.90

MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ 1,977,320.74 $ 4,628,164.95

Mortgage Center LLC $ 745,769.31 $ 731,493.38 $ 570,995.35 $ 2,048,258.04

Mortgage Investors Group $ 9,916.67 $ - $ 2,916.67 $ 12,833.34

National City Bank $ 34,670,560.28 $ 27,742,776.36 $ 15,504,134.12 $ 77,917,470.76

Nationstar Mortgage, LLC dba Mr. Cooper $ 543,118,458.62 $ 694,442,812.15 $ 224,910,098.10 $ 1,462,471,368.87

Nationwide Advantage Mortgage Company $ 7,916.67 $ - $ - $ 7,916.67

Navy Federal Credit Union $ 4,349,954.71 $ 5,172,768.94 $ 2,390,816.97 $ 11,913,540.62

New Jersey Housing and Mortgage Finance Agency $ 118,384.69 $ - $ 35,805.11 $ 154,189.80

New York Community Bank $ 128,767.96 $ 107,588.41 $ 48,757.12 $ 285,113.49

NewRez LLC D/B/A Shellpoint Mortgage Servicing $ 42,712,794.55 $ 40,353,647.33 $ 14,341,923.57 $ 97,408,365.45

Noble Federal Credit Union $ 3,833.34 $ 13,204.31 $ 7,916.67 $ 24,954.32

North American Savings Bank $ 25,000.00 $ 16.76 $ 1,200.00 $ 26,216.76

Oakland Municipal Credit Union $ - $ 3,568.11 $ 6,500.00 $ 10,068.11

Oriental Bank $ 26,077.66 $ - $ 20,306.86 $ 46,384.52

ORNL Federal Credit Union $ 104,922.24 $ 66,813.41 $ 66,661.22 $ 238,396.87

OwnersChoice Funding, Incorporated $ 200,896.50 $ 278,713.21 $ 134,729.28 $ 614,338.99

Park View Federal Savings Bank $ 11,000.00 $ 23,936.55 $ 19,000.00 $ 53,936.55

Pathfinder Bank $ 23,417.47 $ 26,197.76 $ 36,506.84 $ 86,122.07

PennyMac Loan Services, LLC $ 17,312,585.45 $ 48,206,615.39 $ 19,090,858.85 $ 84,610,059.69

PHH Mortgage Corporation $ 377,439.11 $ 199,908.49 $ 81,117.84 $ 658,465.44

PHH Mortgage, a subsidiary of Ocwen Financial Corporation $ 1,141,087,742.30 $ 2,879,538,417.13 $ 642,623,653.63 $ 4,663,249,813.06

Planet Home Lending, LLC $ 244,809.71 $ 1,865,369.99 $ 86,306.52 $ 2,196,486.22

Plaza Home Mortgage, Inc $ 9,916.67 $ - $ 3,000.00 $ 12,916.67

PNC Bank, National Association $ 586,833.02 $ 3,232,427.11 $ 888,250.00 $ 4,707,510.13

Purdue Federal Credit Union $ 10,000.00 $ 3,976.20 $ 4,000.00 $ 17,976.20

Quantum Servicing Corporation $ 133,393.34 $ 332,061.47 $ 179,984.09 $ 645,438.90

Quicken Loans, Inc. $ 9,916.67 $ - $ 7,000.00 $ 16,916.67

Residential Credit Solutions, Inc. $ 6,562,210.62 $ 10,872,692.73 $ 4,628,786.15 $ 22,063,689.50

Resurgent Capital Services L.P. $ 708,326.40 $ 1,696,730.62 $ 797,664.52 $ 3,202,721.54

RG Mortgage $ 164,852.94 $ 227,582.28 $ 401,333.81 $ 793,769.03

Rockland Trust Company $ 20,000.00 $ - $ 6,000.00 $ 26,000.00

RoundPoint Mortgage Servicing Corporation $ 1,011,515.31 $ 1,125,877.26 $ 678,397.71 $ 2,815,790.28

Rushmore Loan Management Services LLC $ 32,566,582.59 $ 30,651,014.92 $ 5,747,341.21 $ 68,964,938.72

Santander Bank, N.A. $ 7,916.67 $ 43,548.58 $ 3,400.00 $ 54,865.25

166
Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Saxon Mortgage Services Inc $ 19,655,074.77 $ 41,738,413.24 $ 39,413,598.23 $ 100,807,086.24

Schools Financial Credit Union $ 76,583.37 $ 82,344.00 $ 39,500.00 $ 198,427.37

Scotiabank de Puerto Rico $ 1,355,278.38 $ 831,258.36 $ 417,008.60 $ 2,603,545.34

Select Portfolio Servicing, Inc. $ 539,813,387.85 $ 736,664,501.86 $ 287,624,316.98 $ 1,564,102,206.69

Selene Finance LP $ 7,621,542.24 $ 3,962,231.56 $ 3,775,034.22 $ 15,358,808.02

Seneca Mortgage Servicing LLC $ 489,752.72 $ 554,367.75 $ 357,186.68 $ 1,401,307.15

Servis One, Inc. dba BSI Financial Services $ 17,924,360.79 $ 15,829,558.71 $ 5,552,165.65 $ 39,306,085.15

ShoreBank $ 49,915.10 $ 153,906.17 $ 143,165.10 $ 346,986.37

Silver State Schools Credit Union $ 40,355.90 $ 176,298.89 $ 69,189.24 $ 285,844.03

SN Servicing Corporation $ 501,435.08 $ 849,776.59 $ 185,310.74 $ 1,536,522.41

Sortis Financial, Inc. $ 265,004.58 $ 585,281.78 $ 403,564.09 $ 1,253,850.45

Specialized Loan Servicing LLC $ 134,782,670.24 $ 159,227,743.67 $ 55,847,811.41 $ 349,858,225.32

Statebridge Company, LLC $ 226,305.91 $ 413,537.68 $ 172,635.14 $ 812,478.73

Sterling Savings Bank $ 385,881.14 $ 663,661.88 $ 404,196.69 $ 1,453,739.71

SunTrust Bank $ 613,652.48 $ 452,156.14 $ 213,352.94 $ 1,279,161.56

Technology Credit Union $ 121,166.67 $ 267,529.85 $ 81,816.67 $ 470,513.19

The Bryn Mawr Trust Co $ 29,316.16 $ 18,315.73 $ 8,435.80 $ 56,067.69

The Golden 1 Credit Union $ 1,328,502.63 $ 1,823,705.63 $ 784,217.37 $ 3,936,425.63

TIAA FSB $ 10,916.67 $ 10,792.44 $ 3,000.00 $ 24,709.11

U.S. Bank National Association $ 75,581,970.05 $ 72,197,321.86 $ 39,403,431.41 $ 187,182,723.32

Umpqua Bank $ 355,060.41 $ 104,107.29 $ 7,000.00 $ 466,167.70

Unify Financial Federal Credit Union $ 56,166.68 $ 74,554.15 $ 22,916.67 $ 153,637.50

United Bank $ 167,916.67 $ 2,725.70 $ 6,600.00 $ 177,242.37

United Bank Mortgage Corporation $ 203,772.13 $ 103,777.11 $ 66,578.47 $ 374,127.71

Urban Partnership Bank $ 344,704.09 $ 392,373.93 $ 135,918.87 $ 872,996.89

Wachovia Mortgage, FSB $ - $ 76,889.58 $ 162,000.00 $ 238,889.58

Wallick and Volk $ 10,000.00 $ 8,330.60 $ 3,000.00 $ 21,330.60

Webster Bank, N.A. $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Wells Fargo Bank, N.A. $ 1,109,279,008.22 $ 1,533,028,069.97 $ 641,993,891.65 $ 3,284,300,969.84

Wesbanco Bank Inc. $ 4,596.60 $ - $ 2,757.96 $ 7,354.56

Wescom Central Credit Union $ 702,676.47 $ 934,521.56 $ 312,225.08 $ 1,949,423.11

Wilshire Credit Corporation $ - $ 490,394.10 $ 1,167,000.00 $ 1,657,394.10

Yadkin Valley Bank $ 50,328.61 $ 41,584.65 $ 52,572.98 $ 144,486.24

Zions Bancorporation, N.A. $ 10,000.00 $ - $ 3,000.00 $ 13,000.00

Grand Total $ 6,448,422,624.51 $ 10,448,930,518.25 $ 3,843,018,465.99 $ 20,740,371,608.75

167
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 102,800,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 34,056,581 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 57,169,659 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 8,885,641 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ (6,664,231) $ 196,247,650 N/A

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 699,600,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 476,257,070 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 799,477,026 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 213,489,977 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 169,769,247 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 1,659,901 $ 2,360,253,221 N/A

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 418,000,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 238,864,755 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 400,974,381 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 77,896,538 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 881,006 $ 1,136,616,680 N/A

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 125,100,000 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 142,666,006 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 28,282,519 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 98,195 $ 296,146,720 N/A

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 154,500,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 128,461,559 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 215,644,179 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 74,491,816 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 188,106,491 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 418,256 $ 761,622,301 N/A

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 159,000,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 120,874,221 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 202,907,565 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 78,016,445 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 145,709,333 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 431,318 $ 706,938,882 N/A

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 172,000,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 148,728,864 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 249,666,235 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 191,906,968 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 489,473 $ 762,791,540 N/A

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 88,000,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 49,294,215 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 82,748,571 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 36,425,456 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 58,110,108 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 173,930 $ 314,752,280 N/A

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 43,000,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 13,570,770 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 22,780,803 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 36,623,730 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 44,488 $ 116,019,791 N/A

8/3/2010 SC Housing Corp. Columbia SC Purchase Financial Instrument for HHF Program $ 138,000,000 $ - N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program $ - $ 58,772,347 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 98,659,200 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 22,030,274 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 210,942 $ 317,672,763 N/A

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HHF Program $ 60,672,471 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 101,848,874 $ 162,521,345 N/A

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 55,588,050 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 93,313,825 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 30,148,245 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 27,955,713 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 187,004 $ 207,192,837 N/A

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 38,036,950 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 63,851,373 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 19,340,040 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 23,063,338 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 125,284 $ 144,416,985 N/A

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 126,650,987 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 212,604,832 N/A

5 5/3/2016 Purchase Financial Instrument for HHF Program $ - $ 30,880,575 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 437,866 $ 370,574,260 N/A

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 82,762,859 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 138,931,280 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 28,565,323 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 33,454,975 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 279,899 $ 283,994,336 N/A

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 166,352,726 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 279,250,831 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 269,474,060 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 537,478 $ 715,615,095 N/A

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 112,200,637 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 188,347,507 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 114,585,818 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 378,092 $ 415,512,054 N/A

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 7,726,678 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 12,970,520 N/A

6 6/1/2016 Purchase Financial Instrument for HHF Program $ - $ 8,047,933 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 29,136 $ 28,774,267 N/A

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 81,128,260 $ - N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program $ - $ 136,187,333 N/A

4 4/1/2016 Purchase Financial Instrument for HHF Program $ - $ 51,945,211 N/A

7 6/28/2016 Purchase Financial Instrument for HHF Program $ - $ 32,794,226 N/A

8 1/31/2018 Purchase Financial Instrument for HHF Program $ - $ 281,963 $ 302,336,993 N/A

$ 9,600,000,000

8) On 1/31/2018, Treasury updated program allocations due to an annual assessment and reallocation.

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets

Hardest Hit Funds (HHF) Program

Note Date

Seller Transaction 

Type Investment Description

Initial Investment 

Amount

Additional 

Investment Amount

7) On 6/28/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

6) On 6/1/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

Investment Amount 

1 

Pricing 

Mechanism

TOTAL INVESTMENT AMOUNT 

5) On 5/3/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

1) The purchase will be incrementally funded up to the investment amount.

2) On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

3) On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

4) On 4/1/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

168
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 8,117,000,000 $ - $ 8,117,000,000

2 3/4/2013 $ (7,092,000,000) $ 1,025,000,000

3 3/31/2015 $ (900,000,000) $ 125,000,000

4 9/28/2017 $ (80,000,000) $ 45,000,000

$ 45,000,000

N/A

N/A

TOTAL INVESTMENT AMOUNT

1) On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an up to $8 billion, 10-year letter of credit 

(the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the mortgages refinanced under the FHA Short Refinance program during the eligibility period. After that time, the amount of the L/C will be capped at the then-current level. 

Under the terms of the L/C Facility Agreement, Treasury could incur fees for the availability and usage of the L/C up to a maximum amount of $117 million.

2) On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the maximum amount of the L/C from $8 billion to $1 billion; extends by two years the period of time Treasury 

has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new fee structure and the lower L/C, Treasury expects that the fees incurred for the availability and usage of the L/C 

will not exceed $25 million.

N/A

4) On September 28, 2017, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 3 to the L/C Facility Agreement. Amendments included reducing the maximum amount of the L/C from $100 million to $27 million, and modifying the 

structure of administrative fees associated with the facility.

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 

Initial Investment 

Amount Investment Adjustments Investment Amount Pricing Mechanism

3) On March 31, 2015, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 2 to the L/C Facility Agreement. Amendments included reducing the maximum amount of the L/C from $1 billion to $100 million; extending by approximately 

two years the term of the L/C and the period of time Treasury has to increase the L/C to cover new loans entered into the program; and modifying the structure of administrative fees associated with the facility.

N/A

169
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending October 31, 2019

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance contracts 

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

and the single insurance contract with Citigroup was 

terminated on December 23, 2009.

170
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending October 31, 2019

Type of Expense Amount

Compensation for financial agents 

and legal firms $1,438,505,373

171
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending October 31, 2019

Date Vehicle Description

None

172
HAMP Application Activity by Servicer 1

As of December 2017

Servicer Name # Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

Bank of America, NA - - - 1,524,748 1,505,172 588,284 916,888

BankUnited - - - 9,959 9,959 4,970 4,989

Bayview Loan Servicing, LLC - - - 92,548 92,371 20,911 71,460

Carrington Mortgage Services, LLC - - - 105,590 105,590 27,443 78,147

Citizens Bank, N.A. - - - 39,479 39,479 7,041 32,438

CIT Bank, NA6 2 - 2 388,421 388,329 103,632 284,697

CitiMortgage Inc 22 - 22 614,753 613,454 194,845 418,609

Ditech Financial LLC7 - - - 131,064 131,064 50,828 80,236

JPMorgan Chase Bank, NA - - - 1,853,776 1,847,897 455,099 1,392,798

Nationstar Mortgage, LLC dba Mr Cooper - - - 633,038 633,038 134,794 498,244

Navy Federal Credit Union - - - 16,222 16,222 2,509 13,713

Ocwen Loan Servicing, LLC - - - 1,679,549 1,653,002 507,500 1,145,502

ORNL Federal Credit Union - - - 824 824 66 758

PennyMac Loan Services, LLC - - - 24,545 24,545 6,706 17,839

PNC Bank NA8 - - - 53,888 53,846 29,336 24,510

Select Portfolio Servicing, Inc. - - - 304,067 295,044 139,397 155,647

Specialized Loan Servicing LLC - - - 130,912 130,892 22,932 107,960

U.S. Bank National Association - - - 161,867 161,862 49,525 112,337

Wells Fargo Bank, NA 99 - 99 1,619,166 1,611,573 455,124 1,156,449

Other Servicers9 - - - 212,677 212,504 111,096 101,408

TOTAL 123 - 123 9,597,093 9,526,667 2,912,038 6,614,629

Activity in December 2017 Program-to-Date

1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data in this report reflects what is provided by servicers participating in the 

survey and is not separately validated by Treasury. Servicers regularly perform evaluation and refinement of reporting, which can lead to updating of Program-to-Date results. Due to the MHA Program Modification Effective 

Date Cut-off of December 1, 2017, the December 2017 version of this report is the last issued and includes data collected from servicers through December 31, 2017. Requests received that were not processed as of 

December 2017 may be attributable to a variety of reasons, including failure to submit a complete mortgage modification request. Borrowers whose requests were not processed may have been offered a Streamline HAMP 

Modification. 

2 "Requests Received" is the total number of mortgage modification requests received, as reported by servicers. Cumulative Requests Received include all mortgage modification requests received since implementation of 

Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved for a trial modification prior to implementation of such guidance. As noted in Footnote 1 above, some servicers may include all 

mortgage modification requests received, whereas they previously included only requests that met basic HAMP eligibility criteria. As of January 2017, servicers were no longer required to provide monthly requests received 

volumes. Due to the December 30, 2016 HAMP application deadline, servicers will not report any requests received after that date and therefore, the monthly Requests Received column has been removed from the report. 

Servicers continue to evaluate and decision requests which were submitted by the application deadline. 

3 "Requests Processed" is the sum of Requests Approved and Requests Denied, defined below. 

4 "Requests Approved" is the total number of complete mortgage modification requests approved for a trial modification under HAMP and trial offers sent to the borrowers, as reported by servicers. Note that all Requests 

Approved do not become Active Trials because some borrowers do not accept the trial or fail to make the first trial payment. 

5 "Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program 

guidance, as reported by servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, 

effective June 1, 2010; servicers do not report Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet 

basic eligibility criteria, and/or other reasons.

6 Formerly OneWest Bank.

7 Formerly GreenTree Servicing LLC. 

8 Includes both PNC Bank, NA and PNC Mortgage, formerly National City Bank.

9 Includes servicers that are no longer actively participating in the survey process or those whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only 

173