MONTHLY REPORT TO CONGRESS

SEPTEMBER 2013

October 10, 2013

Troubled Asset Relief Program

U.S. Department of the Treasury
TABLE OF CONTENTS

Highlights in September.......................................................................................................................................................................1

Bank Support Programs Update ..........................................................................................................................................................1

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

Automotive Industry Financing Program...............................................................................................................................................5

General Motors.................................................................................................................................................................................5

Housing Programs ...............................................................................................................................................................................6

Making Home Affordable ..................................................................................................................................................................6

Hardest Hit Fund ..............................................................................................................................................................................7

Lifetime Costs ....................................................................................................................................................................................10

Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget............................................... 11

Daily TARP Update ........................................................................................................................................................................14

Appendix Table of Contents............................................................................................................................................................... 16
1

0

100

200

300

400

500

Obligated Disbursed

Principal

Repayments Outstanding

Total Cash

Back

billion 

dollars

Disposition of TARP Funds 

as of September 30, 2013

AIG Non TARP AIG Cash Back Autos

Banks Credit Housing

HIGHLIGHTS IN SEPTEMBER

As part of its continuing efforts to wind down TARP, on September 13, 

Treasury completed its second pre-arranged written trading plan 

initiated in May 2013 for the sale of GM common stock. Treasury has 

now recovered $36.0 billion and holds approximately 7 percent of GM 

common stock. On September 26, Treasury announced its third prearranged written trading plan. More information is available in 

Treasury’s press release: http://www.treasury.gov/press-center/pressreleases/Pages/jl2173.aspx. These sales are part of Treasury’s ongoing 

strategy to fully exit its remaining investment in GM by the end of the 1st

quarter of 2014. 

Treasury has continued its ongoing strategy to wind down the 

remaining bank investments in a way that protects taxpayer 

interests and preserves the strength of our nation’s community 

banks.

• On September 25, Treasury held an auction for its preferred 

stock in six institutions for actual aggregate gross proceeds of 

$91.0 million. More information can be found in Treasury’s 

Press Release: http://www.treasury.gov/press-center/pressreleases/Pages/jl2166.aspx.

• On September 30, Cathay General Bancorp, the institution 

with the third largest outstanding investment remaining, 

repurchased all of its outstanding preferred shares for total 

proceeds of $129.0 million.
2

$195.17 

$2.71 

$18.92 $7.89 

 $-

 $50

 $100

 $150

 $200

Repayments Auctions Total

Dividends,

Interest &

Other Income

Warrant

Income

BANK SUPPORT PROGRAMS UPDATE

CAPITAL PURCHASE PROGRAM

Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable 

banking institutions of all sizes throughout the nation. The CPP Snapshot shows the cumulative Capital Purchase Program activity 

since its inception. Today, every dollar recovered from CPP participants represents a positive return for taxpayers.

CPP SNAPSHOT

Total Institutions Funded 707 Total CPP Proceeds1 $224.7 billion

Full Repayments 230

SBLF Repayments 137

CDCI Conversions 28

Sold Investments 22

Auctioned Investments 151

In Bankruptcy/Receivership 27

Merged Institutions 4

Total Remaining Institutions 108

Partial Repayments 10

Currently in Common2 3

REPAYMENTS AT PAR

In September, five institutions (PeoplesSouth Bancshares, Inc.; Ojai Community Bank; Todd Bancshares, Inc.; Cathay General 

Bancorp; and Randolph Bank & Trust Company) repurchased all of their outstanding CPP preferred shares or subordinated 

debentures from Treasury’s investments in those institutions for total proceeds of $153.6 million.

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

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

billion in exchanges of CPP investments into the Community Development Capital Initiative (CDCI), as permitted under the terms of that program.

Auctions: Includes proceeds from all auctions of CPP preferred and note securities where cash has settled with OFS as of 8/31/2013.

Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.

2 Institutions where Treasury has converted its original investment, at a discount, into shares of common stock in the institution.
3

SALES AND DISPOSITIONS

• On September 25, Treasury sold to private investors its preferred stock in six institutions (Centrue Financial Corporation; De Soto 

County Bank; First Banks, Inc.; RCB Financial Corporation; Reliance Bancshares, Inc.; and Severn Bancorp. Inc.) for actual 

aggregate gross proceeds of $91.0 million. More information can be found in Treasury’s Press Release:

http://www.treasury.gov/press-center/press-releases/Pages/jl2166.aspx.

RESTRUCTURINGS

In limited cases, in order to protect the taxpayers’ interest in the value of an investment and to promote the objectives of EESA, 

Treasury may exchange the CPP preferred stock for other securities or may sell the preferred stock. Treasury decides whether to 

participate in an exchange or sale based on whether it will enable the bank to attract additional capital, conduct a restructuring or 

otherwise strengthen its financial condition. Exchanges made on this basis may be at a rate less than par, and sales by Treasury to a 

new investor may be made at a discount. 

• On August 12, 2013, Anchor BanCorp Wisconsin Inc. 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 Anchor 

BanCorp’s restructuring. On September 27, 2013, the Plan of Reorganization became effective in accordance with its terms, 

pursuant to which Treasury’s preferred stock was exchanged for 60 million shares of common stock and Treasury’s warrant was 

cancelled. On September 27, 2013, Treasury sold its 60 million shares of common for $6.0 million pursuant to securities 

purchase agreements entered into on September 19, 2013.

DIVIDENDS AND INTEREST

In September, Treasury received dividends and interest income from CPP investments of $963 million. As of September 30, 2013, 

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

WARRANT REPURCHASES

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

consideration for investments made under the CPP. PeoplesSouth Bancshares, Inc.; Ojai Community Bank; Todd Bancshares, Inc.; 

and Randolph Bank & Trust Company repurchased their preferred shares from exercised warrants from Treasury for a total of $1.2 

million. These proceeds provided an additional return to taxpayers from Treasury’s investments in banks beyond any dividend or 

interest payment.
4

TOP 10 REMAINING CPP INSTITUTIONS

Institution Location Amount Outstanding (millions)

1 Popular, Inc. San Juan, PR $ 935.0

2 First BanCorp3 San Juan, PR $ 239.0

3 Hampton Roads Bankshares, Inc.4 Norfolk, VA $ 80.3

4 CommunityOne Bancorp5 Charlotte, NC $ 51.5

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

6 Crescent Financial Bancshares, Inc. Cary, NC $ 42.8

7 Bridgeview Bancorp, Inc. Bridgeview, IL $ 38.0

8 Porter Bancorp Inc. Louisville, KY $ 35.0

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

10 First United Corporation Oakland, MD $ 30.0

10 Spirit BankCorp, Inc. Bristow, OK $ 30.0

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

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

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

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

There are currently 71 institutions remaining in the program. Treasury has not taken any specific action to date to wind down the 

CDCI, however some institutions have repaid Treasury’s investments. 

• On September 4, UNO Federal Credit Union repurchased all of its outstanding CDCI investment from Treasury for a total of 

$0.7 million plus accrued and unpaid dividends.

 3 Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First Bancorp fulfilled the conversion 

conditions and Treasury's MCP was converted into 32,941,797 shares of common stock. Treasury sold 12,000,000 of such shares on August 16, 2013. 4 Treasury exchanged its preferred stock for MCP. Hampton fulfilled the conversion conditions and Treasury's MCP was converted into 52,225,550 shares of 

common stock. Treasury currently holds 2,089,022 shares of Hampton common stock following a reverse stock split. 5 On July 1, 2013, FNB United changed its name to CommunityOne Bancorp. Treasury exchanged its preferred stock for 108,555,303 shares of FNB United 

common stock. Treasury currently holds 1,085,553 shares of FNB United common stock following a reverse stock split. 
5

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

GENERAL MOTORS

Under the AIFP, as part of its efforts to protect the economy by preventing the collapse of the auto industry, Treasury invested a total 

of $51.0 billion in GM. In November 2010, GM completed an initial public offering, which yielded $13.5 billion in net proceeds for 

Treasury and reduced its stake in GM to 500.1 million remaining shares of GM common stock.

In December 2012, as part of its continuing efforts to wind down TARP, Treasury announced its intent to fully exit its remaining 

investment in GM within the following 12-15 months, subject to market conditions. As part of that announcement, GM agreed to 

purchase 200 million shares of GM common stock from Treasury at $27.50 per share – a transaction that closed on December 21, 

2012. 

In January 2013, Treasury began the process of selling its remaining shares into the market. On April 11, 2013, Treasury completed 

its first pre-arranged trading plan for the sale of its GM common stock. Under this plan, Treasury sold 58.4 million shares of GM 

common stock for total gross proceeds of approximately $1.6 billion. In addition, in June 2013, Treasury sold 30 million additional 

shares of GM common stock at $34.41 per share, in an underwritten public offering in conjunction with GM’s inclusion in the S&P 500 

index. The aggregate proceeds from the sale were approximately $1.0 billion.

On September 13, Treasury completed its second pre-arranged written trading plan initiated in May 2013 for the sale of GM common 

stock. Under this plan, Treasury sold 110.3 million shares of GM common stock for total gross proceeds of approximately $3.8 billion.

Treasury announced its third pre-arranged written trading plan on September 26. More information is available in Treasury’s press 

release: http://www.treasury.gov/press-center/press-releases/Pages/jl2173.aspx. 

During September, Treasury received total net proceeds of approximately $570.1 million from the sales of GM common stock.6 As of 

September 30, Treasury has recovered approximately $36.0 billion7 of its investment in GM through repayments, sales of stock, 

dividends, interest, and other income.

 6 Additional details on the number of GM shares and average price per share that Treasury sold under its pre-arranged written trading plan will be disclosed upon 

the completion of each pre-arranged trading plan and provided in the Monthly Report to Congress that is issued subsequent to the sale. 7 This amount includes the total amount that Treasury has recovered, including the investment in GM and loans for the Supplier and Warranty Programs.
6

HOUSING PROGRAMS

MAKING HOME AFFORDABLE

This month, the U.S. Department of the Treasury plans to release the Making Home Affordable Program Performance Report for the 

period ending August 2013. The report will be available on the following page: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Making-Home-Affordable-Program-Performance-Report.aspx.

HIGHLIGHTS

• Since the start of the program, nearly 1.8 million homeowner assistance actions have been taken under MHA. 

• More than 1.4 million homeowners have received a permanent first lien modification through MHA since the start of the program, 

including more than 1.2 million through the Home Affordable Modification Program (HAMP). Approximately 19,000 new MHA first 

lien modifications have been reported since the July report.

• To date, homeowners in HAMP permanent modifications have saved an estimated $22.3 billion in monthly mortgage payments. 

Homeowners in active first lien permanent modifications are currently saving a median of $546 per month – almost 40 percent of 

their median before-modification payment.

• Homeowners currently in HAMP permanent modifications with some form of principal reduction have been granted an estimated 

$11.7 billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in August, 74 percent 

included a principal reduction feature.

2MP AND HAFA PROGRAM RESULTS

• The Second Lien Modification Program (2MP) enables homeowners in a permanent first lien modification under HAMP to modify 

eligible second lien mortgages serviced by a participating servicer. To date, more than 117,000 homeowners in a permanent first 

lien modification under HAMP have received assistance through 2MP. Effective September 2013, Treasury expanded the 2MP 

program to include qualifying first liens that have been modified under the GSE Standard Modification requirements. When a 

borrower’s first lien is modified under GSE Standard Modification requirements and the first lien satisfies the HAMP eligibility 

criteria, the 2MP servicer must offer to modify or extinguish the borrower’s second lien under 2MP.

• Nearly 215,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from the 

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

exits the home.

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HARDEST HIT FUND

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

through locally-tailored programs administered by each respective Housing Finance Agency (HFA). These areas were chosen 

because they have experienced steep home price declines or severe unemployment in the economic downturn. States are 

experimenting with a number of different programs to help homeowners, including principal reduction, reinstatement, short 

sale/transition assistance, modification assistance, loan purchase and mortgage payment programs.

• There are now 66 active programs across the 19 HFAs. Approximately 69 percent of total program funds are targeted to help 

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

work.

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

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

hiring underwriters and other staff to review and approve applications.

• Treasury is working to identify best practices, share lessons learned, and provide additional assistance and oversight to HFAs. In 

September, Treasury continued to participate in bi-weekly conference calls with the 19 HFAs and the large servicers participating 

in the Hardest Hit Fund to discuss best practices in reaching the target population, ways to expand program eligibility, issues 

around the wind down of assistance programs and promising new program models that can effectively utilize Hardest Hit Funds. 

• In September, Treasury approved program changes for California, the District of Columbia, Florida, and Mississippi, including two 

new HHF programs. California expanded borrower eligibility for their unemployment mortgage assistance program and increased 

the allocation for their principal reduction program. The District of Columbia extended the duration and maximum amount of 

assistance available under their unemployment mortgage assistance program. Mississippi expanded the eligible hardships under 

their unemployment mortgage assistance program and extended the duration of assistance for unemployed and underemployed 

homeowners to 24 months. 

• Florida introduced two new programs, the Principal Reduction (PR) and Elderly Mortgage Assistance (Elmore) programs. The PR 

program offers up to $50,000 in principal reduction to severely underwater homeowners who are current on their mortgage 

payments. Florida formally announced the PR program to the public on September 20, 2013, and has already reported a large 

boost in application volumes due to popular demand. Elmore provides assistance to low- to moderate income reverse mortgage 

borrowers who have suffered a hardship that has resulted in the inability to repay the amounts advanced on their behalf by their 

servicer for the payment of property taxes, homeowners’ insurance, and homeowners’ and/or condo association dues now that 

the homeowners have been paid all the equity they were due under the terms of their reverse mortgage. 

• Two HFAs drew a total of $56 million in September; over the life of the program, the 19 HFAs have drawn a total of $2.91 billion. 

Each HFA draws down funds as they are needed. (See Hardest Hit Fund as of September 30, 2013 chart) HFAs have until 

December 31, 2017 to expend funds, and must have no more than five percent of their allocation on hand before they can draw 

down additional funds.

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• Each state submits a quarterly report on the progress of its programs. Direct links to each state’s most recent performance report 

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

below in the Programs Available Through the Hardest Hit Fund table.

PROGRAMS AVAILABLE THROUGH THE HARDEST HIT FUND

State Statewide 

Launch Reporting Link Program Information Link 

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

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

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

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

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

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

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

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

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

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

MI 7/12/10 http://www.michigan.gov/mshda/0,1607,7-141-45866_47905-250571--,00.html http://www.stepforwardmichigan.org

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

NC 12/1/10 http://www.ncforeclosureprevention.gov/hardest_hit_funds.aspx http://www.ncforeclosureprevention.gov/

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

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

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

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

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

a7b_10737418238_10737418240_btnlink http://www.hhfri.org/

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

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

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HARDEST HIT FUND AS OF SEPTEMBER 30, 2013

$34,000,000

$91,802,019

$717,490,000

$14,134,860

$271,250,000

$77,508,000

$260,000,000

$66,338,828

$64,000,000

$146,199,785

$28,338,832

$270,500,000

$133,513,704

$98,842,000

$239,100,000

$155,000,000

$66,500,000

$100,000,000

$77,315,593

$0 $500,000,000 $1,000,000,000

Alabama (20.9%)

Arizona (34.3%)

California (36.3%)

Washington D.C. (68.3%)

Florida (25.6%)

Georgia (22.8%)

Illinois (58.3%)

Indiana (29.9%)

Kentucky (43%)

Michigan (29.3%)

Mississippi (27.8%)

North Carolina (56%)

New Jersey (44.4%)

Nevada (50.9%)

Ohio (41.9%)

Oregon (70.4%)

Rhode Island (83.8%)

South Carolina (33.8%)

Tennessee (35.6%)

Paid to Date (Amount Shown)

State (% Cap Disbursed)

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LIFETIME COSTS

Although the true cost of the financial crisis will always be 

measured in the human suffering and economic damage it caused – the jobs that were lost, the businesses that were closed, and the 

college educations or retirements that were deferred - the fiscal 

cost of the program is important to taxpayers. Five years after 

TARP was created, there is a clearer sense of its ultimate fiscal

cost.

When Congress created TARP, it authorized up to $700 billion for 

it. However, to date a total of $421.2 billion has been disbursed 

under TARP. As of September 30, 2013, cumulative collections 

under TARP, together with Treasury’s additional proceeds from 

the sale of non-TARP shares of AIG

8

, have exceeded total 

disbursements by $1.5 billion

9

.

This report contains two charts that provide a complete picture of 

how TARP funds have been used, the extent to which they have 

been returned, and how much the program will cost. To see how 

Treasury has invested and recovered TARP funds over time 

please visit the interactive TARP Tracker at: 

http://www.treasury.gov/initiatives/financial-

stability/reports/Pages/TARP-Tracker.aspx.

 8 For more information, see note 10 to the Daily TARP Update. 9 Treasury is continuing to disburse funds related to its housing programs, and 

continuing to recoup its outstanding investments. For the latest lifetime cost 

estimates, please see the chart on page 11: Treasury Estimates of the Impact 

of TARP Programs and AIG Investments on the Federal Budget.
11

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

Programs 

as of September 30, 2013

(dollar amounts in billions)

Disbursed as of 

September 30

Outstanding 

Investment 

Balance as of

September 30

Estimated 

Lifetime Cost as 

of 

July 311

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup $ 25.00 25.00 $ - $ (6.89)

Other banks with assets $10 billion or greater $ 165.33 165.33 $ 1.17 $ (10.24)

Banks with assets less than $10 billion2 $ 14.57 $ 14.57 $ 1.20 $ 1.08

Total $ 204.89 $ 204.89 $ 2.37 $ (16.05)

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

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

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.57 $ 0.47 $ 0.12

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity $ 7.23 6.25 $ - $ (3.09)

Debt $ 12.38 $ 12.38 $ - $ 0.33

Total $ 19.61 $ 18.62 $ - $ (2.76)

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

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

Other Programs:

American International Group (AIG): 

Preferred Stock $ 20.29 $ 20.29 $ - $ -

Common Stock $ 47.54 $ 47.54 $ - $ 15.18

Total $ 67.84 $ 67.84 $ - $ 15.18

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ 19.87 $ 14.98

Sub-total for Investment Programs $ 418.07 $ 411.72 $ 22.72 $ 2.86

Making Home Affordable $ 29.87 $ 6.51 n/a $ 29.87

Hardest Hit Fund $ 7.60 $ 2.91 n/a $ 7.60

FHA-Refinance4 $ 1.03 $ 0.06 n/a $ 0.21

Sub-total for Housing Programs $ 38.49 $ 9.48 n/a $ 37.67

 Total for TARP Programs $ 456.56 $ 421.20 $ 22.72 $ 40.54

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

Total for TARP Programs and Additional AIG Shares $ 456.56 $ 421.20 $ 22.72 $ 22.98

Obligation/

Commitment

7

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12

The Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget chart 

provides for each program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated 

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

taxpayer. Estimated lifetime cost is calculated quarterly in conjunction with the Office of Management and Budget. Because some 

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

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

apart from the TARP investment.

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

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

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

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

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

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

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

Footnotes

1 Lifetime cost information are as of July 31, 2013 with adjustments in AIFP for the pending Ally repurchase. Estimated lifetime cost figures shown 

above are currently updated quarterly in conjunction with the Office of Management and Budget. The value of outstanding investments in 

publicly-traded securities is calculated by using the aggregate value of the investments at market prices as of July 31, 2013. The following 

common stock value information is provided for the convenience of the reader to show the increase or decrease in the aggregate value of the 

shares outstanding as of July 31, 2013, compared to the aggregate value of shares outstanding as of September 30, 2013, including the net 

proceeds from shares sold in August and September, 2013.

Note: The share price for GM was $35.87 for the period ending July 31, 2013 and $35.97 for the period ending September 30, 2013.

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

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

CPP investments.

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

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

Outstanding Investment 07/31/2013 

Market Value

09/30/2013 Market 

Value

Increase (Decrease) 

in Cost

GM Common Stock $ 4.91 $ 4.91 $ - 

In billions

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4 The Estimated Lifetime Cost assumes that the Federal Reserve approves Ally’s Comprehensive Capital Analysis and Review (CCAR)

resubmission based upon a $1 billion capital raise at which time Ally will repurchase $5.9 billion in mandatorily convertible stock from OFS by 

November 30, 2013.

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

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

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

associated with the letter of credit facility.

6

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

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

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

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

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

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

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

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

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DAILY TARP UPDATE

Footnotes

1 This row represents the portion of CPP repayments that were received from refinancing to the Small Business Lending Fund (SBLF), which is not 

a TARP program. The law creating the 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. This amount is included in total repayments and therefore, this column is not used to calculate the "Outstanding" amount.

(*Dollars in Billions*) Obligated Disbursed Repayments

Refinancing to 

SBLF1

CPP Exchanges Into 

CDCI2

Write-offs & 

Realized Losses Outstanding3 Dividends4 Interest4 Warrants Sold5

Other Income 

(Expenses)6 Total Income Total Cash Back7

Bank Support Programs

Capital Purchase Program (CPP)

 Banks with Assets $10 Billion or Greater $ 165.33 $ 165.33 $ 161.50 $ - $ - $ 2.65 $ 1.17 $ 9.45 $ - $ 7.48 $ 0.02 $ 16.95 $ 178.45

 Banks with Assets Less Than $10 Billion $ 14.57 $ 14.57 $ 11.05 $ 2.21 $ 0.36 $ 1.96 $ 1.20 $ 1.66 $ - $ 0.35 $ (0.02) $ 1.99 $ 13.04

 Citigroup Common8 $ 25.00 $ 25.00 $ 25.00 $ - $ - $ - $ 0.93 $ - $ 0.05 $ 6.85 $ 7.84 $ 32.84

Targeted Investment Program (TIP)

 Bank Of America $ 20.00 $ 20.00 $ 20.00 $ - $ - $ 1.44 $ - $ 1.24 $ - $ 2.67 $ 22.67

 Citigroup $ 20.00 $ 20.00 $ 20.00 $ - $ - $ 1.57 $ - $ 0.19 $ - $ 1.76 $ 21.76

Asset Guarantee Program (AGP)

 Bank Of America $ - $ - $ - $ - $ - $ - $ - $ - $ 0.28 $ 0.28 $ 0.28

 Citigroup $ 5.00 $ - $ - $ - $ - $ 0.64 $ - $ 0.07 $ 3.14 $ 3.85 $ 3.85

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.21 $ 0.09 $ (0.36) $ 0.01 $ 0.47 $ 0.03 $ - $ - $ - $ 0.03 $ 0.12

Bank Program Totals $ 250.46 $ 245.10 $ 237.64 $ - $ 4.62 $ 2.85 $ 15.72 $ - $ 9.38 $ 10.27 $ 35.36 $ 273.01

Credit Market Programs

Public-Private Investment Program (PPIP)

 Equity9 $ 7.23 $ 6.25 $ 6.25 $ - $ - $ 0.89 $ - $ - $ 2.64 $ 3.52 $ 9.77

 Debt $ 12.38 $ 12.38 $ 12.38 $ - $ - $ - $ 0.32 $ - $ - $ 0.32 $ 12.70

Term Asset Backed Securities Lending Facility $ 0.10 $ 0.10 $ 0.10 $ - $ - $ - $ 0.01 $ - $ 0.57 $ 0.58 $ 0.68

Purchase SBA 7(a) Securities (SBA) $ 0.37 $ 0.37 $ 0.36 $ 0.00 $ - $ - $ 0.01 $ - $ 0.00 $ 0.01 $ 0.38

Credit Market Program Totals $ 20.08 $ 19.09 $ 19.09 $ 0.00 $ - $ 0.89 $ 0.35 $ - $ 3.21 $ 4.44 $ 23.53

Other Programs

American International Group (AIG)10

 Common $ 47.54 $ 47.54 $ 34.06 $ 13.48 $ - $ - $ - $ 0.03 $ - $ 0.03 $ 34.08

 Preferred $ 20.29 $ 20.29 $ 20.29 $ - $ - $ 0.64 $ - $ - $ 0.29 $ 0.93 $ 21.23

AIG Totals $ 67.84 $ 67.84 $ 54.35 $ 13.48 $ - $ 0.64 $ - $ 0.03 $ 0.29 $ 0.96 $ 55.31

Automotive Industry Financing Program (AIFP)

 GM11 $ 51.03 $ 51.03 $ 35.22 $ 9.70 $ 6.12 $ - $ 0.77 $ - $ (0.01) $ 0.76 $ 35.98

 Chrysler $ 12.37 $ 12.37 $ 9.44 $ 2.93 $ - $ - $ 1.19 $ - $ 0.50 $ 1.69 $ 11.13

 Ally (GMAC) $ 16.29 $ 16.29 $ 2.54 $ 0.00 $ 13.75 $ 3.54 $ - $ - $ 0.13 $ 3.67 $ 6.21

AIFP Totals $ 79.69 $ 79.69 $ 47.20 $ 12.62 $ 19.87 $ 3.54 $ 1.95 $ - $ 0.62 $ 6.12 $ 53.31

Other Programs Totals $ 147.53 $ 147.53 $ 101.55 $ 26.11 $ 19.87 $ 4.18 $ 1.95 $ 0.03 $ 0.91 $ 7.07 $ 108.62

Treasury Housing Programs Under TARP

Making Homes Affordable $ 29.87 $ 6.51

HFA Hardest-Hit Fund $ 7.60 $ 2.91

FHA Refinance12 $ 1.03 $ 0.06

Housing Totals $ 38.49 $ 9.48

TARP Totals $ 456.56 $ 421.20 $ 358.28 $ - $ 30.73 $ 22.72 $ 20.79 $ 2.30 $ 9.40 $ 14.39 $ 46.88 $ 405.16

Additional Treasury Holdings

Additional AIG Common Shares Held by Treasury10 $ 17.55 $ 17.55 $ 17.55

Total for TARP Programs and Additional AIG Shares $ 456.56 $ 421.20 $ 358.28 $ - $ 30.73 $ 22.72 $ 20.79 $ 2.30 $ 9.40 $ 31.94 $ 64.43 $ 422.71

Principal/Investment Income/Revenue

7

8
15

2 This column represents non-cash exchanges out of CPP into CDCI. A total of 28 CPP banks, representing $355.7 million, converted from CPP 

to CDCI. The total amount exchanged into CDCI, with converted warrants, was $363.3 million.

3 Excludes outstanding investments in institutions that have entered into bankruptcy or receivership.

4 For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct loan programs, all dividend and 

interest payments are classified in the “Interest” category. These classifications are consistent with the accounting treatment used to produce 

OFS’ financial statements. 

5 Amount of "Warrants Sold" reflects net cash receipts.

6 "Other Income (Expenses)" includes gains on sales, investment income, fees collected, and disposition expenses. 

7 This column represents the sum of repayments plus income/revenue. All returned TARP funds are paid into the general fund of the Treasury for 

the reduction of the public debt. These amounts do not represent lifetime cost estimates, which OFS provides in its monthly 105(a) report to 

Congress.

8 Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009.

9 Allocation of PPIP Equity receipts between repayments and income are subject to reclassification.

10Treasury’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 "Write-offs & Realized Losses" column shows a loss based on Treasury’s cost basis 

of $43.53 in the TARP shares alone. The non-TARP shares are shown at the bottom of the page after the TARP Total under "Additional AIG 

Common Shares Held by Treasury." A gain in the "Other Income (Expenses)" column is shown for the non-TARP shares because Treasury’s 

cost basis in such shares is deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a 

cash basis is $28.73 per share. With the sale of all remaining shares in December 2012, Treasury has recovered a total of $72.84 billion 

(including proceeds from the sale of the non-TARP shares), compared to total TARP disbursements of $67.84 billion. 

11Treasury’s investment in GM was originally made primarily in the form of loans, some of which were subsequently converted into common and 

preferred stock. Treasury currently holds only common stock. The realized loss reflects the difference between the prices at which Treasury has 

sold common shares in GM’s initial public offering and subsequent sales and the Treasury’s cost basis ($43.52 per common share) for such 

shares. Treasury intends to continue to dispose of its GM shares in an orderly fashion, subject to market conditions.

12Treasury has entered into a letter of credit (L/C) to fund the FHA Short Refinance Program. Pursuant to this L/C, a reserve account has been 

pre-funded with $50 million in funds for any future loss claim payments. Treasury will be reimbursed for all unused amounts from this account. 

In March 2013, Treasury extended the L/C to provide coverage for loans refinanced throughout the eligibility period, which had been extended to 

December 2014, but reduced the amount to $1 billion. The obligation related to the FHA Short Refinance Program was reduced accordingly from 

$8 billion to $1 billion.

7

8
16

APPENDIX TABLE OF CONTENTS

Section Statutory Requirement10 Page

CPP Institutions Additional Information 17

Administrative Obligations and Expenditures EESA §105(a)(2) 21

Agreements under TARP EESA §105(a)(3)(A) 22

Insurance Contracts EESA §105(a)(3)(B) 29

Transactions Report EESA §105(a)(3)(C,D,G) 30

Investment Programs 30

Home Affordable Modification Program 77

Projected Costs and Liabilities EESA §105(a)(3)(E) 119

Programmatic Operating Expenses EESA §105(a)(3)(F) 120

Description of Vehicles Established EESA §105(a)(3)(H) 121

HAMP Application Activity by Servicer Dodd-Frank §1483(b) 122

 10 §105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform and 

Consumer Protection Act).
17

Institution Name Location

Public/P

rivate

 Amount 

Outstanding 

Popular, Inc. San Juan, PR Public $ 935,000,000.00

First BanCorp* San Juan, PR Public $ 238,972,285.30

Hampton Roads Bankshares, Inc.* Norfolk, VA Public $ 80,347,000.00

CommunityOne Bancorp* Charlotte, NC Public $ 51,500,000.00

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

Crescent Financial Bancshares, Inc. 
 Cary, NC Public $ 42,849,000.00

Bridgeview Bancorp, Inc. Bridgeview, IL Private $ 38,000,000.00

Porter Bancorp Inc. Louisville, KY Public $ 35,000,000.00

Royal Bancshares of Pennsylvania, Inc. Narberth, PA Public $ 30,407,000.00

First United Corporation Oakland, MD Public $ 30,000,000.00

Spirit BankCorp, Inc. Bristow, OK Private $ 30,000,000.00

Intermountain Community Bancorp Sandpoint, ID Public $ 27,000,000.00

Patriot Bancshares, Inc. Houston, TX Private $ 26,038,000.00

Eastern Virginia Bankshares, Inc. Tappahannock, VA Public $ 24,000,000.00

Central Bancorp, Inc. Garland, TX Private $ 22,500,000.00

Blue Valley Ban Corp Overland Park, KS Public $ 21,750,000.00

BNCCORP, Inc. Bismarck, ND Public $ 20,093,000.00

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

Community First Inc. Columbia, TN Private $ 17,806,000.00

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

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

Northern States Financial Corporation Waukegan, IL Public $ 17,211,000.00

White River Bancshares Company Fayetteville, AR Private $ 16,800,000.00

1st FS Corporation Hendersonville, NC Public $ 16,369,000.00

Pacific City Financial Corporation Los Angeles, CA Public $ 16,200,000.00

Broadway Financial Corporation Los Angeles, CA Private $ 15,000,000.00

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

Equity Bancshares, Inc. Wichita, KS Private $ 14,800,000.00

Village Bank and Trust Financial Corp Midlothian, VA Public $ 14,738,000.00

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

A. Remaining CPP Portfolion Institutions

B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off

C. Institutions in Bankruptcy/Receivership - Currently Not Collectible

A. Remaining CPP Portfolio Institutions

Troubled Asset Relief Program

Capital Purchase Program Institutions

As of September 30, 2013
18

Community Bankers Trust Corporation Glen Allen, VA Public $ 13,180,000.00

Bank of the Carolinas Corporation Mocksville, NC Public $ 13,179,000.00

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

Community First Bancshares, Inc. Harrison, AR Private $ 12,725,000.00

Bankers' Bank of the West Bancorp, Inc. Denver, CO Private $ 12,639,000.00

Meridian Bank Devon, PA Private $ 12,535,000.00

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

Duke Financial Group, Inc. Minneapolis, MN Private $ 12,000,000.00

TCB Holding Company, Texas Community Bank The Woodlands, TX Private $ 11,730,000.00

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

Central Virginia Bankshares, Inc. Powhatan, VA Public $ 11,385,000.00

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

NCAL Bancorp Los Angeles, CA Public $ 10,000,000.00

Greer Bancshares Incorporated Greer, SC Public $ 9,993,000.00

Regent Bancorp, Inc. Davie, FL Public $ 9,982,000.00

Valley Financial Corporation Roanoke, VA Public $ 9,619,000.00

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

Provident Community Bancshares, Inc. Rock Hill, SC Public $ 9,266,000.00

United American Bank San Mateo, CA Public $ 8,700,000.00

Great River Holding Company Baxter, MN Private $ 8,400,000.00

Private Bancorporation, Inc. Minneapolis, MN Private $ 8,222,000.00

Syringa Bancorp Boise, ID Public $ 8,000,000.00

Centrue Financial Corporation Ottowa, IL Public $ 7,402,000.00

Western Community Bancshares, Inc. Palm Desert, CA Private $ 7,290,000.00

Chicago Shore Corporation Chicago, IL Private $ 7,000,000.00

Idaho Bancorp Boise, ID Public $ 6,900,000.00

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

Monarch Community Bancorp, Inc. Coldwater, MI Public $ 6,785,000.00

Highlands Independent Bancshares, Inc. Sebring, FL Private $ 6,700,000.00

Liberty Bancshares, Inc. Fort Worth, TX Private $ 6,500,000.00 Citizens Commerce Bancshares, Inc. Versailles, KY Public $ 6,300,000.00

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

Rising Sun Bancorp Rising Sun, MD Public $ 5,983,000.00

IA Bancorp, Inc. Iselin, NJ Private $ 5,976,000.00

Farmers Bank Windsor, VAPrivate $ 5,689,000.00

Valley Community Bank Pleasanton, CA Public $ 5,500,000.00

Midtown Bank & Trust Company Atlanta, GA Private $ 5,222,000.00

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

Covenant Financial Corporation Clarksdale, MS Private $ 5,000,000.00

Wachusett Financial Services, Inc. Clinton, MA Private $ 5,000,000.00

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

Georgia Primary Bank Atlanta, GA Private $ 4,500,000.00

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

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

Pacific Commerce Bank Los Angeles, CA Public $ 4,060,000.00

Premier Service Bank Riverside, CA Public $ 4,000,000.00
19

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

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

CedarStone Bank Lebanon, TN Private $ 3,564,000.00

AB&T Financial Corporation Gastonia, NC Private $ 3,500,000.00

Madison Financial Corporation Richmond, KY Private $ 3,370,000.00

Citizens First Corporation Bowling Green, KY Public $ 3,265,788.00

Oregon Bancorp, Inc. Salem, OR Public $ 3,216,000.00

Crazy Woman Creek Bancorp, Inc. Buffalo, WY Public $ 3,100,000.00

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

Lone Star Bank Houston, TX Private $ 3,072,000.00

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

Marine Bank & Trust Company Vero Beach, FL Private $ 3,000,000.00

Freeport Bancshares, Inc. Freeport, IL Private $ 3,000,000.00

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

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

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

Bank of George Las Vegas, NV Private $ 2,672,000.00

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

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

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

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

Uwharrie Capital Corp Albemarle, NC Public $ 2,258,000.00

Market Bancorporation, Inc. New Market, MN Private $ 2,060,000.00

Atlantic Bancshares, Inc. Bluffton, SC Public $ 2,000,000.00

BCB Holding Company, Inc. Theodore, AL Private $ 1,706,000.00

Maryland Financial Bank Towson, MD Private $ 1,700,000.00

Union Financial Corporation Albuquerque, NM Private $ 1,579,000.00

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

Riverside Bancshares, Inc. Little Rock, AR Private $ 1,100,000.00

Independence Bank East Greenwich, RI Private $ 1,065,000.00

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

Kirksville Bancorp, Inc. Kirksville, MO Private $ 470,000.00

Institution Name

Bankruptcy/ Receivership 

Date

CIT Group Inc.* 11/1/2009

Pacific Coast National Bancorp 12/17/2009

Anchor Bancorp Wisconsin, Inc.* 9/27/2013

*Institution has exited the bankruptcy/receivership process

$ 104,000,000.00

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

original invesment amount 

B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off

 Realized Loss/ Write-Off 

Amount 

$ 2,330,000,000.00

$ 4,120,000.00
20

Institution Name

Bankruptcy/ Receivership 

Date

UCBH Holdings, Inc. 11/6/2009

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

$ 25,083,000.00

$ 9,500,000.00

$ 1,607,000.00

$ 1,312,000.00

$ 25,000,000.00

$ 72,927,000.00

$ 5,800,000.00

$ 5,500,000.00

$ 83,586,000.00

$ 10,400,000.00

$ 4,114,000.00

$ 30,000,000.00

$ 5,000,000.00

$ 1,300,000.00

$ 825,000.00

$ 7,500,000.00

$ 4,000,000.00

$ 69,000,000.00

C. Institutions in Bankruptcy/Receivership - Currently Not Collectible

 Currently Not Collectible 

Amount 

$ 298,737,000.00

$ 84,784,000.00

$ 8,653,000.00

$ 6,800,000.00

$ 3,800,000.00

$ 5,498,000.00
21

Budget

Object Class (BOC) Budget Object Class Title Obligations Expenditures

Projected

Obligations

Projected

Expenditures

PERSONNEL SERVICES 1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS $ 120,765,753 $ 120,700,959 $ 122,215,000 $ 122,122,000

PERSONNEL SERVICES Total: $ 120,765,753 $ 120,700,959 $ 122,215,000 $ 122,122,000

2100 TRAVEL & TRANSPORTATION OF PERSONS $ 2,355,654 $ 2,340,078 $ 2,356,000 $ 2,340,000

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

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES $ 786,273 $ 711,510 789,000 717,000

2400 PRINTING & REPRODUCTION $ 402 $ 402 500 500

2500 OTHER SERVICES $ 246,865,999 $ 212,080,097 262,713,000 215,008,000

2600 SUPPLIES AND MATERIALS $ 1,828,680 $ 1,624,495 1,829,000 1,624,000

3100 EQUIPMENT $ 253,286 $ 243,907 254,000 244,000

3200 LAND & STRUCTURES $ - $ - - -

4200 INSURANCE CLAIMS & INDEMNITIES $ - $ - - - 

4300 INTEREST & DIVIDENDS $ 634 $ 634 640 640

NON-PERSONNEL SERVICES Total: $ 252,102,888 $ 217,013,083 $ 267,954,140 $ 219,946,140

GRAND TOTAL: $ 372,868,641 $ 337,714,041 $ 390,169,140 $ 342,068,140

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

For Period Ending For Period Ending

September 30, 2013 October 31, 2013

NON-PERSONNEL 

SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expenditures
22

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period September 2013

Date Approved Type of Transaction Vendor Purpose

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

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

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

10/16/2008 Contract PricewaterhouseCoopers LLP-1 Accounting/Internal Controls

10/17/2008 Interagency Agreement Turner Consulting Group, Inc.* Archive Services

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

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

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

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

11/7/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory

11/9/2008 Interagency Agreement Internal Revenue Service Detailee

11/17/2008 Interagency Agreement Internal Revenue Service - CSC Information Technology

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

12/3/2008 Interagency Agreement Trade and Tax Bureau - Treasury Information Technology

12/5/2008 Interagency Agreement Washington Post Administrative Support

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

12/10/2008 Contract Thacher Proffitt & Wood** Legal Advisory

12/15/2008 Interagency Agreement Office of Thrift Supervision Detailee

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

12/22/2008 Interagency Agreement Office of Thrift Supervision Detailees

12/24/2008 Contract Cushman And Wakefield Of Va Inc. Administrative Support

1/6/2009 Interagency Agreement Securities and Exchange Commission Detailee

1/7/2009 Contract Colonial Parking Inc. Parking

1/27/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory
23

Date Approved Type of Transaction Vendor Purpose

1/27/2009 Contract Whitaker Brothers Bus Machines Inc.* Office Machines

1/30/2009 Interagency Agreement Office of the Controller of the Currency Detailee

2/2/2009 Interagency Agreement Government Accountability Office Oversight Services

2/3/2009 Interagency Agreement Internal Revenue Service Detailees

2/9/2009 Contract Pat Taylor & Assoc Inc.* Administrative Support

2/12/2009 Contract Locke Lord Bissell & Liddell LLP Legal Advisory

2/18/2009 Financial Agent Fannie Mae Homeownership Program

2/18/2009 Financial Agent Freddie Mac Homeownership Program

2/20/2009 Interagency Agreement Financial Clerk U.S. Senate Oversight Services

2/20/2009 Interagency Agreement Office of Thrift Supervision Detailees

2/20/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory

2/20/2009 Contract Venable LLP-1 Legal Advisory

2/26/2009 Interagency Agreement Securities and Exchange Commission Detailee

2/27/2009 Interagency Agreement Pension Benefit Guaranty Corp. Legal Services

3/6/2009 Contract The Boston Consulting Group Inc. Financial Advisory

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

3/23/2009 Interagency Agreement Heery International Inc.* Architectural Services

3/30/2009 Contract Bingham Mccutchen LLP Legal Advisory

3/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

3/30/2009 Contract Haynes and Boone LLP Legal Advisory

3/30/2009 Contract McKee Nelson LLP*** Legal Advisory

3/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory

3/31/2009 Contract FI Consulting Inc.* Accounting/Internal Controls

4/3/2009 Interagency Agreement American Furniture Rentals* Administrative Support

4/3/2009 Contract The Boston Consulting Group Inc. Financial Advisory

4/17/2009 Interagency Agreement Bureau of Engraving and Printing Detailee

4/17/2009 Contract Herman Miller Inc. Facilities Support

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

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

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

4/30/2009 Interagency Agreement State Department Detailee

5/5/2009 Interagency Agreement Federal Reserve Board Detailee

5/13/2009 Interagency Agreement Department of Treasury - US Mint Administrative Support
24

Date Approved Type of Transaction Vendor Purpose

5/14/2009 Contract Knowledgebank Inc.* Administrative Support

5/15/2009 Contract Phacil Inc. FOIA Support Services

5/20/2009 Interagency Agreement Securities and Exchange Commission Detailee

5/22/2009 Interagency Agreement Department of Justice - ATF Detailee

5/26/2009 Contract Anderson Mc Coy & Orta* Legal Advisory

5/26/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory

6/9/2009 Interagency Agreement Financial Management Service - Gartner, Inc. Information Technology

6/29/2009 Interagency Agreement Department of Interior Information Technology

7/17/2009 Contract Korn/Ferry International Administrative Support

7/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

7/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory

7/30/2009 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory

8/10/2009 Interagency Agreement Department of Justice Detailee

8/10/2009 Interagency Agreement NASA Detailee

8/18/2009 Contract Mercer (US) Inc. Subscription Services

8/25/2009 Interagency Agreement Department of Justice Detailee

9/2/2009 Contract Knowledge Mosaic Inc.* Administrative Support

9/10/2009 Contract Equilar Inc.* Subscription Services

9/11/2009 Contract PricewaterhouseCoopers LLP-1 Accounting/Internal Controls

9/18/2009 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

9/30/2009 Interagency Agreement IMMIXTECHNOLOGY INC. Information Technology

9/30/2009 Interagency Agreement IMMIXTECHNOLOGY INC. Information Technology

9/30/2009 Contract NNA Inc. Administrative Support

9/30/2009 Contract SNL Financial LC Subscription Services

11/9/2009 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

12/16/2009 Interagency Agreement Internal Revenue Service Detailee

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

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

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

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

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

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

12/22/2009 Financial Agent Paradigm Asset Management Co., LLC* Asset Management Services
25

Date Approved Type of Transaction Vendor Purpose

1/14/2010 Interagency Agreement Government Accountability Office Oversight Services

1/15/2010 Contract Association of Govt Accountants Administrative Support

2/16/2010 Interagency Agreement Internal Revenue Service Detailee

2/16/2010 Contract The Mitre Corporation Information Technology

2/18/2010 Interagency Agreement Bureau of the Public Debt - ARC Information Technology

3/8/2010 Contract Qualx Corporation* FOIA Support Services

3/22/2010 Interagency Agreement Financial Management Services - Gartner, Inc. Information Technology

3/26/2010 Interagency Agreement Federal Maritime Commission (FMC) Detailee

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

4/2/2010 Interagency Agreement Financial Clerk U.S. Senate Oversight Services

4/8/2010 Contract Squire Sanders & Dempsey LLP Legal Advisory

4/12/2010 Contract Ennis Knupp & Associates Inc. Financial Advisory

4/22/2010 Contract Digital Management Inc.* Information Technology

4/22/2010 Contract Microlink Llc Information Technology

4/23/2010 Contract RDA Corporation* Information Technology

5/4/2010 Interagency Agreement Internal Revenue Service Administrative Support

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

6/24/2010 Contract Reed Elsevier Inc. (dba LexisNexis) Subscription Services

6/30/2010 Contract The George Washington University Administrative Support

7/21/2010 Contract Navigant Consulting Inc. Compliance

7/21/2010 Contract Regis & Associates PC* Compliance

7/22/2010 Contract Ernst & Young LLP Compliance

7/22/2010 Contract PricewaterhouseCoopers LLP-1 Compliance

7/22/2010 Contract Schiff Hardin LLP Legal Advisory

7/27/2010 Contract West Publishing Corporation Administrative Support

8/6/2010 Contract Alston & Bird LLP Legal Advisory

8/6/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory

8/6/2010 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory

8/6/2010 Contract Haynes and Boone LLP Legal Advisory

8/6/2010 Contract Hughes Hubbard & Reed LLP Legal Advisory

8/6/2010 Contract Love & Long LLP* Legal Advisory

8/6/2010 Contract Orrick Herrington Sutcliffe LLP Legal Advisory

8/6/2010 Contract Paul Weiss Rfknd Whrtn & Grrsn LLP Legal Advisory
26

Date Approved Type of Transaction Vendor Purpose

8/6/2010 Contract Perkins Coie LLP Legal Advisory

8/6/2010 Contract Seyfarth Shaw LLP Legal Advisory

8/6/2010 Contract Shulman Rgrs Gndl Pordy & Ecker Pa Legal Advisory

8/6/2010 Contract Sullivan Cove Reign Enterprises JV* Legal Advisory

8/6/2010 Contract Venable LLP-1 Legal Advisory

8/12/2010 Contract Knowledge Mosaic Inc.* Administrative Support

8/30/2010 Interagency Agreement Department of Housing and Urban Development Detailee

9/1/2010 Contract CQ-Roll Call Inc. Administrative Support

9/17/2010 Contract Bingham Mccutchen LLP Legal Advisory

9/27/2010 Contract Davis Audrey Robinette* Administrative Support

9/30/2010 Contract CCH Incorporated Administrative Support

10/1/2010 Interagency Agreement Financial Clerk U.S. Senate Oversight Services

10/8/2010 Contract Management Concepts Inc.**** Administrative Support

10/14/2010 Contract Hispanic Assoc Of Coll & Univ* Detailees

10/26/2010 Interagency Agreement Government Accountability Office Oversight Services

11/8/2010 Contract The Mitre Corporation* Information Technology

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

12/2/2010 Contract Addx Corporation* Acquisition Support Services

12/29/2010 Contract Reed Elsevier Inc. (dba LexisNexis) Subscription Services

1/5/2011 Interagency Agreement Canon U.S.A. Inc. Administrative Support

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

1/24/2011 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

1/26/2011 Contract Association of Govt Accountants Administrative Support

2/24/2011 Contract ESI International Inc. Administrative Support

2/28/2011 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support

3/3/2011 Contract Equilar Inc.* Subscription Services

3/10/2011 Contract Mercer (US) Inc. Administrative Support

3/22/2011 Contract Harrison Scott Publications Subscription Services

3/28/2011 Interagency Agreement Fox News Network LLC Litigation Settlement

4/20/2011 Interagency Agreement Federal Reserve Bank of New York Financial Reporting

4/26/2011 Contract PricewaterhouseCoopers LLP-1 Financial Services

4/27/2011 Contract Oculus Group Inc.* Financial Services

4/27/2011 Contract MorganFranklin Corporation Financial Services
27

Date Approved Type of Transaction Vendor Purpose

4/27/2011 Contract Lani Eko & Company CPAs LLC* Financial Services

4/27/2011 Contract FI Consulting Inc.* Financial Services

4/27/2011 Contract Ernst & Young LLP Financial Services

4/27/2011 Contract ASR Analytics LLC* Financial Services

4/28/2011 Contract Booz Allen Hamilton Inc. Financial Services

4/28/2011 Contract KPMG LLP Financial Services

4/28/2011 Interagency Agreement Office of Personnel Management Training

5/31/2011 Contract Reed Elsevier Inc. (dba LexisNexis) Subscription Services

5/31/2011 Contract West Publishing Corporation Subscription Services

6/9/2011 Contract CQ-Roll Call Inc. Subscription Services

6/9/2011 Contract ESI International Inc. Administrative Support

6/17/2011 Contract Winvale Group LLC Subscription Services

7/28/2011 Interagency Agreement Internal Revenue Service Legal Services

9/9/2011 Interagency Agreement Financial Management Service Interns

9/12/2011 Contract ADC LTD NM Legal Services

9/15/2011 Contract ABMI - All Business Machines, Inc.***** Administrative Support

9/29/2011 Contract Knowledge Mosaic Inc.* Administrative Support

9/29/2011 Interagency Agreement Department of Interior Information Technology

10/4/2011 Interagency Agreement Internal Revenue Service Detailee

10/20/2011 Contract ABMI - All Business Machines, Inc.***** Administrative Support

11/18/2011 Contract Qualx Corporation* FOIA Support Services

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

12/20/2011 Contract Allison Group LLC* Training

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

12/30/2011 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

1/4/2012 Interagency Agreement Government Accountability Office Administrative Support

1/5/2012 Interagency Agreement Office of Personnel Management Training

2/2/2012 Contract Moody's Analytics Inc. Subscription Services

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

2/14/2012 Contract Association of Govt Accountants Administrative Support

2/27/2012 Contract Diversified Search LLC Financial Advisory

3/6/2012 Contract Integrated Federal Solutions, Inc.* Acquisition Support Services

3/14/2012 Interagency Agreement Department of Interior Information Technology
28

Date Approved Type of Transaction Vendor Purpose

3/30/2012 Contract E-Launch Multimedia, Inc. Administrative Support

5/10/2012 Contract Equilar Inc.* Subscription Services

6/12/2012 Interagency Agreement Department of Justice Legal Services

6/15/2012 Contract Qualx Corporation* Administrative Support

6/30/2012 Contract West Publishing Corporation Subscription Services

7/26/2012 Contract Knowledge Mosaic Inc.* Administrative Support

8/1/2012 Interagency Agreement Internal Revenue Service Training

8/3/2012 Contract Harrison Scott Publications Subscription Services

9/8/2012 Contract SNL Financial LC Subscription Services

9/26/2012 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

11/19/2012 Interagency Agreement Government Accountability Office Oversight Services

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

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

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

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

2/13/2013 Contract Mercer (US) Inc. Administrative Support

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

3/16/2013 Contract Bloomberg Finance L.P. Subscription Services

3/7/2013 Interagency Agreement Department of Housing and Urban Development Research and analysis

3/28/2013 Interagency Agreement Treasury Acquisition Institute Training

5/1/2013 Interagency Agreement Internal Revenue Service Detailee

5/10/2013 Contract Equilar Inc.* Data Subscription Services

6/13/2013 Contract West Publishing Corporation Subscription Services

8/1/2013 Contract Evolution Management, Inc. Training

8/28/2013 Interagency Agreement Bureau of the Public Debt - ARC Administrative Support

9/26/2013 Contract SNL Financial LC Subscription Services

* Small or Women-, or Minority-Owned Small Business

**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.

***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.

**** Previously listed separate contracts for various training.
29

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending September 30, 2013

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. 
30

*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

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

11 1ST CONSTITUTION BANCORP CRANBURY NJ 23-Dec-08 Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in full; warrants not outstanding

1ST CONSTITUTION BANCORP CRANBURY NJ 27-Oct-10 $12,000,000.00 12,000 $1,000.00

1ST CONSTITUTION BANCORP CRANBURY NJ 22-Nov-11 $326,576.00 231,782

8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 13-Feb-09 Preferred Stock w/ Warrants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, in full; warrants not outstanding

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

1ST ENTERPRISE BANK LOS ANGELES CA 1-Sep-11 $10,400,000.00 10,400 $1,000.00 $220,000.00 220

1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 14-Nov-08 Preferred Stock w/ Warrants $16,369,000.00 $16,369,000.00 $1,229,948.97 Full investment outstanding; warrants outstanding

11 1ST SOURCE CORPORATION SOUTH BEND IN 23-Jan-09 Preferred Stock w/ Warrants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, in full; warrants not outstanding

1ST SOURCE CORPORATION SOUTH BEND IN 29-Dec-10 $111,000,000.00 111,000 $1,000.00

1ST SOURCE CORPORATION SOUTH BEND IN 9-Mar-11 $3,750,000.00 837,947

11,8,14 1ST UNITED BANCORP, INC. BOCA RATON FL 13-Mar-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, in full; warrants not outstanding

1ST UNITED BANCORP, INC. BOCA RATON FL 18-Nov-09 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

AB&T FINANCIAL CORPORATION GASTONIA NC 23-Jan-09 Preferred Stock w/ Warrants $3,500,000.00 $3,500,000.00 $360,694.44 Full investment outstanding; warrants outstanding

44,8,14 ADBANC, INC. OGALLALA NE 30-Jan-09 Preferred Stock w/ Exercised Warrants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, in full; warrants not outstanding

ADBANC, INC. OGALLALA NE 21-Jul-11 $12,720,000.00 12,720 $1,000.00 $636,000.00 636

8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 23-Jan-09 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 $7,674,004.73 Sold, in full; warrants not outstanding

ALARION FINANCIAL SERVICES, INC. OCALA FL 19-Jul-13 $877,729.70 893 $982.90 ($15,270.30)

ALARION FINANCIAL SERVICES, INC. OCALA FL 22-Jul-13 $5,524,880.90 5,621 $982.90 ($96,119.10) $337,363.35 326

ALARION FINANCIAL SERVICES, INC. OCALA FL 12-Sep-13 ($64,026.11)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 6-Feb-09 Preferred Stock w/ Warrants $4,781,000.00 $0.00 $5,130,973.44 Sold, in full; warrants outstanding

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 28-Nov-12 $208,870.74 234 $892.60 ($25,129.26)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 29-Nov-12 $4,058,697.67 4,547 $892.60 ($488,302.33)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11-Jan-13 ($42,675.67)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 26-Mar-13 ($7,324.33)

ALLIANCE BANCSHARES, INC. DALTON GA 26-Jun-09 Preferred Stock w/ Exercised Warrants $2,986,000.00 $0.00 $3,581,397.27 Sold, in full; warrants not outstanding

ALLIANCE BANCSHARES, INC. DALTON GA 27-Mar-13 $94,153.69 101

ALLIANCE BANCSHARES, INC. DALTON GA 28-Mar-13 $2,856,437.46 2,986 $956.60 ($129,562.54) $44,746.31 48

ALLIANCE BANCSHARES, INC. DALTON GA 9-Apr-13 ($25,000.00)

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 19-Dec-08 Preferred Stock w/ Warrants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, in full; warrants not outstanding

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 13-May-09 $26,918,000.00 26,918 $1,000.00

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 17-Jun-09 $900,000.00 173,069

15,14 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $9,806,136.60 Sold, in full; warrants not outstanding

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6-Feb-13 $3,375,945.00 4,500,000 $0.75 ($1,124,055.00)

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 7-Feb-13 $5,626,575.00 7,500,000 $0.75 ($1,873,425.00) $504,900.00 600,000

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26-Mar-13 ($90,025.20)

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

8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 27-Mar-09 Preferred Stock w/ Exercised Warrants $70,000,000.00 $0.00 $73,129,160.69 Sold, in full; warrants not outstanding

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 18-Sep-12 $280,115.76 344 $814.30 ($63,884.24)

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 19-Sep-12 $6,559,920.24 8,056 $814.30 ($1,496,079.76)

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 20-Sep-12 $50,160,264.00 61,600 $814.30 ($11,439,736.00) $3,291,750.00 3,500

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 16-Nov-12 ($570,003.00)

45,8,14 AMB FINANCIAL CORPORATION MUNSTER IN 30-Jan-09 Preferred Stock w/ Exercised Warrants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, in full; warrants not outstanding

AMB FINANCIAL CORPORATION MUNSTER IN 22-Sep-11 $3,674,000.00 3,674 $1,000.00 $184,000.00 184

44,8,14 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKCOLLINSVILLE OK 6-Mar-09 Preferred Stock w/ Exercised Warrants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, in full; warrants not outstanding

AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKCOLLINSVILLE OK 15-Sep-11 $2,492,000.00 2,492 $1,000.00 $125,000.00 125

11 AMERICAN EXPRESS COMPANY NEW YORK NY 9-Jan-09 Preferred Stock w/ Warrants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, in full; warrants not outstanding

AMERICAN EXPRESS COMPANY NEW YORK NY 17-Jun-09 $3,388,890,000.00 3,388,890 $1,000.00

AMERICAN EXPRESS COMPANY NEW YORK NY 29-Jul-09 $340,000,000.00 24,264,129

11,8,14 AMERICAN PREMIER BANCORP ARCADIA CA 29-May-09 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, in full; warrants not outstanding

AMERICAN PREMIER BANCORP ARCADIA CA 26-Jan-11 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

11,8,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 9-Jan-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, in full; warrants not outstanding

AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 2-Nov-11 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

AMERIS BANCORP MOULTRIE GA 21-Nov-08 Preferred Stock w/ Warrants $52,000,000.00 $0.00 $59,637,438.67 Sold, in full; warrants not outstanding

AMERIS BANCORP MOULTRIE GA 19-Jun-12 $48,391,200.00 ($725,868.00) 52,000 $930.60 ($3,608,800.00)

AMERIS BANCORP MOULTRIE GA 22-Aug-12 $2,670,000.00 698,554

45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 19-Dec-08 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, in full; warrants not outstanding

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11-Aug-11 $21,000,000.00 21,000 $1,000.00

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 2-Nov-11 $825,000.00 1,312,500

15,14 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 21-Aug-09 Subordinated Debentures w/ Exercised Warrants $5,000,000.00 $0.00 $6,523,255.00 Sold, in full; warrants not outstanding

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 26-Mar-13 $359,040.00 374,000 $0.96 ($14,960.00)

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 27-Mar-13 $2,112,000.00 2,200,000 $0.96 ($88,000.00)

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 28-Mar-13 $2,328,960.00 2,426,000 $0.96 ($97,040.00) $259,875.00 250,000

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 9-Apr-13 ($48,000.00)

94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 30-Jan-09 Preferred Stock w/ Warrants $110,000,000.00 $0.00 $6,000,000.00 Exited bankruptcy/receivership

ANCHOR BANCORP WISCONSIN, INC. MADISON WI 27-Sep-13 $6,000,000.00 60,000,000 $0.10 ($104,000,000.00)

11,90 ANNAPOLIS BANCORP, INC. ANNAPOLIS MD 30-Jan-09 Preferred Stock w/ Warrants $8,152,000.00 $0.00 $9,643,136.33 Redeemed, in full; warrants outstanding

This copy of the Transactions Report is subject to the terms and conditions of download as stated at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/default.aspx. 

Currently not collectible - investment is currently not collectible; therefore there is no outstanding 

investment and a corresponding (Realized Loss) / (Write-off)

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

any exercised warrants

In full – all of Treasury’s investment amount

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

CAPITAL PURCHASE PROGRAM

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending September 30, 2013

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5

Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock 

through various means as described in the Warrant Report (such as sale back to company and 

auctions) or Treasury did not receive a warrant to purchase additional stock

FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*
31

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

ANNAPOLIS BANCORP, INC. ANNAPOLIS MD 18-Apr-12 $4,076,000.00 4,076 $1,000.00

ANNAPOLIS BANCORP, INC. ANNAPOLIS MD 6-Mar-13 $4,076,000.00 4,076 $1,000.00

11 ASSOCIATED BANC-CORP GREEN BAY WI 21-Nov-08 Preferred Stock w/ Warrants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, in full; warrants not outstanding

ASSOCIATED BANC-CORP GREEN BAY WI 6-Apr-11 $262,500,000.00 262,500 $1,000.00

ASSOCIATED BANC-CORP GREEN BAY WI 14-Sep-11 $262,500,000.00 262,500 $1,000.00

ASSOCIATED BANC-CORP GREEN BAY WI 6-Dec-11 $3,435,005.65 3,983,308

8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 29-Dec-09 Preferred Stock w/ Exercised Warrants $2,000,000.00 $2,000,000.00 $122,724.78 Full investment outstanding; warrants outstanding

44,8,14 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 27-Feb-09 Preferred Stock w/ Exercised Warrants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, in full; warrants not outstanding

AVENUE FINANCIAL HOLDINGS NASHVILLE TN 15-Sep-11 $7,400,000.00 7,400 $1,000.00 $370,000.00 370

11 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 30-Jan-09 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, in full; warrants not outstanding

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 31-Jul-13 $6,000,000.00 6,000 $1,000.00

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 28-Aug-13 $190,781.12 81,670

8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 13-Mar-09 Preferred Stock w/ Exercised Warrants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, in full; warrants not outstanding

BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 14-Jul-11 $21,100,000.00 21,100 $1,000.00 $1,055,000.00 1,055

8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 10-Jul-09 Preferred Stock w/ Exercised Warrants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, in full; warrants not outstanding

BANCORP FINANCIAL, INC. OAK BROOK IL 18-Aug-11 $13,669,000.00 13,669 $1,000.00 $410,000.00 410

11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 19-Dec-08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, in full; warrants not outstanding

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 5-Aug-09 $30,000,000.00 30,000 $1,000.00

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 30-Sep-09 $1,400,000.00 192,967

11,8,14 BANCPLUS CORPORATION RIDGELAND MS 20-Feb-09 Preferred Stock w/ Exercised Warrants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, in full; warrants not outstanding

BANCPLUS CORPORATION RIDGELAND MS 29-Sep-10 $48,000,000.00 48,000 $1,000.00 $2,400,000.00 2,400

8,14 BANCSTAR, INC. FESTUS MO 3-Apr-09 Preferred Stock w/ Exercised Warrants $8,600,000.00 $0.00 $10,701,460.58 Sold, in full; warrants not outstanding

BANCSTAR, INC. FESTUS MO 26-Apr-13 $98,267.00 100 $982.70 ($1,733.00)

BANCSTAR, INC. FESTUS MO 29-Apr-13 $8,352,695.00 8,500 $982.70 ($147,305.00) $426,338.55 430

BANCSTAR, INC. FESTUS MO 31-May-13 ($84,509.62)

83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 19-Dec-08 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, in full; warrants not outstanding

BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 15-Feb-13 $50,000,000.00 50,000 $1,000.00 $15,000.00 730,994

8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 14-Aug-09 Preferred Stock w/ Exercised Warrants $1,004,000.00 $0.00 $1,114,680.76 Sold, in full; warrants not outstanding

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 19-Dec-12 $451,600.92 486 $929.20 ($34,399.08)

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 20-Dec-12 $481,335.96 518 $929.20 ($36,664.04) $23,500.00 50

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 11-Jan-13 ($9,329.37)

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 26-Mar-13 ($15,670.63)

6,7,11 BANK OF AMERICA CHARLOTTE NC 28-Oct-08 Preferred Stock w/ Warrants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, in full; warrants not outstanding

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

BANK OF AMERICA CHARLOTTE NC 9-Dec-09 $25,000,000,000.00 1,000,000 $25,000.00

BANK OF AMERICA CHARLOTTE NC 9-Mar-10 $305,913,040.28 121,792,790

8,14 BANK OF COMMERCE CHARLOTTE NC 16-Jan-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,087,573.33 Sold, in full; warrants not outstanding

BANK OF COMMERCE CHARLOTTE NC 30-Nov-12 $2,502,000.00 3,000 $834.00 ($498,000.00) $100,100.00 150

BANK OF COMMERCE CHARLOTTE NC 11-Jan-13 ($25,000.00)

44 BANK OF COMMERCE HOLDINGS REDDING CA 14-Nov-08 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, in full; warrants not outstanding

BANK OF COMMERCE HOLDINGS REDDING CA 27-Sep-11 $17,000,000.00 17,000 $1,000.00

BANK OF COMMERCE HOLDINGS REDDING CA 26-Oct-11 $125,000.00 405,405

8 BANK OF GEORGE LAS VEGAS NV 13-Mar-09 Preferred Stock w/ Exercised Warrants $2,672,000.00 $2,672,000.00 $279,991.00 Full investment outstanding; warrants outstanding

11 BANK OF MARIN BANCORP NOVATO CA 5-Dec-08 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, in full; warrants not outstanding

BANK OF MARIN BANCORP NOVATO CA 31-Mar-09 $28,000,000.00 28,000 $1,000.00

BANK OF MARIN BANCORP NOVATO CA 23-Nov-11 $1,703,984.00 154,908

11 BANK OF NEW YORK MELLON NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, in full; warrants not outstanding

BANK OF NEW YORK MELLON NEW YORK NY 17-Jun-09 $3,000,000,000.00 3,000,000 $1,000.00

BANK OF NEW YORK MELLON NEW YORK NY 5-Aug-09 $136,000,000.00 14,516,129

BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 17-Apr-09 Preferred Stock w/ Warrants $13,179,000.00 $13,179,000.00 $1,039,677.00 Full investment outstanding; warrants outstanding

11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12-Dec-08 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, in full; warrants not outstanding

BANK OF THE OZARKS, INC. LITTLE ROCK AR 4-Nov-09 $75,000,000.00 75,000 $1,000.00

BANK OF THE OZARKS, INC. LITTLE ROCK AR 24-Nov-09 $2,650,000.00 379,811

8 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 30-Jan-09 Preferred Stock w/ Exercised Warrants $12,639,000.00 $12,639,000.00 $3,253,650.85 Full investment outstanding; warrants outstanding

44,8,14 BANKFIRST CAPITAL CORPORATION MACON MS 23-Jan-09 Preferred Stock w/ Exercised Warrants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, in full; warrants not outstanding

BANKFIRST CAPITAL CORPORATION MACON MS 8-Sep-11 $15,500,000.00 15,500 $1,000.00 $775,000.00 775

8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $1,100,653.50 Sold, in full; warrants not outstanding

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 9-Nov-12 $900,000.00 1,000 $900.00 ($100,000.00) $21,880.50 50

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11-Jan-13 ($9,000.00)

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 26-Mar-13 ($16,000.00)

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 21-Nov-08 Preferred Stock w/ Warrants $124,000,000.00 $0.00 $129,079,862.47 Sold, in full; warrants not outstanding

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 3-Apr-12 $109,717,680.00 ($1,645,765.20) 124,000 $884.80 ($14,282,320.00)

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 12-Jun-13 $134,201.00 243,998

44,8,14 BANNER COUNTY BAN CORPORATION HARRISBURG NE 6-Feb-09 Preferred Stock w/ Exercised Warrants $795,000.00 $0.00 $942,411.42 Redeemed, in full; warrants not outstanding

BANNER COUNTY BAN CORPORATION HARRISBURG NE 28-Jul-11 $795,000.00 795 $1,000.00 $40,000.00 4

12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 16-Jan-09 Preferred Stock w/ Warrants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, in full; warrants not outstanding

BAR HARBOR BANKSHARES BAR HARBOR ME 24-Feb-10 $18,751,000.00 18,751 $1,000.00

BAR HARBOR BANKSHARES BAR HARBOR ME 28-Jul-10 $250,000.00 52,455

11 BB&T CORP. WINSTON-SALEM NC 14-Nov-08 Preferred Stock w/ Warrants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, in full; warrants not outstanding

BB&T CORP. WINSTON-SALEM NC 17-Jun-09 $3,133,640,000.00 3,134 $1,000,000.00

BB&T CORP. WINSTON-SALEM NC 22-Jul-09 $67,010,401.86 13,902,573

8 BCB HOLDING COMPANY, INC. THEODORE AL 3-Apr-09 Preferred Stock w/ Exercised Warrants $1,706,000.00 $1,706,000.00 $173,507.50 Full investment outstanding; warrants outstanding

11 BCSB BANCORP, INC. BALTIMORE MD 23-Dec-08 Preferred Stock w/ Warrants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, in full; warrants not outstanding

BCSB BANCORP, INC. BALTIMORE MD 26-Jan-11 $10,800,000.00 10,800 $1,000.00

BCSB BANCORP, INC. BALTIMORE MD 19-Apr-13 $1,442,000.00 183,465

11,8,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 30-Jan-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, in full; warrants not outstanding

BEACH BUSINESS BANK MANHATTAN BEACH CA 6-Jul-11 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 19-Oct-11 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 7-Mar-12 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 6-Jun-12 $1,200,000.00 1,200 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 27-Jun-12 $300,000.00 300 $1,000.00 $300,000.00 300

11,14,8 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12-Jun-09 Preferred Stock w/ Exercised Warrants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, in full; warrants not outstanding

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 19-Sep-11 $0.00 2,892 $1,000.00

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 28-Dec-11 $2,892,000.00 2,892 $1,000.00 $145,000.00 145

11 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 19-Dec-08 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, in full; warrants not outstanding

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 27-May-09 $40,000,000.00 40,000 $1,000.00
32

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 24-Jun-09 $1,040,000.00 226,330

44,8,14 BERN BANCSHARES, INC. BERN KS 13-Feb-09 Preferred Stock w/ Exercised Warrants $985,000.00 $0.00 $1,172,062.50 Redeemed, in full; warrants not outstanding

BERN BANCSHARES, INC. BERN KS 1-Sep-11 $985,000.00 985 $1,000.00 $50,000.00 5

8,14,18,44 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 24-Apr-09 Preferred Stock w/ Exercised Warrants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, in full; warrants not outstanding

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

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 28-Jul-11 $3,379,000.00 3,379 $1,000.00 $82,000.00 82

15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $6,400,000.00 $0.00 $8,271,975.28 Sold, in full; warrants not outstanding

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 7-Feb-13 $2,532,140.00 2,600,000 $0.97 ($67,860.00) $64,158.97 64,000

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 8-Feb-13 $3,700,820.00 3,800,000 $0.97 ($99,180.00) $140,347.75 140,000

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 26-Mar-13 ($62,329.60)

8,14 BLACKHAWK BANCORP, INC. BELOIT WI 13-Mar-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,459,461.11 Sold, in full; warrants not outstanding

BLACKHAWK BANCORP, INC. BELOIT WI 29-Oct-12 $186,550.00 205 $910.00 ($18,450.00)

BLACKHAWK BANCORP, INC. BELOIT WI 31-Oct-12 $8,913,450.00 9,795 $910.00 ($881,550.00) $470,250.00 500

BLACKHAWK BANCORP, INC. BELOIT WI 11-Jan-13 ($91,000.00)

14,8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 22-May-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, in full; warrants not outstanding

BLACKRIDGE FINANCIAL, INC. FARGO ND 27-Jun-12 $2,250,000.00 2,250 $1,000.00

BLACKRIDGE FINANCIAL, INC. FARGO ND 12-Sep-12 $2,750,000.00 2,750 $1,000.00 $250,000.00 250

8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 6-Mar-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $11,938,437.34 Sold, in full; warrants not outstanding

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 29-Oct-12 $19,630.00 26 $755.00 ($6,370.00)

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 31-Oct-12 $9,040,370.00 11,974 $755.00 ($2,933,630.00) $541,793.34 600

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 11-Jan-13 ($90,600.00)

8,64,97 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 6-Mar-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $529,105.00 Currently not collectible

BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 10-Feb-12 ($5,000,000.00)

BLUE VALLEY BAN CORP OVERLAND PARK KS 5-Dec-08 Preferred Stock w/ Warrants $21,750,000.00 $21,750,000.00 $211,458.33 Full investment outstanding; warrants outstanding

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 17-Apr-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, in full; warrants not outstanding

BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 30-Aug-13 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

BNC BANCORP THOMASVILLE NC 5-Dec-08 Preferred Stock w/ Warrants $31,260,000.00 $0.00 $35,140,666.12 Sold, in full; warrants not outstanding

BNC BANCORP THOMASVILLE NC 29-Aug-12 $28,797,649.80 ($431,964.75) 31,260 $921.20 ($2,462,350.20)

BNC BANCORP THOMASVILLE NC 19-Sep-12 $939,920.00 543,337

44,8,14 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 27-Feb-09 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, in full; warrants not outstanding

BNC FINANCIAL GROUP, INC. NEW CANAAN CT 4-Aug-11 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

8 BNCCORP, INC. BISMARCK ND 16-Jan-09 Preferred Stock w/ Exercised Warrants $20,093,000.00 $20,093,000.00 $5,315,784.22 Full investment outstanding; warrants outstanding

44,8,14 BOH HOLDINGS, INC. HOUSTON TX 6-Mar-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, in full; warrants not outstanding

BOH HOLDINGS, INC. HOUSTON TX 14-Jul-11 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

15,14 BOSCOBEL BANCORP, INC. BOSCOBEL WI 15-May-09 Subordinated Debentures w/ Exercised Warrants $5,586,000.00 $0.00 $6,947,457.50 Sold, in full; warrants not outstanding

BOSCOBEL BANCORP, INC. BOSCOBEL WI 8-Mar-13 $232,180.54 179,000

BOSCOBEL BANCORP, INC. BOSCOBEL WI 11-Mar-13 $5,586,000.00 5,586,000 $1.11 $592,730.46 $129,709.80 100,000

BOSCOBEL BANCORP, INC. BOSCOBEL WI 9-Apr-13 ($61,787.30)

11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 21-Nov-08 Preferred Stock w/ Warrants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, in full; warrants not outstanding

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 13-Jan-10 $50,000,000.00 50,000 $1,000.00

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 16-Jun-10 $104,000,000.00 104,000 $1,000.00

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 7-Feb-11 $6,202,523.25 2,887,500

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23-Dec-08 Preferred Stock w/ Warrants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, in full; warrants not outstanding

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23-Feb-11 $15,000,000.00 15,000 $1,000.00

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 16-Mar-11 $8,864,000.00 8,864 $1,000.00

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 20-Apr-11 $1,395,000.00 396,412

8 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19-Dec-08 Preferred Stock w/ Exercised Warrants $38,000,000.00 $38,000,000.00 $2,393,155.56 Full investment outstanding; warrants outstanding

9,10,18,65,96 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 14-Nov-08 Preferred Stock w/ Warrants $9,000,000.00 $15,000,000.00 $810,416.67 Full investment outstanding; warrants not outstanding

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

15,14 BROGAN BANKSHARES, INC. KAUKAUNA WI 15-May-09 Subordinated Debentures w/ Exercised Warrants $2,400,000.00 $0.00 $3,022,879.60 Sold, in full; warrants not outstanding

BROGAN BANKSHARES, INC. KAUKAUNA WI 26-Apr-13 $60,000.00 60,000 $1.05 $3,000.60

BROGAN BANKSHARES, INC. KAUKAUNA WI 29-Apr-13 $2,340,000.00 2,340,000 $1.05 $117,023.40 $125,135.60 120,000

BROGAN BANKSHARES, INC. KAUKAUNA WI 31-May-13 ($25,000.00)

8,44,14 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 17-Jul-09 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, in full; warrants not outstanding

BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 15-Sep-11 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

11,8,14 BUSINESS BANCSHARES, INC. CLAYTON MO 24-Apr-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, in full; warrants not outstanding

BUSINESS BANCSHARES, INC. CLAYTON MO 23-May-12 $6,000,000.00 6,000 $1,000.00

BUSINESS BANCSHARES, INC. CLAYTON MO 9-Jan-13 $2,500,000.00 2,500 $1,000.00

BUSINESS BANCSHARES, INC. CLAYTON MO 24-Apr-13 $6,500,000.00 6,500 $1,000.00 $750,000.00 750

11,8,14 BUTLER POINT, INC. CATLIN IL 13-Mar-09 Preferred Stock w/ Exercised Warrants $607,000.00 $0.00 $724,123.53 Redeemed, in full; warrants not outstanding

BUTLER POINT, INC. CATLIN IL 2-Nov-11 $607,000.00 607 $1,000.00 $30,000.00 30

11 C&F FINANCIAL CORPORATION WEST POINT VA 9-Jan-09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,902,777.78 Redeemed, in full; warrants outstanding

C&F FINANCIAL CORPORATION WEST POINT VA 27-Jul-11 $10,000,000.00 10,000 $1,000.00

C&F FINANCIAL CORPORATION WEST POINT VA 11-Apr-12 $10,000,000.00 10,000 $1,000.00

8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, in full; warrants not outstanding

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

CACHE VALLEY BANKING COMPANY LOGAN UT 14-Jul-11 $9,407,000.00 9,407 $1,000.00 $238,000.00 238

CADENCE FINANCIAL CORPORATION STARKVILLE MS 9-Jan-09 Preferred Stock w/ Warrants $44,000,000.00 $0.00 $41,984,062.50 Sold, in full; warrants not outstanding

CADENCE FINANCIAL CORPORATION STARKVILLE MS 4-Mar-11 $38,000,000.00 44,000 $863.60 ($6,000,000.00)

44,8,14 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 27-Feb-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in full; warrants not outstanding

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 15-Sep-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

11,8,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in full; warrants not outstanding

CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 8-Dec-10 $3,300,000.00 3,300 $1,000.00 $165,000.00 165

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

8 CALWEST BANCORP RANCHO SANTA MARGARI CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $4,656,000.00 $4,656,000.00 $396,163.67 Full investment outstanding; warrants outstanding

11,8,14 CAPITAL BANCORP, INC. ROCKVILLE MD 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, in full; warrants not outstanding

CAPITAL BANCORP, INC. ROCKVILLE MD 30-Dec-10 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

39 CAPITAL BANK CORPORATION RALEIGH NC 12-Dec-08 Preferred Stock w/ Warrants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, in full; warrants not outstanding

CAPITAL BANK CORPORATION RALEIGH NC 28-Jan-11 $41,279,000.00 41,279 $1,000.00

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

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 14-Nov-08 Preferred Stock w/ Warrants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, in full; warrants not outstanding

CAPITAL ONE FINANCIAL CORP MCLEAN VA 17-Jun-09 $3,555,199,000.00 3,555,199 $1,000.00

CAPITAL ONE FINANCIAL CORP MCLEAN VA 9-Dec-09 $146,500,064.55 12,657,960

8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,742,850.89 Sold, in full; warrants not outstanding

CAPITAL PACIFIC BANCORP PORTLAND OR 8-Nov-12 $247,727.04 264 $938.40 ($16,272.96)

CAPITAL PACIFIC BANCORP PORTLAND OR 9-Nov-12 $3,505,712.96 3,736 $938.40 ($230,287.04) $169,042.00 200
33

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

CAPITAL PACIFIC BANCORP PORTLAND OR 11-Jan-13 ($25,000.00)

15,45,14 CARDINAL BANCORP II, INC. WASHINGTON MO 23-Oct-09 Subordinated Debentures w/ Exercised Warrants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, in full; warrants not outstanding

CARDINAL BANCORP II, INC. WASHINGTON MO 8-Sep-11 $6,251,000.00 6,251,000 $1.00 $313,000.00 313,000

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 9-Jan-09 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $19,941,788.94 Sold, in full; warrants not outstanding

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 20-Feb-13 $14,525,843.40 15,534 $935.10 ($1,008,156.60)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 21-Feb-13 $435,756.60 466 $935.10 ($30,243.40)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 26-Mar-13 ($149,616.00)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 19-Apr-13 $1,800,000.00 357,675

CAROLINA TRUST BANK LINCOLNTON NC 6-Feb-09 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,994,452.00 Sold, in full; warrants not outstanding

CAROLINA TRUST BANK LINCOLNTON NC 30-Nov-12 $3,412,000.00 4,000 $853.00 ($588,000.00)

CAROLINA TRUST BANK LINCOLNTON NC 11-Jan-13 ($34,120.00)

CAROLINA TRUST BANK LINCOLNTON NC 26-Mar-13 ($15,880.00)

CAROLINA TRUST BANK LINCOLNTON NC 11-Jun-13 $19,132.00 86,957

11 CARROLLTON BANCORP BALTIMORE MD 13-Feb-09 Preferred Stock w/ Warrants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, in full; warrants not outstanding

CARROLLTON BANCORP BALTIMORE MD 19-Apr-13 $9,201,000.00 9,201 $1,000.00 $213,594.16 205,379

11,9,36 CARVER BANCORP, INC. NEW YORK NY 16-Jan-09 Preferred Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, in full; warrants not outstanding

CARVER BANCORP, INC. NEW YORK NY 27-Aug-10 $18,980,000.00 18,980 $1,000.00

CASCADE FINANCIAL CORPORATION EVERETT WA 21-Nov-08 Preferred Stock w/ Warrants $38,970,000.00 $0.00 $17,678,900.00 Sold, in full; warrants not outstanding

CASCADE FINANCIAL CORPORATION EVERETT WA 30-Jun-11 $16,250,000.00 38,970 $417.00 ($22,720,000.00)

11 CATHAY GENERAL BANCORP LOS ANGELES CA 5-Dec-08 Preferred Stock w/ Warrants $258,000,000.00 $0.00 $316,766,666.66 Redeemed, in full; warrants outstanding

CATHAY GENERAL BANCORP LOS ANGELES CA 20-Mar-13 $129,000,000.00 129,000 $1,000.00

CATHAY GENERAL BANCORP LOS ANGELES CA 30-Sep-13 $129,000,000.00 129,000 $1,000.00

8,18,14,44 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 27-Feb-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, in full; warrants not outstanding

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

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 21-Jul-11 $6,500,000.00 6,500 $1,000.00 $263,000.00 263

8,57,97 CB HOLDING CORP. ALEDO IL 29-May-09 Preferred Stock w/ Exercised Warrants $4,114,000.00 $0.00 $271,579.53 Currently not collectible

CB HOLDING CORP. ALEDO IL 14-Oct-11 ($4,114,000.00)

8,18,18 CBB BANCORP CARTERSVILLE GA 20-Feb-09 Preferred Stock w/ Exercised Warrants $2,644,000.00 $0.00 $4,982,141.86 Sold, in full; warrants not outstanding

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

CBB BANCORP CARTERSVILLE GA 28-Nov-12 $1,268,825.60 1,360 $932.05 ($91,174.40)

CBB BANCORP CARTERSVILLE GA 29-Nov-12 $2,831,259.86 3,037 $932.05 ($205,740.14) $115,861.34 132

CBB BANCORP CARTERSVILLE GA 11-Jan-13 ($32,969.92)

CBB BANCORP CARTERSVILLE GA 26-Mar-13 ($363.42)

8,14 CBS BANC-CORP. RUSSELLVILLE AL 27-Mar-09 Preferred Stock w/ Exercised Warrants $24,300,000.00 $0.00 $27,432,357.95 Sold, in full; warrants not outstanding

CBS BANC-CORP. RUSSELLVILLE AL 7-Aug-12 $287,213.85 315

CBS BANC-CORP. RUSSELLVILLE AL 9-Aug-12 $923,304.00 1,020 $905.20 ($96,696.00) $689,313.24 756

CBS BANC-CORP. RUSSELLVILLE AL 10-Aug-12 $21,073,056.00 23,280 $905.20 ($2,206,944.00) $131,297.76 144

CBS BANC-CORP. RUSSELLVILLE AL 11-Sep-12 ($219,963.60)

CECIL BANCORP, INC. ELKTON MD 23-Dec-08 Preferred Stock w/ Warrants $11,560,000.00 $11,560,000.00 $516,988.89 Full investment outstanding; warrants outstanding

8 CEDARSTONE BANK LEBANON TN 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,564,000.00 $3,564,000.00 $878,846.00 Full investment outstanding; warrants outstanding

44 CENTER BANCORP, INC. UNION NJ 9-Jan-09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, in full; warrants not outstanding

CENTER BANCORP, INC. UNION NJ 15-Sep-11 $10,000,000.00 10,000 $1,000.00

CENTER BANCORP, INC. UNION NJ 7-Dec-11 $245,000.00 86,705

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

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 27-Jun-12 $55,000,000.00 55,000 $1,000.00

8,14 CENTERBANK MILFORD OH 1-May-09 Preferred Stock w/ Exercised Warrants $2,250,000.00 $0.00 $2,344,662.43 Sold, in full; warrants not outstanding

CENTERBANK MILFORD OH 29-Oct-12 $24,750.00 30 $825.00 ($5,250.00)

CENTERBANK MILFORD OH 1-Nov-12 $1,831,500.00 2,220 $825.00 ($388,500.00) $84,057.43 113

CENTERBANK MILFORD OH 11-Jan-13 ($18,562.50)

CENTERBANK MILFORD OH 26-Mar-13 ($6,437.50)

12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 21-Nov-08 Preferred Stock w/ Warrants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, in full; warrants not outstanding

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 30-Sep-09 $27,875,000.00 27,875 $1,000.00

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 28-Oct-09 $212,000.00 125,413

11,8,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 16-Jan-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, in full; warrants not outstanding

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 31-Mar-09 $15,000,000.00 15,000 $1,000.00

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 15-Apr-09 $750,000.00 750

45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 5-Dec-08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, in full; warrants not outstanding

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 25-Aug-11 $10,000,000.00 10,000 $1,000.00

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 19-Oct-11 $2,525,000.00 234,742

8 CENTRAL BANCORP, INC. (TX) GARLAND TX 27-Feb-09 Preferred Stock w/ Exercised Warrants $22,500,000.00 $22,500,000.00 $2,411,625.00 Full investment outstanding; warrants outstanding

11,8,14 CENTRAL BANCSHARES, INC. HOUSTON TX 30-Jan-09 Preferred Stock w/ Exercised Warrants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, in full; warrants not outstanding

CENTRAL BANCSHARES, INC. HOUSTON TX 6-Jul-11 $5,800,000.00 5,800 $1,000.00 $290,000.00 290

8,14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 20-Feb-09 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $25,797,528.80 Sold, in full; warrants not outstanding

CENTRAL COMMUNITY CORPORATION TEMPLE TX 10-Dec-12 $5,333,059.60 5,758 $926.20 ($424,940.40)

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

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11-Jan-13 ($203,764.00)

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 5-Dec-08 Preferred Stock w/ Warrants $7,225,000.00 $0.00 $3,612,118.06 Sold, in full; warrants not outstanding

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 26-Sep-12 $3,000,000.00 7,225 $415.20 ($4,225,000.00)

11 CENTRAL JERSEY BANCORP OAKHURST NJ 23-Dec-08 Preferred Stock w/ Warrants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, in full; warrants not outstanding

CENTRAL JERSEY BANCORP OAKHURST NJ 24-Nov-10 $11,300,000.00 11,300 $1,000.00

CENTRAL JERSEY BANCORP OAKHURST NJ 1-Dec-10 $319,658.99 268,621

40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 9-Jan-09 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in full; warrants not outstanding

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 22-Jun-11 $36,337,500.00 ($454,218.75) 2,850,000 $12.75 ($32,121,928.87)

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4-Apr-12 $36,427,038.55 ($387,816.38) 2,770,117 $13.15 ($30,113,532.58)

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 11-Jun-13 $751,888.00 79,288

45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 30-Jan-09 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, in full; warrants not outstanding

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 18-Aug-11 $7,000,000.00 7,000 $1,000.00

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 28-Sep-11 $185,016.80 79,067

93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 30-Jan-09 Preferred Stock w/ Warrants $11,385,000.00 $11,385,000.00 $450,656.00 Full investment outstanding; warrants outstanding

8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 18-Dec-09 Preferred Stock w/ Exercised Warrants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, in full; warrants not outstanding

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 14-Jul-11 $6,056,000.00 6,056 $1,000.00 $182,000.00 182

44,8,14 CENTRIX BANK & TRUST BEDFORD NH 6-Feb-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, in full; warrants not outstanding

CENTRIX BANK & TRUST BEDFORD NH 28-Jul-11 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

CENTRUE FINANCIAL CORPORATION OTTAWA IL 9-Jan-09 Preferred Stock w/ Warrants $32,668,000.00 $7,402,000.00 $8,783,140.00 Sold, in part; warrants outstanding

CENTRUE FINANCIAL CORPORATION OTTAWA IL 25-Sep-13 $8,211,450.00 25,266 $325.00 ($17,054,550.00)

15,14 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $10,000,000.00 $0.00 $13,186,960.25 Sold, in full; warrants not outstanding
34

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

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

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

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 11-Jan-13 ($98,500.00)

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

8 CHICAGO SHORE CORPORATION CHICAGO IL 31-Jul-09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $7,000,000.00 $1,541,895.81 Full investment outstanding; warrants outstanding

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

CIT GROUP INC. NEW YORK NY 10-Dec-09 ($2,330,000,000.00)

19,30 CITIGROUP INC. NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $32,839,267,986.44 Redeemed, in full; warrants not outstanding

CITIGROUP INC. NEW YORK NY 10-Dec-10 $25,000,000,000.00 7,692,307,692 $4.14 $6,852,354,470.93

CITIGROUP INC. NEW YORK NY 31-Jan-11 $54,621,848.84 210,084,034

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 16-Jan-09 Preferred Stock w/ Warrants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, in full; warrants not outstanding

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 4-Aug-10 $26,440,000.00 26,440 $1,000.00

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1-Sep-10 $400,000.00 194,794

8,55,97 CITIZENS BANCORP NEVADA CITY CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $10,400,000.00 $0.00 $223,571.11 Currently not collectible

CITIZENS BANCORP NEVADA CITY CA 23-Sep-11 ($10,400,000.00)

8,14 CITIZENS BANCSHARES CO. CHILLICOTHE MO 29-May-09 Preferred Stock w/ Exercised Warrants $24,990,000.00 $0.00 $13,952,381.45 Sold, in full; warrants not outstanding

CITIZENS BANCSHARES CO. CHILLICOTHE MO 7-Feb-13 $6,657,375.00 12,990 $512.50 ($6,332,625.00) $258,018.75 500

CITIZENS BANCSHARES CO. CHILLICOTHE MO 8-Feb-13 $6,150,000.00 12,000 $512.50 ($5,850,000.00) $387,028.12 750

CITIZENS BANCSHARES CO. CHILLICOTHE MO 26-Mar-13 ($128,073.75)

11,9,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 6-Mar-09 Preferred Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, in full; warrants not outstanding

CITIZENS BANCSHARES CORPORATION ATLANTA GA 13-Aug-10 $7,462,000.00 7,462 $1,000.00

8 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 20-Mar-09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $2,400,000.00 $412,383.00 Full investment outstanding; warrants outstanding

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

44,8,14 CITIZENS COMMUNITY BANK SOUTH HILL VA 23-Dec-08 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, in full; warrants not outstanding

CITIZENS COMMUNITY BANK SOUTH HILL VA 28-Jul-11 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 19-Dec-08 Preferred Stock w/ Warrants $8,779,000.00 $3,265,788.00 $7,197,097.86 Redeemed, in part; warrants outstanding

CITIZENS FIRST CORPORATION BOWLING GREEN KY 16-Feb-11 $2,212,308.00 63 $35,116.00

CITIZENS FIRST CORPORATION BOWLING GREEN KY 13-Feb-13 $3,300,904.00 94 $35,116.00

86 CITIZENS REPUBLIC BANCORP, INC. FLINT MI 12-Dec-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $369,245,436.64 Redeemed, in full; warrants outstanding

CITIZENS REPUBLIC BANCORP, INC. FLINT MI 12-Apr-13 $300,000,000.00 300,000 $1,000.00

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12-Dec-08 Preferred Stock w/ Warrants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, in full; warrants not outstanding

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 22-Sep-11 $20,500,000.00 20,500 $1,000.00

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9-Nov-11 $225,157.00 450,314

8,9 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 10-Apr-09 Preferred Stock $9,439,000.00 $9,439,000.00 $281,859.00 Full investment outstanding; warrants not outstanding

11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 21-Nov-08 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, in full; warrants not outstanding

CITY NATIONAL CORPORATION BEVERLY HILLS CA 30-Dec-09 $200,000,000.00 200,000 $1,000.00

CITY NATIONAL CORPORATION BEVERLY HILLS CA 3-Mar-10 $200,000,000.00 200,000 $1,000.00

CITY NATIONAL CORPORATION BEVERLY HILLS CA 7-Apr-10 $18,500,000.00 1,128,668

8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 27-Mar-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,318,585.05 Sold, in full; warrants not outstanding

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 28-Nov-12 $955,825.50 1,095 $872.90 ($139,174.50)

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 29-Nov-12 $1,662,874.50 1,905 $872.90 ($242,125.50) $114,021.50 150

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11-Jan-13 ($25,000.00)

82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 5-Dec-08 Preferred Stock w/ Warrants $9,950,000.00 $0.00 $11,166,897.79 Sold, in full; warrants not outstanding

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 8-Mar-13 $3,772,645.00 3,950 $955.10 ($177,355.00)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 11-Mar-13 $5,730,600.00 6,000 $955.10 ($269,400.00)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 9-Apr-13 ($95,032.45)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 10-Apr-13 $99,000.00 60,000

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12-Jun-13 $225,647.45 145,579

8,17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 28-Aug-09 Preferred Stock w/ Exercised Warrants $16,015,000.00 $0.00 $14,257,487.71 Sold, in full; warrants not outstanding

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8-Mar-13 $397,550.00 500 $795.10 ($102,450.00) $389,857.05 450

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 11-Mar-13 $12,335,976.50 15,515 $795.10 ($3,179,023.50) $25,990.47 30

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 9-Apr-13 ($127,335.27)

45 COBIZ FINANCIAL INC. DENVER CO 19-Dec-08 Preferred Stock w/ Warrants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, in full; warrants not outstanding

COBIZ FINANCIAL INC. DENVER CO 8-Sep-11 $64,450,000.00 64,450 $1,000.00

COBIZ FINANCIAL INC. DENVER CO 23-Nov-11 $143,677.00 895,968

44 CODORUS VALLEY BANCORP, INC. YORK PA 9-Jan-09 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, in full; warrants not outstanding

CODORUS VALLEY BANCORP, INC. YORK PA 18-Aug-11 $16,500,000.00 16,500 $1,000.00

CODORUS VALLEY BANCORP, INC. YORK PA 28-Sep-11 $526,604.00 263,859

8,14 COLOEAST BANKSHARES, INC. LAMAR CO 13-Feb-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,670,784.03 Sold, in full; warrants not outstanding

COLOEAST BANKSHARES, INC. LAMAR CO 19-Jul-13 $46,995.00 52 $903.80 ($5,005.00)

COLOEAST BANKSHARES, INC. LAMAR CO 22-Jul-13 $8,990,505.00 9,948 $903.80 ($957,495.00) $494,381.25 50

COLOEAST BANKSHARES, INC. LAMAR CO 12-Sep-13 ($90,375.00)

11,8,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 27-Mar-09 Preferred Stock w/ Exercised Warrants $574,000.00 $0.00 $668,142.53 Redeemed, in full; warrants not outstanding

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 26-Oct-11 $574,000.00 574 $1,000.00 $29,000.00 29

COLONY BANKCORP, INC. FITZGERALD GA 9-Jan-09 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $26,480,089.20 Sold, in full; warrants not outstanding

COLONY BANKCORP, INC. FITZGERALD GA 7-Feb-13 $21,633,944.71 27,661 $782.10 ($6,027,055.29)

COLONY BANKCORP, INC. FITZGERALD GA 8-Feb-13 $265,135.29 339 $782.10 ($73,864.71)

COLONY BANKCORP, INC. FITZGERALD GA 26-Mar-13 ($218,990.80)

COLONY BANKCORP, INC. FITZGERALD GA 12-Jun-13 $810,000.00 500,000

11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 21-Nov-08 Preferred Stock w/ Warrants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, in full; warrants not outstanding

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11-Aug-10 $76,898,000.00 76,898 $1,000.00

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 1-Sep-10 $3,301,647.00 398,023

44,8,14 COLUMBINE CAPITAL CORP. BUENA VISTA CO 27-Feb-09 Preferred Stock w/ Exercised Warrants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, in full; warrants not outstanding

COLUMBINE CAPITAL CORP. BUENA VISTA CO 22-Sep-11 $2,260,000.00 2,260 $1,000.00 $113,000.00 113

11 COMERICA INC. DALLAS TX 14-Nov-08 Preferred Stock w/ Warrants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, in full; warrants not outstanding

COMERICA INC. DALLAS TX 17-Mar-10 $2,250,000,000.00 2,250,000 $1,000.00

COMERICA INC. DALLAS TX 12-May-10 $181,102,043.40 11,479,592

11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 9-Jan-09 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,036,111.11 Redeemed, in full; warrants outstanding

COMMERCE NATIONAL BANK NEWPORT BEACH CA 7-Oct-09 $5,000,000.00 5,000 $1,000.00

15,14 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 22-May-09 Subordinated Debentures w/ Exercised Warrants $20,400,000.00 $0.00 $21,575,016.54 Sold, in full; warrants not outstanding

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 7-Aug-12 $130,500.00 174,000 $0.75 ($43,500.00)

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8-Aug-12 $1,469,250.00 1,959,000 $0.75 ($489,750.00)

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 9-Aug-12 $13,100,250.00 17,467,000 $0.75 ($4,366,750.00) $792,990.00 900,000

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 10-Aug-12 $600,000.00 800,000 $0.75 ($200,000.00) $105,732.00 120,000

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 11-Sep-12 ($153,000.00)

8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $7,701,000.00 $0.00 $8,451,110.79 Sold, in full; warrants not outstanding
35

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 17-Jul-13 $7,323,651.00 7,701 $951.00 ($377,349.00) $362,427.91 385

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 12-Sep-13 ($73,236.51)

11,8,14 COMMUNITY 1ST BANK ROSEVILLE CA 16-Jan-09 Preferred Stock w/ Exercised Warrants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in full; warrants not outstanding

COMMUNITY 1ST BANK ROSEVILLE CA 19-Dec-12 $2,550,000.00 2,550 $1,000.00 $128,000.00 128

11,8,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 6-Mar-09 Preferred Stock w/ Exercised Warrants $500,000.00 $0.00 $616,741.75 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 18-Jul-12 $500,000.00 500 $1,000.00 $25,000.00 25

11,8,14 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY B BRANDON MS 11-Sep-09 Preferred Stock w/ Exercised Warrants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY B BRANDON MS 29-Sep-10 $52,000,000.00 52,000 $1,000.00 $2,600,000.00 2,600

8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 24-Jul-09 Preferred Stock w/ Exercised Warrants $3,872,000.00 $3,872,000.00 $828,128.70 Full investment outstanding; warrants outstanding

11,9,36 COMMUNITY BANK OF THE BAY OAKLAND CA 16-Jan-09 Preferred Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, in full; warrants not outstanding

COMMUNITY BANK OF THE BAY OAKLAND CA 29-Sep-10 $1,747,000.00 1,747 $1,000.00

44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 29-May-09 Preferred Stock w/ Warrants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, in full; warrants not outstanding

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 15-Sep-11 $19,468,000.00 19,468 $1,000.00

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 19-Oct-11 $1,100,869.50 386,270

11 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 19-Dec-08 Preferred Stock w/ Warrants $17,680,000.00 $13,180,000.00 $8,694,333.01 Redeemed, in part; warrants outstanding

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 24-Jul-13 $4,500,000.00 4,500 $1,000.00

8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 27-Feb-09 Preferred Stock w/ Exercised Warrants $3,976,000.00 $0.00 $4,674,050.16 Sold, in full; warrants not outstanding

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 30-Nov-12 $3,717,560.00 3,976 $935.00 ($258,440.00) $167,035.00 199

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11-Jan-13 ($25,000.00)

81 COMMUNITY FINANCIAL CORPORATION STAUNTON VA 19-Dec-08 Preferred Stock w/ Warrants $12,643,000.00 $0.00 $15,206,719.94 Redeemed, in full; warrants outstanding

COMMUNITY FINANCIAL CORPORATION STAUNTON VA 9-Jan-13 $12,643,000.00 12,643 $1,000.00

74,8,14 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 15-May-09 Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 $4,240,743.82 Sold, in full; warrants not outstanding

COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 21-Dec-12 $3,136,500.00 6,970 $450.00 ($3,833,500.00) $157,050.00 349

8 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3-Apr-09 Preferred Stock w/ Exercised Warrants $12,725,000.00 $12,725,000.00 $3,028,239.68 Full investment outstanding; warrants outstanding

44,8,14 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 20-Mar-09 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, in full; warrants not outstanding

COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 18-Aug-11 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

8 COMMUNITY FIRST, INC. COLUMBIA TN 27-Feb-09 Preferred Stock w/ Exercised Warrants $17,806,000.00 $17,806,000.00 $1,908,453.00 Full investment outstanding; warrants outstanding

8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN BRANDON MS 6-Feb-09 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in full; warrants not outstanding

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN BRANDON MS 30-Nov-12 $1,002,750.00 105 $9,550.00 ($47,250.00) $25,000.00 5

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN BRANDON MS 11-Jan-13 ($10,027.50)

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN BRANDON MS 26-Mar-13 ($14,972.50)

8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 23-Dec-08 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $3,115,616.28 Sold, in full; warrants not outstanding

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 19-Dec-12 $952,850.00 1,003 $950.00 ($50,150.00)

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 20-Dec-12 $1,517,150.00 1,597 $950.00 ($79,850.00) $105,000.00 130

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 11-Jan-13 ($24,700.00)

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 26-Mar-13 ($300.00)

44 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 30-Jan-09 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, in full; warrants not outstanding

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 11-Aug-11 $9,000,000.00 9,000 $1,000.00

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 26-Oct-11 $460,000.00 311,972

15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 13-Nov-09 Subordinated Debentures w/ Exercised Warrants $4,400,000.00 $0.00 $5,462,045.14 Sold, in full; warrants not outstanding

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12-Aug-13 $4,400,000.00 4,400,000 $1.11 $484,924.00 $177,716.96 132,000

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12-Sep-13 ($48,849.24)

44,8,14 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 9-Jan-09 Preferred Stock w/ Exercised Warrants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, in full; warrants not outstanding

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 6-Jul-11 $24,000,000.00 24,000 $1,000.00 $1,200,000.00 1,200

COMMUNITY WEST BANCSHARES GOLETA CA 19-Dec-08 Preferred Stock w/ Warrants $15,600,000.00 $0.00 $14,341,140.33 Sold, in full; warrants not outstanding

COMMUNITY WEST BANCSHARES GOLETA CA 10-Dec-12 $2,172,000.00 3,000 $724.00 ($828,000.00)

COMMUNITY WEST BANCSHARES GOLETA CA 11-Dec-12 $9,122,400.00 12,600 $724.00 ($3,477,600.00)

COMMUNITY WEST BANCSHARES GOLETA CA 11-Jan-13 ($112,944.00)

COMMUNITY WEST BANCSHARES GOLETA CA 12-Jun-13 $698,351.00 521,158

53 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 13-Feb-09 Preferred Stock w/ Warrants $51,500,000.00 $51,500,000.00 $2,589,305.00 Full investment outstanding; warrants outstanding

8,14 CONGAREE BANCSHARES, INC. CAYCE SC 9-Jan-09 Preferred Stock w/ Exercised Warrants $3,285,000.00 $0.00 $3,483,629.20 Sold, in full; warrants not outstanding

CONGAREE BANCSHARES, INC. CAYCE SC 29-Oct-12 $23,932.54 29 $825.30 ($5,067.46)

CONGAREE BANCSHARES, INC. CAYCE SC 31-Oct-12 $2,687,046.56 3,256 $825.30 ($568,953.44) $106,364.00 164

CONGAREE BANCSHARES, INC. CAYCE SC 11-Jan-13 ($25,000.00)

8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 13-Feb-09 Preferred Stock w/ Exercised Warrants $638,000.00 $0.00 $659,705.04 Sold, in full; warrants not outstanding

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 30-Nov-12 $548,680.00 638 $860.00 ($89,320.00) $3,960.00 32

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11-Jan-13 ($5,486.80)

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 26-Mar-13 ($19,513.20)

8,14 COUNTRY BANK SHARES, INC. MILFORD NE 30-Jan-09 Preferred Stock w/ Exercised Warrants $7,525,000.00 $0.00 $8,781,205.02 Sold, in full; warrants not outstanding

COUNTRY BANK SHARES, INC. MILFORD NE 28-Nov-12 $713,208.30 777 $917.90 ($63,791.70)

COUNTRY BANK SHARES, INC. MILFORD NE 29-Nov-12 $6,193,989.20 6,748 $917.90 ($554,010.80) $372,240.00 376

COUNTRY BANK SHARES, INC. MILFORD NE 11-Jan-13 ($69,071.98)

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 5-Jun-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $5,000,000.00 $1,151,614.44 Full investment outstanding; warrants outstanding

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 20-Feb-09 Preferred Stock w/ Exercised Warrants $3,100,000.00 $3,100,000.00 $757,928.47 Full investment outstanding; warrants outstanding

58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL RALEIGH NC 9-Jan-09 Preferred Stock w/ Warrants $24,900,000.00 $24,900,000.00 $5,786,341.20 Full investment outstanding; warrants outstanding

8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 23-Jan-09 Preferred Stock w/ Exercised Warrants $10,650,000.00 $0.00 $13,498,324.83 Sold, in full; warrants not outstanding

CROSSTOWN HOLDING COMPANY BLAINE MN 19-Jul-13 $343,794.50 350 $982.30 ($6,205.50)

CROSSTOWN HOLDING COMPANY BLAINE MN 22-Jul-13 $10,117,381.00 10,300 $982.30 ($182,619.00) $531,210.67 533

CROSSTOWN HOLDING COMPANY BLAINE MN 12-Sep-13 ($104,611.76)

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

11,16 CVB FINANCIAL CORP. ONTARIO CA 5-Dec-08 Preferred Stock w/ Warrants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, in full; warrants not outstanding

CVB FINANCIAL CORP. ONTARIO CA 26-Aug-09 $97,500,000.00 97,500 $1,000.00

CVB FINANCIAL CORP. ONTARIO CA 2-Sep-09 $32,500,000.00 32,500 $1,000.00

CVB FINANCIAL CORP. ONTARIO CA 28-Oct-09 $1,307,000.00 834,761

44,8,14 D.L. EVANS BANCORP BURLEY ID 27-Feb-09 Preferred Stock w/ Exercised Warrants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, in full; warrants not outstanding

D.L. EVANS BANCORP BURLEY ID 27-Sep-11 $19,891,000.00 19,891 $1,000.00 $995,000.00 995

15,44,14 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 15-May-09 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, in full; warrants not outstanding

DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 8-Sep-11 $2,639,000.00 2,639,000 $1.00 $132,000.00 132,000

8,14 DELMAR BANCORP DELMAR MD 4-Dec-09 Preferred Stock w/ Exercised Warrants $9,000,000.00 $0.00 $6,598,331.15 Sold, in full; warrants not outstanding

DELMAR BANCORP DELMAR MD 7-Feb-13 $5,293,527.28 8,648 $612.10 ($3,354,472.72) $311,943.55 450

DELMAR BANCORP DELMAR MD 8-Feb-13 $215,462.72 352 $612.10 ($136,537.28)

DELMAR BANCORP DELMAR MD 26-Mar-13 ($55,089.90)

8,18 DESOTO COUNTY BANK HORN LAKE MS 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,173,000.00 $0.00 $2,831,331.97 Sold, in full; warrants not outstanding

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

DESOTO COUNTY BANK HORN LAKE MS 24-Sep-13 $301,428.58 366 $823.03 ($64,571.42) $57,230.00 59

DESOTO COUNTY BANK HORN LAKE MS 25-Sep-13 $1,895,467.59 2,315 $816.45 ($419,532.41)
36

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

15,14 DIAMOND BANCORP, INC. WASHINGTON MO 22-May-09 Subordinated Debentures w/ Exercised Warrants $20,445,000.00 $0.00 $21,101,618.19 Sold, in full; warrants not outstanding

DIAMOND BANCORP, INC. WASHINGTON MO 8-Aug-12 $4,381,500.00 6,000,000 $0.73 ($1,618,500.00)

DIAMOND BANCORP, INC. WASHINGTON MO 9-Aug-12 $10,197,941.25 13,965,000 $0.73 ($3,767,058.75) $688,041.09 902,000

DIAMOND BANCORP, INC. WASHINGTON MO 10-Aug-12 $350,520.00 480,000 $0.73 ($129,480.00) $91,535.40 120,000

DIAMOND BANCORP, INC. WASHINGTON MO 11-Sep-12 ($149,299.61)

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 16-Jan-09 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in full; warrants not outstanding

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 7-Feb-13 $8,025,555.03 14,523 $552.60 ($6,497,444.97) $3,372.19 5

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 8-Feb-13 $72,684,793.30 131,530 $552.60 ($58,845,206.70) $4,922,044.87 7,298

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 26-Mar-13 ($807,103.48)

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 13-Mar-09 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in full; warrants not outstanding

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 21-Apr-10 $1,224,558,000.00 1,224,558 $1,000.00

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7-Jul-10 $172,000,000.00 20,500,413

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 30-Jan-09 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in full; warrants not outstanding

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 4-Aug-11 $11,750,000.00 11,750 $1,000.00

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 21-Sep-11 $458,000.00 186,311

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $12,000,000.00 $4,334,673.04 Full investment outstanding; warrants outstanding

12,44 EAGLE BANCORP, INC. BETHESDA MD 5-Dec-08 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, in full; warrants outstanding

EAGLE BANCORP, INC. BETHESDA MD 23-Dec-09 $15,000,000.00 15,000 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 14-Jul-11 $23,235,000.00 23,235 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 23-Nov-11 $2,794,422.00 770,868

11,16 EAST WEST BANCORP, INC. PASADENA CA 5-Dec-08 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in full; warrants not outstanding

EAST WEST BANCORP, INC. PASADENA CA 29-Dec-10 $306,546,000.00 306,546 $1,000.00

EAST WEST BANCORP, INC. PASADENA CA 26-Jan-11 $14,500,000.00 1,517,555

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 9-Jan-09 Preferred Stock w/ Warrants $24,000,000.00 $24,000,000.00 $2,220,000.00 Full investment outstanding; warrants outstanding

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. ENGELHARD NC 16-Jan-09 Preferred Stock w/ Warrants $17,949,000.00 $17,949,000.00 $4,110,820.08 Full investment outstanding; warrants outstanding

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 23-Dec-08 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in full; warrants not outstanding

EMCLAIRE FINANCIAL CORP. EMLENTON PA 18-Aug-11 $7,500,000.00 7,500 $1,000.00

EMCLAIRE FINANCIAL CORP. EMLENTON PA 7-Dec-11 $51,113.00 50,111

45 ENCORE BANCSHARES INC. HOUSTON TX 5-Dec-08 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, in full; warrants outstanding

ENCORE BANCSHARES INC. HOUSTON TX 27-Sep-11 $34,000,000.00 34,000 $1,000.00

ENCORE BANCSHARES INC. HOUSTON TX 23-Nov-11 $637,071.00 728,052

11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 19-Dec-08 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 7-Nov-12 $35,000,000.00 35,000 $1,000.00

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 9-Jan-13 $1,006,100.00 324,074

8,44,14 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 12-Jun-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 25-Aug-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

8,44,72 EQUITY BANCSHARES, INC. WICHITA KS 30-Jan-09 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in full; warrants not outstanding

EQUITY BANCSHARES, INC. WICHITA KS 11-Aug-11 $8,750,000.00 8,750 $1,000.00 $438,000.00 438

8,14 EXCHANGE BANK SANTA ROSA CA 19-Dec-08 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in full; warrants not outstanding

EXCHANGE BANK SANTA ROSA CA 3-Aug-12 $481,387.50 550 $875.20 ($68,612.50)

EXCHANGE BANK SANTA ROSA CA 8-Aug-12 $17,505,000.00 20,000 $875.20 ($2,495,000.00) $1,910,898.00 2,000

EXCHANGE BANK SANTA ROSA CA 9-Aug-12 $8,725,367.25 9,969 $875.20 ($1,243,632.75) $120,386.57 126

EXCHANGE BANK SANTA ROSA CA 10-Aug-12 $420,995.25 481 $875.20 ($60,004.75) $22,930.78 24

EXCHANGE BANK SANTA ROSA CA 13-Aug-12 $10,503,000.00 12,000 $875.20 ($1,497,000.00)

EXCHANGE BANK SANTA ROSA CA 11-Sep-12 ($376,357.50)

8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 30-Jan-09 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in full; warrants not outstanding

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

F & M BANCSHARES, INC. TREZEVANT TN 6-Feb-13 $4,797,325.00 5,090 $942.50 ($292,675.00)

F & M BANCSHARES, INC. TREZEVANT TN 7-Feb-13 $2,734,192.50 2,901 $942.50 ($166,807.50) $222,007.50 230

F & M BANCSHARES, INC. TREZEVANT TN 8-Feb-13 $144,202.50 153 $942.50 ($8,797.50)

F & M BANCSHARES, INC. TREZEVANT TN 26-Mar-13 ($76,757.21)

8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 6-Feb-09 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in full; warrants not outstanding

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 18-Sep-12 $136,813.05 150

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 19-Sep-12 $2,664,750.00 2,805 $950.00 ($140,250.00)

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 20-Sep-12 $13,485,250.00 14,195 $950.00 ($709,750.00) $638,460.90 700

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 16-Nov-12 ($161,500.00)

15,14 F&C BANCORP. INC. HOLDEN MO 22-May-09 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in full; warrants not outstanding

F&C BANCORP. INC. HOLDEN MO 8-Nov-12 $1,590,599.43 1,659,000 $0.96 ($68,400.57)

F&C BANCORP. INC. HOLDEN MO 13-Nov-12 $1,278,999.18 1,334,000 $0.96 ($55,000.82) $125,000.00 150,000

F&C BANCORP. INC. HOLDEN MO 11-Jan-13 ($25,000.00)

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 13-Feb-09 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in full; warrants not outstanding

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 19-Sep-12 $96,465.60 112

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 20-Sep-12 $157,500.00 200 $787.50 ($42,500.00)

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 21-Sep-12 $13,421,362.50 17,043 $787.50 ($3,621,637.50) $645,975.00 750

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 16-Nov-12 ($135,788.63)

11 F.N.B. CORPORATION HERMITAGE PA 9-Jan-09 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in full; warrants not outstanding

F.N.B. CORPORATION HERMITAGE PA 9-Sep-09 $100,000,000.00 100,000 $1,000.00

F.N.B. CORPORATION HERMITAGE PA 23-Nov-11 $690,100.00 651,042

8 FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 6-Mar-09 Preferred Stock w/ Exercised Warrants $11,000,000.00 $11,000,000.00 $1,913,405.00 Full investment outstanding; warrants outstanding

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 20-Mar-09 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in full; warrants not outstanding

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 24-Jun-13 $425,425.00 442 $962.50 ($16,575.00) ($2,835.00) 22

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 26-Jul-13 ($25,000.00)

11,8 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 23-Jan-09 Preferred Stock w/ Exercised Warrants $8,752,000.00 $5,689,000.00 $5,146,851.22 Redeemed, in part; warrants outstanding

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 9-Jan-13 $3,063,000.00 3,063 $1,000.00

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 9-Jan-09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in full; warrants not outstanding

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 19-Jun-12 $22,196,700.00 ($332,950.50) 30,000 $739.90 ($7,803,300.00)

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 18-Jul-12 $75,000.00 223,992

15,14 FARMERS ENTERPRISES, INC. GREAT BEND KS 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in full; warrants not outstanding

FARMERS ENTERPRISES, INC. GREAT BEND KS 8-Nov-12 $96,290.00 100,000 $0.96 ($3,710.00)

FARMERS ENTERPRISES, INC. GREAT BEND KS 9-Nov-12 $37,387.14 38,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 13-Nov-12 $11,458,510.00 11,900,000 $0.96 ($441,490.00) $552,936.00 562,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 11-Jan-13 ($115,548.00)

45,8,14 FARMERS STATE BANKSHARES, INC. HOLTON KS 20-Mar-09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in full; warrants not outstanding

FARMERS STATE BANKSHARES, INC. HOLTON KS 21-Jul-11 $700,000.00 700 $1,000.00 $40,000.00 4

15,17 FBHC HOLDING COMPANY BOULDER CO 29-Dec-09 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in full; warrants not outstanding

FBHC HOLDING COMPANY BOULDER CO 9-Mar-11 $650,000.00 3,035,000 $0.21 ($2,385,000.00)
37

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

8,14 FC HOLDINGS, INC. HOUSTON TX 26-Jun-09 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; warrants not outstanding

FC HOLDINGS, INC. HOUSTON TX 20-Feb-13 $18,874,674.00 21,042 $897.00 ($2,167,326.00) $994,613.40 1,052

FC HOLDINGS, INC. HOUSTON TX 26-Mar-13 ($188,746.74)

45,8,14 FCB BANCORP, INC. LOUISVILLE KY 19-Dec-08 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in full; warrants not outstanding

FCB BANCORP, INC. LOUISVILLE KY 22-Sep-11 $9,294,000.00 9,294 $1,000.00 $465,000.00 465

8,14 FFW CORPORATION WABASH IN 19-Dec-08 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in full; warrants not outstanding

FFW CORPORATION WABASH IN 28-Nov-12 $879,424.60 974 $902.90 ($94,575.40)

FFW CORPORATION WABASH IN 30-Nov-12 $5,701,813.50 6,315 $902.90 ($613,186.50) $358,558.20 364

FFW CORPORATION WABASH IN 11-Jan-13 ($65,812.38)

15,11,14 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 29-May-09 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in full; warrants not outstanding

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 27-Mar-13 $3,942,000.00 3,942,000 $1.00 $197,000.00 197,000

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

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 30-Nov-12 $7,000,000.00 7,000 $1,000.00

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 13-Nov-09 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in full; warrants not outstanding

FIDELITY FEDERAL BANCORP EVANSVILLE IN 19-Jul-13 $439,000.00 439 $1,058.90 $25,857.10

FIDELITY FEDERAL BANCORP EVANSVILLE IN 22-Jul-13 $6,218,000.00 6,218 $1,058.90 $366,240.20 $242,302.50 200

FIDELITY FEDERAL BANCORP EVANSVILLE IN 12-Sep-13 ($70,490.97)

8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 19-Dec-08 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; warrants not outstanding

FIDELITY FINANCIAL CORPORATION WICHITA KS 1-Aug-12 $120,320.10 135 $891.30 ($14,679.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 2-Aug-12 $26,737.80 30 $891.30 ($3,262.20)

FIDELITY FINANCIAL CORPORATION WICHITA KS 3-Aug-12 $298,572.10 335 $891.30 ($36,427.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 7-Aug-12 $3,200,514.66 3,591 $891.30 ($390,485.34) $170,227.93 179

FIDELITY FINANCIAL CORPORATION WICHITA KS 8-Aug-12 $2,348,470.10 2,635 $891.30 ($286,529.90) $167,374.94 176

FIDELITY FINANCIAL CORPORATION WICHITA KS 9-Aug-12 $26,056,877.36 29,236 $891.30 ($3,179,122.64) $1,210,615.36 1,273

FIDELITY FINANCIAL CORPORATION WICHITA KS 10-Aug-12 $285,203.20 320 $891.30 ($34,796.80) $176,884.89 186

FIDELITY FINANCIAL CORPORATION WICHITA KS 11-Sep-12 ($323,366.95)

FIDELITY SOUTHERN CORPORATION ATLANTA GA 19-Dec-08 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $51,286,669.09 Sold, in full; warrants outstanding

FIDELITY SOUTHERN CORPORATION ATLANTA GA 3-Jul-12 $43,408,920.00 ($651,133.80) 48,200 $900.60 ($4,791,080.00)

11 FIFTH THIRD BANCORP CINCINNATI OH 31-Dec-08 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in full; warrants not outstanding

FIFTH THIRD BANCORP CINCINNATI OH 2-Feb-11 $3,408,000,000.00 136,320 $25,000.00

FIFTH THIRD BANCORP CINCINNATI OH 16-Mar-11 $280,025,936.00 43,617,747

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 23-Dec-08 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in full; warrants not outstanding

FINANCIAL INSTITUTIONS, INC. WARSAW NY 23-Feb-11 $12,505,000.00 2,501 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 30-Mar-11 $25,010,000.00 5,002 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 11-May-11 $2,079,962.50 378,175

45,8,14 FINANCIAL SECURITY CORPORATION BASIN WY 13-Feb-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in full; warrants not outstanding

FINANCIAL SECURITY CORPORATION BASIN WY 21-Jul-11 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 31-Jul-09 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in full; warrants not outstanding

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 1-Sep-11 $3,742,000.00 3,742,000 $1.00 $112,000.00 112,000

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 22-May-09 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in full; warrants not outstanding

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 10-Dec-12 $690,723.49 769 $898.20 ($78,276.51) $2,979.49 6

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11-Dec-12 $366,469.68 408 $898.20 ($41,530.32) $26,318.80 53

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11-Jan-13 ($10,571.93)

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 26-Mar-13 ($14,428.07)

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26-Jun-09 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in full; warrants not outstanding

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 20-Dec-12 $2,395,742.20 3,422 $700.10 ($1,026,257.80) $94,701.71 171

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 11-Jan-13 ($23,957.42)

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26-Mar-13 ($1,042.58)

15,11,14 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 24-Jul-09 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in full; warrants not outstanding

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 21-Dec-11 $15,000,000.00 15,000,000 $1.00

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 11-Dec-12 $35,000,000.00 35,000,000 $1.00 $2,500,000.00 2,500,000

11,9,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 13-Mar-09 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in full; warrants not outstanding

FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 13-Aug-10 $17,000,000.00 17,000 $1,000.00

45 FIRST BANCORP (NC) TROY NC 9-Jan-09 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in full; warrants not outstanding

FIRST BANCORP (NC) TROY NC 1-Sep-11 $65,000,000.00 65,000 $1,000.00

FIRST BANCORP (NC) TROY NC 23-Nov-11 $924,462.00 616,308

34 FIRST BANCORP (PR) SAN JUAN PR 16-Jan-09 Preferred Stock w/ Warrants $400,000,000.00 $238,972,281.88 $122,513,539.32 Sold, in part; warrants outstanding

FIRST BANCORP (PR) SAN JUAN PR 16-Aug-13 $81,000,000.00 12,000,000 $6.75 ($64,711,540.92)

FIRST BANCORP (PR) SAN JUAN PR 13-Sep-13 $8,514,153.00 1,261,356 $6.75 ($6,802,024.20)

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 20-Feb-09 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in full; warrants not outstanding

FIRST BANCTRUST CORPORATION PARIS IL 18-Jan-12 $3,675,000.00 3,675 $1,000.00

FIRST BANCTRUST CORPORATION PARIS IL 24-Oct-12 $3,675,000.00 3,675 $1,000.00 $368,000.00 368

45,8,14 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in full; warrants not outstanding

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 21-Jul-11 $3,345,000.00 3,345 $1,000.00 $167,000.00 167

45,8,14 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 16-Jan-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in full; warrants not outstanding

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 8-Sep-11 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 FIRST BANKS, INC. CLAYTON MO 31-Dec-08 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,135,866.01 Sold, in full; warrants not outstanding

FIRST BANKS, INC. CLAYTON MO 8-Aug-13 $105,000.00 300 $350.00 ($195,000.00)

FIRST BANKS, INC. CLAYTON MO 9-Aug-13 $12,171,950.00 34,777 $350.00 ($22,605,050.00) $2,430,181.71 4,299

FIRST BANKS, INC. CLAYTON MO 12-Aug-13 $87,028,900.00 248,654 $350.00 ($161,625,100.00) $5,919,151.59 10,471

FIRST BANKS, INC. CLAYTON MO 12-Sep-13 ($993,058.50)

FIRST BANKS, INC. CLAYTON MO 24-Sep-13 $3,209,702.21 5,819 $551.60 ($2,609,297.79)

FIRST BANKS, INC. CLAYTON MO 25-Sep-13 $3,226,801.50 5,850 $551.60 ($2,623,198.50)

45 FIRST BUSEY CORPORATION URBANA IL 6-Mar-09 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in full; warrants not outstanding

FIRST BUSEY CORPORATION URBANA IL 25-Aug-11 $100,000,000.00 100,000 $1,000.00

FIRST BUSEY CORPORATION URBANA IL 23-Nov-11 $63,677.00 573,833

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOU SAN DIEGO CA 10-Apr-09 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in full; warrants not outstanding

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOU SAN DIEGO CA 11-Dec-09 $2,032,000.00

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOU SAN DIEGO CA 19-Dec-12 $1,373,084.00 1,500 $916.70 ($126,916.00) $90,461.65 111

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOU SAN DIEGO CA 20-Dec-12 $2,510,399.84 2,743 $915.60 ($232,600.16)

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOU SAN DIEGO CA 11-Jan-13 ($33,333.33)

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 19-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in full; warrants not outstanding

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 14-Jul-11 $25,000,000.00 25,000 $1,000.00

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 24-Aug-11 $599,042.00 599,042

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 3-Apr-09 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in full; warrants not outstanding

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 19-Jun-12 $10,082,565.38 ($151,238.48) 10,958 $920.10 ($875,434.62)
38

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6-Feb-13 $266,041.78 417,648

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 13-Feb-09 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in full; warrants not outstanding

FIRST CHOICE BANK CERRITOS CA 22-Dec-09 $2,836,000.00

FIRST CHOICE BANK CERRITOS CA 24-Sep-10 $5,036,000.00 5,036 $1,000.00 $110,000.00 110

FIRST CITIZENS BANC CORP SANDUSKY OH 23-Jan-09 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in full; warrants not outstanding

FIRST CITIZENS BANC CORP SANDUSKY OH 3-Jul-12 $21,004,704.00 ($315,070.56) 23,184 $906.00 ($2,179,296.00)

FIRST CITIZENS BANC CORP SANDUSKY OH 5-Sep-12 $563,174.00 469,312

44,8,14 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 20-Mar-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in full; warrants not outstanding

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 22-Sep-11 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 21-Nov-08 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in full; warrants not outstanding

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 8-Jul-09 $41,500,000.00 41,500 $1,000.00

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 22-Nov-11 $30,600.00 88,273

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, I WICHITA KS 15-May-09 Preferred Stock w/ Exercised Warrants $14,800,000.00 $14,800,000.00 $3,575,828.30 Full investment outstanding; warrants outstanding

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 23-Dec-08 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in full; warrants not outstanding

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 31-May-11 $7,754,267.48 10,685 $725.70 ($2,930,732.52)

FIRST COMMUNITY CORPORATION LEXINGTON SC 21-Nov-08 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in full; warrants not outstanding

FIRST COMMUNITY CORPORATION LEXINGTON SC 29-Aug-12 $11,155,120.50 ($167,326.81) 11,350 $982.80 ($194,879.50)

FIRST COMMUNITY CORPORATION LEXINGTON SC 1-Nov-12 $297,500.00 195,915

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11-Dec-09 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in full; warrants not outstanding

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8-Aug-12 $70,727.58 108

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9-Aug-12 $440,082.72 672

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 10-Aug-12 $209,563.20 320

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 19-Sep-12 $326,250.00 500 $652.50 ($173,750.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 20-Sep-12 $3,051,090.00 4,676 $652.50 ($1,624,910.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 21-Sep-12 $10,977,660.00 16,824 $652.50 ($5,846,340.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 16-Nov-12 ($143,550.00)

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 5-Dec-08 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $41,631,005.92 Sold, in full; warrants outstanding

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 19-Jun-12 $35,618,420.00 ($534,276.30) 37,000 $962.70 ($1,381,580.00)

15,36,11 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 11-Sep-09 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in full; warrants not outstanding

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 17-Sep-10 $7,500,000.00 7,500,000 $1.00 $375,000.00 375,000

11,8,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 6-Feb-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in full; warrants not outstanding

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 15-Feb-12 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 6-Mar-09 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in full; warrants not outstanding

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3-May-11 $6,000,000.00 16,500 $363.60 ($10,500,000.00)

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 23-Dec-08 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCORP CINCINNATI OH 24-Feb-10 $80,000,000.00 80,000 $1,000.00

FIRST FINANCIAL BANCORP CINCINNATI OH 8-Jun-10 $2,966,288.32 465,117

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 12-Jun-09 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 22-Sep-11 $3,756,000.00 3,756,000 $1.00 $113,000.00 113,000

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5-Dec-08 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in full; warrants not outstanding

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 3-Apr-12 $56,778,150.00 ($851,672.25) 65,000 $873.50 ($8,221,850.00)

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 22-May-13 $1,400,000.00 241,696

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 9-Jan-09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,333,778.00 Sold, in full; warrants outstanding

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 29-Apr-13 $10,842,200.00 20,000 $542.10 ($9,157,800.00)

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 31-May-13 ($108,422.00)

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 22-Dec-09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in full; warrants not outstanding

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 9-Nov-12 $8,025,750.00 8,700 $922.50 ($674,250.00) $256,118.75 261

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11-Jan-13 ($80,257.50)

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 27-Feb-09 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in full; warrants not outstanding

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 29-Oct-12 $26,398.99 29 $910.30 ($2,601.01)

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 31-Oct-12 $6,864,647.71 7,541 $910.30 ($676,352.29) $362,118.92 379

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 11-Jan-13 ($68,910.46)

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 28-Aug-09 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in full; warrants not outstanding

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 22-Sep-11 $20,699,000.00 2,070 $10,000.00 $1,030,000.00 103

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 14-Nov-08 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in full; warrants not outstanding

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 22-Dec-10 $866,540,000.00 866,540 $1,000.00

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 9-Mar-11 $79,700,000.00 14,842,321

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 28-Aug-09 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in full; warrants not outstanding

FIRST INDEPENDENCE CORPORATION DETROIT MI 20-Dec-12 $2,336,675.00 3,223 $725.00 ($886,325.00)

FIRST INDEPENDENCE CORPORATION DETROIT MI 11-Jan-13 ($23,366.75)

FIRST INDEPENDENCE CORPORATION DETROIT MI 26-Mar-13 ($26,633.25)

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 13-Mar-09 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in full; warrants not outstanding

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12-Aug-13 $3,247,112.96 6,398 $507.50 ($3,150,887.04) $139,320.00 320

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12-Sep-13 ($25,000.00)

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12-Dec-08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in full; warrants not outstanding

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 7-Apr-10 $10,000,000.00 10,000 $1,000.00 $1,488,046.41 199,203

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 27-Feb-09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in full; warrants not outstanding

FIRST M&F CORPORATION KOSCIUSKO MS 29-Sep-10 $30,000,000.00 30,000 $1,000.00

FIRST M&F CORPORATION KOSCIUSKO MS 30-Aug-13 $4,089,510.61 513,113

11,8,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 16-Jan-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in full; warrants not outstanding

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 27-May-09 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES RICHMOND VA 6-Feb-09 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in full; warrants not outstanding

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES RICHMOND VA 7-Dec-11 $33,900,000.00 35,595 $1,000.00 $1,695,000.00

44,8,14 FIRST MENASHA BANCSHARES, INC. NEENAH WI 13-Feb-09 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in full; warrants not outstanding

FIRST MENASHA BANCSHARES, INC. NEENAH WI 15-Sep-11 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 20-Feb-09 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in full; warrants not outstanding

FIRST MERCHANTS CORPORATION MUNCIE IN 22-Sep-11 $116,000,000.00 116,000 $1,000.00

FIRST MERCHANTS CORPORATION MUNCIE IN 23-Nov-11 $367,500.00 991,453

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 5-Dec-08 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in full; warrants not outstanding

FIRST MIDWEST BANCORP, INC. ITASCA IL 23-Nov-11 $193,000,000.00 193,000 $1,000.00

FIRST MIDWEST BANCORP, INC. ITASCA IL 21-Dec-11 $900,000.00 1,305,230

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 13-Mar-09 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in full; warrants not outstanding

FIRST NATIONAL CORPORATION STRASBURG VA 29-Aug-12 $12,266,750.00 ($184,001.25) 13,900 $882.50 ($1,633,250.00) $624,674.69 695

44,8,14 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 20-Mar-09 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in full; warrants not outstanding

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 4-Aug-11 $17,836,000.00 17,836 $1,000.00 $892,000.00 892

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 21-Nov-08 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in full; warrants not outstanding
39

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 27-May-09 $184,011,000.00 184,011 $1,000.00

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 24-Jun-09 $2,700,000.00 953,096

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 13-Mar-09 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in full; warrants not outstanding

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 15-Sep-11 $17,390,000.00 17,390 $1,000.00

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 16-Nov-11 $375,000.00 352,977

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 21-Nov-08 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in full; warrants not outstanding

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 15-Dec-10 $19,300,000.00 19,300 $1,000.00

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 5-Jan-11 $1,003,227.00 280,795

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 13-Mar-09 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Currently not collectible

FIRST PLACE FINANCIAL CORP. WARREN OH 29-Oct-12 ($72,927,000.00)

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 20-Feb-09 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in full; warrants not outstanding

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 18-Dec-09 $4,596,000.00

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 7-Feb-13 $6,682,192.50 7,575 $882.23 ($892,807.50) $48,083.60 49

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 8-Feb-13 $1,410,831.60 1,600 $882.05 ($189,168.40) $176,633.62 180

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 26-Mar-13 ($80,930.24)

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 6-Mar-09 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in full; warrants not outstanding

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 11-Mar-13 $10,431,333.89 15,349 $679.60 ($4,917,666.11) $624,632.45 767

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 9-Apr-13 ($104,313.34)

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 30-Jan-09 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in full; warrants not outstanding

FIRST RESOURCE BANK EXTON PA 11-Dec-09 $2,417,000.00

FIRST RESOURCE BANK EXTON PA 15-Sep-11 $5,017,000.00 5,017 $1,000.00 $130,000.00 130

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 9-Jan-09 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in full; warrants not outstanding

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 11-Apr-13 $14,912,862.00 9,941,908 $1.50 ($18,087,138.00)

79 FIRST SOUND BANK SEATTLE WA 23-Dec-08 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in full; warrants not outstanding

FIRST SOUND BANK SEATTLE WA 20-Feb-13 $3,700,000.00 7,400 $500.00 ($3,700,000.00)

15,11,14 FIRST SOUTH BANCORP, INC. LEXINGTON TN 17-Jul-09 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in full; warrants not outstanding

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28-Sep-11 $13,125,000.00 13,125,000 $1.00

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28-Nov-12 $36,875,000.00 36,875,000 $1.00 $2,500,000.00 2,500,000

11,8,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 30-Jan-09 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in full; warrants not outstanding

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 16-Jun-10 $10,900,000.00 10,900 $1,000.00 $545,000.00 545

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 6-Mar-09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in full; warrants not outstanding

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 26-Mar-13 $315,007.00 350 $900.00 ($34,993.00)

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 27-Mar-13 $2,835,063.00 3,150 $900.00 ($314,937.00) $206,048.21 225

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 28-Mar-13 $1,800,040.00 2,000 $900.00 ($199,960.00) $45,788.48 50

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 9-Apr-13 ($49,501.10)

44,8,14 FIRST TEXAS BHC, INC. FORT WORTH TX 6-Mar-09 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in full; warrants not outstanding

FIRST TEXAS BHC, INC. FORT WORTH TX 15-Sep-11 $13,533,000.00 13,533 $1,000.00 $677,000.00 677

15,14 FIRST TRUST CORPORATION NEW ORLEANS LA 5-Jun-09 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; warrants not outstanding

FIRST TRUST CORPORATION NEW ORLEANS LA 20-Feb-13 $13,750,058.49 17,969,000 $0.77 ($4,218,941.51) $644,726.19 898,000

FIRST TRUST CORPORATION NEW ORLEANS LA 26-Mar-13 ($137,500.58)

11,8,14 FIRST ULB CORP. OAKLAND CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in full; warrants not outstanding

FIRST ULB CORP. OAKLAND CA 22-Apr-09 $4,900,000.00 4,900 $1,000.00 $245,000.00 245

FIRST UNITED CORPORATION OAKLAND MD 30-Jan-09 Preferred Stock w/ Warrants $30,000,000.00 $30,000,000.00 $2,312,500.00 Full investment outstanding; warrants outstanding

11,8,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 12-Jun-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in full; warrants not outstanding

FIRST VERNON BANCSHARES, INC. VERNON AL 29-Sep-10 $6,000,000.00 6,000 $1,000.00 $245,000.00 245

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 6-Feb-09 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in full; warrants not outstanding

FIRST WESTERN FINANCIAL, INC. DENVER CO 11-Dec-09 $11,881,000.00

FIRST WESTERN FINANCIAL, INC. DENVER CO 9-Aug-12 $6,138,000.00 7,920 $775.00 ($1,782,000.00) $311,681.70 380

FIRST WESTERN FINANCIAL, INC. DENVER CO 10-Aug-12 $62,000.00 80 $775.00 ($18,000.00) $39,370.32 48

FIRST WESTERN FINANCIAL, INC. DENVER CO 11-Sep-12 ($62,000.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 24-Jun-13 $10,994,240.00 12,440 $874.81 ($1,445,760.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 26-Jul-13 ($109,942.41)

FIRSTBANK CORPORATION ALMA MI 30-Jan-09 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in full; warrants not outstanding

FIRSTBANK CORPORATION ALMA MI 3-Jul-12 $31,053,330.00 ($465,799.95) 33,000 $941.00 ($1,946,670.00)

FIRSTBANK CORPORATION ALMA MI 18-Jul-12 $1,946,670.00 578,947

11 FIRSTMERIT CORPORATION AKRON OH 9-Jan-09 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in full; warrants not outstanding

FIRSTMERIT CORPORATION AKRON OH 22-Apr-09 $125,000,000.00 125,000 $1,000.00

FIRSTMERIT CORPORATION AKRON OH 27-May-09 $5,025,000.00 952,260

FLAGSTAR BANCORP, INC. TROY MI 30-Jan-09 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in full; warrants not outstanding

FLAGSTAR BANCORP, INC. TROY MI 26-Mar-13 $1,439,258.50 1,579 $911.50 ($139,741.50)

FLAGSTAR BANCORP, INC. TROY MI 27-Mar-13 $228,401,847.00 250,578 $911.50 ($22,176,153.00)

FLAGSTAR BANCORP, INC. TROY MI 28-Mar-13 $13,216,750.00 14,500 $911.50 ($1,283,250.00)

FLAGSTAR BANCORP, INC. TROY MI 9-Apr-13 ($2,430,578.56)

FLAGSTAR BANCORP, INC. TROY MI 12-Jun-13 $12,905.00 645,138

8,84 FLORIDA BANK GROUP, INC. TAMPA FL 24-Jul-09 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in full; warrants not outstanding

FLORIDA BANK GROUP, INC. TAMPA FL 14-Aug-13 $8,000,000.00 20,471 $390.80 ($12,471,000.00)

8,44,14 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 20-Feb-09 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in full; warrants not outstanding

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 22-Sep-11 $9,495,000.00 9,495 $1,000.00 $475,000.00 475

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 19-Dec-08 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in full; warrants not outstanding

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 28-Oct-09 $70,000,000.00 70,000 $1,000.00

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 30-Dec-09 $900,000.00 375,806

45,8,14 FNB BANCORP SOUTH SAN FRANCISCO CA 27-Feb-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in full; warrants not outstanding

FNB BANCORP SOUTH SAN FRANCISCO CA 15-Sep-11 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

11,8,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 15-May-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in full; warrants not outstanding

FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 11-Dec-12 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 22-May-09 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Currently not collectible

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 20-Apr-12 ($1,300,000.00)

45,8,14 FORTUNE FINANCIAL CORPORATION ARNOLD MO 3-Apr-09 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in full; warrants not outstanding

FORTUNE FINANCIAL CORPORATION ARNOLD MO 15-Sep-11 $3,100,000.00 3,100 $1,000.00 $155,000.00 155

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 5-Dec-08 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 Currently not collectible

FPB BANCORP, INC. PORT ST. LUCIE FL 15-Jul-11 ($5,800,000.00)

11,8,14 FPB FINANCIAL CORP. HAMMOND LA 23-Jan-09 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in full; warrants not outstanding

FPB FINANCIAL CORP. HAMMOND LA 16-Dec-09 $1,000,000.00 1,000 $1,000.00

FPB FINANCIAL CORP. HAMMOND LA 16-Jun-10 $2,240,000.00 2,240 $1,000.00 $162,000.00 162

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 22-May-09 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; warrants not outstanding

FRANKLIN BANCORP, INC. WASHINGTON MO 9-Nov-12 $594,550.00 940 $632.50 ($345,450.00) $126,798.62 188
40

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

FRANKLIN BANCORP, INC. WASHINGTON MO 13-Nov-12 $2,629,302.50 4,157 $632.50 ($1,527,697.50) $45,188.88 67

FRANKLIN BANCORP, INC. WASHINGTON MO 11-Jan-13 ($25,000.00)

15 FREEPORT BANCSHARES, INC. FREEPORT IL 8-May-09 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $1,074,618.45 Full investment outstanding; warrants outstanding

15,11,14 FREMONT BANCORPORATION FREMONT CA 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in full; warrants not outstanding

FREMONT BANCORPORATION FREMONT CA 25-Jul-12 $35,000,000.00 35,000,000 $1.00 $1,750,000.00 1,750,000

44,8,14 FRESNO FIRST BANK FRESNO CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in full; warrants not outstanding

FRESNO FIRST BANK FRESNO CA 1-Nov-12 $1,968,000.00 1,968 $1,000.00 $98,000.00 98

15,11,14 FRONTIER BANCSHARES, INC AUSTIN TX 24-Apr-09 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in full; warrants not outstanding

FRONTIER BANCSHARES, INC AUSTIN TX 24-Nov-09 $1,600,000.00 1,600,000 $1.00

FRONTIER BANCSHARES, INC AUSTIN TX 6-Oct-10 $1,400,000.00 1,400,000 $1.00 $150,000.00 150,000

11 FULTON FINANCIAL CORPORATION LANCASTER PA 23-Dec-08 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in full; warrants not outstanding

FULTON FINANCIAL CORPORATION LANCASTER PA 14-Jul-10 $376,500,000.00 376,500 $1,000.00

FULTON FINANCIAL CORPORATION LANCASTER PA 8-Sep-10 $10,800,000.00 5,509,756

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 8-May-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in full; warrants not outstanding

GATEWAY BANCSHARES, INC. RINGGOLD GA 13-Apr-12 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

11,8,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 6-Feb-09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in full; warrants not outstanding

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 16-Feb-11 $8,700,000.00 8,700 $1,000.00 $435,000.00 435

8 GEORGIA PRIMARY BANK ATLANTA GA 1-May-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $4,500,000.00 $0.00 Full investment outstanding; warrants outstanding

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 6-Mar-09 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in full; warrants not outstanding

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 29-Oct-12 $26,393.77 29 $910.10 ($2,606.23)

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 31-Oct-12 $4,494,221.94 4,938 $910.10 ($443,778.06) $214,595.28 248

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 11-Jan-13 ($25,000.00)

8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 26-Jun-09 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Currently not collectible

GOLD CANYON BANK GOLD CANYON AZ 5-Apr-13 ($1,607,000.00)

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in full; warrants not outstanding

GOLDMAN SACHS GROUP, INC. NEW YORK NY 17-Jun-09 $10,000,000,000.00 10,000,000 $1,000.00

GOLDMAN SACHS GROUP, INC. NEW YORK NY 22-Jul-09 $1,100,000,000.00 12,205,045

8 GOLDWATER BANK, N.A. SCOTTSDALE AZ 30-Jan-09 Preferred Stock w/ Exercised Warrants $2,568,000.00 $2,568,000.00 $145,750.00 Full investment outstanding; warrants outstanding

44,8,14 GRAND CAPITAL CORPORATION TULSA OK 24-Apr-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

GRAND CAPITAL CORPORATION TULSA OK 8-Sep-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 25-Sep-09 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $2,443,320.00 $797,110.88 Full investment outstanding; warrants outstanding

8 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 29-May-09 Preferred Stock w/ Exercised Warrants $3,076,000.00 $3,076,000.00 $0.00 Full investment outstanding; warrants outstanding

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 9-Jan-09 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in full; warrants not outstanding

GRANDSOUTH BANCORPORATION GREENVILLE SC 11-Dec-09 $6,319,000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 8-Sep-11 $15,319,000.00 15,319 $1,000.00 $450,000.00 450

15 GREAT RIVER HOLDING COMPANY BAXTER MN 17-Jul-09 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $8,400,000.00 $759,575.46 Full investment outstanding; warrants outstanding

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 5-Dec-08 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in full; warrants not outstanding

GREAT SOUTHERN BANCORP SPRINGFIELD MO 18-Aug-11 $58,000,000.00 58,000 $1,000.00

GREAT SOUTHERN BANCORP SPRINGFIELD MO 21-Sep-11 $6,436,364.00 909,091

GREEN BANKSHARES, INC. GREENEVILLE TN 23-Dec-08 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in full; warrants not outstanding

GREEN BANKSHARES, INC. GREENEVILLE TN 7-Sep-11 $68,700,000.00 72,278 $950.50 ($3,578,000.00)

11,8,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 27-Feb-09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in full; warrants not outstanding

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 14-Nov-12 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 23-Jan-13 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 24-Apr-13 $800,000.00 800 $1,000.00 $120,000.00 120

11,8,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 27-Feb-09 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in full; warrants not outstanding

GREEN CITY BANCSHARES, INC. GREEN CITY MO 14-Jul-10 $651,000.00 651 $1,000.00 $33,000.00 33

8 GREER BANCSHARES INCORPORATED GREER SC 30-Jan-09 Preferred Stock w/ Exercised Warrants $9,993,000.00 $9,993,000.00 $975,831.00 Full investment outstanding; warrants outstanding

8,68,97 GREGG BANCSHARES, INC. OZARK MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 Currently not collectible

GREGG BANCSHARES, INC. OZARK MO 13-Jul-12 ($825,000.00)

45,8,14 GUARANTY BANCORP, INC. WOODSVILLE NH 20-Feb-09 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in full; warrants not outstanding

GUARANTY BANCORP, INC. WOODSVILLE NH 15-Sep-11 $6,920,000.00 6,920 $1,000.00 $346,000.00 346

9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 25-Sep-09 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in full; warrants not outstanding

GUARANTY CAPITAL CORPORATION BELZONI MS 30-Jul-10 $14,000,000.00 14,000,000 $1.00

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 30-Jan-09 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in full; warrants not outstanding

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 13-Jun-12 $5,000,000.00 5,000 $1,000.00

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 26-Apr-13 $96,750.00 100 $967.50 ($3,250.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 29-Apr-13 $11,513,250.00 11,900 $967.50 ($386,750.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 15-May-13 $2,003,250.00 459,459

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 31-May-13 ($116,100.00)

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 25-Sep-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Currently not collectible

GULFSOUTH PRIVATE BANK DESTIN FL 19-Oct-12 ($7,500,000.00)

45,8,14 GULFSTREAM BANCSHARES, INC. STUART FL 26-Jun-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in full; warrants not outstanding

GULFSTREAM BANCSHARES, INC. STUART FL 18-Aug-11 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

11,8,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 20-Feb-09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in full; warrants not outstanding

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 13-Apr-11 $7,000,000.00 280 $25,000.00 $350,000.00 35

38 HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 31-Dec-08 Preferred Stock w/ Warrants $80,347,000.00 $80,347,000.00 $2,510,844.25 Full investment outstanding; warrants outstanding

8,9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 17-Jul-09 Preferred Stock $6,800,000.00 $6,800,000.00 $282,744.47 Full investment outstanding; warrants not outstanding

11,8,14 HAVILAND BANCSHARES, INC. HAVILAND KS 13-Mar-09 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in full; warrants not outstanding

HAVILAND BANCSHARES, INC. HAVILAND KS 29-Dec-10 $425,000.00 425 $1,000.00 $21,000.00 21

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 19-Dec-08 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in full; warrants not outstanding

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 9-May-12 $12,000,000.00 12,000 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 15-May-13 $18,255,000.00 18,255 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12-Jun-13 $540,000.00 287,134

HCSB FINANCIAL CORPORATION LORIS SC 6-Mar-09 Preferred Stock w/ Warrants $12,895,000.00 $12,895,000.00 $1,090,702.00 Full investment outstanding; warrants outstanding

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 11-Sep-09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in full; warrants not outstanding

HEARTLAND BANCSHARES, INC. FRANKLIN IN 17-Jul-12 $7,000,000.00 7,000 $1,000.00 $248,000.00 248

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 19-Dec-08 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in full; warrants not outstanding

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 15-Sep-11 $81,698,000.00 81,698 $1,000.00

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 28-Sep-11 $1,800,000.00 609,687

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 25-Sep-09 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in full; warrants not outstanding

HERITAGE BANKSHARES, INC. NORFOLK VA 16-Mar-11 $2,606,000.00 2,606 $1,000.00

HERITAGE BANKSHARES, INC. NORFOLK VA 11-Aug-11 $7,497,000.00 7,497 $1,000.00 $303,000.00 303

11 HERITAGE COMMERCE CORP. SAN JOSE CA 21-Nov-08 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in full; warrants not outstanding

HERITAGE COMMERCE CORP. SAN JOSE CA 7-Mar-12 $40,000,000.00 40,000 $1,000.00

HERITAGE COMMERCE CORP. SAN JOSE CA 10-Jun-13 $140,000.00 462,963
41

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 21-Nov-08 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in full; warrants not outstanding

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 22-Dec-10 $24,000,000.00 24,000 $1,000.00

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 17-Aug-11 $450,000.00 138,037

11 HERITAGE OAKS BANCORP PASO ROBLES CA 20-Mar-09 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in full; warrants not outstanding

HERITAGE OAKS BANCORP PASO ROBLES CA 17-Jul-13 $21,000,000.00 21,000 $1,000.00

HERITAGE OAKS BANCORP PASO ROBLES CA 7-Aug-13 $1,575,000.00 611,650

11 HF FINANCIAL CORP. SIOUX FALLS SD 21-Nov-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in full; warrants not outstanding

HF FINANCIAL CORP. SIOUX FALLS SD 3-Jun-09 $25,000,000.00 25,000 $1,000.00

HF FINANCIAL CORP. SIOUX FALLS SD 30-Jun-09 $650,000.00 302,419

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 8-May-09 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in full; warrants not outstanding

HIGHLANDS BANCORP, INC. VERNON NJ 22-Dec-09 $2,359,000.00

HIGHLANDS BANCORP, INC. VERNON NJ 22-Sep-11 $5,450,000.00 5,450 $1,000.00 $155,000.00 155

8 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $6,700,000.00 $6,700,000.00 $617,712.00 Full investment outstanding; warrants outstanding

11,8,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 30-Jan-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in full; warrants not outstanding

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 21-Apr-10 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

HMN FINANCIAL, INC. ROCHESTER MN 23-Dec-08 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $21,034,187.78 Sold, in full; warrants outstanding

HMN FINANCIAL, INC. ROCHESTER MN 7-Feb-13 $2,561,325.00 3,550 $721.50 ($988,675.00)

HMN FINANCIAL, INC. ROCHESTER MN 8-Feb-13 $16,197,675.00 22,450 $721.50 ($6,252,325.00)

HMN FINANCIAL, INC. ROCHESTER MN 26-Mar-13 ($187,590.00)

11 HOME BANCSHARES, INC. CONWAY AR 16-Jan-09 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in full; warrants not outstanding

HOME BANCSHARES, INC. CONWAY AR 6-Jul-11 $50,000,000.00 50,000 $1,000.00

HOME BANCSHARES, INC. CONWAY AR 27-Jul-11 $1,300,000.00 158,472

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 20-Feb-09 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in full; warrants not outstanding

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 28-Aug-13 $3,250,000.00 3,250 $1,000.00 $163,000.00 163

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in full; warrants not outstanding

HOMETOWN BANCSHARES, INC. CORBIN KY 28-Nov-12 $608,170.50 645 $942.90 ($36,829.50)

HOMETOWN BANCSHARES, INC. CORBIN KY 30-Nov-12 $1,183,339.50 1,255 $942.90 ($71,660.50) $70,095.00 95

HOMETOWN BANCSHARES, INC. CORBIN KY 11-Jan-13 ($17,915.11)

HOMETOWN BANCSHARES, INC. CORBIN KY 26-Mar-13 ($7,084.89)

8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 18-Sep-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in full; warrants not outstanding

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 31-Oct-12 $9,185,000.00 10,000 $918.50 ($815,000.00) $315,461.52 374

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 11-Jan-13 ($91,850.00)

11 HOPFED BANCORP HOPKINSVILLE KY 12-Dec-08 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in full; warrants not outstanding

HOPFED BANCORP HOPKINSVILLE KY 19-Dec-12 $18,400,000.00 18,400 $1,000.00

HOPFED BANCORP HOPKINSVILLE KY 16-Jan-13 $256,257.00 253,666

11,45 HORIZON BANCORP MICHIGAN CITY IN 19-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in full; warrants not outstanding

HORIZON BANCORP MICHIGAN CITY IN 10-Nov-10 $6,250,000.00 6,250 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 25-Aug-11 $18,750,000.00 18,750 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 23-Nov-11 $1,750,551.00 212,188

44,8,14 HOWARD BANCORP, INC. ELLICOTT CITY MD 27-Feb-09 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in full; warrants not outstanding

HOWARD BANCORP, INC. ELLICOTT CITY MD 22-Sep-11 $5,983,000.00 5,983 $1,000.00 $299,000.00 299

8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 1-May-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in full; warrants not outstanding

HPK FINANCIAL CORPORATION CHICAGO IL 13-Nov-09 $5,000,000.00

HPK FINANCIAL CORPORATION CHICAGO IL 11-Dec-12 $9,000,000.00 9,000 $1,000.00 $344,000.00 344

11 HUNTINGTON BANCSHARES COLUMBUS OH 14-Nov-08 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in full; warrants not outstanding

HUNTINGTON BANCSHARES COLUMBUS OH 22-Dec-10 $1,398,071,000.00 1,398,071 $1,000.00

HUNTINGTON BANCSHARES COLUMBUS OH 19-Jan-11 $49,100,000.00 23,562,994

8,14 HYPERION BANK PHILADELPHIA PA 6-Feb-09 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in full; warrants not outstanding

HYPERION BANK PHILADELPHIA PA 20-Dec-12 $1,008,800.00 1,552 $650.00 ($543,200.00) $25,700.00 78

HYPERION BANK PHILADELPHIA PA 11-Jan-13 ($10,088.00)

HYPERION BANK PHILADELPHIA PA 26-Mar-13 ($14,912.00)

8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 18-Sep-09 Preferred Stock w/ Exercised Warrants $5,976,000.00 $5,976,000.00 $916,227.47 Full investment outstanding; warrants outstanding

9,15,36 IBC BANCORP, INC. CHICAGO IL 15-May-09 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in full; warrants not outstanding

IBC BANCORP, INC. CHICAGO IL 10-Sep-10 $4,205,000.00 4,205,000 $1.00

12,16 IBERIABANK CORPORATION LAFAYETTE LA 5-Dec-08 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in full; warrants not outstanding

IBERIABANK CORPORATION LAFAYETTE LA 31-Mar-09 $90,000,000.00 90,000 $1,000.00

IBERIABANK CORPORATION LAFAYETTE LA 20-May-09 $1,200,000.00 138,490

8,14 IBT BANCORP, INC. IRVING TX 27-Mar-09 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in full; warrants not outstanding

IBT BANCORP, INC. IRVING TX 12-Jun-13 $2,295,000.00 2,295 $1,000.00 $115,000.00 115

11,8,10 IBW FINANCIAL CORPORATION WASHINGTON DC 13-Mar-09 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in full; warrants not outstanding

IBW FINANCIAL CORPORATION WASHINGTON DC 3-Sep-10 $6,000,000.00 6,000 $1,000.00

44,8,14 ICB FINANCIAL ONTARIO CA 6-Mar-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in full; warrants not outstanding

ICB FINANCIAL ONTARIO CA 1-Nov-12 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

8 IDAHO BANCORP BOISE ID 16-Jan-09 Preferred Stock w/ Exercised Warrants $6,900,000.00 $6,900,000.00 $124,305.92 Full investment outstanding; warrants outstanding

8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 22-May-09 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in full; warrants not outstanding

ILLINOIS STATE BANCORP, INC. CHICAGO IL 29-Dec-09 $4,000,000.00

ILLINOIS STATE BANCORP, INC. CHICAGO IL 22-Sep-11 $10,272,000.00 10,272 $1,000.00 $406,000.00 406

8 INDEPENDENCE BANK EAST GREENWICH RI 9-Jan-09 Preferred Stock w/ Exercised Warrants $1,065,000.00 $1,065,000.00 $266,892.00 Full investment outstanding; warrants outstanding

11 INDEPENDENT BANK CORP. ROCKLAND MA 9-Jan-09 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORP. ROCKLAND MA 22-Apr-09 $78,158,000.00 78,158 $1,000.00

INDEPENDENT BANK CORP. ROCKLAND MA 27-May-09 $2,200,000.00 481,664

29 INDEPENDENT BANK CORPORATION IONIA MI 12-Dec-08 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORPORATION IONIA MI 30-Aug-13 $72,000,000.00 72,000 $1,000.00 $2,426,000.00

8,22,92,97 INDIANA BANK CORP. DANA IN 24-Apr-09 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 Currently not collectible

INDIANA BANK CORP. DANA IN 9-Apr-13 ($1,312,000.00)

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12-Dec-08 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in full; warrants not outstanding

INDIANA COMMUNITY BANCORP COLUMBUS IN 12-Sep-12 $21,500,000.00 21,500 $1,000.00 $1,800,000.00 188,707

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 27-Feb-09 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 Currently not collectible

INTEGRA BANK CORPORATION EVANSVILLE IN 29-Jul-11 ($83,586,000.00)

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 19-Dec-08 Preferred Stock w/ Warrants $27,000,000.00 $27,000,000.00 $6,588,634.23 Full investment outstanding; warrants outstanding

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 23-Dec-08 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in full; warrants not outstanding

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11-Jul-12 $40,000,000.00 40,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 1-Nov-12 $45,000,000.00 45,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 28-Nov-12 $131,000,000.00 131,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11-Jun-13 $4,018,511.00 1,326,238

INTERVEST BANCSHARES CORPORATION NEW YORK NY 23-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,035,555.56 Sold, in full; warrants outstanding
42

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

INTERVEST BANCSHARES CORPORATION NEW YORK NY 24-Jun-13 $24,250,000.00 25,000 $970.00 ($750,000.00)

INTERVEST BANCSHARES CORPORATION NEW YORK NY 26-Jul-13 ($242,500.00)

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 8-May-09 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 Currently not collectible

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 19-Oct-12 ($4,000,000.00)

11 JPMORGAN CHASE & CO. NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in full; warrants not outstanding

JPMORGAN CHASE & CO. NEW YORK NY 17-Jun-09 $25,000,000,000.00 2,500,000 $10,000.00

JPMORGAN CHASE & CO. NEW YORK NY 16-Dec-09 $936,063,469.11 88,401,697

44,8,14 KATAHDIN BANKSHARES CORP. HOULTON ME 30-Jan-09 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in full; warrants not outstanding

KATAHDIN BANKSHARES CORP. HOULTON ME 18-Aug-11 $10,449,000.00 10,449 $1,000.00 $522,000.00 522

11 KEYCORP CLEVELAND OH 14-Nov-08 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in full; warrants not outstanding

KEYCORP CLEVELAND OH 30-Mar-11 $2,500,000,000.00 25,000 $100,000.00

KEYCORP CLEVELAND OH 20-Apr-11 $70,000,000.00 35,244,361

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 20-Mar-09 Preferred Stock w/ Exercised Warrants $470,000.00 $470,000.00 $112,975.00 Full investment outstanding; warrants outstanding

8,14 KS BANCORP, INC SMITHFIELD NC 21-Aug-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in full; warrants not outstanding

KS BANCORP, INC SMITHFIELD NC 30-Nov-12 $3,308,000.00 4,000 $827.00 ($692,000.00) $140,400.00 200

KS BANCORP, INC SMITHFIELD NC 11-Jan-13 ($25,000.00)

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 20-Feb-09 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in full; warrants not outstanding

LAFAYETTE BANCORP, INC. OXFORD MS 29-Dec-09 $2,453,000.00

LAFAYETTE BANCORP, INC. OXFORD MS 29-Sep-10 $4,451,000.00 4,451 $1,000.00 $100,000.00 100

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 6-Feb-09 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in full; warrants not outstanding

LAKELAND BANCORP, INC. OAK RIDGE NJ 4-Aug-10 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 16-Mar-11 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 8-Feb-12 $19,000,000.00 19,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 29-Feb-12 $2,800,000.00 997,050

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 27-Feb-09 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in full; warrants not outstanding

LAKELAND FINANCIAL CORPORATION WARSAW IN 9-Jun-10 $56,044,000.00 56,044 $1,000.00

LAKELAND FINANCIAL CORPORATION WARSAW IN 22-Nov-11 $877,557.00 198,269

8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 18-Dec-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in full; warrants not outstanding

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 29-Nov-12 $2,370,930.00 3,000 $790.30 ($629,070.00) $104,375.00 150

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11-Jan-13 ($23,709.29)

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 26-Mar-13 ($1,290.71)

11 LCNB CORP. LEBANON OH 9-Jan-09 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in full; warrants not outstanding

LCNB CORP. LEBANON OH 21-Oct-09 $13,400,000.00 13,400 $1,000.00

LCNB CORP. LEBANON OH 22-Nov-11 $602,557.00 217,063

11,8,14 LEADER BANCORP, INC. ARLINGTON MA 23-Dec-08 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in full; warrants not outstanding

LEADER BANCORP, INC. ARLINGTON MA 24-Nov-10 $5,830,000.00 5,830 $1,000.00 $292,000.00 292

9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 30-Jan-09 Preferred Stock $5,498,000.00 $0.00 $355,079.00 Currently not collectible

LEGACY BANCORP, INC. MILWAUKEE WI 11-Mar-11 ($5,498,000.00)

45,8,14 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 23-Jan-09 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 21-Jul-11 $57,500,000.00 57,500 $1,000.00 $2,875,000.00 2,875

45,8,14 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 18-Aug-11 $21,900,000.00 21,900 $1,000.00 $1,095,000.00 1,095

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 4-Dec-09 Preferred Stock w/ Exercised Warrants $6,500,000.00 $6,500,000.00 $1,266,816.22 Full investment outstanding; warrants outstanding

11,9,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 6-Feb-09 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in full; warrants not outstanding

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 24-Sep-10 $5,645,000.00 5,645 $1,000.00

8 LIBERTY SHARES, INC. HINESVILLE GA 20-Feb-09 Preferred Stock w/ Exercised Warrants $17,280,000.00 $17,280,000.00 $1,399,560.00 Full investment outstanding; warrants outstanding

11 LINCOLN NATIONAL CORPORATION RADNOR PA 10-Jul-09 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in full; warrants not outstanding

LINCOLN NATIONAL CORPORATION RADNOR PA 30-Jun-10 $950,000,000.00 950,000 $1,000.00

LINCOLN NATIONAL CORPORATION RADNOR PA 22-Sep-10 $213,671,319.20 13,049,451

LNB BANCORP, INC. LORAIN OH 12-Dec-08 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in full; warrants not outstanding

LNB BANCORP, INC. LORAIN OH 19-Jun-12 $21,923,074.91 ($328,846.12) 25,223 $869.20 ($3,299,925.09)

LNB BANCORP, INC. LORAIN OH 18-Jul-12 $860,326.00 561,343

8 LONE STAR BANK HOUSTON TX 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,072,000.00 $3,072,000.00 $0.00 Full investment outstanding; warrants outstanding

11 LSB CORPORATION NORTH ANDOVER MA 12-Dec-08 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in full; warrants not outstanding

LSB CORPORATION NORTH ANDOVER MA 18-Nov-09 $15,000,000.00 15,000 $1,000.00

LSB CORPORATION NORTH ANDOVER MA 16-Dec-09 $560,000.00 209,497

8,9,17 M&F BANCORP, INC. DURHAM NC 26-Jun-09 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in full; warrants not outstanding

M&F BANCORP, INC. DURHAM NC 20-Aug-10 $11,735,000.00 11,735 $1,000.00

11 M&T BANK CORPORATION BUFFALO NY 23-Dec-08 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in full; warrants not outstanding

M&T BANK CORPORATION BUFFALO NY 18-May-11 $370,000,000.00 370,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 21-Aug-12 $230,000,000.00 230,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 17-Dec-12 $31,838,761.34 1,218,522

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 24-Apr-09 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in full; warrants not outstanding

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 29-Aug-12 $10,538,990.00 ($158,084.85) 11,000 $958.10 ($461,010.00)

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 19-Dec-12 $1,300,000.00 398,734

8 MADISON FINANCIAL CORPORATION RICHMOND KY 13-Mar-09 Preferred Stock w/ Exercised Warrants $3,370,000.00 $3,370,000.00 $169,421.50 Full investment outstanding; warrants outstanding

44,11,8 MAGNA BANK MEMPHIS TN 23-Dec-08 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in full; warrants not outstanding

MAGNA BANK MEMPHIS TN 24-Nov-09 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 8-Jun-11 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 18-Aug-11 $6,885,000.00 6,885 $1,000.00 $690,000.00 690

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 29-Dec-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in full; warrants not outstanding

MAINLINE BANCORP, INC. EBENSBURG PA 9-Mar-12 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 16-Jan-09 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in full; warrants not outstanding

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 3-Apr-12 $53,073,270.00 ($796,099.05) 57,000 $931.10 ($3,926,730.00)

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 11-Jun-13 $1,512,177.00 571,906

11 MANHATTAN BANCORP EL SEGUNDO CA 5-Dec-08 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in full; warrants not outstanding

MANHATTAN BANCORP EL SEGUNDO CA 16-Sep-09 $1,700,000.00 1,700 $1,000.00

MANHATTAN BANCORP EL SEGUNDO CA 14-Oct-09 $63,363.90 29,480

15,14 MANHATTAN BANCSHARES, INC. MANHATTAN IL 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in full; warrants not outstanding

MANHATTAN BANCSHARES, INC. MANHATTAN IL 10-Dec-12 $11,385.02 14,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11-Dec-12 $2,586,404.73 2,639,000 $0.98 ($52,595.27) $95,959.50 118,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11-Jan-13 ($25,000.00)

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $235,713.00 Full investment outstanding; warrants outstanding

8 MARKET BANCORPORATION, INC. NEW MARKET MN 20-Feb-09 Preferred Stock w/ Exercised Warrants $2,060,000.00 $2,060,000.00 $138,778.00 Full investment outstanding; warrants outstanding

15,14 MARKET STREET BANCSHARES, INC. MT. VERNON IL 15-May-09 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in full; warrants not outstanding

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9-Aug-12 $17,919,962.10 19,931,000 $0.90 ($2,011,037.90) $727,225.54 895,000
43

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

MARKET STREET BANCSHARES, INC. MT. VERNON IL 10-Aug-12 $331,767.90 369,000 $0.90 ($37,232.10) $97,505.10 120,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 11-Sep-12 ($182,517.30)

8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 19-Dec-08 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; warrants not outstanding

MARQUETTE NATIONAL CORPORATION CHICAGO IL 7-Aug-12 $2,530,958.50 3,514 $720.20 ($983,041.50) $142,974.56 175

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9-Aug-12 $5,904,609.50 8,198 $720.20 ($2,293,390.50) $1,054,743.77 1,291

MARQUETTE NATIONAL CORPORATION CHICAGO IL 10-Aug-12 $17,133,307.00 23,788 $720.20 ($6,654,693.00) $252,452.23 309

MARQUETTE NATIONAL CORPORATION CHICAGO IL 11-Sep-12 ($255,688.75)

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 14-Nov-08 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in full; warrants not outstanding

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 5-Jul-11 $1,715,000,000.00 1,715,000 $1,000.00 $3,250,000.00 13,815,789

8 MARYLAND FINANCIAL BANK TOWSON MD 27-Mar-09 Preferred Stock w/ Exercised Warrants $1,700,000.00 $1,700,000.00 $313,465.50 Full investment outstanding; warrants outstanding

11 MB FINANCIAL INC. CHICAGO IL 5-Dec-08 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in full; warrants not outstanding

MB FINANCIAL INC. CHICAGO IL 14-Mar-12 $196,000,000.00 196,000 $1,000.00

MB FINANCIAL INC. CHICAGO IL 2-May-12 $1,518,072.00 506,024

8,45,14 MCLEOD BANCSHARES, INC. SHOREWOOD MN 20-Nov-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in full; warrants not outstanding

MCLEOD BANCSHARES, INC. SHOREWOOD MN 18-Aug-11 $6,000,000.00 600 $10,000.00 $300,000.00 30

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 27-Feb-09 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in full; warrants not outstanding

MEDALLION BANK SALT LAKE CITY UT 22-Dec-09 $9,698,000.00

MEDALLION BANK SALT LAKE CITY UT 21-Jul-11 $21,498,000.00 21,498 $1,000.00 $645,000.00 645

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 15-May-09 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in full; warrants not outstanding

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4-Apr-12 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6-Jun-12 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 3-Jul-12 $7,465,100.00 616,438

44,8,14 MERCANTILE CAPITAL CORPORATION BOSTON MA 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in full; warrants not outstanding

MERCANTILE CAPITAL CORPORATION BOSTON MA 4-Aug-11 $3,500,000.00 3,500 $1,000.00 $175,000.00 175

56,8,14 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 6-Mar-09 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in full; warrants not outstanding

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 7-Sep-11 $1,881,000.00 1,881 $1,000.00 $94,000.00 94

8,44,14 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 19-Jun-09 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in full; warrants not outstanding

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 8-Sep-11 $3,510,000.00 3,510 $1,000.00 $176,000.00 176

8,18 MERIDIAN BANK DEVON PA 13-Feb-09 Preferred Stock w/ Exercised Warrants $6,200,000.00 $12,535,000.00 $2,687,363.11 Full investment outstanding; warrants outstanding

MERIDIAN BANK DEVON PA 11-Dec-09 $6,335,000.00

8,14 METRO CITY BANK DORAVILLE GA 30-Jan-09 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in full; warrants not outstanding

METRO CITY BANK DORAVILLE GA 29-Oct-12 $26,102.90 29 $900.10 ($2,897.10)

METRO CITY BANK DORAVILLE GA 1-Nov-12 $6,904,667.10 7,671 $900.10 ($766,332.90) $369,948.00 385

METRO CITY BANK DORAVILLE GA 11-Jan-13 ($69,307.70)

METROCORP BANCSHARES, INC. HOUSTON TX 16-Jan-09 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in full; warrants not outstanding

METROCORP BANCSHARES, INC. HOUSTON TX 3-Jul-12 $44,152,650.00 ($662,289.75) 45,000 $981.20 ($847,350.00)

METROCORP BANCSHARES, INC. HOUSTON TX 11-Jun-13 $2,087,368.00 771,429

8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 26-Jun-09 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in full; warrants not outstanding

METROPOLITAN BANK GROUP, INC. CHICAGO IL 28-Jun-13 $23,718,541.95 71,526 $331.60 ($47,807,458.06)

8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 10-Apr-09 Preferred Stock w/ Warrants $2,040,000.00 $4,388,000.00 $921,944.44 Full investment outstanding; warrants outstanding

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 20-Nov-09 $2,348,000.00

11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 19-Dec-08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in full; warrants not outstanding

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 28-Dec-12 $10,000,000.00 10,000 $1,000.00

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 23-Jan-13 $58,479.20 73,099

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 30-Jan-09 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in full; warrants not outstanding

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 23-Dec-09 $22,000,000.00 22,000 $1,000.00

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 18-Nov-11 $301,001.00 104,101

11,8,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 23-Jan-09 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in full; warrants not outstanding

MIDLAND STATES BANCORP, INC. EFFINGHAM IL 23-Dec-09 $10,189,000.00 10,189 $1,000.00 $509,000.00 509

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 9-Jan-09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in full; warrants not outstanding

MIDSOUTH BANCORP, INC. LAFAYETTE LA 25-Aug-11 $20,000,000.00 20,000 $1,000.00

MIDSOUTH BANCORP, INC. LAFAYETTE LA 22-Nov-11 $206,557.00 104,384

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 27-Feb-09 Preferred Stock w/ Exercised Warrants $5,222,000.00 $5,222,000.00 $275,104.50 Full investment outstanding; warrants outstanding

22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5-Dec-08 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Currently not collectible

MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 14-May-10 ($84,784,000.00)

11,8,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLEFESTUS MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in full; warrants not outstanding

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLEFESTUS MO 10-Nov-09 $700,000.00 700 $1,000.00 $35,000.00 35

11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 6-Feb-09 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in full; warrants not outstanding

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 6-Jul-11 $16,000,000.00 16,000 $1,000.00

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 27-Jul-11 $1,000,000.00 198,675

11,8,14 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 20-Feb-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in full; warrants not outstanding

MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 26-Apr-13 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 MILLENNIUM BANCORP, INC. EDWARDS CO 3-Apr-09 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in full; warrants not outstanding

MILLENNIUM BANCORP, INC. EDWARDS CO 14-Aug-12 $2,904,000.00 7,260 $400.00 ($4,356,000.00)

11,9 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 9-Jan-09 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in full; warrants not outstanding

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 28-Dec-11 $5,116,000.00 5,116 $1,000.00

11,9,36 MISSION VALLEY BANCORP SUN VALLEY CA 23-Dec-08 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in full; warrants not outstanding

MISSION VALLEY BANCORP SUN VALLEY CA 20-Aug-10 $5,500,000.00 5,500 $1,000.00

11,8,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 19-Dec-08 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in full; warrants not outstanding

MONADNOCK BANCORP, INC. PETERBOROUGH NH 28-Dec-12 $1,834,000.00 1,834 $1,000.00 $92,000.00 92

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 6-Feb-09 Preferred Stock w/ Warrants $6,785,000.00 $6,785,000.00 $262,919.00 Full investment outstanding; warrants outstanding

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 19-Dec-08 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in full; warrants not outstanding

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 23-Dec-09 $14,700,000.00 14,700 $1,000.00

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 10-Feb-10 $260,000.00 132,353

45,8,14 MONEYTREE CORPORATION LENOIR CITY TN 13-Mar-09 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in full; warrants not outstanding

MONEYTREE CORPORATION LENOIR CITY TN 15-Sep-11 $9,516,000.00 9,516 $1,000.00 $476,000.00 476

44,8,14 MONUMENT BANK BETHESDA MD 30-Jan-09 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in full; warrants not outstanding

MONUMENT BANK BETHESDA MD 11-Aug-11 $4,734,000.00 4,734 $1,000.00 $237,000.00 237

11 MORGAN STANLEY NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in full; warrants not outstanding

MORGAN STANLEY NEW YORK NY 17-Jun-09 $10,000,000,000.00 10,000,000 $1,000.00

MORGAN STANLEY NEW YORK NY 12-Aug-09 $950,000,000.00 65,245,759

11,8,14 MORRILL BANCSHARES, INC. MERRIAM KS 16-Jan-09 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in full; warrants not outstanding

MORRILL BANCSHARES, INC. MERRIAM KS 20-Jul-11 $13,000,000.00 13,000 $1,000.00 $650,000.00 650

11,8,14 MOSCOW BANCSHARES, INC. MOSCOW TN 23-Jan-09 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in full; warrants not outstanding

MOSCOW BANCSHARES, INC. MOSCOW TN 25-Apr-12 $1,100,000.00 1,100 $1,000.00

MOSCOW BANCSHARES, INC. MOSCOW TN 5-Dec-12 $5,116,000.00 5,116 $1,000.00 $311,000.00 311
44

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 25-Sep-09 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in full; warrants not outstanding

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 22-Jul-13 $3,267,000.00 3,300 $990.00 ($33,000.00) $140,034.65 165

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 12-Sep-13 ($25,000.00)

11,8,14 MS FINANCIAL, INC. KINGWOOD TX 27-Mar-09 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in full; warrants not outstanding

MS FINANCIAL, INC. KINGWOOD TX 19-Oct-11 $7,723,000.00 7,723 $1,000.00 $386,000.00 386

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 23-Dec-08 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in full; warrants not outstanding

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 25-Aug-11 $32,382,000.00 32,382 $1,000.00

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 28-Sep-11 $900,194.00 625,135

8 NAPLES BANCORP, INC. NAPLES FL 27-Mar-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in full; warrants not outstanding

NAPLES BANCORP, INC. NAPLES FL 12-Jul-12 $600,000.00 4,000 $150.00 ($3,400,000.00)

59,11 NARA BANCORP, INC. LOS ANGELES CA 21-Nov-08 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in full; warrants not outstanding

NARA BANCORP, INC. LOS ANGELES CA 27-Jun-12 $67,000,000.00 67,000 $1,000.00

NARA BANCORP, INC. LOS ANGELES CA 8-Aug-12 $2,189,317.20 521,266

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 27-Feb-09 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in full; warrants not outstanding

NATIONAL BANCSHARES, INC. BETTENDORF IA 19-Feb-13 $2,438,182.50 3,250 $750.20 ($811,817.50) $342,841.95 500

NATIONAL BANCSHARES, INC. BETTENDORF IA 20-Feb-13 $16,064,996.94 21,414 $750.20 ($5,349,003.06) $502,606.30 733

NATIONAL BANCSHARES, INC. BETTENDORF IA 26-Mar-13 ($185,031.79)

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12-Dec-08 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in full; warrants not outstanding

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 16-Mar-11 $150,000,000.00 150,000 $1,000.00

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 13-Apr-11 $1,000,000.00 735,294

15,11,14 NATIONWIDE BANKSHARES, INC. WEST POINT NE 11-Dec-09 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in full; warrants not outstanding

NATIONWIDE BANKSHARES, INC. WEST POINT NE 29-Dec-10 $2,000,000.00 2,000,000 $1.00 $100,000.00 100,000

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 26-Jun-09 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; warrants not outstanding

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 28-Jun-13 $2,281,458.05 6,880 $331.60 ($4,598,541.95)

8 NCAL BANCORP LOS ANGELES CA 19-Dec-08 Preferred Stock w/ Exercised Warrants $10,000,000.00 $10,000,000.00 $1,311,027.78 Full investment outstanding; warrants outstanding

15,11,14 NEMO BANCSHARES, INC. MADISON MO 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in full; warrants not outstanding

NEMO BANCSHARES, INC. MADISON MO 24-Apr-13 $2,330,000.00 2,330,000 $1.00 $117,000.00 117,000

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 16-Jan-09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in full; warrants not outstanding

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 25-Aug-11 $10,000,000.00 10,000 $1,000.00

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 15-Feb-12 $737,100.00 184,275

11,8,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 9-Jan-09 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in full; warrants not outstanding

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 24-Jul-13 $267,274,000.00 267,274 $1,000.00 $13,364,000.00 13,364

NEWBRIDGE BANCORP GREENSBORO NC 12-Dec-08 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in full; warrants not outstanding

NEWBRIDGE BANCORP GREENSBORO NC 26-Apr-13 $2,709,121.50 2,763 $980.50 ($53,878.50)

NEWBRIDGE BANCORP GREENSBORO NC 29-Apr-13 $48,641,624.50 49,609 $980.50 ($967,375.50)

NEWBRIDGE BANCORP GREENSBORO NC 15-May-13 $7,778,782.65 2,567,255

NEWBRIDGE BANCORP GREENSBORO NC 31-May-13 ($513,507.46)

44,8,14 NICOLET BANKSHARES, INC. GREEN BAY WI 23-Dec-08 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in full; warrants not outstanding

NICOLET BANKSHARES, INC. GREEN BAY WI 1-Sep-11 $14,964,000.00 14,964 $1,000.00 $748,000.00 748

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 9-Jan-09 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in full; warrants not outstanding

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 14-Dec-11 $10,200,000.00 10,200 $1,000.00

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 11-Jan-12 $600,000.00 99,157

11 NORTHEAST BANCORP LEWISTON ME 12-Dec-08 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in full; warrants not outstanding

NORTHEAST BANCORP LEWISTON ME 28-Nov-12 $4,227,000.00 4,227 $1,000.00

NORTHEAST BANCORP LEWISTON ME 28-Dec-12 $95,000.00 67,958

8,11,14,18 NORTHERN STATE BANK CLOSTER NJ 15-May-09 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in full; warrants not outstanding

NORTHERN STATE BANK CLOSTER NJ 18-Dec-09 $1,230,000.00

NORTHERN STATE BANK CLOSTER NJ 28-Mar-12 $2,571,000.00 2,571 $1,000.00 $67,000.00 67

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 20-Feb-09 Preferred Stock w/ Warrants $17,211,000.00 $17,211,000.00 $418,322.50 Full investment outstanding; warrants outstanding

11 NORTHERN TRUST CORPORATION CHICAGO IL 14-Nov-08 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in full; warrants not outstanding

NORTHERN TRUST CORPORATION CHICAGO IL 17-Jun-09 $1,576,000,000.00 1,576,000 $1,000.00

NORTHERN TRUST CORPORATION CHICAGO IL 26-Aug-09 $87,000,000.00 3,824,624

44,8,14 NORTHWAY FINANCIAL, INC. BERLIN NH 30-Jan-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in full; warrants not outstanding

NORTHWAY FINANCIAL, INC. BERLIN NH 15-Sep-11 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 13-Feb-09 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in full; warrants not outstanding

NORTHWEST BANCORPORATION, INC. SPOKANE WA 8-Mar-13 $2,000,000.00 2,000 $1,032.10 $64,220.00

NORTHWEST BANCORPORATION, INC. SPOKANE WA 11-Mar-13 $8,500,000.00 8,500 $1,032.10 $272,935.00 $587,634.55 525

NORTHWEST BANCORPORATION, INC. SPOKANE WA 9-Apr-13 ($108,371.55)

11,8,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in full; warrants not outstanding

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 9-Jan-13 $1,992,000.00 1,992 $1,000.00 $100,000.00 100

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 30-Jan-09 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in full; warrants not outstanding

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 31-Oct-12 $7,095,550.00 7,700 $921.50 ($604,450.00)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 11-Jan-13 ($70,955.50)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 6-Feb-13 $122,887.50 163,830

45 OAK VALLEY BANCORP OAKDALE CA 5-Dec-08 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in full; warrants not outstanding

OAK VALLEY BANCORP OAKDALE CA 11-Aug-11 $13,500,000.00 13,500 $1,000.00

OAK VALLEY BANCORP OAKDALE CA 28-Sep-11 $560,000.00 350,346

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 16-Jan-09 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in full; warrants not outstanding

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 30-Dec-09 $38,263,000.00 38,263 $1,000.00

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 3-Feb-10 $430,797.00 190,427

8 OJAI COMMUNITY BANK OJAI CA 30-Jan-09 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in full; warrants not outstanding

OJAI COMMUNITY BANK OJAI CA 25-Sep-13 $2,080,000.00 2,080 $1,000.00 $104,000.00 104

11 OLD LINE BANCSHARES, INC. BOWIE MD 5-Dec-08 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in full; warrants not outstanding

OLD LINE BANCSHARES, INC. BOWIE MD 15-Jul-09 $7,000,000.00 7,000 $1,000.00

OLD LINE BANCSHARES, INC. BOWIE MD 2-Sep-09 $225,000.00 141,892

11 OLD NATIONAL BANCORP EVANSVILLE IN 12-Dec-08 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in full; warrants not outstanding

OLD NATIONAL BANCORP EVANSVILLE IN 31-Mar-09 $100,000,000.00 100,000 $1,000.00

OLD NATIONAL BANCORP EVANSVILLE IN 8-May-09 $1,200,000.00 813,008

OLD SECOND BANCORP, INC. AURORA IL 16-Jan-09 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in full; warrants not outstanding

OLD SECOND BANCORP, INC. AURORA IL 11-Mar-13 $24,684,870.00 70,028 $352.50 ($45,343,130.00)

OLD SECOND BANCORP, INC. AURORA IL 26-Mar-13 $452,424.00 1,200 $377.00 ($747,576.00)

OLD SECOND BANCORP, INC. AURORA IL 27-Mar-13 $668,079.44 1,772 $377.00 ($1,103,920.56)

OLD SECOND BANCORP, INC. AURORA IL 9-Apr-13 ($258,053.73)

OLD SECOND BANCORP, INC. AURORA IL 11-Jun-13 $106,891.00 815,339

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 17-Apr-09 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in full; warrants not outstanding

OMEGA CAPITAL CORP. LAKEWOOD CO 19-Jul-13 $1,239,000.00 1,239 $1,142.90 $177,053.10
45

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

OMEGA CAPITAL CORP. LAKEWOOD CO 22-Jul-13 $1,577,000.00 1,577 $1,142.90 $225,353.30 $159,886.25 141

OMEGA CAPITAL CORP. LAKEWOOD CO 12-Sep-13 ($25,000.00)

8,51,97 ONE GEORGIA BANK ATLANTA GA 8-May-09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Currently not collectible

ONE GEORGIA BANK ATLANTA GA 15-Jul-11 ($5,500,000.00)

8,9 ONE UNITED BANK BOSTON MA 19-Dec-08 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investment outstanding; warrants not outstanding

15,17 ONEFINANCIAL CORPORATION LITTLE ROCK AR 5-Jun-09 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $17,300,000.00 $3,782,990.59 Full investment outstanding; warrants outstanding

8 OREGON BANCORP, INC. SALEM OR 24-Apr-09 Preferred Stock w/ Exercised Warrants $3,216,000.00 $3,216,000.00 $755,207.50 Full investment outstanding; warrants outstanding

15,11,14 OSB FINANCIAL SERVICES, INC. ORANGE TX 1-May-09 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in full; warrants not outstanding

OSB FINANCIAL SERVICES, INC. ORANGE TX 5-Oct-11 $6,100,000.00 6,100,000 $1.00 $305,000.00 305,000

35,11 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 21-Nov-08 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in full; warrants not outstanding

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 23-Feb-11 $14.75 1 $29.50 ($10.28)

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 30-Nov-12 $165,983,272.00 3,608,332 $46.00 ($14,650,702.97) $393,120.78 15,120

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19-Dec-08 Preferred Stock w/ Exercised Warrants $16,200,000.00 $16,200,000.00 $358,065.00 Full investment outstanding; warrants outstanding

45,8,14 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in full; warrants not outstanding

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 28-Jul-11 $11,600,000.00 11,600 $1,000.00 $580,000.00 580

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 16-Jan-09 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Exited bankruptcy/receivership

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 11-Feb-10 ($4,120,000.00)

8 PACIFIC COMMERCE BANK LOS ANGELES CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,060,000.00 $4,060,000.00 $387,222.50 Full investment outstanding; warrants outstanding

85 PACIFIC INTERNATIONAL BANCORP SEATTLE WA 12-Dec-08 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, in full; warrants outstanding

PACIFIC INTERNATIONAL BANCORP SEATTLE WA 15-Feb-13 $6,500,000.00 6,500 $1,000.00

8,14 PARK BANCORPORATION, INC. MADISON WI 6-Mar-09 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in full; warrants not outstanding

PARK BANCORPORATION, INC. MADISON WI 7-Aug-12 $1,676,654.00 2,296 $730.20 ($619,346.00) $88,059.01 114

PARK BANCORPORATION, INC. MADISON WI 9-Aug-12 $4,048,506.00 5,544 $730.20 ($1,495,494.00) $482,779.69 625

PARK BANCORPORATION, INC. MADISON WI 10-Aug-12 $11,216,640.00 15,360 $730.20 ($4,143,360.00) $325,200.40 421

PARK BANCORPORATION, INC. MADISON WI 11-Sep-12 ($169,418.00)

11 PARK NATIONAL CORPORATION NEWARK OH 23-Dec-08 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in full; warrants not outstanding

PARK NATIONAL CORPORATION NEWARK OH 25-Apr-12 $100,000,000.00 100,000 $1,000.00

PARK NATIONAL CORPORATION NEWARK OH 2-May-12 $2,842,400.00 227,376

PARKE BANCORP, INC. SEWELL NJ 30-Jan-09 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in full; warrants not outstanding

PARKE BANCORP, INC. SEWELL NJ 28-Nov-12 $394,072.28 548 $719.10 ($153,927.72)

PARKE BANCORP, INC. SEWELL NJ 29-Nov-12 $11,318,791.40 15,740 $719.10 ($4,421,208.60)

PARKE BANCORP, INC. SEWELL NJ 11-Jan-13 ($117,128.64)

PARKE BANCORP, INC. SEWELL NJ 12-Jun-13 $1,650,288.00 438,906

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 23-Dec-08 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $36,570,413.89 Redeemed, in full; warrants outstanding

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 3-Jan-12 $31,762,000.00 31,762 $1,000.00

8,21,11 PASCACK BANCORP, INC. WESTWOOD NJ 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in full; warrants not outstanding

PASCACK BANCORP, INC. WESTWOOD NJ 19-Oct-11 $3,756,000.00 3,756 $1,000.00 $188,000.00 188

8 PATAPSCO BANCORP, INC. DUNDALK MD 19-Dec-08 Preferred Stock w/ Exercised Warrants $6,000,000.00 $6,000,000.00 $377,866.67 Full investment outstanding; warrants outstanding

44 PATHFINDER BANCORP, INC. OSWEGO NY 11-Sep-09 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in full; warrants not outstanding

PATHFINDER BANCORP, INC. OSWEGO NY 1-Sep-11 $6,771,000.00 6,771 $1,000.00

PATHFINDER BANCORP, INC. OSWEGO NY 1-Feb-12 $537,633.00 154,354

8,14 PATHWAY BANCORP CAIRO NE 27-Mar-09 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in full; warrants not outstanding

PATHWAY BANCORP CAIRO NE 24-Jun-13 $3,727,000.00 3,727 $1,167.00 $622,446.27 $226,565.00 186

PATHWAY BANCORP CAIRO NE 26-Jul-13 ($25,000.00)

8 PATRIOT BANCSHARES, INC. HOUSTON TX 19-Dec-08 Preferred Stock w/ Exercised Warrants $26,038,000.00 $26,038,000.00 $2,704,135.78 Full investment outstanding; warrants outstanding

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 17-Apr-09 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in full; warrants not outstanding

PATTERSON BANCSHARES, INC. PATTERSON LA 7-Mar-12 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 22-Aug-12 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 5-Dec-12 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 8-May-13 $500,000.00 500 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 5-Jun-13 $2,440,000.00 2,440 $1,000.00 $185,000.00 185

11 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 9-Jan-09 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in full; warrants not outstanding

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 6-Jan-10 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 2-Mar-11 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 11-Jan-12 $14,341,000.00 14,341 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4-Apr-12 $110,000.00 150,296

44,8,14 PENN LIBERTY FINANCIAL CORP. WAYNE PA 17-Apr-09 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in full; warrants not outstanding

PENN LIBERTY FINANCIAL CORP. WAYNE PA 1-Sep-11 $9,960,000.00 9,960 $1,000.00 $498,000.00 498

11 PEOPLES BANCORP (OH) MARIETTA OH 30-Jan-09 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (OH) MARIETTA OH 2-Feb-11 $21,000,000.00 21,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 28-Dec-11 $18,000,000.00 18,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 15-Feb-12 $1,200,724.15 313,505

56,8,14 PEOPLES BANCORP (WA) LYNDEN WA 13-Feb-09 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (WA) LYNDEN WA 3-Aug-11 $18,000,000.00 18,000 $1,000.00 $900,000.00 900

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 23-Dec-08 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in full; warrants not outstanding

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 3-Jul-12 $23,384,401.44 ($350,766.02) 25,054 $933.40 ($1,669,598.56)

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8-Aug-12 $425,000.00 357,234

8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 24-Apr-09 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in full; warrants not outstanding

PEOPLES BANCORPORATION, INC. EASLEY SC 24-Apr-12 $12,660,000.00 12,660 $1,000.00 $633,000.00 633

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 20-Mar-09 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in full; warrants not outstanding

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 31-Oct-12 $2,944,500.00 3,900 $755.00 ($955,500.00) $122,225.00 195

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 11-Jan-13 ($25,000.00)

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 6-Mar-09 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in full; warrants not outstanding

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 18-Sep-13 $12,325,000.00 12,325 $1,000.00 $616,000.00 616

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 11-Sep-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in full; warrants not outstanding

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 25-Aug-11 $1,500,000.00 1,500 $1,000.00 $71,000.00 71

11,9,36 PGB HOLDINGS, INC. CHICAGO IL 6-Feb-09 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in full; warrants not outstanding

PGB HOLDINGS, INC. CHICAGO IL 13-Aug-10 $3,000,000.00 3,000 $1,000.00

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 23-Jan-09 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 Currently not collectible

PIERCE COUNTY BANCORP TACOMA WA 5-Nov-10 ($6,800,000.00)

8,69 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $4,389,000.00 $4,389,000.00 $284,999.00 Full investment outstanding; warrants outstanding

11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12-Dec-08 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in full; warrants not outstanding

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 28-Dec-11 $23,750,000.00 23,750 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 20-Jun-12 $71,250,000.00 71,250 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 18-Jul-12 $755,000.00 267,455

44,8,14 PLAINS CAPITAL CORPORATION DALLAS TX 19-Dec-08 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in full; warrants not outstanding
46

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

PLAINS CAPITAL CORPORATION DALLAS TX 27-Sep-11 $87,631,000.00 87,631 $1,000.00 $4,382,000.00 4,382

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 17-Jul-09 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; warrants not outstanding

PLATO HOLDINGS INC. SAINT PAUL MN 26-Apr-13 $120,000.00 120,000 $1.00 $180.00

PLATO HOLDINGS INC. SAINT PAUL MN 29-Apr-13 $2,380,000.00 2,380,000 $1.00 $3,570.00 $90,582.47 107,000

PLATO HOLDINGS INC. SAINT PAUL MN 31-May-13 ($25,000.00)

PLUMAS BANCORP QUINCY CA 30-Jan-09 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; warrants not outstanding

PLUMAS BANCORP QUINCY CA 29-Apr-13 $11,949,000.00 11,949 $1,091.10 $1,088,673.39

PLUMAS BANCORP QUINCY CA 22-May-13 $234,500.00 237,712

PLUMAS BANCORP QUINCY CA 31-May-13 ($130,376.73)

20 POPULAR, INC. SAN JUAN PR 5-Dec-08 Preferred Stock w/ Warrants $935,000,000.00 $935,000,000.00 $219,609,027.78 Full investment outstanding; warrants outstanding

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 21-Nov-08 Preferred Stock w/ Warrants $35,000,000.00 $35,000,000.00 $4,783,333.33 Full investment outstanding; warrants outstanding

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 3-Apr-09 Preferred Stock w/ Exercised Warrants $2,800,000.00 $2,800,000.00 $132,253.00 Full investment outstanding; warrants outstanding

9,15,36 PREMIER BANCORP, INC. WILMETTE IL 8-May-09 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in full; warrants not outstanding

PREMIER BANCORP, INC. WILMETTE IL 13-Aug-10 $6,784,000.00 6,784,000 $1.00

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 20-Mar-09 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Currently not collectible

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 14-Aug-12 ($9,500,000.00)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 2-Oct-09 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $23,052,240.29 Sold, in full; warrants outstanding

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8-Aug-12 $1,678,618.89 1,863 $901.00 ($184,381.11)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9-Aug-12 $8,575,102.51 9,517 $901.00 ($941,897.49)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10-Aug-12 $9,795,998.16 10,872 $901.00 ($1,076,001.84)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 11-Sep-12 ($200,497.20)

15,14 PREMIER FINANCIAL CORP. DUBUQUE IA 22-May-09 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in full; warrants not outstanding

PREMIER FINANCIAL CORP. DUBUQUE IA 22-Jul-13 $6,349,000.00 6,349,000 $1.24 $1,507,379.58 $478,590.75 317,000

PREMIER FINANCIAL CORP. DUBUQUE IA 12-Sep-13 ($78,563.80)

8 PREMIER SERVICE BANK RIVERSIDE CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $4,000,000.00 $54,500.00 Full investment outstanding; warrants outstanding

80 PREMIERWEST BANCORP MEDFORD OR 13-Feb-09 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in full; warrants not outstanding

PREMIERWEST BANCORP MEDFORD OR 9-Apr-13 $41,400,000.00 41,400 $1,000.00

8,17 PRESIDIO BANK SAN FRANCISCO CA 20-Nov-09 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in full; warrants not outstanding

PRESIDIO BANK SAN FRANCISCO CA 10-Dec-12 $262,635.10 310 $847.20 ($47,364.90) $83,086.12 97

PRESIDIO BANK SAN FRANCISCO CA 11-Dec-12 $8,887,232.90 10,490 $847.20 ($1,602,767.10) $195,295.20 228

PRESIDIO BANK SAN FRANCISCO CA 11-Jan-13 ($91,498.68)

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 23-Jan-09 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 Currently not collectible

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 2-Nov-12 ($25,083,000.00)

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 27-Feb-09 Preferred Stock w/ Exercised Warrants $4,960,000.00 $8,222,000.00 $498,859.56 Full investment outstanding; warrants outstanding

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 29-Dec-09 $3,262,000.00

12 PRIVATEBANCORP, INC. CHICAGO IL 30-Jan-09 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in full; warrants not outstanding

PRIVATEBANCORP, INC. CHICAGO IL 24-Oct-12 $243,815,000.00 243,815 $1,000.00

PRIVATEBANCORP, INC. CHICAGO IL 14-Nov-12 $1,225,000.00 645,013

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 2-Oct-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in full; warrants not outstanding

PROVIDENCE BANK ROCKY MOUNT NC 15-Sep-11 $4,000,000.00 4,000 $1,000.00 $175,000.00 175

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 14-Nov-08 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in full; warrants not outstanding

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 21-Aug-12 $151,500,000.00 151,500 $1,000.00

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 20-Mar-13 $71.62

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 25-Mar-13 $19,047,005.12

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 13-Mar-09 Preferred Stock w/ Warrants $9,266,000.00 $9,266,000.00 $543,091.00 Full investment outstanding; warrants outstanding

11,8,14 PSB FINANCIAL CORPORATION MANY LA 27-Feb-09 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in full; warrants not outstanding

PSB FINANCIAL CORPORATION MANY LA 29-Sep-10 $9,270,000.00 9,270 $1,000.00 $464,000.00 464

44,8,14 PUGET SOUND BANK BELLEVUE WA 16-Jan-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in full; warrants not outstanding

PUGET SOUND BANK BELLEVUE WA 11-Aug-11 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

PULASKI FINANCIAL CORP. CREVE COEUR MO 16-Jan-09 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in full; warrants not outstanding

PULASKI FINANCIAL CORP. CREVE COEUR MO 3-Jul-12 $28,893,744.00 ($433,406.16) 32,538 $888.00 ($3,644,256.00)

PULASKI FINANCIAL CORP. CREVE COEUR MO 8-Aug-12 $1,100,000.00 778,421

44 QCR HOLDINGS, INC. MOLINE IL 13-Feb-09 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in full; warrants not outstanding

QCR HOLDINGS, INC. MOLINE IL 15-Sep-11 $38,237,000.00 38,237 $1,000.00

QCR HOLDINGS, INC. MOLINE IL 16-Nov-11 $1,100,000.00 521,888

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30-Oct-09 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in full; warrants not outstanding

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30-Sep-13 $6,229,000.00 6,229 $1,000.00 $311,000.00 311

8,17 RCB FINANCIAL CORPORATION ROME GA 19-Jun-09 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,223,155.83 Sold, in full; warrants not outstanding

RCB FINANCIAL CORPORATION ROME GA 25-Sep-13 $8,073,279.00 8,900 $907.10 ($826,721.00) $255,942.68 268

44,8,14 REDWOOD CAPITAL BANCORP EUREKA CA 16-Jan-09 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in full; warrants not outstanding

REDWOOD CAPITAL BANCORP EUREKA CA 21-Jul-11 $3,800,000.00 3,800 $1,000.00 $190,000.00 190

44,8,14 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 9-Jan-09 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in full; warrants not outstanding

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 18-Aug-11 $2,995,000.00 2,995 $1,000.00 $150,000.00 150

8 REGENT BANCORP, INC. DAVIE FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $9,982,000.00 $9,982,000.00 $784,281.50 Full investment outstanding; warrants outstanding

44,8,14 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 27-Feb-09 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in full; warrants not outstanding

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 21-Jul-11 $2,655,000.00 2,655 $1,000.00 $133,000.00 133

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 23-Oct-09 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in full; warrants not outstanding

REGENTS BANCSHARES, INC. VANCOUVER WA 26-Jan-12 $12,700,000.00 12,700 $1,000.00 $381,000.00 381

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in full; warrants not outstanding

REGIONAL BANKSHARES, INC. HARTSVILLE SC 8-Nov-12 $246,975.00 267 $925.00 ($20,025.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 9-Nov-12 $1,140,525.00 1,233 $925.00 ($92,475.00) $50,000.00 75

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11-Jan-13 ($13,875.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 26-Mar-13 ($11,125.00)

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 14-Nov-08 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in full; warrants not outstanding

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4-Apr-12 $3,500,000,000.00 3,500,000 $1,000.00

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 2-May-12 $45,000,000.00 48,253,677

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $46,245,131.00 Sold, in full; warrants not outstanding

RELIANCE BANCSHARES, INC. FRONTENAC MO 25-Sep-13 $40,000,000.00 40,000 $1,004.90 $196,000.00 $2,222,020.00 2,000

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 27-Feb-09 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in full; warrants not outstanding

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 20-Feb-13 $8,966,340.00 10,900 $822.60 ($1,933,660.00) $476,206.83 545

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 26-Mar-13 ($89,663.40)

8 RISING SUN BANCORP RISING SUN MD 9-Jan-09 Preferred Stock w/ Exercised Warrants $5,983,000.00 $5,983,000.00 $195,637.00 Full investment outstanding; warrants outstanding

15,11,14 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 12-Jun-09 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in full; warrants not outstanding

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6-Jun-12 $10,500,000.00 10,500,000 $1.00

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 15-May-13 $4,500,000.00 4,500,000 $1.00 $750,000.00 750,000

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 15-May-09 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $1,100,000.00 $346,087.50 Full investment outstanding; warrants outstanding
47

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 30-Jan-09 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 Currently not collectible

ROGERS BANCSHARES, INC. LITTLE ROCK AR 5-Jul-13 ($25,000,000.00)

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 20-Feb-09 Preferred Stock w/ Warrants $30,407,000.00 $30,407,000.00 $358,971.00 Full investment outstanding; warrants outstanding

11 S&T BANCORP, INC. INDIANA PA 16-Jan-09 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in full; warrants not outstanding

S&T BANCORP, INC. INDIANA PA 7-Dec-11 $108,676,000.00 108,676 $1,000.00

S&T BANCORP, INC. INDIANA PA 11-Jun-13 $527,361.00 517,012

8 SAIGON NATIONAL BANK WESTMINSTER CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $1,549,000.00 $1,549,000.00 $0.00 Full investment outstanding; warrants outstanding

44 SALISBURY BANCORP, INC. LAKEVILLE CT 13-Mar-09 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in full; warrants not outstanding

SALISBURY BANCORP, INC. LAKEVILLE CT 25-Aug-11 $8,816,000.00 8,816 $1,000.00

SALISBURY BANCORP, INC. LAKEVILLE CT 2-Nov-11 $205,000.00 57,671

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 5-Dec-08 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in full; warrants not outstanding

SANDY SPRING BANCORP, INC. OLNEY MD 21-Jul-10 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 15-Dec-10 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 23-Feb-11 $4,450,000.00 651,547

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 13-Feb-09 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in full; warrants not outstanding

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 8-Mar-13 $2,465,029.00 2,900 $850.00 ($434,971.00) $98,251.45 145

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 9-Apr-13 ($25,000.00)

SANTA LUCIA BANCORP ATASCADERO CA 19-Dec-08 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in full; warrants not outstanding

SANTA LUCIA BANCORP ATASCADERO CA 21-Oct-11 $2,800,000.00 4,000 $700.00 ($1,200,000.00)

44,8,14 SBT BANCORP, INC. SIMSBURY CT 27-Mar-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

SBT BANCORP, INC. SIMSBURY CT 11-Aug-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 16-Jan-09 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in full; warrants not outstanding

SCBT FINANCIAL CORPORATION COLUMBIA SC 20-May-09 $64,779,000.00 64,779 $1,000.00

SCBT FINANCIAL CORPORATION COLUMBIA SC 24-Jun-09 $1,400,000.00 303,083

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 19-Dec-08 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in full; warrants not outstanding

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 3-Apr-12 $41,020,000.00 ($615,300.00) 2,000 $20,510.00 ($8,980,000.00)

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 30-May-12 $55,000.00 589,623

44,8,14 SEACOAST COMMERCE BANK CHULA VISTA CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in full; warrants not outstanding

SEACOAST COMMERCE BANK CHULA VISTA CA 1-Sep-11 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in full; warrants not outstanding

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 10-Dec-12 $174,537.72 252 $692.60 ($77,462.28)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11-Dec-12 $1,315,959.00 1,900 $692.60 ($584,041.00) $69,186.80 108

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11-Jan-13 ($14,904.97)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 26-Mar-13 ($10,095.03)

44,8,14 SECURITY BUSINESS BANCORP SAN DIEGO CA 9-Jan-09 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in full; warrants not outstanding

SECURITY BUSINESS BANCORP SAN DIEGO CA 14-Jul-11 $5,803,000.00 5,803 $1,000.00 $290,000.00 290

44,8,14 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9-Jan-09 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in full; warrants not outstanding

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 15-Sep-11 $6,815,000.00 6,815 $1,000.00 $341,000.00 341

11,8,14,36 SECURITY CAPITAL CORPORATION BATESVILLE MS 26-Jun-09 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in full; warrants not outstanding

SECURITY CAPITAL CORPORATION BATESVILLE MS 29-Sep-10 $17,388,000.00 17,388 $1,000.00 $522,000.00 522

11,36 SECURITY FEDERAL CORPORATION AIKEN SC 19-Dec-08 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in full; warrants not outstanding

SECURITY FEDERAL CORPORATION AIKEN SC 29-Sep-10 $18,000,000.00 18,000 $1,000.00

SECURITY FEDERAL CORPORATION AIKEN SC 31-Jul-13 $50,000.00 137,966

44,8,14 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 20-Feb-09 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in full; warrants not outstanding

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 22-Sep-11 $12,500,000.00 12,500 $1,000.00 $625,000.00 625

15,14 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 1-May-09 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in full; warrants not outstanding

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 24-Jun-13 $10,750,000.00 10,750,000 $1.17 $1,784,607.50 $720,368.55 538,000

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 26-Jul-13 ($125,346.08)

SEVERN BANCORP, INC. ANNAPOLIS MD 21-Nov-08 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $27,149,136.53 Sold, in full; warrants outstanding

SEVERN BANCORP, INC. ANNAPOLIS MD 25-Sep-13 $23,367,267.70 23,393 $998.90 ($25,732.30)

11 SHORE BANCSHARES, INC. EASTON MD 9-Jan-09 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in full; warrants not outstanding

SHORE BANCSHARES, INC. EASTON MD 15-Apr-09 $25,000,000.00 25,000 $1,000.00

SHORE BANCSHARES, INC. EASTON MD 16-Nov-11 $25,000.00 172,970

15,11,14 SIGNATURE BANCSHARES, INC. DALLAS TX 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in full; warrants not outstanding

SIGNATURE BANCSHARES, INC. DALLAS TX 15-Dec-10 $1,700,000.00 1,700,000 $1.00 $85,000.00 85,000

11 SIGNATURE BANK NEW YORK NY 12-Dec-08 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in full; warrants not outstanding

SIGNATURE BANK NEW YORK NY 31-Mar-09 $120,000,000.00 120,000 $1,000.00

SIGNATURE BANK NEW YORK NY 16-Mar-10 $11,150,939.74 595,829

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 16-Jan-09 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in full; warrants not outstanding

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 20-May-09 $7,414,000.00 7,414 $1,000.00

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 24-Jun-09 $275,000.00 163,065

8,32,97 SONOMA VALLEY BANCORP SONOMA CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $347,164.00 Currently not collectible

SONOMA VALLEY BANCORP SONOMA CA 20-Aug-10 ($8,653,000.00)

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 9-Jan-09 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in full; warrants not outstanding

SOUND BANKING COMPANY MOREHEAD CITY NC 13-Nov-12 $2,832,412.70 3,070 $922.60 ($237,587.30) $124,412.34 154

SOUND BANKING COMPANY MOREHEAD CITY NC 11-Jan-13 ($25,000.00)

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 5-Dec-08 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in full; warrants not outstanding

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 30-Sep-10 $130,179,218.75 130,179 $1,000.00 ($216,820,781.25) $400,000.00 10,106,796

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 17-Jul-09 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in full; warrants not outstanding

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 8-Mar-13 $1,814,620.00 2,000 $907.30 ($185,380.00)

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 11-Mar-13 $9,889,679.00 10,900 $907.30 ($1,010,321.00) $588,264.19 645

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 9-Apr-13 ($117,042.99)

11,9,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 16-Jan-09 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in full; warrants not outstanding

SOUTHERN BANCORP, INC. ARKADELPHIA AR 6-Aug-10 $11,000,000.00 11,000 $1,000.00

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 5-Dec-08 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in full; warrants not outstanding

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 1-Oct-12 $42,750,000.00 42,750 $1,000.00

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 27-Feb-09 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; warrants not outstanding

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 3-Jul-12 $15,638,296.00 ($234,574.44) 17,299 $904.00 ($1,660,704.00)

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 25-Jul-12 $1,100,000.00 399,970

8,45,14 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 15-May-09 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in full; warrants not outstanding

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 8-Sep-11 $4,862,000.00 4,862 $1,000.00 $243,000.00 243

44,8,14 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 23-Jan-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in full; warrants not outstanding

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 25-Aug-11 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5-Dec-08 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $10,804,763.89 Redeemed, in full; warrants outstanding

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 21-Jul-11 $9,550,000.00 9,550 $1,000.00

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 12-Jun-09 Preferred Stock w/ Exercised Warrants $2,760,000.00 $2,760,000.00 $364,796.34 Full investment outstanding; warrants outstanding
48

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

11 SOUTHWEST BANCORP, INC. STILLWATER OK 5-Dec-08 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in full; warrants not outstanding

SOUTHWEST BANCORP, INC. STILLWATER OK 8-Aug-12 $70,000,000.00 70,000 $1,000.00

SOUTHWEST BANCORP, INC. STILLWATER OK 29-May-13 $2,287,197.00 703,753

44,8,14 SOVEREIGN BANCSHARES, INC. DALLAS TX 13-Mar-09 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in full; warrants not outstanding

SOVEREIGN BANCSHARES, INC. DALLAS TX 22-Sep-11 $18,215,000.00 18,215 $1,000.00 $911,000.00 911

8 SPIRIT BANKCORP, INC. BRISTOW OK 27-Mar-09 Preferred Stock w/ Exercised Warrants $30,000,000.00 $30,000,000.00 $2,261,750.00 Full investment outstanding; warrants outstanding

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 13-Mar-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $723,033.00 Full investment outstanding; warrants outstanding

74,8,14 STANDARD BANCSHARES, INC. HICKORY HILLS IL 24-Apr-09 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in full; warrants not outstanding

STANDARD BANCSHARES, INC. HICKORY HILLS IL 22-Feb-13 $60,000,000.00 12,903,226 $1,432.56 $3,000,000.00

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5-Dec-08 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,414,352.50 Redeemed, in full; warrants outstanding

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 14-Dec-11 $36,842,000.00 36,842 $1,000.00

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 4-Sep-09 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in full; warrants not outstanding

STATE BANK OF BARTLEY, THE BARTLEY NE 22-Sep-11 $1,697,000.00 1,697,000 $1.00 $51,000.00 51,000

8,11 STATE BANKSHARES, INC. FARGO ND 16-Jan-09 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in full; warrants not outstanding

STATE BANKSHARES, INC. FARGO ND 12-Aug-09 $12,500,000.00 12,500 $1,000.00

STATE BANKSHARES, INC. FARGO ND 29-Jun-11 $37,500,000.00 37,500 $1,000.00 $2,500,000.00 250

8,36,11 STATE CAPITAL CORP. GREENWOOD MS 13-Feb-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in full; warrants not outstanding

STATE CAPITAL CORP. GREENWOOD MS 29-Sep-10 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

12,16 STATE STREET CORPORATION BOSTON MA 28-Oct-08 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in full; warrants not outstanding

STATE STREET CORPORATION BOSTON MA 17-Jun-09 $2,000,000,000.00 20,000 $100,000.00

STATE STREET CORPORATION BOSTON MA 8-Jul-09 $60,000,000.00 2,788,104

15,11,14 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in full; warrants not outstanding

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 18-Jan-12 $24,900,000.00 24,900,000 $1.00 $1,245,000.00 1,245,000

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 25-Sep-09 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in full; warrants not outstanding

STEELE STREET BANK CORPORATION DENVER CO 1-Sep-11 $11,019,000.00 11,019,000 $1.00 $331,000.00 331,000

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 19-Dec-08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $34,271,875.00 Redeemed, in full; warrants outstanding

STELLARONE CORPORATION CHARLOTTESVILLE VA 13-Apr-11 $7,500,000.00 7,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 28-Dec-11 $22,500,000.00 22,500 $1,000.00

11 STERLING BANCORP NEW YORK NY 23-Dec-08 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in full; warrants not outstanding

STERLING BANCORP NEW YORK NY 27-Apr-11 $42,000,000.00 42,000 $1,000.00

STERLING BANCORP NEW YORK NY 18-May-11 $945,775.00 516,817

11 STERLING BANCSHARES, INC. HOUSTON TX 12-Dec-08 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in full; warrants not outstanding

STERLING BANCSHARES, INC. HOUSTON TX 5-May-09 $125,198,000.00 125,198 $1,000.00

STERLING BANCSHARES, INC. HOUSTON TX 15-Jun-10 $2,857,914.52 2,615,557

31 STERLING FINANCIAL CORPORATION SPOKANE WA 5-Dec-08 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in full; warrants not outstanding

STERLING FINANCIAL CORPORATION SPOKANE WA 20-Aug-12 $114,772,740.00 ($1,434,659.25) 5,738,637 $20.00 ($188,227,260.00)

STERLING FINANCIAL CORPORATION SPOKANE WA 19-Sep-12 $825,000.00 97,541

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 30-Jan-09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in full; warrants not outstanding

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1-Sep-11 $10,000,000.00 10,000 $1,000.00

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 26-Oct-11 $107,398.00 133,475

11,8,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 6-Feb-09 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in full; warrants not outstanding

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 12-Jan-11 $4,000,000.00 4,000 $1,000.00

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 16-Mar-11 $11,568,000.00 11,568 $1,000.00 $778,000.00 778

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 23-Jan-09 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in full; warrants not outstanding

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 26-Mar-13 $1,796,209.03 10,351 $173.50 ($8,554,790.97) $130,704.17 516

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 27-Mar-13 $107,935.66 622 $173.50 ($514,064.34) $8,358.99 33

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 9-Apr-13 ($25,000.00)

15 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $15,000,000.00 $2,083,520.25 Full investment outstanding; warrants outstanding

44 SUMMIT STATE BANK SANTA ROSA CA 19-Dec-08 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in full; warrants not outstanding

SUMMIT STATE BANK SANTA ROSA CA 4-Aug-11 $8,500,000.00 8,500 $1,000.00

SUMMIT STATE BANK SANTA ROSA CA 14-Sep-11 $315,000.00 239,212

11 SUN BANCORP, INC. VINELAND NJ 9-Jan-09 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in full; warrants not outstanding

SUN BANCORP, INC. VINELAND NJ 8-Apr-09 $89,310,000.00 89,310 $1,000.00

SUN BANCORP, INC. VINELAND NJ 27-May-09 $2,100,000.00 1,620,545

11 SUNTRUST BANKS, INC. ATLANTA GA 14-Nov-08 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in full; warrants not outstanding

SUNTRUST BANKS, INC. ATLANTA GA 31-Dec-08 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 30-Mar-11 $4,850,000,000.00 48,500 $100,000.00

SUNTRUST BANKS, INC. ATLANTA GA 28-Sep-11 $30,066,661.40 17,900,182

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 5-Dec-08 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 Currently not collectible

SUPERIOR BANCORP INC. BIRMINGHAM AL 15-Apr-11 ($69,000,000.00)

11,8,14 SURREY BANCORP MOUNT AIRY NC 9-Jan-09 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in full; warrants not outstanding

SURREY BANCORP MOUNT AIRY NC 29-Dec-10 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12-Dec-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in full; warrants not outstanding

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 21-Apr-10 $200,000,000.00 200,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 22-Dec-10 $100,000,000.00 100,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 19-Jan-11 $5,269,179.36 3,028,264

11,8,14 SV FINANCIAL, INC. STERLING IL 10-Apr-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in full; warrants not outstanding

SV FINANCIAL, INC. STERLING IL 31-Aug-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12-Dec-08 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in full; warrants not outstanding

SVB FINANCIAL GROUP SANTA CLARA CA 23-Dec-09 $235,000,000.00 235,000 $1,000.00

SVB FINANCIAL GROUP SANTA CLARA CA 16-Jun-10 $6,820,000.00 354,058

15,44,14 SWORD FINANCIAL CORPORATION HORICON WI 8-May-09 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in full; warrants not outstanding

SWORD FINANCIAL CORPORATION HORICON WI 15-Sep-11 $13,644,000.00 13,644,000 $1.00 $682,000.00 682,000

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 19-Dec-08 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, in full; warrants outstanding

SYNOVUS FINANCIAL CORP. COLUMBUS GA 26-Jul-13 $967,870,000.00 967,870 $1,000.00

8 SYRINGA BANCORP BOISE ID 16-Jan-09 Preferred Stock w/ Exercised Warrants $8,000,000.00 $8,000,000.00 $253,122.22 Full investment outstanding; warrants outstanding

TAYLOR CAPITAL GROUP ROSEMONT IL 21-Nov-08 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in full; warrants not outstanding

TAYLOR CAPITAL GROUP ROSEMONT IL 19-Jun-12 $93,659,350.50 ($1,404,890.26) 104,823 $893.50 ($11,163,649.50)

TAYLOR CAPITAL GROUP ROSEMONT IL 18-Jul-12 $9,839,273.00 1,462,647

15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 28-Aug-09 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in full; warrants not outstanding

TCB CORPORATION/COUNTY BANK GREENWOOD SC 8-Sep-11 $9,720,000.00 9,720,000 $1.00 $292,000.00 292,000

8 TCB HOLDING COMPANY THE WOODLANDS TX 16-Jan-09 Preferred Stock w/ Exercised Warrants $11,730,000.00 $11,730,000.00 $690,832.08 Full investment outstanding; warrants outstanding

11 TCF FINANCIAL CORPORATION WAYZATA MN 14-Nov-08 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in full; warrants not outstanding

TCF FINANCIAL CORPORATION WAYZATA MN 22-Apr-09 $361,172,000.00 361,172 $1,000.00

TCF FINANCIAL CORPORATION WAYZATA MN 21-Dec-09 $9,449,980.56 3,199,988

11,8,14 TCNB FINANCIAL CORP DAYTON OH 23-Dec-08 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in full; warrants not outstanding
49

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

TCNB FINANCIAL CORP DAYTON OH 3-Aug-11 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 19-Dec-08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 Currently not collectible

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 27-Jan-12 ($30,000,000.00)

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 23-Dec-08 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in full; warrants not outstanding

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 26-Apr-13 $298,000.00 298 $1,022.10 $6,588.78 $19,218.87 20

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 29-Apr-13 $2,702,000.00 2,702 $1,022.10 $59,741.22 $124,922.63 130

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 31-May-13 ($25,000.00)

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 16-Jan-09 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in full; warrants not outstanding

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 13-May-09 $75,000,000.00 75,000 $1,000.00

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 17-Mar-10 $6,559,066.21 758,086

11,8,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 9-Jan-09 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in full; warrants not outstanding

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 19-May-10 $3,981,000.00 3,981 $1,000.00 $199,000.00 199

44,8,14 THE ANB CORPORATION TERRELL TX 7-Aug-09 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in full; warrants not outstanding

THE ANB CORPORATION TERRELL TX 25-Aug-11 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

12,16 THE BANCORP, INC. WILMINGTON DE 12-Dec-08 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in full; warrants not outstanding

THE BANCORP, INC. WILMINGTON DE 10-Mar-10 $45,220,000.00 45,220 $1,000.00

THE BANCORP, INC. WILMINGTON DE 8-Sep-10 $4,753,984.55 980,203

8 THE BANK OF CURRITUCK MOYOCK NC 6-Feb-09 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in full; warrants not outstanding

THE BANK OF CURRITUCK MOYOCK NC 3-Dec-10 $1,742,850.00 4,021 $433.40 ($2,278,150.00)

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 13-Feb-09 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in full; warrants not outstanding

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 22-Dec-10 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 23-Nov-11 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 29-May-13 $2,150,648.55 276,078

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 16-Jan-09 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in full; warrants not outstanding

THE BARABOO BANCORPORATION, INC. BARABOO WI 10-Dec-12 $1,956,900.00 3,000 $652.30 ($1,043,100.00) $403,161.92 487

THE BARABOO BANCORPORATION, INC. BARABOO WI 11-Dec-12 $11,577,672.70 17,749 $652.30 ($6,171,327.30) $455,316.35 550

THE BARABOO BANCORPORATION, INC. BARABOO WI 11-Jan-13 ($135,345.73)

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19-Dec-08 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in full; warrants not outstanding

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19-Apr-12 $5,448,000.00 5,448 $1,000.00 $792,783.00 175,742

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 19-Dec-08 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $10,309,575.00 Redeemed, in full; warrants outstanding

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 25-Aug-11 $9,090,000.00 9,090 $1,000.00

11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 9-Jan-09 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,332,986.11 Redeemed, in full; warrants outstanding

THE FIRST BANCORP, INC. DAMARISCOTTA ME 24-Aug-11 $12,500,000.00 12,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 27-Mar-13 $2,500,000.00 2,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 8-May-13 $10,000,000.00 10,000 $1,000.00

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 6-Feb-09 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,411,805.56 Redeemed, in full; warrants outstanding

THE FIRST BANCSHARES, INC. HATTIESBURG MS 29-Sep-10 $5,000,000.00 5,000 $1,000.00

11,8,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 27-Feb-09 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in full; warrants not outstanding

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 14-Apr-10 $731,000.00 731 $1,000.00 $37,000.00 37

11,8,14 THE FREEPORT STATE BANK HARPER KS 6-Feb-09 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in full; warrants not outstanding

THE FREEPORT STATE BANK HARPER KS 19-Dec-12 $301,000.00 301 $1,000.00 $15,000.00 15

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 26-Jun-09 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in full; warrants not outstanding

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 31-Mar-10 $3,400,000,000.00 3,400,000 $1,000.00

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 27-Sep-10 $706,264,559.89 52,093,973

8,44,14 THE LANDRUM COMPANY COLUMBIA MO 22-May-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in full; warrants not outstanding

THE LANDRUM COMPANY COLUMBIA MO 18-Aug-11 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 23-Dec-08 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in full; warrants not outstanding

THE LITTLE BANK, INCORPORATED KINSTON NC 31-Oct-12 $7,359,000.00 7,500 $981.20 ($141,000.00) $371,250.00 375

THE LITTLE BANK, INCORPORATED KINSTON NC 11-Jan-13 ($73,590.00)

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 31-Dec-08 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in full; warrants not outstanding

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 10-Feb-10 $7,579,200,000.00 75,792 $100,000.00

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5-May-10 $320,372,284.16 16,885,192

44,8,14 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in full; warrants not outstanding

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 1-Sep-11 $5,450,000.00 5,450 $1,000.00 $273,000.00 273

8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9-Jan-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in full; warrants not outstanding

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 8-Mar-13 $244,225.00 250 $976.90 ($5,775.00) $4,806.45 5

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 11-Mar-13 $11,478,575.00 11,750 $976.90 ($271,425.00) $571,967.55 595

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9-Apr-13 ($117,228.00)

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 27-Feb-09 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in full; warrants not outstanding

THE VICTORY BANCORP, INC. LIMERICK PA 11-Dec-09 $1,505,000.00

THE VICTORY BANCORP, INC. LIMERICK PA 22-Sep-11 $2,046,000.00 2,046 $1,000.00 $61,000.00 61

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 23-Jan-09 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in full; warrants not outstanding

THREE SHORES BANCORPORATION, INC. ORLANDO FL 8-Nov-12 $1,165,528.32 1,312 $888.40 ($146,471.68)

THREE SHORES BANCORPORATION, INC. ORLANDO FL 9-Nov-12 $3,877,691.40 4,365 $888.40 ($487,308.60) $282,284.64 284

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11-Jan-13 ($50,432.20)

TIB FINANCIAL CORP NAPLES FL 5-Dec-08 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in full; warrants not outstanding

TIB FINANCIAL CORP NAPLES FL 30-Sep-10 $12,119,637.37 12,120 $1,000.00 ($24,880,362.63) $40,000.00 1,106,389

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 19-Dec-08 Preferred Stock w/ Warrants $14,448,000.00 $14,448,000.00 $1,195,973.33 Full investment outstanding; warrants outstanding

8,47,97 TIFTON BANKING COMPANY TIFTON GA 17-Apr-09 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Currently not collectible

TIFTON BANKING COMPANY TIFTON GA 12-Nov-10 ($3,800,000.00)

TIMBERLAND BANCORP, INC. HOQUIAM WA 23-Dec-08 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in full; warrants not outstanding

TIMBERLAND BANCORP, INC. HOQUIAM WA 8-Nov-12 $3,290,437.50 3,815 $862.50 ($524,562.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 9-Nov-12 $1,580,962.50 1,833 $862.50 ($252,037.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 13-Nov-12 $9,481,462.50 10,993 $862.50 ($1,511,537.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11-Jan-13 ($143,528.63)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11-Jun-13 $1,301,856.00 370,899

11,8,14 TITONKA BANCSHARES, INC. TITONKA IA 3-Apr-09 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in full; warrants not outstanding

TITONKA BANCSHARES, INC. TITONKA IA 4-Apr-12 $2,117,000.00 2,117 $1,000.00 $106,000.00 106

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 6-Feb-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in full; warrants not outstanding

TODD BANCSHARES, INC. HOPKINSVILLE KY 25-Sep-13 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

45 TOWNEBANK PORTSMOUTH VA 12-Dec-08 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in full; warrants not outstanding

TOWNEBANK PORTSMOUTH VA 22-Sep-11 $76,458,000.00 76,458 $1,000.00

TOWNEBANK PORTSMOUTH VA 15-May-13 $1,500,000.00 554,330

8 TREATY OAK BANCORP, INC. AUSTIN TX 16-Jan-09 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $842,415.03 Sold, in full; warrants outstanding

TREATY OAK BANCORP, INC. AUSTIN TX 15-Feb-11 $500,000.00 3,118 $155.47 ($2,618,000.00)

TREATY OAK BANCORP, INC. AUSTIN TX 21-Dec-12 $150,000.00 150,000 $1.00
50

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

44,8,14 TRIAD BANCORP, INC. FRONTENAC MO 27-Mar-09 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in full; warrants not outstanding

TRIAD BANCORP, INC. FRONTENAC MO 22-Sep-11 $3,700,000.00 3,700 $1,000.00 $185,000.00 185

44,8,14 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 19-Dec-08 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in full; warrants not outstanding

TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 22-Sep-11 $15,540,000.00 15,540 $1,000.00 $777,000.00 777

8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 27-Mar-09 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in full; warrants not outstanding

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 7-Aug-12 $2,639,379.50 3,518 $750.20 ($878,620.50) $163,062.90 175

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9-Aug-12 $7,038,845.50 9,382 $750.20 ($2,343,154.50) $1,300,776.05 1,396

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 10-Aug-12 $16,984,909.75 22,639 $750.20 ($5,654,090.25) $191,948.33 206

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 11-Sep-12 ($266,631.35)

11,8,9 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 3-Apr-09 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in full; warrants not outstanding

TRI-STATE BANK OF MEMPHIS MEMPHIS TN 13-Aug-10 $2,795,000.00 2,795 $1,000.00

11,8 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 27-Feb-09 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in full; warrants not outstanding

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 26-Sep-12 $23,000,000.00 23,000 $1,000.00 $1,150,000.00 1,150

8,14,18 TRISUMMIT BANK KINGSPORT TN 3-Apr-09 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in full; warrants not outstanding

TRISUMMIT BANK KINGSPORT TN 22-Dec-09 $4,237,000.00

TRISUMMIT BANK KINGSPORT TN 29-Nov-12 $5,251,500.00 7,002 $750.00 ($1,750,500.00) $124,665.75 138

TRISUMMIT BANK KINGSPORT TN 11-Jan-13 ($52,515.00)

11 TRUSTMARK CORPORATION JACKSON MS 21-Nov-08 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in full; warrants not outstanding

TRUSTMARK CORPORATION JACKSON MS 9-Dec-09 $215,000,000.00 215,000 $1,000.00

TRUSTMARK CORPORATION JACKSON MS 30-Dec-09 $10,000,000.00 1,647,931

44,8,14 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 29-May-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in full; warrants not outstanding

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 1-Sep-11 $12,000,000.00 12,000 $1,000.00 $600,000.00 60

11 U.S. BANCORP MINNEAPOLIS MN 14-Nov-08 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in full; warrants not outstanding

U.S. BANCORP MINNEAPOLIS MN 17-Jun-09 $6,599,000,000.00 6,599,000 $1,000.00

U.S. BANCORP MINNEAPOLIS MN 15-Jul-09 $139,000,000.00 32,679,102

8 U.S. CENTURY BANK MIAMI FL 7-Aug-09 Preferred Stock w/ Exercised Warrants $50,236,000.00 $50,236,000.00 $745,311.72 Full investment outstanding; warrants outstanding

44,8,14 UBT BANCSHARES, INC. MARYSVILLE KS 30-Jan-09 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in full; warrants not outstanding

UBT BANCSHARES, INC. MARYSVILLE KS 11-Aug-11 $8,950,000.00 8,950 $1,000.00 $450,000.00 45

22,97 UCBH HOLDINGS INC. SAN FRANCISCO CA 14-Nov-08 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,509,920.07 Currently not collectible

UCBH HOLDINGS INC. SAN FRANCISCO CA 6-Nov-09 ($298,737,000.00)

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 14-Nov-08 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in full; warrants not outstanding

UMPQUA HOLDINGS CORP. PORTLAND OR 17-Feb-10 $214,181,000.00 214,181 $1,000.00

UMPQUA HOLDINGS CORP. PORTLAND OR 31-Mar-10 $4,500,000.00 1,110,898

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 1-May-09 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in full; warrants not outstanding

UNION BANK & TRUST COMPANY OXFORD NC 18-Dec-09 $2,997,000.00

UNION BANK & TRUST COMPANY OXFORD NC 22-Sep-11 $6,191,000.00 6,191 $1,000.00 $160,000.00 160

8,17,11 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 29-Dec-09 Preferred Stock w/ Exercised Warrants $2,179,000.00 $1,579,000.00 $984,802.22 Redeemed, in part; warrants outstanding

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 25-Jul-12 $600,000.00 600 $1,000.00

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 19-Dec-08 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in full; warrants not outstanding

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 18-Nov-09 $59,000,000.00 59,000 $1,000.00

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 23-Dec-09 $450,000.00 211,318

8 UNITED AMERICAN BANK SAN MATEO CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $8,700,000.00 $0.00 Full investment outstanding; warrants outstanding

UNITED BANCORP, INC. TECUMSEH MI 16-Jan-09 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in full; warrants not outstanding

UNITED BANCORP, INC. TECUMSEH MI 19-Jun-12 $17,005,300.00 ($255,079.50) 20,600 $825.50 ($3,594,700.00)

UNITED BANCORP, INC. TECUMSEH MI 18-Jul-12 $38,000.00 311,492

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 23-Dec-08 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,172,638.89 Redeemed, in full; warrants outstanding

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 3-Sep-10 $10,300,000.00 10,300 $1,000.00

15,11,14 UNITED BANK CORPORATION BARNESVILLE GA 22-May-09 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in full; warrants not outstanding

UNITED BANK CORPORATION BARNESVILLE GA 3-Jul-12 $14,400,000.00 14,400,000 $1.00 $720,000.00 720,000

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 5-Dec-08 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in full; warrants not outstanding

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 26-Mar-13 $1,516,900.00 1,576 $962.50 ($59,100.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 27-Mar-13 $12,587,575.00 13,078 $962.50 ($490,425.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 28-Mar-13 $159,145,525.00 165,346 $962.50 ($6,200,475.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 9-Apr-13 ($1,732,500.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 10-Jun-13 $6,677.00 219,908

44,11,8 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 16-Jan-09 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in full; warrants not outstanding

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15-Dec-10 $3,000,000.00 3,000 $1,000.00

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15-Sep-11 $2,658,000.00 2,658 $1,000.00 $283,000.00 283

11 UNITY BANCORP, INC. CLINTON NJ 5-Dec-08 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in full; warrants not outstanding

UNITY BANCORP, INC. CLINTON NJ 15-May-13 $10,324,000.00 10,324 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 3-Jul-13 $10,325,000.00 10,325 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 28-Aug-13 $2,707,314.00 764,778

8 UNIVERSAL BANCORP BLOOMFIELD IN 22-May-09 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in full; warrants not outstanding

UNIVERSAL BANCORP BLOOMFIELD IN 8-Aug-13 $237,527.50 250 $950.10 ($12,472.50)

UNIVERSAL BANCORP BLOOMFIELD IN 12-Aug-13 $9,168,561.50 9,650 $950.10 ($481,438.50) $476,573.62 495

UNIVERSAL BANCORP BLOOMFIELD IN 12-Sep-13 ($94,060.89)

11,9,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 19-Jun-09 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in full; warrants not outstanding

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 30-Jul-10 $11,926,000.00 11,926,000 $1.00

8 US METRO BANK GARDEN GROVE CA 6-Feb-09 Preferred Stock w/ Exercised Warrants $2,861,000.00 $2,861,000.00 $432,678.00 Full investment outstanding; warrants outstanding

11,8 UWHARRIE CAPITAL CORP ALBEMARLE NC 23-Dec-08 Preferred Stock w/ Exercised Warrants $10,000,000.00 $2,258,000.00 $10,131,285.55 Redeemed, in part; warrants outstanding

UWHARRIE CAPITAL CORP ALBEMARLE NC 3-Apr-13 $7,742,000.00 7,742 $1,000.00

11,8,14 VALLEY COMMERCE BANCORP VISALIA CA 30-Jan-09 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in full; warrants not outstanding

VALLEY COMMERCE BANCORP VISALIA CA 21-Mar-12 $7,700,000.00 7,700 $1,000.00 $385,000.00 385

8 VALLEY COMMUNITY BANK PLEASANTON CA 9-Jan-09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $5,500,000.00 $629,475.50 Full investment outstanding; warrants outstanding

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12-Dec-08 Preferred Stock w/ Warrants $16,019,000.00 $9,619,000.00 $10,063,284.59 Redeemed, in part; warrants outstanding

VALLEY FINANCIAL CORPORATION ROANOKE VA 14-Nov-12 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 20-Feb-13 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 15-May-13 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 14-Aug-13 $1,600,000.00 1,600 $1,000.00

8,44,14 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 18-Dec-09 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 22-Sep-11 $1,300,000.00 1,300 $1,000.00 $65,000.00 65

11 VALLEY NATIONAL BANCORP WAYNE NJ 14-Nov-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in full; warrants not outstanding

VALLEY NATIONAL BANCORP WAYNE NJ 3-Jun-09 $75,000,000.00 75,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 23-Sep-09 $125,000,000.00 125,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 23-Dec-09 $100,000,000.00 100,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 24-May-10 $5,421,615.27 2,532,542
51

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 26-Jun-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in full; warrants not outstanding

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 25-Aug-11 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1-May-09 Preferred Stock w/ Warrants $14,738,000.00 $14,738,000.00 $1,318,232.22 Full investment outstanding; warrants outstanding

11 VIRGINIA COMMERCE BANCORP ARLINGTON VA 12-Dec-08 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $85,190,138.89 Redeemed, in full; warrants outstanding

VIRGINIA COMMERCE BANCORP ARLINGTON VA 11-Dec-12 $71,000,000.00 71,000 $1,000.00

8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 12-Jun-09 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in full; warrants not outstanding

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8-Aug-13 $325,353.86 533 $610.40 ($207,646.14)

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12-Aug-13 $2,543,620.14 4,167 $610.40 ($1,623,379.86) $63,481.25 143

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12-Sep-13 ($25,000.00)

11,8,14 VISION BANK - TEXAS RICHARDSON TX 24-Apr-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in full; warrants not outstanding

VISION BANK - TEXAS RICHARDSON TX 28-Dec-12 $787,500.00 788 $1,000.00

VISION BANK - TEXAS RICHARDSON TX 10-Jul-13 $712,500.00 713 $1,000.00 $75,000.00 75

VIST FINANCIAL CORP. WYOMISSING PA 19-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in full; warrants not outstanding

VIST FINANCIAL CORP. WYOMISSING PA 1-Aug-12 $25,000,000.00 25,000 $1,000.00 $1,189,813.00 367,984

45,8,14 W.T.B. FINANCIAL CORPORATION SPOKANE WA 30-Jan-09 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in full; warrants not outstanding

W.T.B. FINANCIAL CORPORATION SPOKANE WA 15-Sep-11 $110,000,000.00 110,000 $1,000.00 $5,500,000.00 5,500

8,17,11 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 11-Dec-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $5,000,000.00 $9,051,968.01 Redeemed, in part; warrants outstanding

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4-Apr-12 $3,000,000.00 3,000 $1,000.00

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 30-Jan-13 $4,000,000.00 4,000 $1,000.00

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 19-Dec-08 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in full; warrants not outstanding

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 24-Nov-09 $22,000,000.00 22,000 $1,000.00

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 16-Dec-09 $568,700.00 390,071

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 16-Jan-09 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in full; warrants not outstanding

WASHINGTON BANKING COMPANY OAK HARBOR WA 12-Jan-11 $26,380,000.00 26,380 $1,000.00

WASHINGTON BANKING COMPANY OAK HARBOR WA 2-Mar-11 $1,625,000.00 246,082

11 WASHINGTON FEDERAL, INC. SEATTLE WA 14-Nov-08 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in full; warrants not outstanding

WASHINGTON FEDERAL, INC. SEATTLE WA 27-May-09 $200,000,000.00 200,000 $1,000.00

WASHINGTON FEDERAL, INC. SEATTLE WA 15-Mar-10 $15,388,874.07 1,707,456

8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 30-Jan-09 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in full; warrants not outstanding

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 30-Oct-09 $6,842,000.00

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 4-Aug-11 $13,475,000.00 13,475 $1,000.00 $332,000.00 332

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 26-Jun-09 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in full; warrants not outstanding

WAUKESHA BANKSHARES, INC. WAUKESHA WI 6-Feb-13 $4,831,002.80 5,212 $926.90 ($380,997.20) $18,644.66 19

WAUKESHA BANKSHARES, INC. WAUKESHA WI 7-Feb-13 $92,690.00 100 $926.90 ($7,310.00) $147,194.69 150

WAUKESHA BANKSHARES, INC. WAUKESHA WI 8-Feb-13 $290,119.70 313 $926.90 ($22,880.30)

WAUKESHA BANKSHARES, INC. WAUKESHA WI 26-Mar-13 ($52,138.13)

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 21-Nov-08 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in full; warrants not outstanding

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3-Mar-10 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 13-Oct-10 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 29-Dec-10 $200,000,000.00 200,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 8-Jun-11 $20,388,842.06 3,282,276

11 WELLS FARGO & CO. MINNEAPOLIS MN 28-Oct-08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in full; warrants not outstanding

WELLS FARGO & CO. MINNEAPOLIS MN 23-Dec-09 $25,000,000,000.00 25,000 $1,000,000.00

WELLS FARGO & CO. MINNEAPOLIS MN 26-May-10 $840,374,891.73 110,261,688

11 WESBANCO, INC. WHEELING WV 5-Dec-08 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in full; warrants not outstanding

WESBANCO, INC. WHEELING WV 9-Sep-09 $75,000,000.00 75,000 $1,000.00

WESBANCO, INC. WHEELING WV 23-Dec-09 $950,000.00 439,282

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 31-Dec-08 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in full; warrants not outstanding

WEST BANCORPORATION, INC. WEST DES MOINES IA 29-Jun-11 $36,000,000.00 36,000 $1,000.00

WEST BANCORPORATION, INC. WEST DES MOINES IA 31-Aug-11 $700,000.00 474,100

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 13-Feb-09 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in full; warrants not outstanding

WESTAMERICA BANCORPORATION SAN RAFAEL CA 2-Sep-09 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 18-Nov-09 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 21-Nov-11 $878,256.00 246,698

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 21-Nov-08 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in full; warrants not outstanding

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 27-Sep-11 $140,000,000.00 140,000 $1,000.00

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 23-Nov-11 $415,000.00 787,107

8 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $7,290,000.00 $7,290,000.00 $554,083.00 Full investment outstanding; warrants outstanding

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 23-Dec-08 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in full; warrants not outstanding

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 29-Dec-09 $4,567,000.00

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 8-Nov-12 $1,050,524.72 1,117 $940.38 ($66,475.28)

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 9-Nov-12 $9,673,015.37 10,305 $939.53 ($631,984.63) $335,417.06 343

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11-Jan-13 ($107,235.41)

8,78,11 WESTERN RESERVE BANCORP, INC. MEDINA OH 15-May-09 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in full; warrants not outstanding

WESTERN RESERVE BANCORP, INC. MEDINA OH 30-Nov-12 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 20-Feb-09 Preferred Stock w/ Exercised Warrants $16,800,000.00 $16,800,000.00 $1,589,583.00 Full investment outstanding; warrants outstanding

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 19-Dec-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in full; warrants not outstanding

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 3-Jun-11 $300,000,000.00 300,000 $1,000.00 $6,900,000.00 2,631,579

11 WILMINGTON TRUST CORPORATION WILMINGTON DE 12-Dec-08 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, in full; warrants outstanding

WILMINGTON TRUST CORPORATION WILMINGTON DE 13-May-11 $330,000,000.00 330,000 $1,000.00

WILSHIRE BANCORP, INC. LOS ANGELES CA 12-Dec-08 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in full; warrants not outstanding

WILSHIRE BANCORP, INC. LOS ANGELES CA 3-Apr-12 $58,646,694.58 ($879,700.42) 62,158 $943.50 ($3,511,305.42)

WILSHIRE BANCORP, INC. LOS ANGELES CA 20-Jun-12 $760,000.00 949,460

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 19-Dec-08 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in full; warrants not outstanding

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 22-Dec-10 $250,000,000.00 250,000 $1,000.00

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 14-Feb-11 $25,600,564.15 1,643,295

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 15-May-09 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in full; warrants not outstanding

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 24-Jun-13 $2,343,851.20 2,720 $861.70 ($376,148.80) $90,940.00 136

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 26-Jul-13 ($24,999.99)

WSFS FINANCIAL CORPORATION WILMINGTON DE 23-Jan-09 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in full; warrants not outstanding

WSFS FINANCIAL CORPORATION WILMINGTON DE 3-Apr-12 $48,157,663.75 ($722,364.96) 52,625 $915.10 ($4,467,336.25)

WSFS FINANCIAL CORPORATION WILMINGTON DE 12-Sep-12 $1,800,000.00 175,105

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 16-Jan-09 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in full; warrants not outstanding

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 24-Jul-09 $13,312,000.00

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 18-Sep-12 $44,149,056.00 ($662,235.84) 49,312 $893.00 ($5,162,944.00)

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 10-Jun-13 $55,677.00 91,178
52

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 11-Jun-13 $20,000.00 128,663

45,8,14 YORK TRADITIONS BANK YORK PA 24-Apr-09 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in full; warrants not outstanding

YORK TRADITIONS BANK YORK PA 14-Jul-11 $4,871,000.00 4,871 $1,000.00 $244,000.00 244

11 ZIONS BANCORPORATION SALT LAKE CITY UT 14-Nov-08 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in full; warrants not outstanding

ZIONS BANCORPORATION SALT LAKE CITY UT 28-Mar-12 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 26-Sep-12 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 5-Dec-12 $7,666,418.51 5,789,909

TOTALS $204,894,726,320.00 $2,372,229,389.88 $224,690,800,640.26 $197,909,608,999.34 ($33,580,752.15) ($4,612,887,930.79) $6,886,121,071.56 $7,890,273,549.00
53

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.
54

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.
55

Footnote Footnote Description

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.

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.
56

Footnote Footnote Description

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.

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.
57

Footnote Footnote Description

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been 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.

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.
58

Footnote Footnote Description

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.

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.
59

Footnote Footnote Description

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.

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. 

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.
60

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.
61

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Amount

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ - $ 14,000,000 Par 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 10,189,000 $ 22,115,000 Par 11/28/2012 6 $22,115,000 $0

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 22,800,000 $ 33,800,000 Par 

1, 4 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 $ - $ 6,784,000 Par 1/29/2013 4 $79,900 $0

1 8/13/2010 Preferred Stock $ 7,462,000 $ - Par 

2a 9/17/2010 Preferred Stock $ - $ 4,379,000 $ 11,841,000 Par 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ - $ 3,000,000 Par 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ - $ 17,000,000 Par 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ - $ 2,795,000 Par 

1 8/20/2010 Preferred Stock $ 5,500,000 $ - Par 

2a 9/24/2010 Preferred Stock $ - $ 4,836,000 $ 10,336,000 Par 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ - $ 11,735,000 Par 

1, 3 8/27/2010 Carver Bancorp, Inc New York NY Common Stock $ 18,980,000 $ - $ 18,980,000 Par 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ - $ 3,154,000 Par 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ - $ 10,300,000 Par 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ - $ 6,000,000 Par 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 $ 3,881,000 $ 8,086,000 Par 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ - $ 5,781,000 Par 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ - $ - $ 5,457,000 Par 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ - $ 4,520,000 Par 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ - $ 300,000 Par 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 7,875,000 $ - $ 7,875,000 Par 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 5,689,000 $ 11,334,000 Par 

1, 7 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ - $ 5,146,000 Par 5/1/2013 7 $5,146,000 $0

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ - $ - $ 3,372,000 Par 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ - $ - $ 1,915,000 Par 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 898,000 Par 

6 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ - $ - $ 2,500,000 Par 9/26/2012 6 $2,500,000 $0

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 283,000 Par 

6 9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ - $ - $ 1,657,000 Par 10/17/2012 6 $1,657,000 $0

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ - $ - $ 10,000 Par 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ - $ - $ 145,000 Par 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 424,000 Par 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ - $ - $ 2,234,000 Par 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ - $ - $ 435,000 Par 

6 9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 743,000 Par 9/4/2013 6 $743,000 $0

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/24/2010 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA Subordinated Debentures $ - $ - $ 75,000 Par 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ - $ - $ 153,000 Par 

9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ - $ - $ 2,500,000 Par 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ - $ - $ 2,799,000 Par 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ - $ - $ 273,000 Par 

9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ - $ - $ 2,650,000 Par 

6 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ - $ 1,096,000 Par 10/3/2012 6 $1,096,000 $0

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ - $ - $ 1,600,000 Par 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ - $ - $ 2,828,000 Par 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ - $ - $ 350,000 Par 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ - $ - $ 8,044,000 Par 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 18,000,000 $ 4,000,000 $ 22,000,000 Par 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 $ 2,313,000 $ 4,060,000 Par 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 5,000,000 $ 12,123,000 $ 17,123,000 Par 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 50,400,000 $ 30,514,000 $ 80,914,000 Par 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 30,000,000 $ - $ 30,000,000 Par 8/30/2013 7 $30,000,000 $0

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 15,750,000 $ - $ 15,750,000 Par 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 4,551,000 $ - $ 4,551,000 Par 

1, 7 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ - $ 9,734,000 Par 12/28/2012 7 $9,734,000 $0

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 54,600,000 $ - $ 54,600,000 Par 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 6,245,000 $ - $ 6,245,000 Par 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ - $ 17,910,000 Par 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ - $ 5,250,000 Par 

Citizens Bancshares Corporation Atlanta GA

Mission Valley Bancorp Sun Valley CA

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details Disposition Details

Date
62

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Footnote Purchase Date Amount

Seller Purchase Details Disposition Details

Date

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ - $ - $ 7,922,000 Par 

8 9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ - $ - $ 3,297,000 Par 3/13/2013 6 $3,297,000 $0

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ - $ - $ 1,709,000 Par 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 14,000 Par 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ - $ - $ 502,000 Par 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ - $ - $ 2,646,000 Par 

6 9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ - $ - $ 6,300,000 Par 2/6/2013 6 $2,500,000 $3,800,000

6 9/29/2010 UNITEHERE Federal Credit Union

(Workers United Federal Credit Union) New York NY Subordinated Debentures $ - $ - $ 57,000 Par 3/20/2013 6 $57,000 $0

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ - $ - $ 325,000 Par 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ - $ 7,000 Par 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ - $ - $ 450,000 Par 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ - $ 3,260,000 Par 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ - $ 1,091,000 Par 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 295,000 Par 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ - $ - $ 1,100,000 Par 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ - $ - $ 1,522,000 Par 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ - $ - $ 30,000 Par 

6 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ - $ - $ 350,000 Par 4/10/2012 6 $350,000 $0

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ - $ 100,000 Par 

6 9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ - $ 9,278,000 Par 6/12/2013 6 $9,278,000 $0

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ - $ - $ 1,229,000 Par 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ - $ - $ 31,000 Par 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ - $ - $ 698,000 Par 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ - $ - $ 300,000 Par 

Total Purchase Amount $ 570,073,000 Total Capital Repayment Amount $88,552,900

$ 481,520,100

9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.

4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit 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.

5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.

6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement

7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.

8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.

3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the 

exchange.

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.

2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.

2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
63

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

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000 Par 22, 

26 12/30/2010 Partial conversion of preferred stock for common stock $ 5,500,000,000 N/A 26

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

$ 2,670,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,670,000,000 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%

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 Debt Obligation $ 935,805,085 

4/5/2011 Partial Repayment $ 45,000,000 Debt Obligation $ 890,805,085 

5/3/2011 Partial Repayment $ 15,887,795 Debt Obligation $ 874,917,290 

12/16/2011 Partial Repayment $ 144,444 Debt Obligation $ 874,772,846 

12/23/2011 Partial Repayment $ 18,890,294 Debt Obligation $ 855,882,552 

1/11/2012 Partial Repayment $ 6,713,489 Debt Obligation $ 849,169,063 

10/23/2012 Partial Repayment $ 435,097 Debt Obligation $ 848,733,966 

5/22/2013 Partial Repayment $ 10,048,968 Debt Obligation $ 838,684,999 

9/20/2013 Partial Repayment $ 11,832,877 Debt Obligation $ 826,852,122 

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

Termination and settlement 

payment 20

11, 12 Debt Obligation $ 7,072,488,605

Chrysler 

FinCo

Farmington 

Hills, MI

6 7/10/2009 Exchange for preferred and 

common stock in New GM $ 360,624,198 N/A 7

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 13,400,000,000

5/27/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 360,624,198 Par

Par

General Motors 

Company

10, 

11, 25 5 7/10/2009 Common Stock 60.8% Exchange for preferred and 

common stock in New GM $ 4,000,000,000 N/A

7

General Motors 

Holdings LLC

5/21/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 7,500,000,000

GMAC (Ally)

Par

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 21, 22 Convertible 

Preferred Stock

22 12/30/2009 Partial conversion of preferred 

stock for common stock $ 3,000,000,000 N/A

Pricing 

Mechanism Date Type

3, 26, 

32 Common Stock 73.8%

$ 5,937,500,000

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment After Exchange/Transfer/Other Payment or Disposition1

City, State Date Transaction Type

Remaining 

Investment 

Amount/Equity % Date Type Amount/ Proceeds Amount/Equity %

Remaining 

Investment 

Amount Description

Pricing 

Seller Description Amount Mechanism Obligor Description
64

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 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional 

Note, Zero Coupon Note, 

Equity

$ 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 & 

zero coupon 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 $ 46,908,861,049

$ 403,000,000

Total Treasury Investment Amount

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.

22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 

23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without 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.

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.

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.

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.

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.

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table 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.

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.

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.

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.

5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.

6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.

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.)

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. 

"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.

2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 

3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").

"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.

"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.

"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.

"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".

"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).

 $ 0 

Additional Proceeds *

 $ 28,882,377,922 

Footnotes appear on following page.

As used in this table and its footnotes:

Chrysler Auburn Hills, 

MI

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A
65

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 $ 101,074,947

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.

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.

Total Proceeds from Additional Notes

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 

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 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

5/ All outstanding principal drawn under the credit agreement was repaid.

N/A $ 1,000,000,000

$ 123,076,735

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735

$ 2,500,000,000

$ 290,000,000

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 1,500,000,000

Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3 $ (1,000,000,000)

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase

Pricing Mechanism

Adjustment Details Payment or Disposition4

Name of Institution

Adjustment 

Date

Adjusted or Final 

Investment Amount

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.

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 

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

Investment 

Amount

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.

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.
66

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 

Total Proceeds: $5,460,564,675

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.

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.
67

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 

Exchange trust preferred 

securities for trust preferred 

securities

4 9/29/2010 $ 2,246,000,000 

1 1/16/2009 Citigroup Inc. $ 4,034,000,000 

Trust Preferred Securities 

w/ Warrants

New York NY Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, Series 

I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.

Footnote

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Description

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Seller

Type Description

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

Remaining Premium 

Description

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.

 $ 4,034,000,000 

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.

2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged 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. 

Type

Remaining 

Description Amount Footnote Date Amount Premium 

Guarantee

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

Guarantee Limit Date Type Amount

 $ 894,000,000.00 

3

7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.

8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.

6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities. 

 $ 800,000,000.00 

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.
68

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.

1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

 562,868,096

12/14/2012 Final Disposition $ 7,610,497,570 N/A

6

15

13

 924,546,133

5/7/2012 Partial Disposition $ 749,999,972 N/A 12

8/3/2012 Partial Disposition $ 4,999,999,993 N/A 13

9/10/2012 Partial Disposition $ 17,999,999,973 N/A 14

8/6/2012 Partial Disposition $ 750,000,002 N/A

Partial Disposition $ 2,699,999,965 N/A 14

5 1/14/2011 Preferred Stock (Series E) Exchange

3/8/2012 Partial Disposition $ 6,000,000,008 N/A 11

5/6/2012 Partial Disposition $ 4,999,999,993 N/A 12

5/24/2011 Partial Disposition $ 5,800,000,000

Pricing Mechanism Investment Description Amount / Shares

Remaining Recap 

Investment Amount, 

Shares, or Equity %

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.

Proceeds 8

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

AIG POST-RECAPITALIZATION

Recapitalization

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

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 Pricing Mechanism Investment Description

N/A 9

4 1/14/2011

Preferred Stock (Series G)

$ 55,885,302

Exchange N/A

1 11/25/2008 AIG New York NY Preferred Stock w/ Warrants 

(Series D) Purchase $ 40,000,000,000 Par

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

$ 25,156,690.60

Treasury Holdings Post-Recapitalization Final Disposition

Transaction Type

$ 0 8

$ 971,506,765

$ 5,576,121,382

$ 1,521,632,096

AIA Preferred Units $ 16,916,603,568 7

$ 1,493,250,339

$ 0 8

ALICO Junior Preferred Interests $ 3,375,328,432 7

$ 44,941,843

$ 97,008,351

$ 2,153,520,000

Investment

Warrants (Series D)

Warrants (Series F)

Final Disposition

 167,623,733

9/11/2012

Preferred Stock (Series F)

Exchange Par

Exchange

$ -

$ 185,726,192

$ 2,009,932,072

$ 5,511,067,614

$ 1,383,888,037

$ 55,833,333
69

15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 

14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.

13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.

5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (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.

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common 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.

7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at 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.
70

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

Total Investment Amount $ 100,000,000 Total Repayment Amount 5 $ 670,079,981

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.

2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.

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 $ 100,000,000

6/28/2012 3 $ 1,400,000,000

1/15/2013 4 $ 100,000,000

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

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

Adjusted Investment

Final Investment Amount

Repayment 5

Date
71

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

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 2017

Floating Rate SBA 7a security due 2034

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 -

Floating Rate SBA 7a security due 2020 -

-

-

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 2020

Floating Rate SBA 7a security due 2034

-

-

-

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior 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.

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Final Disposition

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

-

Floating Rate SBA 7a security due 2026 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034

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 -

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.

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).

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029
72

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

1/15/2010 $ 156,250,000 $ 0 Membership Interest

1/12/2010 $ 166,000,000 $ 0 Contingent Proceeds

3/29/2012 $ 161,386,870 $ 0 Membership Interest 10

CREDIT MARKET PROGRAMS

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition
73

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

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

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

 

1/24/2013 $ 341,479,690 $ - Contingent Proceeds

8/30/2012 $ 292,454,480 $ - Membership Interest 10

3/14/2012 $ 284,468,750 $ 0 Contingent Proceeds

3/13/2013 $ 243,459,145 $ 0 Membership Interest 10
74

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

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

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

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

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

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

2/14/2013 $ 201,075,230 $ - Contingent Proceeds

10/18/2012 $ 794,459,374 $ - Contingent Proceeds

2/21/2013 $ 6,862,425 $ - Membership Interest 10

8/22/2012 $ 583,467,339 $ - Contingent Proceeds

11/5/2012 $ 419,026,439 $ - Membership Interest 10
75

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

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

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

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

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

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

5/16/2013 Distribution 5, 11 $ 963,411

7/11/2013 Distribution 5, 11 $ 750,004

9/5/2013 Distribution 5, 11 $ 1,000,001

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 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

1/24/2013 $ 375,212,503 $ - Contingent Proceeds

9/21/2012 $ 161,866,170 $ - Contingent Proceeds

3/25/2013 $ 30,369,198 $ - Membership Interest 10

10/19/2012 $ 122,255,550 $ - Membership Interest 10
76

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10

4/12/2013 $ 18,268,328 $ 222,210,343 Membership Interest 10

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

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

$ 30,000,000,000 $ 21,856,403,574 $ 2,635,984,657

TOTAL CAPITAL REPAYMENT AMOUNT $ 18,625,147,938

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.

13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted 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.

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.

7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.

8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

9/ Cumulative capital drawn at end of the Investment Period.

10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.

11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.

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.

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.

5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross 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.

5/14/2013 $ 311,134,469 $ - Contingent Proceeds

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT

6/3/2013 $ 31,835,008 $ - Membership Interest 10
77

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 376,000,000 N/A 6/12/2009 $ 284,590,000 $ 660,590,000 Updated portfolio data from servicer

10310 9/30/2009 $ 121,910,000 $ 782,500,000 

Updated portfolio data from servicer & HPDP 

initial cap

10310 12/30/2009 $ 131,340,000 $ 913,840,000 

Updated portfolio data from servicer & HAFA 

initial cap

10310 3/26/2010 $ (355,530,000) $ 558,310,000 Updated portfolio data from servicer

10310 7/14/2010 $ 128,690,000 $ 687,000,000 Updated portfolio data from servicer

10310 9/30/2010 $ 4,000,000 $ 691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10310 9/30/2010 $ 59,807,784 $ 750,807,784 Updated portfolio data from servicer

10310 11/16/2010 $ (700,000) $ 750,107,784 Transfer of cap due to servicing transfer

10310 12/15/2010 $ 64,400,000 $ 814,507,784 Updated portfolio data from servicer

10310 1/6/2011 $ (639) $ 814,507,145 Updated portfolio data from servicer

10310 1/13/2011 $ (2,300,000) $ 812,207,145 Transfer of cap due to servicing transfer

10310 2/16/2011 $ 100,000 $ 812,307,145 Transfer of cap due to servicing transfer

10310 3/16/2011 $ 3,600,000 $ 815,907,145 Transfer of cap due to servicing transfer

10310 3/30/2011 $ (735) $ 815,906,410 

Updated due to quarterly assessment and 

reallocation

10310 4/13/2011 $ (100,000) $ 815,806,410 Transfer of cap due to servicing transfer

10310 5/13/2011 $ 400,000 $ 816,206,410 Transfer of cap due to servicing transfer

10310 6/16/2011 $ (100,000) $ 816,106,410 Transfer of cap due to servicing transfer

10310 6/29/2011 $ (6,805) $ 816,099,605 

Updated due to quarterly assessment and 

reallocation

10310 8/16/2011 $ (100,000) $ 815,999,605 Transfer of cap due to servicing transfer

10310 9/15/2011 $ (200,000) $ 815,799,605 Transfer of cap due to servicing transfer

10310 10/14/2011 $ (100,000) $ 815,699,605 Transfer of cap due to servicing transfer

10310 11/16/2011 $ (100,000) $ 815,599,605 Transfer of cap due to servicing transfer

10310 1/13/2012 $ 200,000 $ 815,799,605 Transfer of cap due to servicing transfer

10310 3/15/2012 $ 24,800,000 $ 840,599,605 Transfer of cap due to servicing transfer

10310 4/16/2012 $ 1,900,000 $ 842,499,605 Transfer of cap due to servicing transfer

10310 5/16/2012 $ 80,000 $ 842,579,605 Transfer of cap due to servicing transfer

10310 6/14/2012 $ 8,710,000 $ 851,289,605 Transfer of cap due to servicing transfer

10310 6/28/2012 $ (5,176) $ 851,284,429 

Updated due to quarterly assessment and 

reallocation

10310 7/16/2012 $ 2,430,000 $ 853,714,429 Transfer of cap due to servicing transfer

10310 8/16/2012 $ 2,310,000 $ 856,024,429 Transfer of cap due to servicing transfer

10310 9/27/2012 $ (13,961) $ 856,010,468 

Updated due to quarterly assessment and 

reallocation

10310 10/16/2012 $ 126,940,000 $ 982,950,468 Transfer of cap due to servicing transfer

10310 11/15/2012 $ 9,990,000 $ 992,940,468 Transfer of cap due to servicing transfer

10310 12/14/2012 $ 10,650,000 $ 1,003,590,468 Transfer of cap due to servicing transfer

10310 12/27/2012 $ (2,663) $ 1,003,587,805 

Updated due to quarterly assessment and 

reallocation

10310 1/16/2013 $ 18,650,000 $ 1,022,237,805 Transfer of cap due to servicing transfer

10310 2/14/2013 $ 10,290,000 $ 1,032,527,805 Transfer of cap due to servicing transfer

10310 3/14/2013 $ 4,320,000 $ 1,036,847,805 Transfer of cap due to servicing transfer

10310 3/25/2013 $ (10,116) $ 1,036,837,689 

Updated due to quarterly assessment and 

reallocation

10310 4/16/2013 $ 840,000 $ 1,037,677,689 Transfer of cap due to servicing transfer

10310 5/16/2013 $ 1,330,000 $ 1,039,007,689 Transfer of cap due to servicing transfer

10310 6/14/2013 $ 3,620,000 $ 1,042,627,689 Transfer of cap due to servicing transfer

10310 6/27/2013 $ (3,564) $ 1,042,624,125 

Updated due to quarterly assessment and 

reallocation

10310 7/16/2013 $ 105,080,000 $ 1,147,704,125 Transfer of cap due to servicing transfer

10310 8/15/2013 $ 10,000 $ 1,147,714,125 Transfer of cap due to servicing transfer

10310 9/16/2013 $ 98,610,000 $ 1,246,324,125 Transfer of cap due to servicing transfer

10310 9/27/2013 $ (1,541) $ 1,246,322,584 

Updated due to quarterly assessment and 

reallocation

4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications $ 2,071,000,000 N/A 6/12/2009 $ (991,580,000) $ 1,079,420,000 Updated portfolio data from servicer

10722 9/30/2009 $ 1,010,180,000 $ 2,089,600,000 

Updated portfolio data from servicer & HPDP 

initial cap

10722 12/30/2009 $ (105,410,000) $ 1,984,190,000 

Updated portfolio data from servicer & HAFA 

initial cap

10722 3/26/2010 $ (199,300,000) $ 1,784,890,000 

Updated portfolio data from servicer & 2MP initial 

cap

10722 4/19/2010 $ (230,000) $ 1,784,660,000 

Transfer of cap to Service One, Inc. due to 

servicing transfer

10722 5/14/2010 $ (3,000,000) $ 1,781,660,000 

Transfer of cap to Specialized Loan Servicing, 

LLC due to servicing transfer

10722 6/16/2010 $ (12,280,000) $ 1,769,380,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 7/14/2010 $ (757,680,000) $ 1,011,700,000 Updated portfolio data from servicer

10722 7/16/2010 $ (7,110,000) $ 1,004,590,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 8/13/2010 $ (6,300,000) $ 998,290,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 9/15/2010 $ (8,300,000) $ 989,990,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 9/30/2010 $ 32,400,000 $ 1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10722 9/30/2010 $ 101,287,484 $ 1,123,677,484 Updated portfolio data from servicer

10722 10/15/2010 $ (1,400,000) $ 1,122,277,484 Transfer of cap due to servicing transfer

10722 11/16/2010 $ (3,200,000) $ 1,119,077,484 Transfer of cap due to servicing transfer

Date 

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

MAKING HOME AFFORDABLE PROGRAM

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending September 27, 2013
78

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10722 1/6/2011 $ (981) $ 1,119,076,503 Updated portfolio data from servicer

10722 1/13/2011 $ (10,500,000) $ 1,108,576,503 Transfer of cap due to servicing transfer

10722 2/16/2011 $ (4,600,000) $ 1,103,976,503 Transfer of cap due to servicing transfer

10722 3/16/2011 $ (30,500,000) $ 1,073,476,503 Transfer of cap due to servicing transfer

10722 3/30/2011 $ (1,031) $ 1,073,475,472 

Updated due to quarterly assessment and 

reallocation

10722 4/13/2011 $ 100,000 $ 1,073,575,472 Transfer of cap due to servicing transfer

10722 5/13/2011 $ (7,200,000) $ 1,066,375,472 Transfer of cap due to servicing transfer

10722 6/16/2011 $ (400,000) $ 1,065,975,472 Transfer of cap due to servicing transfer

10722 6/29/2011 $ (9,131) $ 1,065,966,341 

Updated due to quarterly assessment and 

reallocation

10722 7/14/2011 $ (14,500,000) $ 1,051,466,341 Transfer of cap due to servicing transfer

10722 8/16/2011 $ (1,600,000) $ 1,049,866,341 Transfer of cap due to servicing transfer

10722 9/15/2011 $ 700,000 $ 1,050,566,341 Transfer of cap due to servicing transfer

10722 10/14/2011 $ 15,200,000 $ 1,065,766,341 Transfer of cap due to servicing transfer

10722 11/16/2011 $ (2,900,000) $ 1,062,866,341 Transfer of cap due to servicing transfer

10722 12/15/2011 $ (5,000,000) $ 1,057,866,341 Transfer of cap due to servicing transfer

10722 1/13/2012 $ (900,000) $ 1,056,966,341 Transfer of cap due to servicing transfer

10722 2/16/2012 $ (1,100,000) $ 1,055,866,341 Transfer of cap due to servicing transfer

10722 3/15/2012 $ (1,700,000) $ 1,054,166,341 Transfer of cap due to servicing transfer

10722 4/16/2012 $ (600,000) $ 1,053,566,341 Transfer of cap due to servicing transfer

10722 5/16/2012 $ (340,000) $ 1,053,226,341 Transfer of cap due to servicing transfer

10722 6/14/2012 $ (2,880,000) $ 1,050,346,341 Transfer of cap due to servicing transfer

10722 6/28/2012 $ (5,498) $ 1,050,340,843 

Updated due to quarterly assessment and 

reallocation

10722 7/16/2012 $ (298,960,000) $ 751,380,843 Transfer of cap due to servicing transfer

10722 7/27/2012 $ 263,550,000 $ 1,014,930,843 Transfer of cap due to servicing transfer

10722 8/16/2012 $ 30,000 $ 1,014,960,843 Transfer of cap due to servicing transfer

10722 9/27/2012 $ (12,722) $ 1,014,948,121 

Updated due to quarterly assessment and 

reallocation

10722 10/16/2012 $ (4,020,000) $ 1,010,928,121 Transfer of cap due to servicing transfer

10722 11/15/2012 $ (1,460,000) $ 1,009,468,121 Transfer of cap due to servicing transfer

10722 12/14/2012 $ (6,000,000) $ 1,003,468,121 Transfer of cap due to servicing transfer

10722 12/27/2012 $ (1,916) $ 1,003,466,205 

Updated due to quarterly assessment and 

reallocation

10722 2/14/2013 $ (8,450,000) $ 995,016,205 Transfer of cap due to servicing transfer

10722 3/14/2013 $ (1,890,000) $ 993,126,205 Transfer of cap due to servicing transfer

10722 3/25/2013 $ (6,606) $ 993,119,599 

Updated due to quarterly assessment and 

reallocation

10722 4/16/2013 $ (3,490,000) $ 989,629,599 Transfer of cap due to servicing transfer

10722 6/14/2013 $ (3,630,000) $ 985,999,599 Transfer of cap due to servicing transfer

10722 6/27/2013 $ (2,161) $ 985,997,438 

Updated due to quarterly assessment and 

reallocation

10722 7/16/2013 $ (26,880,000) $ 959,117,438 Transfer of cap due to servicing transfer

10722 9/16/2013 $ (12,160,000) $ 946,957,438 Transfer of cap due to servicing transfer

10722 9/27/2013 $ (610) $ 946,956,828 

Updated due to quarterly assessment and 

reallocation

4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 2,873,000,000 N/A 6/17/2009 $ (462,990,000) $ 2,410,010,000 Updated portfolio data from servicer

10423 9/30/2009 $ 65,070,000 $ 2,475,080,000 

Updated portfolio data from servicer & HPDP 

initial cap

10423 12/30/2009 $ 1,213,310,000 $ 3,688,390,000 

Updated portfolio data from servicer & HAFA 

initial cap

10423 2/17/2010 $ 2,050,236,344 $ 5,738,626,344 

Transfer of cap (from Wachovia Mortgage, FSB) 

due to merger

10423 3/12/2010 $ 54,767 $ 5,738,681,110 

Transfer of cap (from Wachovia Mortgage, FSB) 

due to merger

10423 3/19/2010 $ 668,108,890 $ 6,406,790,000 Initial 2MP cap

10423 3/26/2010 $ 683,130,000 $ 7,089,920,000 Updated portfolio data from servicer

10423 7/14/2010 $ (2,038,220,000) $ 5,051,700,000 Updated portfolio data from servicer

10423 9/30/2010 $ (287,348,828) $ 4,764,351,172 Updated portfolio data from servicer

10423 9/30/2010 $ 344,000,000 $ 5,108,351,172 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

10423 12/3/2010 $ 8,413,225 $ 5,116,764,397 Transfer of cap (from Wachovia) due to merger

10423 12/15/2010 $ 22,200,000 $ 5,138,964,397 Updated portfolio data from servicer

10423 1/6/2011 $ (6,312) $ 5,138,958,085 Updated portfolio data from servicer

10423 1/13/2011 $ (100,000) $ 5,138,858,085 Transfer of cap due to servicing transfer

10423 3/16/2011 $ (100,000) $ 5,138,758,085 Transfer of cap due to servicing transfer

10423 3/30/2011 $ (7,171) $ 5,138,750,914 

Updated due to quarterly assessment and 

reallocation

10423 4/13/2011 $ (9,800,000) $ 5,128,950,914 Transfer of cap due to servicing transfer

10423 5/13/2011 $ 100,000 $ 5,129,050,914 Transfer of cap due to servicing transfer

10423 6/16/2011 $ (600,000) $ 5,128,450,914 Transfer of cap due to servicing transfer

10423 6/29/2011 $ (63,856) $ 5,128,387,058 

Updated due to quarterly assessment and 

reallocation

10423 7/14/2011 $ (2,300,000) $ 5,126,087,058 Transfer of cap due to servicing transfer

10423 8/16/2011 $ (1,100,000) $ 5,124,987,058 Transfer of cap due to servicing transfer

10423 9/15/2011 $ 1,400,000 $ 5,126,387,058 Transfer of cap due to servicing transfer

10423 10/14/2011 $ 200,000 $ 5,126,587,058 Transfer of cap due to servicing transfer

10423 11/16/2011 $ (200,000) $ 5,126,387,058 Transfer of cap due to servicing transfer

10423 12/15/2011 $ (200,000) $ 5,126,187,058 Transfer of cap due to servicing transfer

10423 1/13/2012 $ (300,000) $ 5,125,887,058 Transfer of cap due to servicing transfer

10423 2/16/2012 $ (200,000) $ 5,125,687,058 Transfer of cap due to servicing transfer

10423 3/15/2012 $ (1,000,000) $ 5,124,687,058 Transfer of cap due to servicing transfer
79

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10423 4/16/2012 $ (800,000) $ 5,123,887,058 Transfer of cap due to servicing transfer

10423 5/16/2012 $ (610,000) $ 5,123,277,058 Transfer of cap due to servicing transfer

10423 6/14/2012 $ (2,040,000) $ 5,121,237,058 Transfer of cap due to servicing transfer

10423 6/28/2012 $ (39,923) $ 5,121,197,135 

Updated due to quarterly assessment and 

reallocation

10423 8/16/2012 $ (120,000) $ 5,121,077,135 Transfer of cap due to servicing transfer

10423 9/27/2012 $ (104,111) $ 5,120,973,024 

Updated due to quarterly assessment and 

reallocation

10423 10/16/2012 $ (1,590,000) $ 5,119,383,024 Transfer of cap due to servicing transfer

10423 11/15/2012 $ (2,910,000) $ 5,116,473,024 Transfer of cap due to servicing transfer

10423 12/14/2012 $ (1,150,000) $ 5,115,323,024 Transfer of cap due to servicing transfer

10423 12/27/2012 $ (16,392) $ 5,115,306,632 

Updated due to quarterly assessment and 

reallocation

10423 1/16/2013 $ (3,350,000) $ 5,111,956,632 Transfer of cap due to servicing transfer

10423 2/14/2013 $ (820,000) $ 5,111,136,632 Transfer of cap due to servicing transfer

10423 3/14/2013 $ (270,000) $ 5,110,866,632 Transfer of cap due to servicing transfer

10423 3/25/2013 $ (58,709) $ 5,110,807,923 

Updated due to quarterly assessment and 

reallocation

10423 4/16/2013 $ (40,000) $ 5,110,767,923 Transfer of cap due to servicing transfer

10423 5/16/2013 $ (5,320,000) $ 5,105,447,923 Transfer of cap due to servicing transfer

10423 6/14/2013 $ (1,260,000) $ 5,104,187,923 Transfer of cap due to servicing transfer

10423 6/27/2013 $ (20,596) $ 5,104,167,327 

Updated due to quarterly assessment and 

reallocation

10423 7/16/2013 $ (1,200,000) $ 5,102,967,327 Transfer of cap due to servicing transfer

10423 8/15/2013 $ (30,000) $ 5,102,937,327 Transfer of cap due to servicing transfer

10423 9/16/2013 $ (10,760,000) $ 5,092,177,327 Transfer of cap due to servicing transfer

10423 9/27/2013 $ (6,701) $ 5,092,170,626 

Updated due to quarterly assessment and 

reallocation

4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 N/A 6/12/2009 $ 384,650,000 $ 1,017,650,000 Updated portfolio data from servicer

10315 9/30/2009 $ 2,537,240,000 $ 3,554,890,000 

Updated portfolio data from servicer & HPDP 

initial cap

10315 12/30/2009 $ (1,679,520,000) $ 1,875,370,000 

Updated portfolio data from servicer & HAFA 

initial cap

10315 3/26/2010 $ 190,180,000 $ 2,065,550,000 Updated portfolio data from servicer

10315 5/14/2010 $ 1,880,000 $ 2,067,430,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

10315 7/14/2010 $ (881,530,000) $ 1,185,900,000 Updated portfolio data from servicer

10315 8/13/2010 $ (3,700,000) $ 1,182,200,000 Transfer of cap due to servicing transfer

10315 9/30/2010 $ 119,200,000 $ 1,301,400,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial 2MP cap

10315 9/30/2010 $ 216,998,139 $ 1,518,398,139 Updated portfolio data from servicer

10315 12/15/2010 $ (500,000) $ 1,517,898,139 Updated portfolio data from servicer

10315 1/6/2011 $ (1,734) $ 1,517,896,405 Updated portfolio data from servicer

10315 3/16/2011 $ (100,000) $ 1,517,796,405 Transfer of cap due to servicing transfer

10315 3/30/2011 $ (2,024) $ 1,517,794,381 

Updated due to quarterly assessment and 

reallocation

10315 4/13/2011 $ (800,000) $ 1,516,994,381 Transfer of cap due to servicing transfer

10315 5/13/2011 $ (17,900,000) $ 1,499,094,381 Transfer of cap due to servicing transfer

10315 6/29/2011 $ (18,457) $ 1,499,075,924 

Updated due to quarterly assessment and 

reallocation

10315 7/14/2011 $ (200,000) $ 1,498,875,924 Transfer of cap due to servicing transfer

10315 8/16/2011 $ 3,400,000 $ 1,502,275,924 Transfer of cap due to servicing transfer

10315 9/15/2011 $ 200,000 $ 1,502,475,924 Transfer of cap due to servicing transfer

10315 10/14/2011 $ (800,000) $ 1,501,675,924 Transfer of cap due to servicing transfer

10315 11/16/2011 $ (200,000) $ 1,501,475,924 Transfer of cap due to servicing transfer

10315 12/15/2011 $ 2,600,000 $ 1,504,075,924 Transfer of cap due to servicing transfer

10315 1/13/2012 $ (1,600,000) $ 1,502,475,924 Transfer of cap due to servicing transfer

10315 3/15/2012 $ (400,000) $ 1,502,075,924 Transfer of cap due to servicing transfer

10315 4/16/2012 $ (100,000) $ 1,501,975,924 Transfer of cap due to servicing transfer

10315 5/16/2012 $ (800,000) $ 1,501,175,924 Transfer of cap due to servicing transfer

10315 6/14/2012 $ (990,000) $ 1,500,185,924 Transfer of cap due to servicing transfer

10315 6/28/2012 $ (12,463) $ 1,500,173,461 

Updated due to quarterly assessment and 

reallocation

10315 8/16/2012 $ 10,000 $ 1,500,183,461 Transfer of cap due to servicing transfer

10315 9/27/2012 $ (33,210) $ 1,500,150,251 

Updated due to quarterly assessment and 

reallocation

10315 11/15/2012 $ (1,200,000) $ 1,498,950,251 Transfer of cap due to servicing transfer

10315 12/14/2012 $ 40,000 $ 1,498,990,251 Transfer of cap due to servicing transfer

10315 12/27/2012 $ (5,432) $ 1,498,984,819 

Updated due to quarterly assessment and 

reallocation

10315 1/16/2013 $ 60,000 $ 1,499,044,819 Transfer of cap due to servicing transfer

10315 2/14/2013 $ (30,000) $ 1,499,014,819 Transfer of cap due to servicing transfer

10315 3/14/2013 $ (80,000) $ 1,498,934,819 Transfer of cap due to servicing transfer

10315 3/25/2013 $ (19,838) $ 1,498,914,981 

Updated due to quarterly assessment and 

reallocation

10315 6/14/2013 $ 30,000 $ 1,498,944,981 Transfer of cap due to servicing transfer

10315 6/27/2013 $ (7,105) $ 1,498,937,876 

Updated due to quarterly assessment and 

reallocation

10315 9/16/2013 $ (66,500,000) $ 1,432,437,876 Transfer of cap due to servicing transfer

10315 9/27/2013 $ (2,430) $ 1,432,435,446 

Updated due to quarterly assessment and 

reallocation

4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 N/A 6/17/2009 $ 225,040,000 $ 632,040,000 Updated portfolio data from servicer

10458 9/30/2009 $ 254,380,000 $ 886,420,000 

Updated portfolio data from servicer & HPDP 

initial cap

10458 12/30/2009 $ 355,710,000 $ 1,242,130,000 

Updated portfolio data from servicer & HAFA 

initial cap

10458 3/26/2010 $ (57,720,000) $ 1,184,410,000 Updated portfolio data from servicer

10458 6/16/2010 $ (156,050,000) $ 1,028,360,000 

Transfer of cap to Ocwen Financial Corporation, 

Inc. due to servicing transfer
80

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10458 7/14/2010 $ (513,660,000) $ 514,700,000 Updated portfolio data from servicer

10458 7/16/2010 $ (22,980,000) $ 491,720,000 Transfer of cap due to multiple servicing transfers

10458 9/15/2010 $ 1,800,000 $ 493,520,000 Transfer of cap due to servicing transfer

10458 9/30/2010 $ 9,800,000 $ 503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10458 9/30/2010 $ 116,222,668 $ 619,542,668 Updated portfolio data from servicer

10458 10/15/2010 $ 100,000 $ 619,642,668 Transfer of cap due to servicing transfer

10458 12/15/2010 $ 8,900,000 $ 628,542,668 Updated portfolio data from servicer

10458 1/6/2011 $ (556) $ 628,542,112 Updated portfolio data from servicer

10458 1/13/2011 $ 2,300,000 $ 630,842,112 Transfer of cap due to servicing transfer

10458 3/16/2011 $ 700,000 $ 631,542,112 Transfer of cap due to servicing transfer

10458 3/30/2011 $ (654) $ 631,541,458 

Updated due to quarterly assessment and 

reallocation

10458 4/13/2011 $ 2,100,000 $ 633,641,458 Transfer of cap due to servicing transfer

10458 6/29/2011 $ (6,144) $ 633,635,314 

Updated due to quarterly assessment and 

reallocation

10458 7/14/2011 $ 200,000 $ 633,835,314 Transfer of cap due to servicing transfer

10458 8/16/2011 $ (100,000) $ 633,735,314 Transfer of cap due to servicing transfer

10458 9/15/2011 $ (700,000) $ 633,035,314 Transfer of cap due to servicing transfer

10458 12/15/2011 $ 17,500,000 $ 650,535,314 Transfer of cap due to servicing transfer

10458 2/16/2012 $ (100,000) $ 650,435,314 Transfer of cap due to servicing transfer

10458 3/15/2012 $ 100,000 $ 650,535,314 Transfer of cap due to servicing transfer

10458 4/16/2012 $ (17,500,000) $ 633,035,314 Transfer of cap due to servicing transfer

10458 5/16/2012 $ (760,000) $ 632,275,314 Transfer of cap due to servicing transfer

10458 6/14/2012 $ (354,290,000) $ 277,985,314 Transfer of cap due to servicing transfer

10458 6/28/2012 $ (1,831) $ 277,983,483 

Updated due to quarterly assessment and 

reallocation

10458 7/16/2012 $ (10,120,000) $ 267,863,483 Transfer of cap due to servicing transfer

10458 8/16/2012 $ (10,000) $ 267,853,483 Transfer of cap due to servicing transfer

10458 9/27/2012 $ (4,701) $ 267,848,782 

Updated due to quarterly assessment and 

reallocation

10458 10/16/2012 $ (9,220,000) $ 258,628,782 Transfer of cap due to servicing transfer

10458 11/15/2012 $ (30,000) $ 258,598,782 Transfer of cap due to servicing transfer

10458 12/14/2012 $ 60,000 $ 258,658,782 Transfer of cap due to servicing transfer

10458 12/27/2012 $ (788) $ 258,657,994 

Updated due to quarterly assessment and 

reallocation

rbc 1/16/2013 $ (610,000) $ 258,047,994 Transfer of cap due to servicing transfer

10458 3/25/2013 $ (2,979) $ 258,045,015 

Updated due to quarterly assessment and 

reallocation

10458 16 4/9/2013 $ (157,237,929) $ 100,807,086 Termination of SPA 

4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications $ 3,552,000,000 N/A 2 7/31/2009 $ (3,552,000,000) $ - Termination of SPA 

4/16/2009 Ocwen Loan Servicing LLC West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 N/A 6/12/2009 $ (105,620,000) $ 553,380,000 Updated portfolio data from servicer

10500 9/30/2009 $ 102,580,000 $ 655,960,000 

Updated portfolio data from servicer & HPDP 

initial cap

10500 12/30/2009 $ 277,640,000 $ 933,600,000 

Updated portfolio data from servicer & HAFA 

initial cap

10500 3/26/2010 $ 46,860,000 $ 980,460,000 Updated portfolio data from servicer

10500 6/16/2010 $ 156,050,000 $ 1,136,510,000 

Transfer of cap from Saxon Mortgage Services, 

Inc. due to servicing transfer

10500 7/14/2010 $ (191,610,000) $ 944,900,000 Updated portfolio data from servicer

10500 7/16/2010 $ 23,710,000 $ 968,610,000 

Transfer of cap from Saxon Mortgage Services, 

Inc. due to servicing transfer

10500 9/15/2010 $ 100,000 $ 968,710,000 Initial FHA-HAMP cap

10500 9/30/2010 $ 3,742,740 $ 972,452,740 Updated portfolio data from servicer

10500 10/15/2010 $ 170,800,000 $ 1,143,252,740 Transfer of cap due to servicing transfer

10500 1/6/2011 $ (1,020) $ 1,143,251,720 Updated portfolio data from servicer

10500 2/16/2011 $ 900,000 $ 1,144,151,720 Transfer of cap due to servicing transfer

10500 3/30/2011 $ (1,114) $ 1,144,150,606 

Updated due to quarterly assessment and 

reallocation

10500 6/29/2011 $ (10,044) $ 1,144,140,562 

Updated due to quarterly assessment and 

reallocation

10500 10/14/2011 $ (100,000) $ 1,144,040,562 Transfer of cap due to servicing transfer

10500 1/13/2012 $ 194,800,000 $ 1,338,840,562 Transfer of cap due to servicing transfer

10500 2/16/2012 $ 400,000 $ 1,339,240,562 Transfer of cap due to servicing transfer

10500 3/15/2012 $ 100,000 $ 1,339,340,562 Transfer of cap due to servicing transfer

10500 5/16/2012 $ 123,530,000 $ 1,462,870,562 Transfer of cap due to servicing transfer

10500 6/14/2012 $ 354,290,000 $ 1,817,160,562 Transfer of cap due to servicing transfer

10500 6/28/2012 $ (6,308) $ 1,817,154,254 

Updated due to quarterly assessment and 

reallocation

10500 7/16/2012 $ 10,080,000 $ 1,827,234,254 Transfer of cap due to servicing transfer

10500 8/16/2012 $ 8,390,000 $ 1,835,624,254 Transfer of cap due to servicing transfer

10500 9/27/2012 $ (10,733) $ 1,835,613,521 

Updated due to quarterly assessment and 

reallocation

10500 10/16/2012 $ 14,560,000 $ 1,850,173,521 Transfer of cap due to servicing transfer

10500 11/15/2012 $ 13,240,000 $ 1,863,413,521 Transfer of cap due to servicing transfer

10500 12/14/2012 $ 2,080,000 $ 1,865,493,521 Transfer of cap due to servicing transfer

10500 12/27/2012 $ (1,015) $ 1,865,492,506 

Updated due to quarterly assessment and 

reallocation

10500 1/16/2013 $ 410,000 $ 1,865,902,506 Transfer of cap due to servicing transfer

10500 2/14/2013 $ 960,000 $ 1,866,862,506 Transfer of cap due to servicing transfer

10500 3/14/2013 $ 83,880,000 $ 1,950,742,506 Transfer of cap due to servicing transfer

10500 3/25/2013 $ (1,877) $ 1,950,740,629 

Updated due to quarterly assessment and 

reallocation

10500 4/9/2013 $ 157,237,929 $ 2,107,978,558 

Transfer of cap (from Saxon Mortgage Services, 

Inc ) due to servicing transfer

10500 4/16/2013 $ 620,860,000 $ 2,728,838,558 Transfer of cap due to servicing transfer
81

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10500 5/16/2013 $ 18,970,000 $ 2,747,808,558 Transfer of cap due to servicing transfer

10500 6/14/2013 $ (190,000) $ 2,747,618,558 Transfer of cap due to servicing transfer

10500 6/27/2013 $ (2,817) $ 2,747,615,741 

Updated due to quarterly assessment and 

reallocation

10500 7/16/2013 $ 14,710,000 $ 2,762,325,741 Transfer of cap due to servicing transfer

10500 9/16/2013 $ 66,170,000 $ 2,828,495,741 Transfer of cap due to servicing transfer

10500 9/27/2013 $ (276) $ 2,828,495,465 

Updated due to quarterly assessment and 

reallocation

Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 N/A 6/12/2009 $ 5,540,000 $ 804,440,000 Updated portfolio data from servicer

10512 9/30/2009 $ 162,680,000 $ 967,120,000 

Updated portfolio data from servicer & HPDP 

initial cap

10512 12/30/2009 $ 665,510,000 $ 1,632,630,000 

Updated portfolio data from servicer & HAFA 

initial cap

10512 1/26/2010 $ 800,390,000 $ 2,433,020,000 Initial 2MP cap

10512 3/26/2010 $ (829,370,000) $ 1,603,650,000 Updated portfolio data from servicer

10512 7/14/2010 $ (366,750,000) $ 1,236,900,000 Updated portfolio data from servicer

10512 9/30/2010 $ 95,300,000 $ 1,332,200,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

10512 9/30/2010 $ 222,941,084 $ 1,555,141,084 Updated portfolio data from servicer

10512 1/6/2011 $ (2,199) $ 1,555,138,885 Updated portfolio data from servicer

10512 3/30/2011 $ (2,548) $ 1,555,136,337 

Updated due to quarterly assessment and 

reallocation

10512 6/29/2011 $ (23,337) $ 1,555,113,000 

Updated due to quarterly assessment and 

reallocation

10512 8/16/2011 $ (300,000) $ 1,554,813,000 Transfer of cap due to servicing transfer

10512 10/14/2011 $ (120,700,000) $ 1,434,113,000 Transfer of cap due to servicing transfer

10512 11/16/2011 $ (900,000) $ 1,433,213,000 Transfer of cap due to servicing transfer

10512 5/16/2012 $ (200,000) $ 1,433,013,000 Transfer of cap due to servicing transfer

10512 6/28/2012 $ (17,893) $ 1,432,995,107 

Updated due to quarterly assessment and 

reallocation

10512 13 8/10/2012 $ (1,401,716,594) $ 31,278,513 

Update of cap due to termination of SPA and 

merger with BAC Home Loans, LP

Bank of America, N.A. (BAC Home Loans Servicing, LP) Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 1,864,000,000 N/A 6/12/2009 $ 3,318,840,000 $ 5,182,840,000 Updated portfolio data from servicer

1000832 9/30/2009 $ (717,420,000) $ 4,465,420,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000832 12/30/2009 $ 2,290,780,000 $ 6,756,200,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000832 1/26/2010 $ 450,100,000 $ 7,206,300,000 Initial 2MP cap

1000832 3/26/2010 $ 905,010,000 $ 8,111,310,000 Updated portfolio data from servicer

1000832 4/19/2010 $ 10,280,000 $ 8,121,590,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

1000832 6/16/2010 $ 286,510,000 $ 8,408,100,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

1000832 7/14/2010 $ (1,787,300,000) $ 6,620,800,000 Updated portfolio data from servicer

1000832 9/30/2010 $ 105,500,000 $ 6,726,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

1000832 9/30/2010 $ (614,527,362) $ 6,111,772,638 Updated portfolio data from servicer

1000832 12/15/2010 $ 236,000,000 $ 6,347,772,638 Updated portfolio data from servicer

1000832 1/6/2011 $ (8,012) $ 6,347,764,626 Updated portfolio data from servicer

1000832 2/16/2011 $ 1,800,000 $ 6,349,564,626 Transfer of cap due to servicing transfer

1000832 3/16/2011 $ 100,000 $ 6,349,664,626 Transfer of cap due to servicing transfer

1000832 3/30/2011 $ (9,190) $ 6,349,655,436 

Updated due to quarterly assessment and 

reallocation

1000832 4/13/2011 $ 200,000 $ 6,349,855,436 Transfer of cap due to servicing transfer

1000832 5/13/2011 $ 300,000 $ 6,350,155,436 Transfer of cap due to servicing transfer

1000832 6/16/2011 $ (1,000,000) $ 6,349,155,436 Transfer of cap due to servicing transfer

1000832 6/29/2011 $ (82,347) $ 6,349,073,089 

Updated due to quarterly assessment and 

reallocation

1000832 7/14/2011 $ (200,000) $ 6,348,873,089 Transfer of cap due to servicing transfer

1000832 8/16/2011 $ (3,400,000) $ 6,345,473,089 Transfer of cap due to servicing transfer

1000832 9/15/2011 $ (1,400,000) $ 6,344,073,089 Transfer of cap due to servicing transfer

1000832 10/14/2011 $ 120,600,000 $ 6,464,673,089 Transfer of cap due to servicing transfer

1000832

10/19/2011 $ 317,956,289 $ 6,782,629,378 

Transfer of cap (from Home Loan Services, Inc. 

and Wilshire Credit Corporation due to merger.)

1000832 11/16/2011 $ 800,000 $ 6,783,429,378 Transfer of cap due to servicing transfer

1000832 12/15/2011 $ (17,600,000) $ 6,765,829,378 Transfer of cap due to servicing transfer

1000832 2/16/2012 $ (2,100,000) $ 6,763,729,378 Transfer of cap due to servicing transfer

1000832 3/15/2012 $ (23,900,000) $ 6,739,829,378 Transfer of cap due to servicing transfer

1000832 4/16/2012 $ (63,800,000) $ 6,676,029,378 Transfer of cap due to servicing transfer

1000832 5/16/2012 $ 20,000 $ 6,676,049,378 Transfer of cap due to servicing transfer

1000832 6/14/2012 $ (8,860,000) $ 6,667,189,378 Transfer of cap due to servicing transfer

1000832 6/28/2012 $ (58,550) $ 6,667,130,828 

Updated due to quarterly assessment and 

reallocation

1000832 7/16/2012 $ (6,840,000) $ 6,660,290,828 Transfer of cap due to servicing transfer

1000832 8/10/2012 $ 1,401,716,594 $ 8,062,007,423 

Transfer of cap (from Bank of America, N.A.) due 

to merger

1000832 8/16/2012 $ (4,780,000) $ 8,057,227,423 Transfer of cap due to servicing transfer

1000832 9/27/2012 $ (205,946) $ 8,057,021,476 

Updated due to quarterly assessment and 

reallocation

1000832 10/16/2012 $ (153,220,000) $ 7,903,801,476 Transfer of cap due to servicing transfer

1000832 11/15/2012 $ (27,300,000) $ 7,876,501,476 Transfer of cap due to servicing transfer

1000832 12/14/2012 $ (50,350,000) $ 7,826,151,476 Transfer of cap due to servicing transfer

1000832 12/27/2012 $ (33,515) $ 7,826,117,961 

Updated due to quarterly assessment and 

reallocation

1000832 1/16/2013 $ (27,000,000) $ 7,799,117,961 Transfer of cap due to servicing transfer

1000832 2/14/2013 $ (41,830,000) $ 7,757,287,961 Transfer of cap due to servicing transfer

1000832 3/14/2013 $ (5,900,000) $ 7,751,387,961 Transfer of cap due to servicing transfer

1000832 3/25/2013 $ (122,604) $ 7,751,265,357 

Updated due to quarterly assessment and 

reallocation

1000832 4/16/2013 $ (1,410,000) $ 7,749,855,357 Transfer of cap due to servicing transfer

4/17/2009 as 

amended on 

1/26/2010

4/17/2009 as 

amended on 

1/26/2010
82

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1000832 5/16/2013 $ (940,000) $ 7,748,915,357 Transfer of cap due to servicing transfer

1000832 6/14/2013 $ (16,950,000) $ 7,731,965,357 Transfer of cap due to servicing transfer

1000832 6/27/2013 $ (45,103) $ 7,731,920,254 

Updated due to quarterly assessment and 

reallocation

1000832 7/16/2013 $ (25,580,000) $ 7,706,340,254 Transfer of cap due to servicing transfer

1000832 8/15/2013 $ (6,730,000) $ 7,699,610,254 Transfer of cap due to servicing transfer

1000832 9/16/2013 $ (290,640,000) $ 7,408,970,254 Transfer of cap due to servicing transfer

1000832 9/27/2013 $ (15,411) $ 7,408,954,843 

Updated due to quarterly assessment and 

reallocation

4/20/2009 Home Loan Services, Inc. Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 319,000,000 N/A 6/12/2009 $ 128,300,000 $ 447,300,000 Updated portfolio data from servicer

10316 9/30/2009 $ 46,730,000 $ 494,030,000 

Updated portfolio data from servicer & HPDP 

initial cap

10316 12/30/2009 $ 145,820,000 $ 639,850,000 

Updated portfolio data from servicer & HAFA 

initial cap

10316 3/26/2010 $ (17,440,000) $ 622,410,000 Updated portfolio data from servicer

10316 7/14/2010 $ (73,010,000) $ 549,400,000 Updated portfolio data from servicer

10316 9/30/2010 $ 6,700,000 $ 556,100,000 Initial FHA-2LP cap

10316 9/30/2010 $ (77,126,410) $ 478,973,590 Updated portfolio data from servicer

10316 12/15/2010 $ (314,900,000) $ 164,073,590 Updated portfolio data from servicer

10316 1/6/2011 $ (233) $ 164,073,357 Updated portfolio data from servicer

10316 2/16/2011 $ (1,900,000) $ 162,173,357 Transfer of cap due to servicing transfer

10316 3/16/2011 $ (400,000) $ 161,773,357 Transfer of cap due to servicing transfer

10316 3/30/2011 $ (278) $ 161,773,079 

Updated due to quarterly assessment and 

reallocation

10316 5/13/2011 $ (400,000) $ 161,373,079 Transfer of cap due to servicing transfer

10316 6/29/2011 $ (2,625) $ 161,370,454 

Updated due to quarterly assessment and 

reallocation

10316 13 10/19/2011 $ (155,061,221) $ 6,309,233 Termination of SPA 

4/20/2009 Wilshire Credit Corporation Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 366,000,000 N/A 6/12/2009 $ 87,130,000 $ 453,130,000 Updated portfolio data from servicer

10205 9/30/2009 $ (249,670,000) $ 203,460,000 

Updated portfolio data from servicer & HPDP 

initial cap

10205 12/30/2009 $ 119,700,000 $ 323,160,000 

Updated portfolio data from servicer & HAFA 

initial cap

10205 3/26/2010 $ 52,270,000 $ 375,430,000 Updated portfolio data from servicer

10205 4/19/2010 $ (10,280,000) $ 365,150,000 

Transfer of cap to Countrywide Home Loans due 

to servicing transfer

10205 5/14/2010 $ (1,880,000) $ 363,270,000 

Transfer of cap to GMAC Mortgage, Inc. due to 

servicing transfer

10205 6/16/2010 $ (286,510,000) $ 76,760,000 

Transfer of cap to Countrywide Home Loans due 

to servicing transfer

10205 7/14/2010 $ 19,540,000 $ 96,300,000 Updated portfolio data from servicer

10205 7/16/2010 $ (210,000) $ 96,090,000 

Transfer of cap to Green Tree Servicing LLC due 

to servicing transfer

10205 8/13/2010 $ (100,000) $ 95,990,000 Transfer of cap due to servicing transfer

10205 9/30/2010 $ 68,565,782 $ 164,555,782 Updated portfolio data from servicer

10205 1/6/2011 $ (247) $ 164,555,535 Updated portfolio data from servicer

10205 3/30/2011 $ (294) $ 164,555,241 

Updated due to quarterly assessment and 

reallocation

10205 6/29/2011 $ (2,779) $ 164,552,462 

Updated due to quarterly assessment and 

reallocation

10205 13 10/19/2011 $ (162,895,068) $ 1,657,394 Termination of SPA 

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 156,000,000 N/A 6/17/2009 $ (64,990,000) $ 91,010,000 Updated portfolio data from servicer

10309 9/30/2009 $ 130,780,000 $ 221,790,000 

Updated portfolio data from servicer & HPDP 

initial cap

10309 12/30/2009 $ (116,750,000) $ 105,040,000 

Updated portfolio data from servicer & HAFA 

initial cap

10309 3/26/2010 $ 13,080,000 $ 118,120,000 Updated portfolio data from servicer

10309 7/14/2010 $ (24,220,000) $ 93,900,000 Updated portfolio data from servicer

10309 7/16/2010 $ 210,000 $ 94,110,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

10309 8/13/2010 $ 2,200,000 $ 96,310,000 Transfer of cap due to servicing transfer

10309 9/10/2010 $ 34,600,000 $ 130,910,000 Initial 2MP cap

10309 9/30/2010 $ 5,600,000 $ 136,510,000 Initial FHA-2LP cap and FHA-HAMP

10309 9/30/2010 $ 10,185,090 $ 146,695,090 Updated portfolio data from servicer

10309 10/15/2010 $ 400,000 $ 147,095,090 Transfer of cap due to servicing transfer

10309 1/6/2011 $ (213) $ 147,094,877 Updated portfolio data from servicer

10309 3/30/2011 $ (250) $ 147,094,627 

Updated due to quarterly assessment and 

reallocation

10309 5/13/2011 $ 1,200,000 $ 148,294,627 Transfer of cap due to servicing transfer

10309 6/16/2011 $ 100,000 $ 148,394,627 Transfer of cap due to servicing transfer

10309 6/29/2011 $ (2,302) $ 148,392,325 

Updated due to quarterly assessment and 

reallocation

10309 7/14/2011 $ 1,900,000 $ 150,292,325 Transfer of cap due to servicing transfer

10309 9/15/2011 $ 200,000 $ 150,492,325 Transfer of cap due to servicing transfer

10309 10/14/2011 $ 200,000 $ 150,692,325 Transfer of cap due to servicing transfer

10309 11/16/2011 $ 400,000 $ 151,092,325 Transfer of cap due to servicing transfer

10309 2/16/2012 $ 900,000 $ 151,992,325 Transfer of cap due to servicing transfer

10309 3/15/2012 $ 100,000 $ 152,092,325 Transfer of cap due to servicing transfer

10309 5/16/2012 $ 3,260,000 $ 155,352,325 Transfer of cap due to servicing transfer

10309 6/14/2012 $ 920,000 $ 156,272,325 Transfer of cap due to servicing transfer

10309 6/28/2012 $ (1,622) $ 156,270,703 

Updated due to quarterly assessment and 

reallocation

10309 7/16/2012 $ 110,000 $ 156,380,703 Transfer of cap due to servicing transfer

10309 8/16/2012 $ 5,120,000 $ 161,500,703 Transfer of cap due to servicing transfer

10309 9/27/2012 $ (4,509) $ 161,496,194 

Updated due to quarterly assessment and 

reallocation

10309 10/16/2012 $ 8,810,000 $ 170,306,194 Transfer of cap due to servicing transfer

10309 11/15/2012 $ 2,910,000 $ 173,216,194 Transfer of cap due to servicing transfer

10309 12/27/2012 $ (802) $ 173,215,392 

Updated due to quarterly assessment and 

reallocation
83

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10309 2/14/2013 $ 10,210,000 $ 183,425,392 Transfer of cap due to servicing transfer

10309 3/25/2013 $ (3,023) $ 183,422,369 

Updated due to quarterly assessment and 

reallocation

10309 5/16/2013 $ 140,000 $ 183,562,369 Transfer of cap due to servicing transfer

10309 6/27/2013 $ (1,077) $ 183,561,292 

Updated due to quarterly assessment and 

reallocation

10309 7/16/2013 $ 7,210,000 $ 190,771,292 Transfer of cap due to servicing transfer

10309 8/15/2013 $ 6,730,000 $ 197,501,292 Transfer of cap due to servicing transfer

10309 9/27/2013 $ (388) $ 197,500,904 

Updated due to quarterly assessment and 

reallocation

4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financial Instrument for Home Loan Modifications $ 195,000,000 N/A 6/17/2009 $ (63,980,000) $ 131,020,000 Updated portfolio data from servicer

10503 9/30/2009 $ 90,990,000 $ 222,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

10503 12/30/2009 $ 57,980,000 $ 279,990,000 

Updated portfolio data from servicer & HAFA 

initial cap

10503 3/26/2010 $ 74,520,000 $ 354,510,000 Updated portfolio data from servicer

10503 7/14/2010 $ (75,610,000) $ 278,900,000 Updated portfolio data from servicer

10503 8/13/2010 $ 1,100,000 $ 280,000,000 Transfer of cap due to servicing transfer

10503 9/30/2010 $ 3,763,685 $ 283,763,685 Updated portfolio data from servicer

10503 12/15/2010 $ 300,000 $ 284,063,685 Updated portfolio data from servicer

10503 1/6/2011 $ (325) $ 284,063,360 Updated portfolio data from servicer

10503 1/13/2011 $ 2,400,000 $ 286,463,360 Transfer of cap due to servicing transfer

10503 3/30/2011 $ (384) $ 286,462,976 

Updated due to quarterly assessment and 

reallocation

10503 6/29/2011 $ (3,592) $ 286,459,384 

Updated due to quarterly assessment and 

reallocation

10503 8/16/2011 $ 1,800,000 $ 288,259,384 Transfer of cap due to servicing transfer

10503 9/15/2011 $ 100,000 $ 288,359,384 Transfer of cap due to servicing transfer

10503 11/16/2011 $ 1,000,000 $ 289,359,384 Transfer of cap due to servicing transfer

10503 2/16/2012 $ 1,100,000 $ 290,459,384 Transfer of cap due to servicing transfer

10503 4/16/2012 $ 100,000 $ 290,559,384 Transfer of cap due to servicing transfer

10503 5/16/2012 $ 850,000 $ 291,409,384 Transfer of cap due to servicing transfer

10503 6/14/2012 $ 2,240,000 $ 293,649,384 Transfer of cap due to servicing transfer

10503 6/28/2012 $ (2,520) $ 293,646,864 

Updated due to quarterly assessment and 

reallocation

10503 7/16/2012 $ 1,690,000 $ 295,336,864 Transfer of cap due to servicing transfer

RBS 8/16/2012 $ (30,000) $ 295,306,864 Transfer of cap due to servicing transfer

10503 9/27/2012 $ (6,632) $ 295,300,232 

Updated due to quarterly assessment and 

reallocation

10503 10/16/2012 $ 2,880,000 $ 298,180,232 Transfer of cap due to servicing transfer

10503 11/15/2012 $ 1,500,000 $ 299,680,232 Transfer of cap due to servicing transfer

10503 12/14/2012 $ 2,040,000 $ 301,720,232 Transfer of cap due to servicing transfer

10503 12/27/2012 $ (1,103) $ 301,719,129 

Updated due to quarterly assessment and 

reallocation

10503 1/16/2013 $ (10,000) $ 301,709,129 Transfer of cap due to servicing transfer

10503 2/14/2013 $ 4,960,000 $ 306,669,129 Transfer of cap due to servicing transfer

10503 3/14/2013 $ (30,000) $ 306,639,129 Transfer of cap due to servicing transfer

10503 3/25/2013 $ (4,179) $ 306,634,950 

Updated due to quarterly assessment and 

reallocation

10503 4/16/2013 $ (70,000) $ 306,564,950 Transfer of cap due to servicing transfer

10503 5/16/2013 $ 1,570,000 $ 308,134,950 Transfer of cap due to servicing transfer

10503 6/14/2013 $ (1,880,000) $ 306,254,950 Transfer of cap due to servicing transfer

10503 6/27/2013 $ (1,522) $ 306,253,428 

Updated due to quarterly assessment and 

reallocation

10503 7/16/2013 $ 270,000 $ 306,523,428 Transfer of cap due to servicing transfer

10503 9/16/2013 $ 5,370,000 $ 311,893,428 Transfer of cap due to servicing transfer

10503 9/27/2013 $ (525) $ 311,892,903 

Updated due to quarterly assessment and 

reallocation

5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financial Instrument for Home Loan Modifications $ 798,000,000 N/A 6/17/2009 $ (338,450,000) $ 459,550,000 Updated portfolio data from servicer

10231 9/30/2009 $ (11,860,000) $ 447,690,000 

Updated portfolio data from servicer & HPDP 

initial cap

10231 12/30/2009 $ 21,330,000 $ 469,020,000 

Updated portfolio data from servicer & HAFA 

initial cap

10231 3/26/2010 $ 9,150,000 $ 478,170,000 Updated portfolio data from servicer

10231 7/14/2010 $ (76,870,000) $ 401,300,000 Updated portfolio data from servicer

10231 9/1/2010 $ 400,000 $ 401,700,000 Initial FHA-HAMP cap

10231 9/30/2010 $ (8,454,269) $ 393,245,731 Updated portfolio data from servicer

10231 1/6/2011 $ (342) $ 393,245,389 Updated portfolio data from servicer

10231 3/30/2011 $ (374) $ 393,245,015 

Updated due to quarterly assessment and 

reallocation

10231 5/13/2011 $ 18,000,000 $ 411,245,015 Transfer of cap due to servicing transfer

10231 6/29/2011 $ (3,273) $ 411,241,742 

Updated due to quarterly assessment and 

reallocation

10231 10/14/2011 $ (200,000) $ 411,041,742 Transfer of cap due to servicing transfer

10231 3/15/2012 $ 100,000 $ 411,141,742 Transfer of cap due to servicing transfer

10231 4/16/2012 $ (500,000) $ 410,641,742 Transfer of cap due to servicing transfer

10231 6/28/2012 $ (1,768) $ 410,639,974 

Updated due to quarterly assessment and 

reallocation

10231 7/16/2012 $ (90,000) $ 410,549,974 Transfer of cap due to servicing transfer

10231 8/16/2012 $ (134,230,000) $ 276,319,974 Transfer of cap due to servicing transfer

10231 8/23/2012 $ (166,976,849) $ 109,343,125 Transfer of cap due to servicing transfer

10231 9/27/2012 $ 1 $ 109,343,126 

Updated due to quarterly assessment and 

reallocation

10231 11/15/2012 $ (230,000) $ 109,113,126 Transfer of cap due to servicing transfer

10231 3/25/2013 $ (1) $ 109,113,125 

Updated due to quarterly assessment and 

reallocation

10231 5/16/2013 $ (20,000) $ 109,093,125 Transfer of cap due to servicing transfer

10231 6/14/2013 $ (50,000) $ 109,043,125 Transfer of cap due to servicing transfer
84

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10231 6/27/2013 $ (15) $ 109,043,110 

Updated due to quarterly assessment and 

reallocation

10231 17 7/9/2013 $ (23,179,591) $ 85,863,519 Termination of SPA 

5/28/2009 Nationstar Mortgage LLC Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 101,000,000 N/A 6/12/2009 $ 16,140,000 $ 117,140,000 Updated portfolio data from servicer

10406 9/30/2009 $ 134,560,000 $ 251,700,000 

Updated portfolio data from servicer & HPDP 

initial cap

10406 12/30/2009 $ 80,250,000 $ 331,950,000 

Updated portfolio data from servicer & HAFA 

initial cap

10406 3/26/2010 $ 67,250,000 $ 399,200,000 Updated portfolio data from servicer

10406 7/14/2010 $ (85,900,000) $ 313,300,000 Updated portfolio data from servicer

10406 8/13/2010 $ 100,000 $ 313,400,000 Transfer of cap due to servicing transfer

10406 9/30/2010 $ 2,900,000 $ 316,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, initial 

RD-HAMP, and initial 2MP cap

10406 9/30/2010 $ 33,801,486 $ 350,101,486 Updated portfolio data from servicer

10406 11/16/2010 $ 700,000 $ 350,801,486 Transfer of cap due to servicing transfer

10406 12/15/2010 $ 1,700,000 $ 352,501,486 Updated portfolio data from servicer

10406 1/6/2011 $ (363) $ 352,501,123 Updated portfolio data from servicer

10406 2/16/2011 $ 900,000 $ 353,401,123 Transfer of cap due to servicing transfer

10406 3/16/2011 $ 29,800,000 $ 383,201,123 Transfer of cap due to servicing transfer

10406 3/30/2011 $ (428) $ 383,200,695 

Updated due to quarterly assessment and 

reallocation

10406 5/26/2011 $ 20,077,503 $ 403,278,198 Transfer of cap due to servicing transfer

10406 6/29/2011 $ (4,248) $ 403,273,950 

Updated due to quarterly assessment and 

reallocation

10406 11/16/2011 $ 100,000 $ 403,373,950 Transfer of cap due to servicing transfer

10406 3/15/2012 $ (100,000) $ 403,273,950 Transfer of cap due to servicing transfer

10406 5/16/2012 $ 90,000 $ 403,363,950 Transfer of cap due to servicing transfer

10406 6/14/2012 $ (2,380,000) $ 400,983,950 Transfer of cap due to servicing transfer

10406 6/28/2012 $ (2,957) $ 400,980,993 

Updated due to quarterly assessment and 

reallocation

10406 7/16/2012 $ (2,580,000) $ 398,400,993 Transfer of cap due to servicing transfer

10406 8/16/2012 $ 131,450,000 $ 529,850,993 Transfer of cap due to servicing transfer

10406 8/23/2012 $ 166,976,849 $ 696,827,842 Transfer of cap due to servicing transfer

10406 9/27/2012 $ (12,806) $ 696,815,036 

Updated due to quarterly assessment and 

reallocation

10406 11/15/2012 $ 160,000 $ 696,975,036 Transfer of cap due to servicing transfer

10406 12/14/2012 $ 50,000 $ 697,025,036 Transfer of cap due to servicing transfer

10406 12/27/2012 $ (1,882) $ 697,023,154 

Updated due to quarterly assessment and 

reallocation

10406 2/14/2013 $ (10,000) $ 697,013,154 Transfer of cap due to servicing transfer

10406 3/14/2013 $ (280,000) $ 696,733,154 Transfer of cap due to servicing transfer

10406 3/25/2013 $ (6,437) $ 696,726,717 

Updated due to quarterly assessment and 

reallocation

10406 4/16/2013 $ 30,000 $ 696,756,717 Transfer of cap due to servicing transfer

10406 5/16/2013 $ (1,510,000) $ 695,246,717 Transfer of cap due to servicing transfer

10406 6/14/2013 $ (1,070,000) $ 694,176,717 Transfer of cap due to servicing transfer

10406 6/27/2013 $ (2,099) $ 694,174,618 

Updated due to quarterly assessment and 

reallocation

10406 7/9/2013 $ 23,179,591 $ 717,354,209 

Transfer of cap (from Aurora Loan Services LLC ) 

due to servicing transfer

10406 7/16/2013 $ 490,000 $ 717,844,209 Transfer of cap due to servicing transfer

10406 9/16/2013 $ 289,070,000 $ 1,006,914,209 Transfer of cap due to servicing transfer

10406 9/27/2013 $ (1,118) $ 1,006,913,091 

Updated due to quarterly assessment and 

reallocation

6/12/2009 Residential Credit Solutions, Inc. Fort Worth TX Purchase Financial Instrument for Home Loan Modifications $ 19,400,000 N/A 9/30/2009 $ (1,860,000) $ 17,540,000 

Updated portfolio data from servicer & HPDP 

initial cap

10326 12/30/2009 $ 27,920,000 $ 45,460,000 

Updated portfolio data from servicer & HAFA 

initial cap

10326 3/26/2010 $ (1,390,000) $ 44,070,000 Updated portfolio data from servicer

10326 7/14/2010 $ (13,870,000) $ 30,200,000 Updated portfolio data from servicer

10326 9/30/2010 $ 400,000 $ 30,600,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial 2MP cap

10326 9/30/2010 $ 586,954 $ 31,186,954 Updated portfolio data from servicer

10326 1/6/2011 $ (34) $ 31,186,920 Updated portfolio data from servicer

10326 3/30/2011 $ (37) $ 31,186,883 

Updated due to quarterly assessment and 

reallocation

10326 4/13/2011 $ 100,000 $ 31,286,883 Transfer of cap due to servicing transfer

10326 6/29/2011 $ (329) $ 31,286,554 

Updated due to quarterly assessment and 

reallocation

10326 9/15/2011 $ (1,900,000) $ 29,386,554 Transfer of cap due to servicing transfer

10326 11/16/2011 $ 2,800,000 $ 32,186,554 Transfer of cap due to servicing transfer

10326 5/16/2012 $ 420,000 $ 32,606,554 Transfer of cap due to servicing transfer

10326 6/14/2012 $ 8,060,000 $ 40,666,554 Transfer of cap due to servicing transfer

10326 6/28/2012 $ (313) $ 40,666,241 

Updated due to quarterly assessment and 

reallocation

10326 7/16/2012 $ 2,160,000 $ 42,826,241 Transfer of cap due to servicing transfer

10326 9/27/2012 $ (911) $ 42,825,330 

Updated due to quarterly assessment and 

reallocation

10326 10/16/2012 $ 5,690,000 $ 48,515,330 Transfer of cap due to servicing transfer

10326 11/15/2012 $ 20,000 $ 48,535,330 Transfer of cap due to servicing transfer

10326 12/27/2012 $ (178) $ 48,535,152 

Updated due to quarterly assessment and 

reallocation

10326 2/14/2013 $ 3,190,000 $ 51,725,152 Transfer of cap due to servicing transfer

10326 3/14/2013 $ (260,000) $ 51,465,152 Transfer of cap due to servicing transfer

10326 3/25/2013 $ (713) $ 51,464,439 

Updated due to quarterly assessment and 

reallocation

10326 4/16/2013 $ 1,330,000 $ 52,794,439 Transfer of cap due to servicing transfer

10326 5/16/2013 $ 100,000 $ 52,894,439 Transfer of cap due to servicing transfer

10326 6/14/2013 $ 20,000 $ 52,914,439 Transfer of cap due to servicing transfer

10326 6/27/2013 $ (264) $ 52,914,175 

Updated due to quarterly assessment and 

reallocation
85

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10326 7/16/2013 $ 6,080,000 $ 58,994,175 Transfer of cap due to servicing transfer

10326 9/16/2013 $ (2,130,000) $ 56,864,175 Transfer of cap due to servicing transfer

10326 9/27/2013 $ (101) $ 56,864,074 

Updated due to quarterly assessment and 

reallocation

6/17/2009 CCO Mortgage, a division of RBS Citizens NA Glen Allen VA Purchase Financial Instrument for Home Loan Modifications $ 16,520,000 N/A 9/30/2009 $ 13,070,000 $ 29,590,000 

Updated portfolio data from servicer & HPDP 

initial cap

10052 12/30/2009 $ 145,510,000 $ 175,100,000 

Updated portfolio data from servicer & HAFA 

initial cap

10052 3/26/2010 $ (116,950,000) $ 58,150,000 Updated portfolio data from servicer

10052 7/14/2010 $ (23,350,000) $ 34,800,000 Updated portfolio data from servicer

10052 9/30/2010 $ 7,846,346 $ 42,646,346 Updated portfolio data from servicer

10052 1/6/2011 $ (46) $ 42,646,300 Updated portfolio data from servicer

10052 3/30/2011 $ (55) $ 42,646,245 

Updated due to quarterly assessment and 

reallocation

10052 6/29/2011 $ (452) $ 42,645,793 

Updated due to quarterly assessment and 

reallocation

10052 6/28/2012 $ (309) $ 42,645,484 

Updated due to quarterly assessment and 

reallocation

10052 9/27/2012 $ (807) $ 42,644,677 

Updated due to quarterly assessment and 

reallocation

10052 12/27/2012 $ (131) $ 42,644,546 

Updated due to quarterly assessment and 

reallocation

10052 3/25/2013 $ (475) $ 42,644,071 

Updated due to quarterly assessment and 

reallocation

10052 6/27/2013 $ (175) $ 42,643,896 

Updated due to quarterly assessment and 

reallocation

10052 9/27/2013 $ (62) $ 42,643,834 

Updated due to quarterly assessment and 

reallocation

6/17/2009 RG Mortgage Corporation San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 57,000,000 N/A 9/30/2009 $ (11,300,000) $ 45,700,000 

Updated portfolio data from servicer & HPDP 

initial cap

10131 12/30/2009 $ (42,210,000) $ 3,490,000 

Updated portfolio data from servicer & HAFA 

initial cap

10131 3/26/2010 $ 65,640,000 $ 69,130,000 Updated portfolio data from servicer

10131 4/9/2010 $ (14,470,000) $ 54,660,000 Updated portfolio data from servicer

10131 7/14/2010 $ (8,860,000) $ 45,800,000 Updated portfolio data from servicer

10131 9/30/2010 $ (4,459,154) $ 41,340,846 Updated portfolio data from servicer

10131 12/15/2010 $ (4,300,000) $ 37,040,846 Updated portfolio data from servicer

10131 1/6/2011 $ (51) $ 37,040,795 Updated portfolio data from servicer

10131 3/30/2011 $ (65) $ 37,040,730 

Updated due to quarterly assessment and 

reallocation

10131 6/29/2011 $ (616) $ 37,040,114 

Updated due to quarterly assessment and 

reallocation

10131 6/28/2012 $ (462) $ 37,039,652 

Updated due to quarterly assessment and 

reallocation

10131 9/27/2012 $ (1,270) $ 37,038,382 

Updated due to quarterly assessment and 

reallocation

10131 12/27/2012 $ (214) $ 37,038,168 

Updated due to quarterly assessment and 

reallocation

10131 3/25/2013 $ (812) $ 37,037,356 

Updated due to quarterly assessment and 

reallocation

10131 6/27/2013 $ (306) $ 37,037,050 

Updated due to quarterly assessment and 

reallocation

10131 9/27/2013 $ (110) $ 37,036,940 

Updated due to quarterly assessment and 

reallocation

6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 12/30/2009 $ 2,020,000 $ 2,790,000 

Updated portfolio data from servicer & HAFA 

initial cap

10224 3/26/2010 $ 11,370,000 $ 14,160,000 Updated portfolio data from servicer

10224 5/26/2010 $ (14,160,000) $ - Termination of SPA 

6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 9/30/2009 $ 330,000 $ 870,000 

Updated portfolio data from servicer & HPDP 

initial cap

10126 12/30/2009 $ 16,490,000 $ 17,360,000 

Updated portfolio data from servicer & HAFA 

initial cap

10126 3/26/2010 $ (14,260,000) $ 3,100,000 Updated portfolio data from servicer

10126 7/14/2010 $ (1,800,000) $ 1,300,000 Updated portfolio data from servicer

10126 7/30/2010 $ 1,500,000 $ 2,800,000 Updated portfolio data from servicer

10126 9/30/2010 $ 1,551,668 $ 4,351,668 Updated portfolio data from servicer

10126 1/6/2011 $ (2) $ 4,351,666 Updated portfolio data from servicer

10126 3/30/2011 $ (2) $ 4,351,664 

Updated due to quarterly assessment and 

reallocation

10126 5/13/2011 $ (1,800,000) $ 2,551,664 Transfer of cap due to servicing transfer

10126 12 6/3/2011 $ (1,872,787) $ 678,877 Termination of SPA 

10126 9 6/14/2012 $ 990,000 $ 1,668,877 Transfer of cap due to servicing transfer

10126 9/27/2012 $ 372,177 $ 2,041,054 

Updated due to quarterly assessment and 

reallocation

6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 9/30/2009 $ (10,000) $ 20,000 

Updated portfolio data from servicer & HPDP 

initial cap

10002 12/30/2009 $ 590,000 $ 610,000 

Updated portfolio data from servicer & HAFA 

initial cap

10002 3/26/2010 $ (580,000) $ 30,000 Updated portfolio data from servicer

10002 7/14/2010 $ 70,000 $ 100,000 Updated portfolio data from servicer

10002 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10002 2/17/2011 $ (145,056) $ - Termination of SPA 

6/26/2009 Technology Credit Union San Jose CA Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 12/30/2009 $ 2,180,000 $ 2,250,000 

Updated portfolio data from servicer & HAFA 

initial cap

10014 3/26/2010 $ (720,000) $ 1,530,000 Updated portfolio data from servicer

10014 7/14/2010 $ (430,000) $ 1,100,000 Updated portfolio data from servicer

10014 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

10014 1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

10014 3/30/2011 $ (1) $ 1,160,443 

Updated due to quarterly assessment and 

reallocation

10014 6/29/2011 $ (12) $ 1,160,431 

Updated due to quarterly assessment and 

reallocation

10014 6/28/2012 $ (9) $ 1,160,422 

Updated due to quarterly assessment and 

reallocation

10014 9/27/2012 $ (23) $ 1,160,399 

Updated due to quarterly assessment and 

reallocation

10014 12/27/2012 $ (4) $ 1,160,395 

Updated due to quarterly assessment and 

reallocation

10014 3/25/2013 $ (13) $ 1,160,382 

Updated due to quarterly assessment and 

reallocation

10014 6/27/2013 $ (5) $ 1,160,377 

Updated due to quarterly assessment and 

reallocation

10014 9/27/2013 $ (2) $ 1,160,375 

Updated due to quarterly assessment and 

reallocation

6/26/2009 National City Bank Miamisburg OH Purchase Financial Instrument for Home Loan Modifications $ 294,980,000 N/A 9/30/2009 $ 315,170,000 $ 610,150,000 

Updated portfolio data from servicer & HPDP 

initial cap
86

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10349 12/30/2009 $ 90,280,000 $ 700,430,000 

Updated portfolio data from servicer & HAFA 

initial cap

10349 3/26/2010 $ (18,690,000) $ 681,740,000 Updated portfolio data from servicer

10349 7/14/2010 $ (272,640,000) $ 409,100,000 Updated portfolio data from servicer

10349 9/30/2010 $ 80,600,000 $ 489,700,000 

Initial FHA-HAMP cap, Initial FHA-2LP cap, and 

initial 2MP cap

10349 9/30/2010 $ 71,230,004 $ 560,930,004 Updated portfolio data from servicer

10349 1/6/2011 $ (828) $ 560,929,176 Updated portfolio data from servicer

10349 2/16/2011 $ 200,000 $ 561,129,176 Transfer of cap due to servicing transfer

10349 3/16/2011 $ (100,000) $ 561,029,176 Transfer of cap due to servicing transfer

10349 3/30/2011 $ (981) $ 561,028,195 

Updated due to quarterly assessment and 

reallocation

10349 4/13/2011 $ (2,300,000) $ 558,728,195 Transfer of cap due to servicing transfer

10349 5/13/2011 $ (200,000) $ 558,528,195 Transfer of cap due to servicing transfer

10349 6/16/2011 $ (200,000) $ 558,328,195 Transfer of cap due to servicing transfer

10349 6/29/2011 $ (9,197) $ 558,318,998 

Updated due to quarterly assessment and 

reallocation

10349 10/14/2011 $ 300,000 $ 558,618,998 Transfer of cap due to servicing transfer

10349 11/16/2011 $ (300,000) $ 558,318,998 Transfer of cap due to servicing transfer

10349 1/13/2012 $ 200,000 $ 558,518,998 Transfer of cap due to servicing transfer

10349 2/16/2012 $ (100,000) $ 558,418,998 Transfer of cap due to servicing transfer

10349 3/15/2012 $ 200,000 $ 558,618,998 Transfer of cap due to servicing transfer

10349 6/14/2012 $ (10,000) $ 558,608,998 Transfer of cap due to servicing transfer

10349 6/28/2012 $ (6,771) $ 558,602,227 

Updated due to quarterly assessment and 

reallocation

10349 9/27/2012 $ (18,467) $ 558,583,760 

Updated due to quarterly assessment and 

reallocation

10349 12/27/2012 $ (3,105) $ 558,580,655 

Updated due to quarterly assessment and 

reallocation

10349 3/25/2013 $ (11,713) $ 558,568,942 

Updated due to quarterly assessment and 

reallocation

10349 6/27/2013 $ (4,393) $ 558,564,549 

Updated due to quarterly assessment and 

reallocation

10349 9/27/2013 $ (1,565) $ 558,562,984 

Updated due to quarterly assessment and 

reallocation

7/1/2009 Wachovia Mortgage, FSB Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 634,010,000 N/A 9/30/2009 $ 723,880,000 $ 1,357,890,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000642 12/30/2009 $ 692,640,000 $ 2,050,530,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000642 2/17/2010 $ (2,050,236,344) $ 293,656 

Transfer of cap (to Wells Fargo Bank) due to 

merger

1000642 3 3/12/2010 $ (54,767) $ 238,890 

Transfer of cap (to Wells Fargo Bank) due to 

merger

7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44,260,000 N/A 9/30/2009 $ 23,850,000 $ 68,110,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000667 12/30/2009 $ 43,590,000 $ 111,700,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000667 3/26/2010 $ 34,540,000 $ 146,240,000 Updated portfolio data from servicer

1000667 5/7/2010 $ 1,010,000 $ 147,250,000 Initial 2MP cap

1000667 7/14/2010 $ (34,250,000) $ 113,000,000 Updated portfolio data from servicer

1000667 9/30/2010 $ 600,000 $ 113,600,000 Initial FHA-2LP cap

1000667 9/30/2010 $ (15,252,303) $ 98,347,697 Updated portfolio data from servicer

1000667 1/6/2011 $ (70) $ 98,347,627 Updated portfolio data from servicer

1000667 3/30/2011 $ (86) $ 98,347,541 

Updated due to quarterly assessment and 

reallocation

1000667 4/13/2011 $ 400,000 $ 98,747,541 Transfer of cap due to servicing transfer

1000667 5/13/2011 $ 100,000 $ 98,847,541 Transfer of cap due to servicing transfer

1000667 6/29/2011 $ (771) $ 98,846,770 

Updated due to quarterly assessment and 

reallocation

1000667 9/15/2011 $ 600,000 $ 99,446,770 Transfer of cap due to servicing transfer

1000667 10/14/2011 $ (18,900,000) $ 80,546,770 Transfer of cap due to servicing transfer

1000667 1/13/2012 $ 900,000 $ 81,446,770 Transfer of cap due to servicing transfer

1000667 2/16/2012 $ 2,400,000 $ 83,846,770 Transfer of cap due to servicing transfer

1000667 3/15/2012 $ (100,000) $ 83,746,770 Transfer of cap due to servicing transfer

1000667 4/16/2012 $ 200,000 $ 83,946,770 Transfer of cap due to servicing transfer

1000667 5/16/2012 $ 30,000 $ 83,976,770 Transfer of cap due to servicing transfer

1000667 6/14/2012 $ 1,810,000 $ 85,786,770 Transfer of cap due to servicing transfer

1000667 6/28/2012 $ (508) $ 85,786,262 

Updated due to quarterly assessment and 

reallocation

1000667 7/16/2012 $ 2,660,000 $ 88,446,262 Transfer of cap due to servicing transfer

1000667 9/27/2012 $ (1,249) $ 88,445,013 

Updated due to quarterly assessment and 

reallocation

1000667 10/16/2012 $ 160,000 $ 88,605,013 Transfer of cap due to servicing transfer

11/15/2012 $ 6,970,000 $ 95,575,013 Transfer of cap due to servicing transfer

1000667 12/14/2012 $ 13,590,000 $ 109,165,013 Transfer of cap due to servicing transfer

1000667 12/27/2012 $ (298) $ 109,164,715 

Updated due to quarterly assessment and 

reallocation

1000667 1/16/2013 $ 90,000 $ 109,254,715 Transfer of cap due to servicing transfer

1000667 2/14/2013 $ 3,250,000 $ 112,504,715 Transfer of cap due to servicing transfer

1000667 3/14/2013 $ 830,000 $ 113,334,715 Transfer of cap due to servicing transfer

1000667 3/25/2013 $ (1,023) $ 113,333,692 

Updated due to quarterly assessment and 

reallocation

1000667 4/16/2013 $ 1,490,000 $ 114,823,692 Transfer of cap due to servicing transfer

1000667 5/16/2013 $ 660,000 $ 115,483,692 Transfer of cap due to servicing transfer

1000667 6/14/2013 $ 7,470,000 $ 122,953,692 Transfer of cap due to servicing transfer

1000667 6/27/2013 $ (308) $ 122,953,384 

Updated due to quarterly assessment and 

reallocation

1000667 7/16/2013 $ 21,430,000 $ 144,383,384 Transfer of cap due to servicing transfer

1000667 9/16/2013 $ 11,730,000 $ 156,113,384 Transfer of cap due to servicing transfer

1000667 9/27/2013 $ (91) $ 156,113,293 

Updated due to quarterly assessment and 

reallocation

7/10/2009 Lake National Bank Mentor OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2009 $ 150,000 $ 250,000 

Updated portfolio data from servicer & HPDP 

initial cap
87

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10355 12/30/2009 $ 130,000 $ 380,000 

Updated portfolio data from servicer & HAFA 

initial cap

10355 3/26/2010 $ 50,000 $ 430,000 Updated portfolio data from servicer

10355 7/14/2010 $ (30,000) $ 400,000 Updated portfolio data from servicer

10355 9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer

10355 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

10355 3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

10355 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

10355 6/28/2012 $ (4) $ 435,155 

Updated due to quarterly assessment and 

reallocation

10355 12 8/23/2012 $ (424,504) $ 10,651 Termination of SPA 

7/10/2009 IBM Southeast Employees' Federal Credit Union Delray Beach FL Purchase Financial Instrument for Home Loan Modifications $ 870,000 N/A 9/30/2009 $ (10,000) $ 860,000 

Updated portfolio data from servicer & HPDP 

initial cap

10029 12/30/2009 $ 250,000 $ 1,110,000 

Updated portfolio data from servicer & HAFA 

initial cap

10029 3/26/2010 $ (10,000) $ 1,100,000 Updated portfolio data from servicer

10029 7/14/2010 $ (400,000) $ 700,000 Updated portfolio data from servicer

10029 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

10029 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10029 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10029 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

10029 6/28/2012 $ (9) $ 870,311 

Updated due to quarterly assessment and 

reallocation

10029 12 9/14/2012 $ (821,722) $ 48,589 Termination of SPA 

7/17/2009 MorEquity, Inc. Evansville IN Purchase Financial Instrument for Home Loan Modifications $ 23,480,000 N/A 9/30/2009 $ 18,530,000 $ 42,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000957 12/30/2009 $ 24,510,000 $ 66,520,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000957 3/26/2010 $ 18,360,000 $ 84,880,000 Updated portfolio data from servicer

1000957 7/14/2010 $ (22,580,000) $ 62,300,000 Updated portfolio data from servicer

1000957 9/30/2010 $ (8,194,261) $ 54,105,739 Updated portfolio data from servicer

1000957 1/6/2011 $ (37) $ 54,105,702 Updated portfolio data from servicer

1000957 3/16/2011 $ (29,400,000) $ 24,705,702 Transfer of cap due to servicing transfer

1000957 3/30/2011 $ (34) $ 24,705,668 

Updated due to quarterly assessment and 

reallocation

1000957 11 5/26/2011 $ (20,077,503) $ 4,628,165 

Termination of SPA 

(remaining cap equals distribution amount)

7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 54,470,000 N/A 9/30/2009 $ (36,240,000) $ 18,230,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000834 12/30/2009 $ 19,280,000 $ 37,510,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000834 3/26/2010 $ 2,470,000 $ 39,980,000 Updated portfolio data from servicer

1000834 7/14/2010 $ (17,180,000) $ 22,800,000 Updated portfolio data from servicer

1000834 9/30/2010 $ 35,500,000 $ 58,300,000 Initial FHA-2LP cap and initial 2MP cap

1000834 9/30/2010 $ 23,076,191 $ 81,376,191 Updated portfolio data from servicer

1000834 1/6/2011 $ (123) $ 81,376,068 Updated portfolio data from servicer

1000834 3/30/2011 $ (147) $ 81,375,921 

Updated due to quarterly assessment and 

reallocation

1000834 5/13/2011 $ (100,000) $ 81,275,921 Transfer of cap due to servicing transfer

1000834 6/29/2011 $ (1,382) $ 81,274,539 

Updated due to quarterly assessment and 

reallocation

1000834 10/14/2011 $ (300,000) $ 80,974,539 Transfer of cap due to servicing transfer

1000834 6/28/2012 $ (1,003) $ 80,973,536 

Updated due to quarterly assessment and 

reallocation

1000834 9/27/2012 $ (2,745) $ 80,970,791 

Updated due to quarterly assessment and 

reallocation

1000834 12/27/2012 $ (460) $ 80,970,331 

Updated due to quarterly assessment and 

reallocation

1000834 3/25/2013 $ (1,740) $ 80,968,591 

Updated due to quarterly assessment and 

reallocation

1000834 4/9/2013 $ 60,000 $ 81,028,591 

Transfer of cap (from RBC bank (USA) ) due to 

merger

1000834 6/27/2013 $ (656) $ 81,027,935 

Updated due to quarterly assessment and 

reallocation

1000834 9/27/2013 $ (234) $ 81,027,701 

Updated due to quarterly assessment and 

reallocation

7/17/2009 Farmers State Bank West Salem OH Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 9/30/2009 $ (90,000) $ 80,000 

Updated portfolio data from servicer & HPDP 

initial cap

10612 12/30/2009 $ 50,000 $ 130,000 

Updated portfolio data from servicer & HAFA 

initial cap

10612 3/26/2010 $ 100,000 $ 230,000 Updated portfolio data from servicer

10612 7/14/2010 $ (130,000) $ 100,000 Updated portfolio data from servicer

10612 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10612 5/20/2011 $ (145,056) $ - Termination of SPA 

7/17/2009 ShoreBank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 1,410,000 N/A 9/30/2009 $ 890,000 $ 2,300,000 

Updated portfolio data from servicer & HPDP 

initial cap

10257 12/30/2009 $ 1,260,000 $ 3,560,000 

Updated portfolio data from servicer & HAFA 

initial cap

10257 3/26/2010 $ (20,000) $ 3,540,000 Updated portfolio data from servicer

10257 7/14/2010 $ (240,000) $ 3,300,000 Updated portfolio data from servicer

10257 9/30/2010 $ 471,446 $ 3,771,446 Updated portfolio data from servicer

10257 1/6/2011 $ (3) $ 3,771,443 Updated portfolio data from servicer

10257 3/30/2011 $ (4) $ 3,771,439 

Updated due to quarterly assessment and 

reallocation

10257 4/13/2011 $ (1,100,000) $ 2,671,439 Transfer of cap due to servicing transfer

10257 6/29/2011 $ (38) $ 2,671,401 

Updated due to quarterly assessment and 

reallocation

10257 6/28/2012 $ (29) $ 2,671,372 

Updated due to quarterly assessment and 

reallocation

10257 9/27/2012 $ (79) $ 2,671,293 

Updated due to quarterly assessment and 

reallocation

10257 12/27/2012 $ (13) $ 2,671,280 

Updated due to quarterly assessment and 

reallocation

10257 3/25/2013 $ (50) $ 2,671,230 

Updated due to quarterly assessment and 

reallocation

10257 12 4/9/2013 $ (2,324,244) $ 346,986 Termination of SPA 

7/22/2009 Homeward Residential, Inc. (American Home Mortgage 

Servicing, Inc) Coppell TX Purchase Financial Instrument for Home Loan Modifications $ 1,272,490,000 N/A 9/30/2009 $ (53,670,000) $ 1,218,820,000 

Updated portfolio data from servicer & HPDP 

initial cap

10727 12/30/2009 $ 250,450,000 $ 1,469,270,000 

Updated portfolio data from servicer & HAFA 

initial cap
88

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10727 3/26/2010 $ 124,820,000 $ 1,594,090,000 Updated portfolio data from servicer

10727 7/14/2010 $ (289,990,000) $ 1,304,100,000 Updated portfolio data from servicer

10727 9/30/2010 $ 1,690,508 $ 1,305,790,508 Updated portfolio data from servicer

10727 10/15/2010 $ 300,000 $ 1,306,090,508 Transfer of cap due to servicing transfer

10727 11/16/2010 $ (100,000) $ 1,305,990,508 Transfer of cap due to servicing transfer

10727 1/6/2011 $ (1,173) $ 1,305,989,335 Updated portfolio data from servicer

10727 2/16/2011 $ (500,000) $ 1,305,489,335 Transfer of cap due to servicing transfer

10727 3/30/2011 $ (1,400) $ 1,305,487,935 

Updated due to quarterly assessment and 

reallocation

10727 4/13/2011 $ 3,100,000 $ 1,308,587,935 Transfer of cap due to servicing transfer

10727 6/29/2011 $ (12,883) $ 1,308,575,052 

Updated due to quarterly assessment and 

reallocation

10727 9/15/2011 $ (1,000,000) $ 1,307,575,052 Transfer of cap due to servicing transfer

10727 10/14/2011 $ (100,000) $ 1,307,475,052 Transfer of cap due to servicing transfer

10727 11/16/2011 $ (1,100,000) $ 1,306,375,052 Transfer of cap due to servicing transfer

10727 5/16/2012 $ (10,000) $ 1,306,365,052 Transfer of cap due to servicing transfer

10727 6/28/2012 $ (8,378) $ 1,306,356,674 

Updated due to quarterly assessment and 

reallocation

10727 7/16/2012 $ (470,000) $ 1,305,886,674 Transfer of cap due to servicing transfer

10727 8/16/2012 $ (80,000) $ 1,305,806,674 Transfer of cap due to servicing transfer

10727 9/27/2012 $ (22,494) $ 1,305,784,180 

Updated due to quarterly assessment and 

reallocation

10727 10/16/2012 $ (260,000) $ 1,305,524,180 Transfer of cap due to servicing transfer

10727 11/15/2012 $ (30,000) $ 1,305,494,180 Transfer of cap due to servicing transfer

10727 12/14/2012 $ (50,000) $ 1,305,444,180 Transfer of cap due to servicing transfer

10727 12/27/2012 $ (3,676) $ 1,305,440,504 

Updated due to quarterly assessment and 

reallocation

10727 1/16/2013 $ (80,000) $ 1,305,360,504 Transfer of cap due to servicing transfer

10727 2/14/2013 $ 20,000 $ 1,305,380,504 Transfer of cap due to servicing transfer

10727 3/14/2013 $ (84,160,000) $ 1,221,220,504 Transfer of cap due to servicing transfer

10727 3/25/2013 $ (12,821) $ 1,221,207,683 

Updated due to quarterly assessment and 

reallocation

10727 4/16/2013 $ (621,110,000) $ 600,097,683 Transfer of cap due to servicing transfer

10727 5/16/2013 $ (19,120,000) $ 580,977,683 Transfer of cap due to servicing transfer

10727 6/27/2013 $ (1,947) $ 580,975,736 

Updated due to quarterly assessment and 

reallocation

10727 7/16/2013 $ (14,870,000) $ 566,105,736 Transfer of cap due to servicing transfer

10727 9/27/2013 $ (655) $ 566,105,081 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Mortgage Center, LLC Southfield MI Purchase Financial Instrument for Home Loan Modifications $ 4,210,000 N/A 9/30/2009 $ 1,780,000 $ 5,990,000 

Updated portfolio data from servicer & HPDP 

initial cap

10439 12/30/2009 $ 2,840,000 $ 8,830,000 

Updated portfolio data from servicer & HAFA 

initial cap

10439 3/26/2010 $ 2,800,000 $ 11,630,000 Updated portfolio data from servicer

10439 7/14/2010 $ (5,730,000) $ 5,900,000 Updated portfolio data from servicer

10439 9/30/2010 $ 2,658,280 $ 8,558,280 Updated portfolio data from servicer

10439 1/6/2011 $ (12) $ 8,558,268 Updated portfolio data from servicer

10439 3/30/2011 $ (14) $ 8,558,254 

Updated due to quarterly assessment and 

reallocation

10439 6/29/2011 $ (129) $ 8,558,125 

Updated due to quarterly assessment and 

reallocation

10439 6/28/2012 $ (94) $ 8,558,031 

Updated due to quarterly assessment and 

reallocation

10439 9/27/2012 $ (256) $ 8,557,775 

Updated due to quarterly assessment and 

reallocation

10439 12/27/2012 $ (43) $ 8,557,732 

Updated due to quarterly assessment and 

reallocation

10439 3/25/2013 $ (162) $ 8,557,570 

Updated due to quarterly assessment and 

reallocation

10439 6/27/2013 $ (60) $ 8,557,510 

Updated due to quarterly assessment and 

reallocation

10439 9/27/2013 $ (21) $ 8,557,489 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 860,000 N/A 9/30/2009 $ (490,000) $ 370,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000455 12/30/2009 $ 6,750,000 $ 7,120,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000455 3/26/2010 $ (6,340,000) $ 780,000 Updated portfolio data from servicer

1000455 7/14/2010 $ (180,000) $ 600,000 Updated portfolio data from servicer

1000455 9/30/2010 $ 125,278 $ 725,278 Updated portfolio data from servicer

1000455 3/30/2011 $ (1) $ 725,277 

Updated due to quarterly assessment and 

reallocation

1000455 6/29/2011 $ (4) $ 725,273 

Updated due to quarterly assessment and 

reallocation

1000455 6/28/2012 $ (1) $ 725,272 

Updated due to quarterly assessment and 

reallocation

1000455 9/27/2012 $ (1) $ 725,271 

Updated due to quarterly assessment and 

reallocation

1000455 3/25/2013 $ 47,663 $ 772,934 

Updated due to quarterly assessment and 

reallocation

7/29/2009 FIRST BANK St. Louis MO Purchase Financial Instrument for Home Loan Modifications $ 6,460,000 N/A 9/30/2009 $ (1,530,000) $ 4,930,000 

Updated portfolio data from servicer & HPDP 

initial cap

10455 12/30/2009 $ 680,000 $ 5,610,000 

Updated portfolio data from servicer & HAFA 

initial cap

10455 3/26/2010 $ 2,460,000 $ 8,070,000 Updated portfolio data from servicer

10455 7/14/2010 $ (2,470,000) $ 5,600,000 Updated portfolio data from servicer

10455 9/30/2010 $ 2,523,114 $ 8,123,114 Updated portfolio data from servicer

10455 1/6/2011 $ (2) $ 8,123,112 Updated portfolio data from servicer

10455 3/30/2011 $ (2) $ 8,123,110 

Updated due to quarterly assessment and 

reallocation

10455 6/29/2011 $ (15) $ 8,123,095 

Updated due to quarterly assessment and 

reallocation

10455 6/28/2012 $ (3) $ 8,123,092 

Updated due to quarterly assessment and 

reallocation

10455 9/27/2012 $ (5) $ 8,123,087 

Updated due to quarterly assessment and 

reallocation

10455 12/27/2012 $ (1) $ 8,123,086 

Updated due to quarterly assessment and 

reallocation

10455 3/25/2013 $ (5) $ 8,123,081 

Updated due to quarterly assessment and 

reallocation

10455 6/27/2013 $ (1) $ 8,123,080 

Updated due to quarterly assessment and 

reallocation
89

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

7/29/2009 Purdue Employees Federal Credit Union West Lafayette IN Purchase Financial Instrument for Home Loan Modifications $ 1,090,000 N/A 9/30/2009 $ (60,000) $ 1,030,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000505 12/30/2009 $ 1,260,000 $ 2,290,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000505 3/26/2010 $ 2,070,000 $ 4,360,000 Updated portfolio data from servicer

1000505 7/14/2010 $ (3,960,000) $ 400,000 Updated portfolio data from servicer

1000505 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000505 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000505 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000505 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1000505 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

1000505 9/27/2012 $ (17) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1000505 12/27/2012 $ (3) $ 580,186 

Updated due to quarterly assessment and 

reallocation

1000505 3/25/2013 $ (11) $ 580,175 

Updated due to quarterly assessment and 

reallocation

1000505 6/27/2013 $ (4) $ 580,171 

Updated due to quarterly assessment and 

reallocation

1000505 9/27/2013 $ (1) $ 580,170 

Updated due to quarterly assessment and 

reallocation

7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 85,020,000 N/A 9/30/2009 $ (37,700,000) $ 47,320,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000902 12/30/2009 $ 26,160,000 $ 73,480,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000902 3/26/2010 $ 9,820,000 $ 83,300,000 Updated portfolio data from servicer

1000902 7/14/2010 $ (46,200,000) $ 37,100,000 Updated portfolio data from servicer

1000902 9/30/2010 $ (28,686,775) $ 8,413,225 Updated portfolio data from servicer

1000902 12/3/2010 $ (8,413,225) $ - Termination of SPA 

7/31/2009 JP Morgan Chase Bank, NA Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 2,699,720,000 N/A 9/30/2009 $ (14,850,000) $ 2,684,870,000 

Updated portfolio data from servicer & HPDP 

initial cap

10706 12/30/2009 $ 1,178,180,000 $ 3,863,050,000 

Updated portfolio data from servicer & HAFA 

initial cap

10706 3/26/2010 $ 1,006,580,000 $ 4,869,630,000 

Updated portfolio data from servicer & 2MP initial 

cap

10706 7/14/2010 $ (1,934,230,000) $ 2,935,400,000 Updated portfolio data from servicer

10706 9/30/2010 $ 72,400,000 $ 3,007,800,000 

Initial FHA-HAMP cap, Initial FHA-2LP cap, and 

initial RD-HAMP

10706 9/30/2010 $ 215,625,536 $ 3,223,425,536 Updated portfolio data from servicer

10706 1/6/2011 $ (3,636) $ 3,223,421,900 Updated portfolio data from servicer

10706 3/16/2011 $ (100,000) $ 3,223,321,900 Transfer of cap due to servicing transfer

10706 3/30/2011 $ (3,999) $ 3,223,317,901 

Updated due to quarterly assessment and 

reallocation

10706 4/13/2011 $ (200,000) $ 3,223,117,901 Transfer of cap due to servicing transfer

10706 5/13/2011 $ 122,700,000 $ 3,345,817,901 Transfer of cap due to servicing transfer

10706 6/29/2011 $ (34,606) $ 3,345,783,295 

Updated due to quarterly assessment and 

reallocation

10706 7/14/2011 $ 600,000 $ 3,346,383,295 Transfer of cap due to servicing transfer

10706 8/16/2011 $ (400,000) $ 3,345,983,295 Transfer of cap due to servicing transfer

10706 9/15/2011 $ (100,000) $ 3,345,883,295 Transfer of cap due to servicing transfer

10706 10/14/2011 $ 200,000 $ 3,346,083,295 Transfer of cap due to servicing transfer

10706 10/19/2011 $ 519,211,309 $ 3,865,294,604 Transfer of cap due to servicing transfer

10706 11/16/2011 $ (2,800,000) $ 3,862,494,604 Transfer of cap due to servicing transfer

10706 1/13/2012 $ (100,000) $ 3,862,394,604 Transfer of cap due to servicing transfer

10706 2/16/2012 $ (100,000) $ 3,862,294,604 Transfer of cap due to servicing transfer

10706 5/16/2012 $ (126,080,000) $ 3,736,214,604 Transfer of cap due to servicing transfer

10706 6/14/2012 $ (1,620,000) $ 3,734,594,604 Transfer of cap due to servicing transfer

10706 6/28/2012 $ (16,192) $ 3,734,578,412 

Updated due to quarterly assessment and 

reallocation

10706 7/16/2012 $ (2,300,000) $ 3,732,278,412 Transfer of cap due to servicing transfer

10706 8/16/2012 $ (20,000) $ 3,732,258,412 Transfer of cap due to servicing transfer

10706 9/27/2012 $ (37,341) $ 3,732,221,071 

Updated due to quarterly assessment and 

reallocation

10706 10/16/2012 $ (1,130,000) $ 3,731,091,071 Transfer of cap due to servicing transfer

10706 11/15/2012 $ (3,770,000) $ 3,727,321,071 Transfer of cap due to servicing transfer

10706 12/14/2012 $ (180,000) $ 3,727,141,071 Transfer of cap due to servicing transfer

10706 12/27/2012 $ (4,535) $ 3,727,136,536 

Updated due to quarterly assessment and 

reallocation

10706 1/16/2013 $ (60,000) $ 3,727,076,536 Transfer of cap due to servicing transfer

10706 2/14/2013 $ (520,000) $ 3,726,556,536 Transfer of cap due to servicing transfer

10706 3/14/2013 $ (90,000) $ 3,726,466,536 Transfer of cap due to servicing transfer

10706 3/25/2013 $ (14,310) $ 3,726,452,226 

Updated due to quarterly assessment and 

reallocation

10706 4/16/2013 $ (110,000) $ 3,726,342,226 Transfer of cap due to servicing transfer

10706 5/16/2013 $ (120,000) $ 3,726,222,226 Transfer of cap due to servicing transfer

10706 6/14/2013 $ (50,000) $ 3,726,172,226 Transfer of cap due to servicing transfer

10706 6/27/2013 $ (3,778) $ 3,726,168,448 

Updated due to quarterly assessment and 

reallocation

10706 7/16/2013 $ (103,240,000) $ 3,622,928,448 Transfer of cap due to servicing transfer

10706 8/15/2013 $ (20,000) $ 3,622,908,448 Transfer of cap due to servicing transfer

10706 9/16/2013 $ (99,960,000) $ 3,522,948,448 Transfer of cap due to servicing transfer

10706 9/27/2013 $ (724) $ 3,522,947,724 

Updated due to quarterly assessment and 

reallocation

7/31/2009 EMC Mortgage Corporation Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 707,380,000 N/A 9/30/2009 $ (10,000) $ 707,370,000 

Updated portfolio data from servicer & HPDP 

initial cap

1001020 12/30/2009 $ 502,430,000 $ 1,209,800,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001020 3/26/2010 $ (134,560,000) $ 1,075,240,000 

Updated portfolio data from servicer & 2MP initial 

cap

1001020 7/14/2010 $ (392,140,000) $ 683,100,000 Updated portfolio data from servicer

1001020 7/16/2010 $ (630,000) $ 682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.

1001020 9/30/2010 $ 13,100,000 $ 695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap
90

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001020 9/30/2010 $ (8,006,457) $ 687,563,543 Updated portfolio data from servicer

1001020 10/15/2010 $ (100,000) $ 687,463,543 Transfer of cap due to servicing transfer

1001020 12/15/2010 $ (4,400,000) $ 683,063,543 Updated portfolio data from servicer

1001020 1/6/2011 $ (802) $ 683,062,741 Updated portfolio data from servicer

1001020 2/16/2011 $ (900,000) $ 682,162,741 Transfer of cap due to servicing transfer

1001020 3/16/2011 $ (4,000,000) $ 678,162,741 Transfer of cap due to servicing transfer

1001020 3/30/2011 $ (925) $ 678,161,816 

Updated due to quarterly assessment and 

reallocation

1001020 5/13/2011 $ (122,900,000) $ 555,261,816 Transfer of cap due to servicing transfer

1001020 6/29/2011 $ (8,728) $ 555,253,088 

Updated due to quarterly assessment and 

reallocation

1001020 7/14/2011 $ (600,000) $ 554,653,088 Transfer of cap due to servicing transfer

1001020 14 10/19/2011 $ (519,211,309) $ 35,441,779 Termination of SPA 

8/5/2009 Lake City Bank Warsaw IN Purchase Financial Instrument for Home Loan Modifications $ 420,000 N/A 9/30/2009 $ 180,000 $ 600,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000840 12/30/2009 $ (350,000) $ 250,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000840 3/26/2010 $ 20,000 $ 270,000 Updated portfolio data from servicer

1000840 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

1000840 9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

1000840 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

1000840 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

1000840 9/27/2012 $ (7) $ 290,099 

Updated due to quarterly assessment and 

reallocation

1000840 12/27/2012 $ (1) $ 290,098 

Updated due to quarterly assessment and 

reallocation

1000840 3/25/2013 $ (4) $ 290,094 

Updated due to quarterly assessment and 

reallocation

1000840 6/27/2013 $ (2) $ 290,092 

Updated due to quarterly assessment and 

reallocation

1000840 9/27/2013 $ (1) $ 290,091 

Updated due to quarterly assessment and 

reallocation

8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 9/30/2009 $ 290,000 $ 430,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000609 12/30/2009 $ 210,000 $ 640,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000609 3/26/2010 $ 170,000 $ 810,000 Updated portfolio data from servicer

1000609 7/14/2010 $ (10,000) $ 800,000 Updated portfolio data from servicer

1000609 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1000609 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000609 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000609 4/13/2011 $ (200,000) $ 525,276 Transfer of cap due to servicing transfer

1000609 6/29/2011 $ (7) $ 525,269 

Updated due to quarterly assessment and 

reallocation

1000609 12 7/22/2011 $ (515,201) $ 10,068 Termination of SPA 

8/5/2009 HomEq Servicing North Highlands CA Purchase Financial Instrument for Home Loan Modifications $ 674,000,000 N/A 9/30/2009 $ (121,190,000) $ 552,810,000 

Updated portfolio data from servicer & HPDP 

initial cap

10717 12/30/2009 $ (36,290,000) $ 516,520,000 

Updated portfolio data from servicer & HAFA 

initial cap

10717 3/26/2010 $ 199,320,000 $ 715,840,000 Updated portfolio data from servicer

10717 7/14/2010 $ (189,040,000) $ 526,800,000 Updated portfolio data from servicer

10717 9/30/2010 $ 38,626,728 $ 565,426,728 Updated portfolio data from servicer

10717 10/15/2010 $ (170,800,000) $ 394,626,728 Transfer of cap due to servicing transfer

10717 12/15/2010 $ (22,200,000) $ 372,426,728 Updated portfolio data from servicer

10717 1/6/2011 $ (549) $ 372,426,179 Updated portfolio data from servicer

10717 2/16/2011 $ (900,000) $ 371,526,179 Transfer of cap due to servicing transfer

10717 3/30/2011 $ (653) $ 371,525,526 

Updated due to quarterly assessment and 

reallocation

10717 6/29/2011 $ (6,168) $ 371,519,358 

Updated due to quarterly assessment and 

reallocation

10717 6/28/2012 $ (4,634) $ 371,514,724 

Updated due to quarterly assessment and 

reallocation

10717 8/16/2012 $ (430,000) $ 371,084,724 Transfer of cap due to servicing transfer

10717 9/27/2012 $ (12,728) $ 371,071,996 

Updated due to quarterly assessment and 

reallocation

10717 12/14/2012 $ (20,000) $ 371,051,996 Transfer of cap due to servicing transfer

10717 12/27/2012 $ (2,148) $ 371,049,848 

Updated due to quarterly assessment and 

reallocation

10717 3/25/2013 $ (8,137) $ 371,041,711 

Updated due to quarterly assessment and 

reallocation

10717 6/27/2013 $ (3,071) $ 371,038,640 

Updated due to quarterly assessment and 

reallocation

10717 9/27/2013 $ (1,101) $ 371,037,539 

Updated due to quarterly assessment and 

reallocation

8/12/2009 Litton Loan Servicing, LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ 774,900,000 N/A 9/30/2009 $ 313,050,000 $ 1,087,950,000 

Updated portfolio data from servicer & HPDP 

initial cap

10438 12/30/2009 $ 275,370,000 $ 1,363,320,000 

Updated portfolio data from servicer & HAFA 

initial cap

10438 3/26/2010 $ 278,910,000 $ 1,642,230,000 Updated portfolio data from servicer

10438 7/14/2010 $ (474,730,000) $ 1,167,500,000 Updated portfolio data from servicer

10438 8/13/2010 $ (700,000) $ 1,166,800,000 Transfer of cap to due to servicing transfer

10438 9/15/2010 $ (1,000,000) $ 1,165,800,000 Transfer of cap to due to servicing transfer

10438 9/30/2010 $ (115,017,236) $ 1,050,782,764 Updated portfolio data from servicer

10438 10/15/2010 $ (800,000) $ 1,049,982,764 Transfer of cap due to servicing transfer

10438 12/15/2010 $ 800,000 $ 1,050,782,764 Updated portfolio data from servicer

10438 1/6/2011 $ (1,286) $ 1,050,781,478 Updated portfolio data from servicer

10438 3/16/2011 $ 8,800,000 $ 1,059,581,478 Transfer of cap due to servicing transfer

10438 3/30/2011 $ (1,470) $ 1,059,580,008 

Updated due to quarterly assessment and 

reallocation

10438 4/13/2011 $ (3,300,000) $ 1,056,280,008 Transfer of cap due to servicing transfer

10438 5/13/2011 $ (300,000) $ 1,055,980,008 Transfer of cap due to servicing transfer

10438 6/16/2011 $ (700,000) $ 1,055,280,008 Transfer of cap due to servicing transfer

10438 6/29/2011 $ (13,097) $ 1,055,266,911 

Updated due to quarterly assessment and 

reallocation
91

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10438 7/14/2011 $ (200,000) $ 1,055,066,911 Transfer of cap due to servicing transfer

10438 9/15/2011 $ (2,900,000) $ 1,052,166,911 Transfer of cap due to servicing transfer

10438 10/14/2011 $ (300,000) $ 1,051,866,911 Transfer of cap due to servicing transfer

10438 11/16/2011 $ (500,000) $ 1,051,366,911 Transfer of cap due to servicing transfer

10438 12/15/2011 $ (2,600,000) $ 1,048,766,911 Transfer of cap due to servicing transfer

10438 1/13/2012 $ (194,800,000) $ 853,966,911 Transfer of cap due to servicing transfer

10438 2/16/2012 $ (400,000) $ 853,566,911 Transfer of cap due to servicing transfer

10438 6/28/2012 $ (9,728) $ 853,557,183 

Updated due to quarterly assessment and 

reallocation

10438 8/16/2012 $ (7,990,000) $ 845,567,183 Transfer of cap due to servicing transfer

10438 9/27/2012 $ (26,467) $ 845,540,716 

Updated due to quarterly assessment and 

reallocation

10438 12/27/2012 $ (4,466) $ 845,536,250 

Updated due to quarterly assessment and 

reallocation

10438 3/25/2013 $ (16,922) $ 845,519,328 

Updated due to quarterly assessment and 

reallocation

10438 6/27/2013 $ (6,386) $ 845,512,942 

Updated due to quarterly assessment and 

reallocation

10438 9/27/2013 $ (2,289) $ 845,510,653 

Updated due to quarterly assessment and 

reallocation

8/12/2009 PennyMac Loan Services, LLC Calasbasa CA Purchase Financial Instrument for Home Loan Modifications $ 6,210,000 N/A 9/30/2009 $ (1,200,000) $ 5,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000744 12/30/2009 $ 30,800,000 $ 35,810,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000744 3/26/2010 $ 23,200,000 $ 59,010,000 Updated portfolio data from servicer

1000744 6/16/2010 $ 2,710,000 $ 61,720,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000744 7/14/2010 $ (18,020,000) $ 43,700,000 Updated portfolio data from servicer

1000744 7/16/2010 $ 6,680,000 $ 50,380,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000744 8/13/2010 $ 2,600,000 $ 52,980,000 Transfer of cap to due to servicing transfer

1000744 9/15/2010 $ (100,000) $ 52,880,000 Transfer of cap to due to servicing transfer

1000744 9/30/2010 $ 200,000 $ 53,080,000 Initial FHA-HAMP cap and 2MP initial cap

1000744 9/30/2010 $ (1,423,197) $ 51,656,803 Updated portfolio data from servicer

1000744 11/16/2010 $ 1,400,000 $ 53,056,803 Transfer of cap due to servicing transfer

1000744 12/15/2010 $ (100,000) $ 52,956,803 Updated portfolio data from servicer

1000744 1/6/2011 $ (72) $ 52,956,731 Updated portfolio data from servicer

1000744 1/13/2011 $ 4,100,000 $ 57,056,731 Transfer of cap due to servicing transfer

1000744 2/16/2011 $ (100,000) $ 56,956,731 Transfer of cap due to servicing transfer

1000744 3/16/2011 $ 4,000,000 $ 60,956,731 Transfer of cap due to servicing transfer

1000744 3/30/2011 $ (94) $ 60,956,637 

Updated due to quarterly assessment and 

reallocation

1000744 4/13/2011 $ (100,000) $ 60,856,637 Transfer of cap due to servicing transfer

1000744 5/13/2011 $ 5,800,000 $ 66,656,637 Transfer of cap due to servicing transfer

1000744 6/16/2011 $ 600,000 $ 67,256,637 Transfer of cap due to servicing transfer

1000744 6/29/2011 $ (812) $ 67,255,825 

Updated due to quarterly assessment and 

reallocation

1000744 7/14/2011 $ 2,500,000 $ 69,755,825 Transfer of cap due to servicing transfer

1000744 9/15/2011 $ 2,800,000 $ 72,555,825 Transfer of cap due to servicing transfer

1000744 10/14/2011 $ 300,000 $ 72,855,825 Transfer of cap due to servicing transfer

1000744 11/16/2011 $ 900,000 $ 73,755,825 Transfer of cap due to servicing transfer

1000744 12/15/2011 $ 800,000 $ 74,555,825 Transfer of cap due to servicing transfer

1000744 1/13/2012 $ 200,000 $ 74,755,825 Transfer of cap due to servicing transfer

1000744 3/15/2012 $ 1,900,000 $ 76,655,825 Transfer of cap due to servicing transfer

1000744 4/16/2012 $ 200,000 $ 76,855,825 Transfer of cap due to servicing transfer

1000744 6/14/2012 $ 1,340,000 $ 78,195,825 Transfer of cap due to servicing transfer

1000744 6/28/2012 $ (340) $ 78,195,485 

Updated due to quarterly assessment and 

reallocation

1000744 7/16/2012 $ 2,930,000 $ 81,125,485 Transfer of cap due to servicing transfer

1000744 8/16/2012 $ 890,000 $ 82,015,485 Transfer of cap due to servicing transfer

1000744 9/27/2012 $ (974) $ 82,014,511 

Updated due to quarterly assessment and 

reallocation

1000744 10/16/2012 $ 1,800,000 $ 83,814,511 Transfer of cap due to servicing transfer

1000744 12/14/2012 $ 3,860,000 $ 87,674,511 Transfer of cap due to servicing transfer

1000744 12/27/2012 $ (154) $ 87,674,357 

Updated due to quarterly assessment and 

reallocation

1000744 2/14/2013 $ 2,980,000 $ 90,654,357 Transfer of cap due to servicing transfer

1000744 3/25/2013 $ (506) $ 90,653,851 

Updated due to quarterly assessment and 

reallocation

1000744 4/16/2013 $ 2,160,000 $ 92,813,851 Transfer of cap due to servicing transfer

1000744 6/14/2013 $ 2,440,000 $ 95,253,851 Transfer of cap due to servicing transfer

1000744 6/27/2013 $ (128) $ 95,253,723 

Updated due to quarterly assessment and 

reallocation

1000744 9/27/2013 $ (7) $ 95,253,716 

Updated due to quarterly assessment and 

reallocation

8/12/2009 Servis One, Inc., dba BSI Financial Services, Inc. Titusville PA Purchase Financial Instrument for Home Loan Modifications $ 29,730,000 N/A 9/30/2009 $ (25,510,000) $ 4,220,000 

Updated portfolio data from servicer & HPDP 

initial cap

10454 12/30/2009 $ 520,000 $ 4,740,000 

Updated portfolio data from servicer & HAFA 

initial cap

10454 3/26/2010 $ 4,330,000 $ 9,070,000 Updated portfolio data from servicer

10454 4/19/2010 $ 230,000 $ 9,300,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

10454 5/19/2010 $ 850,000 $ 10,150,000 Initial 2MP cap

10454 7/14/2010 $ (850,000) $ 9,300,000 Updated portfolio data from servicer

10454 9/15/2010 $ 100,000 $ 9,400,000 Transfer of cap to due to servicing transfer

10454 9/30/2010 $ 100,000 $ 9,500,000 Initial FHA-HAMP cap

10454 9/30/2010 $ 16,755,064 $ 26,255,064 Updated portfolio data from servicer

10454 10/15/2010 $ 100,000 $ 26,355,064 Transfer of cap due to servicing transfer

10454 12/15/2010 $ 100,000 $ 26,455,064 Updated portfolio data from servicer
92

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10454 1/6/2011 $ (40) $ 26,455,024 Updated portfolio data from servicer

10454 1/13/2011 $ 300,000 $ 26,755,024 Transfer of cap due to servicing transfer

10454 2/16/2011 $ 100,000 $ 26,855,024 Transfer of cap due to servicing transfer

10454 3/16/2011 $ 2,200,000 $ 29,055,024 Transfer of cap due to servicing transfer

10454 3/30/2011 $ (52) $ 29,054,972 

Updated due to quarterly assessment and 

reallocation

10454 4/13/2011 $ 1,500,000 $ 30,554,972 Transfer of cap due to servicing transfer

10454 5/13/2011 $ 1,000,000 $ 31,554,972 Transfer of cap due to servicing transfer

10454 6/16/2011 $ 100,000 $ 31,654,972 Transfer of cap due to servicing transfer

10454 6/29/2011 $ (534) $ 31,654,438 

Updated due to quarterly assessment and 

reallocation

10454 8/16/2011 $ 700,000 $ 32,354,438 Transfer of cap due to servicing transfer

10454 9/15/2011 $ (600,000) $ 31,754,438 Transfer of cap due to servicing transfer

10454 10/14/2011 $ 4,000,000 $ 35,754,438 Transfer of cap due to servicing transfer

10454 11/16/2011 $ 600,000 $ 36,354,438 Transfer of cap due to servicing transfer

10454 12/15/2011 $ 200,000 $ 36,554,438 Transfer of cap due to servicing transfer

10454 1/13/2012 $ 100,000 $ 36,654,438 Transfer of cap due to servicing transfer

10454 2/16/2012 $ 1,300,000 $ 37,954,438 Transfer of cap due to servicing transfer

10454 3/15/2012 $ 1,100,000 $ 39,054,438 Transfer of cap due to servicing transfer

10454 4/16/2012 $ 800,000 $ 39,854,438 Transfer of cap due to servicing transfer

10454 5/16/2012 $ (1,080,000) $ 38,774,438 Transfer of cap due to servicing transfer

10454 6/14/2012 $ 1,560,000 $ 40,334,438 Transfer of cap due to servicing transfer

10454 6/28/2012 $ (465) $ 40,333,973 

Updated due to quarterly assessment and 

reallocation

10454 8/16/2012 $ 70,000 $ 40,403,973 Transfer of cap due to servicing transfer

10454 9/27/2012 $ (1,272) $ 40,402,701 

Updated due to quarterly assessment and 

reallocation

10454 10/16/2012 $ 2,100,000 $ 42,502,701 Transfer of cap due to servicing transfer

10454 11/15/2012 $ 1,340,000 $ 43,842,701 Transfer of cap due to servicing transfer

10454 12/14/2012 $ 1,160,000 $ 45,002,701 Transfer of cap due to servicing transfer

10454 12/27/2012 $ (239) $ 45,002,462 

Updated due to quarterly assessment and 

reallocation

10454 1/16/2013 $ 210,000 $ 45,212,462 Transfer of cap due to servicing transfer

10454 2/14/2013 $ 1,790,000 $ 47,002,462 Transfer of cap due to servicing transfer

10454 3/14/2013 $ 1,920,000 $ 48,922,462 Transfer of cap due to servicing transfer

10454 3/25/2013 $ (960) $ 48,921,502 

Updated due to quarterly assessment and 

reallocation

10454 4/16/2013 $ 410,000 $ 49,331,502 Transfer of cap due to servicing transfer

10454 5/16/2013 $ (60,000) $ 49,271,502 Transfer of cap due to servicing transfer

10454 6/14/2013 $ 1,620,000 $ 50,891,502 Transfer of cap due to servicing transfer

10454 6/27/2013 $ (359) $ 50,891,143 

Updated due to quarterly assessment and 

reallocation

10454 7/16/2013 $ 2,030,000 $ 52,921,143 Transfer of cap due to servicing transfer

10454 8/15/2013 $ 10,000 $ 52,931,143 Transfer of cap due to servicing transfer

10454 9/16/2013 $ 2,600,000 $ 55,531,143 Transfer of cap due to servicing transfer

10454 9/27/2013 $ (135) $ 55,531,008 

Updated due to quarterly assessment and 

reallocation

8/28/2009 OneWest Bank Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 668,440,000 N/A 10/2/2009 $ 145,800,000 $ 814,240,000 HPDP initial cap

10008 12/30/2009 $ 1,355,930,000 $ 2,170,170,000 

Updated portfolio data from servicer & HAFA 

initial cap

10008 3/26/2010 $ 121,180,000 $ 2,291,350,000 Updated portfolio data from servicer

10008 7/14/2010 $ (408,850,000) $ 1,882,500,000 Updated portfolio data from servicer

10008 9/30/2010 $ 5,500,000 $ 1,888,000,000 2MP initial cap

10008 9/30/2010 $ (51,741,163) $ 1,836,258,837 Updated portfolio data from servicer

10008 1/6/2011 $ (2,282) $ 1,836,256,555 Updated portfolio data from servicer

10008 3/30/2011 $ (2,674) $ 1,836,253,881 

Updated due to quarterly assessment and 

reallocation

10008 6/29/2011 $ (24,616) $ 1,836,229,265 

Updated due to quarterly assessment and 

reallocation

10008 6/28/2012 $ (15,481) $ 1,836,213,784 

Updated due to quarterly assessment and 

reallocation

10008 9/27/2012 $ (40,606) $ 1,836,173,178 

Updated due to quarterly assessment and 

reallocation

10008 12/27/2012 $ (6,688) $ 1,836,166,490 

Updated due to quarterly assessment and 

reallocation

10008 3/25/2013 $ (24,811) $ 1,836,141,679 

Updated due to quarterly assessment and 

reallocation

10008 6/27/2013 $ (9,058) $ 1,836,132,621 

Updated due to quarterly assessment and 

reallocation

10008 9/27/2013 $ (3,154) $ 1,836,129,467 

Updated due to quarterly assessment and 

reallocation

8/28/2009 Stanford Federal Credit Union Palo Alto CA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 10/2/2009 $ 70,000 $ 370,000 HPDP initial cap

1000576 12/30/2009 $ 2,680,000 $ 3,050,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000576 3/26/2010 $ 350,000 $ 3,400,000 Updated portfolio data from servicer

1000576 7/14/2010 $ (1,900,000) $ 1,500,000 Updated portfolio data from servicer

1000576 9/30/2010 $ (1,209,889) $ 290,111 Updated portfolio data from servicer

1000576 3/23/2010 $ (290,111) $ - Termination of SPA 

8/28/2009 RoundPoint Mortgage Servicing Corporation Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 10/2/2009 $ 130,000 $ 700,000 HPDP initial cap

1001011 12/30/2009 $ (310,000) $ 390,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001011 3/26/2010 $ 2,110,000 $ 2,500,000 Updated portfolio data from servicer

1001011 7/14/2010 $ 8,300,000 $ 10,800,000 Updated portfolio data from servicer

1001011 9/30/2010 $ 5,301,172 $ 16,101,172 Updated portfolio data from servicer

1001011 1/6/2011 $ (22) $ 16,101,150 Updated portfolio data from servicer

1001011 3/16/2011 $ (400,000) $ 15,701,150 Transfer of cap due to servicing transfer

1001011 3/30/2011 $ (25) $ 15,701,125 

Updated due to quarterly assessment and 

reallocation
93

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001011 6/29/2011 $ (232) $ 15,700,893 

Updated due to quarterly assessment and 

reallocation

1001011 6/28/2012 $ (174) $ 15,700,719 

Updated due to quarterly assessment and 

reallocation

1001011 9/27/2012 $ (479) $ 15,700,240 

Updated due to quarterly assessment and 

reallocation

1001011 11/15/2012 $ (350,000) $ 15,350,240 Transfer of cap due to servicing transfer

1001011 12/27/2012 $ (82) $ 15,350,158 

Updated due to quarterly assessment and 

reallocation

1001011 3/25/2013 $ (308) $ 15,349,850 

Updated due to quarterly assessment and 

reallocation

1001011 4/16/2013 $ 80,000 $ 15,429,850 Transfer of cap due to servicing transfer

1001011 6/14/2013 $ 20,000 $ 15,449,850 Transfer of cap due to servicing transfer

1001011 6/27/2013 $ (108) $ 15,449,742 

Updated due to quarterly assessment and 

reallocation

1001011 7/16/2013 $ 30,000 $ 15,479,742 Transfer of cap due to servicing transfer

1001011 9/16/2013 $ 640,000 $ 16,119,742 Transfer of cap due to servicing transfer

1001011 9/27/2013 $ (40) $ 16,119,702 

Updated due to quarterly assessment and 

reallocation

9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications $ 560,000 N/A 10/2/2009 $ 130,000 $ 690,000 HPDP initial cap

1001018 12/30/2009 $ 1,040,000 $ 1,730,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001018 3/26/2010 $ (1,680,000) $ 50,000 Updated portfolio data from servicer

1001018 5/12/2010 $ 1,260,000 $ 1,310,000 Updated portfolio data from servicer

1001018 7/14/2010 $ (1,110,000) $ 200,000 Updated portfolio data from servicer

1001018 9/30/2010 $ 100,000 $ 300,000 Initial RD-HAMP

1001018 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1001018 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

1001018 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

1001018 9/27/2012 $ (7) $ 290,099 

Updated due to quarterly assessment and 

reallocation

1001018 12/27/2012 $ (1) $ 290,098 

Updated due to quarterly assessment and 

reallocation

1001018 3/25/2013 $ (4) $ 290,094 

Updated due to quarterly assessment and 

reallocation

1001018 6/27/2013 $ (2) $ 290,092 

Updated due to quarterly assessment and 

reallocation

1001018 9/27/2013 $ (1) $ 290,091 

Updated due to quarterly assessment and 

reallocation

9/2/2009 as amended 

on 8/27/2010 Vantium Capital, Inc.dba Acqura Loan Services Plano TX Purchase Financial Instrument for Home Loan Modifications $ 6,000,000 N/A 10 10/2/2009 $ 1,310,000 $ 7,310,000 HPDP initial cap

10354 12/30/2009 $ (3,390,000) $ 3,920,000 

Updated portfolio data from servicer & HAFA 

initial cap

10354 3/26/2010 $ 410,000 $ 4,330,000 Updated portfolio data from servicer

10354 7/14/2010 $ (730,000) $ 3,600,000 Updated portfolio data from servicer

10354 9/15/2010 $ 4,700,000 $ 8,300,000 Transfer of cap due to servicing transfer

10354 9/30/2010 $ 117,764 $ 8,417,764 Updated portfolio data from servicer

10354 11/16/2010 $ 800,000 $ 9,217,764 Transfer of cap due to servicing transfer

10354 12/15/2010 $ 2,700,000 $ 11,917,764 Updated portfolio data from servicer

10354 1/6/2011 $ (17) $ 11,917,747 Updated portfolio data from servicer

10354 1/13/2011 $ 700,000 $ 12,617,747 Transfer of cap due to servicing transfer

10354 2/16/2011 $ 1,800,000 $ 14,417,747 Transfer of cap due to servicing transfer

10354 3/30/2011 $ (19) $ 14,417,728 

Updated due to quarterly assessment and 

reallocation

10354 4/13/2011 $ 300,000 $ 14,717,728 Transfer of cap due to servicing transfer

10354 6/29/2011 $ (189) $ 14,717,539 

Updated due to quarterly assessment and 

reallocation

10354 8/16/2011 $ 300,000 $ 15,017,539 Transfer of cap due to servicing transfer

10354 9/15/2011 $ 100,000 $ 15,117,539 Transfer of cap due to servicing transfer

10354 10/14/2011 $ 100,000 $ 15,217,539 Transfer of cap due to servicing transfer

10354 6/28/2012 $ (147) $ 15,217,392 

Updated due to quarterly assessment and 

reallocation

10354 7/16/2012 $ (10,000) $ 15,207,392 Transfer of cap due to servicing transfer

10354 9/27/2012 $ (413) $ 15,206,979 

Updated due to quarterly assessment and 

reallocation

10354 11/15/2012 $ (40,000) $ 15,166,979 Transfer of cap due to servicing transfer

10354 12/27/2012 $ (71) $ 15,166,908 

Updated due to quarterly assessment and 

reallocation

10354 2/14/2013 $ (770,000) $ 14,396,908 Transfer of cap due to servicing transfer

10354 3/14/2013 $ (20,000) $ 14,376,908 Transfer of cap due to servicing transfer

10354 3/25/2013 $ (256) $ 14,376,652 

Updated due to quarterly assessment and 

reallocation

10354 4/16/2013 $ (620,000) $ 13,756,652 Transfer of cap due to servicing transfer

10354 5/16/2013 $ 40,000 $ 13,796,652 Transfer of cap due to servicing transfer

10354 6/14/2013 $ 10,000 $ 13,806,652 Transfer of cap due to servicing transfer

10354 6/27/2013 $ (95) $ 13,806,557 

Updated due to quarterly assessment and 

reallocation

10354 7/16/2013 $ (290,000) $ 13,516,557 Transfer of cap due to servicing transfer

10354 9/27/2013 $ (34) $ 13,516,523 

Updated due to quarterly assessment and 

reallocation

9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,250,000 N/A 10/2/2009 $ 280,000 $ 1,530,000 HPDP initial cap

1000890 12/30/2009 $ (750,000) $ 780,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000890 3/26/2010 $ 120,000 $ 900,000 Updated portfolio data from servicer

1000890 7/14/2010 $ (300,000) $ 600,000 Updated portfolio data from servicer

1000890 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1000890 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1000890 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

1000890 6/29/2011 $ (5) $ 870,327 

Updated due to quarterly assessment and 

reallocation

1000890 6/28/2012 $ 21,717 $ 892,044 

Updated due to quarterly assessment and 

reallocation

1000890 9/27/2012 $ 190,077 $ 1,082,121 

Updated due to quarterly assessment and 

reallocation

1000890 12/27/2012 $ 35,966 $ 1,118,087 

Updated due to quarterly assessment and 

reallocation
94

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1000890 3/25/2013 $ 59,464 $ 1,177,551 

Updated due to quarterly assessment and 

reallocation

1000890 6/27/2013 $ 35,438 $ 1,212,989 

Updated due to quarterly assessment and 

reallocation

1000890 9/27/2013 $ 26,926 $ 1,239,915 

Updated due to quarterly assessment and 

reallocation

9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications $ 114,220,000 N/A 10/2/2009 $ 24,920,000 $ 139,140,000 HPDP initial cap

10305 12/30/2009 $ 49,410,000 $ 188,550,000 

Updated portfolio data from servicer & HAFA 

initial cap

10305 3/26/2010 $ 41,830,000 $ 230,380,000 Updated portfolio data from servicer

10305 7/14/2010 $ (85,780,000) $ 144,600,000 Updated portfolio data from servicer

10305 9/30/2010 $ 36,574,444 $ 181,174,444 Updated portfolio data from servicer

10305 1/6/2011 $ (160) $ 181,174,284 Updated portfolio data from servicer

10305 3/30/2011 $ (172) $ 181,174,112 

Updated due to quarterly assessment and 

reallocation

10305 6/29/2011 $ (1,431) $ 181,172,681 

Updated due to quarterly assessment and 

reallocation

10305 6/28/2012 $ (746) $ 181,171,935 

Updated due to quarterly assessment and 

reallocation

10305 9/27/2012 $ (1,926) $ 181,170,009 

Updated due to quarterly assessment and 

reallocation

10305 12/27/2012 $ (308) $ 181,169,701 

Updated due to quarterly assessment and 

reallocation

10305 3/25/2013 $ (1,135) $ 181,168,566 

Updated due to quarterly assessment and 

reallocation

10305 6/27/2013 $ (418) $ 181,168,148 

Updated due to quarterly assessment and 

reallocation

10305 9/27/2013 $ (139) $ 181,168,009 

Updated due to quarterly assessment and 

reallocation

9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications $ 4,350,000 N/A 10/2/2009 $ 950,000 $ 5,300,000 HPDP initial cap

1000483 12/30/2009 $ 5,700,000 $ 11,000,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000483 3/26/2010 $ 740,000 $ 11,740,000 Updated portfolio data from servicer

1000483 7/14/2010 $ (1,440,000) $ 10,300,000 Updated portfolio data from servicer

1000483 9/30/2010 $ (6,673,610) $ 3,626,390 Updated portfolio data from servicer

1000483 1/6/2011 $ (5) $ 3,626,385 Updated portfolio data from servicer

1000483 3/30/2011 $ (6) $ 3,626,379 

Updated due to quarterly assessment and 

reallocation

1000483 6/29/2011 $ (52) $ 3,626,327 

Updated due to quarterly assessment and 

reallocation

1000483 6/28/2012 $ (38) $ 3,626,289 

Updated due to quarterly assessment and 

reallocation

1000483 9/27/2012 $ (107) $ 3,626,182 

Updated due to quarterly assessment and 

reallocation

1000483 12/27/2012 $ (18) $ 3,626,164 

Updated due to quarterly assessment and 

reallocation

1000483 3/25/2013 $ (69) $ 3,626,095 

Updated due to quarterly assessment and 

reallocation

1000483 6/27/2013 $ (26) $ 3,626,069 

Updated due to quarterly assessment and 

reallocation

1000483 9/27/2013 $ (9) $ 3,626,060 

Updated due to quarterly assessment and 

reallocation

9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications $ 2,070,000 N/A 10/2/2009 $ 460,000 $ 2,530,000 HPDP initial cap

1000467 12/30/2009 $ 2,730,000 $ 5,260,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000467 3/26/2010 $ 13,280,000 $ 18,540,000 Updated portfolio data from servicer

1000467 7/14/2010 $ (13,540,000) $ 5,000,000 Updated portfolio data from servicer

1000467 9/30/2010 $ 1,817,613 $ 6,817,613 Updated portfolio data from servicer

1000467 1/6/2011 $ (10) $ 6,817,603 Updated portfolio data from servicer

1000467 3/30/2011 $ (12) $ 6,817,591 

Updated due to quarterly assessment and 

reallocation

1000467 6/29/2011 $ (115) $ 6,817,476 

Updated due to quarterly assessment and 

reallocation

1000467 6/28/2012 $ (86) $ 6,817,390 

Updated due to quarterly assessment and 

reallocation

1000467 9/27/2012 $ (236) $ 6,817,154 

Updated due to quarterly assessment and 

reallocation

1000467 12/27/2012 $ (40) $ 6,817,114 

Updated due to quarterly assessment and 

reallocation

1000467 3/25/2013 $ (149) $ 6,816,965 

Updated due to quarterly assessment and 

reallocation

1000467 6/27/2013 $ (56) $ 6,816,909 

Updated due to quarterly assessment and 

reallocation

1000467 9/27/2013 $ (20) $ 6,816,889 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala FL Purchase Financial Instrument for Home Loan Modifications $ 250,000 N/A 10/2/2009 $ 60,000 $ 310,000 HPDP initial cap

1001029 12/30/2009 $ (80,000) $ 230,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001029 3/26/2010 $ 280,000 $ 510,000 Updated portfolio data from servicer

1001029 7/14/2010 $ (410,000) $ 100,000 Updated portfolio data from servicer

1001029 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001029 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001029 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001029 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001029 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Metropolitan National Bank Little Rock AR Purchase Financial Instrument for Home Loan Modifications $ 280,000 N/A 10/2/2009 $ 70,000 $ 350,000 HPDP initial cap

1000747 12/30/2009 $ 620,000 $ 970,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000747 3/26/2010 $ 100,000 $ 1,070,000 Updated portfolio data from servicer

1000747 7/14/2010 $ (670,000) $ 400,000 Updated portfolio data from servicer

1000747 9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer

1000747 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1000747 1/26/2011 $ (435,166) $ - Termination of SPA 

9/11/2009 Franklin Credit Management Corporation Jersey City NJ Purchase Financial Instrument for Home Loan Modifications $ 27,510,000 N/A 10/2/2009 $ 6,010,000 $ 33,520,000 HPDP initial cap

1000955 12/30/2009 $ (19,750,000) $ 13,770,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000955 3/26/2010 $ (4,780,000) $ 8,990,000 Updated portfolio data from servicer

1000955 7/14/2010 $ (2,390,000) $ 6,600,000 Updated portfolio data from servicer

1000955 9/30/2010 $ 2,973,670 $ 9,573,670 Updated portfolio data from servicer

1000955 1/6/2011 $ (3) $ 9,573,667 Updated portfolio data from servicer

1000955 2/16/2011 $ (1,800,000) $ 7,773,667 Transfer of cap due to servicing transfer
95

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1000955 3/30/2011 $ (6) $ 7,773,661 

Updated due to quarterly assessment and 

reallocation

1000955 6/29/2011 $ (61) $ 7,773,600 

Updated due to quarterly assessment and 

reallocation

1000955 10/14/2011 $ (100,000) $ 7,673,600 Transfer of cap due to servicing transfer

1000955 6/28/2012 $ (58) $ 7,673,542 

Updated due to quarterly assessment and 

reallocation

1000955 9/27/2012 $ (164) $ 7,673,378 

Updated due to quarterly assessment and 

reallocation

1000955 12/27/2012 $ (29) $ 7,673,349 

Updated due to quarterly assessment and 

reallocation

1000955 3/25/2013 $ (110) $ 7,673,239 

Updated due to quarterly assessment and 

reallocation

1000955 6/27/2013 $ (42) $ 7,673,197 

Updated due to quarterly assessment and 

reallocation

1000955 9/27/2013 $ (15) $ 7,673,182 

Updated due to quarterly assessment and 

reallocation

9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 10/2/2009 $ 90,000 $ 500,000 HPDP initial cap

1001037 12/30/2009 $ 1,460,000 $ 1,960,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001037 3/26/2010 $ 160,000 $ 2,120,000 Updated portfolio data from servicer

1001037 7/14/2010 $ (120,000) $ 2,000,000 Updated portfolio data from servicer

1001037 9/30/2010 $ (1,419,778) $ 580,222 Updated portfolio data from servicer

1001037 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001037 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001037 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001037 1/25/2012 $ (580,212) $ - Termination of SPA 

9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 4,390,000 N/A 10/2/2009 $ 960,000 $ 5,350,000 HPDP initial cap

1001184 12/30/2009 $ (3,090,000) $ 2,260,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001184 3/26/2010 $ 230,000 $ 2,490,000 Updated portfolio data from servicer

1001184 7/14/2010 $ 5,310,000 $ 7,800,000 Updated portfolio data from servicer

1001184 9/30/2010 $ 323,114 $ 8,123,114 Updated portfolio data from servicer

1001184 1/6/2011 $ (12) $ 8,123,102 Updated portfolio data from servicer

1001184 3/16/2011 $ 600,000 $ 8,723,102 Transfer of cap due to servicing transfer

1001184 3/30/2011 $ (16) $ 8,723,086 

Updated due to quarterly assessment and 

reallocation

1001184 4/13/2011 $ 200,000 $ 8,923,086 Transfer of cap due to servicing transfer

1001184 5/13/2011 $ 100,000 $ 9,023,086 Transfer of cap due to servicing transfer

1001184 6/29/2011 $ (153) $ 9,022,933 

Updated due to quarterly assessment and 

reallocation

1001184 9/15/2011 $ 100,000 $ 9,122,933 Transfer of cap due to servicing transfer

1001184 11/16/2011 $ 100,000 $ 9,222,933 Transfer of cap due to servicing transfer

1001184 4/16/2012 $ 1,100,000 $ 10,322,933 Transfer of cap due to servicing transfer

1001184 6/14/2012 $ 650,000 $ 10,972,933 Transfer of cap due to servicing transfer

1001184 6/28/2012 $ (136) $ 10,972,797 

Updated due to quarterly assessment and 

reallocation

1001184 9/27/2012 $ (347) $ 10,972,450 

Updated due to quarterly assessment and 

reallocation

1001184 10/16/2012 $ 250,000 $ 11,222,450 Transfer of cap due to servicing transfer

1001184 11/15/2012 $ 30,000 $ 11,252,450 Transfer of cap due to servicing transfer

1001184 12/14/2012 $ (10,000) $ 11,242,450 Transfer of cap due to servicing transfer

1001184 12/27/2012 $ (59) $ 11,242,391 

Updated due to quarterly assessment and 

reallocation

1001184 1/16/2013 $ 20,000 $ 11,262,391 Transfer of cap due to servicing transfer

1001184 2/14/2013 $ 290,000 $ 11,552,391 Transfer of cap due to servicing transfer

1001184 3/14/2013 $ 10,000 $ 11,562,391 Transfer of cap due to servicing transfer

1001184 3/25/2013 $ (220) $ 11,562,171 

Updated due to quarterly assessment and 

reallocation

1001184 4/16/2013 $ (60,000) $ 11,502,171 Transfer of cap due to servicing transfer

1001184 5/16/2013 $ 50,000 $ 11,552,171 Transfer of cap due to servicing transfer

1001184 6/14/2013 $ 10,000 $ 11,562,171 Transfer of cap due to servicing transfer

1001184 6/27/2013 $ (79) $ 11,562,092 

Updated due to quarterly assessment and 

reallocation

1001184 7/16/2013 $ (90,000) $ 11,472,092 Transfer of cap due to servicing transfer

1001184 9/16/2013 $ 310,000 $ 11,782,092 Transfer of cap due to servicing transfer

1001184 9/27/2013 $ (28) $ 11,782,064 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Schools Financial Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 390,000 N/A 10/2/2009 $ 90,000 $ 480,000 HPDP initial cap

1001045 12/30/2009 $ 940,000 $ 1,420,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001045 3/26/2010 $ (980,000) $ 440,000 Updated portfolio data from servicer

1001045 7/14/2010 $ (140,000) $ 300,000 Updated portfolio data from servicer

1001045 9/30/2010 $ 1,150,556 $ 1,450,556 Updated portfolio data from servicer

1001045 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001045 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1001045 6/29/2011 $ (22) $ 1,450,530 

Updated due to quarterly assessment and 

reallocation

1001045 6/28/2012 $ (16) $ 1,450,514 

Updated due to quarterly assessment and 

reallocation

1001045 9/27/2012 $ (44) $ 1,450,470 

Updated due to quarterly assessment and 

reallocation

1001045 12/27/2012 $ (7) $ 1,450,463 

Updated due to quarterly assessment and 

reallocation

1001045 3/25/2013 $ (28) $ 1,450,435 

Updated due to quarterly assessment and 

reallocation

1001045 6/27/2013 $ (11) $ 1,450,424 

Updated due to quarterly assessment and 

reallocation

1001045 9/27/2013 $ (4) $ 1,450,420 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Glass City Federal Credit Union Maumee OH Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 10/2/2009 $ 60,000 $ 290,000 HPDP initial cap

10716 12/30/2009 $ (10,000) $ 280,000 

Updated portfolio data from servicer & HAFA 

initial cap

10716 3/26/2010 $ 130,000 $ 410,000 Updated portfolio data from servicer

10716 7/14/2010 $ (110,000) $ 300,000 Updated portfolio data from servicer
96

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10716 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

10716 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

10716 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

10716 9/27/2012 $ (7) $ 290,099 

Updated due to quarterly assessment and 

reallocation

10716 12/27/2012 $ (1) $ 290,098 

Updated due to quarterly assessment and 

reallocation

10716 3/25/2013 $ (4) $ 290,094 

Updated due to quarterly assessment and 

reallocation

10716 6/27/2013 $ (2) $ 290,092 

Updated due to quarterly assessment and 

reallocation

10716 9/27/2013 $ (1) $ 290,091 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 10/2/2009 $ 10,000 $ 40,000 HPDP initial cap

10149 12/30/2009 $ 120,000 $ 160,000 

Updated portfolio data from servicer & HAFA 

initial cap

10149 3/26/2010 $ 10,000 $ 170,000 Updated portfolio data from servicer

10149 7/14/2010 $ (70,000) $ 100,000 Updated portfolio data from servicer

10149 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10149 10/29/2010 $ (145,056) $ - Termination of SPA 

9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 10/2/2009 $ 60,000 $ 300,000 HPDP initial cap

1001000 12/30/2009 $ 350,000 $ 650,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001000 3/26/2010 $ 1,360,000 $ 2,010,000 Updated portfolio data from servicer

1001000 7/14/2010 $ (1,810,000) $ 200,000 Updated portfolio data from servicer

1001000 9/30/2010 $ 235,167 $ 435,167 Updated portfolio data from servicer

1001000 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1001000 6/29/2011 $ (4) $ 435,162 

Updated due to quarterly assessment and 

reallocation

1001000 6/28/2012 $ (3) $ 435,159 

Updated due to quarterly assessment and 

reallocation

1001000 9/27/2012 $ (7) $ 435,152 

Updated due to quarterly assessment and 

reallocation

1001000 12/27/2012 $ (1) $ 435,151 

Updated due to quarterly assessment and 

reallocation

1001000 3/25/2013 $ (5) $ 435,146 

Updated due to quarterly assessment and 

reallocation

1001000 6/27/2013 $ (2) $ 435,144 

Updated due to quarterly assessment and 

reallocation

1001000 9/27/2013 $ (1) $ 435,143 

Updated due to quarterly assessment and 

reallocation

9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 10/2/2009 $ 100,000 $ 540,000 HPDP initial cap

1000924 12/30/2009 $ 20,000 $ 560,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000924 3/26/2010 $ (290,000) $ 270,000 Updated portfolio data from servicer

1000924 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

1000924 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

1000924 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000924 4/11/2012 $ (145,055) $ - Termination of SPA 

10/14/2009 Great Lakes Credit Union North Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 12/30/2009 $ 1,030,000 $ 1,600,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001122 3/26/2010 $ (880,000) $ 720,000 Updated portfolio data from servicer

1001122 7/14/2010 $ (320,000) $ 400,000 Updated portfolio data from servicer

1001122 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1001122 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001122 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001122 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001122 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

1001122 9/27/2012 $ (17) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1001122 12/27/2012 $ (3) $ 580,186 

Updated due to quarterly assessment and 

reallocation

1001122 3/25/2013 $ (11) $ 580,175 

Updated due to quarterly assessment and 

reallocation

1001122 6/27/2013 $ (4) $ 580,171 

Updated due to quarterly assessment and 

reallocation

1001122 9/27/2013 $ (1) $ 580,170 

Updated due to quarterly assessment and 

reallocation

10/14/2009 Mortgage Clearing Corporation Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 4,860,000 N/A 12/30/2009 $ (2,900,000) $ 1,960,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001180 3/26/2010 $ (1,600,000) $ 360,000 Updated portfolio data from servicer

1001180 7/14/2010 $ (260,000) $ 100,000 Updated portfolio data from servicer

1001180 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001180 3/9/2011 $ (145,056) $ - Termination of SPA 

10/21/2009 United Bank Mortgage Corporation Grand Rapids MI Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 1/22/2010 $ 20,000 $ 430,000 Updated HPDP cap & HAFA initial cap

1000073 3/26/2010 $ 400,000 $ 830,000 Updated portfolio data from servicer

1000073 7/14/2010 $ (430,000) $ 400,000 Updated portfolio data from servicer

1000073 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000073 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000073 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000073 6/29/2011 $ (5) $ 580,215 

Updated due to quarterly assessment and 

reallocation

1000073 6/28/2012 $ (4) $ 580,211 

Updated due to quarterly assessment and 

reallocation

1000073 9/27/2012 $ (11) $ 580,200 

Updated due to quarterly assessment and 

reallocation

1000073 12/27/2012 $ (2) $ 580,198 

Updated due to quarterly assessment and 

reallocation

1000073 3/25/2013 $ (7) $ 580,191 

Updated due to quarterly assessment and 

reallocation

1000073 6/27/2013 $ (2) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1000073 9/27/2013 $ (1) $ 580,188 

Updated due to quarterly assessment and 

reallocation

10/23/2009 Bank United Miami Lakes FL Purchase Financial Instrument for Home Loan Modifications $ 93,660,000 N/A 1/22/2010 $ 4,370,000 $ 98,030,000 Updated HPDP cap & HAFA initial cap

10048 3/26/2010 $ 23,880,000 $ 121,910,000 Updated portfolio data from servicer

10048 7/14/2010 $ (16,610,000) $ 105,300,000 Updated portfolio data from servicer
97

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10048 9/30/2010 $ 1,751,033 $ 107,051,033 Updated portfolio data from servicer

10048 1/6/2011 $ (77) $ 107,050,956 Updated portfolio data from servicer

10048 3/16/2011 $ (9,900,000) $ 97,150,956 Transfer of cap due to servicing transfer

10048 3/30/2011 $ (88) $ 97,150,868 

Updated due to quarterly assessment and 

reallocation

10048 6/29/2011 $ (773) $ 97,150,095 

Updated due to quarterly assessment and 

reallocation

10048 3/15/2012 $ (1,400,000) $ 95,750,095 Transfer of cap due to servicing transfer

10048 6/28/2012 $ (277) $ 95,749,818 

Updated due to quarterly assessment and 

reallocation

10048 9/27/2012 $ (549) $ 95,749,269 

Updated due to quarterly assessment and 

reallocation

10048 12/27/2012 $ (65) $ 95,749,204 

Updated due to quarterly assessment and 

reallocation

10048 2/14/2013 $ (2,670,000) $ 93,079,204 Transfer of cap due to servicing transfer

10048 3/25/2013 $ (142) $ 93,079,062 

Updated due to quarterly assessment and 

reallocation

10048 5/16/2013 $ (610,000) $ 92,469,062 Transfer of cap due to servicing transfer

10048 6/27/2013 $ (48) $ 92,469,014 

Updated due to quarterly assessment and 

reallocation

10048 9/16/2013 $ (40,000) $ 92,429,014 Transfer of cap due to servicing transfer

10048 9/27/2013 $ (14) $ 92,429,000 

Updated due to quarterly assessment and 

reallocation

10/23/2009 IC Federal Credit Union Fitchburg MA Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

1000740 3/26/2010 $ (760,000) $ 40,000 Updated portfolio data from servicer

1000740 5/12/2010 $ 2,630,000 $ 2,670,000 Updated portfolio data from servicer

1000740 7/14/2010 $ (770,000) $ 1,900,000 Updated portfolio data from servicer

1000740 9/30/2010 $ 565,945 $ 2,465,945 Updated portfolio data from servicer

1000740 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000740 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000740 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

1000740 6/28/2012 $ (29) $ 2,465,868 

Updated due to quarterly assessment and 

reallocation

1000740 9/27/2012 $ (80) $ 2,465,788 

Updated due to quarterly assessment and 

reallocation

1000740 12/27/2012 $ (14) $ 2,465,774 

Updated due to quarterly assessment and 

reallocation

1000740 3/25/2013 $ (52) $ 2,465,722 

Updated due to quarterly assessment and 

reallocation

1000740 6/27/2013 $ (19) $ 2,465,703 

Updated due to quarterly assessment and 

reallocation

1000740 9/27/2013 $ (7) $ 2,465,696 

Updated due to quarterly assessment and 

reallocation

10/28/2009 Harleysville National Bank & Trust Company Harleysville PA Purchase Financial Instrument for Home Loan Modifications $ 1,070,000 N/A 4/21/2010 $ (1,070,000) $ - Termination of SPA 

10/28/2009 Members Mortgage Company, Inc Woburn MA Purchase Financial Instrument for Home Loan Modifications $ 510,000 N/A 4/21/2010 $ (510,000) $ - Termination of SPA 

10/30/2009 DuPage Credit Union Naperville IL Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 1/22/2010 $ 10,000 $ 80,000 Updated HPDP cap & HAFA initial cap

1000585 3/26/2010 $ 10,000 $ 90,000 Updated portfolio data from servicer

1000585 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

1000585 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000585 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000585 9/27/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000585 3/25/2013 $ (1) $ 145,053 

Updated due to quarterly assessment and 

reallocation

11/6/2009 Los Alamos National Bank Los Alamos NM Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 40,000 $ 740,000 Updated HPDP cap & HAFA initial cap

1000676 3/26/2010 $ 50,000 $ 790,000 Updated portfolio data from servicer

1000676 7/14/2010 $ 1,310,000 $ 2,100,000 Updated portfolio data from servicer

1000676 9/30/2010 $ 75,834 $ 2,175,834 Updated portfolio data from servicer

1000676 1/6/2011 $ (3) $ 2,175,831 Updated portfolio data from servicer

1000676 3/30/2011 $ (4) $ 2,175,827 

Updated due to quarterly assessment and 

reallocation

1000676 6/29/2011 $ (35) $ 2,175,792 

Updated due to quarterly assessment and 

reallocation

1000676 6/28/2012 $ (26) $ 2,175,766 

Updated due to quarterly assessment and 

reallocation

1000676 9/27/2012 $ (70) $ 2,175,696 

Updated due to quarterly assessment and 

reallocation

1000676 12/27/2012 $ (12) $ 2,175,684 

Updated due to quarterly assessment and 

reallocation

1000676 3/25/2013 $ (45) $ 2,175,639 

Updated due to quarterly assessment and 

reallocation

1000676 6/27/2013 $ (17) $ 2,175,622 

Updated due to quarterly assessment and 

reallocation

1000676 9/27/2013 $ (6) $ 2,175,616 

Updated due to quarterly assessment and 

reallocation

11/18/2009 Quantum Servicing Corporation Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 18,960,000 N/A 1/22/2010 $ 890,000 $ 19,850,000 Updated HPDP cap & HAFA initial cap

1001271 3/26/2010 $ 3,840,000 $ 23,690,000 Updated portfolio data from servicer

1001271 7/14/2010 $ (2,890,000) $ 20,800,000 Updated portfolio data from servicer

1001271 9/30/2010 $ 9,661,676 $ 30,461,676 Updated portfolio data from servicer

1001271 1/6/2011 $ (46) $ 30,461,630 Updated portfolio data from servicer

1001271 1/13/2011 $ 1,600,000 $ 32,061,630 Transfer of cap due to servicing transfer

1001271 2/16/2011 $ 1,400,000 $ 33,461,630 Transfer of cap due to servicing transfer

1001271 3/30/2011 $ (58) $ 33,461,572 

Updated due to quarterly assessment and 

reallocation

1001271 4/13/2011 $ 100,000 $ 33,561,572 Transfer of cap due to servicing transfer

1001271 5/13/2011 $ 100,000 $ 33,661,572 Transfer of cap due to servicing transfer

1001271 6/16/2011 $ 800,000 $ 34,461,572 Transfer of cap due to servicing transfer

1001271 6/29/2011 $ (559) $ 34,461,013 

Updated due to quarterly assessment and 

reallocation

1001271 7/14/2011 $ 300,000 $ 34,761,013 Transfer of cap due to servicing transfer

1001271 8/16/2011 $ 200,000 $ 34,961,013 Transfer of cap due to servicing transfer

1001271 9/15/2011 $ 100,000 $ 35,061,013 Transfer of cap due to servicing transfer

1001271 1/13/2012 $ 100,000 $ 35,161,013 Transfer of cap due to servicing transfer

1001271 6/14/2012 $ 330,000 $ 35,491,013 Transfer of cap due to servicing transfer
98

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001271 6/28/2012 $ (428) $ 35,490,585 

Updated due to quarterly assessment and 

reallocation

1001271 9/27/2012 $ (1,184) $ 35,489,401 

Updated due to quarterly assessment and 

reallocation

1001271 10/16/2012 $ (1,910,000) $ 33,579,401 Transfer of cap due to servicing transfer

1001271 11/15/2012 $ (980,000) $ 32,599,401 Transfer of cap due to servicing transfer

1001271 12/27/2012 $ (187) $ 32,599,214 

Updated due to quarterly assessment and 

reallocation

1001271 3/25/2013 $ (707) $ 32,598,507 

Updated due to quarterly assessment and 

reallocation

1001271 4/16/2013 $ (240,000) $ 32,358,507 Transfer of cap due to servicing transfer

1001271 6/27/2013 $ (268) $ 32,358,239 

Updated due to quarterly assessment and 

reallocation

1001271 7/16/2013 $ 10,000 $ 32,368,239 Transfer of cap due to servicing transfer

1001271 9/27/2013 $ (96) $ 32,368,143 

Updated due to quarterly assessment and 

reallocation

11/18/2009 Hillsdale County National Bank Hillsdale MI Purchase Financial Instrument for Home Loan Modifications $ 1,670,000 N/A 1/22/2010 $ 80,000 $ 1,750,000 Updated HPDP cap & HAFA initial cap

1000443 3/26/2010 $ 330,000 $ 2,080,000 Updated portfolio data from servicer

1000443 7/14/2010 $ (1,080,000) $ 1,000,000 Updated portfolio data from servicer

1000443 9/30/2010 $ 160,445 $ 1,160,445 Updated portfolio data from servicer

1000443 1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

1000443 3/30/2011 $ (2) $ 1,160,442 

Updated due to quarterly assessment and 

reallocation

1000443 6/29/2011 $ (16) $ 1,160,426 

Updated due to quarterly assessment and 

reallocation

1000443 6/28/2012 $ (12) $ 1,160,414 

Updated due to quarterly assessment and 

reallocation

1000443 9/27/2012 $ (33) $ 1,160,381 

Updated due to quarterly assessment and 

reallocation

1000443 12/27/2012 $ (6) $ 1,160,375 

Updated due to quarterly assessment and 

reallocation

1000443 3/25/2013 $ (21) $ 1,160,354 

Updated due to quarterly assessment and 

reallocation

1000443 6/27/2013 $ (8) $ 1,160,346 

Updated due to quarterly assessment and 

reallocation

1000443 9/27/2013 $ (3) $ 1,160,343 

Updated due to quarterly assessment and 

reallocation

11/18/2009 QLending, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 20,000 N/A 3/26/2010 $ (10,000) $ 10,000 Updated portfolio data from servicer

1001304 7/14/2010 $ 90,000 $ 100,000 Updated portfolio data from servicer

1001304 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001304 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001304 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001304 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001304 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

11/25/2009 Marix Servicing, LLC Phoenix AZ Purchase Financial Instrument for Home Loan Modifications $ 20,360,000 N/A 1/22/2010 $ 950,000 $ 21,310,000 Updated HPDP cap & HAFA initial cap

10412 3/26/2010 $ (17,880,000) $ 3,430,000 Updated portfolio data from servicer

10412 6/16/2010 $ 1,030,000 $ 4,460,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

10412 7/14/2010 $ (1,160,000) $ 3,300,000 Updated portfolio data from servicer

10412 8/13/2010 $ 800,000 $ 4,100,000 Transfer of cap due to servicing transfer

10412 9/30/2010 $ 200,000 $ 4,300,000 Initial FHA-HAMP cap and initial RD-HAMP

10412 9/30/2010 $ 1,357,168 $ 5,657,168 Updated portfolio data from servicer

10412 1/6/2011 $ (1) $ 5,657,167 Updated portfolio data from servicer

10412 3/16/2011 $ 5,700,000 $ 11,357,167 Transfer of cap due to servicing transfer

10412 3/30/2011 $ (6) $ 11,357,161 

Updated due to quarterly assessment and 

reallocation

10412 4/13/2011 $ 7,300,000 $ 18,657,161 Transfer of cap due to servicing transfer

10412 5/13/2011 $ 300,000 $ 18,957,161 Transfer of cap due to servicing transfer

10412 6/16/2011 $ 900,000 $ 19,857,161 Transfer of cap due to servicing transfer

10412 6/29/2011 $ (154) $ 19,857,007 

Updated due to quarterly assessment and 

reallocation

10412 7/14/2011 $ 100,000 $ 19,957,007 Transfer of cap due to servicing transfer

10412 8/16/2011 $ 300,000 $ 20,257,007 Transfer of cap due to servicing transfer

10412 1/13/2012 $ (1,500,000) $ 18,757,007 Transfer of cap due to servicing transfer

10412 2/16/2012 $ (2,100,000) $ 16,657,007 Transfer of cap due to servicing transfer

10412 4/16/2012 $ (1,300,000) $ 15,357,007 Transfer of cap due to servicing transfer

10412 6/14/2012 $ (8,350,000) $ 7,007,007 Transfer of cap due to servicing transfer

10412 6/28/2012 $ (38) $ 7,006,969 

Updated due to quarterly assessment and 

reallocation

10412 8/16/2012 $ (90,000) $ 6,916,969 Transfer of cap due to servicing transfer

10412 9/27/2012 $ (103) $ 6,916,866 

Updated due to quarterly assessment and 

reallocation

10412 10/16/2012 $ (1,020,000) $ 5,896,866 Transfer of cap due to servicing transfer

10412 11/15/2012 $ 170,000 $ 6,066,866 Transfer of cap due to servicing transfer

10412 12/27/2012 $ (15) $ 6,066,851 

Updated due to quarterly assessment and 

reallocation

10412 2/14/2013 $ (100,000) $ 5,966,851 Transfer of cap due to servicing transfer

10412 3/14/2013 $ (490,000) $ 5,476,851 Transfer of cap due to servicing transfer

10412 3/25/2013 $ (61) $ 5,476,790 

Updated due to quarterly assessment and 

reallocation

10412 4/16/2013 $ (10,000) $ 5,466,790 Transfer of cap due to servicing transfer

10412 5/16/2013 $ (30,000) $ 5,436,790 Transfer of cap due to servicing transfer

10412 6/14/2013 $ (10,000) $ 5,426,790 Transfer of cap due to servicing transfer

10412 6/27/2013 $ (23) $ 5,426,767 

Updated due to quarterly assessment and 

reallocation

10412 7/16/2013 $ (20,000) $ 5,406,767 Transfer of cap due to servicing transfer

10412 9/27/2013 $ (8) $ 5,406,759 

Updated due to quarterly assessment and 

reallocation

11/25/2009 Home Financing Center, Inc Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 4/21/2010 $ (230,000) $ - Termination of SPA 

11/25/2009 First Keystone Bank Media PA Purchase Financial Instrument for Home Loan Modifications $ 1,280,000 N/A 1/22/2010 $ 50,000 $ 1,330,000 Updated HPDP cap & HAFA initial cap

10519 3/26/2010 $ 1,020,000 $ 2,350,000 Updated portfolio data from servicer
99

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10519 7/14/2010 $ (950,000) $ 1,400,000 Updated portfolio data from servicer

10519 9/30/2010 $ 50,556 $ 1,450,556 Updated portfolio data from servicer

10519 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

10519 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

10519 6/16/2011 $ (100,000) $ 1,350,552 Transfer of cap due to servicing transfer

10519 6/29/2011 $ (21) $ 1,350,531 

Updated due to quarterly assessment and 

reallocation

10519 12 7/22/2011 $ (1,335,614) $ 14,917 Termination of SPA 

12/4/2009 Community Bank & Trust Company Clarks Summit PA Purchase Financial Instrument for Home Loan Modifications $ 380,000 N/A 1/22/2010 $ 10,000 $ 390,000 Updated HPDP cap & HAFA initial cap

1000978 3/26/2010 $ 520,000 $ 910,000 Updated portfolio data from servicer

1000978 7/14/2010 $ (810,000) $ 100,000 Updated portfolio data from servicer

1000978 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000978 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000978 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000978 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1000978 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

12/4/2009 Idaho Housing and Finance Association Boise ID Purchase Financial Instrument for Home Loan Modifications $ 9,430,000 N/A 1/22/2010 $ 440,000 $ 9,870,000 Updated HPDP cap & HAFA initial cap

10223 3/26/2010 $ 14,480,000 $ 24,350,000 Updated portfolio data from servicer

10223 5/26/2010 $ (24,200,000) $ 150,000 Updated portfolio data from servicer

10223 7/14/2010 $ 150,000 $ 300,000 Updated portfolio data from servicer

10223 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

10223 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

10223 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

10223 9/27/2012 $ (6) $ 290,100 

Updated due to quarterly assessment and 

reallocation

10223 12/27/2012 $ (1) $ 290,099 

Updated due to quarterly assessment and 

reallocation

10223 3/25/2013 $ (3) $ 290,096 

Updated due to quarterly assessment and 

reallocation

10223 6/27/2013 $ (1) $ 290,095 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Spirit of Alaska Federal Credit Union Fairbanks AK Purchase Financial Instrument for Home Loan Modifications $ 360,000 N/A 1/22/2010 $ 10,000 $ 370,000 Updated HPDP cap & HAFA initial cap

1000475 3/26/2010 $ 850,000 $ 1,220,000 Updated portfolio data from servicer

1000475 7/14/2010 $ (120,000) $ 1,100,000 Updated portfolio data from servicer

1000475 9/30/2010 $ 100,000 $ 1,200,000 Initial FHA-HAMP cap

1000475 9/30/2010 $ 105,500 $ 1,305,500 Updated portfolio data from servicer

1000475 1/6/2011 $ (2) $ 1,305,498 Updated portfolio data from servicer

1000475 2/17/2011 $ (1,305,498) $ - Termination of SPA 

12/9/2009 American Eagle Federal Credit Union East Hartford CT Purchase Financial Instrument for Home Loan Modifications $ 1,590,000 N/A 1/22/2010 $ 70,000 $ 1,660,000 Updated HPDP cap & HAFA initial cap

1001228 3/26/2010 $ (290,000) $ 1,370,000 Updated portfolio data from servicer

1001228 7/14/2010 $ (570,000) $ 800,000 Updated portfolio data from servicer

1001228 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

1001228 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001228 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

1001228 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

1001228 1/25/2012 $ (870,319) $ - Termination of SPA 

12/9/2009 Silver State Schools Credit Union Las Vegas NV Purchase Financial Instrument for Home Loan Modifications $ 1,880,000 N/A 1/22/2010 $ 90,000 $ 1,970,000 Updated HPDP cap & HAFA initial cap

1001075 3/26/2010 $ 1,110,000 $ 3,080,000 Updated portfolio data from servicer

1001075 7/14/2010 $ (1,180,000) $ 1,900,000 Updated portfolio data from servicer

1001075 9/30/2010 $ 275,834 $ 2,175,834 Updated portfolio data from servicer

1001075 1/6/2011 $ (2) $ 2,175,832 Updated portfolio data from servicer

1001075 3/30/2011 $ (3) $ 2,175,829 

Updated due to quarterly assessment and 

reallocation

1001075 6/29/2011 $ (26) $ 2,175,803 

Updated due to quarterly assessment and 

reallocation

1001075 6/28/2012 $ (21) $ 2,175,782 

Updated due to quarterly assessment and 

reallocation

1001075 9/27/2012 $ (57) $ 2,175,725 

Updated due to quarterly assessment and 

reallocation

1001075 12/27/2012 $ (10) $ 2,175,715 

Updated due to quarterly assessment and 

reallocation

1001075 3/25/2013 $ (37) $ 2,175,678 

Updated due to quarterly assessment and 

reallocation

1001075 6/27/2013 $ (15) $ 2,175,663 

Updated due to quarterly assessment and 

reallocation

1001075 12 7/9/2013 $ (1,889,819) $ 285,844 Termination of SPA 

12/9/2009 Fidelity Homestead Savings Bank New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 2,940,000 N/A 1/22/2010 $ 140,000 $ 3,080,000 Updated HPDP cap & HAFA initial cap

1001269 3/26/2010 $ 6,300,000 $ 9,380,000 Updated portfolio data from servicer

1001269 7/14/2010 $ (1,980,000) $ 7,400,000 Updated portfolio data from servicer

1001269 9/30/2010 $ (6,384,611) $ 1,015,389 Updated portfolio data from servicer

1001269 1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

1001269 3/30/2011 $ (2) $ 1,015,386 

Updated due to quarterly assessment and 

reallocation

1001269 6/29/2011 $ (16) $ 1,015,370 

Updated due to quarterly assessment and 

reallocation

1001269 6/28/2012 $ (12) $ 1,015,358 

Updated due to quarterly assessment and 

reallocation

1001269 9/27/2012 $ (32) $ 1,015,326 

Updated due to quarterly assessment and 

reallocation

1001269 12/27/2012 $ (5) $ 1,015,321 

Updated due to quarterly assessment and 

reallocation

1001269 3/25/2013 $ (21) $ 1,015,300 

Updated due to quarterly assessment and 

reallocation

1001269 6/27/2013 $ (8) $ 1,015,292 

Updated due to quarterly assessment and 

reallocation

1001269 9/27/2013 $ (3) $ 1,015,289 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Bay Gulf Credit Union Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 1/22/2010 $ 10,000 $ 240,000 Updated HPDP cap & HAFA initial cap
100

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10141 3/26/2010 $ 440,000 $ 680,000 Updated portfolio data from servicer

10141 7/14/2010 $ (80,000) $ 600,000 Updated portfolio data from servicer

10141 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

10141 10/15/2010 $ (580,222) $ - Termination of SPA 

12/9/2009 The Golden 1 Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 6,160,000 N/A 1/22/2010 $ 290,000 $ 6,450,000 Updated HPDP cap & HAFA initial cap

1001226 3/26/2010 $ 40,000 $ 6,490,000 Updated portfolio data from servicer

1001226 7/14/2010 $ (2,890,000) $ 3,600,000 Updated portfolio data from servicer

1001226 9/30/2010 $ 606,612 $ 4,206,612 Updated portfolio data from servicer

1001226 1/6/2011 $ (4) $ 4,206,608 Updated portfolio data from servicer

1001226 3/30/2011 $ (4) $ 4,206,604 

Updated due to quarterly assessment and 

reallocation

1001226 6/29/2011 $ (35) $ 4,206,569 

Updated due to quarterly assessment and 

reallocation

1001226 6/28/2012 $ (9) $ 4,206,560 

Updated due to quarterly assessment and 

reallocation

1001226 9/27/2012 $ (14) $ 4,206,546 

Updated due to quarterly assessment and 

reallocation

1001226 12/27/2012 $ (2) $ 4,206,544 

Updated due to quarterly assessment and 

reallocation

1001226 3/25/2013 $ (8) $ 4,206,536 

Updated due to quarterly assessment and 

reallocation

1001226 6/27/2013 $ (4) $ 4,206,532 

Updated due to quarterly assessment and 

reallocation

1001226 9/27/2013 $ (1) $ 4,206,531 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Sterling Savings Bank Spokane WA Purchase Financial Instrument for Home Loan Modifications $ 2,250,000 N/A 1/22/2010 $ 100,000 $ 2,350,000 Updated HPDP cap & HAFA initial cap

1000638 3/26/2010 $ (740,000) $ 1,610,000 Updated portfolio data from servicer

1000638 7/14/2010 $ (710,000) $ 900,000 Updated portfolio data from servicer

1000638 9/30/2010 $ 550,556 $ 1,450,556 Updated portfolio data from servicer

1000638 1/6/2011 $ (1) $ 1,450,555 Updated portfolio data from servicer

techno 3/30/2011 $ (1) $ 1,450,554 

Updated due to quarterly assessment and 

reallocation

1000638 6/29/2011 $ (11) $ 1,450,543 

Updated due to quarterly assessment and 

reallocation

1000638 9/27/2012 $ 30,907 $ 1,481,450 

Updated due to quarterly assessment and 

reallocation

1000638 12/27/2012 $ 58,688 $ 1,540,138 

Updated due to quarterly assessment and 

reallocation

1000638 3/25/2013 $ 235,175 $ 1,775,313 

Updated due to quarterly assessment and 

reallocation

1000638 6/27/2013 $ 84,191 $ 1,859,504 

Updated due to quarterly assessment and 

reallocation

1000638 9/27/2013 $ 13,786 $ 1,873,290 

Updated due to quarterly assessment and 

reallocation

12/11/2009 HomeStar Bank & Financial Services Manteno IL Purchase Financial Instrument for Home Loan Modifications $ 310,000 N/A 1/22/2010 $ 20,000 $ 330,000 Updated HPDP cap & HAFA initial cap

10125 3/26/2010 $ 820,000 $ 1,150,000 Updated portfolio data from servicer

10125 7/14/2010 $ (350,000) $ 800,000 Updated portfolio data from servicer

10125 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

10125 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10125 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10125 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

10125 6/28/2012 $ (10) $ 870,309 

Updated due to quarterly assessment and 

reallocation

12 7/6/2012 $ (856,986) $ 13,323 Termination of SPA 

12/11/2009 Glenview State Bank Glenview IL Purchase Financial Instrument for Home Loan Modifications $ 370,000 N/A 1/22/2010 $ 20,000 $ 390,000 Updated HPDP cap & HAFA initial cap

1000558 3/26/2010 $ 1,250,000 $ 1,640,000 Updated portfolio data from servicer

1000558 5/26/2010 $ (1,640,000) $ - Termination of SPA 

12/11/2009 Verity Credit Union Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 1/22/2010 $ 30,000 $ 630,000 Updated HPDP cap & HAFA initial cap

10139 3/26/2010 $ 400,000 $ 1,030,000 Updated portfolio data from servicer

10139 7/14/2010 $ (330,000) $ 700,000 Updated portfolio data from servicer

10139 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

10139 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

10139 2/17/2011 $ (725,277) $ - Termination of SPA 

12/11/2009 Hartford Savings Bank Hartford WI Purchase Financial Instrument for Home Loan Modifications $ 630,000 N/A 1/22/2010 $ 30,000 $ 660,000 Updated HPDP cap & HAFA initial cap

1000753 3/26/2010 $ 800,000 $ 1,460,000 Updated portfolio data from servicer

1000753 7/14/2010 $ (360,000) $ 1,100,000 Updated portfolio data from servicer

1000753 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

1000753 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

1000753 3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

1000753 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

1000753 6/28/2012 $ (14) $ 1,160,409 

Updated due to quarterly assessment and 

reallocation

1000753 9/27/2012 $ (37) $ 1,160,372 

Updated due to quarterly assessment and 

reallocation

1000753 12/27/2012 $ (6) $ 1,160,366 

Updated due to quarterly assessment and 

reallocation

1000753 3/25/2013 $ (24) $ 1,160,342 

Updated due to quarterly assessment and 

reallocation

1000753 6/27/2013 $ (9) $ 1,160,333 

Updated due to quarterly assessment and 

reallocation

1000753 9/27/2013 $ (3) $ 1,160,330 

Updated due to quarterly assessment and 

reallocation

12/11/2009 The Bryn Mawr Trust Co. Bryn Mawr PA Purchase Financial Instrument for Home Loan Modifications $ 150,000 N/A 4/21/2010 $ (150,000) $ - Termination of SPA 

1000631 9 6/16/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

12/16/2009 Citizens First National Bank Spring Valley IL Purchase Financial Instrument for Home Loan Modifications $ 620,000 N/A 1/22/2010 $ 30,000 $ 650,000 Updated HPDP cap & HAFA initial cap

1000438 3/26/2010 $ (580,000) $ 70,000 Updated portfolio data from servicer

1000438 7/14/2010 $ 1,430,000 $ 1,500,000 Updated portfolio data from servicer

1000438 9/30/2010 $ 95,612 $ 1,595,612 Updated portfolio data from servicer

1000438 1/6/2011 $ (2) $ 1,595,610 Updated portfolio data from servicer
101

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1000438 3/30/2011 $ (3) $ 1,595,607 

Updated due to quarterly assessment and 

reallocation

1000438 6/29/2011 $ (24) $ 1,595,583 

Updated due to quarterly assessment and 

reallocation

1000438 6/28/2012 $ (16) $ 1,595,567 

Updated due to quarterly assessment and 

reallocation

1000438 9/27/2012 $ (45) $ 1,595,522 

Updated due to quarterly assessment and 

reallocation

1000438 12/27/2012 $ (8) $ 1,595,514 

Updated due to quarterly assessment and 

reallocation

1000438 3/25/2013 $ (30) $ 1,595,484 

Updated due to quarterly assessment and 

reallocation

1000438 6/27/2013 $ (11) $ 1,595,473 

Updated due to quarterly assessment and 

reallocation

1000438 9/27/2013 $ (4) $ 1,595,469 

Updated due to quarterly assessment and 

reallocation

12/16/2009 Golden Plains Credit Union Garden City KS Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 1/22/2010 $ 10,000 $ 180,000 Updated HPDP cap & HAFA initial cap

1001397 3/26/2010 $ 30,000 $ 210,000 Updated portfolio data from servicer

1001397 7/14/2010 $ (10,000) $ 200,000 Updated portfolio data from servicer

1001397 9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

1001397 2/17/2011 $ (290,111) $ - Termination of SPA 

12/16/2009 First Federal Savings and Loan Association of Lakewood Lakewood OH Purchase Financial Instrument for Home Loan Modifications $ 3,460,000 N/A 1/22/2010 $ 160,000 $ 3,620,000 Updated HPDP cap & HAFA initial cap

1000828 4/21/2010 $ (3,620,000) $ - Termination of SPA 

12/16/2009 Sound Community Bank Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 1/22/2010 $ 20,000 $ 460,000 Updated HPDP cap & HAFA initial cap

10524 3/26/2010 $ 1,430,000 $ 1,890,000 Updated portfolio data from servicer

10524 7/14/2010 $ (390,000) $ 1,500,000 Updated portfolio data from servicer

10524 9/8/2010 $ (1,500,000) $ - Termination of SPA 

12/16/2009 Horizon Bank, NA Michigan City IN Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 30,000 $ 730,000 Updated HPDP cap & HAFA initial cap

1000825 3/26/2010 $ 1,740,000 $ 2,470,000 Updated portfolio data from servicer

1000825 7/14/2010 $ (1,870,000) $ 600,000 Updated portfolio data from servicer

1000825 9/30/2010 $ 850,556 $ 1,450,556 Updated portfolio data from servicer

1000825 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1000825 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1000825 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

1000825 6/28/2012 $ (17) $ 1,450,512 

Updated due to quarterly assessment and 

reallocation

1000825 9/21/2012 $ (1,450,512) $ - Termination of SPA 

12/16/2009 Park View Federal Savings Bank Solon OH Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

10025 3/26/2010 $ 140,000 $ 940,000 Updated portfolio data from servicer

10025 7/14/2010 $ (140,000) $ 800,000 Updated portfolio data from servicer

10025 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

10025 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10025 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10025 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

10025 6/28/2012 $ (10) $ 870,310 

Updated due to quarterly assessment and 

reallocation

10025 12 9/14/2012 $ (816,373) $ 53,937 Termination of SPA 

12/23/2009 Iberiabank Sarasota FL Purchase Financial Instrument for Home Loan Modifications $ 4,230,000 N/A 1/22/2010 $ 200,000 $ 4,430,000 Updated HPDP cap & HAFA initial cap

1001411 3/26/2010 $ (1,470,000) $ 2,960,000 Updated portfolio data from servicer

1001411 7/14/2010 $ (1,560,000) $ 1,400,000 Updated portfolio data from servicer

1001411 9/30/2010 $ 5,852,780 $ 7,252,780 Updated portfolio data from servicer

1001411 1/6/2011 $ (11) $ 7,252,769 Updated portfolio data from servicer

1001411 3/30/2011 $ (13) $ 7,252,756 

Updated due to quarterly assessment and 

reallocation

1001411 4/13/2011 $ (300,000) $ 6,952,756 Transfer of cap due to servicing transfer

1001411 12 6/3/2011 $ (6,927,254) $ 25,502 Termination of SPA 

12/23/2009 Grafton Suburban Credit Union North Grafton MA Purchase Financial Instrument for Home Loan Modifications $ 340,000 N/A 1/22/2010 $ 20,000 $ 360,000 Updated HPDP cap & HAFA initial cap

1001192 3/26/2010 $ (320,000) $ 40,000 Updated portfolio data from servicer

1001192 7/14/2010 $ 760,000 $ 800,000 Updated portfolio data from servicer

1001192 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1001192 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1001192 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1001192 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1001192 1/25/2012 $ (725,265) $ - Termination of SPA 

12/23/2009 Eaton National Bank & Trust Company Eaton OH Purchase Financial Instrument for Home Loan Modifications $ 60,000 N/A 3/26/2010 $ 90,000 $ 150,000 Updated portfolio data from servicer

1001078 7/14/2010 $ 50,000 $ 200,000 Updated portfolio data from servicer

1001078 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

1001078 5/20/2011 $ (145,056) $ - Termination of SPA 

12/23/2009 Tempe Schools Credit Union Tempe AZ Purchase Financial Instrument for Home Loan Modifications $ 110,000 N/A 3/26/2010 $ (20,000) $ 90,000 Updated portfolio data from servicer

1000703 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

1000703 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000703 12/8/2010 $ (145,056) $ - Termination of SPA 

1/13/2010 Fresno County Federal Credit Union Fresno CA Purchase Financial Instrument for Home Loan Modifications $ 260,000 N/A 3/26/2010 $ 480,000 $ 740,000 Updated portfolio data from servicer

10507 7/14/2010 $ (140,000) $ 600,000 Updated portfolio data from servicer

10507 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

10507 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

10507 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

10507 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

10507 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation
102

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

12 7/6/2012 $ (555,252) $ 24,954 Termination of SPA 

1/13/2010 Roebling Bank Roebling NJ Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 3/26/2010 $ 610,000 $ 850,000 Updated portfolio data from servicer

1001235 7/14/2010 $ 50,000 $ 900,000 Updated portfolio data from servicer

1001235 9/30/2010 $ (29,666) $ 870,334 Updated portfolio data from servicer

1001235 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001235 3/23/2011 $ (870,333) $ - Termination of SPA 

1/13/2010 First National Bank of Grant Park Grant Park IL Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 3/26/2010 $ 150,000 $ 290,000 Updated portfolio data from servicer

1000901 7/14/2010 $ 10,000 $ 300,000 Updated portfolio data from servicer

1000901 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1000901 1/26/2011 $ (290,111) $ - Termination of SPA 

1/13/2010 Specialized Loan Servicing, LLC Highlands Ranch CO Purchase Financial Instrument for Home Loan Modifications $ 64,150,000 N/A 3/26/2010 $ (51,240,000) $ 12,910,000 Updated portfolio data from servicer

1000635 5/14/2010 $ 3,000,000 $ 15,910,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 6/16/2010 $ 4,860,000 $ 20,770,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 7/14/2010 $ 3,630,000 $ 24,400,000 Updated portfolio data from servicer

1000635 7/16/2010 $ 330,000 $ 24,730,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 8/13/2010 $ 700,000 $ 25,430,000 Transfer of cap due to servicing transfer

1000635 9/15/2010 $ 200,000 $ 25,630,000 Transfer of cap due to servicing transfer

1000635 9/30/2010 $ (1,695,826) $ 23,934,174 Updated portfolio data from servicer

1000635 11/16/2010 $ 200,000 $ 24,134,174 Transfer of cap due to servicing transfer

1000635 1/6/2011 $ (32) $ 24,134,142 Updated portfolio data from servicer

1000635 1/13/2011 $ 1,500,000 $ 25,634,142 Transfer of cap due to servicing transfer

1000635 3/16/2011 $ 7,100,000 $ 32,734,142 Transfer of cap due to servicing transfer

1000635 3/30/2011 $ (36) $ 32,734,106 

Updated due to quarterly assessment and 

reallocation

1000635 4/13/2011 $ 1,000,000 $ 33,734,106 Transfer of cap due to servicing transfer

1000635 5/13/2011 $ 100,000 $ 33,834,106 Transfer of cap due to servicing transfer

1000635 6/16/2011 $ 300,000 $ 34,134,106 Transfer of cap due to servicing transfer

1000635 6/29/2011 $ (332) $ 34,133,774 

Updated due to quarterly assessment and 

reallocation

1000635 8/16/2011 $ 100,000 $ 34,233,774 Transfer of cap due to servicing transfer

1000635 9/15/2011 $ 300,000 $ 34,533,774 Transfer of cap due to servicing transfer

1000635 10/14/2011 $ 300,000 $ 34,833,774 Transfer of cap due to servicing transfer

1000635 12/15/2011 $ (1,700,000) $ 33,133,774 Transfer of cap due to servicing transfer

1000635 1/13/2012 $ 1,600,000 $ 34,733,774 Transfer of cap due to servicing transfer

1000635 2/16/2012 $ 100,000 $ 34,833,774 Transfer of cap due to servicing transfer

1000635 3/15/2012 $ 100,000 $ 34,933,774 Transfer of cap due to servicing transfer

1000635 4/16/2012 $ 77,600,000 $ 112,533,774 Transfer of cap due to servicing transfer

1000635 5/16/2012 $ 40,000 $ 112,573,774 Transfer of cap due to servicing transfer

1000635 6/14/2012 $ (350,000) $ 112,223,774 Transfer of cap due to servicing transfer

1000635 6/28/2012 $ (1,058) $ 112,222,716 

Updated due to quarterly assessment and 

reallocation

1000635 7/16/2012 $ 4,430,000 $ 116,652,716 Transfer of cap due to servicing transfer

1000635 8/16/2012 $ (1,280,000) $ 115,372,716 Transfer of cap due to servicing transfer

1000635 9/27/2012 $ (3,061) $ 115,369,655 

Updated due to quarterly assessment and 

reallocation

1000635 10/16/2012 $ 5,600,000 $ 120,969,655 Transfer of cap due to servicing transfer

1000635 11/15/2012 $ 880,000 $ 121,849,655 Transfer of cap due to servicing transfer

1000635 12/14/2012 $ 24,180,000 $ 146,029,655 Transfer of cap due to servicing transfer

1000635 12/27/2012 $ (663) $ 146,028,992 

Updated due to quarterly assessment and 

reallocation

1000635 1/16/2013 $ 2,410,000 $ 148,438,992 Transfer of cap due to servicing transfer

1000635 2/14/2013 $ 6,650,000 $ 155,088,992 Transfer of cap due to servicing transfer

1000635 3/14/2013 $ (1,450,000) $ 153,638,992 Transfer of cap due to servicing transfer

1000635 3/25/2013 $ (2,584) $ 153,636,408 

Updated due to quarterly assessment and 

reallocation

1000635 4/16/2013 $ (750,000) $ 152,886,408 Transfer of cap due to servicing transfer

1000635 5/16/2013 $ (1,250,000) $ 151,636,408 Transfer of cap due to servicing transfer

1000635 6/14/2013 $ 3,670,000 $ 155,306,408 Transfer of cap due to servicing transfer

1000635 6/27/2013 $ (985) $ 155,305,423 

Updated due to quarterly assessment and 

reallocation

1000635 7/16/2013 $ (3,720,000) $ 151,585,423 Transfer of cap due to servicing transfer

1000635 9/16/2013 $ (180,000) $ 151,405,423 Transfer of cap due to servicing transfer

1000635 9/27/2013 $ (346) $ 151,405,077 

Updated due to quarterly assessment and 

reallocation

1/13/2010 Greater Nevada Mortgage Services Carson City NV Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 3/26/2010 $ 8,680,000 $ 9,450,000 Updated portfolio data from servicer

10517 7/14/2010 $ (8,750,000) $ 700,000 Updated portfolio data from servicer

10517 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

10517 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10517 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10517 6/29/2011 $ (8) $ 870,324 

Updated due to quarterly assessment and 

reallocation

10517 6/28/2012 $ (4) $ 870,320 

Updated due to quarterly assessment and 

reallocation

10517 9/27/2012 $ (10) $ 870,310 

Updated due to quarterly assessment and 

reallocation

10517 12/27/2012 $ (2) $ 870,308 

Updated due to quarterly assessment and 

reallocation

10517 3/25/2013 $ (7) $ 870,301 

Updated due to quarterly assessment and 

reallocation

10517 6/27/2013 $ (2) $ 870,299 

Updated due to quarterly assessment and 

reallocation

10517 9/27/2013 $ (1) $ 870,298 

Updated due to quarterly assessment and 

reallocation
103

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1/15/2010 Digital Federal Credit Union Marlborough MA Purchase Financial Instrument for Home Loan Modifications $ 3,050,000 N/A 3/26/2010 $ 12,190,000 $ 15,240,000 Updated portfolio data from servicer

10416 5/14/2010 $ (15,240,000) $ - Termination of SPA 

1/29/2010 iServe Residential Lending, LLC San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 960,000 N/A 3/26/2010 $ (730,000) $ 230,000 Updated portfolio data from servicer

1001415 7/14/2010 $ 370,000 $ 600,000 Updated portfolio data from servicer

1001415 9/30/2010 $ 200,000 $ 800,000 Initial FHA-HAMP cap and initial 2MP cap

1001415 9/30/2010 $ (364,833) $ 435,167 Updated portfolio data from servicer

1001415 11/16/2010 $ 100,000 $ 535,167 Transfer of cap due to servicing transfer

1001415 1/6/2011 $ (1) $ 535,166 Updated portfolio data from servicer

1001415 3/30/2011 $ (1) $ 535,165 

Updated due to quarterly assessment and 

reallocation

1001415 6/29/2011 $ (7) $ 535,158 

Updated due to quarterly assessment and 

reallocation

1001415 6/28/2012 $ (6) $ 535,152 

Updated due to quarterly assessment and 

reallocation

1001415 9/27/2012 $ (15) $ 535,137 

Updated due to quarterly assessment and 

reallocation

1001415 12/27/2012 $ (3) $ 535,134 

Updated due to quarterly assessment and 

reallocation

1001415 3/25/2013 $ (10) $ 535,124 

Updated due to quarterly assessment and 

reallocation

1001415 6/27/2013 $ (4) $ 535,120 

Updated due to quarterly assessment and 

reallocation

1001415 9/27/2013 $ (1) $ 535,119 

Updated due to quarterly assessment and 

reallocation

1/29/2010 United Bank Griffin GA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 3/26/2010 $ 160,000 $ 700,000 Updated portfolio data from servicer

1000893 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1000893 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000893 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000893 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1000893 6/28/2012 $ (8) $ 725,257 

Updated due to quarterly assessment and 

reallocation

1000893 9/27/2012 $ (22) $ 725,235 

Updated due to quarterly assessment and 

reallocation

1000893 12/27/2012 $ (4) $ 725,231 

Updated due to quarterly assessment and 

reallocation

1000893 3/25/2013 $ (14) $ 725,217 

Updated due to quarterly assessment and 

reallocation

1000893 6/27/2013 $ (5) $ 725,212 

Updated due to quarterly assessment and 

reallocation

1000893 9/27/2013 $ (2) $ 725,210 

Updated due to quarterly assessment and 

reallocation

3/3/2010 Urban Trust Bank Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,060,000 N/A 7/14/2010 $ 4,440,000 $ 5,500,000 Updated portfolio data from servicer

1001435 9/24/2010 $ (5,500,000) $ - Termination of SPA 

3/5/2010 iServe Servicing, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 28,040,000 N/A 5/26/2010 $ 120,000 $ 28,160,000 Initial 2MP cap

1001384 7/14/2010 $ (12,660,000) $ 15,500,000 Updated portfolio data from servicer

1001384 9/30/2010 $ 100,000 $ 15,600,000 Initial FHA-HAMP cap

1001384 9/30/2010 $ (3,125,218) $ 12,474,782 Updated portfolio data from servicer

1001384 11/16/2010 $ 800,000 $ 13,274,782 Transfer of cap due to servicing transfer

1001384 1/6/2011 $ (20) $ 13,274,762 Updated portfolio data from servicer

1001384 3/30/2011 $ (24) $ 13,274,738 

Updated due to quarterly assessment and 

reallocation

1001384 6/29/2011 $ (221) $ 13,274,517 

Updated due to quarterly assessment and 

reallocation

1001384 6/28/2012 $ (169) $ 13,274,348 

Updated due to quarterly assessment and 

reallocation

1001384 9/27/2012 $ (465) $ 13,273,883 

Updated due to quarterly assessment and 

reallocation

1001384 12/27/2012 $ (78) $ 13,273,805 

Updated due to quarterly assessment and 

reallocation

1001384 3/25/2013 $ (297) $ 13,273,508 

Updated due to quarterly assessment and 

reallocation

1001384 6/27/2013 $ (112) $ 13,273,396 

Updated due to quarterly assessment and 

reallocation

1001384 7/16/2013 $ (10,000) $ 13,263,396 Transfer of cap due to servicing transfer

1001384 9/27/2013 $ (40) $ 13,263,356 

Updated due to quarterly assessment and 

reallocation

3/10/2010 Navy Federal Credit Union Vienna VA Purchase Financial Instrument for Home Loan Modifications $ 60,780,000 N/A 7/14/2010 $ (44,880,000) $ 15,900,000 Updated portfolio data from servicer

1000494 9/30/2010 $ 1,071,505 $ 16,971,505 Updated portfolio data from servicer

1000494 1/6/2011 $ (23) $ 16,971,482 Updated portfolio data from servicer

1000494 3/30/2011 $ (26) $ 16,971,456 

Updated due to quarterly assessment and 

reallocation

1000494 6/29/2011 $ (238) $ 16,971,218 

Updated due to quarterly assessment and 

reallocation

1000494 6/28/2012 $ (145) $ 16,971,073 

Updated due to quarterly assessment and 

reallocation

1000494 9/27/2012 $ (374) $ 16,970,699 

Updated due to quarterly assessment and 

reallocation

1000494 12/27/2012 $ (58) $ 16,970,641 

Updated due to quarterly assessment and 

reallocation

1000494 3/25/2013 $ (199) $ 16,970,442 

Updated due to quarterly assessment and 

reallocation

1000494 6/27/2013 $ (68) $ 16,970,374 

Updated due to quarterly assessment and 

reallocation

1000494 9/27/2013 $ (22) $ 16,970,352 

Updated due to quarterly assessment and 

reallocation

3/10/2010 VIST Financial Corp Wyomissing PA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 400,000 $ 700,000 Updated portfolio data from servicer

1000468 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1000468 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000468 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000468 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1000468 6/28/2012 $ (8) $ 725,257 

Updated due to quarterly assessment and 

reallocation

1000468 9/27/2012 $ (22) $ 725,235 

Updated due to quarterly assessment and 

reallocation

1000468 12/27/2012 $ (4) $ 725,231 

Updated due to quarterly assessment and 

reallocation

1000468 3/25/2013 $ (14) $ 725,217 

Updated due to quarterly assessment and 

reallocation

1000468 6/27/2013 $ (5) $ 725,212 

Updated due to quarterly assessment and 

reallocation

1000468 9/27/2013 $ (2) $ 725,210 

Updated due to quarterly assessment and 

reallocation

4/14/2010 Midwest Bank and Trust Co. Elmwood Park IL Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 300,000 $ 600,000 Updated portfolio data from servicer

1001521 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer
104

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001521 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001521 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001521 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001521 7/14/2011 $ (580,212) $ - Termination of SPA 

4/14/2010 Wealthbridge Mortgage Corp Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 6,550,000 N/A 7/14/2010 $ (150,000) $ 6,400,000 Updated portfolio data from servicer

1000657 9/15/2010 $ 1,600,000 $ 8,000,000 Transfer of cap due to servicing transfer

1000657 9/30/2010 $ (4,352,173) $ 3,647,827 Updated portfolio data from servicer

1000657 1/6/2011 $ (5) $ 3,647,822 Updated portfolio data from servicer

1000657 3/30/2011 $ (6) $ 3,647,816 

Updated due to quarterly assessment and 

reallocation

1000657 4/13/2011 $ (3,000,000) $ 647,816 Transfer of cap due to servicing transfer

1000657 6/29/2011 $ (9) $ 647,807 

Updated due to quarterly assessment and 

reallocation

1000657 6/28/2012 $ (7) $ 647,800 

Updated due to quarterly assessment and 

reallocation

1000657 9/27/2012 $ (19) $ 647,781 

Updated due to quarterly assessment and 

reallocation

1000657 12/27/2012 $ (3) $ 647,778 

Updated due to quarterly assessment and 

reallocation

1000657 3/25/2013 $ (12) $ 647,766 

Updated due to quarterly assessment and 

reallocation

1000657 6/27/2013 $ (5) $ 647,761 

Updated due to quarterly assessment and 

reallocation

1000657 9/27/2013 $ (2) $ 647,759 

Updated due to quarterly assessment and 

reallocation

5/21/2010 Aurora Financial Group, Inc. Marlton NJ Purchase Financial Instrument for Home Loan Modifications $ 10,000 N/A 4, 8 5/26/2010 $ 30,000 $ 40,000 Updated FHA-HAMP cap

10425 9/30/2010 $ 250,111 $ 290,111 Updated portfolio data from servicer

10425 6/29/2011 $ 59,889 $ 350,000 

Updated due to quarterly assessment and 

reallocation

10425 6/28/2012 $ (2) $ 349,998 

Updated due to quarterly assessment and 

reallocation

10425 9/27/2012 $ (5) $ 349,993 

Updated due to quarterly assessment and 

reallocation

10425 12/27/2012 $ (1) $ 349,992 

Updated due to quarterly assessment and 

reallocation

10425 3/25/2013 $ (3) $ 349,989 

Updated due to quarterly assessment and 

reallocation

10425 6/27/2013 $ (1) $ 349,988 

Updated due to quarterly assessment and 

reallocation

6/16/2010 Selene Finance LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 6/16/2010 $ 3,680,000 $ 3,680,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1001460 8/13/2010 $ 3,300,000 $ 6,980,000 Transfer of cap due to servicing transfer

1001460 9/30/2010 $ 3,043,831 $ 10,023,831 Updated portfolio data from servicer

1001460 10/15/2010 $ 1,400,000 $ 11,423,831 Transfer of cap due to servicing transfer

1001460 1/6/2011 $ (17) $ 11,423,814 Updated portfolio data from servicer

1001460 3/16/2011 $ 2,100,000 $ 13,523,814 Transfer of cap due to servicing transfer

1001460 3/30/2011 $ (24) $ 13,523,790 

Updated due to quarterly assessment and 

reallocation

1001460 4/13/2011 $ 2,900,000 $ 16,423,790 Transfer of cap due to servicing transfer

1001460 6/16/2011 $ (200,000) $ 16,223,790 Transfer of cap due to servicing transfer

1001460 6/29/2011 $ (273) $ 16,223,517 

Updated due to quarterly assessment and 

reallocation

1001460 10/14/2011 $ 100,000 $ 16,323,517 Transfer of cap due to servicing transfer

1001460 11/16/2011 $ 1,100,000 $ 17,423,517 Transfer of cap due to servicing transfer

1001460 4/16/2012 $ 200,000 $ 17,623,517 Transfer of cap due to servicing transfer

1001460 5/16/2012 $ 10,000 $ 17,633,517 Transfer of cap due to servicing transfer

1001460 6/14/2012 $ (300,000) $ 17,333,517 Transfer of cap due to servicing transfer

1001460 6/28/2012 $ (218) $ 17,333,299 

Updated due to quarterly assessment and 

reallocation

1001460 7/16/2012 $ 40,000 $ 17,373,299 Transfer of cap due to servicing transfer

1001460 8/16/2012 $ 480,000 $ 17,853,299 Transfer of cap due to servicing transfer

1001460 9/27/2012 $ (600) $ 17,852,699 

Updated due to quarterly assessment and 

reallocation

1001460 11/15/2012 $ 70,000 $ 17,922,699 Transfer of cap due to servicing transfer

1001460 12/27/2012 $ (102) $ 17,922,597 

Updated due to quarterly assessment and 

reallocation

1001460 3/14/2013 $ 90,000 $ 18,012,597 Transfer of cap due to servicing transfer

1001460 3/25/2013 $ (384) $ 18,012,213 

Updated due to quarterly assessment and 

reallocation

1001460 5/16/2013 $ (30,000) $ 17,982,213 Transfer of cap due to servicing transfer

1001460 6/27/2013 $ (146) $ 17,982,067 

Updated due to quarterly assessment and 

reallocation

1001460 7/16/2013 $ 170,000 $ 18,152,067 Transfer of cap due to servicing transfer

1001460 9/27/2013 $ (52) $ 18,152,015 

Updated due to quarterly assessment and 

reallocation

8/4/2010 Suburban Mortgage Company of New Mexico Albuquerque NM Purchase Financial Instrument for Home Loan Modifications $ 880,000 N/A 9/30/2010 $ 1,585,945 $ 2,465,945 Updated portfolio data from servicer

1000602 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000602 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000602 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

1000602 6/28/2012 $ (30) $ 2,465,867 

Updated due to quarterly assessment and 

reallocation

1000602 8/10/2012 $ (2,465,867) $ - Termination of SPA 

8/20/2010 Bramble Savings Bank Cincinanati OH Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 9/30/2010 $ 1,040,667 $ 1,740,667 Updated portfolio data from servicer

1001708 1/6/2011 $ (2) $ 1,740,665 Updated portfolio data from servicer

1001708 3/30/2011 $ (3) $ 1,740,662 

Updated due to quarterly assessment and 

reallocation

1001708 6/29/2011 $ (28) $ 1,740,634 

Updated due to quarterly assessment and 

reallocation

1001708 8/10/2011 $ (1,740,634) $ - Termination of SPA 

8/25/2010 Pathfinder Bank Oswego NY Purchase Financial Instrument for Home Loan Modifications $ 1,300,000 N/A 9/30/2010 $ 2,181,334 $ 3,481,334 Updated portfolio data from servicer

1001240 1/6/2011 $ (5) $ 3,481,329 Updated portfolio data from servicer

1001240 3/30/2011 $ (6) $ 3,481,323 

Updated due to quarterly assessment and 

reallocation

1001240 6/29/2011 $ (58) $ 3,481,265 

Updated due to quarterly assessment and 

reallocation
105

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001240 6/28/2012 $ (43) $ 3,481,222 

Updated due to quarterly assessment and 

reallocation

1001240 9/27/2012 $ (119) $ 3,481,103 

Updated due to quarterly assessment and 

reallocation

1001240 12/27/2012 $ (20) $ 3,481,083 

Updated due to quarterly assessment and 

reallocation

1001240 3/25/2013 $ (76) $ 3,481,007 

Updated due to quarterly assessment and 

reallocation

1001240 6/27/2013 $ (29) $ 3,480,978 

Updated due to quarterly assessment and 

reallocation

1001240 9/27/2013 $ (10) $ 3,480,968 

Updated due to quarterly assessment and 

reallocation

8/27/2010 First Financial Bank, N.A. Terre Haute ID Purchase Financial Instrument for Home Loan Modifications $ 4,300,000 N/A 9/30/2010 $ 7,014,337 $ 11,314,337 Updated portfolio data from servicer

1000951 1/6/2011 $ (17) $ 11,314,320 Updated portfolio data from servicer

1000951 3/30/2011 $ (20) $ 11,314,300 

Updated due to quarterly assessment and 

reallocation

1000951 6/29/2011 $ (192) $ 11,314,108 

Updated due to quarterly assessment and 

reallocation

1000951 6/28/2012 $ (144) $ 11,313,964 

Updated due to quarterly assessment and 

reallocation

1000951 9/27/2012 $ (396) $ 11,313,568 

Updated due to quarterly assessment and 

reallocation

1000951 12/27/2012 $ (67) $ 11,313,501 

Updated due to quarterly assessment and 

reallocation

1000951 3/25/2013 $ (253) $ 11,313,248 

Updated due to quarterly assessment and 

reallocation

1000951 6/27/2013 $ (95) $ 11,313,153 

Updated due to quarterly assessment and 

reallocation

1000951 9/27/2013 $ (34) $ 11,313,119 

Updated due to quarterly assessment and 

reallocation

9/1/2010 RBC Bank (USA) Raleigh NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001421 1/6/2011 $ 34,944 $ 180,000 Updated portfolio data from servicer

1001421 3/30/2011 $ 40,000 $ 220,000 

Updated due to quarterly assessment and 

reallocation

1001421 6/29/2011 $ 50,000 $ 270,000 

Updated due to quarterly assessment and 

reallocation

1001421 3/15/2012 $ (200,000) $ 70,000 Transfer of cap due to servicing transfer

1001421 6/14/2012 $ (10,000) $ 60,000 Transfer of cap due to servicing transfer

1001421 15 4/9/2013 $ (60,000) $ - Termination of SPA 

9/3/2010 Fay Servicing, LLC Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 3,100,000 N/A 9/30/2010 $ 5,168,169 $ 8,268,169 Updated portfolio data from servicer

1001727 1/6/2011 $ (12) $ 8,268,157 Updated portfolio data from servicer

1001727 3/30/2011 $ (15) $ 8,268,142 

Updated due to quarterly assessment and 

reallocation

1001727 4/13/2011 $ 400,000 $ 8,668,142 Transfer of cap due to servicing transfer

1001727 6/29/2011 $ (143) $ 8,667,999 

Updated due to quarterly assessment and 

reallocation

1001727 9/15/2011 $ 700,000 $ 9,367,999 Transfer of cap due to servicing transfer

1001727 10/14/2011 $ 100,000 $ 9,467,999 Transfer of cap due to servicing transfer

1001727 11/16/2011 $ 200,000 $ 9,667,999 Transfer of cap due to servicing transfer

1001727 12/15/2011 $ 1,700,000 $ 11,367,999 Transfer of cap due to servicing transfer

1001727 4/16/2012 $ 1,600,000 $ 12,967,999 Transfer of cap due to servicing transfer

1001727 5/16/2012 $ 40,000 $ 13,007,999 Transfer of cap due to servicing transfer

1001727 6/14/2012 $ (210,000) $ 12,797,999 Transfer of cap due to servicing transfer

1001727 6/28/2012 $ (105) $ 12,797,894 

Updated due to quarterly assessment and 

reallocation

1001727 7/16/2012 $ 50,000 $ 12,847,894 Transfer of cap due to servicing transfer

1001727 8/16/2012 $ 90,000 $ 12,937,894 Transfer of cap due to servicing transfer

1001727 9/27/2012 $ (294) $ 12,937,600 

Updated due to quarterly assessment and 

reallocation

1001727 10/16/2012 $ 1,810,000 $ 14,747,600 Transfer of cap due to servicing transfer

1001727 12/27/2012 $ (61) $ 14,747,539 

Updated due to quarterly assessment and 

reallocation

1001727 1/16/2013 $ 30,000 $ 14,777,539 Transfer of cap due to servicing transfer

1001727 2/14/2013 $ (590,000) $ 14,187,539 Transfer of cap due to servicing transfer

1001727 3/14/2013 $ (80,000) $ 14,107,539 Transfer of cap due to servicing transfer

1001727 3/25/2013 $ (214) $ 14,107,325 

Updated due to quarterly assessment and 

reallocation

1001727 4/16/2013 $ 200,000 $ 14,307,325 Transfer of cap due to servicing transfer

1001727 5/16/2013 $ 3,710,000 $ 18,017,325 Transfer of cap due to servicing transfer

1001727 6/14/2013 $ 1,760,000 $ 19,777,325 Transfer of cap due to servicing transfer

1001727 6/27/2013 $ (86) $ 19,777,239 

Updated due to quarterly assessment and 

reallocation

1001727 7/16/2013 $ 6,650,000 $ 26,427,239 Transfer of cap due to servicing transfer

1001727 8/15/2013 $ 20,000 $ 26,447,239 Transfer of cap due to servicing transfer

1001727 9/16/2013 $ 4,840,000 $ 31,287,239 Transfer of cap due to servicing transfer

1001727 9/27/2013 $ (54) $ 31,287,185 

Updated due to quarterly assessment and 

reallocation

9/15/2010 Caliber Home Loans, Inc (Vericrest Financial, Inc.) Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2010 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer

1001557 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1001557 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001557 2/16/2011 $ 3,000,000 $ 4,450,554 Transfer of cap due to servicing transfer

1001557 3/16/2011 $ 10,200,000 $ 14,650,554 Transfer of cap due to servicing transfer

1001557 3/30/2011 $ (24) $ 14,650,530 

Updated due to quarterly assessment and 

reallocation

1001557 6/29/2011 $ (227) $ 14,650,303 

Updated due to quarterly assessment and 

reallocation

1001557 7/14/2011 $ 12,000,000 $ 26,650,303 Transfer of cap due to servicing transfer

1001557 12/15/2011 $ 4,100,000 $ 30,750,303 Transfer of cap due to servicing transfer

1001557 1/13/2012 $ 900,000 $ 31,650,303 Transfer of cap due to servicing transfer

1001557 4/16/2012 $ 300,000 $ 31,950,303 Transfer of cap due to servicing transfer

1001557 6/28/2012 $ (266) $ 31,950,037 

Updated due to quarterly assessment and 

reallocation

1001557 9/27/2012 $ (689) $ 31,949,348 

Updated due to quarterly assessment and 

reallocation

1001557 11/15/2012 $ 720,000 $ 32,669,348 Transfer of cap due to servicing transfer
106

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001557 12/27/2012 $ (114) $ 32,669,234 

Updated due to quarterly assessment and 

reallocation

1001557 1/16/2013 $ 8,020,000 $ 40,689,234 Transfer of cap due to servicing transfer

1001557 3/25/2013 $ (591) $ 40,688,643 

Updated due to quarterly assessment and 

reallocation

1001557 5/16/2013 $ (40,000) $ 40,648,643 Transfer of cap due to servicing transfer

1001557 6/27/2013 $ (223) $ 40,648,420 

Updated due to quarterly assessment and 

reallocation

1001557 9/27/2013 $ (80) $ 40,648,340 

Updated due to quarterly assessment and 

reallocation

9/15/2010 Midwest Community Bank Freeport IL Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000879 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000879 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000879 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1000879 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

1000879 9/27/2012 $ (17) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1000879 12/27/2012 $ (3) $ 580,186 

Updated due to quarterly assessment and 

reallocation

1000879 3/25/2013 $ (11) $ 580,175 

Updated due to quarterly assessment and 

reallocation

1000879 6/27/2013 $ (4) $ 580,171 

Updated due to quarterly assessment and 

reallocation

1000879 9/27/2013 $ (1) $ 580,170 

Updated due to quarterly assessment and 

reallocation

9/24/2010 American Finance House LARIBA Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000704 2/2/2011 $ (145,056) $ - Termination of SPA 

9/24/2010 Centrue Bank Ottawa IL Purchase Financial Instrument for Home Loan Modifications $ 1,900,000 N/A 9/30/2010 $ 856,056 $ 2,756,056 Updated portfolio data from servicer

10204 1/6/2011 $ (4) $ 2,756,052 Updated portfolio data from servicer

10204 3/9/2011 $ (2,756,052) $ - Termination of SPA 

9/30/2010 AgFirst Farm Credit Bank Columbia SC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001220 3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Amarillo National Bank Amarillo TX Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000478 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000478 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000478 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1000478 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 American Financial Resources Inc. Parsippany NJ Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001726 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001726 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001726 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001726 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Banco Popular de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4, 5, 8 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1000509 1/6/2011 $ (3) $ 2,465,942 Updated portfolio data from servicer

1000509 3/30/2011 $ (4) $ 2,465,938 

Updated due to quarterly assessment and 

reallocation

1000509 6/29/2011 $ (36) $ 2,465,902 

Updated due to quarterly assessment and 

reallocation

1000509 6/28/2012 $ (30) $ 2,465,872 

Updated due to quarterly assessment and 

reallocation

1000509 9/27/2012 $ (83) $ 2,465,789 

Updated due to quarterly assessment and 

reallocation

1000509 12/27/2012 $ (14) $ 2,465,775 

Updated due to quarterly assessment and 

reallocation

1000509 3/25/2013 $ (53) $ 2,465,722 

Updated due to quarterly assessment and 

reallocation

1000509 6/27/2013 $ (20) $ 2,465,702 

Updated due to quarterly assessment and 

reallocation

1000509 9/16/2013 $ 460,000 $ 2,925,702 Transfer of cap due to servicing transfer

1000509 9/27/2013 $ (7) $ 2,925,695 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Capital International Financial, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001930 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001930 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001930 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001930 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/24/2010 Citizens Community Bank Freeburg IL Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

1001848 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

1001848 3/23/2011 $ (1,160,443) $ - Termination of SPA 

9/30/2010 Community Credit Union of Florida Rockledge FL Purchase Financial Instrument for Home Loan Modifications $ 2,000,000 N/A 6 9/30/2010 $ 901,112 $ 2,901,112 Updated portfolio data from servicer

8 1/6/2011 $ (4) $ 2,901,108 Updated portfolio data from servicer

8 3/30/2011 $ (5) $ 2,901,103 

Updated due to quarterly assessment and 

reallocation

8 6/29/2011 $ (48) $ 2,901,055 

Updated due to quarterly assessment and 

reallocation

8 6/28/2012 $ (36) $ 2,901,019 

Updated due to quarterly assessment and 

reallocation

8 12 9/14/2012 $ (2,888,387) $ 12,632 Termination of SPA 

9/30/2010 CU Mortgage Services, Inc. New Brighton MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10616 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10616 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10616 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

10616 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Federal Bank of Florida Lake City FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10364 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10364 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10364 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation
107

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10364 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Mortgage Corporation Diamond Bar CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10253 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10253 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10253 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

10253 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Safety Bank Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000487 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000487 3/23/2011 $ (580,221) $ - Termination of SPA 

9/30/2010 Flagstar Capital Markets Corporation Troy MI Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 7, 8 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

10228 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

10228 3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

10228 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

10228 6/28/2012 $ (14) $ 1,160,409 

Updated due to quarterly assessment and 

reallocation

10228 9/27/2012 $ (37) $ 1,160,372 

Updated due to quarterly assessment and 

reallocation

10228 12/27/2012 $ (6) $ 1,160,366 

Updated due to quarterly assessment and 

reallocation

10228 3/25/2013 $ (24) $ 1,160,342 

Updated due to quarterly assessment and 

reallocation

10228 6/27/2013 $ (9) $ 1,160,333 

Updated due to quarterly assessment and 

reallocation

10228 9/27/2013 $ (3) $ 1,160,330 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Franklin Savings Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1000773 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000773 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000773 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

1000773 6/28/2012 $ (30) $ 2,465,867 

Updated due to quarterly assessment and 

reallocation

1000773 9/27/2012 $ (83) $ 2,465,784 

Updated due to quarterly assessment and 

reallocation

1000773 12/27/2012 $ (14) $ 2,465,770 

Updated due to quarterly assessment and 

reallocation

1000773 3/25/2013 $ (53) $ 2,465,717 

Updated due to quarterly assessment and 

reallocation

1000773 6/14/2013 $ (10,000) $ 2,455,717 Transfer of cap due to servicing transfer

1000773 6/27/2013 $ (20) $ 2,455,697 

Updated due to quarterly assessment and 

reallocation

1000773 9/27/2013 $ (7) $ 2,455,690 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Gateway Mortgage Group, LLC Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001744 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001744 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001744 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001744 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 GFA Federal Credit Union Gardner MA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001637 3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Guaranty Bank Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10350 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10350 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10350 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

10350 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/24/2010 James B. Nutter & Company Kansas City MO Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 4, 8 9/30/2010 $ 135,167 $ 435,167 Updated portfolio data from servicer

1000492 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1000492 3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

1000492 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

1000492 6/28/2012 $ (4) $ 435,155 

Updated due to quarterly assessment and 

reallocation

1000492 9/27/2012 $ (12) $ 435,143 

Updated due to quarterly assessment and 

reallocation

1000492 12/27/2012 $ (2) $ 435,141 

Updated due to quarterly assessment and 

reallocation

1000492 3/25/2013 $ (8) $ 435,133 

Updated due to quarterly assessment and 

reallocation

1000492 6/27/2013 $ (3) $ 435,130 

Updated due to quarterly assessment and 

reallocation

1000492 9/27/2013 $ (1) $ 435,129 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Liberty Bank and Trust Co New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 1,000,000 N/A 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1001010 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001010 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1001010 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

1001010 6/28/2012 $ (17) $ 1,450,512 

Updated due to quarterly assessment and 

reallocation

1001010 9/27/2012 $ (48) $ 1,450,464 

Updated due to quarterly assessment and 

reallocation

1001010 12/27/2012 $ (8) $ 1,450,456 

Updated due to quarterly assessment and 

reallocation

1001010 3/25/2013 $ (30) $ 1,450,426 

Updated due to quarterly assessment and 

reallocation

1001010 6/27/2013 $ (11) $ 1,450,415 

Updated due to quarterly assessment and 

reallocation

1001010 9/27/2013 $ (4) $ 1,450,411 

Updated due to quarterly assessment and 

reallocation

9/30/2010 M&T Bank Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 4, 8 9/30/2010 $ 315,389 $ 1,015,389 Updated portfolio data from servicer

10529 1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

10529 3/30/2011 $ (1) $ 1,015,387 

Updated due to quarterly assessment and 

reallocation

10529 6/29/2011 $ (11) $ 1,015,376 

Updated due to quarterly assessment and 

reallocation

10529 6/28/2012 $ (11) $ 1,015,365 

Updated due to quarterly assessment and 

reallocation
108

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

10529 9/27/2012 $ (30) $ 1,015,335 

Updated due to quarterly assessment and 

reallocation

10529 12/27/2012 $ (5) $ 1,015,330 

Updated due to quarterly assessment and 

reallocation

10529 3/25/2013 $ (20) $ 1,015,310 

Updated due to quarterly assessment and 

reallocation

10529 6/27/2013 $ (7) $ 1,015,303 

Updated due to quarterly assessment and 

reallocation

10529 9/27/2013 $ (3) $ 1,015,300 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Magna Bank Germantown TN Purchase Financial Instrument for Home Loan Modifications $ 1,400,000 N/A 5 9/30/2010 $ 630,778 $ 2,030,778 Updated portfolio data from servicer

1000645 1/6/2011 $ (3) $ 2,030,775 Updated portfolio data from servicer

1000645 3/30/2011 $ (3) $ 2,030,772 

Updated due to quarterly assessment and 

reallocation

1000645 6/29/2011 $ (33) $ 2,030,739 

Updated due to quarterly assessment and 

reallocation

1000645 6/28/2012 $ (25) $ 2,030,714 

Updated due to quarterly assessment and 

reallocation

1000645 9/27/2012 $ (68) $ 2,030,646 

Updated due to quarterly assessment and 

reallocation

1000645 12/27/2012 $ (11) $ 2,030,635 

Updated due to quarterly assessment and 

reallocation

1000645 3/25/2013 $ (44) $ 2,030,591 

Updated due to quarterly assessment and 

reallocation

1000645 6/27/2013 $ (16) $ 2,030,575 

Updated due to quarterly assessment and 

reallocation

1000645 9/27/2013 $ (6) $ 2,030,569 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Mainstreet Credit Union Lexena KS Purchase Financial Instrument for Home Loan Modifications $ 500,000 N/A 9/30/2010 $ 225,278 $ 725,278 Updated portfolio data from servicer

1001636 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1001636 3/9/2011 $ (725,277) $ - Termination of SPA 

9/30/2010 Marsh Associates, Inc. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001907 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001907 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001907 9/27/2012 $ (1) $ 145,053 

Updated due to quarterly assessment and 

reallocation

1001907 3/25/2013 $ (1) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Midland Mortgage Company Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ 43,500,000 N/A 4, 5 9/30/2010 $ 49,915,806 $ 93,415,806 Updated portfolio data from servicer

10457 1/6/2011 $ (125) $ 93,415,681 Updated portfolio data from servicer

10457 3/30/2011 $ (139) $ 93,415,542 

Updated due to quarterly assessment and 

reallocation

10457 6/29/2011 $ (1,223) $ 93,414,319 

Updated due to quarterly assessment and 

reallocation

10457 6/28/2012 $ (797) $ 93,413,522 

Updated due to quarterly assessment and 

reallocation

10457 7/16/2012 $ 294,540,000 $ 387,953,522 Transfer of cap due to servicing transfer

10457 7/27/2012 $ (263,550,000) $ 124,403,522 Transfer of cap due to servicing transfer

10457 9/27/2012 $ (3,170) $ 124,400,352 

Updated due to quarterly assessment and 

reallocation

10457 12/27/2012 $ (507) $ 124,399,845 

Updated due to quarterly assessment and 

reallocation

10457 3/25/2013 $ (1,729) $ 124,398,116 

Updated due to quarterly assessment and 

reallocation

10457 6/27/2013 $ (593) $ 124,397,523 

Updated due to quarterly assessment and 

reallocation

10457 9/27/2013 $ (199) $ 124,397,324 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001163 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001163 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001163 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001163 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Stockman Bank of Montana Miles City MT Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000818 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000818 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000818 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1000818 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

9/30/2010 University First Federal Credit Union Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1001721 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001721 2/17/2011 $ (870,333) $ - Termination of SPA 

9/30/2010 Weststar Mortgage, Inc. Woodbridge VA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001893 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001893 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001893 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

1001893 3/25/2013 $ (1) $ 145,051 

Updated due to quarterly assessment and 

reallocation

12/15/2010 Statebridge Company, LLC Denver CO Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 5,000,000 $ 5,000,000 Updated portfolio data from servicer

1001754 1/6/2011 $ (7) $ 4,999,993 Updated portfolio data from servicer

1001754 2/16/2011 $ 500,000 $ 5,499,993 Transfer of cap due to servicing transfer

1001754 3/16/2011 $ 100,000 $ 5,599,993 Transfer of cap due to servicing transfer

1001754 3/30/2011 $ (9) $ 5,599,984 

Updated due to quarterly assessment and 

reallocation

1001754 6/29/2011 $ (85) $ 5,599,899 

Updated due to quarterly assessment and 

reallocation

1001754 11/16/2011 $ (2,500,000) $ 3,099,899 Transfer of cap due to servicing transfer

1001754 3/15/2012 $ 200,000 $ 3,299,899 Transfer of cap due to servicing transfer

1001754 6/28/2012 $ (40) $ 3,299,859 

Updated due to quarterly assessment and 

reallocation

1001754 9/27/2012 $ (100) $ 3,299,759 

Updated due to quarterly assessment and 

reallocation

1001754 10/16/2012 $ 170,000 $ 3,469,759 Transfer of cap due to servicing transfer

1001754 11/15/2012 $ (30,000) $ 3,439,759 Transfer of cap due to servicing transfer

1001754 12/14/2012 $ (80,000) $ 3,359,759 Transfer of cap due to servicing transfer

1001754 12/27/2012 $ (17) $ 3,359,742 

Updated due to quarterly assessment and 

reallocation
109

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1001754 1/16/2013 $ 50,000 $ 3,409,742 Transfer of cap due to servicing transfer

1001754 2/14/2013 $ 1,240,000 $ 4,649,742 Transfer of cap due to servicing transfer

1001754 3/14/2013 $ 90,000 $ 4,739,742 Transfer of cap due to servicing transfer

1001754 3/25/2013 $ (90) $ 4,739,652 

Updated due to quarterly assessment and 

reallocation

1001754 4/16/2013 $ (10,000) $ 4,729,652 Transfer of cap due to servicing transfer

1001754 6/27/2013 $ (34) $ 4,729,618 

Updated due to quarterly assessment and 

reallocation

1001754 9/27/2013 $ (13) $ 4,729,605 

Updated due to quarterly assessment and 

reallocation

12/15/2010 Scotiabank de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 4,300,000 $ 4,300,000 Updated portfolio data from servicer

1000991 1/6/2011 $ (4) $ 4,299,996 Updated portfolio data from servicer

1000991 6/29/2011 $ (5) $ 4,299,991 

Updated due to quarterly assessment and 

reallocation

1000991 6/28/2012 $ (23) $ 4,299,968 

Updated due to quarterly assessment and 

reallocation

1000991 9/27/2012 $ (63) $ 4,299,905 

Updated due to quarterly assessment and 

reallocation

1000991 12/27/2012 $ (11) $ 4,299,894 

Updated due to quarterly assessment and 

reallocation

1000991 3/25/2013 $ (41) $ 4,299,853 

Updated due to quarterly assessment and 

reallocation

1000991 6/27/2013 $ (16) $ 4,299,837 

Updated due to quarterly assessment and 

reallocation

1000991 9/27/2013 $ (6) $ 4,299,831 

Updated due to quarterly assessment and 

reallocation

4/13/2011 New York Community Bank (AmTrust Bank) Cleveland OH Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

10151 5/13/2011 $ 100,000 $ 300,000 Transfer of cap due to servicing transfer

10151 6/16/2011 $ 300,000 $ 600,000 Transfer of cap due to servicing transfer

10151 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

10151 8/16/2011 $ 200,000 $ 799,991 Transfer of cap due to servicing transfer

10151 6/28/2012 $ (7) $ 799,984 

Updated due to quarterly assessment and 

reallocation

10151 9/27/2012 $ (19) $ 799,965 

Updated due to quarterly assessment and 

reallocation

10151 12/27/2012 $ (3) $ 799,962 

Updated due to quarterly assessment and 

reallocation

10151 3/25/2013 $ (12) $ 799,950 

Updated due to quarterly assessment and 

reallocation

10151 6/27/2013 $ (5) $ 799,945 

Updated due to quarterly assessment and 

reallocation

10151 7/16/2013 $ 150,000 $ 949,945 Transfer of cap due to servicing transfer

10151 9/27/2013 $ (2) $ 949,943 

Updated due to quarterly assessment and 

reallocation

4/13/2011 SunTrust Mortgage, Inc. Richmond VA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

10012 6/14/2013 $ 120,000 $ 220,000 Transfer of cap due to servicing transfer

10012 6/27/2013 $ (1) $ 219,999 

Updated due to quarterly assessment and 

reallocation

10012 7/16/2013 $ 10,000 $ 229,999 Transfer of cap due to servicing transfer

4/13/2011 Urban Partnership Bank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer

1001970 6/29/2011 $ 233,268 $ 1,233,268 

Updated due to quarterly assessment and 

reallocation

1001970 11/16/2011 $ 100,000 $ 1,333,268 Transfer of cap due to servicing transfer

1001970 6/28/2012 $ (3) $ 1,333,265 

Updated due to quarterly assessment and 

reallocation

1001970 9/27/2012 $ (10) $ 1,333,255 

Updated due to quarterly assessment and 

reallocation

1001970 12/27/2012 $ (2) $ 1,333,253 

Updated due to quarterly assessment and 

reallocation

1001970 3/25/2013 $ (7) $ 1,333,246 

Updated due to quarterly assessment and 

reallocation

1001970 6/27/2013 $ (3) $ 1,333,243 

Updated due to quarterly assessment and 

reallocation

1001970 9/27/2013 $ (1) $ 1,333,242 

Updated due to quarterly assessment and 

reallocation

4/13/2011 Western Federal Credit Union Hawthorne CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1001231 6/29/2011 $ 17,687 $ 217,687 

Updated due to quarterly assessment and 

reallocation

1001231 9/27/2012 $ (1) $ 217,686 

Updated due to quarterly assessment and 

reallocation

1001231 3/25/2013 $ (1) $ 217,685 

Updated due to quarterly assessment and 

reallocation

5/13/2011 FCI Lender Services, Inc. Anaheim Hills CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 5/13/2011 $ 500,000 $ 500,000 Transfer of cap due to servicing transfer

1002025 6/16/2011 $ 100,000 $ 600,000 Transfer of cap due to servicing transfer

1002025 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

1002025 7/14/2011 $ 200,000 $ 799,991 Transfer of cap due to servicing transfer

1002025 9/15/2011 $ 100,000 $ 899,991 Transfer of cap due to servicing transfer

1002025 11/16/2011 $ 2,500,000 $ 3,399,991 Transfer of cap due to servicing transfer

1002025 5/16/2012 $ 1,510,000 $ 4,909,991 Transfer of cap due to servicing transfer

1002025 6/14/2012 $ 450,000 $ 5,359,991 Transfer of cap due to servicing transfer

1002025 6/28/2012 $ (66) $ 5,359,925 

Updated due to quarterly assessment and 

reallocation

1002025 7/16/2012 $ 250,000 $ 5,609,925 Transfer of cap due to servicing transfer

1002025 8/16/2012 $ 90,000 $ 5,699,925 Transfer of cap due to servicing transfer

1002025 9/27/2012 $ (191) $ 5,699,734 

Updated due to quarterly assessment and 

reallocation

1002025 10/16/2012 $ 140,000 $ 5,839,734 Transfer of cap due to servicing transfer

1002025 11/15/2012 $ 70,000 $ 5,909,734 Transfer of cap due to servicing transfer

1002025 12/14/2012 $ 40,000 $ 5,949,734 Transfer of cap due to servicing transfer

1002025 12/27/2012 $ (34) $ 5,949,700 

Updated due to quarterly assessment and 

reallocation

1002025 1/16/2013 $ 40,000 $ 5,989,700 Transfer of cap due to servicing transfer

1002025 2/14/2013 $ 50,000 $ 6,039,700 Transfer of cap due to servicing transfer

1002025 3/14/2013 $ 360,000 $ 6,399,700 Transfer of cap due to servicing transfer

1002025 3/25/2013 $ (135) $ 6,399,565 

Updated due to quarterly assessment and 

reallocation

1002025 4/16/2013 $ (10,000) $ 6,389,565 Transfer of cap due to servicing transfer
110

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1002025 5/16/2013 $ 40,000 $ 6,429,565 Transfer of cap due to servicing transfer

1002025 6/14/2013 $ 200,000 $ 6,629,565 Transfer of cap due to servicing transfer

1002025 6/27/2013 $ (53) $ 6,629,512 

Updated due to quarterly assessment and 

reallocation

1002025 7/16/2013 $ 20,000 $ 6,649,512 Transfer of cap due to servicing transfer

1002025 9/27/2013 $ (19) $ 6,649,493 

Updated due to quarterly assessment and 

reallocation

7/14/2011 Gregory Funding, LLC Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 7/14/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1002041 11/16/2011 $ 900,000 $ 1,100,000 Transfer of cap due to servicing transfer

1002041 1/13/2012 $ 100,000 $ 1,200,000 Transfer of cap due to servicing transfer

1002041 6/28/2012 $ (9) $ 1,199,991 

Updated due to quarterly assessment and 

reallocation

1002041 8/16/2012 $ 20,000 $ 1,219,991 Transfer of cap due to servicing transfer

1002041 9/27/2012 $ (26) $ 1,219,965 

Updated due to quarterly assessment and 

reallocation

1002041 10/16/2012 $ 50,000 $ 1,269,965 Transfer of cap due to servicing transfer

1002041 12/14/2012 $ 10,000 $ 1,279,965 Transfer of cap due to servicing transfer

1002041 12/27/2012 $ (5) $ 1,279,960 

Updated due to quarterly assessment and 

reallocation

1002041 1/16/2013 $ 130,000 $ 1,409,960 Transfer of cap due to servicing transfer

1002041 2/14/2013 $ 120,000 $ 1,529,960 Transfer of cap due to servicing transfer

1002041 3/25/2013 $ (20) $ 1,529,940 

Updated due to quarterly assessment and 

reallocation

1002041 5/16/2013 $ 80,000 $ 1,609,940 Transfer of cap due to servicing transfer

1002041 6/14/2013 $ 420,000 $ 2,029,940 Transfer of cap due to servicing transfer

1002041 6/27/2013 $ (10) $ 2,029,930 

Updated due to quarterly assessment and 

reallocation

1002041 9/27/2013 $ (4) $ 2,029,926 

Updated due to quarterly assessment and 

reallocation

9/15/2011 Bangor Savings Bank Bangor ME Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

9/15/2011 PHH Mortgage Corporation Mt. Laurel NJ Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2011 $ 1,300,000 $ 1,300,000 Transfer of cap due to servicing transfer

10107 6/28/2012 $ (15) $ 1,299,985 

Updated due to quarterly assessment and 

reallocation

10107 9/27/2012 $ (42) $ 1,299,943 

Updated due to quarterly assessment and 

reallocation

10107 10/16/2012 $ 140,000 $ 1,439,943 Transfer of cap due to servicing transfer

10107 12/27/2012 $ (8) $ 1,439,935 

Updated due to quarterly assessment and 

reallocation

10107 3/25/2013 $ (30) $ 1,439,905 

Updated due to quarterly assessment and 

reallocation

10107 6/27/2013 $ (11) $ 1,439,894 

Updated due to quarterly assessment and 

reallocation

10107 7/16/2013 $ 5,850,000 $ 7,289,894 Transfer of cap due to servicing transfer

10107 9/27/2013 $ (20) $ 7,289,874 

Updated due to quarterly assessment and 

reallocation

12/15/2011 Rushmore Loan Management Services LLC Irvine CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1002097 4/16/2012 $ 600,000 $ 800,000 Transfer of cap due to servicing transfer

1002097 6/28/2012 $ (3) $ 799,997 

Updated due to quarterly assessment and 

reallocation

1002097 8/16/2012 $ 110,000 $ 909,997 Transfer of cap due to servicing transfer

1002097 9/27/2012 $ (13) $ 909,984 

Updated due to quarterly assessment and 

reallocation

1002097 10/16/2012 $ 1,270,000 $ 2,179,984 Transfer of cap due to servicing transfer

1002097 11/15/2012 $ 230,000 $ 2,409,984 Transfer of cap due to servicing transfer

1002097 12/27/2012 $ (5) $ 2,409,979 

Updated due to quarterly assessment and 

reallocation

1002097 1/16/2013 $ 990,000 $ 3,399,979 Transfer of cap due to servicing transfer

1002097 2/14/2013 $ 600,000 $ 3,999,979 Transfer of cap due to servicing transfer

1002097 3/14/2013 $ 1,980,000 $ 5,979,979 Transfer of cap due to servicing transfer

1002097 3/25/2013 $ (77) $ 5,979,902 

Updated due to quarterly assessment and 

reallocation

1002097 4/16/2013 $ 340,000 $ 6,319,902 Transfer of cap due to servicing transfer

1002097 5/16/2013 $ 1,520,000 $ 7,839,902 Transfer of cap due to servicing transfer

1002097 6/14/2013 $ 2,740,000 $ 10,579,902 Transfer of cap due to servicing transfer

1002097 6/27/2013 $ (53) $ 10,579,849 

Updated due to quarterly assessment and 

reallocation

1002097 9/16/2013 $ 2,570,000 $ 13,149,849 Transfer of cap due to servicing transfer

1002097 9/27/2013 $ (26) $ 13,149,823 

Updated due to quarterly assessment and 

reallocation

1/13/2012 Sun West Mortgage Company, Inc Cerritos CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1/13/2012 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

3/15/2012 PrimeWest Mortgage Corporation Lubbock TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 3/15/2012 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

6/14/2012 Resurgent Capital Solutions, LP Greenville SC Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 6/14/2012 $ 940,000 $ 940,000 Transfer of cap due to servicing transfer

1001111 6/28/2012 $ 205,242 $ 1,145,242 

Updated due to quarterly assessment and 

reallocation

1001111 9/27/2012 $ (3) $ 1,145,239 

Updated due to quarterly assessment and 

reallocation

1001111 12/27/2012 $ (1) $ 1,145,238 

Updated due to quarterly assessment and 

reallocation

1001111 1/16/2013 $ 10,000 $ 1,155,238 Transfer of cap due to servicing transfer

1001111 2/14/2013 $ 8,690,000 $ 9,845,238 Transfer of cap due to servicing transfer

1001111 3/14/2013 $ 1,390,000 $ 11,235,238 Transfer of cap due to servicing transfer

1001111 3/25/2013 $ (219) $ 11,235,019 

Updated due to quarterly assessment and 

reallocation

1001111 5/16/2013 $ 620,000 $ 11,855,019 Transfer of cap due to servicing transfer

1001111 6/14/2013 $ 990,000 $ 12,845,019 Transfer of cap due to servicing transfer

1001111 6/27/2013 $ (96) $ 12,844,923 

Updated due to quarterly assessment and 

reallocation

1001111 7/16/2013 $ 5,780,000 $ 18,624,923 Transfer of cap due to servicing transfer

1001111 9/27/2013 $ (50) $ 18,624,873 

Updated due to quarterly assessment and 

reallocation

11/15/2012 Kondaur Capital Corporation Orange CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 11/15/2012 $ 30,000 $ 30,000 Transfer of cap due to servicing transfer

1002292 12/14/2012 $ 70,000 $ 100,000 Transfer of cap due to servicing transfer
111

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1002292 1/16/2013 $ (10,000) $ 90,000 Transfer of cap due to servicing transfer

1002292 2/14/2013 $ (10,000) $ 80,000 Transfer of cap due to servicing transfer

1002292 4/16/2013 $ (10,000) $ 70,000 Transfer of cap due to servicing transfer

1002292 5/16/2013 $ 130,000 $ 200,000 Transfer of cap due to servicing transfer

1002292 6/14/2013 $ (50,000) $ 150,000 Transfer of cap due to servicing transfer

1002292 7/16/2013 $ (20,000) $ 130,000 Transfer of cap due to servicing transfer

12/14/2012 Quicken Loans Inc Detroit MI Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/14/2012 $ 10,000 $ 10,000 Transfer of cap due to servicing transfer

1001579 8/15/2013 $ 10,000 $ 20,000 Transfer of cap due to servicing transfer

2/14/2013 Home Servicing, LLC Baton Rouge LA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 2/14/2013 $ 510,000 $ 510,000 Transfer of cap due to servicing transfer

1002324 3/25/2013 $ (9) $ 509,991 

Updated due to quarterly assessment and 

reallocation
112

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Pricing 

Mechanism Note

Adjustment Details

1002324 4/16/2013 $ 200,000 $ 709,991 Transfer of cap due to servicing transfer

1002324 5/16/2013 $ 40,000 $ 749,991 Transfer of cap due to servicing transfer

1002324 6/27/2013 $ (4) $ 749,987 

Updated due to quarterly assessment and 

reallocation

1002324 7/16/2013 $ (120,000) $ 629,987 Transfer of cap due to servicing transfer

1002324 9/27/2013 $ (2) $ 629,985 

Updated due to quarterly assessment and 

reallocation

3/14/2013 21st Mortgage Corporation Knoxville TN Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 3/14/2013 $ 130,000 $ 130,000 Transfer of cap due to servicing transfer

1002367 3/25/2013 $ (1) $ 129,999 

Updated due to quarterly assessment and 

reallocation

5/16/2013 ViewPoint Bank Plano TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 5/16/2013 $ 50,000 $ 50,000 Transfer of cap due to servicing transfer

6/14/2013 Cheviot Savings Bank Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 6/14/2013 $ 10,000 $ 10,000 Transfer of cap due to servicing transfer

1002040 6/27/2013 $ 1,344 $ 11,344 

Updated due to quarterly assessment and 

reallocation

7/16/2013 Everbank Jacksonville FL Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 7/16/2013 $ 60,000 $ 60,000 Transfer of cap due to servicing transfer

7/16/2013 Bridgelock Capital dba Peak Loan Servicing Woodland Hills CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 7/16/2013 $ 10,000 $ 10,000 Transfer of cap due to servicing transfer

Total Initial Cap $ 23,831,570,000 $ 6,035,239,941

TOTAL CAP $ 29,866,809,941.31

12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination. 

17/ 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.

"FHA-2LP" means the FHA Second Lien Program

16/ 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 used in this table:

"HAFA" means the Home Affordable Foreclosure Alternatives program.

"HPDP" means the Home Price Decline Protection program.

"2MP" means the Second Lien Modification Program.

"RD-HAMP" means the Rural Housing Service Home Affordable Modification Program.

15/ 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. 

3/ 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. 

4/ Initial cap amount includes FHA-HAMP.

5/ Initial cap amount includes RD-HAMP.

6/ Initial cap amount includes 2MP.

7/ Initial cap amount includes FHA-2LP.

8/ Initial cap does not include HAMP.

9/ 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.

10/ The amendment reflects a change in the legal name of the institution.

11/ 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. 

13/ 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. 

14/ 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. 

2/ 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. 

Total Cap Adjustments

1/ 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.
113

Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

21st Mortgage Corporation $ 479.17 $ 11,009.19 $ 11,500.00 $ 22,988.36

Allstate Mortgage Loans & Investments, Inc. $ 5,035.81 $ 9,743.17 $ 8,035.81 $ 22,814.79

AMS Servicing, LLC $ 26,366.28 $ 123,504.94 $ 79,574.66 $ 229,445.88

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

Bank of America, N.A. $ 4,267,061.97 $ 17,852,011.77 $ 9,159,438.92 $ 31,278,512.66

Bank of America, National Association $ 276,443,029.11 $ 563,129,124.05 $ 345,571,228.00 $ 1,185,143,381.16

BankUnited $ 7,250,507.18 $ 20,527,401.75 $ 11,197,925.37 $ 38,975,834.30

Bayview Loan Servicing LLC $ 8,116,924.18 $ 15,334,273.34 $ 11,452,470.30 $ 34,903,667.82

Caliber Home Loans, Inc. $ 743,347.20 $ 2,082,831.30 $ 1,701,349.12 $ 4,527,527.62

Carrington Mortgage Services, LLC. $ 9,013,400.84 $ 24,068,649.98 $ 16,815,567.92 $ 49,897,618.74

CCO Mortgage, a division of RBS Citizens NA $ 1,888,376.89 $ 4,611,001.18 $ 3,339,112.66 $ 9,838,490.73

Central Florida Educators Federal Credit Union $ 100,096.59 $ 169,424.82 $ 208,299.02 $ 477,820.43

Cheviot Savings Bank $ - $ 62.33 $ - $ 62.33

CitiMortgage Inc $ 63,897,792.71 $ 206,298,350.97 $ 103,663,748.49 $ 373,859,892.17

Citizens First National Bank $ 21,062.89 $ 55,940.26 $ 40,729.55 $ 117,732.70

Community Credit Union of Florida $ 3,000.00 $ 4,631.53 $ 5,000.00 $ 12,631.53

CUC Mortgage Corporation $ 51,054.57 $ 135,246.64 $ 93,769.62 $ 280,070.83

DuPage Credit Union $ 6,028.28 $ 27,914.19 $ 11,328.28 $ 45,270.75

EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ 16,279,383.05 $ 35,441,779.30

Fay Servicing, LLC $ 812,953.09 $ 1,642,743.09 $ 771,693.85 $ 3,227,390.03

FCI Lender Services, Inc. $ 24,908.09 $ 43,250.11 $ 28,612.38 $ 96,770.58

Fidelity Homestead Savings Bank $ - $ - $ 4,000.00 $ 4,000.00

FIRST BANK $ 868,546.22 $ 1,822,937.97 $ 1,415,819.80 $ 4,107,303.99

First Keystone Bank $ 2,775.62 $ 3,423.27 $ 8,717.90 $ 14,916.79

First Mortgage Corporation $ 2,000.00 $ 2,000.00 $ 4,000.00

Franklin Credit Management Corporation $ 333,554.36 $ 637,485.87 $ 737,023.67 $ 1,708,063.90

Supplemental Information [Not Required by EESA §114(a)]

Making Home Affordable Program

Non-GSE Incentive Payments (through September 2013)
114

Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Franklin Savings $ 1,750.00 $ 3,864.59 $ 4,000.00 $ 9,614.59

Fresno County Federal Credit Union $ 3,833.34 $ 13,204.31 $ 7,916.67 $ 24,954.32

Glass City Federal Credit Union $ 4,000.00 $ 2,473.84 $ 6,000.00 $ 12,473.84

GMAC Mortgage, LLC $ 56,522,363.60 $ 140,711,285.05 $ 90,378,530.02 $ 287,612,178.67

Great Lakes Credit Union $ 8,833.34 $ 16,230.84 $ 12,100.00 $ 37,164.18

Greater Nevada Mortgage Services $ 58,683.87 $ 137,157.55 $ 93,824.29 $ 289,665.71

Green Tree Servicing LLC $ 2,637,669.01 $ 10,915,404.03 $ 5,806,966.64 $ 19,360,039.68

Gregory Funding, LLC $ 66,242.83 $ 151,332.88 $ 72,791.38 $ 290,367.09

Guaranty Bank $ 916.67 $ 1,000.00 $ 1,916.67

Hillsdale County National Bank $ 29,419.74 $ 37,173.58 $ 54,400.46 $ 120,993.78

Home Loan Services, Inc. $ 169,857.80 $ 2,440,767.73 $ 3,698,606.99 $ 6,309,232.52

Home Servicing, LLC $ 7,867.05 $ 13,545.46 $ 8,783.72 $ 30,196.23

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. $ 51,757,481.72 $ 133,880,474.08 $ 94,835,607.23 $ 280,473,563.03

Horicon Bank $ 7,265.13 $ 16,803.60 $ 12,169.53 $ 36,238.26

Iberiabank $ - $ 10,502.00 $ 15,000.00 $ 25,502.00

IBM Southeast Employees' Federal Credit Union $ 9,000.00 $ 23,589.08 $ 16,000.00 $ 48,589.08

IC Federal Credit Union $ 19,333.34 $ 39,216.37 $ 32,600.00 $ 91,149.71

Idaho Housing and Finance Association $ 21,091.84 $ 22,743.42 $ 28,219.76 $ 72,055.02

James B.Nutter and Company $ 8,170.81 $ 8,614.92 $ 16,785.73

JPMorgan Chase Bank, NA $ 262,053,865.44 $ 635,257,909.09 $ 358,678,931.83 $ 1,255,990,706.36

Kondaur Capital Corporation $ - $ - $ 400.00 $ 400.00

Lake City Bank $ 6,243.60 $ 6,902.64 $ 18,434.56 $ 31,580.80

Lake National Bank $ 3,000.00 $ 3,651.45 $ 4,000.00 $ 10,651.45

Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125.99 $ 27,530,413.93 $ 76,324,760.34

Los Alamos National Bank $ 25,054.17 $ 33,206.98 $ 43,267.67 $ 101,528.82

M&T Bank $ 40,230.37 $ 44,460.74 $ 84,691.11

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

Midland Mortgage Co. $ 4,373,170.98 $ 1,066,139.69 $ 5,325,726.58 $ 10,765,037.25

Midwest Community Bank $ 1,000.00 $ 1,817.60 $ 2,000.00 $ 4,817.60
115

Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Mission Federal Credit Union $ 60,093.07 $ 162,254.71 $ 104,026.39 $ 326,374.17

MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ 1,977,320.74 $ 4,628,164.95

Mortgage Center LLC $ 137,602.72 $ 238,486.03 $ 272,468.64 $ 648,557.39

National City Bank $ 2,832,001.09 $ 8,599,783.00 $ 5,119,647.43 $ 16,551,431.52

Nationstar Mortgage LLC $ 34,829,080.42 $ 72,970,907.69 $ 48,893,903.64 $ 156,693,891.75

Navy Federal Credit Union $ 516,133.67 $ 1,253,944.73 $ 1,013,974.60 $ 2,784,053.00

New York Community Bank $ 12,344.17 $ 31,779.17 $ 21,003.56 $ 65,126.90

Oakland Municipal Credit Union $ - $ 3,568.11 $ 6,500.00 $ 10,068.11

Ocwen Loan Servicing, LLC $ 117,628,617.53 $ 354,251,909.36 $ 185,375,321.70 $ 657,255,848.59

OneWest Bank $ 56,326,072.48 $ 188,473,659.66 $ 81,586,507.72 $ 326,386,239.86

ORNL Federal Credit Union $ 12,230.46 $ 26,489.97 $ 35,996.08 $ 74,716.51

Park View Federal Savings Bank $ 11,000.00 $ 23,936.55 $ 19,000.00 $ 53,936.55

Pathfinder Bank $ 4,883.58 $ 7,152.88 $ 9,606.28 $ 21,642.74

PennyMac Loan Services, LLC $ 5,681,857.20 $ 12,841,687.82 $ 6,872,232.60 $ 25,395,777.62

PHH Mortgage Corporation $ 11,919.54 $ 22,585.01 $ 12,594.68 $ 47,099.23

PNC Bank, National Association $ 126,229.32 $ 756,103.32 $ 430,750.00 $ 1,313,082.64

Purdue Employees Federal Credit Union $ 2,000.00 $ 1,789.29 $ 3,000.00 $ 6,789.29

Quantum Servicing Corporation $ 133,393.34 $ 331,713.72 $ 179,984.09 $ 645,091.15

Residential Credit Solutions, Inc. $ 1,468,621.83 $ 4,063,011.01 $ 2,405,492.09 $ 7,937,124.93

Resurgent Capital Services L.P. $ 89,553.56 $ 248,799.25 $ 146,811.37 $ 485,164.18

RG Mortgage $ 164,852.94 $ 227,582.28 $ 401,333.81 $ 793,769.03

RoundPoint Mortgage Servicing Corporation $ 200,353.52 $ 488,436.94 $ 389,912.31 $ 1,078,702.77

Rushmore Loan Management Services LLC $ 154,260.95 $ 566,912.36 $ 182,716.56 $ 903,889.87

Saxon Mortgage Services Inc $ 19,655,074.77 $ 41,738,413.24 $ 39,413,598.23 $ 100,807,086.24

Schools Financial Credit Union $ 20,666.70 $ 53,918.51 $ 35,500.00 $ 110,085.21

Scotiabank de Puerto Rico $ 404,921.34 $ 593,424.99 $ 418,008.60 $ 1,416,354.93

Select Portfolio Servicing, Inc. $ 66,958,390.10 $ 131,806,834.06 $ 95,027,270.15 $ 293,792,494.31

Selene Finance LP $ 66,521.66 $ 179,024.44 $ 85,883.51 $ 331,429.61

Servis One, Inc., dba BSI Financial Services, Inc. $ 797,811.74 $ 1,182,899.30 $ 870,115.42 $ 2,850,826.46

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

Specialized Loan Servicing LLC $ 3,848,421.48 $ 7,182,036.57 $ 6,015,303.12 $ 17,045,761.17
116

Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Statebridge Company, LLC $ 17,251.02 $ 52,822.34 $ 17,901.22 $ 87,974.58

Sterling Savings Bank $ 160,089.36 $ 343,663.78 $ 280,078.94 $ 783,832.08

Technology Credit Union $ 43,000.00 $ 167,902.48 $ 68,216.67 $ 279,119.15

The Bryn Mawr Trust Company $ 10,196.51 $ 12,667.71 $ 8,435.80 $ 31,300.02

The Golden 1 Credit Union $ 279,782.23 $ 873,370.35 $ 519,259.13 $ 1,672,411.71

U.S. Bank National Association $ 11,293,758.03 $ 27,770,080.74 $ 20,423,591.03 $ 59,487,429.80

United Bank $ 2,000.00 $ 2,002.94 $ 5,600.00 $ 9,602.94

United Bank Mortgage Corporation $ 34,449.39 $ 69,675.63 $ 57,835.23 $ 161,960.25

Urban Partnership Bank $ 134,839.96 $ 276,294.84 $ 135,918.87 $ 547,053.67

Vantium Capital, Inc. d/b/a Acqura Loan Services $ 240,971.70 $ 489,045.63 $ 392,135.86 $ 1,122,153.19

ViewPoint Bank $ 445.26 $ 445.26

Wachovia Mortgage, FSB $ - $ 76,889.58 $ 162,000.00 $ 238,889.58

Wells Fargo Bank, N.A. $ 204,892,075.22 $ 501,152,918.16 $ 307,442,065.70 $ 1,013,487,059.08

Wescom Central Credit Union $ 207,459.98 $ 652,831.55 $ 312,225.08 $ 1,172,516.61

Western Federal Credit Union $ 15,416.67 $ 42,857.27 $ 18,916.67 $ 77,190.61

Wilshire Credit Corporation $ - $ 490,394.10 $ 1,167,000.00 $ 1,657,394.10

Yadkin Valley Bank $ 22,828.50 $ 27,426.94 $ 42,428.50 $ 92,683.94

Grand Total $ 1,319,056,373.11 $ 3,239,056,900.62 $ 1,952,724,551.91 $ 6,510,837,825.64
117

Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 102,800,000 - $ 194,026,240 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

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 699,600,000 - $ 1,975,334,096 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

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 418,000,000 - $ 1,057,839,136 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

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 125,100,000 - $ 267,766,006 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 142,666,006 N/A

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 154,500,000 - $ 498,605,738 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

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 159,000,000 - $ 482,781,786 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

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 172,000,000 - $ 570,395,099 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

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 88,000,000 - $ 220,042,786 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

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 43,000,000 - $ 79,351,573 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

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HHF Program $ 138,000,000 - $ 295,431,547 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

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HHF Program $ 60,672,471 - $ 162,521,345 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 101,848,874 N/A

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 55,588,050 - $ 148,901,875 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 93,313,825 N/A

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 38,036,950 - $ 101,888,323 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 63,851,373 N/A

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 126,650,987 - $ 339,255,819 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 212,604,832 N/A

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 82,762,859 - $ 221,694,139 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 138,931,280 N/A

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 166,352,726 - $ 445,603,557 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 279,250,831 N/A

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 112,200,637 - $ 300,548,144 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 188,347,507 N/A

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 7,726,678 - $ 20,697,198 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 12,970,520 N/A

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 81,128,260 - $ 217,315,593 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 136,187,333 N/A

$ 7,600,000,000

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.

Investment Amount 1 

Pricing 

Mechanism

TOTAL INVESTMENT AMOUNT 

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
118

Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 8,117,000,000 - $ 1,025,000,000

2 3/4/2013 - $ (7,092,000,000)

$ 1,025,000,000

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.

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 

Initial Investment 

Amount Investment Adjustments Investment Amount Pricing Mechanism
119

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending September 30, 2013

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.
120

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending September 30, 2013

Type of Expense Amount

Compensation for financial agents 

and legal firms $951,088,650
121

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending September 30, 2013

Date Vehicle Description

None
Servicer Name

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

Bank of America, NA6

 7,296 9,104 1,290 7,814 1,322,934 1,308,502 581,060 727,442

BankUnited 50 43 23 20 9,441 9,253 4,533 4,720

Bayview Loan Servicing, LLC 1,169 1,115 256 859 27,492 25,509 9,123 16,386

Carrington Mortgage Services, LLC 1,581 1,627 436 1,191 64,866 63,423 21,749 41,674

CCO Mortgage, a division of RBS Citizens NA 416 417 36 381 24,861 24,193 5,652 18,541

CitiMortgage Inc 799 1,211 859 352 525,081 513,057 221,306 291,751

Green Tree Servicing LLC 1,112 1,242 517 725 79,333 76,202 29,079 47,123

JPMorgan Chase Bank, NA 15,983 8,926 1,609 7,317 1,498,788 1,483,541 433,624 1,049,917

Midland Mortgage Co. 2,508 2,291 159 2,132 95,380 93,438 7,413 86,025

Nationstar Mortgage LLC 22,146 7,542 1,803 5,739 352,741 320,117 69,664 250,453

Navy Federal Credit Union 249 219 39 180 9,486 9,022 1,751 7,271

Ocwen Loan Servicing, LLC 25,118 21,944 3,745 18,199 1,242,153 1,218,689 290,528 928,161

OneWest Bank 6,418 9,094 460 8,634 385,189 376,084 101,537 274,547

ORNL Federal Credit Union 18 17 - 17 480 478 47 431

PennyMac Loan Services, LLC 517 538 175 363 15,429 14,585 4,229 10,356

PNC Bank, National Association 14 17 1 16 606 568 27 541

PNC Mortgage7

 451 429 56 373 35,297 35,234 27,063 8,171

Residential Credit Solutions, Inc. 251 301 28 273 15,181 14,823 1,736 13,087

Select Portfolio Servicing, Inc. 5,864 4,831 1,551 3,280 129,615 122,305 85,275 37,030

Specialized Loan Servicing LLC 358 1,962 471 1,491 42,155 39,763 6,027 33,736

U.S. Bank National Association 1,887 1,214 171 1,043 109,262 104,350 42,622 61,728

Wells Fargo Bank, NA 9,250 9,004 2,564 6,440 793,335 778,749 273,342 505,407

Other Servicers8

 - - - - 170,842 170,842 106,111 64,731

TOTAL 103,455 83,088 16,249 66,839 6,949,947 6,802,727 2,323,498 4,479,229

3

 "Requests Processed" is the total number of the HAMP mortgage modifications approved or denied and communicated to the borrower by the servicer, calculated as the sum of Requests Approved and Requests Denied, defined below. Figures include 

HAMP mortgage modification requests evaluated and denied due to insufficient documentation.

HAMP Application Activity by Servicer 1

As of August 2013

Activity in August 2013 Program-to-Date

1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey, and cannot be 

separately reviewed or validated by Treasury.

Beginning in August 2012, this report reflects a change in reporting requirements of the Monthly Servicer Survey; servicers report all HAMP modification requests received and their outcome, including multiple requests made on a loan. Prior to August 

2012, servicers counted only one request per loan. As a result of this change, prior months' reporting contained data compiled under the different methodology. This update is reflected in this report on a going forward basis.

From time to time, a servicer's current month's cumulative results may not equal that servicer's prior month's cumulative results and current month's activity; this is due to corrections or updates made to prior reporting methodology. Note that 

Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.

2

 "Requests Received" is the total number of HAMP mortgage modification requests received, as reported by servicers to Monthly Servicer Survey question: "Number of requests received for a HAMP modification". Cumulative Requests Received 

include all HAMP mortgage modification requests received since implementation of Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved and sent a Trial Offer prior to implementation of this program guidance.

4

 "Requests Approved" is the total number of HAMP mortgage modification requests approved and Trial Offers sent to the borrowers, as reported by servicers to Monthly Servicer Survey question: "Number of requests Approved and Sent a HAMP Trial 

Offer". 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. Cumulative Requests Approved include all HAMP mortgage modification requests approved and 

Trial Offers sent since program inception, or March 2009.

5

 "Requests Denied" is the total number of HAMP mortgage modification requests denied and communicated to the borrower by the servicer in accordance with program guidance, as reported by servicers to Monthly Servicer Survey question: "Number 

of requests Denied for a HAMP Trial". Cumulative Requests Denied include all HAMP mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective June 1, 

2010. Figures include HAMP mortgage modification requests evaluated and denied due to insufficient documentation.

6 Bank of America, NA includes BAC Home Loans Servicing, LP. 

7 Formerly National City Bank.

8 Includes servicers that are no longer actively participating in the survey process or whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods when the survey 

questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).