Page 1 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

1b 10/28/2008 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants $ 15,000,000,000 Par 12/9/2009 4 $ 15,000,000,000 $ 0 Warrants 3/3/2010 Warrants 1b A $ 183,547,824 

10/28/2008 The Bank of New York Mellon Corporation New York NY Preferred Stock w/ Warrants $ 3,000,000,000 Par 6/17/2009 4 $ 3,000,000,000 $ 0 Warrants 8/5/2009 Warrants R $ 136,000,000 

11, 23 - 

5/26/2010 10/28/2008 Citigroup Inc. New York NY Common Stock w/ Warrants $ 25,000,000,000 Par ** 23 $ 25,000,000,000 $ 0 Warrants 1/25/2011 Warrants A $ 54,621,849 

10/28/2008 The Goldman Sachs Group, Inc. New York NY Preferred Stock w/ Warrants $ 10,000,000,000 Par 6/17/2009 4 $ 10,000,000,000 $ 0 Warrants 7/22/2009 Warrants R $ 1,100,000,000 

10/28/2008 JPMorgan Chase & Co. New York NY Preferred Stock w/ Warrants $ 25,000,000,000 Par 6/17/2009 4 $ 25,000,000,000 $ 0 Warrants 12/10/2009 Warrants A $ 936,063,469 

10/28/2008 Morgan Stanley New York NY Preferred Stock w/ Warrants $ 10,000,000,000 Par 6/17/2009 4 $ 10,000,000,000 $ 0 Warrants 8/12/2009 Warrants R $ 950,000,000 

10/28/2008 State Street Corporation Boston MA Preferred Stock w/ Warrants $ 2,000,000,000 Par 6/17/2009 5 $ 2,000,000,000 $ 0 Warrants 7/8/2009 Warrants 9 R $ 60,000,000 

10/28/2008 Wells Fargo & Company San Francisco CA Preferred Stock w/ Warrants $ 25,000,000,000 Par 12/23/2009 4 $ 25,000,000,000 $ 0 Warrants 5/20/2010 Warrants A $ 840,374,892 

49 11/14/2008 Bank of Commerce Holdings Redding CA Preferred Stock w/ Warrants $ 17,000,000 Par 9/27/2011 49 $ 17,000,000 $ 0 Warrants 10/26/2011 Warrants R $ 125,000 

11/14/2008 1st FS Corporation Hendersonville NC Preferred Stock w/ Warrants $ 16,369,000 Par 

14 11/14/2008 UCBH Holdings, Inc. San Francisco CA Preferred Stock w/ Warrants $ 298,737,000 Par 

11/14/2008 Northern Trust Corporation Chicago IL Preferred Stock w/ Warrants $ 1,576,000,000 Par 6/17/2009 4 $ 1,576,000,000 $ 0 Warrants 8/26/2009 Warrants R $ 87,000,000 

11/14/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants $ 3,500,000,000 Par 3/30/2011 4 $ 3,500,000,000 $ 0 Warrants 9/22/2011 Warrants A $ 14,069,763 

3a, 72 - 

2/10/2012 11/14/2008 Broadway Financial Corporation Los Angeles CA Preferred Stock $ 9,000,000 Par 

11/14/2008 Washington Federal, Inc. Seattle WA Preferred Stock w/ Warrants $ 200,000,000 Par 5/27/2009 4 $ 200,000,000 $ 0 Warrants 3/9/2010 Warrants A $ 15,388,874 

11/14/2008 BB&T Corp. Winston-Salem NC Preferred Stock w/ Warrants $ 3,133,640,000 Par 6/17/2009 4 $ 3,133,640,000 $ 0 Warrants 7/22/2009 Warrants R $ 67,010,402 

119 11/14/2008 M&T Bank Corporation (Provident Bancshares 

Corp.) Baltimore MD Preferred Stock w/ Warrants $ 151,500,000 Par 8/17/2012 119 $ 151,500,000 $ 0 Warrants

11/14/2008 Umpqua Holdings Corp. Portland OR Preferred Stock w/ Warrants $ 214,181,000 Par 2/17/2010 5 $ 214,181,000 $ 0 Warrants 3/31/2010 Warrants 9 R $ 4,500,000 

11/14/2008 Comerica Inc. Dallas TX Preferred Stock w/ Warrants $ 2,250,000,000 Par 3/17/2010 4 $ 2,250,000,000 $ 0 Warrants 5/6/2010 Warrants A $ 181,102,043 

11/14/2008 Regions Financial Corporation Birmingham AL Preferred Stock w/ Warrants $ 3,500,000,000 Par 4/4/2012 4 $ 3,500,000,000 $ 0 Warrants 5/2/2012 Warrants R $ 45,000,000 

11/14/2008 Capital One Financial Corporation McLean VA Preferred Stock w/ Warrants $ 3,555,199,000 Par 6/17/2009 4 $ 3,555,199,000 $ 0 Warrants 12/3/2009 Warrants A $ 146,500,065 

11/14/2008 First Horizon National Corporation Memphis TN Preferred Stock w/ Warrants $ 866,540,000 Par 12/22/2010 4 $ 866,540,000 $ 0 Warrants 3/9/2011 Warrants R $ 79,700,000 

11/14/2008 Huntington Bancshares Columbus OH Preferred Stock w/ Warrants $ 1,398,071,000 Par 12/22/2010 4 $ 1,398,071,000 $ 0 Warrants 1/19/2011 Warrants R $ 49,100,000 

11/14/2008 KeyCorp Cleveland OH Preferred Stock w/ Warrants $ 2,500,000,000 Par 3/30/2011 4 $ 2,500,000,000 $ 0 Warrants 4/20/2011 Warrants R $ 70,000,000 

6/3/2009 4 $ 75,000,000 $ 225,000,000 Preferred Stock w/ 

Warrants 

9/23/2009 4 $ 125,000,000 $ 100,000,000 Preferred Stock w/ 

Warrants 

12/23/2009 4 $ 100,000,000 $ 0 Warrants

3/28/2012 4 $ 700,000,000 $ 700,000,000 Preferred Stock w/ 

Warrants 

9/26/2012 4 $ 700,000,000 $ 0 Warrants

44 - 

5/16/2011 11/14/2008 Marshall & Ilsley Corporation Milwaukee WI Preferred Stock w/ Warrants $ 1,715,000,000 Par 7/5/2011 44 $ 1,715,000,000 $ 0 Warrants 7/5/2011 Warrants 44 R $ 3,250,000 

11/14/2008 U.S. Bancorp Minneapolis MN Preferred Stock w/ Warrants $ 6,599,000,000 Par 6/17/2009 4 $ 6,599,000,000 $ 0 Warrants 7/15/2009 Warrants R $ 139,000,000 

11/14/2008 TCF Financial Corporation Wayzata MN Preferred Stock w/ Warrants $ 361,172,000 Par 4/22/2009 4 $ 361,172,000 $ 0 Warrants 12/15/2009 Warrants A $ 9,449,981 

11/21/2008 First Niagara Financial Group Lockport NY Preferred Stock w/ Warrants $ 184,011,000 Par 5/27/2009 5 $ 184,011,000 $ 0 Warrants 6/24/2009 Warrants 9 R $ 2,700,000 

11/21/2008 HF Financial Corp. Sioux Falls SD Preferred Stock w/ Warrants $ 25,000,000 Par 6/3/2009 4 $ 25,000,000 $ 0 Warrants 6/30/2009 Warrants R $ 650,000 

11/21/2008 Centerstate Banks of Florida Inc. Davenport FL Preferred Stock w/ Warrants $ 27,875,000 Par 9/30/2009 5 $ 27,875,000 $ 0 Warrants 10/28/2009 Warrants 9 R $ 212,000 

12/30/2009 4 $ 200,000,000 $ 200,000,000 Preferred Stock w/ 

Warrants

3/3/2010 4 $ 200,000,000 $ 0 Warrants

11/21/2008 First Community Bancshares Inc. Bluefield VA Preferred Stock w/ Warrants $ 41,500,000 Par 7/8/2009 5 $ 41,500,000 $ 0 Warrants 11/18/2011 Warrants P $ 30,600 

49 11/21/2008 Western Alliance Bancorporation Las Vegas NV Preferred Stock w/ Warrants $ 140,000,000 Par 9/27/2011 49 $ 140,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 415,000 

11/14/2008 Zions Bancorporation Salt Lake City UT Preferred Stock w/ Warrants $ 1,400,000,000 Par 

U.S. Treasury Department

Beverly Hills 

Wayne NJ Preferred Stock w/ Warrants 5/18/2010 Warrants A $ 5,421,615 

City National Corporation

Footnote

11/14/2008 Valley National Bancorp Par 

11/21/2008

Purchase Date 

Seller 

$ 300,000,000

Purchase Details

CA $ 400,000,000 Par 

Capital 

Repayment Date

Disposition 

Investment 

Description

4/7/2010 Warrants

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending October 8, 2012

Final Disposition

CAPITAL PURCHASE PROGRAM

Capital Repayment Details

 Treasury Investment Remaining

After Capital Repayment

Preferred Stock w/ Warrants R $ 18,500,000 
Page 2 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

3/3/2010 4 $ 100,000,000 $ 300,000,000 Preferred Stock w/ 

Warrants

10/13/2010 4 $ 100,000,000 $ 200,000,000 Preferred Stock w/ 

Warrants

12/29/2010 4 $200,000,000 $ 0 Warrants

29 - 

9/24/2010 11/21/2008 Pacific Capital Bancorp Santa Barbara CA Common Stock w/ Warrants $ 195,045,000 Par 

11/21/2008 Heritage Commerce Corp. San Jose CA Preferred Stock w/ Warrants $ 40,000,000 Par 3/7/2012 4 $ 40,000,000 $ 0 Warrants

85 - 

06/13/2012 11/21/2008 Ameris Bancorp Moultrie GA Preferred Stock w/ Warrants $ 52,000,000 Par 6/13/2012 85 $ 47,665,332 $ 0 Warrants 8/22/2012 Warrants R $ 2,670,000 

11/21/2008 Porter Bancorp Inc. Louisville KY Preferred Stock w/ Warrants $ 35,000,000 Par 

74 - 

3/28/2012 11/21/2008 Banner Corporation Walla Walla WA Preferred Stock w/ Warrants $ 124,000,000 Par 3/28/2012 74 $ 108,071,915 $ 0 Warrants

47 - 

6/30/2011 11/21/2008 Cascade Financial Corporation Everett WA Preferred Stock w/ Warrants $ 38,970,000 Par 6/30/2011 47 $ 16,250,000 $ 0 N/A N/A N/A 47 - N/A 

11/21/2008 Columbia Banking System, Inc. Tacoma WA Preferred Stock w/ Warrants $ 76,898,000 Par 8/11/2010 4 $ 76,898,000 $ 0 Warrants 9/1/2010 Warrants 9 R $ 3,301,647 

11/21/2008 Heritage Financial Corporation Olympia WA Preferred Stock w/ Warrants $ 24,000,000 Par 12/22/2010 4 $ 24,000,000 $ 0 Warrants 8/17/2011 Warrants 9 R $ 450,000 

11/21/2008 First PacTrust Bancorp, Inc. Chula Vista CA Preferred Stock w/ Warrants $ 19,300,000 Par 12/15/2010 4 $ 19,300,000 $ 0 Warrants 1/5/2011 Warrants R $ 1,003,227 

11/21/2008 Severn Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants $ 23,393,000 Par 

1/13/2010 4 $ 50,000,000 $ 104,000,000 Preferred Stock w/ 

Warrants

6/16/2010 4 $ 104,000,000 $ 0 Warrants

4/6/2011 4 $ 262,500,000 $ 262,500,000 Preferred Stock w/ 

Warrants

9/14/2011 4 $ 262,500,000 $ 0 Warrants

11/21/2008 Trustmark Corporation Jackson MS Preferred Stock w/ Warrants $ 215,000,000 Par 12/9/2009 4 $ 215,000,000 $ 0 Warrants 12/30/2009 Warrants R $ 10,000,000 

122 11/21/2008 First Community Corporation Lexington SC Preferred Stock w/ Warrants $ 11,350,000 Par 8/23/2012 122 $ 10,987,794 $ 0 Warrants

86 - 

06/13/2012 11/21/2008 Taylor Capital Group Rosemont IL Preferred Stock w/ Warrants $ 104,823,000 Par 6/13/2012 86 $ 92,254,460 $ 0 Warrants 7/18/2012 Warrants R $ 9,839,273 

66 - 

11/30/2011 11/21/2008 BBCN Bancorp, Inc.(Nara Bancorp, Inc.) Los Angeles CA Preferred Stock w/ Warrants $ 67,000,000 Par 6/27/2012 4 $ 67,000,000 $ 0 Warrants 8/8/2012 Warrants R $ 2,189,317 

14, 20 12/5/2008 Midwest Banc Holdings, Inc. Melrose Park IL Mandatorily Convertible Preferred Stock w/ 

Warrants $ 89,388,000 Par 

12/5/2008 MB Financial Inc. Chicago IL Preferred Stock w/ Warrants $ 196,000,000 Par 3/14/2012 4 $ 196,000,000 $ 0 Warrants 5/2/2012 Warrants R $ 1,518,072 

12/5/2008 First Midwest Bancorp, Inc. Itasca IL Preferred Stock w/ Warrants $ 193,000,000 Par 11/23/2011 4 $ 193,000,000 $ 0 Warrants 12/21/2011 Warrants R $ 900,000 

12/5/2008 United Community Banks, Inc. Blairsville GA Preferred Stock w/ Warrants $ 180,000,000 Par 

12/5/2008 WesBanco, Inc. Wheeling WV Preferred Stock w/ Warrants $ 75,000,000 Par 9/9/2009 4 $ 75,000,000 $ 0 Warrants 12/23/2009 Warrants R $ 950,000 

50 12/5/2008 Encore Bancshares Inc. Houston TX Preferred Stock w/ Warrants $ 34,000,000 Par 9/27/2011 50 $ 34,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 637,071 

12/5/2008 Manhattan Bancorp El Segundo CA Preferred Stock w/ Warrants $ 1,700,000 Par 9/16/2009 4 $ 1,700,000 $ 0 Warrants 10/14/2009 Warrants R $ 63,364 

12/5/2008 Iberiabank Corporation Lafayette LA Preferred Stock w/ Warrants $ 90,000,000 Par 3/31/2009 5 $ 90,000,000 $ 0 Warrants 5/20/2009 Warrants 9 R $ 1,200,000 

12/23/2009 5 $ 15,000,000 $ 23,235,000 Preferred Stock w/ 

Warrants

7/14/2011 49 $ 23,235,000 $ 0 Warrants

7/21/2010 4 $ 41,547,000 $ 41,547,000 Preferred Stock w/ 

Warrants

12/15/2010 4 $ 41,547,000 $ 0 Warrants

12/5/2008 Coastal Banking Company, Inc. Fernandina Beach FL Preferred Stock w/ Warrants $ 9,950,000 Par 

12/5/2008 East West Bancorp Pasadena CA Preferred Stock w/ Warrants $ 306,546,000 Par 12/29/2010 4 $ 306,546,000 $ 0 Warrants 1/26/2011 Warrants 9 R $ 14,500,000 

26 - 

9/30/2010 12/5/2008 South Financial Group, Inc. Greenville SC Preferred Stock w/ Warrants $ 347,000,000 Par 9/30/2010 26 $ 130,179,219 $ 0 Warrants 9/30/2010 Warrants 26 R $ 400,000 

50 12/5/2008 Great Southern Bancorp Springfield MO Preferred Stock w/ Warrants $ 58,000,000 Par 8/18/2011 50 $ 58,000,000 $ 0 Warrants 9/21/2011 Warrants R $ 6,436,364 

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

131 12/5/2008 Southern Community Financial Corp. Winston-Salem NC Preferred Stock w/ Warrants $ 42,750,000 Par 10/1/2012 131 $ 42,750,000 $ 0 N/A N/A N/A - N/A 

8/26/2009 4 $ 97,500,000 $ 32,500,000 Preferred Stock w/ 

Warrants 

9/2/2009 4 $ 32,500,000 $ 0 Warrants

89 - 

06/13/2012 12/5/2008 First Defiance Financial Corp. Defiance OH Preferred Stock w/ Warrants $ 37,000,000 Par 6/13/2012 89 $ 35,084,144 $ 0 Warrants

75 - 

3/28/2012 12/5/2008 First Financial Holdings Inc. Charleston SC Preferred Stock w/ Warrants $ 65,000,000 Par 3/28/2012 75 $ 55,926,478 $ 0 Warrants

17, 54 12/5/2008 Superior Bancorp Inc. Birmingham AL Trust Preferred Securities w/ Warrants $ 69,000,000 Par 

Warrants

11/21/2008 Associated Banc-Corp Green Bay WI Preferred Stock w/ Warrants 

12/5/2008 Olney MD Preferred Stock w/ Warrants 

$ 130,000,000

$ 525,000,000

Par 

Par 

Par 

Preferred Stock w/ Warrants 

$ 83,094,000

Eagle Bancorp, Inc.

12/5/2008 Ontario R

11/30/2011 Warrants

9

 $ 3,435,006 

10/28/2009

2/23/2011 Warrants

Bethesda MD Preferred Stock w/ Warrants $ 38,235,000 $ 2,794,422 

R $ 4,450,000 

 $ 1,307,000 

Boston Private Financial Holdings, Inc. MA Preferred Stock w/ Warrants $ 154,000,000 Par 2/1/2011 Warrants A $ 6,202,523 

Webster Financial Corporation Waterbury Par 

12/5/2008

11/21/2008

CVB Financial Corp

Boston 

6/2/2011 Warrants

11/18/2011 Warrants

CT 

Par 

11/21/2008

Sandy Spring Bancorp, Inc.

CA 

49

Preferred Stock w/ Warrants $ 400,000,000

P

A $ 20,388,842 

A
Page 3 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

12/5/2008 Southwest Bancorp, Inc. Stillwater OK Preferred Stock w/ Warrants $ 70,000,000 Par 8/8/2012 4 $ 70,000,000 $ 0 Warrants

12 12/5/2008 Popular, Inc. San Juan PR Trust Preferred Securities w/ Warrants $ 935,000,000 Par 

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

130 12/5/2008 Central Federal Corporation Fairlawn OH Preferred Stock w/ Warrants $ 7,225,000 Par 9/26/2012 130 $ 3,000,000 $ 0 N/A N/A N/A 130 - N/A 

12/5/2008 Bank of Marin Bancorp Novato CA Preferred Stock w/ Warrants $ 28,000,000 Par 3/31/2009 4 $ 28,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 1,703,984 

120 12/5/2008 BNC Bancorp Thomasville NC Preferred Stock w/ Warrants $ 31,260,000 Par 8/23/2012 120 $ 28,365,685 $ 0 Warrants 9/19/2012 Warrants R $ 939,920 

50 12/5/2008 Central Bancorp, Inc. Somerville MA Preferred Stock w/ Warrants $ 10,000,000 Par 8/25/2011 50 $ 10,000,000 $ 0 Warrants 10/19/2011 Warrants R $ 2,525,000 

49 12/5/2008 Southern Missouri Bancorp, Inc. Poplar Bluff MO Preferred Stock w/ Warrants $ 9,550,000 Par 7/21/2011 49 $ 9,550,000 $ 0 Warrants

68 - 1/1/2012 12/5/2008 Valley National Bancorp (State Bancorp, Inc.) Wayne NJ Preferred Stock w/ Warrants $ 36,842,000 Par 12/14/2011 4 $ 36,842,000 $ 0 Warrants

32 - 

9/30/2010 12/5/2008 TIB Financial Corp Naples FL Preferred Stock w/ Warrants $ 37,000,000 Par 9/30/2010 32 $ 12,119,637 $ 0 Warrants 9/30/2010 Warrants 32 R $ 40,000 

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

12/5/2008 Old Line Bancshares, Inc. Bowie MD Preferred Stock w/ Warrants $ 7,000,000 Par 7/15/2009 4 $ 7,000,000 $ 0 Warrants 9/2/2009 Warrants R $ 225,000 

55 12/5/2008 FPB Bancorp, Inc. Port St. Lucie FL Preferred Stock w/ Warrants $ 5,800,000 Par 

24, 118 12/5/2008 Sterling Financial Corporation Spokane WA Common Stock w/ Warrants $ 303,000,000 Par 8/14/2012 118 $ 113,338,081 $ 0 Warrants 9/19/2012 Warrants R $ 825,000 

50 12/5/2008 Oak Valley Bancorp Oakdale CA Preferred Stock w/ Warrants $ 13,500,000 Par 8/11/2011 50 $ 13,500,000 $ 0 Warrants 9/28/2011 Warrants R $ 560,000 

12/12/2008 Old National Bancorp Evansville IN Preferred Stock w/ Warrants $ 100,000,000 Par 3/31/2009 4 $ 100,000,000 $ 0 Warrants 5/8/2009 Warrants R $ 1,200,000 

35 12/12/2008 Capital Bank Corporation Raleigh NC Preferred Stock w/ Warrants $ 41,279,000 Par 1/28/2011 35 $ 41,279,000 $ 0 N/A N/A N/A 35 - N/A 

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

12/12/2008 SVB Financial Group Santa Clara CA Preferred Stock w/ Warrants $ 235,000,000 Par 12/23/2009 5 $ 235,000,000 $ 0 Warrants 6/16/2010 Warrants 9 R $ 6,820,000 

88 - 

06/13/2012 12/12/2008 LNB Bancorp Inc. Lorain OH Preferred Stock w/ Warrants $ 25,223,000 Par 6/13/2012 88 $ 21,594,229 $ 0 Warrants 7/18/2012 Warrants R $ 860,326 

43 - 

5/13/2011 12/12/2008 M&T Bank Corporation (Wilmington Trust Corporation) Wilmington DE Preferred Stock w/ Warrants $ 330,000,000 Par 5/13/2011 43 $ 330,000,000 $ 0 Warrants

4/21/2010 4 $ 200,000,000 $ 100,000,000 Preferred Stock w/ 

Warrants

12/22/2010 4 $ 100,000,000 $ 0 Warrants

12/12/2008 Signature Bank New York NY Preferred Stock w/ Warrants $ 120,000,000 Par 3/31/2009 4 $ 120,000,000 $ 0 Warrants 3/10/2010 Warrants A $ 11,150,940 

12/12/2008 HopFed Bancorp Hopkinsville KY Preferred Stock w/ Warrants $ 18,400,000 Par 

12/12/2008 Citizens Republic Bancorp, Inc. Flint MI Preferred Stock w/ Warrants $ 300,000,000 Par 

12/12/2008 Indiana Community Bancorp Columbus IN Preferred Stock w/ Warrants $ 21,500,000 Par 9/12/2012 4 $ 21,500,000 $ 0 Warrants 9/12/2012 Warrants R $ 1,800,000 

12/12/2008 Bank of the Ozarks, Inc. Little Rock AR Preferred Stock w/ Warrants $ 75,000,000 Par 11/4/2009 4 $ 75,000,000 $ 0 Warrants 11/24/2009 Warrants R $ 2,650,000 

66 - 

11/30/2011 12/12/2008 BBCN Bancorp, Inc.(Center Financial Corporation) Los Angeles CA Preferred Stock w/ Warrants $ 55,000,000 Par 6/27/2012 4 $ 55,000,000 $ 0 Warrants

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

12/12/2008 Sterling Bancshares, Inc. Houston TX Preferred Stock w/ Warrants $ 125,198,000 Par 5/5/2009 4 $ 125,198,000 $ 0 Warrants 6/9/2010 Warrants A $ 2,857,915 

12/12/2008 The Bancorp, Inc. Wilmington DE Preferred Stock w/ Warrants $ 45,220,000 Par 3/10/2010 5 $ 45,220,000 $ 0 Warrants 9/8/2010 Warrants 9 R $ 4,753,985 

50 12/12/2008 TowneBank Portsmouth VA Preferred Stock w/ Warrants $ 76,458,000 Par 9/22/2011 50 $ 76,458,000 $ 0 Warrants

76 - 

3/28/2012 12/12/2008 Wilshire Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants $ 62,158,000 Par 3/28/2012 76 $ 57,766,994 $ 0 Warrants 6/20/2012 Warrants R $ 760,000 

12/12/2008 Valley Financial Corporation Roanoke VA Preferred Stock w/ Warrants $ 16,019,000 Par 

22 12/12/2008 Independent Bank Corporation Ionia MI Mandatorily Convertible Preferred Stock w/ 

Warrants $ 74,426,000 Par 

12/28/2011 4 $ 23,750,000 $ 71,250,000 Preferred Stock w/ 

Warrants

6/20/2012 4 $ 71,250,000 $ 0 Warrants

12/12/2008 First Litchfield Financial Corporation Litchfield CT Preferred Stock w/ Warrants $ 10,000,000 Par 4/7/2010 4 $ 10,000,000 $ 0 Warrants 4/7/2010 Warrants R $ 1,488,046 

12/12/2008 National Penn Bancshares, Inc. Boyertown PA Preferred Stock w/ Warrants $ 150,000,000 Par 3/16/2011 4 $ 150,000,000 $ 0 Warrants 4/13/2011 Warrants 9 R $ 1,000,000 

12/12/2008 Northeast Bancorp Lewiston ME Preferred Stock w/ Warrants $ 4,227,000 Par 

50 12/12/2008 Citizens South Banking Corporation Gastonia NC Preferred Stock w/ Warrants $ 20,500,000 Par 9/22/2011 50 $ 20,500,000 $ 0 Warrants 11/9/2011 Warrants R $ 225,157 

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

12/12/2008 Fidelity Bancorp, Inc. Pittsburgh PA Preferred Stock w/ Warrants $ 7,000,000 Par 

12/12/2008 LSB Corporation North Andover MA Preferred Stock w/ Warrants $ 15,000,000 Par 11/18/2009 4 $ 15,000,000 $ 0 Warrants 12/16/2009 Warrants R $ 560,000 

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

12/19/2008 Community West Bancshares Goleta CA Preferred Stock w/ Warrants $ 15,600,000 Par 

12/19/2008 Synovus Financial Corp. Columbus GA Preferred Stock w/ Warrants $ 967,870,000 Par 

70 12/19/2008 Tennessee Commerce Bancorp, Inc. Franklin TN Preferred Stock w/ Warrants $ 30,000,000 Par 

12/19/2008 Community Bankers Trust Corporation Glen Allen VA Preferred Stock w/ Warrants $ 17,680,000 Par 

12/12/2008 Susquehanna Bancshares, Inc Lititz PA Preferred Stock w/ Warrants $ 300,000,000 Par 1/19/2011 Warrants R $ 5,269,179 

12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/ Warrants $ 95,000,000 Par 7/18/2012 Warrants R $ 755,000 
Page 4 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

12/19/2008 BancTrust Financial Group, Inc. Mobile AL Preferred Stock w/ Warrants $ 50,000,000 Par 

12/19/2008 Enterprise Financial Services Corp. St. Louis MO Preferred Stock w/ Warrants $ 35,000,000 Par 

12/19/2008 Mid Penn Bancorp, Inc. Millersburg PA Preferred Stock w/ Warrants $ 10,000,000 Par 

49 12/19/2008 Summit State Bank Santa Rosa CA Preferred Stock w/ Warrants $ 8,500,000 Par 8/4/2011 49 $ 8,500,000 $ 0 Warrants 9/14/2011 Warrants R $ 315,000 

117 - 

8/1/2012 12/19/2008 VIST Financial Corp. Wyomissing PA Preferred Stock w/ Warrants $ 25,000,000 Par 8/1/2012 116 $ 25,000,000 $ 0 Warrants 8/1/2012 Warrants 116 R $ 1,189,813 

12/19/2008 Wainwright Bank & Trust Company Boston MA Preferred Stock w/ Warrants $ 22,000,000 Par 11/24/2009 4 $ 22,000,000 $ 0 Warrants 12/16/2009 Warrants R $ 568,700 

45 - 6/3/2011 12/19/2008 Whitney Holding Corporation New Orleans LA Preferred Stock w/ Warrants $ 300,000,000 Par 6/3/2011 $ 300,000,000 $ 0 Warrants 6/3/2011 Warrants 45 R $ 6,900,000 

81 - 

4/19/2012 12/19/2008 The Connecticut Bank and Trust Company Hartford CT Preferred Stock w/ Warrants $ 5,448,000 Par 4/19/2012 81 $ 5,448,000 $ 0 Warrants 4/19/2012 Warrants 81 R $ 792,783 

50 12/19/2008 CoBiz Financial Inc. Denver CO Preferred Stock w/ Warrants $ 64,450,000 Par 9/8/2011 50 $ 64,450,000 $ 0 Warrants 11/18/2011 Warrants P $ 143,677 

64 - 

10/21/2011 12/19/2008 Santa Lucia Bancorp Atascadero CA Preferred Stock w/ Warrants $ 4,000,000 Par 10/21/2011 64 $ 2,800,000 $ 0 N/A N/A N/A 64 - N/A 

77 - 

3/28/2012 12/19/2008 Seacoast Banking Corporation of Florida Stuart FL Preferred Stock w/ Warrants $ 50,000,000 Par 3/28/2012 77 $ 40,404,700 $ 0 Warrants 5/30/2012 Warrants R $ 55,000 

11/10/2010 4 $ 6,250,000 $ 18,750,000

8/25/2011 50 $ 18,750,000 $ 0

92 - 

6/27/2012 12/19/2008 Fidelity Southern Corporation Atlanta GA Preferred Stock w/ Warrants $ 48,200,000 Par 6/27/2012 92 $ 42,757,786 $ 0 Warrants

12/19/2008 Community Financial Corporation Staunton VA Preferred Stock w/ Warrants $ 12,643,000 Par 

12/19/2008 Berkshire Hills Bancorp, Inc. Pittsfield MA Preferred Stock w/ Warrants $ 40,000,000 Par 5/27/2009 4 $ 40,000,000 $ 0 Warrants 6/24/2009 Warrants R $ 1,040,000 

50 12/19/2008 First California Financial Group, Inc Westlake Village CA Preferred Stock w/ Warrants $ 25,000,000 Par 7/14/2011 50 $ 25,000,000 $ 0 Warrants 8/24/2011 Warrants R $ 599,042 

50 12/19/2008 AmeriServ Financial, Inc Johnstown PA Preferred Stock w/ Warrants $ 21,000,000 Par 8/11/2011 50 $ 21,000,000 $ 0 Warrants 11/2/2011 Warrants R $ 825,000 

30 - 

9/29/2010 12/19/2008 Security Federal Corporation Aiken SC Preferred Stock w/ Warrants $ 18,000,000 Par 9/29/2010 4 $ 18,000,000 $ 0 Warrants

12/19/2008 Wintrust Financial Corporation Lake Forest IL Preferred Stock w/ Warrants $ 250,000,000 Par 12/22/2010 4 $ 250,000,000 $ 0 Warrants 2/8/2011 Warrants A $ 25,600,564 

12/19/2008 Flushing Financial Corporation Lake Success NY Preferred Stock w/ Warrants $ 70,000,000 Par 10/28/2009 5 $ 70,000,000 $ 0 Warrants 12/30/2009 Warrants 9 R $ 900,000 

12/19/2008 Monarch Financial Holdings, Inc. Chesapeake VA Preferred Stock w/ Warrants $ 14,700,000 Par 12/23/2009 5 $ 14,700,000 $ 0 Warrants 2/10/2010 Warrants 9 R $ 260,000 

4/13/2011 4 $ 7,500,000 $ 22,500,000 Preferred Stock w/ 

Warrants

12/28/2011 4 $ 22,500,000 $ 0 Warrants

18 12/19/2008 Union First Market Bankshares Corporation

(Union Bankshares Corporation) Bowling Green VA Preferred Stock w/ Warrants $ 59,000,000 Par 11/18/2009 5 $ 59,000,000 $ 0 Warrants 12/23/2009 Warrants 9 R $ 450,000 

12/19/2008 Tidelands Bancshares, Inc Mount Pleasant SC Preferred Stock w/ Warrants $ 14,448,000 Par 

12/19/2008 Bancorp Rhode Island, Inc. Providence RI Preferred Stock w/ Warrants $ 30,000,000 Par 8/5/2009 4 $ 30,000,000 $ 0 Warrants 9/30/2009 Warrants R $ 1,400,000 

12/19/2008 Hawthorn Bancshares, Inc. Lee's Summit MO Preferred Stock w/ Warrants $ 30,255,000 Par 5/9/2012 4 $ 12,000,000 $ 18,255,000 Preferred Stock w/ 

Warrants

49 12/19/2008 The Elmira Savings Bank, FSB Elmira NY Preferred Stock w/ Warrants $ 9,090,000 Par 8/25/2011 49 $ 9,090,000 $ 0 Warrants

12/19/2008 Alliance Financial Corporation Syracuse NY Preferred Stock w/ Warrants $ 26,918,000 Par 5/13/2009 4 $ 26,918,000 $ 0 Warrants 6/17/2009 Warrants R $ 900,000 

50 12/19/2008 Heartland Financial USA, Inc. Dubuque IA Preferred Stock w/ Warrants $ 81,698,000 Par 9/15/2011 50 $ 81,698,000 $ 0 Warrants 9/28/2011 Warrants R $ 1,800,000 

12/19/2008 Citizens First Corporation Bowling Green KY Preferred Stock w/ Warrants $ 8,779,000 Par 2/16/2011 4 $ 2,212,308 $ 6,566,692 Preferred Stock w/ 

Warrants

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

2, 49 12/19/2008 Plains Capital Corporation Dallas TX Preferred Stock w/ Exercised Warrants $ 87,631,000 Par 9/27/2011 49 $ 87,631,000 $ 0 Preferred Stock 2 9/27/2011 Preferred Stock 2, 7 R $ 4,382,000 

2, 49 12/19/2008 Tri-County Financial Corporation Waldorf MD Preferred Stock w/ Exercised Warrants $ 15,540,000 Par 9/22/2011 49 $ 15,540,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 777,000 

2, 3 12/19/2008 OneUnited Bank Boston MA Preferred Stock $ 12,063,000 Par 

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

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

2, 102 12/19/2008 Marquette National Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 35,500,000 Par 7/27/2012 102 $ 25,313,186 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock 2, 7 P $ 1,450,171 

2, 103 12/19/2008 Exchange Bank Santa Rosa CA Preferred Stock w/ Exercised Warrants $ 43,000,000 Par 7/27/2012 103 $ 37,259,393 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock 2, 7 P $ 2,054,215 

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

2 12/19/2008 Bridgeview Bancorp, Inc. Bridgeview IL Preferred Stock w/ Exercised Warrants $ 38,000,000 Par 

2, 104 12/19/2008 Fidelity Financial Corporation Wichita KS Preferred Stock w/ Exercised Warrants $ 36,282,000 Par 7/27/2012 104 $ 32,013,328 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock 2, 7 P $ 1,725,103 

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

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

2, 50 12/19/2008 FCB Bancorp, Inc. Louisville KY Preferred Stock w/ Exercised Warrants $ 9,294,000 Par 9/22/2011 50 $ 9,294,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 465,000 

12/23/2008 First Financial Bancorp Cincinnati OH Preferred Stock w/ Warrants $ 80,000,000 Par 2/24/2010 5 $ 80,000,000 $ 0 Warrants 6/2/2010 Warrants 9 A $ 2,966,288 

2/23/2011 4 $ 15,000,000 $ 8,864,000 Preferred Stock w/ 

Warrants $ 1,395,000 

Horizon Bancorp Michigan City IN 

12/23/2008 Bridge Capital Holdings CA Preferred Stock w/ Warrants 

Preferred Stock w/ Warrants 

Par 

Warrants

San Jose 4/20/2011

11/18/2011 Warrants

Warrants

P $ 1,750,551 

$ 23,864,000

$ 25,000,000 Par 

12/19/2008 StellarOne Corporation Charlottesville VA Preferred Stock w/ Warrants $ 30,000,000 Par 

50 12/19/2008

R
Page 5 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

3/16/2011 4 $ 8,864,000 $ 0 Warrants

12/23/2008 International Bancshares Corporation Laredo TX Preferred Stock w/ Warrants $ 216,000,000 Par 7/11/2011 4 $ 40,000,000 $ 176,000,000 Preferred Stock w/ 

Warrants

12/23/2008 First Sound Bank Seattle WA Preferred Stock w/ Warrants $ 7,400,000 Par 

5/18/2011 4 $ 370,000,000 $ 230,000,000 Preferred Stock w/ 

Warrants

8/17/2012 119 $ 230,000,000 $ 0 Warrants

49 12/23/2008 Emclaire Financial Corp. Emlenton PA Preferred Stock w/ Warrants $ 7,500,000 Par 8/18/2011 49 $ 7,500,000 $ 0 Warrants 12/7/2011 Warrants R $ 51,113 

12/23/2008 Park National Corporation Newark OH Preferred Stock w/ Warrants $ 100,000,000 Par 4/25/2012 4 $ 100,000,000 $ 0 Warrants 5/2/2012 Warrants R $ 2,842,400 

59 - 9/7/2011 12/23/2008 Green Bankshares, Inc. Greeneville TN Preferred Stock w/ Warrants $ 72,278,000 Par 9/7/2011 59 $ 68,700,000 $ 0 N/A N/A N/A 59 - N/A 

12/23/2008 Cecil Bancorp, Inc. Elkton MD Preferred Stock w/ Warrants $ 11,560,000 Par 

2/23/2011 4 $ 12,505,000 $ 25,010,000 Preferred Stock w/ 

Warrants

3/30/2011 4 $ 25,010,000 $ 0 Warrants

12/23/2008 Fulton Financial Corporation Lancaster PA Preferred Stock w/ Warrants $ 376,500,000 Par 7/14/2010 4 $ 376,500,000 $ 0 Warrants 9/8/2010 Warrants R $ 10,800,000 

30 - 9/3/2010 12/23/2008 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock w/ Warrants $ 10,300,000 Par 9/3/2010 4 $ 10,300,000 $ 0 Warrants

50 12/23/2008 MutualFirst Financial, Inc. Muncie IN Preferred Stock w/ Warrants $ 32,382,000 Par 8/25/2011 50 $ 32,382,000 $ 0 Warrants 9/28/2011 Warrants R $ 900,194 

12/23/2008 BCSB Bancorp, Inc. Baltimore MD Preferred Stock w/ Warrants $ 10,800,000 Par 1/26/2011 4 $ 10,800,000 $ 0 Warrants

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

39- 

3/11/2011 12/23/2008 First Community Bank Corporation of America Pinellas Park FL Preferred Stock w/ Warrants $ 10,685,000 Par 5/31/2011 39 $ 7,754,267 $ 0 N/A N/A N/A - N/A 

12/23/2008 Sterling Bancorp New York NY Preferred Stock w/ Warrants $ 42,000,000 Par 4/27/2011 4 $ 42,000,000 $ 0 Warrants 5/18/2011 Warrants R $ 945,775 

12/23/2008 Intervest Bancshares Corporation New York NY Preferred Stock w/ Warrants $ 25,000,000 Par 

93 - 

6/27/2012 12/23/2008 Peoples Bancorp of North Carolina, Inc. Newton NC Preferred Stock w/ Warrants $ 25,054,000 Par 6/27/2012 93 $ 23,033,635 $ 0 Warrants 8/8/2012 Warrants R $ 425,000 

67 - 

12/29/2011 12/23/2008 F.N.B. Corporation (Parkvale Financial Corporation) Hermitage PA Preferred Stock w/ Warrants $ 31,762,000 Par 1/3/2012 67 $ 31,762,000 $ 0 Warrants

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

12/23/2008 1st Constitution Bancorp Cranbury NJ Preferred Stock w/ Warrants $ 12,000,000 Par 10/27/2010 4 $ 12,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 326,576 

12/23/2008 Central Jersey Bancorp Oakhurst NJ Preferred Stock w/ Warrants $ 11,300,000 Par 11/24/2010 4 $ 11,300,000 $ 0 Warrants 12/1/2010 Warrants R $ 319,659 

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

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

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

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

3, 30 - 

8/20/2010 12/23/2008 Mission Valley Bancorp Sun Valley CA Preferred Stock $ 5,500,000 Par 8/20/2010 4 $ 5,500,000 $ 0 N/A N/A N/A - N/A 

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

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

2, 49 12/23/2008 Citizens Community Bank South Hill VA Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 7/28/2011 49 $ 3,000,000 $ 0 Preferred Stock 2 7/28/2011 Preferred Stock 2, 7 R $ 150,000 

2, 49 12/23/2008 Seacoast Commerce Bank Chula Vista CA Preferred Stock w/ Exercised Warrants $ 1,800,000 Par 9/1/2011 49 $ 1,800,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 90,000 

2 12/23/2008 TCNB Financial Corp. Dayton OH Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 8/3/2011 4 $ 2,000,000 $ 0 Preferred Stock 2 8/3/2011 Preferred Stock 2, 7 R $ 100,000 

2 12/23/2008 Leader Bancorp, Inc. Arlington MA Preferred Stock w/ Exercised Warrants $ 5,830,000 Par 11/24/2010 4 $ 5,830,000 $ 0 Preferred Stock 2 11/24/2010 Preferred Stock 2, 7 R $ 292,000 

2, 49 12/23/2008 Nicolet Bankshares, Inc. Green Bay WI Preferred Stock w/ Exercised Warrants $ 14,964,000 Par 9/1/2011 49 $ 14,964,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 748,000 

11/24/2009 4 $ 3,455,000 $ 10,340,000 Preferred Stock 2

6/8/2011 4 $ 3,455,000 $ 6,885,000 Preferred Stock 2

8/18/2011 49 $ 6,885,000 $ 0 Preferred Stock 2

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

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

2 12/23/2008 Capital Bancorp, Inc. Rockville MD Preferred Stock w/ Exercised Warrants $ 4,700,000 Par 12/30/2010 4 $ 4,700,000 $ 0 Preferred Stock 2 12/30/2010 Preferred Stock 2, 7 R $ 235,000 

2, 49 12/23/2008 Cache Valley Banking Company Logan UT Preferred Stock w/ Exercised Warrants $ 4,767,000 Par 7/14/2011 49 $ 4,767,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 238,000 

2, 61 12/23/2008 Citizens Bancorp Nevada City CA Preferred Stock w/ Exercised Warrants $ 10,400,000 Par 

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

2, 50 12/23/2008 Pacific Coast Bankers' Bancshares San Francisco CA Preferred Stock w/ Exercised Warrants $ 11,600,000 Par 7/28/2011 50 $ 11,600,000 $ 0 Preferred Stock 2 7/28/2011 Preferred Stock 2, 7 R $ 580,000 

12/31/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants $ 1,350,000,000 Par 3/30/2011 4 $ 1,350,000,000 $ 0 Warrants 9/22/2011 Warrants A $ 15,996,899 

12/31/2008 The PNC Financial Services Group Inc. Pittsburgh PA Preferred Stock w/ Warrants $ 7,579,200,000 Par 2/10/2010 4 $ 7,579,200,000 $ 0 Warrants 4/29/2010 Warrants A $ 320,277,984 

12/31/2008 Fifth Third Bancorp Cincinnati OH Preferred Stock w/ Warrants $ 3,408,000,000 Par 2/2/2011 4 $ 3,408,000,000 $ 0 Warrants 3/16/2011 Warrants R $ 280,025,936 

 

R $ 690,000 

5/11/2011 Warrants

8/18/2011 Preferred Stock

R $ 2,079,963 

 

Preferred Stock w/ Exercised Warrants 

 

12/23/2008 Financial Institutions, Inc. Warsaw NY Preferred Stock w/ Warrants 

$ 13,795,000 Par 

 

2, 7

$ 37,515,000 Par 

 

2, 49 12/23/2008 Magna Bank Memphis TN 

119 12/23/2008 M&T Bank Corporation Buffalo NY Preferred Stock w/ Warrants $ 600,000,000 Par 
Page 6 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

31 - 

9/30/2010 12/31/2008 Hampton Roads Bankshares, Inc. Norfolk VA Common Stock w/ Warrants $ 80,347,000 Par 

16 12/31/2008 CIT Group Inc. New York NY Contingent Value Rights $ 2,330,000,000 Par 2/8/2010 16 $ 0 $ 0 N/A N/A N/A N/A 

12/31/2008 West Bancorporation, Inc. West Des Moines IA Preferred Stock w/ Warrants $ 36,000,000 Par 6/29/2011 4 $ 36,000,000 $ 0 Warrants 8/31/2011 Warrants R $ 700,000 

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

1a, 1b 1/9/2009 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants $ 10,000,000,000 Par 12/9/2009 4 $ 10,000,000,000 $ 0 Warrants 3/3/2010 Warrants 1b A $ 122,365,216 

1/9/2009 FirstMerit Corporation Akron OH Preferred Stock w/ Warrants $ 125,000,000 Par 4/22/2009 4 $ 125,000,000 $ 0 Warrants 5/27/2009 Warrants R $ 5,025,000 

87 - 

06/13/2012 1/9/2009 Farmers Capital Bank Corporation Frankfort KY Preferred Stock w/ Warrants $ 30,000,000 Par 6/13/2012 87 $ 21,863,750 $ 0 Warrants 7/18/2012 Warrants R $ 75,000 

1/6/2010 4 $ 7,172,000 $ 21,513,000 Preferred Stock w/ 

Warrants

3/2/2011 4 $ 7,172,000 $ 14,341,000 Preferred Stock w/ 

Warrants

1/11/2012 4 $ 14,341,000 $ 0 Warrants

1/9/2009 Commerce National Bank Newport Beach CA Preferred Stock w/ Warrants $ 5,000,000 Par 10/7/2009 4 $ 5,000,000 $ 0 Warrants

1/9/2009 The First Bancorp, Inc. Damariscotta ME Preferred Stock w/ Warrants $ 25,000,000 Par 8/24/2011 4 $ 12,500,000 $ 12,500,000 Preferred Stock w/ 

Warrants 

1/9/2009 Sun Bancorp, Inc. Vineland NJ Preferred Stock w/ Warrants $ 89,310,000 Par 4/8/2009 4 $ 89,310,000 $ 0 Warrants 5/27/2009 Warrants R $ 2,100,000 

65 - 

11/15/2011 1/9/2009 Crescent Financial Bancshares, Inc. (Crescent Financial Corporation) Cary NC Preferred Stock w/ Warrants $ 24,900,000 Par 

1/9/2009 American Express Company New York NY Preferred Stock w/ Warrants $ 3,388,890,000 Par 6/17/2009 4 $ 3,388,890,000 $ 0 Warrants 7/29/2009 Warrants R $ 340,000,000 

6/17/2011 46 $ 35,883,281 $ 99,116,719 Common Stock w/ 

Warrants

3/29/2012 46 $ 36,039,222 $ 0 Warrants

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

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

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

1/9/2009 Independent Bank Corp. Rockland MA Preferred Stock w/ Warrants $ 78,158,000 Par 4/22/2009 4 $ 78,158,000 $ 0 Warrants 5/27/2009 Warrants R $ 2,200,000 

33 1/9/2009 Cadence Financial Corporation Starkville MS Preferred Stock w/ Warrants $ 44,000,000 Par 3/4/2011 33 $ 38,000,000 $ 0 N/A N/A N/A N/A 

1/9/2009 LCNB Corp. Lebanon OH Preferred Stock w/ Warrants $ 13,400,000 Par 10/21/2009 4 $ 13,400,000 $ 0 Warrants 11/18/2011 Warrants P $ 602,557 

49 1/9/2009 Center Bancorp, Inc. Union NJ Preferred Stock w/ Warrants $ 10,000,000 Par 9/15/2011 49 $ 10,000,000 $ 0 Warrants 12/7/2011 Warrants R $ 245,000 

1/9/2009 F.N.B. Corporation Hermitage PA Preferred Stock w/ Warrants $ 100,000,000 Par 9/9/2009 4 $ 100,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 690,100 

7/27/2011 4 $ 10,000,000 $ 10,000,000 Preferred Stock w/ 

Warrants 

4/11/2012 4 $ 10,000,000 $ 0 Warrants

1/9/2009 North Central Bancshares, Inc. Fort Dodge IA Preferred Stock w/ Warrants $ 10,200,000 Par 12/14/2011 4 $ 10,200,000 $ 0 Warrants 1/11/2012 Warrants R $ 600,000 

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

50 1/9/2009 First Bancorp Troy NC Preferred Stock w/ Warrants $ 65,000,000 Par 9/1/2011 50 $ 65,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 924,462 

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

49 1/9/2009 Codorus Valley Bancorp, Inc. York PA Preferred Stock w/ Warrants $ 16,500,000 Par 8/18/2011 49 $ 16,500,000 $ 0 Warrants 9/28/2011 Warrants R $ 526,604 

49 1/9/2009 MidSouth Bancorp, Inc. Lafayette LA Preferred Stock w/ Warrants $ 20,000,000 Par 8/25/2011 49 $ 20,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 206,557 

1/9/2009 First Security Group, Inc. Chattanooga TN Preferred Stock w/ Warrants $ 33,000,000 Par 

1/9/2009 Shore Bancshares, Inc. Easton MD Preferred Stock w/ Warrants $ 25,000,000 Par 4/15/2009 4 $ 25,000,000 $ 0 Warrants 11/16/2011 Warrants R $ 25,000 

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

2 1/9/2009 American State Bancshares, Inc. Great Bend KS Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 11/2/2011 4 $ 6,000,000 $ 0 Preferred Stock 2 11/2/2011 Preferred Stock 2, 7 R $ 300,000 

2, 49 1/9/2009 Security California Bancorp Riverside CA Preferred Stock w/ Exercised Warrants $ 6,815,000 Par 9/15/2011 49 $ 6,815,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 341,000 

2, 49 1/9/2009 Security Business Bancorp San Diego CA Preferred Stock w/ Exercised Warrants $ 5,803,000 Par 7/14/2011 49 $ 5,803,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 290,000 

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

3 1/9/2009 Mission Community Bancorp San Luis Obispo CA Preferred Stock $ 5,116,000 Par 12/28/2011 4 $ 5,116,000 $ 0 N/A N/A N/A - N/A 

2, 49 1/9/2009 Redwood Financial Inc. Redwood Falls MN Preferred Stock w/ Exercised Warrants $ 2,995,000 Par 8/18/2011 49 $ 2,995,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 150,000 

2 1/9/2009 Surrey Bancorp Mount Airy NC Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 12/29/2010 4 $ 2,000,000 $ 0 Preferred Stock 2 12/29/2010 Preferred Stock 2, 7 R $ 100,000 

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

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

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

2, 49 1/9/2009 Community Trust Financial Corporation Ruston LA Preferred Stock w/ Exercised Warrants $ 24,000,000 Par 7/6/2011 49 $ 24,000,000 $ 0 Preferred Stock 2 7/6/2011 Preferred Stock 2, 7 R $ 1,200,000 

2, 50 1/9/2009 GrandSouth Bancorporation Greenville SC Preferred Stock w/ Exercised Warrants $ 9,000,000 Par 9/8/2011 50 $ 9,000,000 $ 0 Preferred Stock 2 9/8/2011 Preferred Stock 2, 7 R $ 450,000 

2 1/9/2009 Texas National Bancorporation Jacksonville TX Preferred Stock w/ Exercised Warrants $ 3,981,000 Par 5/19/2010 4 $ 3,981,000 $ 0 Preferred Stock 2 5/19/2010 Preferred Stock 2, 7 R $ 199,000 

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

4/4/2012

Preferred Stock w/ Warrants $ 20,000,000 Par 

Central Pacific Financial Corp. Honolulu 37, 46 - 

3/29/2012

1/9/2009 C&F Financial Corporation West Point VA 

1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Par 

HI Common Stock w/ Warrants $ 135,000,000 Par 

Preferred Stock w/ Warrants $ 28,685,000 Warrants

1/9/2009

R $ 110,000 
Page 7 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

1/16/2009 Home Bancshares, Inc. Conway AR Preferred Stock w/ Warrants $ 50,000,000 Par 7/6/2011 4 $ 50,000,000 $ 0 Warrants 7/27/2011 Warrants R $ 1,300,000 

1/16/2009 Washington Banking Company Oak Harbor WA Preferred Stock w/ Warrants $ 26,380,000 Par 1/12/2011 4 $ 26,380,000 $ 0 Warrants 3/2/2011 Warrants 9 R $ 1,625,000 

49 1/16/2009 New Hampshire Thrift Bancshares, Inc. Newport NH Preferred Stock w/ Warrants $ 10,000,000 Par 8/25/2011 49 $ 10,000,000 $ 0 Warrants 2/15/2012 Warrants R $ 737,100 

1/16/2009 Bar Harbor Bankshares Bar Harbor ME Preferred Stock w/ Warrants $ 18,751,000 Par 2/24/2010 5 $ 18,751,000 $ 0 Warrants 7/28/2010 Warrants 9 R $ 250,000 

1/16/2009 Somerset Hills Bancorp Bernardsville NJ Preferred Stock w/ Warrants $ 7,414,000 Par 5/20/2009 4 $ 7,414,000 $ 0 Warrants 6/24/2009 Warrants R $ 275,000 

1/16/2009 SCBT Financial Corporation Columbia SC Preferred Stock w/ Warrants $ 64,779,000 Par 5/20/2009 4 $ 64,779,000 $ 0 Warrants 6/24/2009 Warrants R $ 1,400,000 

1/16/2009 S&T Bancorp Indiana PA Preferred Stock w/ Warrants $ 108,676,000 Par 12/7/2011 4 $ 108,676,000 $ 0 Warrants

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

28 - 

10/07/2011 1/16/2009 First BanCorp San Juan PR Common Stock w/ Warrants $ 424,174,000 Par 

1/16/2009 Texas Capital Bancshares, Inc. Dallas TX Preferred Stock w/ Warrants $ 75,000,000 Par 5/13/2009 4 $ 75,000,000 $ 0 Warrants 3/11/2010 Warrants A $ 6,559,066 

124 1/16/2009 Yadkin Valley Financial Corporation Elkin NC Preferred Stock w/ Warrants $ 36,000,000 Par 9/12/2012 124 $ 31,843,080 $ 0 Warrants

3, 30 - 

8/27/2010 1/16/2009 Carver Bancorp, Inc New York NY Preferred Stock $ 18,980,000 Par 8/27/2010 4 $ 18,980,000 $ 0 N/A N/A N/A - N/A 

1/16/2009 Citizens & Northern Corporation Wellsboro PA Preferred Stock w/ Warrants $ 26,440,000 Par 8/4/2010 4 $ 26,440,000 $ 0 Warrants 9/1/2010 Warrants R $ 400,000 

78 - 

3/28/2012 1/16/2009 MainSource Financial Group, Inc. Greensburg IN Preferred Stock w/ Warrants $ 57,000,000 Par 3/28/2012 78 $ 52,277,171 $ 0 Warrants

95 - 

6/27/2012 1/16/2009 MetroCorp Bancshares, Inc. Houston TX Preferred Stock w/ Warrants $ 45,000,000 Par 6/27/2012 95 $ 43,490,360 $ 0 Warrants

91 - 

06/13/2012 1/16/2009 United Bancorp, Inc. Tecumseh MI Preferred Stock w/ Warrants $ 20,600,000 Par 6/13/2012 91 $ 16,750,221 $ 0 Warrants 7/18/2012 Warrants R $ 38,000 

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

96 - 

6/27/2012 1/16/2009 Pulaski Financial Corp Creve Coeur MO Preferred Stock w/ Warrants $ 32,538,000 Par 6/27/2012 96 $ 28,460,338 $ 0 Warrants 8/8/2012 Warrants R $ 1,100,000 

1/16/2009 OceanFirst Financial Corp. Toms River NJ Preferred Stock w/ Warrants $ 38,263,000 Par 12/30/2009 5 $ 38,263,000 $ 0 Warrants 2/3/2010 Warrants 9 R $ 430,797 

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

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

2 1/16/2009 Centra Financial Holdings, Inc. Morgantown WV Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 3/31/2009 4 $ 15,000,000 $ 0 Preferred Stock 2 4/15/2009 Preferred Stock 2, 7 R $ 750,000 

2, 50 1/16/2009 First Bankers Trustshares, Inc. Quincy IL Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 9/8/2011 50 $ 10,000,000 $ 0 Preferred Stock 2 9/8/2011 Preferred Stock 2, 7 R $ 500,000 

2, 19 1/16/2009 Pacific Coast National Bancorp San Clemente CA Preferred Stock w/ Exercised Warrants $ 4,120,000 Par 2/11/2010 19 $ 0 $ 0 N/A N/A N/A N/A 

3, 30 - 

9/29/2010 1/16/2009 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 Par 9/29/2010 4 $ 1,747,000 $ 0 N/A N/A N/A - N/A 

2, 49 1/16/2009 Redwood Capital Bancorp Eureka CA Preferred Stock w/ Exercised Warrants $ 3,800,000 Par 7/21/2011 49 $ 3,800,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 190,000 

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

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

2, 49 1/16/2009 Puget Sound Bank Bellevue WA Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 8/11/2011 49 $ 4,500,000 $ 0 Preferred Stock 2 8/11/2011 Preferred Stock 2, 7 R $ 225,000 

12/15/2010 4 $ 3,000,000 $ 2,658,000 Preferred Stock 2

9/15/2011 49 $ 2,658,000 $ 0 Preferred Stock 2

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

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

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

8/12/2009 4 $ 12,500,000 $ 37,500,000 Preferred Stock 2

6/29/2011 $ 37,500,000 $ 0 Preferred Stock 2

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

2 1/16/2009 First Manitowoc Bancorp, Inc. Manitowoc WI Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 5/27/2009 4 $ 12,000,000 $ 0 Preferred Stock 2 5/27/2009 Preferred Stock 2, 7 R $ 600,000 

3, 30 - 

8/6/2010 1/16/2009 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 Par 8/6/2010 4 $ 11,000,000 $ 0 N/A N/A N/A - N/A 

2 1/16/2009 Morrill Bancshares, Inc. Merriam KS Preferred Stock w/ Exercised Warrants $ 13,000,000 Par 7/20/2011 4 $ 13,000,000 $ 0 Preferred Stock 2 7/20/2011 Preferred Stock 2, 7 R $ 650,000 

2, 36 1/16/2009 Treaty Oak Bancorp, Inc. Austin TX Warrants $ 3,268,000 Par 2/15/2011 36 $ 500,000 $ 0 Warrants

1/23/2009 1st Source Corporation South Bend IN Preferred Stock w/ Warrants $ 111,000,000 Par 12/29/2010 4 $ 111,000,000 $ 0 Warrants 3/9/2011 Warrants R $ 3,750,000 

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

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

94 - 

6/27/2012 1/23/2009 First Citizens Banc Corp Sandusky OH Preferred Stock w/ Warrants $ 23,184,000 Par 6/27/2012 94 $ 20,689,633 $ 0 Warrants 9/5/2012 Warrants R $ 563,174 

79 - 

3/28/2012 1/23/2009 WSFS Financial Corporation Wilmington DE Preferred Stock w/ Warrants $ 52,625,000 Par 3/28/2012 79 $ 47,435,299 $ 0 Warrants 9/12/2012 Warrants R $ 1,800,000 

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

2, 13 - 

12/4/2009 1/23/2009 Three Shores Bancorporation, Inc. (Seaside National Bank & Trust) Orlando FL Preferred Stock w/ Exercised Warrants $ 5,677,000 Par 

2 1/16/2009 Preferred Stock w/ Exercised Warrants Par 6/29/2011

Vienna VA 9/15/2011 Preferred Stock

State Bankshares, Inc.

United Financial Banking Companies, Inc. $ 5,658,000 Par 

Fargo ND $ 50,000,000 Preferred Stock R $ 2,500,000 

2, 49 1/16/2009 Preferred Stock w/ Exercised Warrants R $ 283,000 

2, 7

2,7
Page 8 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

2 1/23/2009 CalWest Bancorp Rancho Santa 

Margarita CA Preferred Stock w/ Exercised Warrants $ 4,656,000 Par 

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

2 1/23/2009 First ULB Corp. Oakland CA Preferred Stock w/ Exercised Warrants $ 4,900,000 Par 4/22/2009 4 $ 4,900,000 $ 0 Preferred Stock 2 4/22/2009 Preferred Stock 2, 7 R $ 245,000 

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

2 1/23/2009 Midland States Bancorp, Inc. Effingham IL Preferred Stock w/ Exercised Warrants $ 10,189,000 Par 12/23/2009 4 $ 10,189,000 $ 0 Preferred Stock 2 12/23/2009 Preferred Stock 2, 7 R $ 509,000 

2 1/23/2009 Moscow Bancshares, Inc. Moscow TN Preferred Stock w/ Exercised Warrants $ 6,216,000 Par 4/25/2012 4 $ 1,100,000 $ 5,116,000 Preferred Stock 2

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

2 1/23/2009 California Oaks State Bank Thousand Oaks CA Preferred Stock w/ Exercised Warrants $ 3,300,000 Par 12/8/2010 4 $ 3,300,000 $ 0 Preferred Stock 2 12/8/2010 Preferred Stock 2, 7 R $ 165,000 

2, 51 1/23/2009 Pierce County Bancorp Tacoma WA Preferred Stock w/ Exercised Warrants $ 6,800,000 Par 

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

2, 50 1/23/2009 Liberty Bancshares, Inc. Jonesboro AR Preferred Stock w/ Exercised Warrants $ 57,500,000 Par 7/21/2011 50 $ 57,500,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 2,875,000 

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

2, 49 1/23/2009 BankFirst Capital Corporation Macon MS Preferred Stock w/ Exercised Warrants $ 15,500,000 Par 9/8/2011 49 $ 15,500,000 $ 0 Preferred Stock 2 9/8/2011 Preferred Stock 2, 7 R $ 775,000 

2, 49 1/23/2009 Southern Illinois Bancorp, Inc. Carmi IL Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 8/25/2011 49 $ 5,000,000 $ 0 Preferred Stock 2 8/25/2011 Preferred Stock 2, 7 R $ 250,000 

12/16/2009 4 $ 1,000,000 $ 2,240,000 Preferred Stock 2

6/16/2010 4 $ 2,240,000 $ 0 Preferred Stock 2

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

2/2/2011 4 $ 21,000,000 $ 18,000,000 Preferred Stock w/ 

Warrants

12/28/2011 4 $ 18,000,000 $ 0 Warrants

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

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

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

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

1/30/2009 Middleburg Financial Corporation Middleburg VA Preferred Stock w/ Warrants $ 22,000,000 Par 12/23/2009 5 $ 22,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 301,001 

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

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

50 1/30/2009 Central Valley Community Bancorp Fresno CA Preferred Stock w/ Warrants $ 7,000,000 Par 8/18/2011 50 $ 7,000,000 $ 0 Warrants 9/28/2011 Warrants R $ 185,017 

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

49 1/30/2009 Stewardship Financial Corporation Midland Park NJ Preferred Stock w/ Warrants $ 10,000,000 Par 9/1/2011 49 $ 10,000,000 $ 0 Warrants 10/26/2011 Warrants R $ 107,398 

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

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

49 1/30/2009 Community Partners Bancorp Middletown NJ Preferred Stock w/ Warrants $ 9,000,000 Par 8/11/2011 49 $ 9,000,000 $ 0 Warrants 10/26/2011 Warrants R $ 460,000 

1/30/2009 Guaranty Federal Bancshares, Inc. Springfield MO Preferred Stock w/ Warrants $ 17,000,000 Par 6/13/2012 4 $ 5,000,000 $ 12,000,000 Warrants

1/30/2009 Annapolis Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants $ 8,152,000 Par 4/18/2012 4 $ 4,076,000 $ 4,076,000 Preferred Stock w/ 

Warrants

49 1/30/2009 DNB Financial Corporation Downingtown PA Preferred Stock w/ Warrants $ 11,750,000 Par 8/4/2011 49 $ 11,750,000 $ 0 Warrants 9/21/2011 Warrants R $ 458,000 

97 - 

6/27/2012 1/30/2009 Firstbank Corporation Alma MI Preferred Stock w/ Warrants $ 33,000,000 Par 6/27/2012 97 $ 30,587,530 $ 0 Warrants 7/18/2012 Warrants R $ 1,946,670 

2 1/30/2009 Valley Commerce Bancorp Visalia CA Preferred Stock w/ Exercised Warrants $ 7,700,000 Par 3/21/2012 4 $ 7,700,000 $ 0 Preferred Stock 2 3/21/2012 Preferred Stock 2, 7 R $ 385,000 

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

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

2, 49 1/30/2009 Adbanc, Inc Ogallala NE Preferred Stock w/ Exercised Warrants $ 12,720,000 Par 7/21/2011 49 $ 12,720,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 636,000 

7/6/2011 4 $ 1,500,000 $ 4,500,000 Preferred Stock 2

10/19/2011 4 $ 1,500,000 $ 3,000,000 Preferred Stock 2

3/7/2012 4 $ 1,500,000 $ 1,500,000 Preferred Stock 2

6/6/2012 4 $ 1,200,000 $ 300,000 Preferred Stock 2

6/27/2012 4 $ 300,000 $ 0 Preferred Stock 2

3, 53 1/30/2009 Legacy Bancorp, Inc. Milwaukee WI Preferred Stock $ 5,498,000 Par 

2 1/30/2009 First Southern Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants $ 10,900,000 Par 6/16/2010 4 $ 10,900,000 $ 0 Preferred Stock 2 6/16/2010 Preferred Stock 2, 7 R $ 545,000 

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

2, 49 1/30/2009 Katahdin Bankshares Corp. Houlton ME Preferred Stock w/ Exercised Warrants $ 10,449,000 Par 8/18/2011 49 $ 10,449,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 522,000 

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

2, 49 1/30/2009 UBT Bancshares, Inc. Marysville KS Preferred Stock w/ Exercised Warrants $ 8,950,000 Par 8/11/2011 49 $ 8,950,000 $ 0 Preferred Stock 2 8/11/2011 Preferred Stock 2, 7 R $ 450,000 

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

2, 50 1/30/2009 W.T.B. Financial Corporation Spokane WA Preferred Stock w/ Exercised Warrants $ 110,000,000 Par 9/15/2011 50 $ 110,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 5,500,000 

2, 50 1/30/2009 AMB Financial Corp. Munster IN Preferred Stock w/ Exercised Warrants $ 3,674,000 Par 9/22/2011 50 $ 3,674,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 184,000 

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

Peoples Bancorp Inc. Marietta 

FPB Financial Corp. LA 

OH 

2 Hammond 

1/30/2009 2/15/2012

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

6/16/2010 Preferred Stock

6/27/2012 R $ 300,000 2, 7 Preferred Stock

2, 7 Preferred Stock w/ Exercised Warrants 

Preferred Stock w/ Warrants $ 39,000,000 Par $ 1,200,724 

1/23/2009 $ 3,240,000 Par R $ 162,000 

Warrants R
Page 9 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

2, 49 1/30/2009 Equity Bancshares, Inc. Wichita KS Preferred Stock w/ Exercised Warrants $ 8,750,000 Par 8/11/2011 49 $ 8,750,000 $ 0 Preferred Stock 2 8/11/2011 Preferred Stock 2, 7 R $ 438,000 

2, 13 - 

10/30/2009, 

49

1/30/2009 WashingtonFirst Bankshares, Inc. 

(WashingtonFirst Bank) Reston VA Preferred Stock w/ Exercised Warrants $ 6,633,000 Par 8/4/2011 49 $ 6,633,000 $ 0 Preferred Stock 2 8/4/2011 Preferred Stock 2, 7 R $ 332,000 

2 1/30/2009 Central Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 5,800,000 Par 7/6/2011 4 $ 5,800,000 $ 0 Preferred Stock 2 7/6/2011 Preferred Stock 2, 7 R $ 290,000 

2 1/30/2009 Hilltop Community Bancorp, Inc. Summit NJ Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 4/21/2010 4 $ 4,000,000 $ 0 Preferred Stock 2 4/21/2010 Preferred Stock 2, 7 R $ 200,000 

2, 49 1/30/2009 Northway Financial, Inc. Berlin NH Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 9/15/2011 49 $ 10,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 500,000 

2, 49 1/30/2009 Monument Bank Bethesda MD Preferred Stock w/ Exercised Warrants $ 4,734,000 Par 8/11/2011 49 $ 4,734,000 $ 0 Preferred Stock 2 8/11/2011 Preferred Stock 2, 7 R $ 237,000 

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

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

2, 50 1/30/2009 First Resource Bank Exton PA Preferred Stock w/ Exercised Warrants $ 2,600,000 Par 9/15/2011 50 $ 2,600,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 130,000 

2/6/2009 MidWestOne Financial Group, Inc. Iowa City IA Preferred Stock w/ Warrants $ 16,000,000 Par 7/6/2011 4 $ 16,000,000 $ 0 Warrants 7/27/2011 Warrants R $ 1,000,000 

8/4/2010 4 $ 20,000,000 $ 39,000,000 Preferred Stock w/ 

Warrants

3/16/2011 4 $ 20,000,000 $ 19,000,000 Preferred Stock w/ 

Warrants

2/8/2012 4 $ 19,000,000 $ 0 Warrants

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

30 - 

9/29/2010 2/6/2009 The First Bancshares, Inc. Hattiesburg MS Preferred Stock w/ Warrants $ 5,000,000 Par 9/29/2010 4 $ 5,000,000 $ 0 Warrants

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

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

3, 30 - 

8/13/2010 2/6/2009 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 Par 8/13/2010 4 $ 3,000,000 $ 0 N/A N/A N/A - N/A 

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

1/14/2011 4 $ 4,000,000 $ 11,568,000 Preferred Stock 2

3/16/2011 4 $ 11,568,000 $ 0 Preferred Stock 2

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

2 2/6/2009 First Express of Nebraska, Inc. Gering NE Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 2/15/2012 4 $ 5,000,000 $ 0 Preferred Stock 2 2/15/2012 Preferred Stock 2, 7 R $ 250,000 

2, 49 2/6/2009 Mercantile Capital Corp. Boston MA Preferred Stock w/ Exercised Warrants $ 3,500,000 Par 8/4/2011 49 $ 3,500,000 $ 0 Preferred Stock 2 8/4/2011 Preferred Stock 2, 7 R $ 175,000 

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

3, 30 - 

9/24/2010 2/6/2009 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 Par 9/24/2010 4 $ 5,645,000 $ 0 N/A N/A N/A - N/A 

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

18 2/6/2009 Union First Market Bankshares Corporation

(First Market Bank, FSB) Bowling Green VA Preferred Stock $ 33,900,000 Par 12/7/2011 4 $ 35,595,000 $ 0 N/A N/A N/A - N/A 

2, 49 2/6/2009 Banner County Ban Corporation Harrisburg NE Preferred Stock w/ Exercised Warrants $ 795,000 Par 7/28/2011 49 $ 795,000 $ 0 Preferred Stock 2 7/28/2011 Preferred Stock 2, 7 R $ 40,000 

2, 49 2/6/2009 Centrix Bank & Trust Bedford NH Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 7/28/2011 49 $ 7,500,000 $ 0 Preferred Stock 2 7/28/2011 Preferred Stock 2, 7 R $ 375,000 

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

2 2/6/2009 Georgia Commerce Bancshares, Inc. Atlanta GA Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 2/16/2011 4 $ 8,700,000 $ 0 Preferred Stock 2 2/16/2011 Preferred Stock 2, 7 R $ 435,000 

2, 50 2/6/2009 First Bank of Charleston, Inc. Charleston WV Preferred Stock w/ Exercised Warrants $ 3,345,000 Par 7/21/2011 50 $ 3,345,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 167,000 

2, 126 2/6/2009 F & M Financial Corporation Salisbury NC Preferred Stock w/ Exercised Warrants $ 17,000,000 Par 9/12/2012 126 $ 15,988,500 $ 0 Preferred Stock 2 9/12/2012 Preferred Stock 2, 7 P $ 775,274 

2, 34 2/6/2009 The Bank of Currituck Moyock NC Preferred Stock w/ Exercised Warrants $ 4,021,000 Par 12/3/2010 34 $ 1,742,850 $ 0 N/A N/A N/A 34 - N/A 

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

2, 101 2/6/2009 Community Bancshares of Mississippi, Inc.

(Community Holding Company of Florida, Inc.) Brandon MS Preferred Stock w/ Exercised Warrants $ 1,050,000 Par 

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

2, 13 - 

2/10/2010 2/6/2009 Pascack Bancorp, Inc. (Pascack Community Bank) Westwood NJ Preferred Stock w/ Exercised Warrants $ 3,756,000 Par 10/19/2011 4 $ 3,756,000 $ 0 Preferred Stock 2 10/19/2011 Preferred Stock 2, 7 R $ 188,000 

2, 105 2/6/2009 First Western Financial, Inc. Denver CO Preferred Stock w/ Exercised Warrants $ 8,559,000 Par 7/27/2012 Preferred Stock

2, 7, 

105 P $ 351,052 

49 2/13/2009 QCR Holdings, Inc. Moline IL Preferred Stock w/ Warrants $ 38,237,000 Par 9/15/2011 49 $ 38,237,000 $ 0 Warrants 11/16/2011 Warrants R $ 1,100,000 

9/2/2009 4 $ 41,863,000 $ 41,863,000 Preferred Stock w/ 

Warrants 

11/18/2009 4 $ 41,863,000 $ 0 Warrants

12/22/2010 4 $ 17,000,000 $ 17,000,000 Preferred Stock w/ 

Warrants 

11/23/2011 4 $ 17,000,000 $ 0 Warrants

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

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

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

2/13/2009 The Bank of Kentucky Financial Corporation Crestview Hills KY Preferred Stock w/ Warrants 

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

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

SD 3/16/2011 Preferred Stock R $ 778,000 2, 7

2/29/2012 R $ 2,800,000 

$ 34,000,000 Par 

Rapid City 

11/18/2011

Warrants

Warrants P $ 878,256 
Page 10 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

58 - 

10/21/2011 2/13/2009 FNB United Corp. Asheboro NC Common Stock w/ Warrants $ 51,500,000 Par 

2, 49 2/13/2009 First Menasha Bancshares, Inc. Neenah WI Preferred Stock w/ Exercised Warrants $ 4,797,000 Par 9/15/2011 49 $ 4,797,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 240,000 

2, 49 2/13/2009 1st Enterprise Bank Los Angeles CA Preferred Stock w/ Exercised Warrants $ 4,400,000 Par 9/1/2011 49 $ 4,400,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 220,000 

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

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

2, 30 - 

9/29/2010 2/13/2009 State Capital Corporation Greenwood MS Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 9/29/2010 4 $ 15,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 750,000 

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

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

2, 50 2/13/2009 Financial Security Corporation Basin WY Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 7/21/2011 50 $ 5,000,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 250,000 

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

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

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

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

2, 62 2/13/2009 Peoples Bancorp Lynden WA Preferred Stock w/ Exercised Warrants $ 18,000,000 Par 8/3/2011 62 $ 18,000,000 $ 0 Preferred Stock 2 8/3/2011 Preferred Stock 2, 7 R $ 900,000 

2, 30 - 

9/24/2010 2/13/2009 First Choice Bank Cerritos CA Preferred Stock w/ Exercised Warrants $ 2,200,000 Par 9/24/2010 4 $ 2,200,000 $ 0 N/A 9/24/2010 Preferred Stock

2, 7, 

30a R $ 110,000 

2, 115 2/13/2009 Gregg Bancshares, Inc. Ozark MO Preferred Stock w/ Exercised Warrants $ 825,000 Par 

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

2 2/13/2009 Midwest Regional Bancorp, Inc. Festus MO Preferred Stock w/ Exercised Warrants $ 700,000 Par 11/10/2009 4 $ 700,000 $ 0 Preferred Stock 2 11/10/2009 Preferred Stock 2, 7 R $ 35,000 

2, 49 2/13/2009 Bern Bancshares, Inc. Bern KS Preferred Stock w/ Exercised Warrants $ 985,000 Par 9/1/2011 49 $ 985,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 50,000 

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

2, 50 2/13/2009 Liberty Bancshares, Inc. Springfield MO Preferred Stock w/ Exercised Warrants $ 21,900,000 Par 8/18/2011 50 $ 21,900,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 1,095,000 

2, 127 2/13/2009 F&M Financial Corporation Clarksville TN Preferred Stock w/ Exercised Warrants $ 17,243,000 Par 9/12/2012 127 $ 13,443,074 $ 0 Preferred Stock 2 9/12/2012 Preferred Stock 2, 7 P $ 742,441 

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

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

2/20/2009 Royal Bancshares of Pennsylvania, Inc. Narberth PA Preferred Stock w/ Warrants $ 30,407,000 Par 

Preferred Stock w/ Warrants $ 69,600,000 Par 9/22/2011 50 $ 69,600,000 $ 0

Trust Preferred Securities $ 46,400,000 Par 9/22/2011 49 $ 46,400,000 $ 0

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

2, 25 2/20/2009 Sonoma Valley Bancorp Sonoma CA Preferred Stock w/ Exercised Warrants $ 8,653,000 Par 

2, 50 2/20/2009 Guaranty Bancorp, Inc. Woodsville NH Preferred Stock w/ Exercised Warrants $ 6,920,000 Par 9/15/2011 50 $ 6,920,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 346,000 

2, 49 2/20/2009 The Private Bank of California Los Angeles CA Preferred Stock w/ Exercised Warrants $ 5,450,000 Par 9/1/2011 49 $ 5,450,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 273,000 

2, 30 - 

9/29/2010 2/20/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock w/ Exercised Warrants $ 1,998,000 Par 9/29/2010 4 $ 1,998,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 100,000 

2 2/20/2009 Liberty Shares, Inc. Hinesville GA Preferred Stock w/ Exercised Warrants $ 17,280,000 Par 

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

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

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

2 2/20/2009 First Priority Financial Corp. Malvern PA Preferred Stock w/ Exercised Warrants $ 4,579,000 Par 

2 2/20/2009 Mid-Wisconsin Financial Services, Inc. Medford WI Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2 2/20/2009 Market Bancorporation, Inc. New Market MN Preferred Stock w/ Exercised Warrants $ 2,060,000 Par 

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

2, 49 2/20/2009 Security State Bancshares, Inc. Charleston MO Preferred Stock w/ Exercised Warrants $ 12,500,000 Par 9/22/2011 49 $ 12,500,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 625,000 

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

2, 30 - 

9/29/2010 2/20/2009 BancPlus Corporation Ridgeland MS Preferred Stock w/ Exercised Warrants $ 48,000,000 Par 9/29/2010 4 $ 48,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 2,400,000 

2 2/20/2009 Central Community Corporation Temple TX Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 

2 2/20/2009 First BancTrust Corporation Paris IL Preferred Stock w/ Exercised Warrants $ 7,350,000 Par 1/18/2012 4 $ 3,675,000 $ 3,675,000 Preferred Stock 2

2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

2, 49 2/20/2009 Florida Business BancGroup, Inc. Tampa FL Preferred Stock w/ Exercised Warrants $ 9,495,000 Par 9/22/2011 49 $ 9,495,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 475,000 

2 2/20/2009 Hamilton State Bancshares Hoschton GA Preferred Stock w/ Exercised Warrants $ 7,000,000 Par 4/13/2011 4 $ 7,000,000 $ 0 Preferred Stock 2 4/13/2011 Preferred Stock 2, 7 R $ 350,000 

2/27/2009 Lakeland Financial Corporation Warsaw IN Preferred Stock w/ Warrants $ 56,044,000 Par 6/9/2010 5 $ 56,044,000 $ 0 Warrants 11/18/2011 Warrants P $ 877,557 

30 - 

9/29/2010 2/27/2009 First M&F Corporation Kosciusko MS Preferred Stock w/ Warrants $ 30,000,000 Par 9/29/2010 4 $ 30,000,000 $ 0 Warrants

98 - 

6/27/2012 2/27/2009 Southern First Bancshares, Inc. Greenville SC Preferred Stock w/ Warrants $ 17,299,000 Par 6/27/2012 98 $ 15,403,722 $ 0 Warrants 7/25/2012 Warrants R $ 1,100,000 

27, 49, 50 2/20/2009 First Merchants Corporation Muncie IN Warrants 11/18/2011 Warrants P $ 367,500 
Page 11 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

14, 57 2/27/2009 Integra Bank Corporation Evansville IN Preferred Stock w/ Warrants $ 83,586,000 Par 

2 2/27/2009 Community First Inc. Columbia TN Preferred Stock w/ Exercised Warrants $ 17,806,000 Par 

2, 49 2/27/2009 BNC Financial Group, Inc. New Canaan CT Preferred Stock w/ Exercised Warrants $ 4,797,000 Par 8/4/2011 49 $ 4,797,000 $ 0 Preferred Stock 2 8/4/2011 Preferred Stock 2, 7 R $ 240,000 

2, 49 2/27/2009 California Bank of Commerce Lafayette CA Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 9/15/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 200,000 

2, 49 2/27/2009 Columbine Capital Corp. Buena Vista CO Preferred Stock w/ Exercised Warrants $ 2,260,000 Par 9/22/2011 49 $ 2,260,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 113,000 

2 2/27/2009 National Bancshares, Inc. Bettendorf IA Preferred Stock w/ Exercised Warrants $ 24,664,000 Par 

2 2/27/2009 First State Bank of Mobeetie Mobeetie TX Preferred Stock w/ Exercised Warrants $ 731,000 Par 4/14/2010 4 $ 731,000 $ 0 Preferred Stock 2 4/14/2010 Preferred Stock 2, 7 R $ 37,000 

2 2/27/2009 Ridgestone Financial Services, Inc. Brookfield WI Preferred Stock w/ Exercised Warrants $ 10,900,000 Par 

2 2/27/2009 Community Business Bank West Sacramento CA Preferred Stock w/ Exercised Warrants $ 3,976,000 Par 

2, 49 2/27/2009 D.L. Evans Bancorp Burley ID Preferred Stock w/ Exercised Warrants $ 19,891,000 Par 9/27/2011 49 $ 19,891,000 $ 0 Preferred Stock 2 9/27/2011 Preferred Stock 2, 7 R $ 995,000 

2 2/27/2009 TriState Capital Holdings, Inc. Pittsburgh PA Preferred Stock w/ Exercised Warrants $ 23,000,000 Par 9/26/2012 4 $ 23,000,000 $ 0 Warrants 9/26/2012 Warrants R $ 1,150,000 

2 2/27/2009 Green City Bancshares, Inc. Green City MO Preferred Stock w/ Exercised Warrants $ 651,000 Par 7/14/2010 4 $ 651,000 $ 0 Preferred Stock 2 7/14/2010 Preferred Stock 2, 7 R $ 33,000 

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

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

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

2, 49 2/27/2009 Regent Capital Corporation Nowata OK Preferred Stock w/ Exercised Warrants $ 2,655,000 Par 7/21/2011 49 $ 2,655,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 133,000 

2 2/27/2009 Central Bancorp, Inc. Garland TX Preferred Stock w/ Exercised Warrants $ 22,500,000 Par 

2, 49 2/27/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants $ 11,800,000 Par 7/21/2011 49 $ 11,800,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 590,000 

2, 30 - 

9/29/2010 2/27/2009 PSB Financial Corporation Many LA Preferred Stock w/ Exercised Warrants $ 9,270,000 Par 9/29/2010 4 $ 9,270,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 464,000 

2, 49 2/27/2009 Avenue Financial Holdings, Inc. Nashville TN Preferred Stock w/ Exercised Warrants $ 7,400,000 Par 9/15/2011 49 $ 7,400,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 370,000 

2, 49 2/27/2009 Howard Bancorp, Inc. Ellicott City MD Preferred Stock w/ Exercised Warrants $ 5,983,000 Par 9/22/2011 49 $ 5,983,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 299,000 

2, 50 2/27/2009 FNB Bancorp South San Francisco CA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 9/15/2011 50 $ 12,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 600,000 

2, 13 - 

12/4/2009, 

49

2/27/2009 The Victory Bancorp, Inc. 

(The Victory Bank) Limerick PA Preferred Stock w/ Exercised Warrants $ 541,000 Par 9/22/2011 49 $ 541,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 27,000 

2, 49 2/27/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 7/21/2011 49 $ 3,000,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 150,000 

2 2/27/2009 Midtown Bank & Trust Company Atlanta GA Preferred Stock w/ Exercised Warrants $ 5,222,000 Par 

3/6/2009 HCSB Financial Corporation Loris SC Preferred Stock w/ Warrants $ 12,895,000 Par 

50 3/6/2009 First Busey Corporation Urbana IL Preferred Stock w/ Warrants $ 100,000,000 Par 8/25/2011 50 $ 100,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 63,677 

42 - 5/3/2011 3/6/2009 First Federal Bancshares of Arkansas, Inc. Harrison AR Preferred Stock w/ Warrants $ 16,500,000 Par 5/3/2011 42 $ 6,000,000 $ 0 N/A N/A N/A N/A 

3, 30 - 

8/13/2010 3/6/2009 Citizens Bancshares Corporation Atlanta GA Preferred Stock $ 7,462,000 Par 8/13/2010 4 $ 7,462,000 $ 0 N/A N/A N/A - N/A 

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

2, 49 3/6/2009 First Texas BHC, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants $ 13,533,000 Par 9/15/2011 49 $ 13,533,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 677,000 

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

2 3/6/2009 Blue Ridge Bancshares, Inc. Independence MO Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 

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

2, 62 3/6/2009 Merchants and Planters Bancshares, Inc. Toone TN Preferred Stock w/ Exercised Warrants $ 1,881,000 Par 9/7/2011 62 $ 1,881,000 $ 0 Preferred Stock 2 9/7/2011 Preferred Stock 2, 7 R $ 94,000 

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

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

2, 49 3/6/2009 BOH Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 7/14/2011 49 $ 10,000,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 500,000 

2, 49 3/6/2009 AmeriBank Holding Company Collinsville OK Preferred Stock w/ Exercised Warrants $ 2,492,000 Par 9/15/2011 49 $ 2,492,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 125,000 

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

2, 116 3/6/2009 Pinnacle Bank Holding Company, Inc. Orange City FL Preferred Stock w/ Exercised Warrants $ 4,389,000 Par 

2, 71 3/6/2009 Blue River Bancshares, Inc. Shelbyville IN Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

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

2 3/6/2009 Community Bancshares of Kansas, Inc. Goff KS Preferred Stock w/ Exercised Warrants $ 500,000 Par 7/18/2012 4 $ 500,000 $ 0 Preferred Stock 2 7/18/2012 Preferred Stock 2, 7 R $ 25,000 

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

2, 106 3/6/2009 Park Bancorporation, Inc. Madison WI Preferred Stock w/ Exercised Warrants $ 23,200,000 Par 7/27/2012 106 $ 16,772,382 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock 2, 7 P $ 896,039 

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

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

49 3/13/2009 Salisbury Bancorp, Inc. Lakeville CT Preferred Stock w/ Warrants $ 8,816,000 Par 8/25/2011 49 $ 8,816,000 $ 0 Warrants 11/2/2011 Warrants R $ 205,000 

49 3/13/2009 First Northern Community Bancorp Dixon CA Preferred Stock w/ Warrants $ 17,390,000 Par 9/15/2011 49 $ 17,390,000 $ 0 Warrants 11/16/2011 Warrants R $ 375,000 

3/13/2009 Discover Financial Services Riverwoods IL Preferred Stock w/ Warrants $ 1,224,558,000 Par 4/21/2010 4 $ 1,224,558,000 $ 0 Warrants 7/7/2010 Warrants R $ 172,000,000 

3/13/2009 Provident Community Bancshares, Inc. Rock Hill SC Preferred Stock w/ Warrants $ 9,266,000 Par 

3, 30 - 

8/13/2010 3/13/2009 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 Par 8/13/2010 4 $ 17,000,000 $ 0 N/A N/A N/A - N/A 
Page 12 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

2, 49 3/13/2009 BancIndependent, Inc. Sheffield AL Preferred Stock w/ Exercised Warrants $ 21,100,000 Par 7/14/2011 49 $ 21,100,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 1,055,000 

2 3/13/2009 Haviland Bancshares, Inc. Haviland KS Preferred Stock w/ Exercised Warrants $ 425,000 Par 12/29/2010 4 $ 425,000 $ 0 Preferred Stock 2 12/29/2010 Preferred Stock 2, 7 R $ 21,000 

2 3/13/2009 1st United Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 11/18/2009 4 $ 10,000,000 $ 0 Preferred Stock 2 11/18/2009 Preferred Stock 2, 7 R $ 500,000 

2 3/13/2009 Madison Financial Corporation Richmond KY Preferred Stock w/ Exercised Warrants $ 3,370,000 Par 

2, 123 3/13/2009 First National Corporation Strasburg VA Preferred Stock w/ Exercised Warrants $ 13,900,000 Par 8/23/2012 123 $ 12,082,749 $ 0 Preferred Stock 2 8/23/2012 Preferred Stock 2, 7 P $ 624,675 

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

2 3/13/2009 Blackhawk Bancorp, Inc. Beloit WI Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

2, 3a - 

11/13/2009 

30 - 9/3/2010

3/13/2009 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 Par 9/3/2010 4 $ 6,000,000 $ 0 N/A N/A N/A - N/A 

2 3/13/2009 Butler Point, Inc. Catlin IL Preferred Stock w/ Exercised Warrants $ 607,000 Par 11/2/2011 4 $ 607,000 $ 0 Preferred Stock 2 11/2/2011 Preferred Stock 2, 7 R $ 30,000 

2 3/13/2009 Bank of George Las Vegas NV Preferred Stock w/ Exercised Warrants $ 2,672,000 Par 

2, 50 3/13/2009 Moneytree Corporation Lenoir City TN Preferred Stock w/ Exercised Warrants $ 9,516,000 Par 9/15/2011 50 $ 9,516,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 476,000 

2, 49 3/13/2009 Sovereign Bancshares, Inc. Dallas TX Preferred Stock w/ Exercised Warrants $ 18,215,000 Par 9/22/2011 49 $ 18,215,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 911,000 

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

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

2, 49 3/20/2009 Community First Bancshares Inc. Union City TN Preferred Stock w/ Exercised Warrants $ 20,000,000 Par 8/18/2011 49 $ 20,000,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 1,000,000 

2, 49 3/20/2009 First NBC Bank Holding Company New Orleans LA Preferred Stock w/ Exercised Warrants $ 17,836,000 Par 8/4/2011 49 $ 17,836,000 $ 0 Preferred Stock 2 8/4/2011 Preferred Stock 2, 7 R $ 892,000 

2, 49 3/20/2009 First Colebrook Bancorp, Inc. Colebrook NH Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 9/22/2011 49 $ 4,500,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 225,000 

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

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

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

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

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

2, 50 3/20/2009 Farmers State Bankshares, Inc. Holton KS Preferred Stock w/ Exercised Warrants $ 700,000 Par 7/21/2011 50 $ 700,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 40,000 

2, 49 3/27/2009 SBT Bancorp, Inc. Simsbury CT Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 8/11/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 8/11/2011 Preferred Stock 2, 7 R $ 200,000 

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

2, 107 3/27/2009 Trinity Capital Corporation Los Alamos NM Preferred Stock w/ Exercised Warrants $ 35,539,000 Par 7/27/2012 107 $ 26,396,503 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock 2, 7 P $ 1,655,787 

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

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

2 3/27/2009 Colonial American Bank West Conshohocken PA Preferred Stock w/ Exercised Warrants $ 574,000 Par 10/26/2011 4 $ 574,000 $ 0 Preferred Stock 2 10/26/2011 Preferred Stock 2, 7 R $ 29,000 

2 3/27/2009 MS Financial, Inc. Kingwood TX Preferred Stock w/ Exercised Warrants $ 7,723,000 Par 10/19/2011 4 $ 7,723,000 $ 0 Preferred Stock 2 10/19/2011 Preferred Stock 2, 7 R $ 386,000 

2, 49 3/27/2009 Triad Bancorp, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants $ 3,700,000 Par 9/22/2011 49 $ 3,700,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 185,000 

2, 128 3/27/2009 Alpine Banks of Colorado Glenwood Springs CO Preferred Stock w/ Exercised Warrants $ 70,000,000 Par 9/12/2012 128 $ 56,430,297 $ 0 Preferred Stock 2 9/12/2012 Preferred Stock 2, 7 P $ 3,291,750 

2, 99 - 

7/12/2012 3/27/2009 Naples Bancorp, Inc. Naples FL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 7/12/2012 99 $ 600,000 $ 0 N/A N/A N/A N/A 

2, 108 3/27/2009 CBS Banc-Corp. Russellville AL Preferred Stock w/ Exercised Warrants $ 24,300,000 Par 7/27/2012 108 $ 21,776,396 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock 2, 7 P $ 1,107,825 

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

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

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

90 - 

06/13/2012 4/3/2009 First Capital Bancorp, Inc. Glen Allen VA Preferred Stock w/ Warrants $ 10,958,000 Par 6/13/2012 90 $ 9,931,327 $ 0 Warrants

2, 3, 30 - 

8/13/2010 4/3/2009 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 Par 8/13/2010 4 $ 2,795,000 $ 0 N/A N/A N/A - N/A 

2, 50 4/3/2009 Fortune Financial Corporation Arnold MO Preferred Stock w/ Exercised Warrants $ 3,100,000 Par 9/15/2011 50 $ 3,100,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 155,000 

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

2 4/3/2009 Titonka Bancshares, Inc Titonka IA Preferred Stock w/ Exercised Warrants $ 2,117,000 Par 4/4/2012 4 $ 2,117,000 $ 0 Preferred Stock 2 4/4/2012 Preferred Stock 2, 7 R $ 106,000 

2, 84 4/3/2009 Millennium Bancorp, Inc. Edwards CO Preferred Stock w/ Exercised Warrants $ 7,260,000 Par 8/14/2012 84 $ 2,904,000 $ 0 Preferred Stock 2 8/14/2012 Preferred Stock 2, 84 $ - 

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

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

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

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

2, 3 4/10/2009 City National Bancshares Corporation Newark NJ Preferred Stock $ 9,439,000 Par 

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

2 4/10/2009 SV Financial, Inc. Sterling IL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 8/31/2011 4 $ 4,000,000 $ 0 Preferred Stock 2 8/31/2011 Preferred Stock 2, 7 R $ 200,000 

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

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

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

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

2, 49 4/17/2009 Penn Liberty Financial Corp. Wayne PA Preferred Stock w/ Exercised Warrants $ 9,960,000 Par 9/1/2011 49 $ 9,960,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 498,000 

2, 52 4/17/2009 Tifton Banking Company Tifton GA Preferred Stock w/ Exercised Warrants $ 3,800,000 Par 

3/7/2012 4 $ 250,000 $ 3,440,000 Preferred Stock 2

8/22/2012 4 $ 250,000 $ 3,190,000 Preferred Stock 2

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

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

121 4/24/2009 Mackinac Financial Corporation Manistique MI Preferred Stock w/ Warrants $ 11,000,000 Par 8/23/2012 121 $ 10,380,905 $ 0 Warrants

2, 49 4/24/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock w/ Exercised Warrants $ 1,635,000 Par 7/28/2011 49 $ 1,635,000 $ 0 Preferred Stock 2 7/28/2011 Preferred Stock 2, 7 R $ 82,000 

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

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

2, 83 4/24/2009 Peoples Bancorporation, Inc. Easley SC Preferred Stock w/ Exercised Warrants $ 12,660,000 Par 4/24/2012 83 $ 12,660,000 $ 0 Preferred Stock 2 4/24/2012 Preferred Stock

2, 7, 

83 R $ 633,000 

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

2 4/24/2009 Business Bancshares, Inc. Clayton MO Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 5/23/2012 4 $ 6,000,000 $ 9,000,000 Preferred Stock 2

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

2, 50 4/24/2009 York Traditions Bank York PA Preferred Stock w/ Exercised Warrants $ 4,871,000 Par 7/14/2011 50 $ 4,871,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 244,000 

2, 49 4/24/2009 Grand Capital Corporation Tulsa OK Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 9/8/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 9/8/2011 Preferred Stock 2, 7 R $ 200,000 

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

11/24/2009 4 $ 1,600,000 $ 1,400,000 Subordinated 

Debentures 8

10/6/2010 4 $ 1,400,000 $ 0 Subordinated 

Debentures 8

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

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

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

2, 50 5/1/2009 Union Bank & Trust Company Oxford NC Preferred Stock w/ Exercised Warrants $ 3,194,000 Par 9/22/2011 50 $ 3,194,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 160,000 

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

8 5/1/2009 OSB Financial Services, Inc. Orange TX Subordinated Debentures w/ Exercised 

Warrants $ 6,100,000 Par 10/5/2011 4 $ 6,100,000 $ 0 Subordinated 

Debentures 8 10/5/2011 Subordinated Debentures 8

7 R $ 305,000 

8 5/1/2009 Security State Bank Holding-Company Jamestown ND Subordinated Debentures w/ Exercised 

Warrants $ 10,750,000 Par 

2, 13 - 

8/31/2010, 

49

5/8/2009 Highlands Bancorp, Inc. 

(Highlands State Bank) Vernon NJ Preferred Stock w/ Exercised Warrants $ 3,091,000 Par 9/22/2011 49 $ 3,091,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 155,000 

2, 56 5/8/2009 One Georgia Bank Atlanta GA Preferred Stock w/ Exercised Warrants $ 5,500,000 Par 

2, 80 5/8/2009 Gateway Bancshares, Inc. Ringgold GA Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 4/13/2012 80 $ 6,000,000 $ 0 Preferred Stock 2 4/13/2012 Preferred Stock 2, 7 R $ 300,000 

8 5/8/2009 Freeport Bancshares, Inc. Freeport IL Subordinated Debentures w/ Exercised 

Warrants $ 3,000,000 Par 

8 5/8/2009 Investors Financial Corporation of Pettis County, Inc Sedalia MO Subordinated Debentures w/ Exercised 

Warrants $ 4,000,000 Par 

8, 49 5/8/2009 Sword Financial Corporation Horicon WI Subordinated Debentures w/ Exercised 

Warrants $ 13,644,000 Par 9/15/2011 49 $ 13,644,000 $ 0 Subordinated 

Debentures 8 9/15/2011 Subordinated Debentures 8

7 R $ 682,000 

3, 8, 30 - 

8/13/2010 5/8/2009 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 Par 8/13/2010 4 $ 6,784,000 $ 0 N/A N/A N/A - N/A 

4/4/2012 4 $ 10,500,000 $ 10,500,000 Preferred Stock w/ 

Warrants

6/6/2012 4 $ 10,500,000 $ 0 Warrants

2 5/15/2009 Northern State Bank Closter NJ Preferred Stock w/ Exercised Warrants $ 1,341,000 Par 3/28/2012 4 $ 1,341,000 $ 0 Preferred Stock 2 3/28/2012 Preferred Stock 2, 7 R $ 67,000 

2 5/15/2009 Western Reserve Bancorp, Inc Medina OH Preferred Stock w/ Exercised Warrants $ 4,700,000 Par 

2 5/15/2009 Community Financial Shares, Inc. Glen Ellyn IL Preferred Stock w/ Exercised Warrants $ 6,970,000 Par 

2 5/15/2009 Worthington Financial Holdings, Inc. Huntsville AL Preferred Stock w/ Exercised Warrants $ 2,720,000 Par 

2 5/15/2009 First Community Bancshares, Inc Overland Park KS Preferred Stock w/ Exercised Warrants $ 14,800,000 Par 

2, 50 5/15/2009 Southern Heritage Bancshares, Inc. Cleveland TN Preferred Stock w/ Exercised Warrants $ 4,862,000 Par 9/8/2011 $ 4,862,000 $ 0 Preferred Stock 2 9/8/2011 Preferred Stock 2, 7 R $ 243,000 

2 5/15/2009 Foresight Financial Group, Inc. Rockford IL Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 

3, 8, 30 - 

9/10/2010 5/15/2009 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 Par 9/10/2010 4 $ 4,205,000 $ 0 N/A N/A N/A - N/A 

8 5/15/2009 Boscobel Bancorp, Inc Boscobel WI Subordinated Debentures w/ Exercised 

Warrants $ 5,586,000 Par 

8 5/15/2009 Brogan Bankshares, Inc. Kaukauna WI Subordinated Debentures w/ Exercised 

Warrants $ 2,400,000 Par 

8 4/24/2009 Frontier Bancshares, Inc. R $ 150,000 Subordinated 7

Debentures 8 $ 3,000,000 Par 10/6/2010 Subordinated Debentures w/ Exercised 

Warrants Austin TX

5/15/2009 Mercantile Bank Corporation Grand Rapids MI Preferred Stock w/ Warrants $ 21,000,000 Par 7/3/2012 Warrants R $ 7,465,100 

2 4/17/2009 Patterson Bancshares, Inc Patterson LA Preferred Stock w/ Exercised Warrants $ 3,690,000 Par 
Page 14 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

8 5/15/2009 Riverside Bancshares, Inc. Little Rock AR Subordinated Debentures w/ Exercised 

Warrants $ 1,100,000 Par 

8, 49 5/15/2009 Deerfield Financial Corporation Deerfield WI Subordinated Debentures w/ Exercised 

Warrants $ 2,639,000 Par 9/8/2011 49 $ 2,639,000 $ 0 Subordinated 

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 132,000 

8, 109 5/15/2009 Market Street Bancshares, Inc. Mt. Vernon IL Subordinated Debentures w/ Exercised 

Warrants $ 20,300,000 Par 7/27/2012 109 $ 18,069,213 $ 0 Subordinated 

Debentures 8 7/27/2012 Subordinated Debentures 8

7 P $ 824,731 

2, 49 5/22/2009 The Landrum Company Columbia MO Preferred Stock w/ Exercised Warrants $ 15,000,000 Par 8/18/2011 49 $ 15,000,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 750,000 

2 5/22/2009 First Advantage Bancshares Inc. Coon Rapids MN Preferred Stock w/ Exercised Warrants $ 1,177,000 Par 

2, 82 5/22/2009 Fort Lee Federal Savings Bank Fort Lee NJ Preferred Stock w/ Exercised Warrants $ 1,300,000 Par 

6/27/2012 4 $ 2,250,000 $ 2,750,000 Preferred Stock 2

9/12/2012 4 $ 2,750,000 $ 0 Preferred Stock 2

2, 49 5/22/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 6,272,000 Par 9/22/2011 49 $ 6,272,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 314,000 

2 5/22/2009 Universal Bancorp Bloomfield IN Preferred Stock w/ Exercised Warrants $ 9,900,000 Par 

2 5/22/2009 Franklin Bancorp, Inc. Washington MO Preferred Stock w/ Exercised Warrants $ 5,097,000 Par 

8, 110 5/22/2009 Commonwealth Bancshares, Inc. Louisville KY Subordinated Debentures w/ Exercised 

Warrants $ 20,400,000 Par 7/27/2012 110 $ 15,147,000 $ 0 Subordinated 

Debentures 8 7/27/2012 Subordinated Debentures 8

7 P $ 898,722 

8 5/22/2009 Premier Financial Corp Dubuque IA Subordinated Debentures w/ Exercised 

Warrants $ 6,349,000 Par 

8 5/22/2009 F & C Bancorp, Inc. Holden MO Subordinated Debentures w/ Exercised 

Warrants $ 2,993,000 Par 

8, 111 5/22/2009 Diamond Bancorp, Inc. Washington MO Subordinated Debentures w/ Exercised 

Warrants $ 20,445,000 Par 7/27/2012 111 $ 14,780,662 $ 0 Subordinated 

Debentures 8 7/27/2012 Subordinated Debentures 8

7 P $ 779,576 

8 5/22/2009 United Bank Corporation Barnesville GA Subordinated Debentures w/ Exercised 

Warrants $ 14,400,000 Par 7/3/2012 4 $ 14,400,000 $ 0 Subordinated 

Debentures 8 7/3/2012 Subordinated Debentures 8

7 R $ 720,000 

49 5/29/2009 Community Bank Shares of Indiana, Inc. New Albany IN Preferred Stock w/ Warrants $ 19,468,000 Par 9/15/2011 49 $ 19,468,000 $ 0 Warrants 10/19/2011 Warrants R $ 1,100,870 

2 5/29/2009 American Premier Bancorp Arcadia CA Preferred Stock w/ Exercised Warrants $ 1,800,000 Par 1/26/2011 4 $ 1,800,000 $ 0 Preferred Stock 2 1/26/2011 Preferred Stock 2, 7 R $ 90,000 

2, 63 5/29/2009 CB Holding Corp. Aledo IL Preferred Stock w/ Exercised Warrants $ 4,114,000 Par 

2 5/29/2009 Citizens Bancshares Co. Chillicothe MO Preferred Stock w/ Exercised Warrants $ 24,990,000 Par 

2 5/29/2009 Grand Mountain Bancshares, Inc. Granby CO Preferred Stock w/ Exercised Warrants $ 3,076,000 Par 

2, 49 5/29/2009 Two Rivers Financial Group Burlington IA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 9/1/2011 49 $ 12,000,000 $ 0 Preferred Stock 2 9/1/2011 Preferred Stock 2, 7 R $ 600,000 

8 5/29/2009 Fidelity Bancorp, Inc Baton Rouge LA Subordinated Debentures w/ Exercised 

Warrants $ 3,942,000 Par 

8 5/29/2009 Chambers Bancshares, Inc. Danville AR Subordinated Debentures w/ Exercised 

Warrants $ 19,817,000 Par 

2 6/5/2009 Covenant Financial Corporation Clarksdale MS Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

8 6/5/2009 First Trust Corporation New Orleans LA Subordinated Debentures w/ Exercised 

Warrants $ 17,969,000 Par 

8, 10 6/5/2009 OneFinancial Corporation Little Rock AR Subordinated Debentures w/ Exercised 

Warrants $ 17,300,000 Par 

2, 60 - 

09/19/2011 6/12/2009 Customers Bancorp, Inc.(Berkshire Bancorp, Inc.) Phoenixville PA Preferred Stock w/ Exercised Warrants $ 2,892,000 Par 12/28/2011 4 $ 2,892,000 $ 0 Preferred Stock 2 12/28/2011 Preferred Stock 2, 7 R $ 145,000 

2, 10, 30 - 

9/29/2010 6/12/2009 First Vernon Bancshares, Inc. Vernon AL Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 9/29/2010 4 $ 6,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 245,000 

2 6/12/2009 SouthFirst Bancshares, Inc. Sylacauga AL Preferred Stock w/ Exercised Warrants $ 2,760,000 Par 

2, 10 6/12/2009 Virginia Company Bank Newport News VA Preferred Stock w/ Exercised Warrants $ 4,700,000 Par 

2, 49 6/12/2009 Enterprise Financial Services Group, Inc. Allison Park PA Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 8/25/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 8/25/2011 Preferred Stock 2, 7 R $ 200,000 

8, 10, 49 6/12/2009 First Financial Bancshares, Inc. Lawrence KS Subordinated Debentures w/ Exercised 

Warrants $ 3,756,000 Par 9/22/2011 49 $ 3,756,000 $ 0 Subordinated 

Debentures 8 9/22/2011 Subordinated Debentures 8

7 R $ 113,000 

8 6/12/2009 River Valley Bancorporation, Inc. Wausau WI Subordinated Debentures w/ Exercised 

Warrants $ 15,000,000 Par 6/6/2012 4 $ 10,500,000 $ 4,500,000 Subordinated 

Debentures 8

2, 49 6/19/2009 Merchants and Manufacturers Bank Corporation Joliet IL Preferred Stock w/ Exercised Warrants $ 3,510,000 Par 9/8/2011 49 $ 3,510,000 $ 0 Preferred Stock 2 9/8/2011 Preferred Stock 2, 7 R $ 176,000 

2, 10 6/19/2009 RCB Financial Corporation Rome GA Preferred Stock w/ Exercised Warrants $ 8,900,000 Par 

8 6/19/2009 Manhattan Bancshares, Inc. Manhattan IL Subordinated Debentures w/ Exercised 

Warrants $ 2,639,000 Par 

8, 10 6/19/2009 Biscayne Bancshares, Inc. Coconut Grove FL Subordinated Debentures w/ Exercised 

Warrants $ 6,400,000 Par 

8 6/19/2009 Duke Financial Group, Inc. Minneapolis MN Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

8 6/19/2009 Farmers Enterprises, Inc. Great Bend KS Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

8 6/19/2009 Century Financial Services Corporation Santa Fe NM Subordinated Debentures w/ Exercised 

Warrants $ 10,000,000 Par 

9/12/2012 Preferred Stock 2, 7 2 5/22/2009 Blackridge Financial, Inc. Fargo ND Preferred Stock w/ Exercised Warrants $ 5,000,000 Par R $ 250,000 
Page 15 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

8 6/19/2009 NEMO Bancshares Inc. Madison MO Subordinated Debentures w/ Exercised 

Warrants $ 2,330,000 Par 

3, 8, 30 - 

7/30/2010 6/19/2009 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 Par 7/30/2010 4 $ 11,926,000 $ 0 N/A N/A N/A - N/A 

8 6/19/2009 Suburban Illinois Bancorp, Inc. Elmhurst IL Subordinated Debentures w/ Exercised 

Warrants $ 15,000,000 Par 

6/26/2009 Hartford Financial Services Group, Inc. Hartford CT Preferred Stock w/ Warrants $ 3,400,000,000 Par 3/31/2010 4 $ 3,400,000,000 $ 0 Warrants 9/21/2010 Warrants A $ 706,264,560 

2, 40 - 

3/23/2011, 

49

6/26/2009 Veritex Holdings, Inc.

(Fidelity Resources Company) Dallas TX Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 8/25/2011 49 $ 3,000,000 $ 0 Preferred Stock 2 8/25/2011 Preferred Stock 2, 7 R $ 150,000 

2, 10 6/26/2009 Waukesha Bankshares, Inc. Waukesha WI Preferred Stock w/ Exercised Warrants $ 5,625,000 Par 

2 6/26/2009 FC Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants $ 21,042,000 Par 

2, 10, 30 - 

9/29/2010 6/26/2009 Security Capital Corporation Batesville MS Preferred Stock w/ Exercised Warrants $ 17,388,000 Par 9/29/2010 4 $ 17,388,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 522,000 

2 6/26/2009 First Alliance Bancshares, Inc. Cordova TN Preferred Stock w/ Exercised Warrants $ 3,422,000 Par 

2, 50 6/26/2009 Gulfstream Bancshares, Inc. Stuart FL Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 8/18/2011 50 $ 7,500,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 375,000 

2, 10 6/26/2009 Gold Canyon Bank Gold Canyon AZ Preferred Stock w/ Exercised Warrants $ 1,607,000 Par 

2, 3, 10, 30 - 

8/20/2010 6/26/2009 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 Par 8/20/2010 4 $ 11,735,000 $ 0 N/A N/A N/A - N/A 

2, 41 - 

3/30/2011 6/26/2009 Metropolitan Bank Group, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 74,706,000 Par 

2, 41 - 

3/30/2011 6/26/2009 Metropolitan Bank Group, Inc.(NC Bancorp, Inc.) Chicago IL Preferred Stock w/ Exercised Warrants $ 7,186,000 Par 

2 6/26/2009 Alliance Bancshares, Inc. Dalton GA Preferred Stock w/ Exercised Warrants $ 2,986,000 Par 

8 6/26/2009 Stearns Financial Services, Inc. St. Cloud MN Subordinated Debentures w/ Exercised 

Warrants $ 24,900,000 Par 1/18/2012 4 $ 24,900,000 $ 0 Subordinated 

Debentures 8 1/18/2012 Subordinated Debentures 8

7 R $ 1,245,000 

8 6/26/2009 Signature Bancshares, Inc. Dallas TX Subordinated Debentures w/ Exercised 

Warrants $ 1,700,000 Par 12/15/2010 4 $ 1,700,000 $ 0 Subordinated 

Debentures 8 12/15/2010 Subordinated Debentures 8

7 R $ 85,000 

8 6/26/2009 Fremont Bancorporation Fremont CA Subordinated Debentures w/ Exercised 

Warrants $ 35,000,000 Par 7/25/2012 4 $ 35,000,000 $ 0 Subordinated 

Debentures 8 7/25/2012 Subordinated Debentures 8

7 R $ 1,750,000 

8 6/26/2009 Alliance Financial Services Inc. Saint Paul MN Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

7/10/2009 Lincoln National Corporation Radnor PA Preferred Stock w/ Warrants $ 950,000,000 Par 6/30/2010 4 $ 950,000,000 $ 0 Warrants 9/16/2010 Warrants A $ 213,671,319 

2, 10, 49 7/10/2009 Bancorp Financial, Inc. Oak Brook IL Preferred Stock w/ Exercised Warrants $ 13,669,000 Par 8/18/2011 49 $ 13,669,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 410,000 

2, 49 7/17/2009 Brotherhood Bancshares, Inc. Kansas City KS Preferred Stock w/ Exercised Warrants $ 11,000,000 Par 9/15/2011 49 $ 11,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 550,000 

2 7/17/2009 SouthCrest Financial Group, Inc. Fayetteville GA Preferred Stock w/ Exercised Warrants $ 12,900,000 Par 

2, 3 7/17/2009 Harbor Bankshares Corporation Baltimore MD Preferred Stock $ 6,800,000 Par 

8 7/17/2009 First South Bancorp, Inc. Lexington TN Subordinated Debentures w/ Exercised 

Warrants $ 50,000,000 Par 9/28/2011 4 $ 13,125,000 $ 36,875,000 Subordinated 

Debentures 8

8 7/17/2009 Great River Holding Company Baxter MN Subordinated Debentures w/ Exercised 

Warrants $ 8,400,000 Par 

8, 10 7/17/2009 Plato Holdings Inc. Saint Paul MN Subordinated Debentures w/ Exercised 

Warrants $ 2,500,000 Par 

125 7/24/2009 Yadkin Valley Financial Corporation Elkin NC Preferred Stock w/ Warrants $ 13,312,000 Par 9/12/2012 125 $ 11,643,740 $ 0 Warrants

2, 10 7/24/2009 Community Bancshares, Inc. Kingman AZ Preferred Stock w/ Exercised Warrants $ 3,872,000 Par 

2 7/24/2009 Florida Bank Group, Inc. Tampa FL Preferred Stock w/ Exercised Warrants $ 20,471,000 Par 

8 7/24/2009 First American Bank Corporation Elk Grove Village IL Subordinated Debentures w/ Exercised 

Warrants $ 50,000,000 Par 12/21/2011 4 $ 15,000,000 $ 35,000,000 Subordinated 

Debentures 8

2 7/31/2009 Chicago Shore Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 7,000,000 Par 

8, 10, 49 7/31/2009 Financial Services of Winger, Inc. Winger MN Subordinated Debentures w/ Exercised 

Warrants $ 3,742,000 Par 9/1/2011 49 $ 3,742,000 $ 0 Subordinated 

Debentures 8 9/1/2011 Subordinated Debentures 8

7 R $ 112,000 

2, 49 8/7/2009 The ANB Corporation Terrell TX Preferred Stock w/ Exercised Warrants $ 20,000,000 Par 8/25/2011 49 $ 20,000,000 $ 0 Preferred Stock 2 8/25/2011 Preferred Stock 2, 7 R $ 1,000,000 

2 8/7/2009 U.S. Century Bank Miami FL Preferred Stock w/ Exercised Warrants $ 50,236,000 Par 

2 8/14/2009 Bank Financial Services, Inc. Eden Prairie MN Preferred Stock w/ Exercised Warrants $ 1,004,000 Par 

2 8/21/2009 KS Bancorp, Inc. Smithfield NC Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 

8 8/21/2009 AmFirst Financial Services, Inc. McCook NE Subordinated Debentures w/ Exercised 

Warrants $ 5,000,000 Par 

2, 3 8/28/2009 First Independence Corporation Detroit MI Preferred Stock $ 3,223,000 Par 

2, 49 8/28/2009 First Guaranty Bancshares, Inc. Hammond LA Preferred Stock w/ Exercised Warrants $ 20,699,000 Par 9/22/2011 49 $ 20,699,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 1,030,000 

2, 10 8/28/2009 CoastalSouth Bancshares, Inc. Hilton Head Island SC Preferred Stock w/ Exercised Warrants $ 16,015,000 Par 
Page 16 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

8, 10, 50 8/28/2009 TCB Corporation Greenwood SC Subordinated Debentures w/ Exercised 

Warrants $ 9,720,000 Par 9/8/2011 50 $ 9,720,000 $ 0 Subordinated 

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 292,000 

8, 10, 49 9/4/2009 The State Bank of Bartley Bartley NE Subordinated Debentures w/ Exercised 

Warrants $ 1,697,000 Par 9/22/2011 49 $ 1,697,000 $ 0 Subordinated 

Debentures 8 9/22/2011 Subordinated Debentures 8

7 R $ 51,000 

49 9/11/2009 Pathfinder Bancorp, Inc. Oswego NY Preferred Stock w/ Warrants $ 6,771,000 Par 9/1/2011 49 $ 6,771,000 $ 0 Warrants 2/1/2012 Warrants R $ 537,633 

2, 30 - 

9/29/2010 9/11/2009 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock w/ Exercised Warrants $ 52,000,000 Par 9/29/2010 4 $ 52,000,000 $ 0 Preferred Stock 2 9/29/2010 Preferred Stock

2, 7, 

30a R $ 2,600,000 

2, 10, 100 - 

7/17/2012 9/11/2009 Heartland Bancshares, Inc. Franklin IN Preferred Stock w/ Exercised Warrants $ 7,000,000 Par 7/17/2012 100 $ 7,000,000 $ 0 Preferred Stock 2 7/17/2012 Preferred Stock 2, 7 $ 248,000 

2, 10, 50 9/11/2009 PFSB Bancorporation, Inc. Pigeon Falls WI Preferred Stock w/ Exercised Warrants $ 1,500,000 Par 8/25/2011 50 $ 1,500,000 $ 0 Preferred Stock 2 8/25/2011 Preferred Stock 2, 7 R $ 71,000 

8, 30 - 

9/17/2010 9/11/2009 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures w/ Exercised Warrants $ 7,500,000 Par 9/17/2010 4 $ 7,500,000 $ 0 Subordinated 

Debentures 8 9/17/2010 Subordinated Debentures 8 30a R $ 375,000 

2, 10 9/18/2009 IA Bancorp, Inc. Iselin NJ Preferred Stock w/ Exercised Warrants $ 5,976,000 Par 

2, 10 9/18/2009 HomeTown Bankshares Corporation Roanoke VA Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 

3/16/2011 4 $ 2,606,000 $ 7,497,000 Preferred Stock 2

8/11/2011 50 $ 7,497,000 $ 0 Preferred Stock 2

2 9/25/2009 Mountain Valley Bancshares, Inc. Cleveland GA Preferred Stock w/ Exercised Warrants $ 3,300,000 Par 

8 9/25/2009 Grand Financial Corporation Hattiesburg MS Subordinated Debentures w/ Exercised 

Warrants $ 2,443,320 Par 

3, 8, 30 - 

7/30/2010 9/25/2009 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 Par 7/30/2010 4 $ 14,000,000 $ 0 N/A N/A N/A - N/A 

10, 21 9/25/2009 GulfSouth Private Bank Destin FL Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

8, 10, 50 9/25/2009 Steele Street Bank Corporation Denver CO Subordinated Debentures w/ Exercised 

Warrants $ 11,019,000 Par 9/1/2011 50 $ 11,019,000 $ 0 Subordinated 

Debentures 8 9/1/2011 Subordinated Debentures 8

7 R $ 331,000

112 10/2/2009 Premier Financial Bancorp, Inc. Huntington WV Preferred Stock w/ Warrants $ 22,252,000 Par 7/27/2012 112 $ 19,849,222 $ 0 Warrants

2, 10, 49 10/2/2009 Providence Bank Rocky Mount NC Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 9/15/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 175,000

2, 10, 69 - 

1/27/2012 10/23/2009 Regents Bancshares, Inc. Vancouver WA Preferred Stock w/ Exercised Warrants $ 12,700,000 Par 1/27/2012 69 $ 12,700,000 $ 0 Preferred Stock 2 1/27/2012 Preferred Stock

2, 7, 

69 R $ 381,000

8, 50 10/23/2009 Cardinal Bancorp II, Inc. Washington MO Subordinated Debentures w/ Exercised 

Warrants $ 6,251,000 Par 9/8/2011 50 $ 6,251,000 $ 0 Subordinated 

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 313,000

2 10/30/2009 Randolph Bank & Trust Company Asheboro NC Preferred Stock w/ Exercised Warrants $ 6,229,000 Par 

2, 10a, 49 10/30/2009 WashingtonFirst Bankshares, Inc. Reston VA Preferred Stock $ 6,842,000 Par 8/4/2011 49 $ 6,842,000 $ 0 N/A N/A N/A - N/A 

2, 10a 11/6/2009 F & M Bancshares, Inc. Trezevant TN Preferred Stock $ 3,535,000 Par 

2, 10 11/13/2009 Fidelity Federal Bancorp Evansville IN Preferred Stock w/ Exercised Warrants $ 6,657,000 Par 

8, 10 11/13/2009 Community Pride Bank Corporation Ham Lake MN Subordinated Debentures w/ Exercised 

Warrants $ 4,400,000 Par 

2, 10a 11/13/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2, 10 11/20/2009 Presidio Bank San Francisco CA Preferred Stock w/ Exercised Warrants $ 10,800,000 Par 

2, 50 11/20/2009 McLeod Bancshares, Inc. Shorewood MN Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 8/18/2011 50 $ 6,000,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 300,000

2, 10a 11/20/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock $ 2,348,000 Par 

3, 10a, 72 - 

2/10/2012 12/4/2009 Broadway Financial Corporation Los Angeles CA Preferred Stock $ 6,000,000 Par 

2 12/4/2009 Delmar Bancorp Delmar MD Preferred Stock w/ Exercised Warrants $ 9,000,000 Par 

2, 10 12/4/2009 Liberty Bancshares, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants $ 6,500,000 Par 

2, 113, 129 12/11/2009 First Community Financial Partners, Inc. Joliet IL Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 9/12/2012 129 $ 14,211,450 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock

2, 7, 

113 P $ 720,374

2, 10 12/11/2009 Wachusett Financial Services, Inc. Clinton MA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 4/4/2012 4 $ 3,000,000 $ 9,000,000 Preferred Stock w/ 

Warrants

8 12/11/2009 Nationwide Bankshares, Inc. West Point NE Subordinated Debentures w/ Exercised 

Warrants $ 2,000,000 Par 12/29/2010 4 $ 2,000,000 $ 0 Subordinated 

Debentures 8 12/29/2010 Subordinated Debentures 8

7 R $ 100,000

2, 10a, 49 12/11/2009 GrandSouth Bancorporation Greenville SC Preferred Stock $ 6,319,000 Par 9/8/2011 49 $ 6,319,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/11/2009 1st Enterprise Bank Los Angeles CA Preferred Stock $ 6,000,000 Par 9/1/2011 49 $ 6,000,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/11/2009 First Resource Bank Exton PA Preferred Stock $ 2,417,000 Par 9/15/2011 49 $ 2,417,000 $ 0 N/A N/A N/A - N/A

2, 10a, 114 12/11/2009 First Western Financial, Inc. Denver CO Preferred Stock $ 11,881,000 Par 7/27/2012 114 $ 6,138,000 $ 3,881,000 N/A N/A N/A - N/A

2, 10a 12/11/2009 Meridian Bank Devon PA Preferred Stock $ 6,335,000 Par 

2, 10a, 49 12/11/2009 The Victory Bancorp, Inc. Limerick PA Preferred Stock w/ Exercised Warrants $ 1,505,000 Par 9/22/2011 49 $ 1,505,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 34,000

2, 10a 12/11/2009 First Business Bank, N.A. San Diego CA Preferred Stock $ 2,032,000 Par 

2 12/18/2009 Layton Park Financial Group Milwaukee WI Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2, 10, 49 12/18/2009 Centric Financial Corporation Harrisburg PA Preferred Stock w/ Exercised Warrants $ 6,056,000 Par 7/14/2011 49 $ 6,056,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 182,000

2, 10, 50 Heritage Bankshares, Inc. Norfolk VA Preferred Stock w/ Exercised Warrants $ 10,103,000 Par 8/11/2011 Preferred Stock $ 303,000 2, 7 9/25/2009 R
Page 17 of 17

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

2, 49 12/18/2009 Valley Financial Group, Ltd., 1st State Bank Saginaw MI Preferred Stock w/ Exercised Warrants $ 1,300,000 Par 9/22/2011 49 $ 1,300,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 65,000

2, 10a, 49 12/18/2009 Cache Valley Banking Company Logan UT Preferred Stock $ 4,640,000 Par 7/14/2011 49 $ 4,640,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/18/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock $ 1,744,000 Par 7/28/2011 49 $ 1,744,000 $ 0 N/A N/A N/A - N/A

2, 10a 12/18/2009 First Priority Financial Corp. Malvern PA Preferred Stock $ 4,596,000 Par 

2, 10a 12/18/2009 Northern State Bank Closter NJ Preferred Stock $ 1,230,000 Par 3/28/2012 4 $ 1,230,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/18/2009 Union Bank & Trust Company Oxford NC Preferred Stock $ 2,997,000 Par 9/22/2011 49 $ 2,997,000 $ 0 N/A N/A N/A N/A 

2, 10 12/22/2009 First Freedom Bancshares, Inc. Lebanon TN Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 

2, 10a, 30 - 

9/24/2010 12/22/2009 First Choice Bank Cerritos CA Preferred Stock $ 2,836,000 Par 9/24/2010 4 $ 2,836,000 $ 0 N/A N/A N/A - N/A 

2, 10a, 13 - 

8/31/2010, 

49

12/22/2009 Highlands Bancorp, Inc. 

(Highlands State Bank) Vernon NJ Preferred Stock $ 2,359,000 Par 9/22/2011 49 $ 2,359,000 $ 0 N/A N/A N/A N/A 

2, 10a, 49 12/22/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants $ 9,698,000 Par 7/21/2011 49 $ 9,698,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 55,000

2, 10a, 49 12/22/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants $ 3,500,000 Par 7/21/2011 49 $ 3,500,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 113,000

2, 10a 12/22/2009 TriSummit Bank Kingsport TN Preferred Stock $ 4,237,000 Par 

2, 10 12/29/2009 Atlantic Bancshares, Inc. Bluffton SC Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 

2, 10 12/29/2009 Union Financial Corporation Albuquerque NM Preferred Stock w/ Exercised Warrants $ 2,179,000 Par 7/25/2012 4 $ 600,000 $ 1,579,000 Preferred Stock 2

2, 73 - 

3/9/2012 12/29/2009 Mainline Bancorp, Inc. Ebensburg PA Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 3/9/2012 73 $ 4,500,000 $ 0 Preferred Stock 2 3/9/2012 Preferred Stock

2, 7, 

73 R $ 225,000

8, 10, 38 12/29/2009 FBHC Holding Company Boulder CO Subordinated Debentures w/ Exercised 

Warrants $ 3,035,000 Par 3/9/2011 38 $ 650,000 $ 0 N/A N/A N/A N/A 

2, 10a 12/29/2009 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock $ 4,567,000 Par 

2, 10a 12/29/2009 DeSoto County Bank Horn Lake MS Preferred Stock $ 1,508,000 Par 

2, 10a, 30 - 

9/29/2010 12/29/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 2,453,000 Par 9/29/2010 4 $ 2,453,000 $ 0 N/A N/A N/A - N/A 

2, 10a 12/29/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock $ 3,262,000 Par 

2, 10a 12/29/2009 CBB Bancorp Cartersville GA Preferred Stock $ 1,753,000 Par 

2, 10a, 49 12/29/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 9/22/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 92,000

Total Purchase Amount * $ 204,943,827,320 $ 193,182,502,448 $ 7,735,122,522

$ (3,089,736,860)

$ 8,671,588,012

Notes appear on the following page.

*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale, but excludes investment amounts for institutions that have pending receivership or bankruptcy proceedings.

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.

Total Warrant Proceeds****

Losses***

Total Repaid **

  Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a). Beginning with the Transactions Report for the period ending April 20, 2012, disposition amounts for warrant sales by Treasury in a registered public offering ("A") are displayed 

after underwriting fees (net) as oppose to before underwriting fees and selling expenses (gross).

**  Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) the 

amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
Page 1 of 3

35/ 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.

36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of 

Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.

37/ 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.

38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 

3/9/2011.

7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.

9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.

34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.

25/ 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.

27/ 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.

30/ 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. 

26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 

5/18/2010.

29/ 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. Pacific Capital has agreed to have Treasury observers 

attend board of directors meetings.

30a/ 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.

32/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the preferred stock and $40,000 for the warrants, pursuant to the terms of the agreement between Treasury and NAFH entered into 

on 9/24/2010.

31/ 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. 

33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all preferred stock and warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.

28/ 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.

1a/ 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 

1b/ 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.

2/ 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.

3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.

3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

24/ 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.

12/ 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. 

14/ As of the date of this report, this institution is in bankruptcy proceedings. 

22/ 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. Subject to the 

fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.

15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution in a negotiated sale pursuant to the terms of the related securities purchase agreement, "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, and "P" represents the proceeds to Treasury, before placement expenses, from a sale by Treasury in a private auction principally involving qualified institutional buyers.

13/ 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.

21/ 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.

16/ 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 

17/ 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.

18/ 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 

19/ 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.

20/ 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.

23/ 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.

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

10/ This institution participated in the expansion of CPP for small banks.

10a/ This institution received an additional investment through the expansion of CPP for small banks.

11/ 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.

5/ Redemption pursuant to a qualified equity offering.

6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

40/ 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 

 

39/ On 5/31/2011, Treasury completed the sale of all preferred stock and warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to other 

classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
Page 2 of 3

49/ 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.

50/ 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. 

51 / 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.

52/ 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.

53/ 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.

54/ 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.

55/ 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.

56/ 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.

57/ 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.

63/ 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.

64/ On 10/21/2011, Treasury completed the sale of all Santa Lucia Bancorp preferred stock and warrants held by Treasury to CCI One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000.00, pursuant to the terms of the agreement between Treasury and CCI entered into on 10/20/2011.

66/ 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.

59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.

45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the 

warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.

58/ 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.

47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.

46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011. On 4/4/2012, Treasury completed the sale of all of 

Treasury’s remaining 2,770,117 shares of Central Pacific Financial Corp. common stock at $13.01 per share (which represents the $13.15 public offering price less underwriting discounts) for net proceeds of $36,039,222.17, pursuant to an underwriting agreement executed on 03/29/2012.

65/ 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.

73/ On 3/9/2012, Treasury completed the sale of all Mainline Bancorp, Inc. preferred stock and exercised warrants held by Treasury to 9th Street Holdings, Inc., a subsidiary of S&T Bancorp, Inc., for an aggregate purchase price of $4,725,000 plus accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 9th Street 

Holdings, Inc., and S&T Bancorp, Inc. entered into on 3/8/2012.

61/ 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.

60/ 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.

43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation, 

pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.

42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.

 

acquired company and the acquiror entered into on 3/23/2011.

41/ 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.

71/ 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.

72/ 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.

68/ 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.

67/ 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.

70/ 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.

74/ On 4/3/2012, Treasury completed the sale of 124,000 shares of Banner Corporation preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $108,071,914.80 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

69/ 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.

44/ 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.

62/ 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.

80/ On 4/13/2012, Treasury completed the sale of all Gateway Bancshares, Inc. preferred stock held by Treasury to First Volunteer Corporation ("First Volunteer") for an aggregate purchase price of $6,300,000.00 plus accrued and unpaid dividends, pursuant to the terms of the agreement between Treasury and First Volunteer entered into on 

4/13/2012.

75/ On 4/3/2012, Treasury completed the sale of 65,000 shares of First Financial Holdings, Inc. preferred stock at $873.51 per share (less underwriting discounts) for net proceeds of $55,926,477.75 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

76/ On 4/3/2012, Treasury completed the sale of 62,158 shares of Wilshire Bancorp, Inc. preferred stock at $943.51 per share (less underwriting discounts) for net proceeds of $57,766,994.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

77/ On 4/3/2012, Treasury completed the sale of 2,000 shares of Seacoast Banking Corporation of Florida preferred stock at $20,510.00 per share (less underwriting discounts) for net proceeds of $40,404,700.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

78/ On 4/3/2012, Treasury completed the sale of 57,000 shares of MainSource Financial Group, Inc. preferred stock at $931.11 per share (less underwriting discounts) for net proceeds of $52,277,170.95 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

79/ On 4/3/2012, Treasury completed the sale of 52,625 shares of WSFS Financial Corporation preferred stock at $915.11 per share (less underwriting discounts) for net proceeds of $47,435,298.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

86/ On 6/19/2012, Treasury completed the sale of 104,823 shares of Taylor Capital Group preferred stock at $893.50 per share (less underwriting discounts) for net proceeds of $92,254,460.24 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

81/ On 4/20/2012, Treasury completed the sale of all The Connecticut Bank and Trust Company preferred stock held by Treasury to Berkshire Bank for an aggregate purchase price of $6,289,966.33 consisting of (a) (i) $5,448,000.00 for the preferred stock plus (ii) all accrued and unpaid dividends and (b) $792,783.00 for the Warrant, pursuant to the 

terms of the agreement by and among Treasury, The Connecticut Bank and Trust Company, and Berkshire Bank entered into on 4/19/2012.

82/ 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.

83/ On 4/24/2012, Treasury completed the sale of all Peoples Bancorporation, Inc. ("Peoples") preferred stock held by Treasury to SCBT Financial Corporation ("SCBT") for an aggregate purchase price of $13,293,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Peoples, and SCBT entered into 

on 4/24/2012.

84/ On 8/14/2012, Treasury completed the sale of all Millennium Bancorp, Inc. (Millennium) Preferred Stock held by Treasury to CIC Bancshares, Inc. (CIC) for an aggregate purchase price of (i) $2.904 million plus (ii) accrued and unpaid dividends on the Preferred Stock as of the closing date, pursuant to an agreement by and amount Treasury, CIC, 

and Millennium entered into on 4/20/2012.

85/ On 6/19/2012, Treasury completed the sale of 52,000 shares of Ameris Bancorp preferred stock at $930.60 per share (less underwriting discounts) for net proceeds of $47,665,332.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

87/ On 6/19/2012, Treasury completed the sale of 30,000 shares of Farmers Capital Bank Corporation preferred stock at $869.17 per share (less underwriting discounts) for net proceeds of $21,594,228.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

88/ On 6/19/2012, Treasury completed the sale of 25,223 shares of LNB Bancorp Inc. preferred stock at $739.89 per share (less underwriting discounts) for net proceeds of $21,863,749.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

89/ On 6/19/2012, Treasury completed the sale of 37,000 shares of First Defiance Financial Corp. preferred stock at $962.66 per share (less underwriting discounts) for net proceeds of $35,084,143.70 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
Page 3 of 3

110/ On 8/9/2012, Treasury completed the sale of its Commonwealth Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $15,147,000.00 and its Commonwealth Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $898,722.00, 

pursuant to a placement agency agreement executed on 7/23/2012.

111/ On 8/9/2012, Treasury completed the sale of its Diamond Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $14,780,661.64 and its Diamond Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $779,576.49, pursuant to a placement 

agency agreement executed on 7/23/2012.

112/ On 8/10/2012, Treasury completed the sale of 22,252 shares of Premier Financial Bancorp, Inc. preferred stock at $901.03 per share (less a placement agent fee) for net proceeds of $19,849,222.36, pursuant to a placement agency agreement executed on 7/23/2012.

104/ On 8/9/2012, Treasury completed the sale of 36,282 shares of Fidelity Financial Corporation preferred stock at $891.26 per share (less a placement agent fee) for net proceeds of $32,013,328.37 and 1,814 shares of Fidelity Financial Corporation preferred stock received upon the exercise of warrants at $960.60 per share (less a placement 

agent fee) for net proceeds of $1,725,103.12, pursuant to a placement agency agreement executed on 7/23/2012.

105/ On 8/9/2012, Treasury completed the sale of 428 shares of First Western Financial, Inc. preferred stock received upon the exercise of warrants at $828.50 per share (less a placement agent fee) for net proceeds of $351,052.02, pursuant to a placement agency agreement executed on 7/23/2012.

106/ On 8/10/2012, Treasury completed the sale of 23,200 shares of Park Bancorporation, Inc. preferred stock at $730.25 per share (less a placement agent fee) for net proceeds of $16,772,382.00 and 1,160 shares of Park Bancorporation, Inc. preferred stock received upon the exercise of warrants at $780.25 per share (less a placement agent fee) 

for net proceeds of $896,039.10, pursuant to a placement agency agreement executed on 7/23/2012.

107/ On 8/10/2012, Treasury completed the sale of 35,539 shares of Trinity Capital Corporation preferred stock at $750.25 per share (less a placement agent fee) for net proceeds of $26,396,503.40 and 1,777 shares of Trinity Capital Corporation preferred stock received upon the exercise of warrants at $941.20 per share (less a placement agent 

fee) for net proceeds of $1,655,787.28, pursuant to a placement agency agreement executed on 7/23/2012.

108/ On 8/10/2012, Treasury completed the sale of 24,300 shares of CBS Banc-Corp. preferred stock at $905.20 per share (less a placement agent fee) for net proceeds of $21,776,396.40 and 1,215 shares of CBS Banc-Corp. preferred stock received upon the exercise of warrants at $921.00 per share (less a placement agent fee) for net proceeds 

of $1,107,824.85, pursuant to a placement agency agreement executed on 7/23/2012.

109/ On 8/9/2012, Treasury completed the sale of its Market Street Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $18,069,212.70 and its Market Street Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $824,730.64, 

pursuant to a placement agency agreement executed on 7/23/2012.

116/ 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.

113/ On 8/10/2012, Treasury completed the sale of 1,100 shares of First Community Financial Partners, Inc. preferred stock received upon the exercise of warrants at $661.50 per share (less a placement agent fee) for net proceeds of $720,373.50, pursuant to a placement agency agreement executed on 7/23/2012.

114/ On 8/9/2012, Treasury completed the sale of 8,000 shares of First Western Financial, Inc. preferred stock at $775.00 per share (less a placement agent fee) for net proceeds of $6,138,000.00, pursuant to a placement agency agreement executed on 7/23/2012.

115/ 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.

117/ On 8/1/2012, Treasury completed the sale of all VIST Financial Corp. ("VIST") preferred stock and the related warrant held by Treasury to Tompkins Financial Corporation ("Tompkins") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($25,000,000) plus accrued and unpaid dividends thereon and (ii) $1,189,813 

for the warrant, pursuant to the terms of the agreement by and among Treasury, VIST, and Tompkins entered into on 8/1/2012.

118/ On 8/20/2012, Treasury completed the sale of 5,738,637 split adjusted shares of Sterling Financial Corporation common stock at $20.00 per share (less underwriting discounts) for net proceeds of $113,338,080.75, pursuant to an underwriting agreement executed on 8/14/2012.

119/ On 8/21/2012, Treasury completed the sale of 230,000 shares of M&T Bank Corporation Series A Preferred Shares and 151,500 shares of M&T Bank Corporation Series C Preferred Shares at $1,000.00 per share plus accrued dividends for proceeds of $381,500,000.00 plus accrued dividends, pursuant to an underwriting agreement executed 

90/ On 6/19/2012, Treasury completed the sale of 10,958 shares of First Capital Bancorp, Inc. preferred stock at $920.11 per share (less underwriting discounts) for net proceeds of $9,931,326.90 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

91/ On 6/19/2012, Treasury completed the sale of 20,600 shares of United Bancorp, Inc. preferred stock at $825.50 per share (less underwriting discounts) for net proceeds of $16,750,220.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

97/ On 7/3/2012, Treasury completed the sale of 33,000 shares of Firstbank Corporation preferred stock at $941.01 per share (less underwriting discounts) for net proceeds of $30,587,530.05 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

98/ On 7/3/2012, Treasury completed the sale of 17,299 shares of Southern First Bancshares, Inc. preferred stock at $904.00 per share (less underwriting discounts) for net proceeds of $15,403,721.56 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

92/ On 7/3/2012, Treasury completed the sale of 48,200 shares of Fidelity Southern Corporation preferred stock at $900.60 per share (less underwriting discounts) for net proceeds of $42,757,786.20 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

93/ On 7/3/2012, Treasury completed the sale of 25,054 shares of Peoples Bancorp of North Carolina, Inc. preferred stock at $933.36 per share (less underwriting discounts) for net proceeds of $23,033,635.42 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

94/ On 7/3/2012, Treasury completed the sale of 23,184 shares of First Citizens Banc Corp preferred stock at $906.00 per share (less underwriting discounts) for net proceeds of $20,689,633.44 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

95/ On 7/3/2012, Treasury completed the sale of 45,000 shares of MetroCorp Bancshares, Inc. preferred stock at $981.17 per share (less underwriting discounts) for net proceeds of $43,490,360.25 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

96/ On 7/3/2012, Treasury completed the sale of 32,538 shares of Pulaski Financial Corp preferred stock at $888.00 per share (less underwriting discounts) for net proceeds of $28,460,337.84 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

99/ On 7/12/2012, Treasury completed the sale of all Naples Bancorp, Inc. ("Naples Bancorp") preferred stock held by Treasury to Naples Bancorp for an aggregate purchase price of $600,000.00, pursuant to the terms of the agreement between Treasury and Naples Bancorp entered into on 7/12/2012.

100/ On 7/17/2012, Treasury completed the sale of all Heartland Bancshares, Inc. ("Heartland") preferred stock held by Treasury to Horizon Bancorp for an aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Heartland, and Horizon Bancorp entered into on 

7/17/2012.

101/ 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.

102/ On 8/10/2012, Treasury completed the sale of 35,500 shares of Marquette National Corporation preferred stock at $720.25 per share (less a placement agent fee) for net proceeds of $25,313,186.25 and 1,775 shares of Marquette National Corporation preferred stock received upon the exercise of warrants at $825.25 per share (less a 

placement agent fee) for net proceeds of $1,450,170.56, pursuant to a placement agency agreement executed on 7/23/2012.

103/ On 8/13/2012, Treasury completed the sale of 43,000 shares of Exchange Bank preferred stock at $875.25 per share (less a placement agent fee) for net proceeds of $37,259,392.50 and 2,150 shares of Exchange Bank preferred stock received upon the exercise of warrants at $965.10 per share (less a placement agent fee) for net proceeds of 

$2,054,215.35, pursuant to a placement agency agreement executed on 7/23/2012.

129/ On 9/21/2012, Treasury completed the sale of 22,000 shares of First Community Financial Partners, Inc. preferred stock at $652.50 per share (less a placement agent fee) for net proceeds of $14,211,450.00, pursuant to a placement agency agreement executed on 9/12/2012.

130/ On 9/26/2012, Treasury completed the sale of all Central Federal Corporation preferred stock and the related warrant held by UST for an aggregate purchase price of $3,000,000, pursuant to the terms of the agreement entered into on 9/12/2012.

131/ On 10/1/2012, Treasury completed the sale of all Southern Community Financial Corp. preferred stock and the related warrant held by UST for an aggregate purchase price of $42,750,000, plus accrued and unpaid dividends, pursuant to the terms of the agreement entered into on 10/1/2012.

120/ On 8/29/2012, Treasury completed the sale of 31,260 shares of BNC Bancorp preferred stock at $921.23 per share (less underwriting discounts) for net proceeds of $28,365,685.05 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

121/ On 8/29/2012, Treasury completed the sale of 11,000 shares of Mackinac Financial Corporation preferred stock at $958.09 per share (less underwriting discounts) for net proceeds of $10,380,905.15 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

122/ On 8/29/2012 Treasury completed the sale of 11,350 shares of First Community Corporation preferred stock at $982.83 per share (less underwriting discounts) for net proceeds of $10,987,793.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

123/ On 8/29/2012, Treasury completed the sale of 13,900 shares of First National Corporation preferred stock at $882.50 per share (less underwriting discounts) for net proceeds of $12,082,748.75 plus accrued dividends and 695 shares of First National Corporation preferred stock (held as a result of warrant exercise) at $912.50 per share (less 

underwriting discounts) for net proceeds of $624,674.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

124/ On 9/18/2012, Treasury completed the sale of 36,000 shares of Yadkin Valley Financial Corporation Series T preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $31,843,080.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.

125/ On 9/18/2012, Treasury completed the sale of 13,312 shares of Yadkin Valley Financial Corporation Series T-ACB preferred stock at $880.00 per share (less underwriting discounts) for net proceeds of $11,643,740.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.

126/ On 9/20/2012, Treasury completed the sale of 17,000 shares of F&M Financial Corporation (NC) preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $15,988,500.00 and 850 shares of F&M Financial Corporation (NC) preferred stock received upon the exercise of warrants at $921.30 per share (less a placement 

agent fee) for net proceeds of $775,273.95, pursuant to a placement agency agreement executed on 9/12/2012.

127/ On 9/21/2012, Treasury completed the sale of 17,243 shares of F&M Financial Corporation (TN) preferred stock at $787.50 per share (less a placement agent fee) for net proceeds of $13,443,073.87 and 862 shares of F&M Financial Corporation (TN) preferred stock received upon the exercise of warrants at $870.00 per share (less a placement 

agent fee) for net proceeds of $742,440.60, pursuant to a placement agency agreement executed on 9/12/2012.

128/ On 9/20/2012, Treasury completed the sale of 70,000 shares of Alpine Banks of Colorado preferred stock at $814.29 per share (less a placement agent fee) for net proceeds of $56,430,297.00 and 3,500 shares of Alpine Banks of Colorado preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent fee) 

for net proceeds of $3,291,750.00, pursuant to a placement agency agreement executed on 9/12/2012.
Page 1 of 1

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.
Page 1 of 2

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 

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 8/13/2010 Citizens Bancshares Corporation Atlanta GA 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 Mission Valley Bancorp Sun Valley CA 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 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ - $ 5,146,000 Par 

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 

5 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ - $ - $ 2,500,000 Par 9/26/2012 5 $2,500,000 $0

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 283,000 Par 

9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ - $ - $ 1,657,000 Par 

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 

9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 743,000 Par 

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 

5 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ - $ 1,096,000 Par 10/3/2012 5 $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 

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 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ - $ 9,734,000 Par 

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 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details Disposition Details

Date
Page 2 of 2

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 

9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ - $ - $ 3,297,000 Par 

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 

9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ - $ - $ 6,300,000 Par 

9/29/2010 UNITEHERE Federal Credit Union

(Workers United Federal Credit Union) New York NY Subordinated Debentures $ - $ - $ 57,000 Par 

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 

5 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ - $ - $ 350,000 Par 4/10/2012 5 $350,000 $0

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ - $ 9,278,000 Par 

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 $3,946,000

$ 566,127,000

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.

5/ Repayment pursuant to Section 5.2 of the CDCI Securities Purchase 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.

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.
Page 1 of 2

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%

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 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A -

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A -

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust

23 Right to recover 

proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - - 17 9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover 

proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover 

proceeds N/A 

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 30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 34,894,279,433

$ 403,000,000

Total Treasury Investment Amount

5/27/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 360,624,198 Par

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors 

Corporation

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note

Debt Obligation w/ Additional 

Note

General Motors 

Holdings LLC 6 7/10/2009 11, 12 Debt Obligation $ 7,072,488,605 Exchange for preferred and 

common stock in New GM $ 360,624,198 N/A 7

$ 13,400,000,000 Par

N/A

7

General Motors 

Company

10, 

11, 25 $ 4,000,000,000 Par 5 7/10/2009 Common Stock 60.8% Exchange for preferred and common stock in New GM $ 4,000,000,000 

5/21/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 7,500,000,000

$ 5,937,500,000

Par 22 12/30/2009 Partial conversion of preferred 

stock for common stock

 Date

GMAC 

(Ally) Detroit, MI

$ 3,000,000,000 N/A

GMAC (Ally) 3, 26, 

32 Common Stock

21, 22 Convertible 

Preferred Stock

Obligor Description

GMAC (Ally)

73.8%

Remaining 

Investment 

Amount/Equity %

Payment or Disposition1

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment After Exchange/Transfer/Other

City, State Date Amount/Equity % Date Type Amount/ Proceeds

Remaining 

Investment 

Type Amount Description

Pricing 

Transaction Type Seller Description Amount Mechanism

Pricing 

Mechanism

Chrysler 

FinCo

Farmington 

Hills, MI

Chrysler Auburn Hills, 

MI

Termination and settlement payment 

20

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A $ 0 

Additional Proceeds *

 $ 40,896,959,538 

Footnotes appear on following page.
Page 2 of 2

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

$ (1,000,000,000)

5/ All outstanding principal drawn under the credit agreement was repaid.

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.

$ 2,500,000,000

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 1,500,000,000 N/A

$ 123,076,735

1 4/9/2009

$ 290,000,000

$ 1,000,000,000

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.

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.)

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

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.

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 

from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.

19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 

20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and 

accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 

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.

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green 

lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM. 

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)

11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General 

Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining 

principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.

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. 

"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).

As used in this table and its footnotes:

27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.

28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and 

restatement through but excluding the closing date that Treasury will receive separately at settlement.

29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the 

Plan of Liquidation. Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.

30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, 

through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with 

the UAW retirement trust pertaining to the trust's shares in Chrysler.

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.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

Investment 

Amount Pricing Mechanism

Adjustment Details Payment or Disposition4

Name of Institution

Adjustment 

Date

Adjusted or Final 

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.

GM Supplier Receivables LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735 Total Proceeds from Additional Notes

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.

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables 

2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009. 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

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.
Page 1 of 1

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

3 12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

TOTAL $ 0 Total Proceeds $ 2,313,197,045 

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.

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

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 Date Type Amount

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 Guarantee Limit

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 Exchange trust preferred 

securities for trust preferred 

securities

4 9/29/2010 $ 2,246,000,000 

1 1/16/2009 Citigroup Inc. New York NY Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants $ 4,034,000,000 Trust Preferred Securities 

w/ Warrants
Page 1 of 2

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 Investment Transaction Type Pricing 

Mechanism

Warrants (Series E)

Warrants (Series F)

Total

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%

Footnotes appear on following page.

6 1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

 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

$ 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

N/A 9

4 1/14/2011

Preferred Stock (Series G)

$ 55,885,302

Exchange N/A

1 11/25/2008 AIG

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

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)

Final Disposition

Proceeds

Treasury Holdings Post-Recapitalization Final Disposition

Transaction Type 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.

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

13

 924,546,133

 562,868,096

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
Page 2 of 2

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.

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.

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.
Page 1 of 1

Name of Institution City State Amount

7/19/2010 2

$ 4,300,000,000

6/28/2012 3$ 1,400,000,000

TOTAL $ 1,400,000,000

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

N/A

Pricing Mechanism

2/ 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.

3/3/2009 TALF LLC Wilmington DE Purchase

Footnote Investment Amount

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.

Adjusted Investment

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 Debt Obligation w/ Additional Note $ 20,000,000,000

Date Date

Seller Transaction 

Type Investment Description 
Page 1 of 1

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

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 -

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 -

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 -

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.

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2034

-

-

-

-

-

-

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2025

Floating Rate SBA 7a security due 2034

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
Page 1 of 3

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

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000 2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ 

Contingent Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ 

Contingent Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ 

Contingent Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ 

Contingent Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ 

Contingent Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ 

Contingent Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ 

Contingent Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ 

Contingent Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ 

Contingent Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ 

Contingent Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ 

Contingent Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ 

Contingent Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ 

Contingent Proceeds

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ 

Contingent Proceeds

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ 

Contingent Proceeds

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ 

Contingent Proceeds

3/29/2012 Distribution 5 $ 3,434,460

8/9/2012 Distribution 5 $ 40,556

9/28/2012 Final Distribution 5 $ 469

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

CREDIT MARKET PROGRAMS

Investment After Capital Repayment Distribution or Disposition

1/15/2010 $ 156,250,000 $ 0 Membership Interest

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

3/29/2012 $ 161,386,870 $ 0 Membership Interest 10

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

$ 0 Contingent Proceeds

Final Investment 

Amount 9 Final Commitment Amount Capital Repayment Details 7

1/12/2010 $ 166,000,000

3/14/2012 $ 284,468,750 $ 0 Contingent Proceeds
Page 2 of 3

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Investment After Capital Repayment Distribution or Disposition

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9 Final Commitment Amount Capital Repayment Details 7

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

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

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

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

8/22/2012 $ 583,467,339 $ - Contingent Proceeds 10/3/2012 Distribution 5, 11 $ 12,012,957

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

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

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 2/14/2012 $ 87,099,565 $ 1,156,175,436 Membership Interest 10

3/14/2012 $ 99,462,003 $ 1,056,713,433 Membership Interest 10

5/14/2012 $ 74,999,625 $ 981,713,808 Membership Interest 10

7/16/2012 $ 18,749,906 $ 962,963,902 Membership Interest 10

8/14/2012 $ 68,399,658 $ 894,564,244 Membership Interest 10

9/17/2012 $ 124,999,375 $ 769,564,869 Membership Interest 10

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 2/14/2012 $ 174,200,000 $ 2,312,350,000

Debt Obligation w/ 

Contingent Proceeds

3/14/2012 $ 198,925,000 $ 2,113,425,000

Debt Obligation w/ 

Contingent Proceeds

5/14/2012 $ 150,000,000 $ 1,963,425,000

Debt Obligation w/ 

Contingent Proceeds

7/16/2012 $ 37,500,000 $ 1,925,925,000

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 136,800,000 $ 1,789,125,000

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 250,000,000 $ 1,539,125,000

Debt Obligation w/ 

Contingent Proceeds

8/30/2012 $ 292,454,480 $ - Membership Interest 10
Page 3 of 3

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Investment After Capital Repayment Distribution or Disposition

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9 Final Commitment Amount Capital Repayment Details 7

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

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

9/21/2012 $ 161,866,170 $ -

Debt Obligation w/ 

Contingent Proceeds

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 9/17/2012 $ 74,499,628 $ 400,050,373 Membership Interest 10

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 9/17/2012 $ 149,000,000 $ 800,100,000

Debt Obligation w/ 

Contingent Proceeds

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 7/15/2011 $ 39,499,803 $ 1,121,284,298 Membership Interest 10

3/14/2012 $ 39,387,753 $ 1,081,896,544 Membership Interest 10

9/17/2012 $ 22,111,961 $ 1,059,784,583 Membership Interest 10

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 7/15/2011 $ 79,000,000 $ 2,242,568,200

Debt Obligation w/ 

Contingent Proceeds

3/14/2012 $ 78,775,901 $ 2,163,792,299

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 44,224,144 $ 2,119,568,156

Debt Obligation w/ 

Contingent Proceeds

INITIAL COMMITMENT AMOUNT $ 30,000,000,000 $ 21,856,403,574 $ 380,159,122

TOTAL CAPITAL REPAYMENT AMOUNT $ 9,820,537,482

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.

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.

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.

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.

FINAL COMMITMENT AMOUNT 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.