Troubled Assets Relief Program (TARP) 

Monthly 105(a) Report – November 2010 

This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilizat
Monthly 105(a) Report 

Section TARP Enactment and End of Authority...........................................................................................................

Agency Financial Report ............................................................................................................Where are the TARP Funds? ..........................................................................................................................

• Commitments, Disbursements and Repayments • Dividends and Interest 

Program Updates .....................................................................................................................

• Automotive Industry Financing Program • Capital Purchase Program • Housing Programs 

For Your Information – Links to Other TARP Reports .....................................................................Appendices

Appendix 1 – Description of TARP Programs & How Treasury Exercises Its Voting Rights 

Appendix 2 – Financial Statement 
Monthly 105(a) Report 

 

Treasury is pleased to present the Monthly 105(a) Report for November 2010 for the Troubled Asset Relief Program, o

TARP Enactment and End of Authority The TARP was established pursuant to the Emergency Economic Stabilization Act of 2008 or EESA. This law was adresponse to the worst financial crisis since the Great Depression. Treasury has used the TARP authority to make invstabilize the financial system, restore confidence in the strength of our financial institutions, restart markets that are households and businesses, help prevent avoidable foreclosures and protect homeownership. Two years later, October 3, 2010 marked the second anniversary of the TARP and the end of the authority to make new The TARP was, and is, an enormous commitment of taxpayer money. And it has been unpopular for good reason—no rescue financial institutions. However, by objective standards, TARP worked. It helped stop the widespread financia2008 and helped prevent what could have been a devastating collapse of our financial system. Moreover, it did so what most people expected at the time the law was passed. Of course, TARP was not the answer to all of Americmany still ahead. The U.S. economy is healing but at a slower pace than we need. Millions of Americans are still outheir homes. We still have much work to do to repair the damage from this crisis. Going forward, our focus is to manage the TARP investments prudently while working to recover as much of the taxpawill also continue our efforts to help distressed homeowners. And we will take these steps while maintaining comptransparency standards. Treasury aims to dispose of its investments as quickly as practicable, in a timely and orderl

duty to protect financial stability and protect taxpayers’ interests. Regarding the General Motors initial public offering cin which Treasury recouped $13.5 billion of TARP investment, Tim Massad, Acting Assistant Secretary for Financial Sta

“Our temporary assistance for the U.S. auto industry saved more than one million jobs across the industrial heartlathe overall TARP program – is on track to cost far less than anyone had first anticipated. General Motors’ IPcompany’s turnaround and the significant progress we have made continuing to exit our investments and recover ta

The ultimate cost of TARP will depend on how financial markets and the economy perform in the future. If financdeteriorate, prospects for outstanding TARP investments will also deteriorate. Our most recent analysis of the posuggests that the total cost of TARP could be $45.9 billion, assuming the American International Group, Inc (AIG) rewhen measured at the October 1, 2010 market price. In addition, using the same assumptions, we estimate that programs and other Treasury interests in AIG will be about $30 billion. This is a notable decline from earlier estimatdetailed explanation of the projected costs for TARP in the Agency Financial Report referred to below.1

1 The Congressional Budget Office, in its November 2010 report on the TARP (www.cbo.gov/ftpdocs/119xx/doc11980/11-29-TARP.pdf), recently 

federal government will amount to $25 billion. 
Monthly 105(a) Report 

Agency Financial Report for Fiscal Year 2010 In November, the Office of Financial Stability of the Department of the Treasury (OFS) released the Agency Financiafor the Troubled Asset Relief Program (Agency Financial Report).2 This report provides information on financial res

required by the Emergency Economic Stabilization Act and other laws. Clean Audit Opinions • For the second consecutive year, OFS has earned unqualified or “clean” opinions on its financial statements an

financial reporting from the Government Accountability Office, with no material weaknesses. 

Where are TARP Funds? Treasury used the TARP authority to make investments that have helped to stabilize the financial system, restore confinancial institutions, restart markets that are critical to financing American households and businesses, and prevent housing market. A large part of the total investments occurred in 2008 under the Capital Purchase Program. The com2010 include amounts extended under the Obama Administration’s Financial Stability Plan for Treasury’s Housing 

Legacy Securities Public Private Investment Program, the Automotive Industry Financing Program, the Community Dand the SBA 7(a) Securities Purchase Program, and the other programs described below and in Appendix 1. Commitments, Repayments and Proceeds to Taxpayers3

• Of the $475 billion maximum TARP commitments authorized: 

3⁄4 $389 billion has been disbursed; 3⁄4 $5 billion of commitments have been cancelled;4

3⁄4 $230 billion has been repaid, including $13.5 billion from the General Motors initial public offering and $25 billion 

stock sales; and 

3⁄4 Cumulative income from TARP investments has now reached $35 billion. 

2 Available at www.FinancialStability.gov/docs/2010%20OFS%20AFR%20Nov%2015.pdf. 3 Numbers in text and tables in this report may not add up because of rounding. 4 Refers to Asset Guarantee Program, see Note C to Figure 1 on next page. 
Monthly 105(a) Report 

Figure 1: TARP Summary through November 2010 ($ billions)a

As of November 30, 2010 Repayment

Capital Purchase Program $ 204.89 $ 204.89 $ 164.5

 Citigroup common stock $ 25.0

Targeted Investment Program $ 40.00 $ 40.00 $ 40.0

Asset Guarantee Program c $ 5.00 c $ 0.00 

Consumer and Business Lending Initiative d $ 5.24 $ 0.64

 SBA 7(a) 

 Community Development Capital Initiative Legacy Securities Public-Private Investment Program $ 22.41 $ 15.05 $ 0.5

AIG $ 69.84 $ 47.54Auto Industry Financing Program $ 81.76 $ 79.69 $ 24.7 GM IPO $ 13.5

Treasury Housing Programs f $ 45.63 f $ 0.89 f 

 Making Home Affordable (HAMP and enhancements) $ 29.91 $ 0.73 Hardest Hit Fund $ 7.60 $ 0.10

 FHA Short Refinance Program $ 8.12 $ 0.05

 Totals $475 $389 

Commitments Disbursed 

a/ Data as of November 30, 2010 is adjusted to include the completion of the Citigroup common stock sales on December 10, 2010. Of the appr

from Citigroup common stock sales, $25 billion is reflected as repayment, and $6.85 billion is reflected as income. 

b/ Income represents proceeds from recurring dividend and interest payments and distributions, gains from warrant sales and other proceeds in rec/ No funds were ever disbursed and the guarantee under the program was cancelled in December 2009. As a premium, Treasury received $2.2

which have been disposed of and represent a gain. Bank of America paid a termination fee, of which $276 million was received by Treasury and 

d/ $5.48 billion was reserved for the Consumer and Business Lending Initiative, of which (i) $4.3 billion was allocated to TALF, (ii) $337 million w

allocated for SBA 7(a) securities purchases, and (iii) $570 million was disbursed from the $780 million allocated for the Community Development 

e/ Cumulative income at month-end from the SBA 7(a) program is $5.10 million and from the CDCI program is $2.06 million. f/ Maximum TARP funds available for housing include (i) approximately $29.9 billion in funds that may be provided to servicers under existing 

Affordable Program (MHA), (ii) $7.6 billion for the Hardest Hit Fund program and (iii) not more than $8.1 billion which will be used for th

Expenditures under the housing programs are made incrementally over time and are not expected to be repaid. 
Monthly 105(a) Report 

Dividends, Interest and Other Income • In November, Treasury received approximately $737 million in dividends, interest and distributions from TARP invesFigure 2: Total dividends, interest and other income from TARP programs through November 2010 ($ billions) 

CPP

$17.1 

PPIP

$0.4 

CPP & TIP 

Warrant 

Proceeds

$8.2 

AGP

$3.0 

AIFP

$3.2 

TIP

$3.0 

Total: $34.8 billion 

5 The Asset Guarantee Program figure income was adjusted to include both the sale of Citigroup Trups and the termination fee paid by Bank of A6 Treasury’s Dividends and Interest Reports for TARP programs are available at www.FinancialStability.gov/latest/reportsanddocs.html. Certa

warrant dispositions, are stated on the Transactions Reports available at the same webpage. 
Monthly 105(a) Report 

Program Updates Automotive Industry Financing Program (AIFP)

General Motors – Initial Public Offering (IPO) • In November, General Motors completed its initial public offering with net proceeds to Treasury of $13.5 billion. 

$32.7525, which represents the public sale price of $33 less underwriting discounts and fees. 

U.S. Department of Treasury Participation in the GM IPO

Shares of Common Stock Sold Net Proceeds ($ billions)

Initial Sale 358,546,795 $11.7 Over-Allotment 53,782,019 $1.8 Total 412,328,814 $13.5

• Treasury has invested a total of $49.5 billion in General Motors. In October, Treasury announced that it acce

Motors to repurchase $2.1 billion of preferred stock – a transaction that is expected to occur in mid-December 20and the IPO, taxpayers will have received a total of $23.1 billion from General Motors through repayments, interescompany completed its restructuring through a bankruptcy sale in July 2009. 

Treasury Investment in GM ($ billions) Return from GM ($ billions

Pre-January 2009 13.4 Net IPO Proceeds 13Post-January 2009 36.1 Debt Repayment 6

Proposed Preferred Stock Repurchase 2Interest & Dividends 0

Total $ 49.5 Total $ 23

• The IPO reduced Treasury’s ownership of General Motors’s outstanding common stock by nearly half from 60.8 

Following the IPO and the preferred stock repurchase, Treasury’s remaining stake in General Motors will consist common stock. 

Ally Financial (GMAC) • Treasury received approximately $311 million in dividend income from Ally Financial (GMAC). 
Monthly 105(a) Report 

Capital Purchase Program

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

throughout the nation. Treasury estimates the program will result in a positive return for taxpayers. Of the $205 b$164.6 billion has been repaid.7

Figure 3 shows the cumulative Capital Purchase Program activity since program inception. Figure 3: Capital Purchase Program Snapshot 

Amount Invested: $205 billion Total Dividends and Interest: Number of Institutions: 707Largest Investment: $25 billion November Dividends and Interest: $321.35 

Smallest Investment: $301,000

Citigroup Income:* 

Total Amount of Repayments: * $164.57 billion Total Warrant Income:** 

 CPP Repurchase Amount: $3.15 bil

 Number of Institutions Fully Repaid: 84 CPP & TIP Auction Amount: $5.01 bil Partially Repaid: 9 **Includes TIP warrants and proceeds from exercised 

 Exchanged to CDCI: 28 In Bankruptcy/Receivership: 7 

 Investments sold 2*Repayment of $25 billion and income of $6.85 billion from completed Citigroup common stock sales that generated $31.85 

Total in bankruptcy/receivership/sold:

CPP Repayments & DispositionsCPP Cumulative Investments CPP Income to TreasuryBanks in 48 states, D.C. and Puerto Rico

Dividends and Interest• Dividends and interest received in November was approximately $321.35 million. • Cumulative dividends and interest received from Capital Purchase Program investments is approximately $10.24 bi7 Further information on the terms of the Capital Purchase Program is available in Appendix 1 and at http://www.FinancialStability.gov/roadtostab
Monthly 105(a) Report 

Citigroup common stock sales completed Treasury has now completed the sales of Citigroup, Inc. (“Citigroup”) common stock. Approximately 7.7 billion shares wexchange for the $25 billion in preferred stock investment made under the Capital Purchase Program at a price of $3.2• In total, Citigroup common stock sales generated proceeds of $31.85 billion, which represents a gain to taxpayers o• From October 19, 2010 through December 6, 2010, approximately 1.166 billion shares were sold under the fo

Treasury’s sale agent at an average price per share of $4.26. 

• On December 10, 2010, Treasury completed the sale of all remaining shares (approximately 2.42 billion) at a price 

an underwritten offering. 

Repayments • Cumulative Capital Purchase Program repayments have reached $164.57 billion. • Treasury continues to work with Federal banking regulators who must evaluate requests from banks interested in re

• Of the $37.4 billion that remains invested under the program, approximately $26.4 billion consists of investments in 

Figure 4 shows the top 25 remaining Capital Purchase Program investments by institution.
Monthly 105(a) Report 

 Figure 4: Top 25 Remaining Capital Purchase Program Investments by Institution * Includes capitalized interest made in connection with Treasury’s exchange of the $400 million preferred stock investment for $424,174,000 oStock (MCP). Subject to the fulfillment by First BanCorp of certain conditions, including those related to its capital plan, the MCP may be converte

Institution City, State

1 SunTrust Banks, Inc. Atlanta, GA $ 4,850,000,000

2 Regions Financial Corp./ Regions Bank Birmingham, AL $ 3,500,000,0003 Fifth Third Bancorp Cincinnati, OH $ 3,408,000,0004 KeyCorp/Keybank National Association Cleveland, OH $ 2,500,000,0005 Marshall & Ilsley Corporation Milwaukee, WI $ 1,715,000,000

6 Zions Bancorporation Salt Lake City, UT 1,400,000,000 $ 7 Huntington Bancshares Columbus, OH $ 1,398,071,0008 Synovus Financial Corp./ Columbus Bank & Trust Co. Columbus, GA $ 967,870,000

9 Popular, Inc. San Juan, PR $ 935,000,000

10 First Horizon National Corporation Memphis, TN $ 866,540,000

11 M&T Bank Corporation Buffalo, NY $ 751,500,000

12 Associated Banc-Corp Green Bay, WI $ 525,000,00013 First Bancorp San Juan, PR $ 424,174,000 *

14 Webster Financial Corporation Waterbury, CT $ 200,000,00015 Wilmington Trust Corporation Wilmington, DE $ 330,000,000

16 East West Bancorp Pasadena, CA $ 306,546,00017 Sterling Financial Corporation/Sterling Savings Bank Spokane, WA $ 303,000,000 **

18 Susquehanna Bancshares, Inc Lititz, PA $ 100,000,00019 Citizens Republic Bancorp, Inc. Flint, MI $ 300,000,00020 Whitney Holding Corporation New Orleans, LA $ 300,000,000

21 First Banks, Inc. Clayton, MO $ 295,400,00022 New York Private Bank & Trust Corp. / Emigrant Bank New York, NY $ 267,274,00023 Flagstar Bancorp, Inc. Troy, MI $ 266,657,00024 Cathay General Bancorp/ Cathay Bank Los Angeles, CA $ 258,000,00025 Wintrust Financial Corporation Lake Forest, IL $ 250,000,000

Total $ 26,418,032,000

Investment Amount

**Treasury completed the exchange of its $303 million preferred stock investment for a like amount of Mandatorily Convertible Preferred Stock 

the conversion conditions, including those related to its capital plan, Treasury’s MCP was subsequently converted into 378,750,000 shares of com
Monthly 105(a) Report 

Exchange for other securities and dispositions In limited cases, in order to protect the taxpayers’ interest in the value of a CPP investment and to promote the objec

exchange the CPP preferred stock for other securities. Treasury evaluates whether to participate in an exchange of thbasis of enabling the bank to (i) get new investors to provide additional capital, (ii) conduct a capital restructuring or financial condition. Exchanges made on this basis may be at a rate less than par, and sales by Treasury to a new discount. • On November 5, 2010, Treasury entered into an agreement with The Bank of Currituck (“Currituck”) pursuant to w

sell to Currituck for an aggregate purchase price of $1.74 million all preferred stock (including the preferred stock reof warrants) which Currituck had issued to Treasury in February 2009 for an aggregate purchase price of $4.02 msale, which occurred on December 3, 2010, was subject to the fulfillment of certain closing conditions, including TowneBank, a Virginia chartered bank, of all of Currituck’s branches and certain other assets.

Missed Payments Each bank in the Capital Purchase Program entered into a securities purchase agreement with Treasury that provides 

(or interest for Subchapter S-Corporations) at a certain rate. Treasury does not have a contractual right to demanRather, under corporate law and the governing contracts, the bank’s board of directors, using the directors’ best businand how to deploy the institution’s capital including whether to make dividend (or interest) payments. • Treasury has received a total of $17.16 billion in dividends and interest to date under all TARP programs, of whic

paid under the Capital Purchase Program. As of November 30, 2010, banks in the Capital Purchase Program hbillion of missed payments. 

• For the quarterly dividend payment in November, 132 institutions missed payments, consisting of 104 cumu

(approximately $41.67 million), 20 non-cumulative dividend payments (approximately $1.77 million), and 8 S-corp

(approximately $1.45 million).8

• At month-end, 19 banks have missed six or more payments. Treasury has the contractual right to nominate up to two members to the board of directors of an institution after quarterly dividend (or interest) payments. If an institution misses five dividend (or interest) payments, Treasury may qualified members of the Office of Financial Stability staff to act as observers to help determine how to best exe

8 Treasury’s monthly Dividends and Interest Reports for TARP programs are available at www.FinancialStability.gov/latest/reportsanddocs.html. 
Monthly 105(a) Report 

nominate up to two directors. If the right to nominate members to the board of directors becomes exercisable, Treasnominate up to two members. This determination will be based on Treasury’s evaluation of the condition and heafunctioning of its board of directors. Treasury will prioritize institutions in part based on whether its investment exceeds 

Housing Programs

HUD Housing Scorecard and Servicer Performance Report In November, the U.S. Department of Housing and Urban Development (HUD) and Treasury release

(www.HUD.gov/scorecard) on the nation’s housing market. Each month, the scorecard incorporates key housing ma

the impact of housing recovery efforts, including assistance to homeowners through the Federal Housing Administratio

Affordable Modification Program. The scorecard also incorporates the Servicer Performance Report Through October www.FinancialStability.gov/docs/Oct%202010%20MHA%20Public%20Final.pdf. 

• The November Housing Scorecard features key data on the health of the housing market including: 

3⁄4 An additional 1 million families refinanced their mortgages in the last quarter, taking advantage of the lowest 

year fixed mortgages. Since April 2009, record low interest rates have helped more than 8.3 million homeresulting in more stable home prices and $15.2 billion in annual borrower savings. 

3⁄4 More than 3.73 million modification arrangements were started between April 2009 and the end of August 2010 

the number of foreclosure completions during that time. These modification arrangements included nearly 

Affordable Modification Program (HAMP) modification starts, more than 600,000 Federal Housing Admimitigation and early delinquency interventions, and nearly 1.8 million proprietary modifications under HOPE Now

3⁄4 Data in the scorecard also show that the recovery in the housing market continues to remain fragile. While 

place over time, the Administration remains committed to its efforts to prevent avoidable foreclosures and market. 

9 Further information regarding Treasury’s right to nominate members to an institution’s board of directors, and FAQs o

http://www.FinancialStability.gov/roadtostability/capitalpurchaseprogram.html. 
Monthly 105(a) Report 

• Highlights from the Servicer Performance Report Through October 2010 include: 

Modifications

3⁄4 Permanent modifications have been started for nearly 520,000 homeowners. On average, almost 37,

modifications have been started monthly for the past 6 months. Close to 24,000 trial modifications conmodifications in October. 

3⁄4 Homeowners in active permanent modifications realize a median monthly payment reduction of 36%, or more 

For homeowners in permanent modifications, their median first-lien housing expense falls from 45% of their mo

3⁄4 Nearly 1.4 million trial modifications have started under HAMP. Since June, servicers have reported an avera

starts as they implemented fully verified document collection. 

3⁄4 Of active trial modifications, 69,000 have lasted at least six months, which represents a decrease in aged trials 

266,000 at the beginning of the second quarter of 2010. 

Servicers Continue to Ramp Up Program Enhancements

3⁄4 Servicers have expanded their program commitment to include additional efforts for homeowners struggling to 

related to second liens, unemployment and “underwater” mortgages. 

3⁄4 17 servicers have signed up for the Second-Lien Modification Program (2MP), covering nearly two-thirds of the 

market. 

3⁄4 Unemployed homeowners may be offered a minimum of three months’ forbearance prior to being conside

modification. 

3⁄4 Reporting on these additional programs will begin in early 2011.
Monthly 105(a) Report 

Links to Other TARP Reports and Information Office of Financial Stability, U.S. Department of the Treasury 

• Financial Stability website: www.FinancialStability.gov• Agency Financial Report Fiscal Year 2010: www.FinancialStability.gov/docs/2010%20OFS%20AFR%20Nov%2• TARP Two Year Retrospective: www.FinancialStability.gov/latest/pr_10052010.html

Housing Initiatives 

• Making Home Affordable website: www.MakingHomeAffordable.gov ; and Home Affordable Modification Progra

Supplemental Directives and the MHA Handbook): www.HMPadmin.com

• Monthly Housing Scorecard from the U.S. Department of Housing and Urban Development (HUD): www.HUD.g• HFA Hardest Hit Fund: www.FinancialStability.gov/roadtostability/hardesthitfund.html• Monthly Servicer and Performance Reports: www.FinancialStability.gov/latest/reportsanddocs.html

Warrant Sales 

• Warrant Disposition Reports: www.FinancialStability.gov/latest/reportsanddocs.html• Treasury Analysis of Warrant Auction Results: www.Treas.gov/offices/economic-policy/reports/Auction-Analysis

Public-Private Investment Program Quarterly Reports 

• www.FinancialStability.gov/roadtostability/legacysecurities.html#reports

Executive Compensation - Office of the Special Master for Executive Compensation 

• www.FinancialStability.gov/about/executivecompensation.html

Congressional Testimony

• Links to written testimony given by Treasury officials before Congress are available at: www.FinancialStability.g
Monthly 105(a) Report 

Appendix 1

Description of TARP Programs & How Treasury Exercises Its Voting R

Section 

 Description of TARP Programs............................................................................................. Capital Purchase Program.............................................................................................. SCAP and CAP (stress tests)........................................................................................................... Targeted Investment Program..........................................................................................................

 Asset Guarantee Program ...............................................................................................................

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

Bank Lending Surveys...................................................................................................Term Asset-Backed Securities Loan Facility.......................................................................

 Public Private Investment Program.................................................................................. SBA 7(a) Securities Purchase Program.............................................................................. Automotive Industry Financing Program........................................................................... AIG................................................................................................................................ Making Home Affordable Program.....................................................................................

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

Executive Compensation Restrictions Required by the Laws that Created the TARP............

 U.S. Government as a Shareholder –  How Treasury Exercises Its Voting Rights..............................................................................
Monthly 105(a) Report 

Program Descriptions What is the Capital Purchase Program (CPP)? 

• Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capi

throughout the nation. Under this program, Treasury invested in banks and other financial institutions to incstrengthened capital base, banks have an increased capacity to invest in assets, lend to businesses and consumeconomy. The CPP investment amount was determined by the size of the bank: no less than one percent and n(five percent for small banks) of the recipient’s risk-weighted assets. 

• Although many banks were fundamentally sound, because of the capital restraints caused by the troubled market c

to lend. The level of confidence between banks and other financial institutions was also low, so they were unwRestoring capital and confidence is essential to allowing the financial system to work effectively and efficiently. 

• The CPP remained open through 2009 for investments in small banks, with terms aimed at encouraging participatio

that are qualified financial institutions (QFIs) under CPP terms. The last application deadline was in Novembeoccurred in December 2009.

• This program is now closed. Treasury expects the CPP will result in a positive return for taxpayers. How does the CPP work? • Treasury purchased senior preferred shares and other interests from qualifying U.S.-controlled banks, savings ass

institutions. Treasury also receives warrants to purchase common shares or other securities from the banks. 

• Banks participating in the CPP pay Treasury dividends on the preferred shares at a rate of five percent per year fo

Treasury’s investment and at a rate of nine percent per year thereafter. S-corporation banks pay an interest rate ofirst five years and 13.8 percent thereafter. Preferred shares (or stock) are a form of ownership in a company. 

• Banks may repay Treasury under the conditions established in the purchase agreements as amended by t

Reinvestment Act. Treasury also has the right to sell the securities. The repayment price is equal to what Treasury 

unpaid dividends or interest. 
Monthly 105(a) Report 

• The charts below show the number of banks by investment amount (left) and total CPP funds disbursed by investm

381

271

55

0

50

100150200250300350400450

$12 million or less > $12 million - $250 million > $250 million

$2.15 

$13.29 

$189.46 

$0

$20$40$60$80

$100$120$140$160$180$200

$12 million or less > $12 million - $250 million > $250 million

• When a publicly-traded bank repays Treasury for the preferred stock investment, the bank has the right to repurcha

do not trade on any market and do not have observable market prices. If the bank wishes to repurchase warranprocess is used to establish fair market value. If an institution chooses not to repurchase the warrants, Treasury is In November and December 2009, Treasury began public offerings registered with the Securities and Exchange 

warrants using a modified Dutch auction methodology.More information on the methodology and results of the warrants sales is set forth the Warrant Disposition Reports www.FinancialStability.gov/latest/reportsanddocs.html
Monthly 105(a) Report 

What was the Supervisory Capital Assessment Program (SCAP) and Capital Assistance Program (CAP)? 

• The Supervisory Capital Assessment Program and Capital Assistance Program were important components of t

help ensure that banks have a sufficient capital cushion in a more adverse economic scenario. SCAP was a compexercise, or “stress test”, for the largest 19 U.S. bank holding companies. 

• In conjunction with this forward-looking test, Treasury announced that it would provide capital under TARP thro

Program (CAP) to banks that needed additional capital but were unable to raise it through private sources. 

• The stress test found that nine of the largest bank holding companies had adequate capital to withstand more seve

the ten bank holding companies that were identified as needing to raise more capital, nine met or exceeded the capthrough private efforts. Only one institution, Ally Financial (formerly GMAC), required additional funds under TARP requirements, which was provided through the Automotive Industry Financing Program, not CAP. 

How did the SCAP and the CAP work? • Federal banking supervisors conducted forward-looking assessments to estimate the amount of capital banks wou

more adverse economic scenario and to provide the transparency necessary for individuals and markets to judgsystem. Results of the stress tests were released in May 2009. 

• Some banks were required to take steps to improve the quality and/or the quantity of their capital to give them a la

lending even if the economy performs worse than expected. Banks had a range of options to raise capital in tcommon equity offerings, asset sales and the conversion of other forms of capital into common equity. Ban

requirement by using these options could request additional capital from the government through the CAP. Financidetailed capital plan to supervisors, who consulted with Treasury on the development and evaluation of the plan. Aits capital buffer at the conclusion of the SCAP was required to develop a detailed capital plan in June 2009, and implement that capital plan. 

• In cases in which the SCAP indicated that an additional capital buffer was warranted, institutions had an oppo

sources of capital, but were also eligible to receive government capital via investment available immediately thbanks that did not participate in the SCAP could have applied to their primary federal regulator to receive capital un
Monthly 105(a) Report 

What is the Targeted Investment Program (TIP) 

• Pursuant to EESA, Treasury has provided exceptional assistance on a case-by-case basis in order to stabilize ins

systemically significant to prevent broader disruption of financial markets. 

• Treasury provided this assistance by purchasing preferred stock, and also received warrants to purchase comm

However, the TIP investments provided for annual dividends of eight percent, which was higher than the CPP rareporting requirements and more onerous terms on the companies than under the CPP terms, including restricting per quarter, restrictions on executive compensation, restrictions on corporate expenses, and other measures. 

How did the TIP work? • Under the TIP, Treasury purchased $20 billion in preferred stock from Citigroup Inc. and $20 billion in preferred 

Corporation. Both preferred stock investments paid a dividend of eight percent per annum. The TIP investmeinvestments in these banks. 

• As part of an exchange offer designed to strengthen Citigroup’s capital, Treasury exchanged all of its CPP pref

combination of common stock and trust preferred securities, and the TIP preferred shares were exchanged for trust 

• In December 2009, Bank of America and Citigroup repaid their TIP investments in full. Treasury continues to 

Citigroup under the TIP. The Bank of America TIP warrants were sold in a public auction. 

• The program is closed, and will result in a positive return for taxpayers. What was the Asset Guarantee Program (AGP)?

• Under the AGP, Treasury acted to support the value of certain assets held by qualifying financial instituti

unexpectedly large losses on certain assets. The program was designed for financial institutions whose failure coand was used in conjunction with other forms of exceptional assistance. 

• By helping to limit the institution’s exposure to losses on illiquid or distressed assets, the Asset Guarantee P

maintain the confidence of depositors and other funding sources and continue to meet the credit needs of houseAGP was used in a limited fashion to assist Bank of America and Citigroup in conjunction with the Targeted Investthose institutions. 

• The program is closed. No payments were made. The fee from Bank of America, and securities and dividends 

result in a positive return for taxpayers. Total dividends received from the Citigroup trust preferred securities wer
Monthly 105(a) Report 

On September 30, 2010, Treasury sold the Citigroup trust preferred securities for proceeds of approximately received a $276 million termination fee from Bank of America (see below). 

• Treasury still holds its Citigroup warrants and expects to receive another $800 million in trust preferred securities fro

should provide taxpayers with an additional gain. 

Who received assistance under the AGP? 

Bank of America 

• In January 2009, Treasury, the Federal Reserve and the FDIC agreed in principle to share potential losses on a 

instruments owned by Bank of America, consisting of securities backed by residential and commercial real estate derivative transactions that reference such securities, loans and associated hedges. If the arrangement had beeFDIC would have received preferred stock and warrants as a premium for the guarantee. The announcemenCitigroup transaction discussed below) was widely welcomed by the markets and contributed immediately to helpinin the financial institution and the banking system generally. 

• In May 2009, before the transaction was finalized, Bank of America announced its intention to terminate negotiat

sharing arrangement and in September 2009, the government and Bank of America entered into a termination aagreed to pay a termination fee of $425 million to the government, $276 million of which went to Treasury. government for the value that Bank of America had received from the announcement of the government’s willinglosses on the pool of assets from and after the date of the term sheet. The termination fee was determined by ref

have been payable had the guarantee been finalized. No claims for loss payments were made to the governmentfunds spent. Thus, the fee is a net gain to the taxpayer. Citigroup 

• In January 2009, Treasury, the Federal Reserve and the FDIC similarly agreed to share potential losses on a $3

covered assets. The arrangement was finalized and, as a premium for the guarantee, Treasury and the FDIC recstock, with terms that were similar to those in the TIP investment and more onerous than in the CPP, including a dTreasury also received warrants to purchase 66.5 million shares of common stock. Although the guarantee was place for five to ten years, Citigroup requested that it be terminated in December 2009 in conjunction with Citigbillion TIP investment. This was because Citigroup‘s financial condition had improved and the bank raised over The banking regulators approved this request. 

• In connection with the termination, Treasury and the FDIC kept most of the premium paid. That is, the government 

of the $7.1 billion of preferred stock (which had since been converted to trust preferred securities). Of this amo

billion, and the FDIC and Treasury agreed that, subject to certain conditions, the FDIC would transfer up to $
Monthly 105(a) Report 

securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Progra

Treasury sold its Citigroup trust preferred securities for proceeds of approximately $2.246 billion. 

• For the period that the Citigroup asset guarantee was outstanding prior to termination in December 2009, Citigr

payments to the government, and consequently Treasury made no guarantee payments of TARP funds to Citigroup

What is the Community Development Capital Initiative (CDCI)? 

• Communities underserved by traditional banks and financial services providers have found it more difficult to 

economic environment. Community Development Financial Institutions (CDFIs) exist to provide financing to these wide range of traditional and innovative financial products and services designed to help their customers acces

wealth and improve their lives and the communities in which they live. In particular, CDFIs focus on providing fmoderate- income, minority, and other underserved communities. CDFIs are certified by Treasury’s CDFI Fund

purpose of promoting economic revitalization and community development in low-income communities. 

• Under this program, CDFI banks and thrifts received investments of capital with an initial dividend or interest rate o

5 percent rate offered under the Capital Purchase Program. CDFI banks and thrifts applied to receive capital up assets. To encourage repayment while recognizing the unique circumstances facing CDFIs, the dividend rate weight years, compared to five years under CPP. 

• CDFI credit unions could also apply to receive secondary capital investments at rates equivalent to those offered t

with similar terms. These institutions could apply for up to 3.5 percent of total assets, which is an amount appr

percent of risk-weighted assets available to banks and thrifts. 

• Treasury established a process for reviewing CDCI applications that relied on the appropriate federal regulators, an

the CDFI’s federal regulator on a pro-forma basis. CDFIs were not required to issue warrants under this progrparticipated in CPP and were in good standing could exchange securities issued under CPP for securities under thi

• Treasury completed funding under this program in September 2010. The total investment amount for the CD

approximately $570 million for 84 institutions. Of this amount, approximately $363 million from 28 banks was 

under the Capital Purchase Program into the CDCI. 

• Treasury completed funding to provide capital to community development financial institutions under the Com

Initiative. In total, Treasury has invested approximately $570 million in 84 community development financia

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

• A full state-by-state listing of institutions receiving investments is available at www.FinancialStability.gov/latest/pr_0
Monthly 105(a) Report 

Bank Lending Surveys

Monthly Surveys Each month, Treasury has asked banks participating in the CPP to provide information about their lending and publishes the results in reports available at http://www.FinancialStability.gov/impact/surveys.htm. The reports are inten

assess the lending activities of CPP banks. 

• The Monthly Lending and Intermediation Snapshot, for the 22 largest recipients of CPP investments and which 

January 2009 with data from inception of the CPP, provides quantitative information on three major caconsumer, commercial, and other activities – based on banks’ internal reporting, and commentary to explalevels for each category. Beginning with the December 2009 Snapshot (released in February 2010), banks thafunds in June 2009 no longer submitted data to Treasury. As the reporting group contracted with additioTreasury has ceased to publish a summary analysis because the aggregate month to month changes are nTreasury continues to publish the reports and underlying data from the banks that continue to submit SnapshoTreasury published May 2010 data from seven institutions. 

• The CPP Monthly Lending Report includes all participants in the CPP and is published in addition to the 

Intermediation Snapshot. The Lending Report makes available three data points on a monthly basis: average 

of consumer loans, commercial loans, and total loans from all CPP participants 

CPP Quarterly Report Treasury continues to conduct periodic analysis of the effect of TARP programs on banking organizations and their actcompleted by an interagency group (consisting of representatives from Treasury, the Federal Reserve Board, and ofunctions). Treasury prepares an analysis of the financial data submitted by depository institutions to their primary fedand Thrift Financial Reports, as well as the Y-9C Reports submitted by large bank holding companies each quarter publishes the results in reports, known as the Quarterly CPP Report, available at http://www.FinancialStability.gov/impa

Annual Use of Capital Survey Treasury has also initiated an annual Use of Capital Survey to obtain insight into the lending, financial intermediation, of all recipients of government investment through CPP funds. Collection of the Use of Capital survey data began durinin the second calendar quarter of 2010. Data and survey results are available at http://www.FinancialStability.gov/useof

• The Use of Capital Survey is designed to capture representative information of CPP fund usage without imp

institutions, and will cover how each financial institution has employed the capital infusion of CPP funds from th

funds until the end of 2009. The survey form provides eight possible uses of capital, as well as space for narrative 
Monthly 105(a) Report 

• The survey results were published to the FinancialStability.gov website in July 2010. The overwhelming majority of 

that their institutions increased lending or reduced lending less than otherwise would have occurred after the recehalf of the respondents (53%) indicated that their institutions increased reserves for non-performing assets afte

Nearly half of the respondents (46%) noted that their institutions held the CPP capital as a non-leveraged increasTreasury previously published summary balance sheet and income statement information from each institution’s rpage as a supplement to the survey responses. 

Term Asset-Backed Securities Loan Facility

What is the Term Asset-Backed Securities Loan Facility (TALF)? • TALF is a joint Federal Reserve-Treasury program that was designed to restart the asset-backed securitization m

virtual standstill during the early months of this financial crisis. The ABS markets historically have helped to fund a consumers and businesses. The effects of this issuance standstill were many: limited availability of credit to houssizes, an unprecedented widening of interest rate spreads, sharply contracting liquidity in the capital markets and U.S. economic activity. 

• Begun in March 2009, played a key role in enabling the securitization markets important for consumer and sma

The TALF operated as a lending facility of the Federal Reserve Bank of New York (FBRNY) to provide term non-recAAA-rated asset-backed securities (ABS) backed by new or recently originated auto loans, student loans, credit floor plan loans, insurance premium finance loans, residential mortgage servicing advances, or commercial mortcommercial mortgage loans, as well as collateralized by loans guaranteed by the Small Business Administratiosupport for TALF as part of Treasury’s Consumer and Business Lending Initiative.

• Under TALF, investors requested the FRBNY to make loans secured by eligible consumer ABS, small business A

backed securities (CMBS) on fixed days each month. Assuming that the borrower and the security (ABS or CMcollateral met FRBNY’s requirements, the investor received the requested funding. Most borrowers used the loan, to purchase the ABS that serves as collateral for the TALF loans. 

• If the borrower does not repay the loan, the FRBNY will enforce its rights in the collateral and sell the collateral 

(SPV) established specifically for the purpose of purchasing and managing such assets. The SPV is fundesubordinated loan commitment from Treasury. 

• The TALF for newly issued ABS and legacy CMBS expired in March 2010, and the TALF for newly issued CMBS 

TALF loans backing eligible ABS and CMBS, $43 billion was outstanding in July. Because the facility was smallTreasury’s commitment was reduced from $20 billion to approximately $4.3 billion. 
Monthly 105(a) Report 

• Data from the Federal Reserve has indicated that for most ABS asset classes, interest rate spreads have tighten

loan rate, thereby reducing the need for support to the ABS through the facility. This is one measure of the imp

classes. The expiration of TALF is expected to have limited impact on spreads for those asset types that were there has been an increasing level of demand by cash-only investors. 

What is the Legacy Securities Public Private Investment Program (S-PPIP)? 

• The Legacy Securities Public Private Investment Program is designed, in part, to support market functioning and fa

commercial and non-agency residential mortgage-backed securities (MBS) markets, helping banks and other ficapital and extend new credit to households and businesses. Both residential and commercial MBS are pools of mfinancial institutions. Rights to receive a portion of the cash generated by the pools are sold as securities in the f

way a stock or bond would be sold in financial markets. The term “legacy assets” generally refers to loans, assettypes of assets that were originated or issued before the financial markets for these types of assets deteriorated sig

• The Public Private Investment Program was announced as part of the Financial Stability Plan, which also origi

legacy loans that would be administered by the FDIC. 

• Following the announcement of the program in March 2009, financial market conditions improved, the prices of l

and the results of the Supervisory Capital Assessment Program enabled banks to raise substantial amounts oweaker than expected economic conditions, all of which enabled Treasury to proceed with the S-PPIP program a

envisioned. 

How does the S-PPIP work? • Treasury partners with selected fund managers to purchase commercial and non-agency residential and commer

equity as well as debt financing to investment partnerships formed by the fund managers; the maximum equity obexpected to be $1.11 billion and the maximum debt obligation to a PPIF was initially expected to be $2.22 billion (allocation of capital). Treasury invested one-half of the total equity committed to the partnership; the remainder manager from private sector sources. Treasury's loan earns interest and must be repaid according to the requagreement. 

• The nine firms that Treasury pre-qualified in July 2009 to participate as fund managers have completed fundra

Investment Funds (PPIFs) and have begun investing in eligible assets and cash pending investments. Following conducted additional closings over approximately six months to receive matching Treasury equity and debt financ(but not yet funded all of) approximately $22.1 billion of equity capital and debt financing to the PPIFs. 
Monthly 105(a) Report 

• The equity investment, together with warrants received by Treasury, ensures that if these PPIFs perform well, the 

taxpayer, will benefit from the positive performance alongside private investors. 

• Treasury carefully designed the S-PPIP terms to protect the interests of taxpayers. Fund managers may not acqu

to their affiliates or any other PPIF fund manager or private investor that has committed at least ten percent of raised by such fund manager. Fund managers must submit regular monthly reports about assets purchased, asand profits and losses. Due to the possibility of actual or potential conflicts of interest inherent in any market-basmanagers also must agree to abide by ethical standards, conflicts of interest and compliance rules, including a proto these rules developed by Treasury. In developing these requirements, Treasury worked closely with, among othand the Federal Reserve. 

Who are the S-PPIP Fund Managers? • Following a comprehensive two-month application, evaluation, and selection process, during which Treasury 

applications to participate in the S-PPIP, in July 2009 Treasury pre-qualified the following firms to participate as fuAllianceBernstein, LP and its sub-advisors Greenfield Partners, LLC and Rialto Capital Management, LLC; AngeloCapital Real Estate; BlackRock, Inc.; Invesco Ltd.; Marathon Asset Management, L.P.; Oaktree Capital ManagemManagement, LP; The TCW Group, Inc., (subsequently terminated, see below); and Wellington Management Comp

• The fund managers for the PPIFs have established relationships with small, minority-, and women-owned busines

including involvement in managing the investment portfolio and cash management services, raising capital from 

trading related-services, identifying investment opportunities, and providing investment and market research and oPPIFs.

• In December 2009, a fund managed by The TCW Group, Inc., was liquidated because TCW terminated the employ

“Key Persons” responsible for making the investment decisions as set forth under the Limited Partnership Agreem$513 million of total capital had been funded. Treasury's debt and equity capital investments were repaid in full, anreturn of approximately $20.6 million on its equity investment of $156.3 million. Private investors were offered t

underfunded capital commitments and proceeds from the TCW PPIF liquidation to any of the eight other PPIFs. for $44.5 million in direct equity investments were reallocated from TCW PPIF investors to specific PPIF fund manbillion in commitments to the TCW PPIF were reallocated to all eight PPIF fund managers. 

S-PPIP Quarterly Reports • Treasury has undertaken to publish quarterly reports with a summary of PPIP capital activity, portfolio holdings a

performance, which are available on the FinancialStability.gov website. The latest quarterly report, as of Septemhttp://www.FinancialStability.gov/docs/External%20Report%20-%2009-10%20vFinal.pdf.
Monthly 105(a) Report 

What is the SBA 7(a) Securities Purchase Program? 

• Small businesses play an important role in generating new jobs and growth in our economy. The Small Busines

Loan Guarantee Program assists start-up and existing small businesses that face difficulty in obtaining loanchannels. SBA 7(a) loans help finance a wide variety of business needs, including working capital, machinery, equ

• The initiative to unlock credit for small business included support for the primary market (i.e. loan origination) and s

securities market). The primary market support, an initiative separate from TARP, included temporarily increas

percent to 90 percent of an SBA 7(a) loan balance, as well as eliminating certain loan origination fees. These acRecovery Act, made it easier for small businesses to obtain SBA 7(a) loans. 

How did the SBA 7(a) Securities Purchase Program work? • To ensure that credit flows to entrepreneurs and small business owners, Treasury took measures to complemen

actions to help small businesses recover and grow, including a program to purchase SBA guaranteed securities (“pdeveloped the SBA 7(a) Securities Purchase Program to purchase SBA guaranteed securities from pool assemblermarket, Treasury injected liquidity - providing cash to pool assemblers - enabling those entities to purchase originators. 

• Secondary market purchases of SBA 7(a) securities originated on or after July 1, 2008 commenced in March 20

expiration of the ABS portion of the TALF, which had helped to fund SBA 7(a) loans, along with credit card, auamong others. 

• Securities purchased by Treasury comprised about 700 loans ranging across approximately 17 diverse industries in

manufacturing, scientific and technical services, health care and educational services. The program has suppo

states in the country, indicating a broad geographic impact. 

• Treasury conducted 31 transactions totaling approximately $357 million. The program ceased purchasing secu

expiration of purchase authority under the Act. Treasury will continue to manage existing positions. 

What is the Automotive Industry Financing Program (AIFP)? 

• The Automotive Industry Financing Program (AIFP) was developed in December 2008 to prevent a significant disr

industry, because the potential for such a disruption posed a systemic risk to financial market stability and would hthe economy. Short-term funding was initially provided to General Motors (GM) and Chrysler on the condition that tlong-term viability. In cooperation with the Administration, GM and Chrysler developed satisfactory viability plans 
Monthly 105(a) Report 

sales of their assets to new entities in bankruptcy proceedings. Chrysler’s sale process was completed in 42 days 40 days. Treasury provided additional assistance during the respective periods. 

• Treasury has provided approximately $80 billion (of a total commitment of $82 billion) in loans and equity inve

known as Ally Financial Inc.), Chrysler, and Chrysler Financial. The terms of Treasury’s assistance impose a nurigorous executive compensation standards, limits on luxury expenditures and other corporate governance requirem

• In the related Auto Supplier Support Program (ASSP), Treasury provided loans to ensure that auto suppliers re

services and products, regardless of the condition of the auto companies that purchase their products. 

• As scheduled, the ASSP closed in April 2010 after full repayment of all loans provided under the program. 

General Motors Treasury provided $49.5 billion under TARP to General Motors. This began in December 2008, with a $13.4 billion loato General Motors Corporation (GM or Old GM) to fund working capital. Under the loan agreement, GM was restructuring plan. The first plan GM submitted failed to establish a credible path to viability, and the deadline was extedevelop an amended plan. Treasury loaned an additional $6 billion to fund GM during this period. To achieve an orderly restructuring, GM filed for bankruptcy on June 1, 2009. Treasury provided $30.1 billion ufinancing agreement to assist GM during the restructuring. A newly formed entity, General Motors Company (New assets of Old GM under a sale pursuant to Section 363 of the bankruptcy code (363 Sale). When the sale to New GTreasury converted most of its loans to 60.8 percent of the common equity in the New GM and $2.1 billion in pre

Treasury held $6.7 billion in outstanding loans. Approximately $986 million remained with Old GM (now known as Motors Liquidation Company) for wind-down costs a• Loan repayment 

New GM has repaid the $6.7 billion loan in full. In December 2009, New GM began quarterly repayments of $January 2010, New GM and Treasury amended the loan agreement to require cash that New GM held in an escrow repay the loan by June 30, 2010. After New GM repaid Treasury $1 billion on March 31, 2010, the outstanapproximately $4.7 billion, all of which was repaid on April 21, 2010, from the escrowed funds. 

1 Following the restructuring and prior to its initial public offering completed in November 2010, New GM had the following ownership: Trea

Employee Benefit Association (VEBA) (17.5 percent), the Canadian Government (11.7 percent), and Old GM’s unsecured bondholders (10 perce

issued warrants to acquire additional shares of common stock to VEBA and Old GM (for distribution to the creditors of Old GM following confirmbankruptcy court). 
Monthly 105(a) Report 

• New GM initial public offering and of preferred stock repurchase 

Treasury has indicated the most likely exit strategy for the AIFP equity investments is a gradual sale beginning wNew GM. In November, General Motors completed its initial public offering with net proceeds to Treasury of $13.5 

U.S. Department of Treasury Participation in the GM IPO

Shares of Common Stock Sold Net Proceeds ($ billions)

Initial Sale 358,546,795 $11.7 Over-Allotment 53,782,019 $1.8 Total 412,328,814 $13.5

In October, Treasury accepted an offer from New GM to repurchase the outstanding $2.1 billion in preferred stovalue, and repayment is expected in December. With this repurchase and the IPO, taxpayers will have received a General Motors through repayments, interest, and dividends since the company completed its restructuring through 2009. 

Treasury Investment in GM ($ billions) Return from GM ($ billions

Pre-January 2009 13.4 Net IPO Proceeds 13Post-January 2009 36.1 Debt Repayment 6

Proposed Preferred Stock Repurchase 2Interest & Dividends 0

Total $ 49.5 Total $ 23

The IPO reduced Treasury’s ownership of General Motors’s outstanding common stock by nearly half from 60.8 

Following the IPO and the preferred stock repurchase, Treasury’s remaining stake in General Motors will consist common stock. 

Chrysler In January 2009, Treasury loaned $4 billion to Chrysler Holding (the parent of Chrysler Financial and Old Chrysler). 

Chrysler was required to implement a viable restructuring plan. In March 2009, the Administration determined that thChrysler failed to demonstrate viability and concluded that Chrysler was not viable as a stand-alone company. Presidout a framework for Chrysler to achieve viability by partnering with the international car company Fiat. As part of the 2009, Chrysler filed for bankruptcy protection. In May 2009, Treasury provided $1.9 billion to Chrysler (Old Chrysler) financing agreement for assistance during its bankruptcy proceeding. 
Monthly 105(a) Report 

• New Chrysler 

In June 2009, a newly formed entity, Chrysler Group LLC (New Chrysler), purchased most of the assets of Old CTreasury provided a $6.6 billion loan commitment to New Chrysler, and received a 9.9 percent equity ownershtransferred valuable technology to Chrysler and, after extensive consultation with the Obama Administration, commefficient cars and engines in U.S. factories. Treasury’s remaining investments in New Chrysler consist of 9.9 percent of common equity and a $7.1 billion commitments and $500 million assumed from Chrysler Holding). New Chrysler currently has the following owneEmployee Benefit Association (VEBA) (67.7 percent), Fiat (20 percent), Treasury (9.9 percent), and the Govpercent). 

• Old Chrysler 

In April 2010, the bankruptcy court approved Old Chrysler’s Plan of Liquidation. As a result, the $1.9 billion d

provided to Old Chrysler in May 2009 was extinguished and the assets remaining with Old Chrysler, including colla

the loan, were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the licollateral, but does not expect a significant recovery from the liquidation proceeds. 

• Settlement with Chrysler Holding

The original $4 billion loan made to Chrysler Holding in January 2009 went into default when Old Chrysler filed for $500 million of that loan was assumed by New Chrysler. In May 2010, Treasury accepted a settlement pasatisfaction in full of the remaining debt obligations associated with the original loan. The final repayment, while 

significantly more than Treasury had previously estimated to recover following the bankruptcy and greater than 

provided by Keefe, Bruyette and Woods, Treasury’s adviser for the transaction. 

• Chrysler Financial 

In January 2009, Treasury announced that it would lend up to $1.5 billion to a special purpose vehicle (SPV) createenable the company to finance the purchase of Chrysler vehicles by consumers. In July 2009, Chrysler Finanincluding the additional notes that were issued to satisfy the EESA warrant requirement, together with interest. 

Ally Financial (formerly GMAC) Treasury has invested approximately $17 billion in Ally Financial. This began with an investment by the Bush ADecember 2008. Treasury also lent $884 million of TARP funds to GM (one of GMAC’s owners) for the purchase of ain a rights offering by GMAC. In May 2009, federal banking regulators required GMAC to raise additional capital by N
Monthly 105(a) Report 

with the SCAP/stress test. Treasury exercised its option to exchange the loan with GM for 35.4 percent of common meTreasury also purchased $7.5 billion of convertible preferred shares from GMAC, which enabled GMAC to partially mAdditional Treasury investments in GMAC were contemplated to enable GMAC to satisfy the SCAP requirementsDecember 2009, when Treasury invested an additional $3.8 billion in GMAC. Today, Treasury's investment consists ostock, $11.4 billion of mandatorily convertible preferred securities (which may be converted into common stock at a trust preferred securities. American International Group, Inc. (AIG) Investment Program

How does the AIG Investment work? The initial assistance to AIG was provided by the FRBNY before the passage of EESA and the creation of TARP. TAIG under the section 13(3) authority of the Federal Reserve Act to lend on a secured basis under “unusual an

companies that are not depository institutions: • In September 2008, the FRBNY provided an $85 billion credit facility to AIG, subsequently reduced to $60 billion

currently have approximately 79.8% of the voting rights of the common stock in AIG. The FRBNY created a trust for the benefit of the U.S. Treasury – but, the Department of the Treasury does not control the trust and cannot dire

• In December 2009, the Federal Reserve received preferred equity interests in two special purpose vehicles 

outstanding stock of AIG’s largest foreign insurance subsidiaries, American International Assurance CompanInsurance Company (“ALICO”), in exchange for a $25 billion reduction in the balance outstanding and maximum revolving credit facility with the FRBNY. The transactions positioned AIA and ALICO for initial public offerings or sa

Treasury’s investment in AIG was made under EESA authority: • In November 2008, Treasury purchased $40 billion in Series D preferred stock from AIG, subsequently exchanged 

plus accrued dividends, into $41.6 billion of Series E preferred stock. 

• In April 2009, Treasury also created an equity capital facility, under which AIG may draw up to $29.8 billion as ne

additional shares of Series F preferred stock to Treasury. The Series E and Series F preferred stock pay a nopercent per year. 

• At month-end, AIG has drawn $7.54 billion from the equity capital facility. Please see the exit plan described below
Monthly 105(a) Report 

The AIG Restructuring Plan and Taxpayer Exit On September 30, 2010 AIG announced that it had entered into an agreement-in-principle with the U.S. Department and the Trust designed to repay all of the company’s obligations to American taxpayers. The restructuring plan will accrepayment of the government and will put taxpayers in a considerably stronger position to recoup their investment in tagreement-in-principle was reached, the implied market value of the approximately 1.66 billion of shares thaapproximately $64.3 billion.2 The basic terms of the restructuring plan are: 

• Sell sufficient assets to pay off AIG’s obligations to the FRBNY; • Recapitalize AIG’s balance sheet to support an independent investment grade rating; and • Exchange Treasury’s existing preferred shares for readily-saleable common stock, which will accelerate Treasury’s More specifically, the plan is premised on three key steps: 

Repaying and terminating the FRBNY Credit Facility with AIG• AIG owes the FRBNY approximately $20 billion in senior secured debt under the FRBNY credit facility. Un

repay this entire amount and terminate the FRBNY senior secured credit facility. Funding for this will comproceeds of the initial public offering of the company’s Asian life insurance business (AIA) and the sale of its company (ALICO) to MetLife. 

Facilitating the orderly exit of the U.S. Government’s interests in two special purpose vehicles (SPVs) that h

• To date, the FRBNY holds preferred interests in two AIG-related SPVs totaling approximately $26 billion. Under 

up to $22 billion of the remaining TARP funds available to it (under the Series F preferred stock facility providTreasury will receive an equal amount of the FRBNY’s preferred interests in the SPVs. Over time, AIG will repaTreasury for these preferred interests through proceeds from the sales of AIG Star Life Insurance and AIG Edismonetization of the remaining equity stake in AIA, the sale of MetLife equity securities that AIG will own after thsale, and the monetization of certain other designated assets. The aggregate value of the assets underlying the the SPVs significantly exceeds the liquidation preference of the preferred interests. Treasury does not anticipfrom its purchase of the SPV preferred interests. 

2 The price of AIG common stock, as of Friday, October 1, 2010, was $38.86, and will vary over time. 
Monthly 105(a) Report 

Retiring AIG’s remaining TARP support• To date, Treasury has invested approximately $47.5 billion of TARP funds in AIG. Under the plan, Treasury 

approximately 1.1 billion shares of AIG common stock in exchange for its existing TARP investments in AIG, 

million shares of common stock from the exchange of the Series C preferred shares held by the Trust. Acompleted, it is expected that Treasury will sell its stake in AIG into the public markets over time. 

Summary Description of Housing Programs

Making Home Affordable Program (MHA) Home Affordable Modification Program (HAMP) The Home Affordable Modification Program (HAMP) is the largest program within MHA. HAMP provides eligible horeduce their monthly mortgage payments to 31 percent of their gross (pre-tax) income. To qualify for HAMP, a borrower must: 

• Own a one- to four-unit home that is a primary residence; • Have received a mortgage on or before January 1, 2009; • Have a mortgage payment (including principal, interest, taxes, insurance, and homeowners association dues) th

the homeowner’s gross monthly income; and 

• Owe not more than $729,750 on a first mortgage for a one–unit property (there are higher limits for two– to four– 

To create an affordable payment, a participating servicer applies a series of modification steps in the following order: ra

percent; term extension up to 40 years; and principal deferral (or forbearance, at the servicer’s option). The modifiminimum of five years. Beginning in year six, the rate may increase no more than one percentage point per year untPrimary Mortgage Market Survey rate (essentially the market interest rate) at the time the permanent modification agre

Before a mortgage is permanently modified, the homeowner must make the new, reduced monthly mortgage paymentrial period of three or four months. Homeowners who make payments on permanently modified loans on time accruyear to reduce the amount of principal they owe up a maximum of $5,000. 
Monthly 105(a) Report 

Second Lien Modification Program (2MP)Under the Second Lien Modification Program (2MP), an additional component of MHA, Treasury provides incentive

modify or extinguish a second-lien mortgage when a modification has been initiated on the first lien mortgage for the Under 2MP, when a borrower’s first lien is modified under HAMP and the servicer of the second lien is a 2MP participa

modify the borrower’s second lien according to a defined protocol, which provides for a lump sum payment from Textinguishment of the second lien, or a reduced lump sum payment from Treasury in exchange for a partial extinguish

borrower’s remaining second lien. • Home Affordable Foreclosure Alternatives (HAFA) ProgramUnder the Home Affordable Foreclosure Alternatives (HAFA) Program, an additional component of MHA, Treasury sales and deeds-in-lieu of foreclosure for circumstances in which borrowers are unable or unwilling to complete the Borrowers are eligible for relocation assistance of $1,500 and servicers receive a $1,000 incentive for completing a foreclosure. In addition, investors are paid up to $1,000 for allowing short sale proceeds to be distributed to subordinat

• The Unemployment Program (UP)

The Unemployment Program (UP), an additional component of MHA, requires participating servicers to grant qualifforbearance period during which their mortgage payments are temporarily reduced for a minimum of three months, anborrowers, while they look for new jobs. If a homeowner does not find a job before the temporary assistance period 

reduced income, the homeowner will be evaluated for a permanent HAMP modification or may be eligible for certain aprogram under MHA. • Principal Reduction Alternative (PRA) Under the Principal Reduction Alternative (PRA), an additional component of MHA, servicers are required to eva

reduction and are encouraged to offer principal reduction whenever the NPV result of a HAMP modification using Presult without considering principal reduction. Incentives are paid based on the dollar value of the principal reduced. Support for the FHA Short Refinance Program In March 2010, the Administration announced adjustments to existing FHA programs that will permit lenders to poptions to homeowners who owe more than their homes are worth because of large declines in home prices in their known as the FHA Short Refinance program, will provide more opportunities for qualifying mortgage loans to be resFHA-insured loans. Among other requirements: 
Mon hly 105(a) Report t 

• The homeowner must be current on the existing first lien mortgage; • The homeowner must occupy the home as a primary residence and have a qualifying credit score; • The mortgage investor must reduce the amount owed on the original loan by at least ten percent; • The new FHA loan must have a balance less than the current value of the home; and • Total mortgage debt for the borrower after the refinancing, including both the first lien mortgage and any other j

than 115 percent of the current value of the home – giving homeowners a path to regain equity in their home

payment. 

TARP funds will be made available up to $11 billion in the aggregate, including the $8 billion letter of credit commitmenadditional coverage to lenders for a share of potential losses on these loans and to provide incentives to support the and encourage participation by servicers. • Loss Coverage Treasury will support the FHA Short Refinance Program through coverage of some of the potential losses. In SeCitibank, N.A. entered into an agreement (the “L/C Facility Agreement”), which allows Treasury to demand the issuan

year letter of credit (the “L/C”), which will be available to pay losses on refinanced mortgages. The amount and timing will vary based on the loss rate and the volume of the loans in the program. Treasury will increase availability undetime to time during the first two and a half years as the dollar value of mortgages refinanced under the FHA Short Refithe end of that period, the amount of the L/C will be capped at the then-current level. • FHA2LP Treasury also implemented the Treasury/FHA Second Lien Program (“FHA2LP”), which is a voluntary program that plien mortgage servicers and investors who agree to full or partial extinguishment of a second lien mortgage loan in coRefinance that closes on or before December 31, 2012. Second lien servicers participating in FHA2LP must hParticipation Agreement with Fannie Mae, Treasury’s financial agent before October 3, 2010. 
Monthly 105(a) Report 

Transparency and Accountability To protect taxpayers and ensure that every TARP dollar is directed toward promoting financial stability, Treasury estaband transparency measures for all of its programs, including HAMP and the other housing programs. In addition to thas worked to maximize the transparency of the housing program to borrowers and ensure that servicers are held acentitled to a clear explanation if he or she is determined to be ineligible for a HAMP modification. Treasury has establisservicers to report the reason for modification denials in writing to Treasury. Servicers are required to use those deniasending letters to borrowers who are evaluated for HAMP but denied a modification. In those letters, borrowers wnumber to contact their servicers as well as the phone number of the HOPE hotline, which has counselors who are trai

help them understand reasons they may have been denied modifications and explain other modification or foreclosure be available to them. Transparency of the NPV model - a key component of the eligibility test for HAMP - is also important. Treasury increaswhite paper, which explains the methodology used in the NPV model. To ensure accuracy and reliability, Freddie agent, conducts periodic audits of servicers’ implementation of the model. If servicers' models do not meet Treasury's Mac will require the servicers to discontinue use of their own implementation of the model and revert back to the NTreasury through the MHA Servicer Portal. As required by the Dodd-Frank Act, Treasury is preparing to establish a w

access to run a NPV analysis using input data regarding their own mortgages, and to provide to borrowers who amodification the input data used in evaluating the application. All servicers voluntarily participating in HAMP have contractually agreed to follow the HAMP program guidelines, whica HAMP modification to all eligible borrowers and to have systems that can process all HAMP-eligible loans. Servicesite compliance reviews performed by Treasury’s compliance agent, Making Home Affordable-Compliance (MHA-division of Freddie Mac, to ensure that servicers satisfy their obligations under HAMP requirements in order to provthat assists as many deserving homeowners as possible to retain their homes while taking reasonable steps to prev

Treasury works closely with MHA-C to design and refine the compliance program and conducts quality assessments MHA-C. Following these reviews, MHA-C provides Treasury with assessments of each servicer’s compliance 

appropriate, Treasury will implement remedies for non-compliance. These remedies may include withholding or redservicers, requiring repayments of prior incentive payments made to servicers with respect to affected loans, or 

oversight. 
Monthly 105(a) Report 

Housing Finance Agency Innovation Funds for the Hardest Hit Housing Markets (HFA Hardest Hit Fund, or HHF

The Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets allows state housing finance aghardest hit housing markets to design innovative, locally targeted foreclosure prevention programs. • The objective of the HHF program is to develop creative, effective approaches to the housing crisis that conside

outlined some of the possible types of transactions that would meet EESA requirements: 3⁄4 Assistance to unemployed borrowers to help them avoid foreclosure; modifications of mortgage loans held 

institutions or incentives for servicers/investors to modify loans; mortgage modifications with principal forbearaportion of an overleveraged loan and taking back a note from the borrower for that amount in order to facilassistance with short sales and deeds-in-lieu of foreclosure; incentives for financial institutions to write-down balance for homeowners with severe negative equity; or incentives to reduce or modify second liens. 

Other ideas and transaction types (including innovations related to the existing Making Home Affordable program

by-case basis for compliance with EESA. 

• HFAs designed the state programs themselves, tailoring the housing assistance to their local needs. To receive fu

the requirements for funding under EESA. These requirements include that the recipient of funds must be an elthat the funds must be used to pay for programs designed to prevent avoidable foreclosures and other permitted us

• Five of these states (Arizona, California, Florida, Michigan and Nevada) have had average home price declines g

the housing market downturn, accounting for the majority of “underwater” mortgages in the country. 

• The remaining fourteen states and jurisdictions (Alabama, Georgia, Illinois, Indiana, Kentucky, Mississippi, New J

Oregon, Rhode Island, South Carolina, Tennessee and Washington, DC) have concentrated areas of economic dor had an unemployment rate at or above the national average for the past year. 

• To ensure accountability and transparency of the HHF program, all funded program designs will be posted online 

subject to oversight under EESA. 
Monthly 105(a) Report 

The chart below shows the total allocation of $7.6 billion by state. Total allocation by state ($ millions) 

Alabama $ 162.52 Indiana $ 221.69 North Carolina $ 

Arizona $ 267.77 Kentucky $ 148.90 Ohio $ 

California $ 1,975.33 Michigan $ 498.61 Oregon $ 

District of Columbia $ 20.70 Mississippi $ 101.89 Rhode Island $ Florida $ 1,057.84 Nevada $ 194.03 South Carolina $ 

Georgia $ 339.26 New Jersey $ 300.55 Tennessee $ 

Illinois $ 445.60 TOTAL $ 

• In September, Treasury executed commitments of $2 billion of additional assistance available for state Housing F

homeowners struggling to make their mortgage payments due to unemployment. States eligible to receive this a

experienced an unemployment rate at or above the national average over the past twelve months. Each state wunemployment programs that provide temporary assistance to eligible homeowners to help them pay their m

employment, additional employment or undertake job training. 

• States that have already benefited from previously announced assistance under the Hardest Hit Fund may use 

support the unemployment programs previously approved by Treasury or they may opt to implement new unemploy

• Also in September, Treasury announced that $3.5 billion of additional assistance will be made available to eighte

Columbia to expand the reach of the programs they are implementing to help more struggling homeowners. FCalifornia, Florida, Michigan and Nevada) were initially chosen because they had average home price declines greahousing market downturn, accounting for the majority of “underwater” mortgages in the country. The remaining fouhave received funds because they have concentrated areas of economic distress due to unemployment or had above the national average for the past year. 

• As of November 2010, five states were either accepting applications or providing assistance (AZ, MI, NC, OH, an

were either in or starting pilots. The remaining states should become available in the first half of 2011. 
Monthly 105(a) Report 

Executive Compensation Restrictions Required by the Laws that Created the Troubled Asset Relief Program 

EESA set standards for executive compensation and corporate governance for recipients of financial assistance under 

compensation standards were then expanded under American Recovery and Reinvestment Act of 2009 (ARRA) and on executive compensation published on June 15, 2009. This rule created the Office of the Special Master for TARP E

Kenneth R. Feinberg was appointed as Special Master in June 2009. Restrictions on exceptional assistance recipients and other recipients of TARP funds. EESA, as amended by ARRA, imposed restrictions on executive compensation for all recipients of financial as

requirements include the following: 

• Limits on bonuses and retention awards for the top executives; • Prohibition on “golden parachutes” for the top executives; • Limits on compensation to exclude incentives on senior executives to take unnecessary and excessive risks tha• Prohibition on compensation plans that encourage manipulation of reported earnings to enhance the compensa

“clawback” provision to permit recovery of certain payments based on earnings statements or other criteria tmaterially inaccurate; 

• Establishment of a company-wide policy regarding excessive or luxury expenditures; • Establishment of a compensation committee composed entirely of independent directors; and • A requirement for an annual, non-binding “say on pay” shareholder vote regarding compensation required to 

rules. 

Treasury also promulgated rules to implement these provisions that added additional requirements. These included 

gross-ups” to top executives (which are designed to reduce or eliminate the tax burden on an executive relating to and a requirement to disclose certain executive perquisites. Treasury ‘s rules also created the Office of the Special Master, and gave to the Special Master the responsibility compensation of top executives at firms that received “exceptional assistance”. These firms were AIG, Bank of Americ

Chrysler, Ally Financial (formerly GMAC) and Chrysler Financial. The rules required the Special Master to review the in

top 25 most highly compensated employees at each firm and to review the compensation structures for the next 26-10outlined certain principles that the Special Master must follow in making his decisions. 
Monthly 105(a) Report 

The Special Master conducted extensive reviews of executive compensation at these companies for the 2009 an

imposed requirements based on the following key principles: 

• For the top 25 individual pay packages: to (i) limit cash salary, (ii) pay incentives in long-term restricted stock

“other” compensation, and (iv) limit executive pension and retirement programs; and 

• For the next 26-100 employees’ compensation structures: to (i) restrict short-term cash compensation, (ii) tie i

real achievement, (iii) make sure compensation structures have a long-term focus, and (iv) align pay practic

taxpayer interests. 

The review and approval by the Special Master led to significant reductions in compensation at these firms. This was 

for the top 100 employees at the firms that received exceptional assistance is in line with long-term value creation and ffirms that were still exceptional assistance recipients for 2010 determinations, a large majority – 84 percent – of top 22009 determinations remained with the companies through the 2010 determinations. The cash and overall compensatithe top 25, who mostly filled slots created by employee departures prior to the 2009 determinations, was reduced substReview of Prior Payments – “Lookback” Review ARRA also required the Secretary to conduct a Look Back Review of bonuses, retention awards, and other comprecipient’s Top 25 before the introduction of the additional requirements, to determine if any payments were inconsisteor TARP, or otherwise inconsistent with the public interest. The Office of the Special Master carried out the Look Bafindings in July 2010. The Special Master did not determine that any reviewed payment was inconsistent with thHowever, this outcome does not express a conclusion that these payments were appropriate or advisable, particularly facing the financial system generally, and some institutions specifically, in late 2008 and early 2009. Therefore, the Sp

TARP recipients adopt a prospective compensation policy (a “brake” policy) that would provide companies the authorto executives in the event of a financial crisis. Kenneth R. Feinberg Resignation In September 2010, after fourteen months of service, Kenneth R. Feinberg resigned as Special Master for TARP E

issued the “Final Report of Special Master for Executive Compensation Kenneth R. Feinberg” (Final Report). The 

work of the Office of the Special Master for TARP Executive Compensation during Mr. Feinberg’s tenure as Speoverview of the compensation determinations issued for the 2009 and 2010 calendar years. The report also revieprocesses (collection of data and analysis) and standards of review used for the determinations. The 517-page repocopies of all determination letters, can be found at www.FinancialStability.gov/docs/Exhibits.pdf and 

www.FinancialStability.gov/docs/Final%20Report%20of%20Kenneth%20Feinberg%20-%20FINAL.PDF. 
Monthly 105(a) Report 

The U.S. Government as Shareholder - How Treasury Exercises Its Voting Rights

• The U.S. Government is a reluctant shareholder in private companies and has no interest in owning compani

unusual role is an unfortunate consequence of the financial crisis and the recession. 

• The Obama Administration has stated that core principles will guide Treasury’s management of financial interest

principle is that the United States government will not interfere with or exert control over day-to-day compan

consequences, such involvement might actually reduce the value of the taxpayer’s investments and impede the sucto the private sector. 

• In certain cases, Treasury has sought to pursue strong upfront conditions at the time of investment into a comp

board of directors and management, to ensure that TARP funds were deployed in a way that promotes economic 

and protects taxpayer value. Thereafter, Treasury has taken a commercial approach to its investments. Treasuday-to-day management of any company in which it has an investment nor is any Treasury employee a director or o

• Treasury’s investments have generally been in the form of non-voting preferred stock. For example, the preferred 

financial institutions under the Capital Purchase Program do not have voting rights except in certain limited circumsto the charter of the company, or in the event dividends are not paid for several quarters, in which case Treasudirectors to the board. 

• In a few cases, Treasury has acquired common stock. These include General Motors, Ally Financial (formerly GM

and a few small banks. In the cases where Treasury has acquired voting rights, it has announced that it will follexercising its voting rights: (1) Treasury intends to exercise its right to vote only on certain matters consisting directors; certain major corporate transactions such as mergers, sales of substantial amounts of assets, and dissecurities where shareholders are entitled to vote; and amendments to the charter or bylaws; and (2) on all other abstain from voting or vote its shares in the same proportion (for, against or abstain) as all other shares of the comp

• In the case of AIG, the U.S. Treasury is currently the beneficiary of a trust created by the Federal Reserve Bank 

trust owns shares having 79.8 percent of the voting rights of the common stock. The FRBNY has appointed thrhave the power to vote and dispose of the stock with prior approval of FRBNY and after consultation with Tre

provides that the trustees cannot be employees of Treasury or the FRBNY. The trust exists for the benefit oDepartment of the Treasury does not control the trust and it cannot direct the trustees. Treasury also directly owns does not have voting rights except in certain limited circumstances (such as amendments to the charter). Trea

directors because AIG failed to pay dividends for four quarters on the preferred stock held by Treasury. Upon corestructuring plan announced on September 30, 2010, Treasury will receive common shares in exchange for its prebe dissolved. As a result, the Treasury will own approximately 92 percent of the common stock of AIG. 
Monthly 105(a) Report 

Appendix 2 

Financial Statement 
Budget

Object Class 

(BOC) Budget Object Class Title Obligations Expenditures

P

O

PERSONNEL SERVICES 1100 & 1200 PERSONNEL COMPENSATION & BENEFITS 49,419,841 $ 49,193,311 $ 

$ 

PERSONNEL SERVICES Total: 49,419,841 $ 49,193,311 $ 

$ 

2100 TRAVEL & TRANSPORTATION OF PERSONS 887,764 $ 865,928 $ 

$ 

2200 TRANSPORTATION OF THINGS 11,960 11,960 

 

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES 753,885 461,529 

 

2400 PRINTING & REPRODUCTION 395 395 

 

2500 OTHER SERVICES 136,519,889 103,073,282 

 

2600 SUPPLIES AND MATERIALS 708,108 697,389 

 

3100 EQUIPMENT 232,054 222,675 

 

3200 LAND & STRUCTURES - - 

 

4300 INTEREST & DIVIDENDS 27 27 

 

NON-PERSONNEL SERVICES Total: 139,114,081 $ 105,333,185 $ 

$ 

GRAND TOTAL: 188 $ 154 ,533,922 $ ,526,496 $ 

NON-PERSONNEL SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expenditures

For Period Ending 

November 30, 2010 

GRAND TOTAL: $ 188,533,922 $ 154,526,496 $ 

Note: The amounts presented above are cumulative from the initiation of the TARP.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending November 30, 2010

Date Type of 

Approved Transaction Vendor Pur

10/10/2008 Contract Simpson Thacher & Bartlett Mnp LLP Legal services for the im10/11/2008 Contract Ennis Knupp & Associates Inc Investment and Advisory 10/14/2008 Financial Agent The Bank of New York Mellon Custodian and Cash Man10/16/2008 Contract Pricewaterhousecoopers LLP-1 Accounting/Internal Cont10/17/2008 Interagency Agreement Turner Consulting Group, Inc.* Archiving Services10/18/2008 Contract Ernst & Young LLP Accounting/Internal Cont10/29/2008 Contract Hughes Hubbard & Reed LLP Legal services for the Ca10/29/2008 Contract Squire Sanders & Dempsey LLP Legal services for the Ca10/31/2008 Contract Lindholm & Associates Inc.* Human resources service

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

11/9/2008 Interagency Agreement Internal Revenue Service Detailee

11/14/2008 Interagency Agreement Internal Revenue Service - CSC Information Technology

11/25/2008 Intera 11/25/2008 Interagency Agreement greement Department partment of the Treasur of the Treasury - Departmental partmental Offices Administrative Su Offices Administrative Support

12/3/2008 Interagency Agreement Trade and Tax Bureau - Treasury Information Technology12/5/2008 Interagency Agreement Washington Post Administrative Support

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

12/10/2008 Contract Thacher Proffitt & Wood** Legal Advisory12/15/2008 Interagency Agreement Office of Thrift Supervision Detailees12/16/2008 Interagency Agreement Department of Housing and Urban Development Detailees12/22/2008 Interagency Agreement Office of Thrift Supervision Detailees12/24/2008 Contract Cushman And Wakefield Of Va Inc Painting Services for TA

1/6/2009 Interagency Agreement Securities and Exchange Commission Detailee1/7/2009 Contract Colonial Parking Inc. Parking 

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

1/27/2009 Contract Whitaker Brothers Bus Machines Inc* Office Machines1/30/2009 Interagency Agreement Office of the Controller of the Currency Detailee 

2/2/2009 Interagency Agreement Government Accountability Office Oversight services2/3/2009 Interagency Agreement Internal Revenue Service Detailees2/9/2009 Contract Pat Taylor & Assoc Inc* Administrative Support

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

Approved Transaction Vendor Pur

2/18/2009 Financial Agent Fannie Mae Homeownership Program2/18/2009 Financial Agent Freddie Mac Homeownership Program2/20/2009 Interagency Agreement FINANCIAL CLERK U.S. SENATE Congressional Oversight 2/20/2009 Interagency Agreement Office of Thrift Supervision Detailees2/20/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory2/20/2009 Contract Venable LLP-1 Legal Advisory2/26/2009 Interagency Agreement Securities and Exchange Commission Detailee2/27/2009 Interagency Agreement Pension Benefit Guaranty Corp. Legal Services

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

3/16/2009 Financial Agent EARNEST Partners* Small Business Assistan3/23/2009 Interagency Agreement Heery International Inc.* Architectural Services3/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory3/30/2009 Contract Haynes and Boone LLP Legal Advisory3/30/2009 Contract Mckee Nelson LLP*** Legal Advisory3/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory3/31/2009 Contract FI Consulting Inc.* Accounting/Internal Cont

4/3/2009 Interagency Agreement American Furniture Rentals* Administrative Support4/3/2009 Contract The Boston Consulting Group Inc Financial Advisory

4/17/2009 Interagency Agreement Bureau of Engraving and Printing Personnel detail4/17/2009 Contract Herman Miller Inc. Facilities Support

4/21/2009 Financial Agent AllianceBernstein L.P. Asset Management Serv

4/21/2009 4/21/2009 Financial A Financial Agent FSI Grou FSI Group,LLC Asset Mana LLC Asset Management Serv

Serv

4/21/2009 Financial Agent Piedmont Investment Advisors, LLC* Asset Management Serv4/30/2009 Interagency Agreement State Department Detailee

5/5/2009 Interagency Agreement Federal Reserve Board Detailees

5/13/2009 Interagency Agreement Department of Treasury - US Mint Administrative Support5/14/2009 Contract Knowledgebank Inc.* Administrative Support5/15/2009 Contract Phacil Inc.* FOIA Support Services5/20/2009 Interagency Agreement Securities and Exchange Commission Detailee5/22/2009 Interagency Agreement Department of Justice - ATF Detailee 5/26/2009 Contract Anderson Mc Coy & Orta* Legal Advisory5/26/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory

6/9/2009 Interagency Agreement FINANCIAL MANAGEMENT SERVICE Information Technology

6/29/2009 Interagency Agreement Department of Interior Information Technology7/15/2009 Interagency Agreement Judicial Watch Legal Advisory7/17/2009 Contract Korn/Ferry International Administrative Support7/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory7/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory7/30/2009 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory
Date Type of 

Approved Transaction Vendor Pur

8/10/2009 Interagency Agreement Department of Justice Detailee8/10/2009 Interagency Agreement NASA Detailee 

8/18/2009 Contract Mercer (US) Inc. Administrative Support8/25/2009 Interagency Agreement Department of Justice Detailee 

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

9/10/2009 Contract Equilar Inc* Administrative Support9/11/2009 Contract Pricewaterhousecoopers LLP-1 Accounting/Internal Cont9/18/2009 Interagency Agreement Treasury Franchise Fund - BPD Administrative Support9/30/2009 Interagency Agreement Immixtechnology Inc. Information Technology

9/30/2009 Interagency Agreement Immixtechnology Inc. Information Technology9/30/2009 Contract NNA Inc. Administrative Support9/30/2009 Contract SNL Financial LC Information Technology11/2/2009 Contract Bingham Mccutchen LLP Legal Advisory

11/29/2009 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support12/16/2009 Interagency Agreement Internal Revenue Service Detailee 12/22/2009 Financial Agent Avondale Investments, LLC* Asset Management Serv12/22/2009 Financial Agent Bell Rock Capital, LLC* Asset Management Serv12/22/2009 Financial Agent Howe Barnes Hoefer & Arnett, Inc* Asset Management Serv12/22/2009 Contract Hughes Hubbard & Reed LLP Legal Advisory12/22/2009 Financial Agent KBW Asset Management, Inc.* Asset Management Serv12/22/2009 Financial Agent Lombardia Capital Partners, LLC* Asset Management Serv12/22/2009 Financial A 12/22/2009 Financial Agent Paradigm Asset Mana Asset Management Co., LLC* Asset Mana Co., LLC Asset Management Serv

Serv

1/14/2010 Interagency Agreement Government Accountability Office Oversight services1/15/2010 Contract Association of Govt Accountants Administrative Support2/16/2010 Interagency Agreement Internal Revenue Service Detailee - Smith-Williams

2/16/2010 Contract The Mitre Corporation Information Technology

2/18/2010 Interagency Agreement Treasury Franchise Fund - BPD Information Technology

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

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

3/26/2010 Interagency Agreement Federal Maritime Commission (FMC) Detailee 3/29/2010 Financial Agent Morgan Stanley & Co. Incorporated Disposition Agent Servic

4/2/2010 Interagency Agreement FINANCIAL CLERK U.S. SENATE Financial Advisory

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

4/12/2010 Contract Ennis Knupp & Associates Inc Financial Advisory4/22/2010 Contract Digital Management Inc* Information Technology4/22/2010 Contract Microlink Llc Information Technology4/23/2010 Contract RDA Corporation* Information Technology

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

5/17/2010 Financial Agent Greenhill & Co., LLC Structuring and Dispositi
Date Type of 

Approved Transaction Vendor Pur

5/17/2010 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring S6/24/2010 Contract Reed Elselvier Inc (dba Lexisnexis) Administrative Support6/30/2010 Contract The George Washington University Administrative Support

7/21/2010 Contract Navigant Consulting Inc. Compliance7/21/2010 Contract Regis & Associates PC* Compliance7/22/2010 Contract Ernst & Young LLP Compliance7/22/2010 Contract Pricewaterhousecoopers LLP-1 Compliance7/22/2010 Contract Schiff Hardin LLP Legal Advisory

7/27/2010 Contract West Publishing Corporation Administrative Support

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

8/6/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory8/6/2010 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory8/6/2010 Contract Haynes and Boone LLP Legal Advisory8/6/2010 Contract Hughes Hubbard & Reed LLP Legal Advisory8/6/2010 Contract Love & Long LLP* Legal Advisory8/6/2010 Contract Orrick Herrington Sutcliffe LLP Legal Advisory8/6/2010 Contract Paul Weiss Rfknd Whrtn & Grrsn LLP Legal Advisory8/6/2010 Contract Perkins Coie LLP Legal Advisory8/6/2010 Contract Seyfarth Shaw LLP Legal Advisory8/6/2010 Contract Shulman Rgrs Gndl Pordy & Ecker Pa Legal Advisory8/6/2010 Contract Sullivan Cove Reign Enterprises Jv* Legal Advisory8/6/2010 Contract Venable LLP-1 Le 8/6/2010 Contract Venable LLP 1 Legal Advisor Advisory

8/12/2010 Contract Knowledge Mosaic Inc.* Administrative Support8/30/2010 Interagency Agreement Department of Housing and Urban Development Personnel detail

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

9/17/2010 Contract Bingham Mccutchen LLP Legal Advisory9/27/2010 Contract Davis Audrey Robinette* Administrative Support9/30/2010 Contract CCH Incorporated Administrative Support

9/30/2010 Interagency Agreement Department of the Treasury - Departmental Offices Administrative Support10/1/2010 Interagency Agreement FINANCIAL CLERK U.S. SENATE Financial Advisory

10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support10/8/2010 Contract Management Concepts Inc Administrative Support

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

Approved Transaction Vendor Pur

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

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

* Small or Women-, or Minority-Owned Small Business**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.

***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending November 30, 2010

Name Amount

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

between Citigroup and the UST, and FDIC occurred on 

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

financial condition and financial market stability. 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

1b 10/28/2008 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants 15,000,000,000 $ Par 12/9/2009 4 $ 

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 $ 

11, 23 - 

5/26/2010 10/28/2008 Citigroup Inc. New York NY Common Stock w/ Warrants $ 25,000,000,000 Par ** 23

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

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

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

10/28/2008 State Street Corporation Boston MA Preferred Stock w/ Warrants 2,000,000,000 $ Par 6/17/2009 5 $ 

10/28/2008 Wells Fargo & Company San Francisco CA Preferred Stock w/ Warrants 25,000,000,000 $ Par 12/23/2009 4 $ 

11/14/2008 Bank of Commerce Holdings Redding CA Preferred Stock w/ Warrants 17,000,000 $ Par 

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

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 $ 

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

3a - 

11/24/2009 11/14/2008 Broadway Financial Corporation Los Angeles CA Preferred Stock 9,000,000 $ Par 

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report [Section 105a (3) (C, D,G)]

For Period Ending November 30, 2010

CAPITAL PURCHASE PROGRAM

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

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

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

11/14/2008

M&T Bank Corporation (Provident Bancshares Corp.) Baltimore MD Preferred Stock w/ Warrants 151,500,000 $ Par 

11/14/2008 Umpqua Holdings Corp. Portland OR Preferred Stock w/ Warrants 214,181,000 $ Par 2/17/2010 5 $ 

11/14/2008 Comerica Inc. Dallas TX Preferred Stock w/ Warrants 2,250,000,000 $ Par 3/17/2010 4 $ 

11/14/2008 Regions Financial Corporation Birmingham AL Preferred Stock w/ Warrants 3,500,000,000 $ Par 

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

11/14/2008 First Horizon National Corporation Memphis TN Preferred Stock w/ Warrants 866,540,000 $ Par 11/14/2008 Huntington Bancshares Columbus OH Preferred Stock w/ Warrants 1,398,071,000 $ Par 11/14/2008 KeyCorp Cleveland OH Preferred Stock w/ Warrants 2,500,000,000 $ Par 

6/3/2009 4 $ 

9/23/2009 4 $ 

12/23/2009 4 $ 

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

11/14/2008 Marshall & Ilsley Corporation Milwaukee WI Preferred Stock w/ Warrants 1,715,000,000 $ Par 11/14/2008 U.S. Bancorp Minneapolis MN Preferred Stock w/ Warrants 6,599,000,000 $ Par 6/17/2009 4 $ 

11/14/2008 TCF Financial Corporation Wayzata MN Preferred Stock w/ Warrants 361,172,000 $ Par 4/22/2009 4 $ 

11/21/2008 First Niagara Financial Group Lockport NY Preferred Stock w/ Warrants 184,011,000 $ Par 5/27/2009 5 $ 

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

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

12/30/2009 4 $ 

3/3/2010 4 $ 

11/21/2008 First Community Bankshares Inc. Bluefield VA Preferred Stock w/ Warrants 41,500,000 $ Par 7/8/2009 5 $ 

11/21/2008 Western Alliance Bancorporation Las Vegas NV Preferred Stock w/ Warrants 140,000,000 $ Par 

3/3/2010 4 $ 

10/13/2010 4 $ 

11/14/2008 Valley National Bancorp Wayne NJ Preferred Stock w/ Warrants 11/21/2008 City National Corporation Beverly Hills CA Preferred Stock w/ Warrants 400,000,000 $ Par 

$ Par 300,000,000 

11/21/2008 Webster Financial Corporation Waterbury CT Preferred Stock w/ Warrants $ Par 400,000,000

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 11/21/2008 Ameris Bancorp Moultrie GA Preferred Stock w/ Warrants 52,000,000 $ Par 11/21/2008 Porter Bancorp Inc. Louisville KY Preferred Stock w/ Warrants 35,000,000 $ Par 

11/21/2008 Banner Corporation Walla Walla WA Preferred Stock w/ Warrants 124,000,000 $ Par 11/21/2008 Cascade Financial Corporation Everett WA Preferred Stock w/ Warrants 38,970,000 $ Par 11/21/2008 Columbia Banking System, Inc. Tacoma WA Preferred Stock w/ Warrants 76,898,000 $ Par 8/11/2010 4 $ 

11/21/2008 Heritage Financial Corporation Olympia WA Preferred Stock w/ Warrants 24,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

11/21/2008 First PacTrust Bancorp, Inc. Chula Vista CA Preferred Stock w/ Warrants 19,300,000 $ Par 11/21/2008 Severn Bancorp, Inc. Annapolis MD Preferred Stock w/ Warrants 23,393,000 $ Par 

1/13/2010 4 $ 

6/16/2010 4 $ 

11/21/2008 Associated Banc-Corp Green Bay WI Preferred Stock w/ Warrants 525,000,000 $ Par 

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

11/21/2008 First Community Corporation Lexington SC Preferred Stock w/ Warrants 11,350,000 $ Par 

11/21/2008 Taylor Capital Group Rosemont IL Preferred Stock w/ Warrants 104,823,000 $ Par 11/21/2008 Nara Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants 67,000,000 $ Par 

14, 20 12/5/2008 Midwest Banc Holdings, Inc. Melrose Park IL Mandatorily Convertible Preferred Stock w/ Warrants $ Par 89,388,000

12/5/2008 MB Financial Inc. Chicago IL Preferred Stock w/ Warrants 196,000,000 $ Par 

12/5/2008 First Midwest Bancorp, Inc. Itasca IL Preferred Stock w/ Warrants 193,000,000 $ Par 12/5/2008 United Community Banks, Inc. Blairsville GA Preferred Stock w/ Warrants 180,000,000 $ Par 12/5/2008 WesBanco, Inc. Wheeling WV Preferred Stock w/ Warrants 75,000,000 $ Par 9/9/2009 4 $ 

12/5/2008 Encore Bancshares Inc. Houston TX Preferred Stock w/ Warrants 34,000,000 $ Par 12/5/2008 Manhattan Bancorp El Segundo CA Preferred Stock w/ Warrants 1,700,000 $ Par 9/16/2009 4 $ 

12/5/2008 Iberiabank Corporation Lafayette LA Preferred Stock w/ Warrants 90,000,000 $ Par 3/31/2009 5 $ 

12/5/2008 Eagle Bancorp, Inc. Bethesda MD Preferred Stock w/ Warrants 38,235,000 $ Par 12/23/2009 5 $ 

12/5/2008 Sandy Spring Bancorp, Inc. Olney MD Preferred Stock w/ Warrants 83,094,000 $ Par 7/21/2010 4 $ 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 

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 $ 

11/21/2008 Boston Private Financial Holdings, Inc. Boston MA Preferred Stock w/ Warrants 154,000,000 $ Par 

9/30/2010

12/5/2008 Great Southern Bancorp Springfield MO Preferred Stock w/ Warrants 58,000,000 $ Par 

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

12/5/2008 Southern Community Financial Corp. Winston-Salem NC Preferred Stock w/ Warrants 42,750,000 $ Par 

8/26/2009 4 $ 

9/2/2009 4 $ 

12/5/2008 First Defiance Financial Corp. Defiance OH Preferred Stock w/ Warrants 37,000,000 $ Par 12/5/2008 First Financial Holdings Inc. Charleston SC Preferred Stock w/ Warrants 65,000,000 $ Par 

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

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

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 12/5/2008 Central Federal Corporation Fairlawn OH Preferred Stock w/ Warrants 7,225,000 $ Par 12/5/2008 Bank of Marin Bancorp Novato CA Preferred Stock w/ Warrants 28,000,000 $ Par 3/31/2009 4 $ 

12/5/2008 BNC Bancorp Thomasville NC Preferred Stock w/ Warrants 31,260,000 $ Par 

12/5/2008 Central Bancorp, Inc. Somerville MA Preferred Stock w/ Warrants 10,000,000 $ Par 12/5/2008 Southern Missouri Bancorp, Inc. Poplar Bluff MO Preferred Stock w/ Warrants 9,550,000 $ Par 12/5/2008 State Bancorp, Inc. Jericho NY Preferred Stock w/ Warrants 36,842,000 $ Par 

32 - 

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

12/5/2008 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 $ 

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

24 12/5/2008 Sterling Financial Corporation Spokane WA Common Stock w/ Warrants 303,000,000 $ Par 

12/5/2008 Oak Valley Bancorp Oakdale CA Preferred Stock w/ Warrants 13,500,000 $ Par 

12/12/2008 Old National Bancorp Evansville IN Preferred Stock w/ Warrants 100,000,000 $ Par 3/31/2009 4 $ 

12/12/2008 Capital Bank Corporation Raleigh NC Preferred Stock w/ Warrants 41,279,000 $ Par 

12/12/2008 Pacific International Bancorp Seattle WA Preferred Stock w/ Warrants 6,500,000 $ Par 12/12/2008 SVB Financial Group Santa Clara CA Preferred Stock w/ Warrants 235,000,000 $ Par 12/23/2009 5 $ 

12/12/2008 LNB Bancorp Inc. Lorain OH Preferred Stock w/ Warrants 25,223,000 $ Par 

12/12/2008 Wilmington Trust Corporation Wilmington DE Preferred Stock w/ Warrants $ 330 000 000 Par

12/5/2008 CVB Financial Corp Ontario CA Preferred Stock w/ Warrants 130,000,000 $ Par 

12/12/2008 Wilmington Trust Corporation Wilmington DE Preferred Stock w/ Warrants $ 330,000,000 Par 

12/12/2008 Susquehanna Bancshares, Inc Lititz PA Preferred Stock w/ Warrants 300,000,000 $ Par 4/21/2010 4 $ 

12/12/2008 Signature Bank New York NY Preferred Stock w/ Warrants 120,000,000 $ Par 3/31/2009 4 $ 

12/12/2008 HopFed Bancorp Hopkinsville KY Preferred Stock w/ Warrants 18,400,000 $ Par 12/12/2008 Citizens Republic Bancorp, Inc. Flint MI Preferred Stock w/ Warrants 300,000,000 $ Par 12/12/2008 Indiana Community Bancorp Columbus IN Preferred Stock w/ Warrants 21,500,000 $ Par 12/12/2008 Bank of the Ozarks, Inc. Little Rock AR Preferred Stock w/ Warrants 75,000,000 $ Par 11/4/2009 4 $ 

12/12/2008 Center Financial Corporation Los Angeles CA Preferred Stock w/ Warrants 55,000,000 $ Par 

12/12/2008 NewBridge Bancorp Greensboro NC Preferred Stock w/ Warrants 52,372,000 $ Par 12/12/2008 Sterling Bancshares, Inc. Houston TX Preferred Stock w/ Warrants 125,198,000 $ Par 5/5/2009 4 $ 

12/12/2008 The Bancorp, Inc. Wilmington DE Preferred Stock w/ Warrants 45,220,000 $ Par 3/10/2010 5 $ 

12/12/2008 TowneBank Portsmouth VA Preferred Stock w/ Warrants 76,458,000 $ Par 12/12/2008 Wilshire Bancorp, Inc. Los Angeles CA Preferred Stock w/ Warrants 62,158,000 $ Par 

12/12/2008 Valley Financial Corporation Roanoke VA Preferred Stock w/ Warrants 16,019,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

22 12/12/2008 Independent Bank Corporation Ionia MI Mandatorily Convertible Preferred Stock w/ Warrants $ Par 74,426,000

12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/ Warrants 95,000,000 $ Par 

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

12/12/2008 National Penn Bancshares, Inc. Boyertown PA Preferred Stock w/ Warrants 150,000,000 $ Par 

12/12/2008 Northeast Bancorp Lewiston ME Preferred Stock w/ Warrants 4,227,000 $ Par 12/12/2008 Citizens South Banking Corporation Gastonia NC Preferred Stock w/ Warrants 20,500,000 $ Par 12/12/2008 Virginia Commerce Bancorp Arlington VA Preferred Stock w/ Warrants 71,000,000 $ Par 

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

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

12/19/2008 Intermountain Community Bancorp Sandpoint ID Preferred Stock w/ Warrants 27,000,000 $ Par 12/19/2008 Community West Bancshares Goleta CA Preferred Stock w/ Warrants 15,600,000 $ Par 12/19/2008 Synovus Financial Corp. Columbus GA Preferred Stock w/ Warrants 967,870,000 $ Par 12/19/2008 Tennessee Commerce Bancorp, Inc. Franklin TN Preferred Stock w/ Warrants 30,000,000 $ Par 12/19/2008 Community Bankers Trust Corporation Glen Allen VA Preferred Stock w/ Warrants 17,680,000 $ Par 12/19/2008 BancTrust Financial Group, Inc. Mobile AL Preferred Stock w/ Warrants 50,000,000 $ Par 

12/19/2008 Enterprise Financial Services Corp. St. Louis MO Preferred Stock w/ Warrants 35,000,000 $ Par 12/19/2008 Mid Penn Bancorp, Inc. Millersburg PA Preferred Stock w/ Warrants 10,000,000 $ Par 

12/19/2008 Summit State Bank Santa Rosa CA Preferred Stock w/ Warrants 8,500,000 $ Par 12/19/2008 VIST Financial Corp. Wyomissing PA Preferred Stock w/ Warrants 25,000,000 $ Par 

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

12/19/2008 Whitney Holding Corporation New Orleans LA Preferred Stock w/ Warrants 300,000,000 $ Par 12/19/2008 The Connecticut Bank and Trust Company Hartford CT Preferred Stock w/ Warrants 5,448,000 $ Par 12/19/2008 CoBiz Financial Inc. Denver CO Preferred Stock w/ Warrants 64,450,000 $ Par 12/19/2008 Santa Lucia Bancorp Atascadero CA Preferred Stock w/ Warrants 4,000,000 $ Par 

12/19/2008 12/19/2008 Seacoast Banking Corporation of Florida Seacoast Banking Corporation of Florida Stuart FL Preferred Stock w/ Warrants Preferred Stock w/ Warrants $ 50 000 000 50,000,000 Par

12/19/2008 Horizon Bancorp Michigan City IN Preferred Stock w/ Warrants 25,000,000 $ Par 11/10/2010 4 $ 12/19/2008 Fidelity Southern Corporation Atlanta GA Preferred Stock w/ Warrants 48,200,000 $ Par 

12/19/2008 Community Financial Corporation Staunton VA Preferred Stock w/ Warrants 12,643,000 $ Par 12/19/2008 Berkshire Hills Bancorp, Inc. Pittsfield MA Preferred Stock w/ Warrants 40,000,000 $ Par 5/27/2009 4 $ 

12/19/2008 First California Financial Group, Inc Westlake Village CA Preferred Stock w/ Warrants 25,000,000 $ Par 

12/19/2008 AmeriServ Financial, Inc Johnstown PA Preferred Stock w/ Warrants 21,000,000 $ Par 

30 - 

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

12/19/2008 Wintrust Financial Corporation Lake Forest IL Preferred Stock w/ Warrants 250,000,000 $ Par 12/19/2008 Flushing Financial Corporation Lake Success NY Preferred Stock w/ Warrants 70,000,000 $ Par 10/28/2009 5 $ 

12/19/2008 Monarch Financial Holdings, Inc. Chesapeake VA Preferred Stock w/ Warrants 14,700,000 $ Par 12/23/2009 5 $ 12/19/2008 StellarOne Corporation Charlottesville VA Preferred Stock w/ Warrants 30,000,000 $ Par 

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 $ 

12/19/2008 Tidelands Bancshares, Inc Mt. Pleasant SC Preferred Stock w/ Warrants 14,448,000 $ Par 12/19/2008 Bancorp Rhode Island, Inc. Providence RI Preferred Stock w/ Warrants 30,000,000 $ Par 8/5/2009 4 $ 

12/19/2008 Hawthorn Bancshares, Inc. Lee's Summit MO Preferred Stock w/ Warrants 30,255,000 $ Par 12/19/2008 The Elmira Savings Bank, FSB Elmira NY Preferred Stock w/ Warrants 9,090,000 $ Par 12/19/2008 Alliance Financial Corporation Syracuse NY Preferred Stock w/ Warrants 26,918,000 $ Par 5/13/2009 4 $ 12/19/2008 Heartland Financial USA, Inc. Dubuque IA Preferred Stock w/ Warrants 81,698,000 $ Par 12/19/2008 Citizens First Corporation Bowling Green KY Preferred Stock w/ Warrants 8,779,000 $ Par 

2 12/19/2008 FFW Corporation Wabash IN Preferred Stock w/ Exercised Warrants 7,289,000 $ Par 2 12/19/2008 Plains Capital Corporation Dallas TX Preferred Stock w/ Exercised Warrants 87,631,000 $ Par 2 12/19/2008 Tri-County Financial Corporation Waldorf MD Preferred Stock w/ Exercised Warrants 15,540,000 $ Par 

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 12/19/2008 Marquette National Corporation Chicago IL Preferred Stock w/ Exercised Warrants 35,500,000 $ Par 

2 12/19/2008 Exchange Bank Santa Rosa CA Preferred Stock w/ Exercised Warrants 43,000,000 $ Par 

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

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

2 12/19/2008 Fidelity Financial Corporation Wichita KS Preferred Stock w/ Exercised Warrants 36,282,000 $ Par 2 12/19/2008 Patapsco Bancorp, Inc. Dundalk MD Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 2 12/19/2008 NCAL Bancorp Los Angeles CA Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 

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

12/23/2008 First Financial Bancorp Cincinnati OH Preferred Stock w/ Warrants 80,000,000 $ Par 2/24/2010 5 $ 

12/23/2008 Bridge Capital Holdings San Jose CA Preferred Stock w/ Warrants 23,864,000 $ Par 12/23/2008 International Bancshares Corporation Laredo TX Preferred Stock w/ Warrants 216,000,000 $ Par 12/23/2008 First Sound Bank Seattle WA Preferred Stock w/ Warrants 7,400,000 $ Par 12/23/2008 M&T Bank Corporation Buffalo NY Preferred Stock w/ Warrants 600,000,000 $ Par 12/23/2008 Emclaire Financial Corp. Emlenton PA Preferred Stock w/ Warrants 7,500,000 $ Par 12/23/2008 Park National Corporation Newark OH Preferred Stock w/ Warrants 100,000,000 $ Par 12/23/2008 Green Bankshares, Inc. Greeneville TN Preferred Stock w/ Warrants 72,278,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

12/23/2008 Cecil Bancorp, Inc. Elkton MD Preferred Stock w/ Warrants 11,560,000 $ Par 12/23/2008 Financial Institutions, Inc. Warsaw NY Preferred Stock w/ Warrants 37,515,000 $ Par 12/23/2008 Fulton Financial Corporation Lancaster PA Preferred Stock w/ Warrants 376,500,000 $ Par 7/14/2010 4 $ 

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 $ 

12/23/2008 MutualFirst Financial, Inc. Muncie IN Preferred Stock w/ Warrants 32,382,000 $ Par 12/23/2008 BCSB Bancorp, Inc. Baltimore MD Preferred Stock w/ Warrants 10,800,000 $ Par 12/23/2008 HMN Financial, Inc. Rochester MN Preferred Stock w/ Warrants 26,000,000 $ Par 12/23/2008 First Community Bank Corporation of America Pinellas Park FL Preferred Stock w/ Warrants 10,685,000 $ Par 12/23/2008 Sterling Bancorp New York NY Preferred Stock w/ Warrants 42,000,000 $ Par 12/23/2008 Intervest Bancshares Corporation New York NY Preferred Stock w/ Warrants 25,000,000 $ Par 12/23/2008 Peoples Bancorp of North Carolina, Inc. Newton NC Preferred Stock w/ Warrants 25,054,000 $ Par 12/23/2008 Parkvale Financial Corporation Monroeville PA Preferred Stock w/ Warrants 31,762,000 $ Par 12/23/2008 Timberland Bancorp, Inc. Hoquiam WA Preferred Stock w/ Warrants 16,641,000 $ Par 12/23/2008 1st Constitution Bancorp Cranbury NJ Preferred Stock w/ Warrants 12,000,000 $ Par 10/27/2010 4 $ 12/23/2008 Central Jersey Bancorp Oakhurst NJ Preferred Stock w/ Warrants 11,300,000 $ Par 11/24/2010 4 $ 

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 $ 

2 12/23/2008 The Little Bank, Incorporated Kinston NC Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 2 12/23/2008 Pacific Commerce Bank Los Angeles CA Preferred Stock w/ Exercised Warrants 4,060,000 $ Par 

2 12/23/2008 Citizens Community Bank South Hill VA Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

2 12/23/2008 Seacoast Commerce Bank Chula Vista CA Preferred Stock w/ Exercised Warrants 1 12/23/2008 Seacoast Commerce Bank Chula Vista CA Preferred Stock w/ Exercised Warrants $ Par 1,800,000 ,800,000 Par

2 12/23/2008 TCNB Financial Corp. Dayton OH Preferred Stock w/ Exercised Warrants 2,000,000 $ Par 

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

2 12/23/2008 Nicolet Bankshares, Inc. Green Bay WI Preferred Stock w/ Exercised Warrants 14,964,000 $ Par 

2 12/23/2008 Magna Bank Memphis TN Preferred Stock w/ Exercised Warrants 13,795,000 $ Par 11/24/2009 4 $ 

2 12/23/2008 Western Community Bancshares, Inc. Palm Desert CA Preferred Stock w/ Exercised Warrants 7,290,000 $ Par 2 12/23/2008 Community Investors Bancorp, Inc. Bucyrus OH Preferred Stock w/ Exercised Warrants 2,600,000 $ Par 

2 12/23/2008 Capital Bancorp, Inc. Rockville MD Preferred Stock w/ Exercised Warrants 4,700,000 $ Par 2 12/23/2008 Cache Valley Banking Company Logan UT Preferred Stock w/ Exercised Warrants 4,767,000 $ Par 

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

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

2 12/23/2008 Pacific Coast Bankers' Bancshares San Francisco CA Preferred Stock w/ Exercised Warrants 11,600,000 $ Par 

12/31/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants 1,350,000,000 $ Par 

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

12/31/2008 Fifth Third Bancorp Cincinnati OH Preferred Stock w/ Warrants 3,408,000,000 $ Par 

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 $ 

12/31/2008 West Bancorporation, Inc. West Des Moines IA Preferred Stock w/ Warrants 36,000,000 $ Par 

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

1a, 1b 1/9/2009 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants 10,000,000,000 $ Par 12/9/2009 4 $ 

1/9/2009 FirstMerit Corporation Akron OH Preferred Stock w/ Warrants 125,000,000 $ Par 4/22/2009 4 $ 

1/9/2009 Farmers Capital Bank Corporation Frankfort KY Preferred Stock w/ Warrants 30,000,000 $ Par 1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Preferred Stock w/ Warrants 28,685,000 $ Par 1/6/2010 4 $ 

1/9/2009 Commerce National Bank Newport Beach CA Preferred Stock w/ Warrants 5,000,000 $ Par 10/7/2009 4 $ 1/9/2009 The First Bancorp, Inc. Damariscotta ME Preferred Stock w/ Warrants 25,000,000 $ Par 1/9/2009 Sun Bancorp, Inc. Vineland NJ Preferred Stock w/ Warrants 89,310,000 $ Par 4/8/2009 4 $ 

1/9/2009 Crescent Financial Corporation Cary NC Preferred Stock w/ Warrants 24,900,000 $ Par 

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

1/9/2009 Central Pacific Financial Corp. Honolulu HI Preferred Stock w/ Warrants 135,000,000 $ Par 

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

33 1/9/2009 Cadence Financial Corporation Starkville MS Preferred Stock w/ Warrants 44,000,000 $ Par 

1/9/2009 LCNB Corp. Lebanon OH Preferred Stock w/ Warrants 13,400,000 $ Par 10/21/2009 4 $ 

1/9/2009 Center Bancorp, Inc. Union NJ Preferred Stock w/ Warrants 10,000,000 $ Par 1/9/2009 F.N.B. Corporation Hermitage PA Preferred Stock w/ Warrants 100,000,000 $ Par 9/9/2009 4 $ 

1/9/2009 C&F Financial Corporation West Point VA Preferred Stock w/ Warrants 20,000,000 $ Par 1/9/2009 North Central Bancshares, Inc. Fort Dodge IA Preferred Stock w/ Warrants 10,200,000 $ Par 

1/9/2009 Carolina Bank Holdings, Inc. Greensboro NC Preferred Stock w/ Warrants 16,000,000 $ Par 1/9/2009 First Bancorp Troy NC Preferred Stock w/ Warrants 65,000,000 $ Par 

1/9/2009 First Financial Service Corporation Elizabethtown KY Preferred Stock w/ Warrants 20,000,000 $ Par 1/9/2009 Codorus Valley Bancorp, Inc. York PA Preferred Stock w/ Warrants 16,500,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

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

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

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

2 1/9/2009 The Queensborough Company Louisville GA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 2 1/9/2009 American State Bancshares, Inc. Great Bend KS Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 2 1/9/2009 Security California Bancorp Riverside CA Preferred Stock w/ Exercised Warrants 6,815,000 $ Par 2 1/9/2009 Security Business Bancorp San Diego CA Preferred Stock w/ Exercised Warrants 5,803,000 $ Par 

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

3 1/9/2009 Mission Community Bancorp San Luis Obispo CA Preferred Stock 5,116,000 $ Par 2 1/9/2009 Redwood Financial Inc. Redwood Falls MN Preferred Stock w/ Exercised Warrants 2,995,000 $ Par 2 1/9/2009 Surrey Bancorp Mount Airy NC Preferred Stock w/ Exercised Warrants 2,000,000 $ Par 2 1/9/2009 Independence Bank East Greenwich RI Preferred Stock w/ Exercised Warrants 1,065,000 $ Par 2 1/9/2009 Valley Community Bank Pleasanton CA Preferred Stock w/ Exercised Warrants 5,500,000 $ Par 2 1/9/2009 Rising Sun Bancorp Rising Sun MD Preferred Stock w/ Exercised Warrants 5,983,000 $ Par 

2 1/9/2009 Community Trust Financial Corporation Ruston LA Preferred Stock w/ Exercised Warrants 24,000,000 $ Par 2 1/9/2009 GrandSouth Bancorporation Greenville SC Preferred Stock w/ Exercised Warrants 9,000,000 $ Par 

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

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

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

1/16/2009 Home Bancshares, Inc. Conway AR Preferred Stock w/ Warrants 50,000,000 $ Par 

1/16/2009 Washington Banking Company Oak Harbor WA Preferred Stock w/ Warrants 26,380,000 $ Par 1/16/2009 New Hampshire Thrift Bancshares, Inc. Newport NH Preferred Stock w/ Warrants 10,000,000 $ Par 1/16/2009 Bar Harbor Bankshares Bar Harbor ME Preferred Stock w/ Warrants 18,751,000 $ Par 2/24/2010 5 $ 

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

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

1/16/2009 1/16/2009 S&T Bancorp Indiana PA Preferred Stock w/ Warrants 108,676,000 S&T B I di PA P f d St k / W t $ Par $ 108 676 000 P1/16/2009 ECB Bancorp, Inc. Engelhard NC Preferred Stock w/ Warrants 17,949,000 $ Par 

28 - 

7/20/2010 1/16/2009 First BanCorp San Juan PR Mandatorily Convertible Preferred Stock w/ Warrants $ Par 424,174,000

1/16/2009 Texas Capital Bancshares, Inc. Dallas TX Preferred Stock w/ Warrants 75,000,000 $ Par 5/13/2009 4 $ 

1/16/2009 Yadkin Valley Financial Corporation Elkin NC Preferred Stock w/ Warrants 36,000,000 $ Par 

3, 30 - 

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

1/16/2009 Citizens & Northern Corporation Wellsboro PA Preferred Stock w/ Warrants 26,440,000 $ Par 8/4/2010 4 $ 1/16/2009 MainSource Financial Group, Inc. Greensburg IN Preferred Stock w/ Warrants 57,000,000 $ Par 

1/16/2009 MetroCorp Bancshares, Inc. Houston TX Preferred Stock w/ Warrants 45,000,000 $ Par 1/16/2009 United Bancorp, Inc. Tecumseh MI Preferred Stock w/ Warrants 20,600,000 $ Par 1/16/2009 Old Second Bancorp, Inc. Aurora IL Preferred Stock w/ Warrants 73,000,000 $ Par 

1/16/2009 Pulaski Financial Corp Creve Coeur MO Preferred Stock w/ Warrants 32,538,000 $ Par 1/16/2009 OceanFirst Financial Corp. Toms River NJ Preferred Stock w/ Warrants 38,263,000 $ Par 12/30/2009 5 $ 

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 $ 

2 1/16/2009 First Bankers Trustshares, Inc. Quincy IL Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 

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 $ 

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 $ 

2 1/16/2009 Redwood Capital Bancorp Eureka CA Preferred Stock w/ Exercised Warrants 3,800,000 $ Par 2 1/16/2009 Syringa Bancorp Boise ID Preferred Stock w/ Exercised Warrants 8,000,000 $ Par 2 1/16/2009 Idaho Bancorp Boise ID Preferred Stock w/ Exercised Warrants 6,900,000 $ Par 2 1/16/2009 Puget Sound Bank Bellevue WA Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 2 1/16/2009 United Financial Banking Companies, Inc. Vienna VA Preferred Stock w/ Exercised Warrants 5,658,000 $ Par 2 1/16/2009 Dickinson Financial Corporation II Kansas City MO Preferred Stock w/ Exercised Warrants 146,053,000 $ Par 

2 1/16/2009 The Baraboo Bancorporation Baraboo WI Preferred Stock w/ Exercised Warrants 20,749,000 $ Par 2 1/16/2009 Bank of Commerce Charlotte NC Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 1/16/2009 State Bankshares, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 50,000,000 $ Par 8/12/2009 4 $ 

2 1/16/2009 /16/2009 BNCCORP I CCORP, Inc. Bismarck ND Pre Bi k ND P f d St k / E i d W t ferred Stock w/ Exercised Warrants 20,093,000 $ Par 20 093 000 P

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

3, 30 - 

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

2 1/16/2009 Morrill Bancshares, Inc. Merriam KS Preferred Stock w/ Exercised Warrants 13,000,000 $ Par 2 1/16/2009 Treaty Oak Bancorp, Inc. Austin TX Preferred Stock w/ Exercised Warrants 3,268,000 $ Par 

1/23/2009 1st Source Corporation South Bend IN Preferred Stock w/ Warrants 111,000,000 $ Par 1/23/2009 Princeton National Bancorp, Inc. Princeton IL Preferred Stock w/ Warrants 25,083,000 $ Par 1/23/2009 AB&T Financial Corporation Gastonia NC Preferred Stock w/ Warrants 3,500,000 $ Par 1/23/2009 First Citizens Banc Corp Sandusky OH Preferred Stock w/ Warrants 23,184,000 $ Par 

1/23/2009 WSFS Financial Corporation Wilmington DE Preferred Stock w/ Warrants 52,625,000 $ Par 

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 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

2 1/23/2009 CalWest Bancorp Rancho Santa Margarita CA Preferred Stock w/ Exercised Warrants 4,656,000 $ Par 

2 1/23/2009 Fresno First Bank Fresno CA Preferred Stock w/ Exercised Warrants 1,968,000 $ Par 2 1/23/2009 First ULB Corp. Oakland CA Preferred Stock w/ Exercised Warrants 4,900,000 $ Par 4/22/2009 4 $ 

2 1/23/2009 Alarion Financial Services, Inc. Ocala FL Preferred Stock w/ Exercised Warrants 6,514,000 $ Par 2 1/23/2009 Midland States Bancorp, Inc. Effingham IL Preferred Stock w/ Exercised Warrants 10,189,000 $ Par 12/23/2009 4 $ 2 1/23/2009 Moscow Bancshares, Inc. Moscow TN Preferred Stock w/ Exercised Warrants 6,216,000 $ Par 

2 1/23/2009 Farmers Bank Windsor VA Preferred Stock w/ Exercised Warrants 8,752,000 $ Par 2 1/23/2009 California Oaks State Bank Thousand Oaks CA Preferred Stock w/ Exercised Warrants 3,300,000 $ Par 

2, 25 1/23/2009 Pierce County Bancorp Tacoma WA Preferred Stock w/ Exercised Warrants 6,800,000 $ Par 

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

2 1/23/2009 Liberty Bancshares, Inc. Jonesboro AR Preferred Stock w/ Exercised Warrants 57,500,000 $ Par 

2 1/23/2009 Crosstown Holding Company Blaine MN Preferred Stock w/ Exercised Warrants 10,650,000 $ Par 2 1/23/2009 BankFirst Capital Corporation Macon MS Preferred Stock w/ Exercised Warrants 15,500,000 $ Par 2 1/23/2009 Southern Illinois Bancorp, Inc. Carmi IL Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

12/16/2009 4 $ 

6/16/2010 4 $ 

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

1/30/2009 Peoples Bancorp Inc. Marietta OH Preferred Stock w/ Warrants 39,000,000 $ Par 1/30/2009 Anchor BanCorp Wisconsin Inc. Madison WI Preferred Stock w/ Warrants 110,000,000 $ Par 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 $ 

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

2 1/23/2009 FPB Financial Corp. Hammond LA Preferred Stock w/ Exercised Warrants 3,240,000 $ Par 

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

1/30/2009 Central Valley Community Bancorp Fresno CA Preferred Stock w/ Warrants 7,000,000 $ Par 1/30/2009 Plumas Bancorp Quincy CA Preferred Stock w/ Warrants 11,949,000 $ Par 

1/30/2009 Stewardship Financial Corporation Midland Park NJ Preferred Stock w/ Warrants 10,000,000 $ Par 1/30/2009 Oak Ridge Financial Services, Inc. Oak Ridge NC Preferred Stock w/ Warrants 7,700,000 $ Par 

1/30/2009 First United Corporation Oakland MD Preferred Stock w/ Warrants 30,000,000 $ Par 1/30/2009 Community Partners Bancorp Middletown NJ Preferred Stock w/ Warrants 9,000,000 $ Par 1/30/2009 Guaranty Federal Bancshares, Inc. Springfield MO Preferred Stock w/ Warrants 17,000,000 $ Par 

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

1/30/2009 DNB Financial Corporation Downingtown PA Preferred Stock w/ Warrants 11,750,000 $ Par 

1/30/2009 Firstbank Corporation Alma MI Preferred Stock w/ Warrants 33,000,000 $ Par 

2 1/30/2009 Valley Commerce Bancorp Visalia CA Preferred Stock w/ Exercised Warrants 7,700,000 $ Par 2 1/30/2009 Greer Bancshares Incorporated Greer SC Preferred Stock w/ Exercised Warrants 9,993,000 $ Par 2 1/30/2009 Ojai Community Bank Ojai CA Preferred Stock w/ Exercised Warrants 2,080,000 $ Par 

2 1/30/2009 Adbanc, Inc Ogallala NE Preferred Stock w/ Exercised Warrants 12,720,000 $ Par 

2 1/30/2009 Beach Business Bank Manhattan Beach CA Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 3 1/30/2009 Legacy Bancorp, Inc. Milwaukee WI Preferred Stock 5,498,000 $ Par 2 1/30/2009 First Southern Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants 10,900,000 $ Par 6/16/2010 4 $ 

2 1/30/2009 Country Bank Shares, Inc. Milford NE Preferred Stock w/ Exercised Warrants 7,525,000 $ Par 2 1/30/2009 Katahdin Bankshares Corp. Houlton ME Preferred Stock w/ Exercised Warrants 10,449,000 $ Par 2 1/30/2009 Rogers Bancshares, Inc. Little Rock AR Preferred Stock w/ Exercised Warrants 25,000,000 $ Par 

2 1/30/2009 UBT Bancshares, Inc. Marysville KS Preferred Stock w/ Exercised Warrants 8,950,000 $ Par 

2 1/30/2009 Bankers' Bank of the West Bancorp, Inc. Denver CO Preferred Stock w/ Exercised Warrants 12,639,000 $ Par 2 1/30/2009 W.T.B. Financial Corporation Spokane WA Preferred Stock w/ Exercised Warrants 110,000,000 $ Par 2 1/30/2009 AMB Financial Corp. Munster IN Preferred Stock w/ Exercised Warrants 3,674,000 $ Par 2 1/30/2009 Goldwater Bank, N.A. Scottsdale AZ Preferred Stock w/ Exercised Warrants 2,568,000 $ Par 

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

2, 13 - 

10/30/2009 1/30/2009 WashingtonFirst Bankshares, Inc. 

(WashingtonFirst Bank) Reston VA Preferred Stock w/ Exercised Warrants 6,633,000 $ Par 

2 1/30/2009 Central Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 5,800,000 $ Par 2 1/30/2009 Hilltop Community Bancorp, Inc. Summit NJ Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 4/21/2010 4 $ 

2 1/30/2009 Northway Financial, Inc. Berlin NH Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 1/30/2009 Monument Bank Bethesda MD Preferred Stock w/ Exercised Warrants 4,734,000 $ Par 2 1/30/2009 Metro City Bank Doraville GA Preferred Stock w/ Exercised Warrants 7,700,000 $ Par 2 1/30/2009 F & M Bancshares, Inc. Trezevant TN Preferred Stock w/ Exercised Warrants 4,609,000 $ Par 2 1/30/2009 First Resource Bank Exton PA Preferred Stock w/ Exercised Warrants 2,600,000 $ Par 

2/6/2009 MidWestOne Financial Group, Inc. Iowa City IA Preferred Stock w/ Warrants 16,000,000 $ Par 

2/6/2009 Lakeland Bancorp, Inc. Oak Ridge NJ Preferred Stock w/ Warrants 59,000,000 $ Par 8/4/2010 4 $ 

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 $ 

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 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

3, 30 - 

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

2 2/6/2009 The Freeport State Bank Harper KS Preferred Stock w/ Exercised Warrants 301,000 $ Par 2 2/6/2009 Stockmens Financial Corporation Rapid City SD Preferred Stock w/ Exercised Warrants 15,568,000 $ Par 

2 2/6/2009 US Metro Bank Garden Grove CA Preferred Stock w/ Exercised Warrants 2,861,000 $ Par 2 2/6/2009 First Express of Nebraska, Inc. Gering NE Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 2/6/2009 Mercantile Capital Corp. Boston MA Preferred Stock w/ Exercised Warrants 3,500,000 $ Par 2 2/6/2009 Citizens Commerce Bancshares, Inc. Versailles KY Preferred Stock w/ Exercised Warrants 6,300,000 $ Par 

3, 30 - 

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

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 

2 2/6/2009 Banner County Ban Corporation Harrisburg NE Preferred Stock w/ Exercised Warrants 795,000 $ Par 

2 2/6/2009 Centrix Bank & Trust Bedford NH Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 2 2/6/2009 Todd Bancshares, Inc. Hopkinsville KY Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 2/6/2009 Georgia Commerce Bancshares, Inc. Atlanta GA Preferred Stock w/ Exercised Warrants 8,700,000 $ Par 

2 2/6/2009 First Bank of Charleston, Inc. Charleston WV Preferred Stock w/ Exercised Warrants 3,345,000 $ Par 2 2/6/2009 F & M Financial Corporation Salisbury NC Preferred Stock w/ Exercised Warrants 17,000,000 $ Par 

2, 34 2/6/2009 The Bank of Currituck Moyock NC Preferred Stock w/ Exercised Warrants 4,021,000 $ Par 

2 2/6/2009 CedarStone Bank Lebanon TN Preferred Stock w/ Exercised Warrants 3,564,000 $ Par 2 2/6/2009 Community Holding Company of Florida, Inc. Miramar Beach FL 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 

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

2/13/2009 2/13/2009 QCR H ldi I QCR Holdings, Inc. M li o ne IL P f d St k / W t Preferred Stock w/ Warrants $ 38 237 000 38,237,000 Par 

9/2/2009 4 $ 

11/18/2009 4 $ 

2/13/2009 The Bank of Kentucky Financial Corporation Crestview Hills KY Preferred Stock w/ Warrants 34,000,000 $ Par 

2/13/2009 PremierWest Bancorp Medford OR Preferred Stock w/ Warrants 41,400,000 $ Par 2/13/2009 Carrollton Bancorp Baltimore MD Preferred Stock w/ Warrants 9,201,000 $ Par 2/13/2009 FNB United Corp. Asheboro NC Preferred Stock w/ Warrants 51,500,000 $ Par 

2 2/13/2009 First Menasha Bancshares, Inc. Neenah WI Preferred Stock w/ Exercised Warrants 4,797,000 $ Par 2 2/13/2009 1st Enterprise Bank Los Angeles CA Preferred Stock w/ Exercised Warrants 4,400,000 $ Par 

2 2/13/2009 DeSoto County Bank Horn Lake MS Preferred Stock w/ Exercised Warrants 1,173,000 $ Par 2 2/13/2009 Security Bancshares of Pulaski County, Inc. Waynesville MO Preferred Stock w/ Exercised Warrants 2,152,000 $ Par 

2, 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 $ 

2 2/13/2009 BankGreenville Greenville SC Preferred Stock w/ Exercised Warrants 1,000,000 $ Par 2 2/13/2009 Corning Savings and Loan Association Corning AR Preferred Stock w/ Exercised Warrants 638,000 $ Par 

2 2/13/2009 Financial Security Corporation Basin WY Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 2/13/2009 ColoEast Bankshares, Inc. Lamar CO Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 2/13/2009 Santa Clara Valley Bank, N.A. Santa Paula CA Preferred Stock w/ Exercised Warrants 2,900,000 $ Par 2 2/13/2009 Reliance Bancshares, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants 40,000,000 $ Par 2 2/13/2009 Regional Bankshares, Inc. Hartsville SC Preferred Stock w/ Exercised Warrants 1,500,000 $ Par 2 2/13/2009 Peoples Bancorp Lynden WA Preferred Stock w/ Exercised Warrants 18,000,000 $ Par 

2, 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 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 $ 

2 2/13/2009 Bern Bancshares, Inc. Bern KS Preferred Stock w/ Exercised Warrants 985,000 $ Par 2 2/13/2009 Northwest Bancorporation, Inc. Spokane WA Preferred Stock w/ Exercised Warrants 10,500,000 $ Par 2 2/13/2009 Liberty Bancshares, Inc. Springfield MO Preferred Stock w/ Exercised Warrants 21,900,000 $ Par 

2 2/13/2009 F&M Financial Corporation Clarksville TN Preferred Stock w/ Exercised Warrants 17 $ Par ,243,000

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

2 2/13/2009 F&M Financial Corporation Clarksville TN Preferred Stock w/ Exercised Warrants $ 17,243,000 Par

2 2/13/2009 Meridian Bank Devon PA Preferred Stock w/ Exercised Warrants 6,200,000 $ Par 2 2/13/2009 Northwest Commercial Bank Lakewood WA Preferred Stock w/ Exercised Warrants 1,992,000 $ Par 

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

Preferred Stock w/ Warrants 69,600,000 $ Par Trust Preferred Securities w/ Warrants 46,400,000 $ Par 

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 2/20/2009 Guaranty Bancorp, Inc. Woodsville NH Preferred Stock w/ Exercised Warrants 6,920,000 $ Par 

2 2/20/2009 The Private Bank of California Los Angeles CA Preferred Stock w/ Exercised Warrants 5,450,000 $ Par 

2, 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 $ 

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 

27 2/20/2009 First Merchants Corporation Muncie IN
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

2 2/20/2009 United American Bank San Mateo CA Preferred Stock w/ Exercised Warrants 8,700,000 $ Par 2 2/20/2009 Crazy Woman Creek Bancorp, Inc. Buffalo WY Preferred Stock w/ Exercised Warrants 3,100,000 $ Par 

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

2 2/20/2009 Mid-Wisconsin Financial Services, Inc. Medford WI Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 2/20/2009 Market Bancorporation, Inc. New Market MN Preferred Stock w/ Exercised Warrants 2,060,000 $ Par 2 2/20/2009 Hometown Bancorp of Alabama, Inc. Oneonta AL Preferred Stock w/ Exercised Warrants 3,250,000 $ Par 

2 2/20/2009 Security State Bancshares, Inc. Charleston MO Preferred Stock w/ Exercised Warrants 12,500,000 $ Par 

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 $ 

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

2 2/20/2009 First BancTrust Corporation Paris IL Preferred Stock w/ Exercised Warrants 7,350,000 $ Par 2 2/20/2009 Premier Service Bank Riverside CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 2/20/2009 Florida Business BancGroup, Inc. Tampa FL Preferred Stock w/ Exercised Warrants 9,495,000 $ Par 2 2/20/2009 Hamilton State Bancshares Hoschton GA Preferred Stock w/ Exercised Warrants 7,000,000 $ Par 

2/27/2009 Lakeland Financial Corporation Warsaw IN Preferred Stock w/ Warrants 56,044,000 $ Par 6/9/2010 5 $ 

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 $ 

2/27/2009 Southern First Bancshares, Inc. Greenville SC Preferred Stock w/ Warrants 17,299,000 $ Par 2/27/2009 Integra Bank Corporation Evansville IN Preferred Stock w/ Warrants 83,586,000 $ Par 

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

2 2/27/2009 BNC Financial Group, Inc. New Canaan CT Preferred Stock w/ Exercised Warrants 4,797,000 $ Par 2 2/27/2009 California Bank of Commerce Lafayette CA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 2/27/2009 Columbine Capital Corp. Buena Vista CO Preferred Stock w/ Exercised Warrants 2,260,000 $ Par 2 2/27/2009 National Bancshares, Inc. Bettendorf IA Preferred Stock w/ Exercised Warrants 24,664,000 $ Par 

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

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

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

2 2/27/2009 D.L. Evans Bancorp Burley ID Preferred Stock w/ Exercised Warrants 19,891,000 $ Par 

2 2/27/2009 TriState Capital Holdings, Inc. Pittsburgh PA Preferred Stock w/ Exercised Warrants 23,000,000 $ Par 

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

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

2 2/27/2009 Green Circle Investments, Inc. Clive IA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 2 2/27/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock w/ Exercised Warrants 4,960,000 $ Par 2 2/27/2009 Regent Capital Corporation Nowata OK Preferred Stock w/ Exercised Warrants 2,655,000 $ Par 

2 2/27/2009 Central Bancorp, Inc. Garland TX Preferred Stock w/ Exercised Warrants 22,500,000 $ Par 2 2/27/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants 11,800,000 $ Par 

2, 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 $ 

2 2/27/2009 Avenue Financial Holdings, Inc. Nashville TN Preferred Stock w/ Exercised Warrants 7,400,000 $ Par 

2 2/27/2009 Howard Bancorp, Inc. Ellicott City MD Preferred Stock w/ Exercised Warrants 5,983,000 $ Par 

2 2/27/2009 FNB Bancorp South San Francisco CA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 

2, 13 - 

12/4/2009 2/27/2009 The Victory Bancorp, Inc. (The Victory Bank) Limerick PA Preferred Stock w/ Exercised Warrants 541,000 $ Par 

2 2/27/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

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

3/6/2009 HCSB Financial Corporation Loris SC Preferred Stock w/ Warrants 12,895,000 $ Par 3/6/2009 First Busey Corporation Urbana IL Preferred Stock w/ Warrants 100,000,000 $ Par 3/6/2009 First Federal Bancshares of Arkansas, Inc. Harrison AR Preferred Stock w/ Warrants 16,500,000 $ Par 

3, 30 - 

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

2 3/6/2009 ICB Financial Ontario CA Preferred Stock w/ Exercised Warrants 6,000,000 $ Par 2 3/6/2009 First Texas BHC, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants 13,533,000 $ Par 2 3/6/2009 Farmers & Merchants Bancshares, Inc. Houston TX Preferred Stock w/ Exercised Warrants 11,000,000 $ Par 2 3/6/2009 Blue Ridge Bancshares, Inc. Independence MO Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 2 3/6/2009 First Reliance Bancshares, Inc. Florence SC Preferred Stock w/ Exercised Warrants 15,349,000 $ Par 

2 3/6/2009 /6/2009 Merchants and Planters Bancshares, Inc. Toone TN Pre M h t d Pl t B h I T TN P f d St k / E i d W t ferred Stock w/ Exercised Warrants 1,881,000 $ Par 1 881 000 P

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

2 3/6/2009 Germantown Capital Corporation, Inc. Germantown TN Preferred Stock w/ Exercised Warrants 4,967,000 $ Par 2 3/6/2009 BOH Holdings, Inc. Houston TX Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 2 3/6/2009 AmeriBank Holding Company Collinsville OK Preferred Stock w/ Exercised Warrants 2,492,000 $ Par 2 3/6/2009 Highlands Independent Bancshares, Inc. Sebring FL Preferred Stock w/ Exercised Warrants 6,700,000 $ Par 

2 3/6/2009 Pinnacle Bank Holding Company, Inc. Orange City FL Preferred Stock w/ Exercised Warrants 4,389,000 $ Par 2 3/6/2009 Blue River Bancshares, Inc. Shelbyville IN Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 3/6/2009 Marine Bank & Trust Company Vero Beach FL Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 3/6/2009 Community Bancshares of Kansas, Inc. Goff KS Preferred Stock w/ Exercised Warrants 500,000 $ Par 2 3/6/2009 Regent Bancorp, Inc. Davie FL Preferred Stock w/ Exercised Warrants 9,982,000 $ Par 2 3/6/2009 Park Bancorporation, Inc. Madison WI Preferred Stock w/ Exercised Warrants 23,200,000 $ Par 2 3/6/2009 PeoplesSouth Bancshares, Inc. Colquitt GA Preferred Stock w/ Exercised Warrants 12,325,000 $ Par 

3/13/2009 First Place Financial Corp. Warren OH Preferred Stock w/ Warrants 72,927,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

3/13/2009 Salisbury Bancorp, Inc. Lakeville CT Preferred Stock w/ Warrants 8,816,000 $ Par 3/13/2009 First Northern Community Bancorp Dixon CA Preferred Stock w/ Warrants 17,390,000 $ Par 3/13/2009 Discover Financial Services Riverwoods IL Preferred Stock w/ Warrants 1,224,558,000 $ Par 4/21/2010 4 $ 

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 $ 

2 3/13/2009 BancIndependent, Inc. Sheffield AL Preferred Stock w/ Exercised Warrants 21,100,000 $ Par 

2 3/13/2009 Haviland Bancshares, Inc. Haviland KS Preferred Stock w/ Exercised Warrants 425,000 $ Par 2 3/13/2009 1st United Bancorp, Inc. Boca Raton FL Preferred Stock w/ Exercised Warrants 10,000,000 $ Par 11/18/2009 4 $ 

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

2 3/13/2009 First National Corporation Strasburg VA Preferred Stock w/ Exercised Warrants 13,900,000 $ Par 

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

2, 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 $ 

2 3/13/2009 Butler Point, Inc. Catlin IL Preferred Stock w/ Exercised Warrants 607,000 $ Par 2 3/13/2009 Bank of George Las Vegas NV Preferred Stock w/ Exercised Warrants 2,672,000 $ Par 

2 3/13/2009 Moneytree Corporation Lenoir City TN Preferred Stock w/ Exercised Warrants 9,516,000 $ Par 

2 3/13/2009 Sovereign Bancshares, Inc. Dallas TX Preferred Stock w/ Exercised Warrants 18,215,000 $ Par 2 3/13/2009 First Intercontinental Bank Doraville GA Preferred Stock w/ Exercised Warrants 6,398,000 $ Par 

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

2 3/20/2009 Community First Bancshares Inc. Union City TN Preferred Stock w/ Exercised Warrants 20,000,000 $ Par 2 3/20/2009 First NBC Bank Holding Company New Orleans LA Preferred Stock w/ Exercised Warrants 17,836,000 $ Par 2 3/20/2009 First Colebrook Bancorp, Inc. Colebrook NH Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 

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

2 3/20/2009 Peoples Bancshares of TN, Inc Madisonville TN Preferred Stock w/ Exercised Warrants 3,900,000 $ Par 2 3/20/2009 Premier Bank Holding Company Tallahassee FL Preferred Stock w/ Exercised Warrants 9,500,000 $ Par 2 3/20/2009 Citizens Bank & Trust Company Covington LA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 

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

2 3/20/2009 Farmers State Bankshares, Inc. Holton KS Preferred Stock w/ Exercised Warrants 700,000 $ Par 2 3/27/2009 SBT Bancorp, Inc. Simsbury CT Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

2 3/27/2009 CSRA Bank Corp. Wrens GA Preferred Stock w/ Exercised Warrants 2,400,000 $ Par 2 3/27/2009 Trinity Capital Corporation Los Alamos NM Preferred Stock w/ Exercised Warrants 35,539,000 $ Par 2 3/27/2009 Clover Community Bankshares, Inc. Clover SC Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 2 3/27/2009 Pathway Bancorp Cairo NE Preferred Stock w/ Exercised Warrants 3,727,000 $ Par 2 3/27/2009 Colonial American Bank West Conshohocken PA Preferred Stock w/ Exercised Warrants 574,000 $ Par 2 3/27/2009 MS Financial, Inc. Kingwood TX Preferred Stock w/ Exercised Warrants 7,723,000 $ Par 

2 3/27/2009 Triad Bancorp, Inc. Frontenac MO Preferred Stock w/ Exercised Warrants 3,700,000 $ Par 2 3/27/2009 Alpine Banks of Colorado Glenwood Springs CO Preferred Stock w/ Exercised Warrants 70,000,000 $ Par 

2 3/27/2009 Naples Bancorp, Inc. Naples FL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 3/27/2009 CBS Banc-Corp. Russellville AL Preferred Stock w/ Exercised Warrants 24,300,000 $ Par 

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

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

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

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

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 4/3/2009 Fortune Financial Corporation Arnold MO Preferred Stock w/ Exercised Warrants 3,100,000 $ Par 

2 4/3/2009 BancStar, Inc. Festus MO Preferred Stock w/ Exercised Warrants 8,600,000 $ Par 2 4/3/2009 Titonka Bancshares, Inc Titonka IA Preferred Stock w/ Exercised Warrants 2,117,000 $ Par 2 4/3/2009 Millennium Bancorp, Inc. Edwards CO Preferred Stock w/ Exercised Warrants 7,260,000 $ Par 2 4/3/2009 TriSummit Bank Kingsport TN Preferred Stock w/ Exercised Warrants 2,765,000 $ Par 2 4/3/2009 Prairie Star Bancshares, Inc. Olathe KS Preferred Stock w/ Exercised Warrants 2,800,000 $ Par 

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

2 4/10/2009 Capital Commerce Bancorp, Inc. Milwaukee WI Preferred Stock w/ Exercised Warrants 5,100,000 $ Par 2 4/10/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 2,040,000 $ Par 

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

2 4/17/2009 Penn Liberty Financial Corp. Wayne PA Preferred Stock w/ Exercised Warrants 9,960,000 $ Par 

2, 25a 4/17/2009 Tifton Banking Company Tifton GA Preferred Stock w/ Exercised Warrants 3,800,000 $ Par 

2 4/17/2009 Patterson Bancshares, Inc Patterson LA Preferred Stock w/ Exercised Warrants 3,690,000 $ Par 2 4/17/2009 BNB Financial Services Corporation New York NY Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 

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

4/24/2009 Mackinac Financial Corporation Manistique MI Preferred Stock w/ Warrants 11,000,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

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

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

2 4/24/2009 Indiana Bank Corp. Dana IN Preferred Stock w/ Exercised Warrants 1,312,000 $ Par 2 4/24/2009 Business Bancshares, Inc. Clayton MO Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 

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

2 4/24/2009 York Traditions Bank York PA Preferred Stock w/ Exercised Warrants 4,871,000 $ Par 2 4/24/2009 Grand Capital Corporation Tulsa OK Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2 4/24/2009 Allied First Bancorp, Inc. Oswego IL Preferred Stock w/ Exercised Warrants 3,652,000 $ Par 

11/24/2009 4 $ 

10/6/2010 4 $ 

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

2 5/1/2009 CenterBank Milford OH Preferred Stock w/ Exercised Warrants 2,250,000 $ Par 2 5/1/2009 Georgia Primary Bank Atlanta GA Preferred Stock w/ Exercised Warrants 4,500,000 $ Par 

2 5/1/2009 Union Bank & Trust Company Oxford NC Preferred Stock w/ Exercised Warrants 3,194,000 $ Par 2 5/1/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

8 5/1/2009 OSB Financial Services, Inc. Orange TX Subordinated Debentures w/ Exercised Warrants $ Par 6,100,000

8 5/1/2009 Security State Bank Holding-Company Jamestown ND Subordinated Debentures w/ Exercised Warrants $ Par 10,750,000

2, 13 - 

8/31/2010 5/8/2009 Highlands Bancorp, Inc. (Highlands State Bank) Vernon NJ Preferred Stock w/ Exercised Warrants 3,091,000 $ Par 

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

2 5/8/2009 Gateway Bancshares Inc Ringgold GA Preferred Stock w/ Exercised Warrants $ 6 000 000 Par

$ Par 3,000,000 

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

Subordinated Debentures w/ Exercised Warrants

2 5/8/2009 Gateway Bancshares, Inc. Ringgold GA Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 

8 5/8/2009 Freeport Bancshares, Inc. Freeport IL Subordinated Debentures w/ Exercised Warrants $ Par 3,000,000

8 5/8/2009 Investors Financial Corporation of Pettis County, Inc. Sedalia MO Subordinated Debentures w/ Exercised Warrants $ Par 4,000,000

8 5/8/2009 Sword Financial Corporation Horicon WI Subordinated Debentures w/ Exercised Warrants $ Par 13,644,000

3, 8, 30 - 

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

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

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

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

3, 8, 30 - 

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

8 5/15/2009 Boscobel Bancorp, Inc Boscobel WI Subordinated Debentures w/ Exercised Warrants $ Par 5,586,000

8 5/15/2009 Brogan Bankshares, Inc. Kaukauna WI Subordinated Debentures w/ Exercised Warrants $ Par 2,400,000

8 5/15/2009 Riverside Bancshares, Inc. Little Rock AR Subordinated Debentures w/ Exercised Warrants $ Par 1,100,000

8 5/15/2009 Deerfield Financial Corporation Deerfield WI Subordinated Debentures w/ Exercised Warrants $ Par 2,639,000

8 5/15/2009 Market Street Bancshares, Inc. Mt. Vernon IL Subordinated Debentures w/ Exercised Warrants $ Par 20,300,0002 5/22/2009 The Landrum Company Columbia MO Preferred Stock w/ Exercised Warrants 15,000,000 $ Par 2 5/22/2009 First Advantage Bancshares Inc. Coon Rapids MN Preferred Stock w/ Exercised Warrants 1,177,000 $ Par 2 5/22/2009 Fort Lee Federal Savings Bank Fort Lee NJ Preferred Stock w/ Exercised Warrants 1,300,000 $ Par 2 5/22/2009 Blackridge Financial, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 5,000,000 $ Par 

2 5/22/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 6,272,000 5/22/2009 Illi i St t B I Chi IL P f d St k / E i d W t $ Par 6 272 000 P

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 5/22/2009 Commonwealth Bancshares, Inc. Louisville KY Subordinated Debentures w/ Exercised Warrants $ Par 20,400,000

8 5/22/2009 Premier Financial Corp Dubuque IA Subordinated Debentures w/ Exercised Warrants $ Par 6,349,000

8 5/22/2009 F & C Bancorp, Inc. Holden MO Subordinated Debentures w/ Exercised Warrants $ Par 2,993,000

8 5/22/2009 Diamond Bancorp, Inc. Washington MO Subordinated Debentures w/ Exercised Warrants $ Par 20,445,0008 5/22/2009 United Bank Corporation Barnesville GA Subordinated Debentures w/ Exercised Warrants $ Par 14,400,000

5/29/2009 Community Bank Shares of Indiana, Inc. New Albany IN Preferred Stock w/ Warrants 19,468,000 $ Par 

2 5/29/2009 American Premier Bancorp Arcadia CA Preferred Stock w/ Exercised Warrants 1,800,000 $ Par 
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

2 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 5/29/2009 Two Rivers Financial Group Burlington IA Preferred Stock w/ Exercised Warrants 12,000,000 $ Par 8 5/29/2009 Fidelity Bancorp, Inc Baton Rouge LA Subordinated Debentures w/ Exercised Warrants $ Par 3,942,000

8 5/29/2009 Chambers Bancshares, Inc. Danville AR Subordinated Debentures w/ Exercised Warrants $ Par 19,817,0002 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 $ Par 17,969,000

8, 10 6/5/2009 OneFinancial Corporation Little Rock AR Subordinated Debentures w/ Exercised Warrants $ Par 17,300,000

2 6/12/2009 Berkshire Bancorp, Inc. Wyomissing PA Preferred Stock w/ Exercised Warrants 2,892,000 $ Par 

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 $ 

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 6/12/2009 Enterprise Financial Services Group, Inc. Allison Park PA Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 

8, 10 6/12/2009 First Financial Bancshares, Inc. Lawrence KS Subordinated Debentures w/ Exercised Warrants $ Par 3,756,000

8 6/12/2009 River Valley Bancorporation, Inc. Wausau WI Subordinated Debentures w/ Exercised Warrants $ Par 15,000,0002 6/19/2009 Merchants and Manufacturers Bank Corporation Joliet IL Preferred Stock w/ Exercised Warrants 3,510,000 $ Par 

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 $ Par 2,639,000

S b di t d D b t / E i d 8, 10 6/19/2009 Biscayne Bancshares, Inc. Coconut Grove FL Subordinated Debentures w/ Exercised Warrants $ Par 6,400,000

8 6/19/2009 Duke Financial Group, Inc. Minneapolis MN Subordinated Debentures w/ Exercised Warrants $ Par 12,000,0008 6/19/2009 Farmers Enterprises, Inc. Great Bend KS Subordinated Debentures w/ Exercised Warrants $ Par 12,000,0008 6/19/2009 Century Financial Services Corporation Santa Fe NM Subordinated Debentures w/ Exercised Warrants $ Par 10,000,0008 6/19/2009 NEMO Bancshares Inc. Madison MO Subordinated Debentures w/ Exercised Warrants $ Par 2,330,000

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 $ 

8 6/19/2009 Suburban Illinois Bancorp, Inc. Elmhurst IL Subordinated Debentures w/ Exercised Warrants $ Par 15,000,000

6/26/2009 Hartford Financial Services Group, Inc. Hartford CT Preferred Stock w/ Warrants 3,400,000,000 $ Par 3/31/2010 4 $ 

2 6/26/2009 Fidelity Resources Company Plano TX Preferred Stock w/ Exercised Warrants 3,000,000 $ Par 

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 $ 

2 6/26/2009 First Alliance Bancshares, Inc. Cordova TN Preferred Stock w/ Exercised Warrants 3,422,000 $ Par 2 6/26/2009 Gulfstream Bancshares, Inc. Stuart FL Preferred Stock w/ Exercised Warrants 7,500,000 $ Par 

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 $ 

2 6/26/2009 Metropolitan Bank Group, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 71,526,000 $ Par 2 6/26/2009 NC Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants 6,880,000 $ 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 $ Par 24,900,000

8 6/26/2009 Signature Bancshares, Inc. Dallas TX Subordinated Debentures w/ Exercised Warrants $ Par 1,700,000

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

Warrants $ Par 35,000,000 Warrants

8 6/26/2009 Alliance Financial Services Inc. Saint Paul MN Subordinated Debentures w/ Exercised Warrants $ Par 12,000,000

7/10/2009 Lincoln National Corporation Radnor PA Preferred Stock w/ Warrants 950,000,000 $ Par 6/30/2010 4 $ 

2, 10 7/10/2009 Bancorp Financial, Inc. Oak Brook IL Preferred Stock w/ Exercised Warrants 13,669,000 $ Par 

2 7/17/2009 Brotherhood Bancshares, Inc. Kansas City KS Preferred Stock w/ Exercised Warrants 11,000,000 $ Par 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 $ Par 50,000,0008 7/17/2009 Great River Holding Company Baxter MN Subordinated Debentures w/ Exercised Warrants $ Par 8,400,000

8, 10 7/17/2009 Plato Holdings Inc. Saint Paul MN Subordinated Debentures w/ Exercised Warrants $ Par 2,500,000
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

7/24/2009 Yadkin Valley Financial Corporation Elkin NC Preferred Stock w/ Warrants 13,312,000 $ Par 

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 $ Par 50,000,000

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

8, 10 7/31/2009 Financial Services of Winger, Inc. Winger MN Subordinated Debentures w/ Exercised Warrants $ Par 3,742,000

2 8/7/2009 The ANB Corporation Terrell TX Preferred Stock w/ Exercised Warrants 20,000,000 $ Par 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 Prarie 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 $ Par 5,000,000

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

2 8/28/2009 First Guaranty Bancshares, Inc. Hammond LA Preferred Stock w/ Exercised Warrants 20,699,000 $ Par 

2, 10 8/28/2009 CoastalSouth Bancshares, Inc. Hilton Head Island SC Preferred Stock w/ Exercised Warrants 16,015,000 $ Par 8, 10 8/28/2009 TCB Corporation Greenwood SC Subordinated Debentures w/ Exercised Warrants $ Par 9,720,0008, 10 9/4/2009 The State Bank of Bartley Bartley NE Subordinated Debentures w/ Exercised Warrants $ Par 1,697,000

9/11/2009 Pathfinder Bancorp, Inc. Oswego NY Preferred Stock w/ Warrants 6,771,000 $ Par 

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 $ 

2, 10 9/11/2009 Heartland Bancshares, Inc. Franklin IN Preferred Stock w/ Exercised Warrants 7,000,000 $ Par 2, 10 9/11/2009 PFSB Bancorporation, Inc. Pigeon Falls WI Preferred Stock w/ Exercised Warrants 1,500,000 $ Par 

8, 30 - 9/11/2009 Fi t E l B h I H Pk IL Subordinated Debentures w/ Exercised $ 7 500 000 P 9/17/2010 4 $ 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 $ 

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 2, 10 9/25/2009 Heritage Bankshares, Inc. Norfolk VA Preferred Stock w/ Exercised Warrants 10,103,000 $ Par 

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 $ Par 2,443,320

3, 8, 30 - 

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

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

8, 10 9/25/2009 Steele Street Bank Corporation Denver CO Subordinated Debentures w/ Exercised Warrants $ Par 11,019,000

10/2/2009 Premier Financial Bancorp, Inc. Huntington WV Preferred Stock w/ Warrants 22,252,000 $ Par 

2, 10 10/2/2009 Providence Bank Rocky Mount NC Preferred Stock w/ Exercised Warrants 4,000,000 $ Par 2, 10 10/23/2009 Regents Bancshares, Inc. Vancouver WA Preferred Stock w/ Exercised Warrants 12,700,000 $ Par 

8 10/23/2009 Cardinal Bancorp II, Inc. Washington MO Subordinated Debentures w/ Exercised Warrants $ Par 6,251,000

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

2, 10a 10/30/2009 WashingtonFirst Bankshares, Inc. Reston VA Preferred Stock $ Par 6,842,0002, 10a 11/6/2009 F & M Bancshares, Inc. Trezevant TN Preferred Stock $ Par 3,535,000

2, 10 11/13/2009 Fidelity Federal Bancorp Evansville IN Preferred Stock w/ Exercised Warrants $ Par 6,657,0008, 10 11/13/2009 Community Pride Bank Corporation Ham Lake MN Subordinated Debentures w/ Exercised Warrants $ Par 4,400,000

2, 10a 11/13/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ Par 5,000,000

2, 10 11/20/2009 Presidio Bank San Francisco CA Preferred Stock w/ Exercised Warrants $ Par 10,800,000

2 11/20/2009 McLeod Bancshares, Inc. Shorewood MN Preferred Stock w/ Exercised Warrants $ Par 6,000,000

2, 10a 11/20/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock $ Par 2,348,0003, 10a 12/4/2009 Broadway Financial Corporation Los Angeles CA Preferred Stock $ Par 6,000,000

2 12/4/2009 Delmar Bancorp Delmar MD Preferred Stock w/ Exercised Warrants $ Par 9,000,000

2, 10 12/4/2009 Liberty Bancshares, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants $ Par 6,500,000

2 12/11/2009 First Community Financial Partners, Inc. Joliet IL Preferred Stock w/ Exercised Warrants $ Par 22,000,000

2 10 ,12/11/2009 12/11/2009 W h tt Fi i l S i I Wachusett Financial Services, Inc. Cli t n on MA Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $ 12 000 000 12,000,000 Par 

8 12/11/2009 Nationwide Bankshares, Inc. West Point NE Subordinated Debentures w/ Exercised Warrants $ Par 2,000,000

2, 10a 12/11/2009 GrandSouth Bancorporation Greenville SC Preferred Stock $ Par 6,319,000

2, 10a 12/11/2009 1st Enterprise Bank Los Angeles CA Preferred Stock $ Par 6,000,000

2, 10a 12/11/2009 First Resource Bank Exton PA Preferred Stock $ Par 2,417,000

2, 10a 12/11/2009 First Western Financial, Inc. Denver CO Preferred Stock $ Par 11,881,0002, 10a 12/11/2009 Meridian Bank Devon PA Preferred Stock $ Par 6,335,000

2, 10a 12/11/2009 The Victory Bancorp, Inc. Limerick PA Preferred Stock w/ Exercised Warrants 1,505,000 $ Par 

2, 10a 12/11/2009 First Business Bank, N.A. San Diego CA Preferred Stock $ Par 2,032,000

2 12/18/2009 Layton Park Financial Group Milwaukee WI Preferred Stock w/ Exercised Warrants $ Par 3,000,000

2, 10 12/18/2009 Centric Financial Corporation Harrisburg PA Preferred Stock w/ Exercised Warrants $ Par 6,056,000

2 12/18/2009 Valley Financial Group, Ltd., 1st State Bank Saginaw MI Preferred Stock w/ Exercised Warrants $ Par 1,300,000

2, 10a 12/18/2009 Cache Valley Banking Company Logan UT Preferred Stock $ Par 4,640,000
Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 

Footnote Purchase Date 

Seller Purchase Details Capital Repay

Capital 

Repayment Date

2, 10a 12/18/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock $ Par 1,744,000

2, 10a 12/18/2009 First Priority Financial Corp. Malvern PA Preferred Stock $ Par 4,596,000

2, 10a 12/18/2009 Northern State Bank Closter NJ Preferred Stock $ Par 1,230,000

2, 10a 12/18/2009 Union Bank & Trust Company Oxford NC Preferred Stock $ Par 2,997,000

2, 10 12/22/2009 First Freedom Bancshares, Inc. Lebanon TN Preferred Stock w/ Exercised Warrants $ Par 8,700,000

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, 10a, 13 - 

8/31/2010 12/22/2009 Highlands Bancorp, Inc. (Highlands State Bank) Vernon NJ Preferred Stock 2,359,000 $ Par 

2, 10a 12/22/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants $ Par 9,698,000

2, 10a 12/22/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants $ Par 3,500,000

2, 10a 12/22/2009 TriSummit Bank Kingsport TN Preferred Stock $ Par 4,237,000

2, 10 12/29/2009 Atlantic Bancshares, Inc. Bluffton SC Preferred Stock w/ Exercised Warrants $ Par 2,000,000

2, 10 12/29/2009 Union Financial Corporation Albuquerque NM Preferred Stock w/ Exercised Warrants $ Par 2,179,000

2 12/29/2009 Mainline Bancorp, Inc. Ebensburg PA Preferred Stock w/ Exercised Warrants $ Par 4,500,000

8, 10 12/29/2009 FBHC Holding Company Boulder CO Subordinated Debentures w/ Exercised Warrants $ Par 3,035,000

2, 10a 12/29/2009 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock $ Par 4,567,000

2, 10a 12/29/2009 DeSoto County Bank Horn Lake MS Preferred Stock $ Par 1,508,000

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, 10a 12/29/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock $ Par 3,262,000

2, 10a 12/29/2009 CBB Bancorp Cartersville GA Preferred Stock $ Par 1,753,000

2, 10a 12/29/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ Par 4,000,000

Total Purchase Amount * 204,940,341,320 $ 

Total Repaid ** $ 

$ 

$ 

Notes appear on the following page.

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.** Total repaid includes (i) the amount of $13,354,158,535 applied as repayment under the Capital Purchase Program from the total proceeds of $16,368,709,569 received pursuant to the sales of Citigroup, Inc. common stock a

and (ii) the amount of $363,290,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on fo*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury ha

bankruptcy proceedings (see Notes 14 and 25).  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).

Losses** *

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

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 pendi1b/ 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 gross disposition proceeds from CPwarrants 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.15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a s5/ Redemption pursuant to a qualified equity offering.6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.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.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 enterePreferred 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 Commto 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.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 Po

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 

14/ As of the date of this report, this institution is in bankruptcy proceedings. 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 217/ 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 tru18/ 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 exchange19/ 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 investme

MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.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-Corporatio22/ 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 initiafulfillment by Independent 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 p

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 Preferr5/18/2010.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 

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 endin23, 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 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 at the market price. 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 t

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 teconversion 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 converted into 378,750,000 shares of common st25/ As of the date of this report, the banking subsidiary of this institution has been placed in receivership and the subsidiary's assets and liabilities were ordered to be sold to another bank.25a/ As of the date of this report, this institution has been placed in receivership and the assets and liabilities were ordered to be sold to another bank.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 t

into on 9/24/2010.33/ Treasury entered into an agreement as of 10/29/2010 with Community Bancorp LLC for the sale of all Preferred Stock and Warrants issued by Cadence Financial Corporation to Treasury for an aggregate purchase prithe fulfillment of certain closing conditions.34/ On 11/5/2010, Treasury entered into an agreement with The Bank of Currituck (“Currituck”) pursuant to which Treasury agreed to sell to Currituck all Preferred Stock (including the Preferred Stock received upon the exsubject to the fulfillment of certain closing conditions.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 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 First BanCorp of certain conditions, including those related to its capital plan, the MCP may be converted to common stock. First BanCorp has agreed to have Treasury observers attend board of directors meetings.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 $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 

attend board of directors meetings.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 CD

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 amou31/ 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 

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. 
Pricing Mechanism5 Number of Shares Proceeds6

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 - 

12/31/2010

4

Total Proceeds: $16,368,709,569

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, 

common stock from time to time during the period ending on June 30 2010 (or upon completion of the sale) Completion of the sale 4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agecommon stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale).5/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course o6/ Amount represents the gross proceeds to Treasury.common stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale 

2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, common stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale 3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale und
Name of Institution City State Investment Description Amount from CPP Additional 

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 

14,000,000 $ 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 

11,926,000 $ 

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 

11,000,000 $ 

1 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 

6,784,000 $ 

1 8/13/2010 Citizens Bancshares Corporation Atlanta GA Preferred Stock $ 

7,462,000 $ 

2a 9/17/2010 Preferred Stock $ 

- $ 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 

3,000,000 $ 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 

17,000,000 $ 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 

2,795,000 $ 

1 8/20/2010 Mission Valley Bancorp Sun Valley CA Preferred Stock $ 

5,500,000 $ 

2a 9/24/2010 Preferred Stock $ 

- $ 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 

11,735,000 $ 

1 8/27/2010 Carver Bancorp, Inc New York NY Preferred Stock $ 

18,980,000 $ 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ 

- $ 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 

10,300,000 $ 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 

6,000,000 $ 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 

4,205,000 $ 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ 

- $ 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ 

- $ 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ 

- $ 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ 

- $ 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 

7,875,000 $ 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 

5,645,000 $ 

1 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 

5,146,000 $ 

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ 

- $ 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ 

- $ 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ 

- $ 

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ 

- $ 

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ 

- $ 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ 

- $ 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ 

- $ 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ 

- $ 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ 

- $ 

9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ 

- $ 

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ 

- $ 

9/24/2010 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA Subordinated Debentures $ 

- $ 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ 

- $ 

9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ 

- $ 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ 

- $ 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ 

- $ 

9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ 

- $ 

9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ 

- $ 

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ 

- $ 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ 

- $ 

9/24/2010 9/24/2010 Northeast Communit Northeast Community Federal Credit Union Federal Credit Union San Francisco San Francisco CA Subordinated Debentures Subordinated Debentures $ 

- $ 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ 

- $ 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 

18,000,000 $ 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 

1,747,000 $ 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 

5,000,000 $ 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 

50,400,000 $ 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 

30,000,000 $ 

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 

15,750,000 $ 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 

4,551,000 $ 

1 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 

9,734,000 $ 

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 

54,600,000 $ 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 

6,245,000 $ 
Name of Institution City State Investment Description Amount from CPP Additional 

Footnote Purchase Date 

Seller Purchase Details 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 

17,910,000 $ 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ 

- $ 

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ 

- $ 

9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ 

- $ 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ 

- $ 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ 

- $ 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ 

- $ 

9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ 

- $ 

9/29/2010 UNITEHERE Federal Credit Union (Workers United Federal Credit Union) New York NY Subordinated Debentures $ 

- $ 

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ 

- $ 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ 

- $ 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ 

- $ 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ 

- $ 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ 

- $ 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ 

- $ 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ 

- $ 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ 

- $ 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ 

- $ 

9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ 

- $ 

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ 

- $ 

9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ 

- $ 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ 

- $ 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ 

- $ 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ 

- $ 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ 

- $ 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ 

- $ 

Total Purc

TOTAL TREASURY 

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under th2/ 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.
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised Warrants $ Par 12/30/2009 5,000,000,000 Exchange for convertible preferred stock $ N/A GMAC 

5,000,000,000 

GMAC 

GMAC GMAC 

12/30/2009 Purchase GMAC Trust Preferred Securities w/ Exercised Warrants $ Par 2,540,000,00012/30/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ Par 22 1,250,000,00012/29/2008 Purchase General Motors Corporation Debt Obligation 884,024,131 $ Par 2 5/29/2009 Exchange for equity interest in GMAC $ N/A 884,024,131 3

7/10/2009 Exchange for preferred and common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 2,000,000,000 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 

Transaction Type Seller Description Amount

Pricing 

Mechanism Date

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury I

City, State Date 

Type Amount 

Pricing 

Mechanism Obligor 

N/A

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ 13,400,000,000

$ Par 22 12/30/2009 7,500,000,000 Partial exchange for common stock $ 3,000,000,000

GMAC Detroit, MI

5/21/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants5/20/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ 4,000,000,000

Par

7

General Motors Company

5/27/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ 360,624,198

Par 5 7/10/2009 Exchange for preferred and common stock in New GM $ 4,000,000,000 N/A

7 General Motors Holdings LLC Par 6 7/10/2009 

Exchange for preferred and common stock in New GM $ 360,624,198 N/A

6/3/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 30,100,000,000 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM 7,072,488,605 $ N/A 97/10/2009 Debt left at Old GM 985,805,085 $ N/A 9 Motors Liquidatio

Company 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional Note $ Par 1,500,000,000 13 

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 6/10/2009 4,000,000,000 Transfer of debt to New Chrysler $ N/A 500,000,000 19 Chrysler Holding 

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 280,130,642 15 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ 1,888,153,580 16 4/30/2010 (1,888,153,580) $ N/A 23 Old Carco Liquidation Trust 

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ - - 17 

5/27/2009 Purchase New Chrysler Debt Obligation w/ Additional Note, Equity $ N/A 6,642,000,000 18 6/10/2009 Issuance of equity in New Chrysler $ N/A - Chrysler Group LLC 

Chrysler Group LLC 

Total Initial Investment 

A t $ 81 344 932 551 

Chrysler Auburn Hills, MI

Completion of bankruptcy proceeding; transfer of collateral security to liquidation trust

Chrysler 

FinCo

Farmington 

Hills, MI

Amount $ 81,344,932,551 

Total Treasury Investment 

Amount $ 53,559

Footnotes appear on following page.
"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)."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.As used in this table and its footnotes:"GMAC" refers to GMAC Inc., formerly known as GMAC LLC.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 prin

7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian governmen

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 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 

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 un4. 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.

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 

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 

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 

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 date

and accrued and unpaid interest) of Chrysler Holdco and upon receipt of such payment to terminate all such obligations11. 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 compa

"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amou14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 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-posses

principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.

City State

Adjustment 

Amount

6

7/8/2009 3 $ (500,000,00

7

$ 5,000,000,000 

and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

21. Amount of the Treasury investment after exchange includes the exercised warrants from Treasury's initial investment. 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. 

Investment 

Amount Pricing Mechanism

Adjustmen

Name of Institution

Adjustment 

Date

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 with

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 ooccurs after the proposed initial public offering.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 proc

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.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 1,500,000,000

Debt Obligation w/ Additional Note $ N/A 3,500,000,000

7/8/2009 3 $ (1,000,000,00

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreemen

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 exe3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

5/ All outstanding principal drawn under the credit agreement was repaid

N/A

INITIAL TOTAL ADJUSTED TOTAL 413,076,735 $ Total Repayments 413,076,73

$ 

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 

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 t
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining 

Capital Amount

Remaining Capital 

Description Final Disposition Date 3

Di

De

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

1/16/2009

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 W

TOTAL $ 40,000,000,000 $ 40,000,000,000 

$ 0

Date Name of Institution City State

2 6/9/2009

Exchange preferred stock for trust preferred securities

Trust Preferred Securities w/ Warrants 

4 9/29/2010

Exchange trust preferred securities for trust preferred securities

Trust Preferred Securities w/ Warrants $ 2,2

3 12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

TOTAL $ 0 

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, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issue

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Di

AMOUNT Total Warrant Procee

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 R

Stock, Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Description

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details 

Seller

Type Description Guarantee Limit Description Amount Footnote Date Type

1 1/16/2009 Citigroup Inc. New York NY Guarantee Master Agreement $ 5,000,000,000 Preferred Stock w/ Warrants

A

 $ 4,034,000,000 

 $ 4,0

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 R

Preferred Securities. 

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to 

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.
Name of Institution City State 

1 3/3/2009 TALF LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 

20,000,000,000

TOTAL $ 4,300,000,000

Seller 

Name of Institution City State 

Transaction 

Type Investment Description Investment Amount Pricing Mec

11/25/2008 AIG New York NY Purchase Preferred Stock w/ Warrants 40,000,000,000 $ Par 

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

TOTAL $ 69,835,000,000

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount

Pricing Me

N/A

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 w

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 $4,300,0

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions)

Footnote Date 

Purchase Details 

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 additioreflect the cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.2/ The investment price reflects Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.3/ This transaction does not include AIG's commitment fee of an additional $165 million scheduled to be paid from its operating income in three equal installments over the five-year life of the facility.
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 

2, 3

Senior Security 

Proceeds 4 Trade Dat

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 4,377,249 $ 2,184 $ 

3/19/2010 $ 7,617,617 109 - 3/24/2010 8,279,156 $ 4,130 $ 

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 8,716,265 $ 4,348 $ 

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 26,041,643 $ 12,983 $ 

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 9,598,523 $ 4,783 $ 

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 11,511,052 $ 5,741 $ 

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 14,151,229 $ 7,057 $ 5/11/2010 $ 8,744,333 110.798 - 6/30/2010 9,717,173 $ 4,844 $ 5/25/2010 $ 8,417,817 110.125 - 7/30/2010 9,294,363 $ 4,635 $ 5/25/2010 $ 17,119,972 109.553 - 7/30/2010 18,801,712 $ 9,377 $ 6/17/2010 $ 34,441,059 110.785 - 8/30/2010 38,273,995 $ 19,077 $ 6/17/2010 $ 28,209,085 112.028 - 8/30/2010 31,693,810 $ 15,801 $ 7/14/2010 $ 6,004,156 106.625 - 9/30/2010 6,416,804 $ 3,200 $ 7/14/2010 $ 6,860,835 108.505 - 9/30/2010 7,462,726 $ 3,722 $ 7/14/2010 $ 13,183,361 111.86 - 9/30/2010 14,789,302 $ 7,373 $ 7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 2,826,678 $ 1,408 $ 7/29/2010 $ 9,719,455 106.75 - 10/29/2010 10,394,984 $ 5,187 $ 

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 9,150,989 $ 4,561 $ 8/17/2010 $ 5,000,000 110.088 - 10/29/2010 5,520,652 $ 2,752 $ 8/17/2010 $ 10,000,000 110.821 - 10/29/2010 11,115,031 $ 5,541 $ 8/31/2010 $ 9,272,482 110.515 - 9/29/2010 10,277,319 $ 5,123 $ 8/31/2010 $ 10,350,000 112.476 - 10/29/2010 11,672,766 $ 5,820 $ 8/31/2010 $ 6,900,000 105.875 - 11/30/2010 7,319,688 $ 3,652 $ 9/14/2010 $ 8,902,230 111.584 - 10/29/2010 9,962,039 $ 4,966 $ 

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458

Floating Rate SBA 7a security due 2025 -Floating Rate SBA 7a security due 2022 -

SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE

SBA 7a Securities Purchase Program

Purchase Details 1 Settlement Details 

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2016 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2022 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2029 -Floating Rate SBA 7a security due 2033 -Floating Rate SBA 7a security due 2035 -Floating Rate SBA 7a security due 2033 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2025 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2017 -Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2024 -Floating Rate SBA 7a security due 2019 -Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020 -

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 6,134,172 $ 3,061 $ 9/14/2010 $ 5,741,753 110.5 - 11/30/2010 6,361,173 $ 3,172 $ 9/28/2010 $ 3,450,000 110.875 - 11/30/2010 3,834,428 $ 1,912 $ 

9/28/2010 $ 10,000,000 113.875 TBA 12/30/2010 11,420,447 $ 5,693 $ 9/28/2010 $ 13,402,491 113.9 - 11/30/2010 15,308,612 $ 7,632 $ 9/28/2010 $ 13,000,000 114.15625 TBA 12/30/2010 $ 14,882,516 $ 7,420

Total Purchase Face Amount $ 329,164,472 $ 364,247,276 * 

Floating Rate SBA 7a security due 2021 -Floating Rate SBA 7a security due 2029 -Floating Rate SBA 7a security due 2033 TBA*Floating Rate SBA 7a security due 2034 -Floating Rate SBA 7a security due 2026 -Floating Rate SBA 7a security due 2035 -

* Subject to adjustment

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 giving effect to factor and, if applicable, the purchase of accrued principal and interest.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 wi

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-mon

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 S

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 re

or remain outstanding with the terms and conditions as set forth in the Master Purchase Agreement.5/ Disposition Amount is stated after giving effect, if applicable, to sale of accrued principal and interest.

Floating Rate SBA 7a security due 2033 TBA*

 TOTAL INVESTMENT 

AMOUNT 

Total Senior Security Pro
Name of Institution City State Date Amount Date A

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 $ 4 

$ 

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 $ 4 

$ 

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 

$ 

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 $ 7/16/2010 1,

$ 

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,

$ 

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,

$ 

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,

$ 

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222, $ Par 3/22/2010 6 2,488,875,000 222,222 $ 7/16/2010 2,

$ 

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 

$ 

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

(Revised as of July 16, 2010)

Footnote Date

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Adjusted Investment 3 Final Investment 

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,

$ 

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ Par 3/22/2010 6 1,271,337,500 1,111,111,111 $ 7/16/2010 1,

$ 

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,

$ 

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 

$ 

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds 2,222,222 $ Par 3/22/2010 6 2,488,875,000 ,222 $ 7/16/2010 1,

$ 

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest 1,111,1 $ Par 3/22/2010 6 1,244,437,500 11,111 $ 7/16/2010 

$ 

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 

$ 

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,

$ 

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,

$ 

INITIAL INVESTMENT AMOUNT $ 30,000,000,000 FINAL INVESTMENT AMOUNT 

$ 22,

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 d

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.1/ The equity amount may be incrementally funded. Investment 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. Investment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.3/ Adjusted to show Treasury's maximum obligations to a fund.4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.5/ Profit after capital repayments will be paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in respect of their membership interests.
Servicer Modifying Borrowers' Loans

Name of Institution City State 

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 376,000,000 

4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications $ 2,071,000,000 

HOME AFFORDABLE MODIFICATION PROGRAM

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 2,873,000,000 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 

4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 

4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications $ 3,552,000,000 

4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 

Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 1,864,000,000 

4/17/2009 as 

amended on 

1/26/2010

4/17/2009 as 

amended on 

4/20/2009 Home Loan Services, Inc. Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 319,000,000 

amended on

1/26/2010

4/20/2009 Wilshire Credit Corporation Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 366,000,000 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications 156,000,000 $ 

4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financial Instrument for Home Loan Modifications 195,000,000 $ 

5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financial Instrument for Home Loan Modifications 798,000,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

5/28/2009 Nationstar Mortgage LLC Lewisville TX Purchase Financial Instrument for Home Loan Modifications 101,000,000 $ 

6/12/2009 Residential Credit Solutions Fort Worth TX Purchase Financial Instrument for Home Loan Modifications 19,400,000 $ 

6/17/2009 CCO Mortgage Glen Allen VA Purchase Financial Instrument for Home Loan Modifications 16,520,000 $ 6/17/2009 RG Mortgage Corporation San Juan PR Purchase Financial Instrument for Home Loan Modifications 57,000,000 $ 

6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications 770,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications 540,000 $ 

6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications 30,000 $ 6/26/2009 Technology Credit Union San Jose CA Purchase Financial Instrument for Home Loan Modifications 70,000 $ 6/26/2009 National City Bank Miamisburg OH Purchase Financial Instrument for Home Loan Modifications 294,980,000 $ 

7/1/2009 Wachovia Mortgage, FSB Des Moines IA Purchase Financial Instrument for Home Loan Modifications 634,010,000 $ 

7/1/2009 Bayview Loan Servicing LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44 260 000 7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44,260,000 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

7/10/2009 Lake National Bank Mentor OH Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

7/10/2009 IBM Southeast Employees' Federal Credit Union Delray Beach FL Purchase Financial Instrument for Home Loan Modifications 87 $ 

0,000 

7/17/2009 MorEquity, Inc. Evansville IN Purchase Financial Instrument for Home Loan Modifications 23,480,000 $ 

7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications 54,470,000 $ 

7/17/2009 Farmers State Bank West Salem OH Purchase Financial Instrument for Home Loan Modifications 170,000 $ 7/17/2009 ShoreBank Chicago IL Purchase Financial Instrument for Home Loan Modifications 1,410,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

7/22/2009 American Home Mortgage Servicing, Inc Coppell TX Purchase Financial Instrument for Home Loan Modifications 1,272,490,000 $ 

7/22/2009 Mortgage Center, LLC Southfield MI Purchase Financial Instrument for Home Loan Modifications 4,210,000 $ 

7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications 860,000 $ 

7/29/2009 First Bank St. Louis MO Purchase Financial Instrument for Home Loan Modifications 6,460,000 $ 7/29/2009 Purdue Employees Federal Credit Union West Lafayette IN Purchase Financial Instrument for Home Loan Modifications 1,090,000 $ 7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications 85,020,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

7/31/2009 J.P.Morgan Chase Bank, NA Lewisville TX Purchase Financial Instrument for Home Loan Modifications 2,699,720,000 $ 

7/31/2009 EMC Mortgage Corporation Lewisville TX Purchase Financial Instrument for Home Loan Modifications 707,380,000 $ 

8/5/2009 Lake City Bank Warsaw IN Purchase Financial Instrument for Home Loan Modifications 420,000 $ 

8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications 140,000 $ 

8/5/2009 HomEq Servicing North Highlands CA Purchase Financial Instrument for Home Loan Modifications 674,000,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

8/12/2009 Litton Loan Servicing LP Houston TX Purchase Financial Instrument for Home Loan Modifications 774,900,000 $ 8/12/2009 PennyMac Loan Services, LLC Calasbasa CA Purchase Financial Instrument for Home Loan Modifications 6,210,000 $ 8/12/2009 Servis One, Inc. Titusville PA Purchase Financial Instrument for Home Loan Modifications 29,730,000 $ 8/28/2009 OneWest Bank Pasadena CA Purchase Financial Instrument for Home Loan Modifications 668,440,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

8/28/2009 Stanford Federal Credit Union Palo Alto CA Purchase Financial Instrument for Home Loan Modifications 300,000 $ 8/28/2009 RoundPoint Mortgage Servicing Corporation Charlotte NC Purchase Financial Instrument for Home Loan Modifications 570,000 $ 

9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications 560,000 $ 

Vantium Capital, Inc.dba Acqura Loan Services Plano TX Purchase Financial Instrument for Home Loan Modifications 6,000,000 $ 

9/2/2009 as 

amended on 

8/27/2010

9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications 1,250, $ 

000 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications 114,220,000 $ 9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications 4,350,000 $ 

9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications 2,070,000 $ 

9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala FL Purchase Financial Instrument for Home Loan Modifications 250,000 $ 9/11/2009 Metropolitan National Bank Little Rock AR Purchase Financial Instrument for Home Loan Modifications 280,000 $ 9/11/2009 Franklin Credit Management Corporation Jersey City NJ Purchase Financial Instrument for Home Loan Modifications 27,510,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications 410,000 $ 

9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications 4,390,000 $ 

9/23/2009 Schools Financial Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications 390,000 $ 

9/23/2009 Glass City Federal Credit Union Maumee OH Purchase Financial Instrument for Home Loan Modifications 230,000 $ 

9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications 30,000 $ 9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications 240,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications 440,000 $ 

10/14/2009 Great Lakes Credit Union North Chicago IL Purchase Financial Instrument for Home Loan Modifications 570,000 $ 10/14/2009 Mortgage Clearing Corporation Tulsa OK Purchase Financial Instrument for Home Loan Modifications 4,860,000 $ 10/21/2009 United Bank Mortgage Corporation Grand Rapids MI Purchase Financial Instrument for Home Loan Modifications 410,000 $ 10/23/2009 Bank United Miami Lakes FL Purchase Financial Instrument for Home Loan Modifications 93,660,000 $ 10/23/2009 IC Federal Credit Union Fitchburg MA Purchase Financial Instrument for Home Loan Modifications 760,000 $ 10/28/2009 Harleysville National Bank & Trust Company Harleysville PA Purchase Financial Instrument for Home Loan Modifications 1,070,000 $ 

10/28/2009 Members Mortgage Company, Inc Woburn MA Purchase Financial Instrument for Home Loan Modifications 510,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

10/30/2009 DuPage Credit Union Naperville IL Purchase Financial Instrument for Home Loan Modifications 70,000 $ 

11/6/2009 Los Alamos National Bank Los Alamos NM Purchase Financial Instrument for Home Loan Modifications 700,000 $ 

11/18/2009 Quantum Servicing Corporation Tampa FL Purchase Financial Instrument for Home Loan Modifications 18,960,000 $ 11/18/2009 Hillsdale County National Bank Hillsdale MI Purchase Financial Instrument for Home Loan Modifications 1,670,000 $ 

11/18/2009 QLending, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications 20,000 $ 11/25/2009 Marix Servicing, LLC Phoenix AZ Purchase Financial Instrument for Home Loan Modifications 20,360,000 $ 

11/25/2009 Home Financing Center, Inc Coral Gables FL Purchase Financial Instrument for Home Loan Modifications 230,000 $ 11/25/2009 First Keystone Bank Media PA Purchase Financial Instrument for Home Loan Modifications 1,280,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

12/4/2009 Community Bank & Trust Company Clarks Summit PA Purchase Financial Instrument for Home Loan Modifications 380,000 $ 12/4/2009 Idaho Housing and Finance Association Boise ID Purchase Financial Instrument for Home Loan Modifications 9,430,000 $ 

12/9/2009 Spirit of Alaska Federal Credit Union Fairbanks AK Purchase Financial Instrument for Home Loan Modifications 360,000 $ 

12/9/2009 American Eagle Federal Credit Union East Hartford CT Purchase Financial Instrument for Home Loan Modifications 1,590,000 $ 12/9/2009 Silver State Schools Credit Union Las Vegas NV Purchase Financial Instrument for Home Loan Modifications 1,880,000 $ 12/9/2009 Fidelity Homestead Savings Bank New Orleans LA Purchase Financial Instrument for Home Loan Modifications 2,940,000 $ 

12/9/2009 Bay Gulf Credit Union Tampa FL Purchase Financial Instrument for Home Loan Modifications 230,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

12/9/2009 The Golden 1 Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications 6,160,000 $ 

12/9/2009 Sterling Savings Bank Spokane WA Purchase Financial Instrument for Home Loan Modifications 2,250,000 $ 

12/11/2009 HomeStar Bank & Financial Services Manteno IL Purchase Financial Instrument for Home Loan Modifications 310,000 $ 12/11/2009 Glenview State Bank Glenview IL Purchase Financial Instrument for Home Loan Modifications 370,000 $ 12/11/2009 Verity Credit Union Seattle WA Purchase Financial Instrument for Home Loan Modifications 600,000 $ 12/11/2009 Hartford Savings Bank Hartford WI Purchase Financial Instrument for Home Loan Modifications 630,000 $ 

12/11/2009 The Bryn Mawr Trust Co. Bryn Mawr PA Purchase Financial Instrument for Home Loan Modifications 150,000 $ 

12/16/2009 Citizens 1st National Bank Spring Valley IL Purchase Financial Instrument for Home Loan Modifications 620,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

12/16/2009 Golden Plains Credit Union Garden City KS Purchase Financial Instrument for Home Loan Modifications 170,000 $ 

12/16/2009 First Federal Savings and Loan Association of Lakewood Lakewood OH Purchase Financial Instrument for Home Loan Modifications 3,460,000 $ 12/16/2009 Sound Community Bank Seattle WA Purchase Financial Instrument for Home Loan Modifications 440,000 $ 12/16/2009 Horizon Bank, NA Michigan City IN Purchase Financial Instrument for Home Loan Modifications 700,000 $ 12/16/2009 Park View Federal Savings Bank Solon OH Purchase Financial Instrument for Home Loan Modifications 760,000 $ 12/23/2009 Iberiabank Sarasota FL Purchase Financial Instrument for Home Loan Modifications 4,230,000 $ 12/23/2009 Grafton Suburban Credit Union North Grafton MA Purchase Financial Instrument for Home Loan Modifications 340,000 $ 12/23/2009 Eaton National Bank & Trust Company Eaton OH Purchase Financial Instrument for Home Loan Modifications 60,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

12/23/2009 Tempe Schools Credit Union Tempe AZ Purchase Financial Instrument for Home Loan Modifications 110,000 $ 

1/13/2010 Fresno County Federal Credit Union Fresno CA Purchase Financial Instrument for Home Loan Modifications 260,000 $ 

1/13/2010 Roebling Bank Roebling NJ Purchase Financial Instrument for Home Loan Modifications 240,000 $ 1/13/2010 First National Bank of Grant Park Grant Park IL Purchase Financial Instrument for Home Loan Modifications 140,000 $ 1/13/2010 Specialized Loan Servicing, LLC Highlands Ranch CO Purchase Financial Instrument for Home Loan Modifications 64,150,000 $ 

1/13/2010 Greater Nevada Mortgage Services Carson City NV Purchase Financial Instrument for Home Loan Modifications 770,000 $ 

1/15/2010 Digital Federal Credit Union Marlborough MA Purchase Financial Instrument for Home Loan Modifications 3,050,000 $ 

1/29/2010 iServe Residential Lending, LLC San Diego CA Purchase Financial Instrument for Home Loan Modifications 960,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

1/29/2010 United Bank Griffin GA Purchase Financial Instrument for Home Loan Modifications 540,000 $ 

3/3/2010 Urban Trust Bank Lake Mary FL Purchase Financial Instrument for Home Loan Modifications 1,060,000 $ 

3/5/2010 iServe Servicing, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications 28,040,000 $ 

3/10/2010 Navy Federal Credit Union Vienna VA Purchase Financial Instrument for Home Loan Modifications 60,780,000 $ 

3/10/2010 Vist Financial Corp Wyomissing PA Purchase Financial Instrument for Home Loan Modifications 300,000 $ 

4/14/2010 Midwest Bank and Trust Co. Elmwood Park IL Purchase Financial Instrument for Home Loan Modifications 300,000 $ 

4/14/2010 Wealthbridge Mortgage Corp Beaverton OR Purchase Financial Instrument for Home Loan Modifications 6,550,000 $ 5/21/2010 Aurora Financial Group, Inc. Marlton NJ Purchase Financial Instrument for Home Loan Modifications 10,000 $ 

6/16/2010 Selene Financial, L.P. Houston TX Transfer Financial Instrument for Home Loan Modifications - $ 

8/4/2010 Suburban Mortgage Company of New Mexico Albuquerque NM Purchase Financial Instrument for Home Loan Modifications 880,000 $ 

8/20/2010 Bramble Savings Bank Cincinanati OH Purchase Financial Instrument for Home Loan Modifications 700,000 $ 

8/25/2010 Pathfinder Bank Oswego NY Purchase Financial Instrument for Home Loan Modifications 1,300,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

8/27/2010 First Financial Bank, N.A. Terre Haute ID Purchase Financial Instrument for Home Loan Modifications 4,300,000 $ 

9/1/2010 RBC Bank (USA) Raleigh NC Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/3/2010 Fay Servicing, LLC Chicago IL Purchase Financial Instrument for Home Loan Modifications 3,100,000 $ 

9/15/2010 Vericret Financial, Inc. Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications - $ 

9/15/2010 Midwest Community Bank Freeport IL Purchase Financial Instrument for Home Loan Modifications 400,000 $ 

9/24/2010 American Finance House LARIBA Pasadena CA Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/24/2010 Centrue Bank Ottawa IL Purchase Financial Instrument for Home Loan Modifications 1,900,000 $ 

9/30/2010 AgFirst Farm Credit Bank Columbia SC Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 Amarillo National Bank Amarillo TX Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 American Financial Resources Inc. Parsippany NJ Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 Banco Popular de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications 1,700,000 $ 

p $ , , 

9/30/2010 Capital International Financial, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/24/2010 Citizens Community Bank Freeburg IL Purchase Financial Instrument for Home Loan Modifications 800,000 $ 

9/30/2010 Community Credit Union of Florida Rockledge FL Purchase Financial Instrument for Home Loan Modifications 2,000,000 $ 

9/30/2010 CU Mortgage Services, Inc. New Brighton MN Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 First Federal Bank of Florida Lake City FL Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 First Mortgage Coporation Diamond Bar CA Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 First Safety Bank Cincinnati OH Purchase Financial Instrument for Home Loan Modifications 400,000 $ 

9/30/2010 Flagstar Capital Markets Corporation Troy MI Purchase Financial Instrument for Home Loan Modifications 800,000 $ 

9/30/2010 Franklin Savings Cincinnati OH Purchase Financial Instrument for Home Loan Modifications 1,700,000 $ 

9/30/2010 Gateway Mortgage Group, LLC Tulsa OK Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 GFA Federal Credit Union Gardner MA Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 Guaranty Bank Saint Paul MN Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/24/2010 James B. Nutter & Company Kansas City MO Purchase Financial Instrument for Home Loan Modifications 300,000 $ 

9/30/2010 Liberty Bank and Trust Co New Orleans LA Purchase Financial Instrument for Home Loan Modifications 1,000,000 $ 

9/30/2010 M&T Bank Buffalo NY Purchase Financial Instrument for Home Loan Modifications 700,000 $ 

9/30/2010 Magna Bank Germantown TN Purchase Financial Instrument for Home Loan Modifications 1,400,000 $ 

9/30/2010 Mainstreet Credit Union Lexena KS Purchase Financial Instrument for Home Loan Modifications 500,000 $ 

9/30/2010 Marsh Associates, Inc. Charlotte NC Purchase Financial Instrument for Home Loan Modifications 100,000 $ 
Servicer Modifying Borrowers' Loans

Name of Institution City State 

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers and 

to Servicers & 

P

Me

9/30/2010 Midland Mortgage Compnay Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications 43,500,000 $ 

9/30/2010 Schmidt Mortgage Company Rocky River OH Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 Stockman Bank of Montana Miles City MT Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

9/30/2010 University First Federal Credit Union Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications 600,000 $ 

9/30/2010 Weststar Mortgage, Inc. Woodbridge VA Purchase Financial Instrument for Home Loan Modifications 100,000 $ 

Total Initial Cap $ 23,831,570,000 

TOTAL CAP 

7/ Initial cap amount includes FHA-2LP.1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to serviceThe Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Deta2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation. 3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger. 4/ Initial cap amount includes FHA-HAMP.5/ Initial cap amount includes RD-HAMP.6/ Initial cap amount includes 2MP.

8/ Initial cap does not include HAMP"HPDP" means the Home Price Decline Protection program."2MP" means the Second Lien Modification Program."RD-HAMP" means the Rural Housing Service Home Affordable Modification Program."FHA-2LP" means the FHA Second Lien Program8/ Initial cap does not include HAMP.

9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modificatio

10/ The amendment reflects a change in the legal name of the institution.As used in this table:"HAFA" means the Home Affordable foreclosure Alternatives program.
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

Housing Finance Agency Innovation Fund for the Hardest Hit Housing 

Hardest Hit Funds (HHF) Program

Note Date

Seller Transaction 

Type Investment Desc

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HH

2 9/23/2010 Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HH

3 9/29/2010 9/ 9/ 0 0 Purchase Financial Instrument for HH

u c ase a c a st u e t o 

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH
Note Date Name of Institution City State

Seller Transaction 

Type Investment Desc

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HH

3 9/29/2010 Purchase Financial Instrument for HH

1/ The purchase will be incrementally funded up to the investment amount.2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase

Facility Purchase Agreement, dated as of September 3, 2010, between the U.S. Department of the Treasury and Citibank, N.A $ 

TOTAL $ 

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which a

up to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refina

time during the first 2.5 years. At that time, the amount of the L/C will be capped at the then-current level. Under the terms of the L/C Facility Agreement, Treasury maximum amount of $117 million.

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(E)]

For Period Ending November 30, 2010

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance contracts 

entered into under the provisions of section 102 of the EESA; 

and the single insurance contract with Citigroup was 

terminated on December 23, 2009.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(3)(F)]

For Period Ending November 30, 2010

Type of Expense Amount

Compensation for financial agents 

and legal firms $342,041,026
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(3)(H)]

For Period Ending November 30, 2010

Date Vehicle Description

None