Troubled Asset Relief Program (TARP) 

Monthly 105(a) Report – February 2012 

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

Section 

Where are the TARP Funds?.................................................................................................................

Daily TARP Update Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal 

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

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

Capital Purchase Program 

Other Investment Programs..................................................................................................................

Investment in American International Group (AIG) 

Housing Programs..............................................................................................................................Appendix – Financial Statements..........................................................................................................

More information is available at FinancialStability.gov.

Table of Contents 
Monthly 105(a) Report 

 The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Acthan three years after the establishment of the TARP, we are making substantial progress in winding down the extrthat had to be provided during the crisis. Treasury has moved quickly to reduce the dependence of the financial syassistance and replace public support with private capital. As of today, taxpayers have recovered almost $259 billioprograms through repayments, dividends, interest, and other income – approximately $14 billion more than the $24banks. By any objective standards, the Troubled Asset Relief Program has worked: it helped stop widespread financial pa

what could have been a devastating collapse of our financial system, and it did so at a cost that is far less than whaat the time the law was passed. 

Where are the TARP Funds?1This report contains two charts that provide a complete picture of how TARP funds have been used, the extent to wreturned, and how much the program will cost. Figure 1: Daily TARP Update The first chart shows for each TARP program the amount of funds obligated, the amount actually disbursed, the reincome received and any losses. Thus, a reader can quickly see how much cash was disbursed under a particular much cash has come back to Treasury. These amounts do not represent lifetime cost estimates, which are shown The Daily Tarp Update is also available on FinancialStability.gov and is updated after every business day. http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/tarp-daily-summary-report/Pages/default.

Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on thThe second chart provides for each program within TARP the amount obligated, the amount disbursed, the outstan

the estimated lifetime cost. Estimated lifetime cost represents Treasury’s best estimate of what the program will ulttaxpayer. Estimated lifetime cost is calculated quarterly in conjunction with the Office of Management and Budget. the TARP investments are in publicly traded securities, we also provide additional information to help readers know those investments. This chart also shows the estimated lifetime cost of the additional investment by Treasury in AIG 

from the TARP investment. This chart utilizes the methodology that TARP has consistently used to estimate these lifetime costs including the rdiscount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and 

1 Numbers in text and tables in this report may not add because of rounding.

Where are the TARP Funds? 
Monthly 105(a) Report 

 specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to governguidance and includes investments and other disbursements expected to be made in the future and includes assum

future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budthe deficit impact of TARP and may differ from the official estimates presented in the President’s Budget the MidseBudget, and the report required in 2013 under Section 134 of EESA.Figure 1: Daily TARP Update for March 1, 2012 (through February 29, 2012) 

(*Dollars in Billions*)

Obligated Disbursed Repayments

Refinancing

to SBLF1 Write‐offs Realized Loss2 Outstanding Dividends3 Interest3

Gain / Other

Income2 

Bank Support Programs

Capital Purchase Program (CPP)5

Preferred & Other Securities $ 179.54 $ 179.54 $ 160.21 $ 2.21 $ 2.58 $ 0.09 $ 16.67 $                ‐ 10.59 $ $ 0.00 

Preferred & Other Securities ‐ Exchanges from CPP to CDCI $ 0.36 $ 0.36 $                         ‐ 0.36 $                   ‐ $                  ‐ $ $                  ‐ 0.03 $                   ‐ $ 

Citigroup Common $ 25.00 $ 25.00 $                       ‐ 25.00 $                   ‐ $                  ‐ $ $                  ‐ 0.93 $ $ 6.85 

Targeted Investment Program (TIP)

Bank Of America $ 20.00 $ 20.00 $                       ‐ 20.00 $                   ‐ $                  ‐ $ $                  ‐ 1.44 $                   ‐ $ 

Citigroup $ 20.00 $ 20.00 $                       ‐ 20.00 $                   ‐ $                  ‐ $ $                  ‐ 1.57 $                   ‐ $ 

Asset Guarantee Program (AGP)

Bank Of America $                    ‐ ‐ $                    ‐ $                           ‐ $                   ‐ $                  ‐ $                          ‐ $                    ‐ $ $                

0.28 

Citigroup6 $                  ‐ 5.00 $                    ‐ $                           ‐ $                   ‐ $                  ‐ $ $                  ‐ 0.44 $ $ 2.25 

Community Development Capital Initiative (CDCI)7

Exchanges From CPP to CDCI $ 0.36 $                  ‐ 0.36 $                           ‐ $                   ‐ $                  ‐ $                          ‐ $                    ‐ $                   ‐ $                  

Not From Exchanges $ 0.21 $ 0.21 $                         ‐ 0.00 $                   ‐ $ $ 0.57 $                  ‐ 0.02 $                   ‐ $                  

Bank Program Totals8 $ 250.46 $ 245.10 $ 225.21 $ 2.21 $ 2.58 $ 0.09 $ 17.24 $               ‐ 15.02 $ $ 9.38 

Credit Market Programs

Public‐Private Investment Program (PPIP)

Equity $ 7.51 $ 6.03 $                         ‐ 0.16 $                   ‐ $ $ 5.88 $                  ‐ 1.13 $ $                

0.00 

Debt $ 14.35 $ 11.69 $                         ‐ 1.37 $                   ‐ $ $                      ‐ 10.31 $ $                 ‐ 0.23 $                  

Term Asset Backed Securities Loan Facility (TALF) $ 4.30 $                  ‐ 0.10 $                           ‐ $                   ‐ $ $                        ‐ 0.10 $                    ‐ $                   ‐ $                  

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

0.00 

Credit Market Program Totals 26.52 $ $ 18.19 $                         ‐ 1.89 $ $ 0.00 $ 16.29 $ 1.13 $ 0.25 $                

0.00 

Other Programs

American International Group (AIG)9

Common10 $ 47.54 $ 47.54 $                         ‐ 3.83 $ $ 1.92 $                      ‐ 41.80 $                    ‐ $                   ‐ $                  

Preferred $ 20.29 $ 20.29 $                       ‐ 12.14 $                   ‐ $ $ 8.15 $                  ‐ 0.29 $ $                

0.17 

AIG Totals $ 67.84 $ 67.84 $                      ‐ 15.97 $ $ 1.92 $ 49.95 $                  ‐ 0.29 $ $                

0.17 

Automotive Industry Financing Program (AIFP)

GM11 $ 51.03 $ 51.03 $                       ‐ 23.20 $ $ 4.44 $                      ‐ 23.39 $ $ 0.77 $                

0.10 

Chrysler $ 12.37 $ 12.37 $ 9.44 $ 1.60 $                ‐ 1.33 $                          ‐ $ $ 1.19 $                

0.49 

Ally (GMAC) $ 16.29 $ 16.29 $                         ‐ 2.54 $ $ 13.75 $                  ‐ 2.74 $ $                

0.13 

AIFP Totals 79.69 $ $ 79.69 $ 35.18 $ 1.60 $ 5.77 $ 37.14 $ 2.74 $ 1.95 $                

0.72 

Other Programs Totals 147.53 $ $ 147.53 $ 51.15 $ 1.60 $ 7.68 $ 87.09 $ 3.02 $ 1.95 $                

0.88 

Treasury Housing Programs Under TARP

Making Homes Affordable $ 29.88 $ 2.54

HFA Hardest‐Hit Fund $ 7.60 $ 0.83

FHA Refinance12 $ 8.12 $ 0.06

Housing Totals 45.60 $ $ 3.42

Grand Totals 470.12 $ $ 414.24 $ 278.25 $ 4.18 $ 7.78 $ 120.62 $ 19.17 $ 2.20 $ 10.26 

Principal/Investment Income/Revenu

Daily TARP Update 
Monthly 105(a) Report 

 Notes to Daily TARP Update

1/ This represents the portion of the repayments that were received from refinancing to the Small Business Lendin

program established by law outside of TARP. This column is not used to calculate the outstanding amount. 

2/ Amounts of "Realized Loss," "Gain / Other Income," and "Warrants Sold" reflect net cash receipts. 3/ For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct lo

dividend and interest payments are classified in the “Interest” category. These classifications are consistent wit

treatment used to produce OFS’ financial statements. 

4/ This column represents the sum of repayments plus income/revenue. All returned TARP funds are paid into the 

Treasury for the reduction of the public debt. These amounts do not represent lifetime cost estimates, which OFseparate table. 

5/ Citigroup Capital Purchase Program (CPP) investment was originally in the form of preferred shares and was c

stock in September 2009. 

6/ Gain/Other Income does not include the receivable for up to $800 million in trust preferred securities from the F

Insurance Corporation (FDIC). 

7/ All Community Development Capital Initiative (CDCI) collections are grouped in the "Not From Exchanges" row

8/ The "Bank Program Totals" do not include the disbursements, repayments, or gain on warrants sold for the CP

they were cashless. 

9/ TARP’s investment in American International Group, Inc. (AIG) was originally made in the form of preferred sto

converted to common stock in the recapitalization in January 2011. For convenience of the reader, the amount stock is listed under the “obligated” and “disbursed” columns. 

10/ On May 24, 2011, Treasury sold a total of 200 million AIG common shares at $29 per share, consisting of 131,

and 68,018,754 non-TARP shares based upon the Treasury’s pro-rata holding of those shares. The non-TARP received from the trust created by the Federal Reserve Bank of New York for the benefit of the Treasury. Rececommon stock totaled $1,972,543,866 and are not included in TARP collections. The realized loss reflects the sold common shares in AIG and the TARP’s cost basis of $43.53 per common share. However, the Treasury aon the sale of AIG shares as the combined basis for those shares is $28.73. 

11/ Treasury’s investment in GM was originally made primarily in the form of loans, some of which were subsequen

common and preferred stock. Treasury currently holds only common stock. The realized loss reflects the differeat which Treasury sold common shares in GM’s initial public offering and the Treasury’s cost basis ($43.52 per 

shares. This calculation is not a projection of current or expected losses with respect to dispositions of the rema

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

been pre-funded with $50 million in funds for any future loss claim payments. Treasury will be reimbursed for athis account. As of the date hereof, no disbursements for loss claim payments under the FHA Short Refinance made. 

Daily TARP Update 
Monthly 105(a) Report 

 Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on th

Programs as of February 29, 2012(dollar amounts in billions) Disbursed as of February 29

Estim

Lifetime 

o

Novemb

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup 25.00 $ 25.00 $ 0.00 $ $ 

Other banks with assets $10 billion or greater 165.33 165.33 8.87 

$ 

Banks with assets less than $10 billion3 14.57 14.57 7.80 

Total 204.89 $ 204.89 $ 16.67 $ 

$ 

Targeted Investment Program (TIP) $ 40.00 40.00 $ 0.00 $ 

$ 

Asset Guarantee Program (AGP)4 $ 0.00 5.00 $ 0.00 $ 

$ 

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

$ 

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity 7.51 $ 6.03 $ 5.88 $ $ 

Debt 14.35 11.69 10.31 

Total 21.86 $ 17.72 $ 16.19 $ 

$ 

Term Asset Backed Securities Lending Facility (TALF) 4.30 $ 0.10 $ 0.10 $ 

$ 

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

Other Programs:

American International Group (AIG): 

Preferred Stock 20.29 $ 20.29 $ 8.15 $ 

$ 

Common Stock 47.54 47.54 41.80 

Total $ 67.84 67.84 $ 49.95 $ 

$ 

Automotive Industry Financing Program (AIFP) $ 79.69 79.69 $ $ 37.14 $ 

Sub-total for Investment Programs $ 410.82 424.51 $ 120.62 $ 

$ 

Treasury Housing Programs Under TARP $ 3.42 45.60 $ - $ 

$ 

 Total for TARP Programs $ 414.24 470.12 $ 120.62 $ 

$ 

Additional AIG Common Shares Held by Treasury5 n/a n/a n/a 

Total for TARP Programs and Additional AIG Shares 470.12 $ 414.24 $ 120.62 $ 

$ 

Obligation/

Commitment

Outstanding 

Investment 

Balance as of 

February 29

Treasury Estimates of Impact on the Federal Budget 
Monthly 105(a) Report 

 Notes to Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the 1/ Lifetime cost information is as of November 30, 2011, except for TALF and PPIP. 2/ Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Ma

The value of outstanding investments in publicly-traded securities is calculated by using the aggregate value of market prices as of November 30, 2011. The following common stock value information is provided for the convshow the increase or decrease in aggregate value of the outstanding shares of the investments in light of mark29, 2012 and the corresponding effect on estimated cost assuming no other changes. 

 Note: For the period ending 11/31/2011, the share price for AIG was $23.31 and for GM was $21.29. For the pe

the share price for AIG was $29.22 and for GM was $26.02. 

3/ The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issue

CDCI programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF re

$2.21 billion in CPP investments. 

4/ Estimated lifetime costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-O

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

5/ Represents additional 563 million shares of AIG common stock that was received from the trust created by the 

of New York for the benefit of the Treasury, including $1.97 billion received from a sale of stock in May 2011. 

Outstanding Investment

11/31/2011

Market Value

02/29/2012

Market Value 

(

AIG Common Stock

$ 22.38

$ 28.06

$ 

GM Common Stock $ 10.65

$ 13.01

$ 

Additional AIG Common Shares

$ 11.53

$ 14.46

$ 

In billions

Treasury Estimates of Impact on the Federal Budget 
Monthly 105(a) Report 

 Program Updates Bank Support Programs 

In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. A total 

invested in banking institutions, and as of March 30, 2011, Treasury had recovered more than 100% of that amoundividends, interest, and other income. Treasury continues to recover additional funds and estimates that the bank plifetime positive return for taxpayers of more than $20 billion (see Figure 2). Capital Purchase Program (CPP) Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capisizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program incepdollar recovered from CPP participants represents a positive return for taxpayers. Figure 3: Capital Purchase Program Snapshot as of February 29, 2012

Amount Invested: $204.9 billionLargest Investment: $25 billionSmallest Investment: $301,000.00

Total Institutions Funded: 707 Total Amount of Repayments1

: 

Full Repayments: 148SBLF Repayments: 137 Total Dividends, Interest, & Fee Income: CDCI Conversions: 28 Feb. Dividends and Interest: $154.33 Partial Repayments: 10Sold Investments: 12 Citigroup Gain: In Bankruptcy/Receivership: 16Merged Institutions: 3 Total Warrant Income2

: 

Currently in Common3 6

Total Remaining Institutions: 363 Total CPP Income: 

CPP Income to Treasury

CPP Cumulative Investments

CPP Institutions (Banks in 48 states, D.C and Puerto Rico)

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 Notes to Capital Purchase Program Snapshot as of February 29, 2012: 1/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335.72 million from CD

$2.21 billion from SBLF refinancings. Also see footnote 3 on page 5. 

2/ Gross proceeds excluding commissions paid. Includes proceeds from exercised warrants. 3/ Institutions where Treasury has converted its original investment into shares of common stock in the institution. Repayments In February, two institutions repurchased all or part of their outstanding CPP preferred shares or subordinated debinvestments in those institutions, for total proceeds of $24 million.  On February 8, Lakeland Bancorp Inc. repurchased the remaining outstanding CPP investment in that institutio

million. 

 On February 15, First Express of Nebraska Inc. repurchased the outstanding CPP investment in that institution 

Exchanges and SalesIn limited cases, in order to protect the taxpayers’ interest in the value of a CPP investment and to promote the objTreasury may exchange the CPP preferred stock for other securities. Treasury evaluates whether to participate in preferred stock on the basis of enabling the bank to (i) get new investors to provide additional capital, (ii) conduct a (iii) strengthen its capital position and financial condition. Exchanges made on this basis may be at a rate less than Treasury to a new investor may be made at a discount.  On February 10, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasu

preferred stock for common stock. The exchange is subject to the fulfillment by Broadway Financial Corporatio

including the satisfactory completion of a capital plan. 

Warrant Repurchases 

On February 22, Treasury released the latest TARP Warrant Disposition Report <http://www.treasury.gov/initiativestability/briefing-room/reports/other/DocumentsOther/TARP_Warrant_Dispostion_Report_2-22-2012.pdf> including months ending December 31, 2011. During that period, Treasury received more than $70.3 million in gross proceeof 46 warrant positions through repurchases and public and private auctions. Since TARP’s inception, Treasury ha$9.2 billion in gross proceeds from the disposition of warrants associated with 127 CPP investments and 2 Targete(TIP) investments, consisting of $3.7 billion from issuer repurchases at agreed upon fair market values and $5.4 biDecember 31, 2011, Treasury held warrants to purchase common stock in 17 financial institutions that have fully reinvestments and in 146 publicly traded companies in which the CPP investment is still outstanding. Treasury intenda consistent and transparent disposition process which achieves fair market values and protects taxpayer interests

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 In February, Treasury disposed of warrant positions in five institutions that were received in consideration for invesCPP. These proceeds provided an additional return to the American taxpayer of $5.53 million from Treasury’s invebeyond any dividend or interest payments.  Treasury completed the sale of warrants issued by Pathfinder Bancorp, Inc.; Peoples Bancorp, Inc.; New Hamp

Inc.; and Lakeland Bancorp Inc. for a total of $5.28 million as part of each institution’s purchase of all preferred 

 First Express of Nebraska Inc. repurchased preferred shares and/or subordinated debentures from exercised w

for a total of $250,000. 

Dividends and Interest

In February, Treasury received dividends and interest income from CPP investments of approximately $154.33 mil

dividends, interest and fee income received from Capital Purchase Program investments is approximately $11.55 bBank Closures 

 On February 10, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was clo

Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver. 

Board of Directors Appointments In February, Treasury exercised its right to elect members to the board of directors of one institution participating in  Robert R. “Bob” Lane was elected to the Board of Directors of First Security Group, Inc. (Chattanooga, TN). As a participant in CPP, each institution entered into securities purchase agreements with Treasury that provide Trright to nominate up to two members to the board of a CPP recipient in the event that the institution misses a sixth payments on the preferred stock issued to Treasury. This appointment brings the total number of Treasury elected members to thirteen at eight CPP institutions. 

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 Figure 4: Top 25 Remaining Capital Purchase Program Investments (as of February 29, 2012)

A list of all remaining CPP investments can be found in the appendix to this report. 

Notes to Top 25 Remaining Capital Purchase Program Investments (as of February 29, 2012): a/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized divide

fulfilled the conversion conditions and Treasury's MCP was converted into 32,941,797 shares of common stock

b/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Sterling fulfilled the co

Treasury's MCP was converted into 378,750,000 shares of common stock. Treasury currently holds 5,738,637 scommon stock following a reverse stock split. 

c/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized divide

fulfilled the conversion conditions and Treasury's MCP was converted into 360,833,250 shares of common stocholds 3,608,332 shares of Pacific Capital common stock following a reverse stock split. 

d/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized divide

fulfilled the conversion conditions and Treasury's MCP was converted into 5,620,117 shares of common stock o

been sold. 

e/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Hampton fulfilled the 

and Treasury's MCP was converted into 52,225,550 shares of common stock. Treasury currently holds 2,089,02common stock following a reverse stock split. 

Institution City, State

Outstanding Investment ($millions)

Institution City, 

1 Regions Financial Corp. Birmingham, AL 3,500.0 $ 14 International Bancshares Corporation Lare2 Zions Bancorporation Salt Lake City, UT 1,400.0 $ 15 MB Financial Inc. Chic3 Synovus Financial Corp. Columbus, GA 967.9 $ 16 Pacific Capital Bancorpc Sant

4 Popular, Inc. Hato Rey, PR 935.0 $ 17 United Community Banks, Inc. Blair

5 First Bancorpa San Juan, PR 400.0 $ 18 Dickinson Financial Corporation II Kans

6 M&T Bank Corporation Buffalo, NY 381.5 $ 19 Banner Corporation Wall

7 Sterling Financial Corporationb Spokane, WA 303.0 $ 20 BBCN Bancorp, Inc. Los A

8 Citizens Republic Bancorp, Inc. Flint, MI 300.0 $ 21 Anchor BanCorp Wisconsin, Inc. Madi

9 First Banks, Inc. Clayton, MO 295.4 $ 22 Taylor Capital Group Rose

10 New York Private Bank & Trust Corp. New York, NY 267.3 $ 23 Park National Corporation New

11 Flagstar Bancorp, Inc. Troy, MI 266.7 $ 24 Central Pacific Financial Corp.d Hono

12 Cathay General Bancorp El Monte, CA 258.0 $ 25 Hampton Roads Bankshares, Inc.e Norfo13 PrivateBancorp, Inc. Chicago, IL 243.8 $ Total 

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 Capital Purchase Program Density Maps and Regional Snapshots Following is a detailed breakdown of remaining institutions with outstanding investments under the Capital Purchaslocations of remaining institutions’ headquarters are mapped nationwide and regionally to provide a visual overview investments. The maps and regional snapshots will provide monthly overviews of outstanding CPP investments as 

down its investments. The regional maps are shown with a list of the Top 15 largest outstanding investments in that region, and a state b

provided for further detail. The regional maps also indicate which of the top 15 institutions in each region have outsto Treasury. A full list of remaining CPP investments, including more detail about those banks with outstanding paynumber of payments they have missed, is contained in the appendix to this report. This information is also availablInterest Report published monthly at http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividinterest/Pages/default.aspx. 

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Nationwide CPP Institution Density Map

* as of February 29, 2012

Total Rem

*For purposes of the maps show ing the location of CPP institutions, CPP banks are deemed to be located in the state in w hich they maintain their headqua

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Regional Density Map*

Bank Regions Financial Corporation Synovus Financial Corp. Popular, Inc. First BanCorp* United Community Banks, Inc. Pinnacle Financial Partners, Inc. First Financial Holdings Inc. NewBridge Bancorp Ameris Bancorp FNB United Corp.* U.S. Century Bank BancTrust Financial Group, Inc. Seacoast Banking Corporation of Florida Yadkin Valley Financial Corporation Fidelity Southern Corporation 

Top 1

Regio

State/Territory Snapshot

*This institution’s original investment has been converted into shAmount shown reflects the original investment amount less sale can be found in the Transaction Report located in the appendix.

Southeast CPP Institutions as of February 29, 2012

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

Largest 15 Investments in t

Note: Italic red text indicates institutions that have missed dividenthe appendix to this report and in the Dividends and Interest Repowww.treasury.gov/initiatives/financial-stability/briefing-room/repo

AL FL GA MS NC PR SC TN

Number of CPP Institutions 7 15 20 3 21 2 15 14Investment Amount ($ Millions) $3,585 $195 $1,397 $10 $407 $1,335 $195 $225

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Regional Density Map*

Bank M&T Bank Corporation New York Private Bank & Trust Corporation Hampton Roads Bankshares, Inc.* Virginia Commerce Bancorp WSFS Financial Corporation Royal Bancshares of Pennsylvania, Inc. First United Corporation VIST Financial Corp. Intervest Bancshares Corporation Eastern Virginia Bankshares, Inc. Severn Bancorp, Inc. TriState Capital Holdings, Inc. Premier Financial Bancorp, Inc. Unity Bancorp, Inc. Community Bankers Trust Corporation 

Top 1

Regio

State Snapshot

*This institution’s original investment has been converted into shAmount shown reflects the original investment amount less sale can be found in the Transaction Report located in the appendix.

Mid Atlantic and Northeast CPP Institutions as of February 29, 2012

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

Largest 15 Investments in t

Note: Italic red text indicates institutions that have missed dividenthe appendix to this report and in the Dividends and Interest Repowww.treasury.gov/initiatives/financial-stability/briefing-room/repo

CT DE MA MD ME NH NJ NY PA RI 

Number of CPP Institutions 1 1 2 10 2 1 6 4 10 1 Investment Amount ($ Millions) $5 $53 $24 $112 $17 $2 $56 $681 $134 $1 

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Regional Density Map*

Bank International Bancshares Corporation Southwest Bancorp, Inc. MetroCorp Bancshares, Inc. Trinity Capital Corporation Spirit BankCorp, Inc. Patriot Bancshares, Inc. Rogers Bancshares, Inc. Central Bancorp, Inc. Central Community Corporation FC Holdings, Inc. Chambers Bancshares, Inc. First Trust Corporation OneFinancial Corporation White River Bancshares Company Community First Bancshares, Inc. 

Top 1

Regio

State Snapshot

Southwest and South Central CPP Institutions as of February 29, 2012

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

Largest 15 Investments in t

Note: Italic red text indicates institutions that have missed dividenthe appendix to this report and in the Dividends and Interest Repowww.treasury.gov/initiatives/financial-stability/briefing-room/repo

AR AZ LA NM OK TX

Number of CPP Institutions 7 3 4 3 2 12Investment Amount ($ Millions) $93 $8 $28 $48 $100 $389

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Mountain West and Plains States CPP Institutions as of February 29, 2012

Regional Density Map*

Bank Zions Bancorporation Alpine Banks of Colorado Fidelity Financial Corporation Intermountain Community Bancorp Blue Valley Ban Corp First Western Financial, Inc. BNCCORP, Inc. First Community Bancshares, Inc Bankers' Bank of the West Bancorp, Inc. Farmers Enterprises, Inc. Security State Bank Holding-Company ColoEast Bankshares, Inc. Syringa Bancorp First Gothenburg Bancshares, Inc. Country Bank Shares, Inc. 

Top 1

Regio

State Snapshot

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

Note: Italic red text indicates institutions that have missed dividenthe appendix to this report and in the Dividends and Interest Repowww.treasury.gov/initiatives/financial-stability/briefing-room/repo

Largest 15 Investments in the 

CO ID KS MT ND NE NV SD UT WY

Number of CPP Institutions 8380341011Investment Amount ($ Millions) $132 $42 $89 $0 $36 $24 $3 $0 $1,400 $3

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Midwest CPP Institutions as of February 29, 2012

Regional Density Map*

Bank Citizens Republic Bancorp, Inc. First Banks, Inc. Flagstar Bancorp, Inc. PrivateBancorp, Inc. MB Financial Inc. Dickinson Financial Corporation II Anchor BanCorp Wisconsin Inc. Taylor Capital Group Park National Corporation Metropolitan Bank Group, Inc. Old Second Bancorp, Inc. First Place Financial Corp. Independent Bank Corporation Standard Bancshares, Inc. MainSource Financial Group, Inc. 

Top 1

Regio

State Snapshot

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

Largest 15 Investments in 

Note: Italic red text indicates institutions that have missed dividenthe appendix to this report and in the Dividends and Interest Repowww.treasury.gov/initiatives/financial-stability/briefing-room/repo

IA IL IN KY MI MN MO OH WI

Number of CPP Institutions 4 24 7 10 9 11 22 9 12Investment Amount ($ Millions) $36 $1,034 $111 $146 $734 $88 $732 $275 $222

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 

Western Region CPP Institutions as of February 29, 2012

Regional Density Map*

Bank Sterling Financial Corporation* Cathay General Bancorp Pacific Capital Bancorp* Banner Corporation BBCN Bancorp, Inc. Central Pacific Financial Corp.* Wilshire Bancorp, Inc. Exchange Bank PremierWest Bancorp Heritage Commerce Corp. Fremont Bancorporation Heritage Oaks Bancorp Timberland Bancorp, Inc. Pacific City Financial Corporation Community West Bancshares 

Top 15 

Region 

State Snapshot

Largest 15 Investments in 

Note: Italic red text indicates institutions that have missed dividend the appendix to this report and in the Dividends and Interest Reporwww.treasury.gov/initiatives/financial-stability/briefing-room/repor*This institution’s original investment has been converted into shaAmount shown reflects the original investment amount less sale pcan be found in the Transaction Report located in the appendix.

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

AK CA HI OR WA

Number of CPP Institutions 1 33 1 3 7Investment Amount ($ Millions) $5 $928 $99 $49 $470

Program Updates – Bank Support Programs
Monthly 105(a) Report 

 Other Investment Programs

Investment in American International Group (AIG)  On March 8, AIG sold 1.72 billion ordinary shares of AIA Group Limited (AIA) for approximately $6 billion. AIG w

the net proceeds from the sale to reduce the balance due to Treasury on Treasury’s preferred equity interest in vehicle through which AIG holds the AIA ordinary shares. 

 On March 8, Treasury priced an offering of 206,896,552 shares of its American International Group (AIG) comm

the public of $29.00 per share. Treasury will receive proceeds of $6.0 billion. AIG is purchasing 103,448,276 shstock sold by Treasury in this offering at the initial public offering price for approximate proceeds of $3 billion. 

 In addition, Treasury and AIG have reached an agreement that provides for the repayment of the government’s 

preferred equity investment in the AIG-owned entity AIA Aurora LLC (AIA SPV) – a special purpose vehicle thain AIA Group Limited (AIA). AIG is expected to repay this remaining $8.5 billion (plus accrued preferred return) sources: o $5.6 billion in proceeds from AIG’s sale of ordinary shares of AIA, described above, received by Treasury o

o $1.6 billion in expected proceeds from the Federal Reserve Bank of New York’s (FRBNY) final disposition o

securities to be received by Treasury in March 2012. 

o $1.6 billion in escrowed cash proceeds from AIG’s sale of its American Life Insurance Co. (ALICO) subsidia

received in installments in November 2012 and May 2013. 

 With the receipt of the proceeds from the AIG’s sale of ordinary shares of AIA and the closing of the AIG share 

Treasury will hold approximately 1.248 billion shares of common stock and approximately $2.9 billion of preferr

Treasury’s percentage of ownership of AIG’s outstanding shares of common stock will decline from 77 percent percent. 

 In addition, the Federal Reserve Bank of New York has a loan to Maiden Lane III totaling $9.3 billion. That FRB

by assets with a current value well in excess of the outstanding loan balance.

Program Updates – Other Investment Programs
Monthly 105(a) Report 

 Housing Programs

Making Home Affordable Program Performance ReportOn March 2, 2012, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program through January 2012: http://www.treasury.gov/initiatives/financial-stability/results/MHA-Reports/Pages/default.as

month include:  More than 950,000 homeowners have been granted permanent modifications since the start of the program. Ap

permanent modifications and nearly 17,000 trial modification starts have been reported since the December rephomeowners in permanent modifications have saved an estimated $11 billion in monthly mortgage payments. Hfirst lien permanent modifications are currently saving a median of $533 per month – more than one-third of the modification payment. 

 Eighty-five percent of eligible homeowners entering a HAMP trial modification since June 1, 2010 received a pe

with an average trial period of 3.5 months. 

 For homeowners currently in HAMP permanent modifications with the Principal Reduction Alternative feature, t

principal reduced is $68,063. This amounts to over $3.7 billion in principal reductions. These homeowners are fmore seriously delinquent at trial start than the overall population of HAMP participants. 88% of homeowners in 

least 60 days delinquent at trial start (compared to 80% of the overall HAMP portfolio) with a before-modificatio159% (compared to 120% for the overall portfolio). 

Servicer Assessments Included in MHA Program Performance Report through January 2012 are detailed assessments for the largest moparticipating in the MHA Program with results from the fourth quarter of 2011. In addition to providing greater transperformance in the program, the servicer assessments – first introduced in June 2011 and published quarterly – arindustry benchmark for disclosure around servicer efforts to assist struggling homeowners, while prompting them to deficiencies.  For the fourth quarter of 2011, seven servicers were found in need of moderate improvement and two servicers 

minor improvement with respect to the specific metrics tested. No servicer was found in need of substantial imp

2MP and HAFA Program Results  The Second Lien Modification Program (2MP) enables homeowners in a HAMP first lien permanent modificatio

second lien mortgages held by a participating servicer. To date, more than 65,000 homeowners in a HAMP firsmodification have received assistance through 2MP. Since homeowners with HAMP first lien permanent mortgbecome automatically eligible when their second lien servicer participates in 2MP, this number will likely contin

Program Updates – Housing Programs
Monthly 105(a) Report 

  Nearly 50,000 homeowners have reached agreements with their servicer to exit their home and transition to a m

situation under the Home Affordable Foreclosure Alternatives (HAFA) Program through a short sale or deed-in-than 31,000 homeowners have completed a short sale or deed-in-lieu under HAFA, which provides $3,000 for after a homeowner exits the home. 

Hardest Hit Fund

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

through locally-tailored programs administered by each respective Housing Finance Agency (HFA). These areas wthey have experienced steep home price declines or unemployment in the economic downturn. States are experimdifferent programs to help homeowners, including principal reduction, reinstatement, short sale/transition assistanc

assistance, loan purchase and mortgage payment programs.  There are now 55 programs across the 19 HFAs. Approximately 70 percent of total program funds are being ta

unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgag

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

counselors to assist with applications, creating homeowner portals to aid homeowners in applying for assistancunderwriters and other staff to review and approve applications. 

 The five largest servicers (Bank of America, GMAC, JPMorgan Chase, Citibank, and Wells Fargo) are participa

primarily in mortgage payment assistance and reinstatement programs; several states have over one hundred 

 All HFAs are now up and fully operational. Although states take time to refine processes and build volume, a nu

have been up and running for longer periods of time are starting to show substantial growth in the number of bo

Michigan, Ohio, North Carolina, Oregon, California, and Florida). Treasury is working to identify best practices, 

between states, and develop other ways to provide technical assistance to states with lower participation volum

 Treasury recently approved changes to Nevada’s program, including an option for reinstatement of homeowne

from a hardship and a new program that is designed to provide bridge assistance for homeowners on a fixed inmortgage modification or other long-term sustainable solution.

 Treasury continues to hold conversations with HFAs, servicers, the Government Sponsored Enterprises (GSEs

stakeholders on ways to improve the delivery of foreclosure prevention assistance. Discussion topics include etransition assistance programs and identifying ways to help transition homeowners at the end of unemploymenother resources available.

 Three HFAs drew a total of $25.5 million in February; over the life of the program, a total of $829 million has be

18 states and DC. Each state draws down funds as they are needed. (See Figure 6) States have until Decembfunds, and must have no more than 5 percent of its allocation on hand before they can draw down additional fu

Program Updates – Housing Programs
Monthly 105(a) Report 

  Each state submits a quarterly report on the progress of its program. Direct links to each state’s most recent pe

found at http://www.treasury.gov/initiatives/financial-stability/programs/housing-programs/hhf/Pages/default.asp

Figure 5: Programs Available Through the Hardest Hit Fund 

State Statewide Launch Reporting Link Program Info

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

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

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

DC 4/19/11 http://www.dchfa.org/DCHFAHome/Homebuyers/ForeclosurePrevention/QuarterlyRep orts/tabid/219/Default.aspx https://www.ho

FL 4/18/11 http://apps.floridahousing.org/StandAlone/FHFC_ECM/ContentPage.aspx?PAGE=027 7 https://www.flh

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

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

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

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

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

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

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

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

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

OH 9/27/10 http://www.ohiohome.org/restoringstability/reports.aspx http://www.sav

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

RI 12/1/10 http://www.hhfri.org/HHFRI_Dynamic_Content.aspx?id=10737418256&ekmensel=c58 0fa7b_10737418238_10737418240_btnlink http://www.hhf

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

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

Program Updates – Housing Programs
Monthly 105(a) Report 

 Figure 6: Hardest Hit Fund (as of February 29, 2012)

$16,000,000

$21,255,000

$217,

$3,834,860

$63,350,000

$38,200,000

$46,500,000

$22,000,000

$24,000,000

$30,166,175

$5,094,416

$78,000,000

$7,513,704

$12,302,000

$96,100,000

$83,501,070

$13,000,000

$30,000,000

$20,315,593

$0.0 $500,000,000.0 $1,000,000,000.0 $1,500,000,000.0 

Alabama (9.8%)

Arizona (7.9%)

California (11%)

Washington D.C. (18.5%)

Florida (6%)

Georgia (11.3%)

Illinois (10.4%)

Indiana (9.9%)

Kentucky (16.1%)

Michigan (6.1%)

Mississippi (5%)

North Carolina (16.2%)

New Jersey (2.5%)

Nevada (6.3%)

Ohio (16.8%)

Oregon (37.9%)

Rhode Island (16.4%)

South Carolina (10.2%)

Tennessee (9.3%)

Funds Remaining Paid to Date (Amount Shown)

State (% Cap Disbursed)

Program Updates – Housing Programs
Monthly 105(a) Report 

 Appendix Section EESA Requ

Remaining CPP Institutions......................................................................................... Additional Inf

Administrative Obligations and Expenditures............................................................... Section 10Agreements under TARP............................................................................................ Section 105Insurance Contracts.................................................................................................. Section 105

Transactions Report.................................................................................................. Section 105(a)

Investment Programs 

Home Affordable Modification Program 

Projected Costs and Liabilities..................................................................................... Section 105Programmatic Operating Expenses.............................................................................. Section 105

Description of Vehicles Established.............................................................................. Section 105

2 Section 105(a)(1) is covered by the body of this report.

Table of Contents – Appendix
24

Name City State Amount 

Outstanding Public/Private Number of Missed Payments

Regions Financial Corporation Birmingham AL $ 3,500,000,000 Public

Zions Bancorporation Salt Lake City UT $ 1,400,000,000 Public

Synovus Financial Corp. Columbus GA $ 967,870,000 Public

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

First BanCorp* San Juan PR $ 400,000,000 Public

M&T Bank Corporation Buffalo NY $ 381,500,000 Public

Sterling Financial Corporation* Spokane WA $ 303,000,000 Public

Citizens Republic Bancorp, Inc. Flint MI $ 300,000,000 Public 9

First Banks, Inc. Clayton MO $ 295,400,000 Private 11

New York Private Bank & Trust Corporation New York NY $ 267,274,000 Private

Flagstar Bancorp, Inc. Troy MI $ 266,657,000 Public 1

Cathay General Bancorp Los Angeles CA $ 258,000,000 Public

PrivateBancorp, Inc. Chicago IL $ 243,815,000 Public

International Bancshares Corporation Laredo TX $ 216,000,000 Public

MB Financial Inc. Chicago IL $ 196,000,000 Public

Pacific Capital Bancorp* Santa Barbara CA $ 180,634,000 Public

United Community Banks, Inc. Blairsville GA $ 180,000,000 Public

Dickinson Financial Corporation II Kansas City MO $ 146,053,000 Private 11

Banner Corporation Walla Walla WA $ 124,000,000 Public

BBCN Bancorp, Inc. Los Angeles CA $ 122,000,000 Public

Anchor BanCorp Wisconsin Inc. Madison WI $ 110,000,000 Public 12

Taylor Capital Group Rosemont IL $ 104,823,000 Public

Park National Corporation Newark OH $ 100,000,000 Public

Central Pacific Financial Corp.* Honolulu HI $ 98,662,500 Public

Hampton Roads Bankshares, Inc.* Norfolk VA $ 80,347,000 Public

Metropolitan Bank Group, Inc. Chicago IL $ 78,406,000 Private 4

Old Second Bancorp, Inc. Aurora IL $ 73,000,000 Public 6

First Place Financial Corp. Warren OH $ 72,927,000 Public 4

Independent Bank Corporation Ionia MI $ 72,000,000 Public 8

Pinnacle Financial Partners, Inc. Nashville TN $ 71,250,000 Public

Virginia Commerce Bancorp Arlington VA $ 71,000,000 Public

Southwest Bancorp, Inc. Stillwater OK $ 70,000,000 Public 3

Alpine Banks of Colorado Glenwood Springs CO $ 70,000,000 Private

First Financial Holdings Inc. Charleston SC $ 65,000,000 Public

Wilshire Bancorp, Inc. Los Angeles CA $ 62,158,000 Public

Standard Bancshares, Inc. Hickory Hills IL $ 60,000,000 Private 3

MainSource Financial Group, Inc. Greensburg IN $ 57,000,000 Public

WSFS Financial Corporation Wilmington DE $ 52,625,000 Public

NewBridge Bancorp Greensboro NC $ 52,372,000 Public

Ameris Bancorp Moultrie GA $ 52,000,000 Public

FNB United Corp.* Asheboro NC $ 51,500,000 Public

U.S. Century Bank Miami FL $ 50,236,000 Private 9

BancTrust Financial Group, Inc. Mobile AL $ 50,000,000 Public

Remaining CPP Institutions
25

Seacoast Banking Corporation of Florida Stuart FL $ 50,000,000 Public

Yadkin Valley Financial Corporation Elkin NC $ 49,312,000 Public4

Fidelity Southern Corporation Atlanta GA $ 48,200,000 Public

MetroCorp Bancshares, Inc. Houston TX $ 45,000,000 Public

Exchange Bank Santa Rosa CA $ 43,000,000 Public1

Southern Community Financial Corp. Winston-Salem NC $ 42,750,000 Public5

PremierWest Bancorp Medford OR$ 41,400,000 Public 10

Heritage Commerce Corp. San Jose CA $ 40,000,000 Public

Reliance Bancshares, Inc. Frontenac MO$ 40,000,000 Public5

Bridgeview Bancorp, Inc. Bridgeview IL $ 38,000,000 Private8

First Defiance Financial Corp. Defiance OH $ 37,000,000 Public

First South Bancorp, Inc. Lexington TN$ 36,875,000 Private

Fidelity Financial Corporation Wichita KS $ 36,282,000 Private

Trinity Capital Corporation Los Alamos NM$ 35,539,000 Private

Marquette National Corporation Chicago IL $ 35,500,000 Public

Porter Bancorp Inc. Louisville KY $ 35,000,000 Public2

Enterprise Financial Services Corp. St. Louis MO $ 35,000,000 Public

Fremont Bancorporation Fremont CA$ 35,000,000 Private

First American Bank Corporation Elk Grove Village IL$ 35,000,000 Private

First Security Group, Inc. Chattanooga TN $ 33,000,000 Public9

Firstbank Corporation Alma MI $ 33,000,000 Public

Centrue Financial Corporation St. Louis MO $ 32,668,000 Public 11

Pulaski Financial Corp Creve Coeur MO $ 32,538,000 Public

BNC Bancorp Thomasville NC $ 31,260,000 Public

Royal Bancshares of Pennsylvania, Inc. Narberth PA$ 30,407,000 Public 11

Hawthorn Bancshares, Inc. Lee's Summit MO $ 30,255,000 Public

Farmers Capital Bank Corporation Frankfort KY $ 30,000,000 Public

First United Corporation Oakland MD $ 30,000,000 Public6

Spirit BankCorp, Inc. Bristow OK$ 30,000,000 Private6

Colony Bankcorp, Inc. Fitzgerald GA $ 28,000,000 Public1

Intermountain Community Bancorp Sandpoint ID $ 27,000,000 Public9

Patriot Bancshares, Inc. Houston TX $ 26,038,000 Private5

HMN Financial, Inc. Rochester MN $ 26,000,000 Public5

LNB Bancorp Inc. Lorain OH $ 25,223,000 Public

Princeton National Bancorp, Inc. Princeton IL $ 25,083,000 Public5

Peoples Bancorp of North Carolina, Inc. Newton NC $ 25,054,000 Public

VIST Financial Corp. Wyomissing PA $ 25,000,000 Public

Intervest Bancshares Corporation New York NY $ 25,000,000 Public9

Rogers Bancshares, Inc. Little Rock AR $ 25,000,000 Private 10

Citizens Bancshares Co. Chillicothe MO$ 24,990,000 Private9

Crescent Financial Bancshares, Inc. 
 Cary NC $ 24,900,000 Public5

National Bancshares, Inc. Bettendorf IA$ 24,664,000 Public5

CBS Banc-Corp. Russellville AL$ 24,300,000 Private

Eastern Virginia Bankshares, Inc. Tappahannock VA $ 24,000,000 Public5

Severn Bancorp, Inc. Annapolis MD $ 23,393,000 Public

Park Bancorporation, Inc. Madison WI$ 23,200,000 Private
26

First Citizens Banc Corp Sandusky OH $ 23,184,000 Public

TriState Capital Holdings, Inc. Pittsburgh PA$ 23,000,000 Private

Central Bancorp, Inc. Garland TX$ 22,500,000 Private4

Premier Financial Bancorp, Inc. Huntington WV$ 22,252,000 Public

Central Community Corporation Temple TX$ 22,000,000 Private

First Community Financial Partners, Inc. Joliet IL$ 22,000,000 Public

Blue Valley Ban Corp Overland Park KS $ 21,750,000 Public 12

Indiana Community Bancorp Columbus IN $ 21,500,000 Public

FC Holdings, Inc. Houston TX$ 21,042,000 Private 10

Mercantile Bank Corporation Grand Rapids MI$ 21,000,000 Public

Heritage Oaks Bancorp Paso Robles CA$ 21,000,000 Public8

The Baraboo Bancorporation Baraboo WI $ 20,749,000 Public

Unity Bancorp, Inc. Clinton NJ $ 20,649,000 Public

United Bancorp, Inc. Tecumseh MI $ 20,600,000 Public

Florida Bank Group, Inc. Tampa FL$ 20,471,000 Private6

Diamond Bancorp, Inc. Washington MO$ 20,445,000 Private

First Western Financial, Inc. Denver CO $ 20,440,000 Private

Commonwealth Bancshares, Inc. Louisville KY$ 20,400,000 Private

Market Street Bancshares, Inc. Mt. Vernon IL$ 20,300,000 Private

BNCCORP, Inc. Bismarck ND$ 20,093,000 Public9

First Financial Service Corporation Elizabethtown KY $ 20,000,000 Public6

Chambers Bancshares, Inc. Danville AR$ 19,817,000 Private

HopFed Bancorp Hopkinsville KY $ 18,400,000 Public

First Trust Corporation New Orleans LA$ 17,969,000 Private8

ECB Bancorp, Inc. Engelhard NC $ 17,949,000 Public

Community First Inc. Columbia TN$ 17,806,000 Private4

Community Bankers Trust Corporation Glen Allen VA $ 17,680,000 Public7

OneFinancial Corporation Little Rock AR$ 17,300,000 Private

Southern First Bancshares, Inc. Greenville SC$ 17,299,000 Public

Liberty Shares, Inc. Hinesville GA$ 17,280,000 Private6

F&M Financial Corporation Clarksville TN$ 17,243,000 Private

Northern States Financial Corporation Waukegan IL$ 17,211,000 Public 10

Guaranty Federal Bancshares, Inc. Springfield MO $ 17,000,000 Public

F & M Financial Corporation Salisbury NC $ 17,000,000 Private

White River Bancshares Company Fayetteville AR$ 16,800,000 Private5

Timberland Bancorp, Inc. Hoquiam WA $ 16,641,000 Public8

1st FS Corporation Hendersonville NC $ 16,369,000 Public7

Parke Bancorp, Inc. Sewell NJ $ 16,288,000 Public

Pacific City Financial Corporation Los Angeles CA $ 16,200,000 Public 11

Valley Financial Corporation Roanoke VA $ 16,019,000 Public

CoastalSouth Bancshares, Inc. Hilton Head Island SC$ 16,015,000 Private4

Carolina Bank Holdings, Inc. Greensboro NC $ 16,000,000 Public3

Community West Bancshares Goleta CA $ 15,600,000 Public

First Reliance Bancshares, Inc. Florence SC$ 15,349,000 Public2

Broadway Financial Corporation Los Angeles CA $ 15,000,000 Private7

Business Bancshares, Inc. Clayton MO$ 15,000,000 Private
27

Foresight Financial Group, Inc. Rockford IL$ 15,000,000 Public

River Valley Bancorporation, Inc. Wausau WI$ 15,000,000 Private

Suburban Illinois Bancorp, Inc. Elmhurst IL$ 15,000,000 Private4

First Community Bancshares, Inc Overland Park KS$ 14,800,000 Private8

Village Bank and Trust Financial Corp Midlothian VA$ 14,738,000 Public4

Tidelands Bancshares, Inc Mount Pleasant SC $ 14,448,000 Public6

United Bank Corporation Barnesville GA$ 14,400,000 Private

First National Corporation Strasburg VA$ 13,900,000 Public

Bank of the Carolinas Corporation Mocksville NC$ 13,179,000 Public5

SouthCrest Financial Group, Inc. Fayetteville GA$ 12,900,000 Public5

HCSB Financial Corporation Loris SC$ 12,895,000 Public5

Community First Bancshares, Inc. Harrison AR$ 12,725,000 Private

Peoples Bancorporation, Inc. Easley SC$ 12,660,000 Public

Community Financial Corporation Staunton VA $ 12,643,000 Public

Bankers' Bank of the West Bancorp, Inc. Denver CO $ 12,639,000 Private8

Meridian Bank Devon PA$ 12,535,000 Private

The First Bancorp, Inc. Damariscotta ME $ 12,500,000 Public

PeoplesSouth Bancshares, Inc. Colquitt GA$ 12,325,000 Private

OneUnited Bank Boston MA $ 12,063,000 Private 12

The Queensborough Company Louisville GA $ 12,000,000 Private7

Blue Ridge Bancshares, Inc. Independence MO$ 12,000,000 Private2

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

Farmers Enterprises, Inc. Great Bend KS$ 12,000,000 Private

Alliance Financial Services Inc. Saint Paul MN$ 12,000,000 Private9

Wachusett Financial Services, Inc. Clinton MA$ 12,000,000 Private

Plumas Bancorp Quincy CA $ 11,949,000 Public8

TCB Holding Company, Texas Community Bank The Woodlands TX $ 11,730,000 Private8

Cecil Bancorp, Inc. Elkton MD $ 11,560,000 Public9

Western Illinois Bancshares Inc. Monmouth IL $ 11,422,000 Private

Central Virginia Bankshares, Inc. Powhatan VA $ 11,385,000 Public9

First Community Corporation Lexington SC $ 11,350,000 Public

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

Mackinac Financial Corporation Manistique MI$ 11,000,000 Public

Stonebridge Financial Corp. West Chester PA $ 10,973,000 Private8

First Capital Bancorp, Inc. Glen Allen VA$ 10,958,000 Public

Ridgestone Financial Services, Inc. Brookfield WI$ 10,900,000 Private 10

Presidio Bank San Francisco CA$ 10,800,000 Public

Security State Bank Holding-Company Jamestown ND$ 10,750,000 Private5

Crosstown Holding Company Blaine MN $ 10,650,000 Private

Northwest Bancorporation, Inc. Spokane WA$ 10,500,000 Public8

Uwharrie Capital Corp Albemarle NC $ 10,000,000 Public

Mid Penn Bancorp, Inc. Millersburg PA $ 10,000,000 Public

NCAL Bancorp Los Angeles CA $ 10,000,000 Public3

C&F Financial Corporation West Point VA $ 10,000,000 Public

ColoEast Bankshares, Inc. Lamar CO$ 10,000,000 Private3

Mid-Wisconsin Financial Services, Inc. Medford WI$ 10,000,000 Public4
28

Blackhawk Bancorp, Inc. Beloit WI$ 10,000,000 Public

HomeTown Bankshares Corporation Roanoke VA$ 10,000,000 Public

Century Financial Services Corporation Santa Fe NM$ 10,000,000 Private

Greer Bancshares Incorporated Greer SC $ 9,993,000 Public5

Regent Bancorp, Inc. Davie FL$ 9,982,000 Public6

Coastal Banking Company, Inc. Fernandina Beach FL $ 9,950,000 Public5

Universal Bancorp Bloomfield IN$ 9,900,000 Private

Premier Bank Holding Company Tallahassee FL$ 9,500,000 Private8

City National Bancshares Corporation Newark NJ$ 9,439,000 Private9

Provident Community Bancshares, Inc. Rock Hill SC$ 9,266,000 Public7

Carrollton Bancorp Baltimore MD$ 9,201,000 Public4

First Priority Financial Corp. Malvern PA$ 9,175,000 Private

Delmar Bancorp Delmar MD$ 9,000,000 Public2

HPK Financial Corporation Chicago IL$ 9,000,000 Private

RCB Financial Corporation Rome GA$ 8,900,000 Private3

Farmers Bank Windsor VA $ 8,752,000 Private

First Freedom Bancshares, Inc. Lebanon TN$ 8,700,000 Private

United American Bank San Mateo CA$ 8,700,000 Public 12

BancStar, Inc. Festus MO$ 8,600,000 Private

Great River Holding Company Baxter MN$ 8,400,000 Private6

Private Bancorporation, Inc. Minneapolis MN$ 8,222,000 Private6

Annapolis Bancorp, Inc. Annapolis MD $ 8,152,000 Public

F & M Bancshares, Inc. Trezevant TN $ 8,144,000 Private

Syringa Bancorp Boise ID $ 8,000,000 Public 10

Commonwealth Business Bank Los Angeles CA $ 7,701,000 Public8

Valley Commerce Bancorp Visalia CA $ 7,700,000 Public

Oak Ridge Financial Services, Inc. Oak Ridge NC $ 7,700,000 Public

Metro City Bank Doraville GA $ 7,700,000 Private

First Gothenburg Bancshares, Inc. Gothenburg NE$ 7,570,000 Private

Country Bank Shares, Inc. Milford NE$ 7,525,000 Private

The Little Bank, Incorporated Kinston NC $ 7,500,000 Public

BNB Financial Services Corporation New York NY$ 7,500,000 Private7

GulfSouth Private Bank Destin FL$ 7,500,000 Private3

First Sound Bank Seattle WA $ 7,400,000 Public9

Western Community Bancshares, Inc. Palm Desert CA $ 7,290,000 Private7

FFW Corporation Wabash IN $ 7,289,000 Public

Millennium Bancorp, Inc. Edwards CO$ 7,260,000 Private8

Central Federal Corporation Fairlawn OH $ 7,225,000 Public6

TriSummit Bank Kingsport TN$ 7,002,000 Private

Fidelity Bancorp, Inc. Pittsburgh PA $ 7,000,000 Public

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

Heartland Bancshares, Inc. Franklin IN$ 7,000,000 Public

Community Financial Shares, Inc. Glen Ellyn IL$ 6,970,000 Public5

Idaho Bancorp Boise ID $ 6,900,000 Public 11

Harbor Bankshares Corporation Baltimore MD$ 6,800,000 Public7

Monarch Community Bancorp, Inc. Coldwater MI $ 6,785,000 Public9
29

Highlands Independent Bancshares, Inc. Sebring FL$ 6,700,000 Private5

Fidelity Federal Bancorp Evansville IN$ 6,657,000 Public9

Citizens First Corporation Bowling Green KY $ 6,566,692 Public

Alarion Financial Services, Inc. Ocala FL $ 6,514,000 Private1

Pacific International Bancorp Seattle WA $ 6,500,000 Public7

Liberty Bancshares, Inc. Fort Worth TX$ 6,500,000 Private

Biscayne Bancshares, Inc. Coconut Grove FL$ 6,400,000 Private

First Intercontinental Bank Doraville GA$ 6,398,000 Public3

Premier Financial Corp Dubuque IA$ 6,349,000 Private7

Citizens Commerce Bancshares, Inc. Versailles KY $ 6,300,000 Public 10

Randolph Bank & Trust Company Asheboro NC$ 6,229,000 Public3

Moscow Bancshares, Inc. Moscow TN $ 6,216,000 Private

Patapsco Bancorp, Inc. Dundalk MD $ 6,000,000 Public8

Peninsula Bank Holding Co. Palo Alto CA $ 6,000,000 Public

ICB Financial Ontario CA$ 6,000,000 Public

Gateway Bancshares, Inc. Ringgold GA$ 6,000,000 Private2

Rising Sun Bancorp Rising Sun MD $ 5,983,000 Public 10

IA Bancorp, Inc. Iselin NJ$ 5,976,000 Private

Three Shores Bancorporation, Inc. Orlando FL $ 5,677,000 Private

Waukesha Bankshares, Inc. Waukesha WI$ 5,625,000 Private

Boscobel Bancorp, Inc Boscobel WI$ 5,586,000 Private7

Valley Community Bank Pleasanton CA $ 5,500,000 Public4

First Southwest Bancorporation, Inc. Alamosa CO$ 5,500,000 Private9

The Connecticut Bank and Trust Company Hartford CT $ 5,448,000 Public4

Midtown Bank & Trust Company Atlanta GA$ 5,222,000 Private8

Capital Commerce Bancorp, Inc. Milwaukee WI$ 5,100,000 Private7

Franklin Bancorp, Inc. Washington MO$ 5,097,000 Private

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

Blackridge Financial, Inc. Fargo ND$ 5,000,000 Private

AmFirst Financial Services, Inc. McCook NE$ 5,000,000 Private

Germantown Capital Corporation, Inc. Germantown TN$ 4,967,000 Private

Alaska Pacific Bancshares, Inc. Juneau AK$ 4,781,000 Public

Western Reserve Bancorp, Inc Medina OH$ 4,700,000 Public

Virginia Company Bank Newport News VA$ 4,700,000 Public

CalWest Bancorp Rancho Santa Margarita CA $ 4,656,000 Public6

Georgia Primary Bank Atlanta GA$ 4,500,000 Private 11

Mainline Bancorp, Inc. Ebensburg PA$ 4,500,000 Public

Community Pride Bank Corporation Ham Lake MN$ 4,400,000 Private4

CBB Bancorp Cartersville GA$ 4,397,000 Private

Pinnacle Bank Holding Company, Inc. Orange City FL$ 4,389,000 Private7

Metropolitan Capital Bancorp, Inc. Chicago IL$ 4,388,000 Private

First Business Bank, N.A. San Diego CA$ 4,243,000 Public

Northeast Bancorp Lewiston ME $ 4,227,000 Public

Pacific Commerce Bank Los Angeles CA $ 4,060,000 Public6

Capital Pacific Bancorp Portland OR $ 4,000,000 Public

Todd Bancshares, Inc. Hopkinsville KY $ 4,000,000 Private
30

Carolina Trust Bank Lincolnton NC $ 4,000,000 Public3

Premier Service Bank Riverside CA$ 4,000,000 Public 11

Naples Bancorp, Inc. Naples FL$ 4,000,000 Private5

Investors Financial Corporation of Pettis County, Inc. Sedalia MO$ 4,000,000 Private9

KS Bancorp, Inc. Smithfield NC$ 4,000,000 Public

Community Business Bank West Sacramento CA$ 3,976,000 Public

Fidelity Bancorp, Inc Baton Rouge LA$ 3,942,000 Private

Peoples Bancshares of TN, Inc Madisonville TN$ 3,900,000 Private

Community Bancshares, Inc. Kingman AZ$ 3,872,000 Private

Pathway Bancorp Cairo NE$ 3,727,000 Private 10

Patterson Bancshares, Inc Patterson LA$ 3,690,000 Private

First BancTrust Corporation Paris IL$ 3,675,000 Public

Allied First Bancorp, Inc. Oswego IL$ 3,652,000 Public3

CedarStone Bank Lebanon TN $ 3,564,000 Private

AB&T Financial Corporation Gastonia NC $ 3,500,000 Private4

First Alliance Bancshares, Inc. Cordova TN$ 3,422,000 Private

Madison Financial Corporation Richmond KY$ 3,370,000 Private8

Mountain Valley Bancshares, Inc. Cleveland GA$ 3,300,000 Private

Congaree Bancshares, Inc. Cayce SC $ 3,285,000 Public

Hometown Bancorp of Alabama, Inc. Oneonta AL$ 3,250,000 Private

First Independence Corporation Detroit MI$ 3,223,000 Private

Oregon Bancorp, Inc. Salem OR$ 3,216,000 Public

Crazy Woman Creek Bancorp, Inc. Buffalo WY$ 3,100,000 Public

Grand Mountain Bancshares, Inc. Granby CO$ 3,076,000 Private 11

Lone Star Bank Houston TX $ 3,072,000 Private 12

Sound Banking Company Morehead City NC $ 3,070,000 Public

Tennessee Valley Financial Holdings, Inc. Oak Ridge TN $ 3,000,000 Private9

Beach Business Bank Manhattan Beach CA $ 3,000,000 Public

Bank of Commerce Charlotte NC $ 3,000,000 Public3

Clover Community Bankshares, Inc. Clover SC$ 3,000,000 Private5

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

Marine Bank & Trust Company Vero Beach FL$ 3,000,000 Private6

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

Layton Park Financial Group Milwaukee WI$ 3,000,000 Private

F & C Bancorp, Inc. Holden MO$ 2,993,000 Private

Alliance Bancshares, Inc. Dalton GA$ 2,986,000 Public

Santa Clara Valley Bank, N.A. Santa Paula CA$ 2,900,000 Public8

US Metro Bank Garden Grove CA $ 2,861,000 Public1

Omega Capital Corp. Lakewood CO$ 2,816,000 Private 10

Prairie Star Bancshares, Inc. Olathe KS$ 2,800,000 Private8

SouthFirst Bancshares, Inc. Sylacauga AL$ 2,760,000 Public1

Worthington Financial Holdings, Inc. Huntsville AL$ 2,720,000 Private1

DeSoto County Bank Horn Lake MS$ 2,681,000 Private

Bank of George Las Vegas NV$ 2,672,000 Private4

Manhattan Bancshares, Inc. Manhattan IL$ 2,639,000 Private

Community Investors Bancorp, Inc. Bucyrus OH $ 2,600,000 Public
31

Northern State Bank Closter NJ $ 2,571,000 Private

Goldwater Bank, N.A. Scottsdale AZ $ 2,568,000 Private 8

Community 1st Bank Roseville CA $ 2,550,000 Public 9

Plato Holdings Inc. Saint Paul MN $ 2,500,000 Private

Grand Financial Corporation Hattiesburg MS $ 2,443,320 Private

CSRA Bank Corp. Wrens GA $ 2,400,000 Private 6

Green Circle Investments, Inc. Clive IA $ 2,400,000 Private

Brogan Bankshares, Inc. Kaukauna WI $ 2,400,000 Private 3

Citizens Bank & Trust Company Covington LA $ 2,400,000 Private 5

NEMO Bancshares Inc. Madison MO $ 2,330,000 Private

IBT Bancorp, Inc. Irving TX $ 2,295,000 Private

CenterBank Milford OH $ 2,250,000 Private

Union Financial Corporation Albuquerque NM $ 2,179,000 Private

Security Bancshares of Pulaski County, Inc. Waynesville MO $ 2,152,000 Private

Titonka Bancshares, Inc Titonka IA $ 2,117,000 Private

Ojai Community Bank Ojai CA $ 2,080,000 Public 2

Market Bancorporation, Inc. New Market MN $ 2,060,000 Private 7

Atlantic Bancshares, Inc. Bluffton SC $ 2,000,000 Public 4

Northwest Commercial Bank Lakewood WA $ 1,992,000 Public 2

Fresno First Bank Fresno CA $ 1,968,000 Public 2

Hometown Bancshares, Inc. Corbin KY $ 1,900,000 Private

Monadnock Bancorp, Inc. Peterborough NH $ 1,834,000 Public 5

BCB Holding Company, Inc. Theodore AL $ 1,706,000 Private 4

Maryland Financial Bank Towson MD $ 1,700,000 Private 4

Gold Canyon Bank Gold Canyon AZ $ 1,607,000 Public 8

Hyperion Bank Philadelphia PA $ 1,552,000 Private

Saigon National Bank Westminster CA $ 1,549,000 Public 13

Regional Bankshares, Inc. Hartsville SC $ 1,500,000 Private

Vision Bank - Texas Richardson TX $ 1,500,000 Private

Indiana Bank Corp. Dana IN $ 1,312,000 Private 2

Fort Lee Federal Savings Bank Fort Lee NJ $ 1,300,000 Private 6

First Advantage Bancshares Inc. Coon Rapids MN $ 1,177,000 Private

Riverside Bancshares, Inc. Little Rock AR $ 1,100,000 Private

Independence Bank East Greenwich RI $ 1,065,000 Private

Community Holding Company of Florida, Inc. Miramar Beach FL $ 1,050,000 Private

Calvert Financial Corporation Ashland MO $ 1,037,000 Private

Bank Financial Services, Inc. Eden Prairie MN $ 1,004,000 Private

BankGreenville Greenville SC $ 1,000,000 Public

Gregg Bancshares, Inc. Ozark MO $ 825,000 Private 8

Corning Savings and Loan Association Corning AR $ 638,000 Private

Community Bancshares of Kansas, Inc. Goff KS $ 500,000 Private

Kirksville Bancorp, Inc. Kirksville MO $ 470,000 Private

Farmers & Merchants Financial Corporation Argonia KS $ 442,000 Private

The Freeport State Bank Harper KS $ 301,000 Private

*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original invesment amount 
32

Budget

Object Class 

(BOC) Budget Object Class Title Obligations Expenditures

Projected

Obligations

Projected

Expenditures

PERSONNEL SERVICES 1100 & 1200 PERSONNEL COMPENSATION & BENEFITS $ 85,841,648 $ 85,672,989 $ 88,046,000 $ 87,878,000

PERSONNEL SERVICES Total: $ 85,841,648 $ 85,672,989 $ 88,046,000 $ 87,878,000

2100 TRAVEL & TRANSPORTATION OF PERSONS $ 1,652,503 $ 1,610,528 $ 1,693,000 $ 1,656,000

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

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES $ 758,787 $ 684,024 759,000 685,000

2400 PRINTING & REPRODUCTION $ 402 $ 402 500 500

2500 OTHER SERVICES $ 198,949,574 $ 154,276,471 205,197,000 157,034,000

2600 SUPPLIES AND MATERIALS $ 1,351,787 $ 1,339,275 1,360,000 1,346,000

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

3200 LAND & STRUCTURES $ - $ - - -

4300 INTEREST & DIVIDENDS $ 142 $ 142 150 150

NON-PERSONNEL SERVICES Total: $ 202,978,441 $ 158,166,709 $ 209,275,650 $ 160,977,650

GRAND TOTAL: $ 288,820,089 $ 243,839,697 $ 297,321,650 $ 248,855,650

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

For Period Ending For Period Ending

February 29, 2012 March 31, 2012

NON-PERSONNEL 

SERVICES

United States Department of the Treasury

Office of Financial Stability

Report of Administrative Obligations and Expenditures
33

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

For Period January 2012

Date Approved Type of Transaction Vendor Purpose

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

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

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

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

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

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

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

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

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

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

11/9/2008 Interagency Agreement Internal Revenue Service Detailee

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

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

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

12/5/2008 Interagency Agreement Washington Post Administrative Support

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

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

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

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

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

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

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

1/7/2009 Contract Colonial Parking Inc. Parking

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

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

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

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

2/3/2009 Interagency Agreement Internal Revenue Service Detailees

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

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

2/18/2009 Financial Agent Fannie Mae Homeownership Program

2/18/2009 Financial Agent Freddie Mac Homeownership Program

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

2/20/2009 Interagency Agreement Office of Thrift Supervision Detailees
34

Date Approved Type of Transaction Vendor Purpose

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

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

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

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

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

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

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

3/30/2009 Contract Bingham Mccutchen LLP Legal Advisory

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

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

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

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

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

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

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

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

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

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

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

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

4/30/2009 Interagency Agreement State Department Detailee

5/5/2009 Interagency Agreement Federal Reserve Board Detailee

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

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

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

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

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

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

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

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

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

7/15/2009 Interagency Agreement Judicial Watch Legal Advisory

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

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

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

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

8/10/2009 Interagency Agreement Department of Justice Detailee

8/10/2009 Interagency Agreement NASA Detailee

8/18/2009 Contract Mercer (US) Inc. Subscription Services
35

Date Approved Type of Transaction Vendor Purpose

8/25/2009 Interagency Agreement Department of Justice Detailee

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

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

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

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

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

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

9/30/2009 Contract NNA Inc. Administrative Support

9/30/2009 Contract SNL Financial LC Subscription Services

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

12/16/2009 Interagency Agreement Internal Revenue Service Detailee

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

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

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

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

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

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

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

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

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

2/16/2010 Interagency Agreement Internal Revenue Service Detailee

2/16/2010 Contract The Mitre Corporation Information Technology

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

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

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

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

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

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

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

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

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

4/22/2010 Contract Microlink Llc Information Technology

4/23/2010 Contract RDA Corporation* Information Technology

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

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

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

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

7/21/2010 Contract Navigant Consulting Inc. Compliance

7/21/2010 Contract Regis & Associates PC* Compliance
36

Date Approved Type of Transaction Vendor Purpose

7/22/2010 Contract Ernst & Young LLP Compliance

7/22/2010 Contract PricewaterhouseCoopers LLP-1 Compliance

7/22/2010 Contract Schiff Hardin LLP Legal Advisory

7/27/2010 Contract West Publishing Corporation Administrative Support

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

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

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

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

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

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

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

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

8/6/2010 Contract Perkins Coie LLP Legal Advisory

8/6/2010 Contract Seyfarth Shaw LLP Legal Advisory

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

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

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

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

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

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

9/17/2010 Contract Bingham Mccutchen LLP Legal Advisory

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

9/30/2010 Contract CCH Incorporated Administrative Support

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3/3/2011 Contract Equilar Inc.* Administrative Support

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

3/22/2011 Contract Harrison Scott Publications Subscription Services

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

4/20/2011 Interagency Agreement Federal Reserve Bank of New York Financial Reporting
37

Date Approved Type of Transaction Vendor Purpose

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

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

4/27/2011 Contract MorganFranklin Corporation Financial Services

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

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

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

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

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

4/28/2011 Contract KPMG LLP Financial Services

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

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

5/31/2011 Contract West Publishing Corporation Subscription Services

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

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

6/17/2011 Contract Winvale Group LLC Subscription Services

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

9/9/2011 Interagency Agreement Financial Management Service Interns

9/12/2011 Contract ADC LTD NM Legal Services

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

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

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

10/4/2011 Interagency Agreement Internal Revenue Service Detailee

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

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

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

12/20/2011 Contract Allison Group LLC* Training

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

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

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

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

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

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

2/27/2012 Contract Diversified Search LLC Financial Advisory

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

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

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

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

  Previously listed separate contracts for various training.

** *** Service Disabled Veteran; HubZone business
38

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

For Period Ending February 29, 2012

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. 
39

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

1b 10/28/2008 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants $ 15,000,000,000 Par 12/9/2009 4 $ 15,000,000,000 $ 0 Warrants 3/3/2010 Warrants 1b A $ 186,342,969 

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

11, 23 - 

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

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

10/28/2008 JPMorgan Chase & Co. New York NY Preferred Stock w/ Warrants $ 25,000,000,000 Par 6/17/2009 4 $ 25,000,000,000 $ 0 Warrants 12/10/2009 Warrants A $ 950,318,243 

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

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

10/28/2008 Wells Fargo & Company San Francisco CA Preferred Stock w/ Warrants $ 25,000,000,000 Par 12/23/2009 4 $ 25,000,000,000 $ 0 Warrants 5/20/2010 Warrants A $ 849,014,998 

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

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

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

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

11/14/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants $ 3,500,000,000 Par 3/30/2011 4 $ 3,500,000,000 $ 0 Warrants 9/22/2011 Warrants A $ 14,269,536 

3a, 72 - 

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

11/14/2008 Washington Federal, Inc. Seattle WA Preferred Stock w/ Warrants $ 200,000,000 Par 5/27/2009 4 $ 200,000,000 $ 0 Warrants 3/9/2010 Warrants A $ 15,623,222 

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

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 $ 214,181,000 $ 0 Warrants 3/31/2010 Warrants 9 R $ 4,500,000 

11/14/2008 Comerica Inc. Dallas TX Preferred Stock w/ Warrants $ 2,250,000,000 Par 3/17/2010 4 $ 2,250,000,000 $ 0 Warrants 5/6/2010 Warrants A $ 183,673,472 

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 $ 3,555,199,000 $ 0 Warrants 12/3/2009 Warrants A $ 148,731,030 

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

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

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

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

Warrants 

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

Warrants 

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

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

44 - 

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

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

11/14/2008 TCF Financial Corporation Wayzata MN Preferred Stock w/ Warrants $ 361,172,000 Par 4/22/2009 4 $ 361,172,000 $ 0 Warrants 12/15/2009 Warrants A $ 9,599,964 

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

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

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

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

Warrants

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

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

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

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

Warrants

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

Warrants

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

Beverly Hills 

Wayne NJ Preferred Stock w/ Warrants 5/18/2010 Warrants A $ 5,571,592 

City National Corporation

Footnote

11/14/2008 Valley National Bancorp Par 

11/21/2008

Waterbury 

Purchase Date 

Seller 

$ 300,000,000

Webster Financial Corporation

Purchase Details

CA $ 400,000,000 Par 

Capital 

Repayment Date

Par 

Disposition 

Investment 

Description

11/21/2008 6/2/2011 Warrants

4/7/2010 Warrants

CT 

Transactions Report - Investment Programs

For Period Ending February 29, 2012

Final Disposition

CAPITAL PURCHASE PROGRAM

Capital Repayment Details

Preferred Stock w/ Warrants $ 400,000,000

 Treasury Investment Remaining

After Capital Repayment

R $ 18,500,000 

A $ 20,678,339 

Preferred Stock w/ Warrants 
40

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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 

47 - 

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

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

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

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

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

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

Warrants

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

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

Warrants

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

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

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 

66 - 

11/30/2011 11/21/2008 BBCN Bancorp, Inc.(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 $ 89,388,000 Par 

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 11/23/2011 4 $ 193,000,000 $ 0 Warrants 12/21/2011 Warrants R $ 900,000 

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

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

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

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

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

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

Warrants

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

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

Warrants

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

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

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

26 - 

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

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

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

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

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

Warrants 

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

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, 54 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 $ 28,000,000 $ 0 Warrants 11/18/2011 Warrants P $ 1,703,984 

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

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

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

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

32 - 

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

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

Ontario Warrants

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

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

$ 130,000,000

$ 525,000,000

Par 

Par 

Par 

Preferred Stock w/ Warrants 

$ 83,094,000

Eagle Bancorp, Inc.

12/5/2008 R

11/30/2011 Warrants

9

 $ 3,584,977 

10/28/2009

2/23/2011 Warrants

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

R $ 4,450,000 

 $ 1,307,000 

Boston Private Financial Holdings, Inc. MA Preferred Stock w/ Warrants $ 154,000,000 Par 2/1/2011 Warrants A $ 6,352,500 

12/5/2008

CVB Financial Corp

Boston 

11/18/2011 Warrants

Par 

11/21/2008

Sandy Spring Bancorp, Inc.

CA 

49 P

A
41

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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

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

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

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

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

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

43 - 

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

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

Warrants

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

12/12/2008 Signature Bank New York NY Preferred Stock w/ Warrants $ 120,000,000 Par 3/31/2009 4 $ 120,000,000 $ 0 Warrants 3/10/2010 Warrants A $ 11,320,751 

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 $ 75,000,000 $ 0 Warrants 11/24/2009 Warrants R $ 2,650,000 

66 - 

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

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

12/12/2008 Sterling Bancshares, Inc. Houston TX Preferred Stock w/ Warrants $ 125,198,000 Par 5/5/2009 4 $ 125,198,000 $ 0 Warrants 6/9/2010 Warrants A $ 3,007,891 

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

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

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 

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

Warrants $ 74,426,000 Par 

12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/ Warrants $ 95,000,000 Par 12/28/2011 4 $ 23,750,000 $ 71,250,000 Preferred Stock w/ 

Warrants

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 $ 22,000,000 $ 0 Warrants 12/16/2009 Warrants R $ 568,700 

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

12/19/2008 The Connecticut Bank and Trust Company Hartford CT Preferred Stock w/ Warrants $ 5,448,000 Par 

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

64 - 

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

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

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

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

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 $ 40,000,000 $ 0 Warrants 6/24/2009 Warrants R $ 1,040,000 

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

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

50 12/19/2008 Horizon Bancorp Michigan City IN Preferred Stock w/ Warrants 

12/12/2008 PA 1/19/2011 R $ 5,269,179 

$ 25,000,000 Par 11/18/2011 Warrants P $ 1,750,551 

$ 300,000,000

Warrants

Susquehanna Bancshares, Inc Lititz Preferred Stock w/ Warrants Par Warrants
42

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

30 - 

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

12/19/2008 Wintrust Financial Corporation Lake Forest IL Preferred Stock w/ Warrants $ 250,000,000 Par 12/22/2010 4 $ 250,000,000 $ 0 Warrants 2/8/2011 Warrants A $ 25,964,061 

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

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

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

Warrants

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

18 12/19/2008 Union First Market Bankshares Corporation

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

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

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

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

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

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

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

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

Warrants

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

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

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

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

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

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

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

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

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

12/23/2008 First Financial Bancorp Cincinnati OH Preferred Stock w/ Warrants $ 80,000,000 Par 2/24/2010 5 $ 80,000,000 $ 0 Warrants 6/2/2010 Warrants 9 A $ 3,116,284 

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

Warrants

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

12/23/2008 International Bancshares Corporation Laredo TX Preferred Stock w/ Warrants $ 216,000,000 Par 

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

Warrants

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

12/23/2008 Park National Corporation Newark OH Preferred Stock w/ Warrants $ 100,000,000 Par 

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

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

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

Warrants

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

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

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

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

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

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

39- 

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

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

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

12/23/2008 Peoples Bancorp of North Carolina, Inc. Newton NC Preferred Stock w/ Warrants $ 25,054,000 Par 

67 - 

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

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

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

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

R $ 1,395,000 

5/11/2011 Warrants R $ 2,079,963 

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

12/23/2008 Par 

Warsaw NY Preferred Stock w/ Warrants 

Bridge Capital Holdings Preferred Stock w/ Warrants 

12/23/2008 Financial Institutions, Inc.

4/20/2011 Warrants

$ 37,515,000 Par 

San Jose CA $ 23,864,000
43

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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

3, 30 - 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

12/31/2008 SunTrust Banks, Inc. Atlanta GA Preferred Stock w/ Warrants $ 1,350,000,000 Par 3/30/2011 4 $ 1,350,000,000 $ 0 Warrants 9/22/2011 Warrants A $ 16,224,035 

12/31/2008 The PNC Financial Services Group Inc. Pittsburgh PA Preferred Stock w/ Warrants $ 7,579,200,000 Par 2/10/2010 4 $ 7,579,200,000 $ 0 Warrants 4/29/2010 Warrants A $ 324,195,686 

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

31 - 

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

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

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

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

1a, 1b 1/9/2009 Bank of America Corporation Charlotte NC Preferred Stock w/ Warrants $ 10,000,000,000 Par 12/9/2009 4 $ 10,000,000,000 $ 0 Warrants 3/3/2010 Warrants 1b A $ 124,228,646 

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

1/9/2009 Farmers Capital Bank Corporation Frankfort KY Preferred Stock w/ Warrants $ 30,000,000 Par 

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

Warrants

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

Warrants

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

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

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

Warrants 

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

65 - 

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

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

37, 46 - 

6/17/2011 1/9/2009 Central Pacific Financial Corp. Honolulu HI Common Stock w/ Warrants $ 135,000,000 Par 6/17/2011 46 $ 35,883,281 $ 99,116,719 Common Stock w/ Warrants

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

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

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

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

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

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

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

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

1/9/2009 C&F Financial Corporation West Point VA Preferred Stock w/ Warrants $ 20,000,000 Par 7/27/2011 4 $ 10,000,000 $ 10,000,000 Preferred Stock w/ 

Warrants 

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

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

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

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

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

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

Par 8/18/2011 Preferred Stock R $ 690,000 

Par 

Magna Bank Memphis TN $ 13,795,000

1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Preferred Stock w/ Warrants $ 28,685,000

2, 49 12/23/2008 Preferred Stock w/ Exercised Warrants 2, 7
44

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

28 - 

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

1/16/2009 Texas Capital Bancshares, Inc. Dallas TX Preferred Stock w/ Warrants $ 75,000,000 Par 5/13/2009 4 $ 75,000,000 $ 0 Warrants 3/11/2010 Warrants A $ 6,709,061 

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 $ 18,980,000 $ 0 N/A N/A N/A - N/A 

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

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 $ 38,263,000 $ 0 Warrants 2/3/2010 Warrants 9 R $ 430,797 

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

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

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

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

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

3, 30 - 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3, 30 - 

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

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

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

2 1/16/2009

9/15/2011 Preferred Stock 2,7 R $ 283,000 

Preferred Stock 2, 7 State Bankshares, Inc. Fargo ND Preferred Stock w/ Exercised Warrants $ 50,000,000 Par 6/29/2011

2, 49 1/16/2009 United Financial Banking Companies, Inc. Vienna VA Preferred Stock w/ Exercised Warrants $ 5,658,000 Par 

R $ 2,500,000 
45

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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 

2 1/23/2009 CalWest Bancorp Rancho Santa 

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

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

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

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

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

2 1/23/2009 Moscow Bancshares, Inc. Moscow TN Preferred Stock w/ Exercised Warrants $ 6,216,000 Par 

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

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

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

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

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

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

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

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

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

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

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

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

Warrants

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1/30/2009 Guaranty Federal Bancshares, Inc. Springfield MO Preferred Stock w/ Warrants $ 17,000,000 Par 

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

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

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

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

Exercised Warrants

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

Exercised Warrants

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

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

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

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

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

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

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

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

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

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

2 FPB Financial Corp.

Preferred Stock w/ Warrants $ 39,000,000 Par 

LA 

2/15/2012 Warrants R

6/16/2010 Preferred Stock

 $ 1,200,724 

2, 7

2 1/30/2009

1/30/2009 Peoples Bancorp Inc. Marietta 

$ 6,000,000

Preferred Stock w/ Exercised Warrants $ 3,240,000

Beach Business Bank Manhattan Beach CA 

OH 

Hammond 

Preferred Stock w/ Exercised Warrants Par 

1/23/2009 Par R $ 162,000 
46

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

2, 13 - 

10/30/2009, 

49

1/30/2009 WashingtonFirst Bankshares, Inc. 

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

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

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

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

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

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

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

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

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

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

Warrants

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

Warrants

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

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

30 - 

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

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

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

3, 30 - 

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

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

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

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

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

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

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

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

3, 30 - 

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

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

18 2/6/2009 Union First Market Bankshares Corporation

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

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

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

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

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

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

2 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 12/3/2010 34 $ 1,742,850 $ 0 N/A N/A N/A 34 - N/A 

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

2 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 10/19/2011 4 $ 3,756,000 $ 0 Preferred Stock 2 10/19/2011 Preferred Stock 2, 7 R $ 188,000 

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

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

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

Warrants 

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

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

Warrants 

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

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

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

58 - 

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

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

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

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

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

2/6/2009 Lakeland Bancorp, Inc. Oak Ridge NJ Preferred Stock w/ Warrants $ 59,000,000 Par 2/29/2012 R $ 2,800,000 

Westamerica Bancorporation

SD 

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

2 2/6/2009 Stockmens Financial Corporation

2/13/2009 San Rafael 11/18/2011 Warrants P $ 878,256 

Rapid City Par 

Preferred Stock w/ Warrants $ 83,726,000 Par 

Preferred Stock w/ Exercised Warrants $ 15,568,000

CA

Warrants

3/16/2011 Preferred Stock R $ 778,000 2, 7
47

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

2, 30 - 

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

2, 7, 

30a R $ 750,000 

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

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

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

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

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

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

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

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

2, 30 - 

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

2, 7, 

30a R $ 110,000 

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

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

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

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

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

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

2 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 9/22/2011 50 $ 69,600,000 $ 0

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

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

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

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

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

2, 30 - 

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

2, 7, 

30a R $ 100,000 

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

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

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

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

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

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

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

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

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

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

2, 30 - 

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

2, 7, 

30a R $ 2,400,000 

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

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

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

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

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

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

30 - 

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

2/27/2009 Southern First Bancshares, Inc. Greenville SC Preferred Stock w/ Warrants $ 17,299,000 Par 

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

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

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

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

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

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

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

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

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

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

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

27, 49, 50 2/20/2009 First Merchants Corporation Muncie IN Warrants 11/18/2011 Warrants P $ 367,500 
48

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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

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

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

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

2, 30 - 

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

2, 7, 

30a R $ 464,000 

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

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

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

2, 13 - 

12/4/2009, 

49

2/27/2009 The Victory Bancorp, Inc. 

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

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

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

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

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

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

3, 30 - 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

2 3/6/2009 Community Bancshares of Kansas, Inc. Goff KS Preferred Stock w/ Exercised Warrants $ 500,000 Par 

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 

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

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

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

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

3, 30 - 

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

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

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

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

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

2 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 $ 6,000,000 $ 0 N/A N/A N/A - N/A 

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

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

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

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

2 3/13/2009 First Intercontinental Bank Doraville GA Preferred Stock w/ Exercised Warrants $ 6,398,000 Par 
49

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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

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

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

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

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

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

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

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

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

2 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 10/26/2011 4 $ 574,000 $ 0 Preferred Stock 2 10/26/2011 Preferred Stock 2, 7 R $ 29,000 

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

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

2 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 Allen 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 $ 2,795,000 $ 0 N/A N/A N/A - N/A 

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

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

2 4/3/2009 Titonka Bancshares, Inc Titonka IA Preferred Stock w/ Exercised Warrants $ 2,117,000 Par 

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

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

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

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

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

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

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

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

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

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

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 

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

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

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

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

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

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

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

Debentures 8

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

Debentures 8

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

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

Debentures $ 3,000,000 Par 10/6/2010 8

Subordinated Debentures w/ Exercised 

Warrants Austin TX
50

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

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

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

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

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

Debentures 8 10/5/2011 Subordinated Debentures 8 7 R $ 305,000 

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

Warrants $ 10,750,000 Par 

2, 13 - 

8/31/2010, 

49

5/8/2009 Highlands Bancorp, Inc. 

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

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

2 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 $ 3,000,000 Par 

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

Warrants $ 4,000,000 Par 

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

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

Debentures 8 9/15/2011 Subordinated Debentures 8

7 R $ 682,000 

3, 8, 30 - 

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

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

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

3, 8, 30 - 

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

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

Warrants $ 5,586,000 Par 

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

Warrants $ 2,400,000 Par 

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

Warrants $ 1,100,000 Par 

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

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

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 132,000 

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

Warrants $ 20,300,000 Par 

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

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

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

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

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

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

Warrants $ 20,400,000 Par 

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

Warrants $ 6,349,000 Par 

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

Warrants $ 2,993,000 Par 

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

Warrants $ 20,445,000 Par 

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

Warrants $ 14,400,000 Par 

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

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

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

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

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

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

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

Warrants $ 3,942,000 Par 
51

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

Warrants $ 19,817,000 Par 

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

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

Warrants $ 17,969,000 Par 

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

Warrants $ 17,300,000 Par 

2, 60 - 

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

2, 10, 30 - 

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

2, 7, 

30a R $ 245,000 

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

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

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

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

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

Debentures 8 9/22/2011 Subordinated Debentures 8

7 R $ 113,000 

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

Warrants $ 15,000,000 Par 

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

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

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

Warrants $ 2,639,000 Par 

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

Warrants $ 6,400,000 Par 

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

Warrants $ 12,000,000 Par 

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

Warrants $ 12,000,000 Par 

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

Warrants $ 10,000,000 Par 

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

Warrants $ 2,330,000 Par 

3, 8, 30 - 

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

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

Warrants $ 15,000,000 Par 

6/26/2009 Hartford Financial Services Group, Inc. Hartford CT Preferred Stock w/ Warrants $ 3,400,000,000 Par 3/31/2010 4 $ 3,400,000,000 $ 0 Warrants 9/21/2010 Warrants A $ 713,687,430 

2, 40 - 

3/23/2011, 

49

6/26/2009 Veritex Holdings, Inc.

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

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

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

2, 10, 30 - 

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

2, 7, 

30a R $ 522,000 

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

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

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

2, 3, 10, 30 - 

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

2, 41 - 

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

2, 41 - 

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

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

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

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

Debentures 8 1/18/2012 Subordinated Debentures 8 7 R $ 1,245,000 

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

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

Debentures 8 12/15/2010 Subordinated Debentures 8

7 R $ 85,000 

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

Warrants $ 35,000,000 Par 

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

Warrants $ 12,000,000 Par 

7/10/2009 Lincoln National Corporation Radnor PA Preferred Stock w/ Warrants $ 950,000,000 Par 6/30/2010 4 $ 950,000,000 $ 0 Warrants 9/16/2010 Warrants A $ 216,620,887 

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

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

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

2, 3 7/17/2009 Harbor Bankshares Corporation Baltimore MD Preferred Stock $ 6,800,000 Par 
52

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

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

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

Subordinated 

Debentures w/ 

Exercised Warrants

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

Warrants $ 8,400,000 Par 

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

Warrants $ 2,500,000 Par 

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

Subordinated 

Debentures w/ 

Exercised Warrants

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

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

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

Debentures 8 9/1/2011 Subordinated Debentures 8

7 R $ 112,000 

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

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

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

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

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

Warrants $ 5,000,000 Par 

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

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

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

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

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

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 292,000 

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

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

Debentures 8 9/22/2011 Subordinated Debentures 8

7 R $ 51,000 

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

2, 30 - 

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

2, 7, 

30a R $ 2,600,000 

2, 10 9/11/2009 Heartland Bancshares, Inc. Franklin IN Preferred Stock w/ Exercised Warrants $ 7,000,000 Par 

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

8, 30 - 

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

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

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

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

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

Exercised Warrants

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

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

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

Warrants $ 2,443,320 Par 

3, 8, 30 - 

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

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

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

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

Debentures 8 9/1/2011 Subordinated Debentures 8

7 R $ 331,000

10/2/2009 Premier Financial Bancorp, Inc. Huntington WV Preferred Stock w/ Warrants $ 22,252,000 Par 

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

2, 10, 69 - 

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

2, 7, 

69 R $ 381,000

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

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

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 313,000

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

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

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

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

8, 10 11/13/2009 Community Pride Bank Corporation Ham Lake MN Subordinated Debentures w/ Exercised 

Warrants $ 4,400,000 Par 

2, 10a 11/13/2009 HPK Financial Corporation Chicago IL Preferred Stock w/ Exercised Warrants $ 5,000,000 Par 

2, 10 11/20/2009 Presidio Bank San Francisco CA Preferred Stock w/ Exercised Warrants $ 10,800,000 Par 

2, 50 11/20/2009 McLeod Bancshares, Inc. Shorewood MN Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 8/18/2011 50 $ 6,000,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 300,000

2, 10a 11/20/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock $ 2,348,000 Par 

2, 10, 50 9/25/2009 Heritage Bankshares, Inc. Norfolk VA Preferred Stock w/ Exercised Warrants $ 10,103,000 Par 8/11/2011 Preferred Stock $ 303,000 2, 7 R
53

Name of Institution City State Investment Description Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Footnote Purchase Date Proceeds 

Seller Purchase Details

Capital 

Repayment Date

Disposition 

Investment 

Description

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

3, 10a, 72 - 

2/10/2012 12/4/2009 Broadway Financial Corporation Los Angeles CA Preferred Stock $ 6,000,000 Par 

2 12/4/2009 Delmar Bancorp Delmar MD Preferred Stock w/ Exercised Warrants $ 9,000,000 Par 

2, 10 12/4/2009 Liberty Bancshares, Inc. Fort Worth TX Preferred Stock w/ Exercised Warrants $ 6,500,000 Par 

2 12/11/2009 First Community Financial Partners, Inc. Joliet IL Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 

2, 10 12/11/2009 Wachusett Financial Services, Inc. Clinton MA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 

8 12/11/2009 Nationwide Bankshares, Inc. West Point NE Subordinated Debentures w/ Exercised 

Warrants $ 2,000,000 Par 12/29/2010 4 $ 2,000,000 $ 0 Subordinated 

Debentures 8 12/29/2010 Subordinated Debentures 8

7 R $ 100,000

2, 10a, 49 12/11/2009 GrandSouth Bancorporation Greenville SC Preferred Stock $ 6,319,000 Par 9/8/2011 49 $ 6,319,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/11/2009 1st Enterprise Bank Los Angeles CA Preferred Stock $ 6,000,000 Par 9/1/2011 49 $ 6,000,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/11/2009 First Resource Bank Exton PA Preferred Stock $ 2,417,000 Par 9/15/2011 49 $ 2,417,000 $ 0 N/A N/A N/A - N/A

2, 10a 12/11/2009 First Western Financial, Inc. Denver CO Preferred Stock $ 11,881,000 Par 

2, 10a 12/11/2009 Meridian Bank Devon PA Preferred Stock $ 6,335,000 Par 

2, 10a, 49 12/11/2009 The Victory Bancorp, Inc. Limerick PA Preferred Stock w/ Exercised Warrants $ 1,505,000 Par 9/22/2011 49 $ 1,505,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 34,000

2, 10a 12/11/2009 First Business Bank, N.A. San Diego CA Preferred Stock $ 2,032,000 Par 

2 12/18/2009 Layton Park Financial Group Milwaukee WI Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 

2, 10, 49 12/18/2009 Centric Financial Corporation Harrisburg PA Preferred Stock w/ Exercised Warrants $ 6,056,000 Par 7/14/2011 49 $ 6,056,000 $ 0 Preferred Stock 2 7/14/2011 Preferred Stock 2, 7 R $ 182,000

2, 49 12/18/2009 Valley Financial Group, Ltd., 1st State Bank Saginaw MI Preferred Stock w/ Exercised Warrants $ 1,300,000 Par 9/22/2011 49 $ 1,300,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 65,000

2, 10a, 49 12/18/2009 Cache Valley Banking Company Logan UT Preferred Stock $ 4,640,000 Par 7/14/2011 49 $ 4,640,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/18/2009 Birmingham Bloomfield Bancshares, Inc Birmingham MI Preferred Stock $ 1,744,000 Par 7/28/2011 49 $ 1,744,000 $ 0 N/A N/A N/A - N/A

2, 10a 12/18/2009 First Priority Financial Corp. Malvern PA Preferred Stock $ 4,596,000 Par 

2, 10a 12/18/2009 Northern State Bank Closter NJ Preferred Stock $ 1,230,000 Par 

2, 10a, 49 12/18/2009 Union Bank & Trust Company Oxford NC Preferred Stock $ 2,997,000 Par 9/22/2011 49 $ 2,997,000 $ 0 N/A N/A N/A N/A 

2, 10 12/22/2009 First Freedom Bancshares, Inc. Lebanon TN Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 

2, 10a, 30 - 

9/24/2010 12/22/2009 First Choice Bank Cerritos CA Preferred Stock $ 2,836,000 Par 9/24/2010 4 $ 2,836,000 $ 0 N/A N/A N/A - N/A 

2, 10a, 13 - 

8/31/2010, 

49

12/22/2009 Highlands Bancorp, Inc. 

(Highlands State Bank) Vernon NJ Preferred Stock $ 2,359,000 Par 9/22/2011 49 $ 2,359,000 $ 0 N/A N/A N/A N/A 

2, 10a, 49 12/22/2009 Medallion Bank Salt Lake City UT Preferred Stock w/ Exercised Warrants $ 9,698,000 Par 7/21/2011 49 $ 9,698,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 55,000

2, 10a, 49 12/22/2009 Catskill Hudson Bancorp, Inc Rock Hill NY Preferred Stock w/ Exercised Warrants $ 3,500,000 Par 7/21/2011 49 $ 3,500,000 $ 0 Preferred Stock 2 7/21/2011 Preferred Stock 2, 7 R $ 113,000

2, 10a 12/22/2009 TriSummit Bank Kingsport TN Preferred Stock $ 4,237,000 Par 

2, 10 12/29/2009 Atlantic Bancshares, Inc. Bluffton SC Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 

2, 10 12/29/2009 Union Financial Corporation Albuquerque NM Preferred Stock w/ Exercised Warrants $ 2,179,000 Par 

2 12/29/2009 Mainline Bancorp, Inc. Ebensburg PA Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 

8, 10, 38 12/29/2009 FBHC Holding Company Boulder CO Subordinated Debentures w/ Exercised 

Warrants $ 3,035,000 Par 3/9/2011 38 $ 650,000 $ 0 N/A N/A N/A N/A 

2, 10a 12/29/2009 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock $ 4,567,000 Par 

2, 10a 12/29/2009 DeSoto County Bank Horn Lake MS Preferred Stock $ 1,508,000 Par 

2, 10a, 30 - 

9/29/2010 12/29/2009 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 2,453,000 Par 9/29/2010 4 $ 2,453,000 $ 0 N/A N/A N/A - N/A 

2, 10a 12/29/2009 Private Bancorporation, Inc. Minneapolis MN Preferred Stock $ 3,262,000 Par 

2, 10a 12/29/2009 CBB Bancorp Cartersville GA Preferred Stock $ 1,753,000 Par 

2, 10a, 49 12/29/2009 Illinois State Bancorp, Inc. Chicago IL Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 9/22/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 92,000

Total Purchase Amount * $ 204,943,827,320 $ 185,563,607,563 $ 7,673,585,865

$ (2,627,413,026)

$ 16,752,806,731

Notes appear on the following page.

*** 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 has completed a sale (see Notes 26, 32, 33, 34, 38, 39, 42, 47, 59, 64), but excludes investment amounts for institutions that have 

pending receivership or bankruptcy proceedings (see Notes 14, 25, 51, 52, 53, 54, 55, 56, 57, 61, 63, 70, and 71).

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.

Total Warrant Proceeds****

Losses***

Total Repaid **

  Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a).

**  Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) the 

amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
54

35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 

1/28/2011.

34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.

25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.

30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below. 

26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 

5/18/2010.

29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus 

$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Pacific Capital has agreed to have Treasury observers 

attend board of directors meetings.

30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.

32/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the preferred stock and $40,000 for the warrants, pursuant to the terms of the agreement between Treasury and NAFH entered into 

on 9/24/2010.

31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the 

conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock. 

33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all preferred stock and warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.

28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the 

completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury 

observer attend board of directors meetings.

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

10/ This institution participated in the expansion of CPP for small banks.

10a/ This institution received an additional investment through the expansion of CPP for small banks.

11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual 

Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted 

to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.

5/ Redemption pursuant to a qualified equity offering.

6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

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.

1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP 

1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP 

warrants on 3/3/2010 appear on a following page of this report. 

2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.

3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the 

conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock. 

12/ On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction. 

14/ As of the date of this report, this institution is in bankruptcy proceedings. 

22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the 

fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.

15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution in a negotiated sale pursuant to the terms of the related securities purchase agreement, "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering 

of the warrants issued by the financial institution, and "P" represents the proceeds to Treasury, before placement expenses, from a sale by Treasury in a private auction principally involving qualified institutional buyers.

13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.

21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.

16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were 

17/ On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.

18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's 

19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.

20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by 

MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.

23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury 

gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On 

May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 

23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010. 

On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on 

December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by Morgan Stanley, the 

weighted average price per share and the total proceeds to Treasury from all such sales during those periods.

36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of 

Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.

37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 

3/9/2011.

40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the 

acquired company and the acquiror entered into on 3/23/2011.

39/ On 5/31/2011, Treasury completed the sale of all preferred stock and warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to other 

classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
55

49/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the Small Business Lending Fund.

50/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with the institution’s participation in the Small Business Lending Fund. 

51 / On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

52/ On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

53/ On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

54/ On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

55/ On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

56/ On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

57/ On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

63/ On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

64/ On 10/21/2011, Treasury completed the sale of all Santa Lucia Bancorp preferred stock and warrants held by Treasury to CCI One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000.00, pursuant to the terms of the agreement between Treasury and CCI entered into on 10/20/2011.

71/ On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

72/ On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.

68/ As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 

1/1/2012.

66/ As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, 

and BBCN Bancorp, Inc. entered into on 11/30/2011.

59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.

45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the 

warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.

58/ On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.

47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.

46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011.

65/ As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB 

entered into on 11/15/2011.

67/ On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to 

the terms of the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.

70/ On 1/27/2012, Tennessee Commerce Bank, Franklin, TN was closed by the Tennessee Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

69/ On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been 

issued to Treasury by Regents.

44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal 

to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.

62/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending Fund, which occurred at a later date.

61/ On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

60/ As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of 

an agreement among Treasury, the acquired company and the acquiror entered into on 9/16/2011.

43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation, 

pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.

42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.

41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, 

Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
56

Pricing Mechanism6 Number of Shares Proceeds7

4/26/2010 -

5/26/2010

1

$4.1217 1,500,000,000 $ 6,182,493,158 

5/26/2010 - 

6/30/2010

2

$3.8980 1,108,971,857 $ 4,322,726,825 

7/23/2010 - 

9/30/2010

3

$3.9090 1,500,000,000 $ 5,863,489,587 

10/19/2010 - 

12/6/2010

4

$4.2609 1,165,928,228 $ 4,967,921,811 

12/6/2010

5

$4.3500 2,417,407,607 $ 10,515,723,090 

Total Proceeds: $31,852,354,471

4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of 

common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.

5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.

6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.

7/ Amount represents the gross proceeds to Treasury.

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.

COMMON STOCK DISPOSITION

Date

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. 

2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. 

3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common 

stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
57

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Amount

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ - $ 14,000,000 Par 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 10,189,000 $ 22,115,000 Par 

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 22,800,000 $ 33,800,000 Par 

1 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 $ - $ 6,784,000 Par 

1 8/13/2010 Citizens Bancshares Corporation Atlanta GA Preferred Stock $ 7,462,000 $ - Par 

2a 9/17/2010 Preferred Stock $ - $ 4,379,000 $ 11,841,000 Par 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ - $ 3,000,000 Par 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ - $ 17,000,000 Par 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ - $ 2,795,000 Par 

1 8/20/2010 Mission Valley Bancorp Sun Valley CA Preferred Stock $ 5,500,000 $ - Par 

2a 9/24/2010 Preferred Stock $ - $ 4,836,000 $ 10,336,000 Par 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ - $ 11,735,000 Par 

1, 3 8/27/2010 Carver Bancorp, Inc New York NY Common Stock $ 18,980,000 $ - $ 18,980,000 Par 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ - $ 3,154,000 Par 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ - $ 10,300,000 Par 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ - $ 6,000,000 Par 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 $ 3,881,000 $ 8,086,000 Par 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ - $ 5,781,000 Par 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ - $ - $ 5,457,000 Par 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ - $ 4,520,000 Par 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ - $ 300,000 Par 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 7,875,000 $ - $ 7,875,000 Par 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 5,689,000 $ 11,334,000 Par 

1 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ - $ 5,146,000 Par 

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ - $ - $ 3,372,000 Par 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ - $ - $ 1,915,000 Par 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 898,000 Par 

9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ - $ - $ 2,500,000 Par 

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 283,000 Par 

9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ - $ - $ 1,657,000 Par 

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ - $ - $ 10,000 Par 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ - $ - $ 145,000 Par 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 424,000 Par 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ - $ - $ 2,234,000 Par 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ - $ - $ 435,000 Par 

9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 743,000 Par 

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/24/2010 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA Subordinated Debentures $ - $ - $ 75,000 Par 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ - $ - $ 153,000 Par 

9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ - $ - $ 2,500,000 Par 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ - $ - $ 2,799,000 Par 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ - $ - $ 273,000 Par 

9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ - $ - $ 2,650,000 Par 

9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ - $ 1,096,000 Par 

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ - $ - $ 1,600,000 Par 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ - $ - $ 2,828,000 Par 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ - $ - $ 350,000 Par 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ - $ - $ 8,044,000 Par 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 18,000,000 $ 4,000,000 $ 22,000,000 Par 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 $ 2,313,000 $ 4,060,000 Par 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 5,000,000 $ 12,123,000 $ 17,123,000 Par 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 50,400,000 $ 30,514,000 $ 80,914,000 Par 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 30,000,000 $ - $ 30,000,000 Par 

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 15,750,000 $ - $ 15,750,000 Par 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 4,551,000 $ - $ 4,551,000 Par 

1 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ - $ 9,734,000 Par 

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 54,600,000 $ - $ 54,600,000 Par 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 6,245,000 $ - $ 6,245,000 Par 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ - $ 17,910,000 Par 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ - $ 5,250,000 Par 

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details Disposition Details

Date
58

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Footnote Purchase Date Amount

Seller Purchase Details Disposition Details

Date

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ - $ - $ 7,922,000 Par 

9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ - $ - $ 3,297,000 Par 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ - $ - $ 1,709,000 Par 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 14,000 Par 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ - $ - $ 502,000 Par 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ - $ - $ 2,646,000 Par 

9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ - $ - $ 6,300,000 Par 

9/29/2010 UNITEHERE Federal Credit Union 

(Workers United Federal Credit Union) New York NY Subordinated Debentures $ - $ - $ 57,000 Par 

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ - $ - $ 325,000 Par 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ - $ 7,000 Par 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ - $ - $ 450,000 Par 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ - $ 3,260,000 Par 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ - $ 1,091,000 Par 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 295,000 Par 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ - $ - $ 1,100,000 Par 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ - $ - $ 1,522,000 Par 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ - $ - $ 30,000 Par 

9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ - $ - $ 350,000 Par 

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ - $ 9,278,000 Par 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ - $ - $ 1,229,000 Par 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ - $ - $ 31,000 Par 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ - $ - $ 698,000 Par 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ - $ - $ 300,000 Par 

Total Purchase Amount $ 570,073,000 Total Capital Repayment Amount $0

$ 570,073,000

3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the 

exchange.

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.

2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.

2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
59

12/29/2008 Purchase GMAC Preferred Stock w/ 

Exercised Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000 Par 22, 26 12/30/2010 Partial conversion of preferred 

stock for common stock $ 5,500,000,000 N/A 26

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,670,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,670,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2 5/29/2009 Exchange for equity interest in GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors 

Company

10, 

11, 24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Debt Obligation $ 935,805,085 

4/5/2011 Partial Repayment $ 45,000,000 Debt Obligation $ 890,805,085 

5/3/2011 Partial Repayment $ 15,887,795 Debt Obligation $ 874,917,290 

12/16/2011 Partial Repayment $ 144,444 Debt Obligation $ 874,772,846 

12/23/2011 Partial Repayment $ 18,890,294 Debt Obligation $ 855,882,552 

1/11/2012 Partial Repayment $ 6,713,489 Debt Obligation $ 849,169,063 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A -

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A -

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust

23 Right to recover 

proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - - 17 9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

5/27/2009 Purchase New Chrysler Debt Obligation w/ Additional 

Note, Zero Coupon Note, 

Equity

$ 6,642,000,000 N/A 18 6/10/2009 Issuance of equity in New 

Chrysler $ - N/A Chrysler Group 

LLC

19, 31 Debt obligation w/ 

additional note & 

zero coupon note

$ 7,142,000,000 5/24/2011 Repayment - Principal $ 5,076,460,000

5/24/2011 Termination of undrawn facility 31 $ 2,065,540,000

5/24/2011 Repayment* - Additional Note $ 288,000,000

5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000

Chrysler Group 30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 34,884,977,248

$ 403,000,000

Total Treasury Investment Amount

5/27/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 360,624,198 Par

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors 

Corporation

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note

Debt Obligation w/ Additional 

Note

General Motors 

Holdings LLC 6 7/10/2009 11, 12 Debt Obligation $ 7,072,488,605 Exchange for preferred and 

common stock in New GM $ 360,624,198 N/A 7

$ 13,400,000,000 Par

N/A

7

General Motors 

Company

10, 

11, 25 $ 4,000,000,000 Par 5 7/10/2009 Common Stock 60.8% Exchange for preferred and 

common stock in New GM $ 4,000,000,000 

5/21/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 7,500,000,000

$ 5,937,500,000

Par 22 12/30/2009 Partial conversion of preferred 

stock for common stock

 Date

GMAC 

(Ally) Detroit, MI

$ 3,000,000,000 N/A

GMAC (Ally) 3, 26, 

32 Common Stock

21, 22 Convertible 

Preferred Stock

Obligor Description

GMAC (Ally)

73.8%

Remaining 

Investment 

Amount/Equity %

Payment or Disposition1

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment After Exchange/Transfer/Other

City, State Date Amount/Equity % Date Type Amount/ Proceeds

Remaining 

Investment 

Type Amount Description

Pricing 

Transaction Type Seller Description Amount Mechanism

Pricing 

Mechanism

Chrysler 

FinCo

Farmington 

Hills, MI

Chrysler Auburn Hills, 

MI

Termination and settlement 

payment 20

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A $ 0 

Additional Proceeds *

 $ 40,906,261,723 

Footnotes appear on following page.
60

City State

Adjustment 

Amount Date Type Remaining Investment 

Description Amount

11/20/2009

Partial 

repayment Debt Obligation w/ Additional Note $ 140,000,000 

2/11/2010

Partial 

repayment Debt Obligation w/ Additional Note $ 100,000,000 

3/4/2010 Repayment5 Additional Note $ 50,000,000 

6

4/5/2010 Payment6 None $ 56,541,893 

7/8/2009 3 $ (500,000,000) 3/9/2010 Repayment5 Additional Note $ 123,076,735 7 4/7/2010 Payment7 None $ 44,533,054 

$ 5,000,000,000 $ 101,074,947

$ (1,000,000,000)

5/ All outstanding principal drawn under the credit agreement was repaid.

6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

$ 2,500,000,000

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 1,500,000,000 N/A

$ 123,076,735

1 4/9/2009

$ 290,000,000

$ 1,000,000,000

12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.

13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.

14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.

4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.

5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.

6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.

7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)

21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments. 

26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.

18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 

6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.

19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler. 

20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes 

and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.

22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement. 

23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation 

from time to time of the specified collateral security attached to such loan.

24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.

25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common 

stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.

8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.

9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by 

green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM. 

10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)

11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to 

"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.

15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler. 

16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The 

remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.

17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated. 

"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.

2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding. 

3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)

GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").

"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.

"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.

"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.

"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".

"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).

As used in this table and its footnotes:

27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.

28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the 

amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.

29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the 

Plan of Liquidation. Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.

30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, 

Fiat, through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an 

agreement with the UAW retirement trust pertaining to the trust's shares in Chrysler.

32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

Investment 

Amount Pricing Mechanism

Adjustment Details Payment or Disposition4

Name of Institution

Adjustment 

Date

Adjusted or Final 

Investment Amount

31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

GM Supplier Receivables LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735 Total Proceeds from Additional Notes

7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier 

2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
61

Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining 

Capital Amount

Remaining Capital 

Description Final Disposition Date 3

Final 

Disposition 

Description

Final Disposition 

Proceeds

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities 

w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2011 A Warrants $ 190,386,428 

1/16/2009

Bank of America 

Corporation Charlotte NC Purchase

Preferred Stock w/ 

Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 A Warrants $ 1,255,639,099 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,446,025,527 

$ 0

Date Name of Institution City State

2 6/9/2009

Exchange preferred stock for 

trust preferred securities

Trust Preferred 

Securities w/ Warrants 3 12/23/2009

Partial cancellation for early 

termination of guarantee $ (1,800,000,000)

Trust Preferred 

Securities w/ Warrants $2,234,000,000 

5 9/30/2010 Disposition $ 2,246,000,000 Warrants $ 0

1/25/2011 Warrant Auction $ 67,197,045 None $ 0

3 12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

TOTAL $ 0 Total Proceeds $ 2,313,197,045 

5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, 

Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.

Footnote Date Type Amount

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Description

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Seller

Type Description Guarantee Limit

Remaining Premium 

Description

3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the 

conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.

4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.

 $ 4,034,000,000 

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.

2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred 

Securities. 

Type

Remaining 

Description Amount Footnote Date Amount Premium 

Guarantee Exchange trust preferred 

securities for trust preferred 

securities

4 9/29/2010 $ 2,246,000,000 

1 1/16/2009 Citigroup Inc. New York NY Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants $ 4,034,000,000 Trust Preferred 

Securities w/ Warrants
62

Seller 

Name of Institution City State 

Transaction 

Type Investment Amount Date Transaction Type Amount

Pricing 

Mechanism

4/17/2009 Exchange

Preferred Stock w/ Warrants 

(Series E) 1 $ 40,000,000,000 Par 

2, 3 4/17/2009 AIG New York NY Purchase $ 29,835,000,000 Par 2

TOTAL $ 69,835,000,000 Date Investment Transaction Type Pricing 

Mechanism

Warrants (Series E)

Warrants (Series F)

Total

Note Date Investment Description Date Transaction Type

Pricing 

Mechanism

5/27/2011 Cancellation N/A $ - 10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

8/17/2011 Payment Par

8/18/2011 Payment Par

9/2/2011 Payment Par

11/1/2011 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

5 1/14/2011 Preferred Stock (Series E)

6 1/14/2011 Common Stock (non-TARP) 77%

Total

10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.

5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.

 924,546,133

Transfer 562,868,096

Common Stock

 167,623,733

Exchange

7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for an aggregate amount equal to $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

5/24/2011 Partial Disposition $ 5,800,000,000 N/A 9

1 11/25/2008 AIG

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description Pricing Mechanism Investment Description

New York NY Preferred Stock w/ Warrants 

(Series D) Purchase $ 40,000,000,000 Par

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

Final Disposition

Proceeds

Treasury Holdings Post-Recapitalization Final Disposition

Transaction Type Pricing Mechanism Investment Description Amount / Shares

Remaining Recap 

Investment Amount, 

Shares, or Equity %

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the 

cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

4 1/14/2011 Preferred Stock (Series F)

Exchange Par

Exchange

N/A

$ 2,000,000,000 $ -

$ 185,726,192

Proceeds 8

$ 2,009,932,072

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

AIG POST-RECAPITALIZATION

Recapitalization

$ 5,511,067,614

Preferred Stock (Series G)

N/A

$ 97,008,351

$ 2,153,520,000

$ 55,885,302

AIA Preferred Units $ 16,916,603,568 7

$ 971,506,765

$ 7,886,056,010 8

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

1,455,037,962

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

$ 18,224,367,667

8 $ 3,375,328,432 $ 0 7

$ 1,383,888,037

ALICO Junior Preferred Interests

Exchange

6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 

562,868,096 shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG 

Common Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.

$ 55,833,333
63

Name of Institution City State Amount

1 3/3/2009 TALF LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 20,000,000,000 7/19/2010

2

$ 4,300,000,000

TOTAL $ 4,300,000,000

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM

Footnote Investment Amount

2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.

Adjusted Investment

Pricing Mechanism Date

N/A

Date

Seller Transaction 

Type Investment Description 

1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
64

Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 3Senior Security 

Proceeds 4 Trade Date PMF6

Purchase Face 

Amount 3

Current Face 

Amount 6, 8

Life-to-date 

Principal 

Received 1, 8

Disposition 

Amount 5, 6

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 $ 4,377,249 $ 2,184 6/21/2011 - $ 4,070,000 $ 3,151,186 $ 902,633 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130 10/19/2011 - $ 7,617,617 $ 5,891,602 $ 1,685,710 $ 6,462,972

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 $ 8,716,265 $ 4,348 6/21/2011 - $ 8,030,000 $ 5,964,013 $ 2,022,652 $ 6,555,383

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 $ 26,041,643 $ 12,983 6/7/2011 - $ 23,500,000 $ 22,350,367 $ 1,149,633 $ 25,039,989

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 $ 9,598,523 $ 4,783 6/7/2011 - $ 8,900,014 $ 6,542,218 $ 2,357,796 $ 7,045,774

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 $ 11,511,052 $ 5,741 6/7/2011 - $ 10,751,382 $ 9,819,270 $ 932,112 $ 10,550,917

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 $ 14,151,229 $ 7,057 6/7/2011 - $ 12,898,996 $ 12,570,392 $ 328,604 $ 13,886,504

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 $ 9,717,173 $ 4,844 6/7/2011 - $ 8,744,333 $ 8,483,188 $ 261,145 $ 9,482,247

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 $ 9,294,363 $ 4,635 6/7/2011 - $ 8,417,817 $ 8,171,159 $ 246,658 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377 9/20/2011 - $ 17,119,972 $ 15,030,712 $ 2,089,260 $ 16,658,561

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 $ 38,273,995 $ 19,077 6/21/2011 - $ 34,441,059 $ 32,656,125 $ 1,784,934 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801 9/20/2011 - $ 28,209,085 $ 25,930,433 $ 2,278,652 $ 29,142,474

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 3,200 6/21/2011 - $ 6,004,156 $ 5,656,049 $ 348,107 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722 10/19/2011 - $ 6,860,835 $ 6,520,875 $ 339,960 $ 7,105,304

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 $ 14,789,302 $ 7,373 6/21/2011 - $ 13,183,361 $ 12,704,841 $ 478,520 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408 1/24/2012 - $ 2,598,386 $ 1,903,407 $ 694,979 $ 2,052,702

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 5,187 6/21/2011 - $ 9,719,455 $ 9,531,446 $ 188,009 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561 9/20/2011 - $ 8,279,048 $ 6,425,217 $ 1,853,831 $ 7,078,089

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752 10/19/2011 - $ 5,000,000 $ 4,580,543 $ 419,457 $ 5,029,356

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541 10/19/2011 - $ 10,000,000 $ 9,030,539 $ 969,461 $ 9,994,806

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123 9/20/2011 - $ 9,272,482 $ 8,403,846 $ 868,636 $ 9,230,008

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820 10/19/2011 - $ 10,350,000 $ 10,099,555 $ 250,445 $ 11,314,651

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652 1/24/2012 - $ 6,900,000 $ 6,236,800 $ 663,200 $ 6,556,341

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966 1/24/2012 - $ 8,902,230 $ 7,503,681 $ 1,398,549 $ 8,269,277

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458 1/24/2012 - $ 8,050,000 $ 7,053,867 $ 996,133 $ 7,703,610

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061 1/24/2012 - $ 5,750,000 $ 5,473,724 $ 276,276 $ 5,764,858

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172 1/24/2012 - $ 5,741,753 $ 4,307,881 $ 1,433,872 $ 4,693,918

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912 10/19/2011 - $ 3,450,000 $ 3,367,168 $ 82,832 $ 3,698,411

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535 1/24/2012 - $ 11,482,421 $ 10,592,775 $ 889,646 $ 11,818,944

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632 10/19/2011 - $ 13,402,491 $ 12,963,737 $ 438,754 $ 14,433,039

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521 1/24/2012 - $ 14,950,000 $ 14,562,161 $ 387,839 $ 16,383,544

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 334,924,711

TOTAL INVESTMENT AMOUNT $ 368,145,452 TOTAL PROGRAM PROCEEDS TO DATE7 $ 376,748,302

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor 

(on or about the 11th business day of each month).

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2026 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2033 -

SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE

SBA 7a Securities Purchase Program

Final Disposition

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. 

If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted 

after publication of the applicable month's factor (on or about the 11th business day of each month).

4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal 

amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms 

and conditions as set forth in the Master Purchase Agreement.

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2034

-

-

-

-

-

-

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2025

Floating Rate SBA 7a security due 2034

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

-

-

Floating Rate SBA 7a security due 2017

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2019

Floating Rate SBA 7a security due 2020

-

-

-

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020
65

Name of Institution City State Date Amount Date Amount

Repayment 

Date

 Repayment 

Amount Amount Description Date Description Proceeds 

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 $ 156,250,000 4 $ 156,250,000 1/29/2010 Distribution 5 $ 20,091,872

2/24/2010 Final Distribution 5 $ 48,922

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 1/4/2010 4 $ 200,000,000 4 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ 

Contingent Proceeds N/A

1/29/2010 Distribution 5 $ 502,302

2/24/2010 Final Distribution 5 $ 1,223

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 856,000,000

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ 

Contingent Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ 

Contingent Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ 

Contingent Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ 

Contingent Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ 

Contingent Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ 

Contingent Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ 

Contingent Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ 

Contingent Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ 

Contingent Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ 

Contingent Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ 

Contingent Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ 

Contingent Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ 

Contingent Proceeds

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ 

Contingent Proceeds

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ 

Contingent Proceeds

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ 

Contingent Proceeds

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,262,037,500 7/16/2010 $ 1,149,487,000

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,524,075,000 7/16/2010 $ 2,298,974,000

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,150,423,500

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,300,847,000 5/16/2011 $ 30,244,575 $ 2,270,602,425

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 88,087 $ 2,270,514,339

Debt Obligation w/ 

Contingent Proceeds

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 694,980,000

2 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,389,960,000

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,271,337,500 7/16/2010 $ 1,243,275,000

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,542,675,000 7/16/2010 $ 2,486,550,000 2/14/2012 $ 174,200,000 $ 2,312,350,000

Debt Obligation w/ 

Contingent Proceeds

1 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 620,578,258

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,241,156,516 5/13/2011 $ 13,531,530 $ 1,227,624,986

Debt Obligation w/ 

Contingent Proceeds

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 474,550,000

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 949,100,000

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,160,784,100

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,321,568,200 7/15/2011 $ 79,000,000 $ 2,242,568,200

Debt Obligation w/ 

Contingent Proceeds

INITIAL INVESTMENT AMOUNT $ 30,000,000,000 $ 21,856,403,574 $ 1,530,765,441 $ 20,644,319

Footnotes appear on following page.

1/12/2010

$ 156,250,000

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

FINAL INVESTMENT AMOUNT TOTAL CAPITAL REPAYMENT AMOUNT TOTAL PROCEEDS

$ 0 Membership Interest 5 1/15/2010

Footnote Date

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Adjusted Investment 3 Final Investment Amount Capital Repayment Details Investment After Capital Repayment 7 Distribution or Disposition

$ 166,000,000 $ 0 Contingent Proceeds
66

8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW 

fund to the Wellington fund and the AG GECC fund, respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.

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.

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.

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.
67

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 376,000,000 N/A 6/12/2009 $ 284,590,000 $ 660,590,000 Updated portfolio data from servicer

10310 9/30/2009 $ 121,910,000 $ 782,500,000 

Updated portfolio data from servicer & HPDP 

initial cap

10310 12/30/2009 $ 131,340,000 $ 913,840,000 

Updated portfolio data from servicer & HAFA 

initial cap

10310 3/26/2010 $ (355,530,000) $ 558,310,000 Updated portfolio data from servicer

10310 7/14/2010 $ 128,690,000 $ 687,000,000 Updated portfolio data from servicer

10310 9/30/2010 $ 4,000,000 $ 691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10310 9/30/2010 $ 59,807,784 $ 750,807,784 Updated portfolio data from servicer

10310 11/16/2010 $ (700,000) $ 750,107,784 Transfer of cap due to servicing transfer

10310 12/15/2010 $ 64,400,000 $ 814,507,784 Updated portfolio data from servicer

10310 1/6/2011 $ (639) $ 814,507,145 Updated portfolio data from servicer

10310 1/13/2011 $ (2,300,000) $ 812,207,145 Transfer of cap due to servicing transfer

10310 2/16/2011 $ 100,000 $ 812,307,145 Transfer of cap due to servicing transfer

10310 3/16/2011 $ 3,600,000 $ 815,907,145 Transfer of cap due to servicing transfer

10310 3/30/2011 $ (735) $ 815,906,410 

Updated due to quarterly assessment and 

reallocation

10310 4/13/2011 $ (100,000) $ 815,806,410 Transfer of cap due to servicing transfer

10310 5/13/2011 $ 400,000 $ 816,206,410 Transfer of cap due to servicing transfer

10310 6/16/2011 $ (100,000) $ 816,106,410 Transfer of cap due to servicing transfer

10310 6/29/2011 $ (6,805) $ 816,099,605 

Updated due to quarterly assessment and 

reallocation

10310 8/16/2011 $ (100,000) $ 815,999,605 Transfer of cap due to servicing transfer

10310 9/15/2011 $ (200,000) $ 815,799,605 Transfer of cap due to servicing transfer

10310 10/14/2011 $ (100,000) $ 815,699,605 Transfer of cap due to servicing transfer

10310 11/16/2011 $ (100,000) $ 815,599,605 Transfer of cap due to servicing transfer

10310 1/13/2012 $ 200,000 $ 815,799,605 Transfer of cap due to servicing transfer

4/13/2009 CitiMortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications $ 2,071,000,000 N/A 6/12/2009 $ (991,580,000) $ 1,079,420,000 Updated portfolio data from servicer

10722 9/30/2009 $ 1,010,180,000 $ 2,089,600,000 

Updated portfolio data from servicer & HPDP 

initial cap

10722 12/30/2009 $ (105,410,000) $ 1,984,190,000 

Updated portfolio data from servicer & HAFA 

initial cap

10722 3/26/2010 $ (199,300,000) $ 1,784,890,000 

Updated portfolio data from servicer & 2MP initial 

cap

10722 4/19/2010 $ (230,000) $ 1,784,660,000 

Transfer of cap to Service One, Inc. due to 

servicing transfer

10722 5/14/2010 $ (3,000,000) $ 1,781,660,000 

Transfer of cap to Specialized Loan Servicing, 

LLC due to servicing transfer

10722 6/16/2010 $ (12,280,000) $ 1,769,380,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 7/14/2010 $ (757,680,000) $ 1,011,700,000 Updated portfolio data from servicer

10722 7/16/2010 $ (7,110,000) $ 1,004,590,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 8/13/2010 $ (6,300,000) $ 998,290,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 9/15/2010 $ (8,300,000) $ 989,990,000 

Transfer of cap to multiple servicers due to 

servicing transfer

HOME AFFORDABLE MODIFICATION PROGRAM

Date 

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

Transactions Report - Housing Programs

For Period Ending Feburary 16, 2012
68

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10722 9/30/2010 $ 32,400,000 $ 1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10722 9/30/2010 $ 101,287,484 $ 1,123,677,484 Updated portfolio data from servicer

10722 10/15/2010 $ (1,400,000) $ 1,122,277,484 Transfer of cap due to servicing transfer

10722 11/16/2010 $ (3,200,000) $ 1,119,077,484 Transfer of cap due to servicing transfer

10722 1/6/2011 $ (981) $ 1,119,076,503 Updated portfolio data from servicer

10722 1/13/2011 $ (10,500,000) $ 1,108,576,503 Transfer of cap due to servicing transfer

10722 2/16/2011 $ (4,600,000) $ 1,103,976,503 Transfer of cap due to servicing transfer

10722 3/16/2011 $ (30,500,000) $ 1,073,476,503 Transfer of cap due to servicing transfer

10722 3/30/2011 $ (1,031) $ 1,073,475,472 

Updated due to quarterly assessment and 

reallocation

10722 4/13/2011 $ 100,000 $ 1,073,575,472 Transfer of cap due to servicing transfer

10722 5/13/2011 $ (7,200,000) $ 1,066,375,472 Transfer of cap due to servicing transfer

10722 6/16/2011 $ (400,000) $ 1,065,975,472 Transfer of cap due to servicing transfer

10722 6/29/2011 $ (9,131) $ 1,065,966,341 

Updated due to quarterly assessment and 

reallocation

10722 7/14/2011 $ (14,500,000) $ 1,051,466,341 Transfer of cap due to servicing transfer

10722 8/16/2011 $ (1,600,000) $ 1,049,866,341 Transfer of cap due to servicing transfer

10722 9/15/2011 $ 700,000 $ 1,050,566,341 Transfer of cap due to servicing transfer

10722 10/14/2011 $ 15,200,000 $ 1,065,766,341 Transfer of cap due to servicing transfer

10722 11/16/2011 $ (2,900,000) $ 1,062,866,341 Transfer of cap due to servicing transfer

10722 12/15/2011 $ (5,000,000) $ 1,057,866,341 Transfer of cap due to servicing transfer

10722 1/13/2012 $ (900,000) $ 1,056,966,341 Transfer of cap due to servicing transfer

10722 2/16/2012 $ (1,100,000) $ 1,055,866,341 Transfer of cap due to servicing transfer

4/13/2009 Wells Fargo Bank, NA Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 2,873,000,000 N/A 6/17/2009 $ (462,990,000) $ 2,410,010,000 Updated portfolio data from servicer

10423 9/30/2009 $ 65,070,000 $ 2,475,080,000 

Updated portfolio data from servicer & HPDP 

initial cap

10423 12/30/2009 $ 1,213,310,000 $ 3,688,390,000 

Updated portfolio data from servicer & HAFA 

initial cap

10423 2/17/2010 $ 2,050,236,344 $ 5,738,626,344 Transfer of cap (from Wachovia) due to merger

10423 3/12/2010 $ 54,767 $ 5,738,681,110 Transfer of cap (from Wachovia) due to merger

10423 3/19/2010 $ 668,108,890 $ 6,406,790,000 Initial 2MP cap

10423 3/26/2010 $ 683,130,000 $ 7,089,920,000 Updated portfolio data from servicer

10423 7/14/2010 $ (2,038,220,000) $ 5,051,700,000 Updated portfolio data from servicer

10423 9/30/2010 $ (287,348,828) $ 4,764,351,172 Updated portfolio data from servicer

10423 9/30/2010 $ 344,000,000 $ 5,108,351,172 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

10423 12/3/2010 $ 8,413,225 $ 5,116,764,397 Transfer of cap (from Wachovia) due to merger

10423 12/15/2010 $ 22,200,000 $ 5,138,964,397 Updated portfolio data from servicer

10423 1/6/2011 $ (6,312) $ 5,138,958,085 Updated portfolio data from servicer

10423 1/13/2011 $ (100,000) $ 5,138,858,085 Transfer of cap due to servicing transfer

10423 3/16/2011 $ (100,000) $ 5,138,758,085 Transfer of cap due to servicing transfer

10423 3/30/2011 $ (7,171) $ 5,138,750,914 

Updated due to quarterly assessment and 

reallocation
69

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10423 4/13/2011 $ (9,800,000) $ 5,128,950,914 Transfer of cap due to servicing transfer

10423 5/13/2011 $ 100,000 $ 5,129,050,914 Transfer of cap due to servicing transfer

10423 6/16/2011 $ (600,000) $ 5,128,450,914 Transfer of cap due to servicing transfer

10423 6/29/2011 $ (63,856) $ 5,128,387,058 

Updated due to quarterly assessment and 

reallocation

10423 7/14/2011 $ (2,300,000) $ 5,126,087,058 Transfer of cap due to servicing transfer

10423 8/16/2011 $ (1,100,000) $ 5,124,987,058 Transfer of cap due to servicing transfer

10423 9/15/2011 $ 1,400,000 $ 5,126,387,058 Transfer of cap due to servicing transfer

10423 10/14/2011 $ 200,000 $ 5,126,587,058 Transfer of cap due to servicing transfer

10423 11/16/2011 $ (200,000) $ 5,126,387,058 Transfer of cap due to servicing transfer

10423 12/15/2011 $ (200,000) $ 5,126,187,058 Transfer of cap due to servicing transfer

10423 1/13/2012 $ (300,000) $ 5,125,887,058 Transfer of cap due to servicing transfer

10423 2/16/2012 $ (200,000) $ 5,125,687,058 Transfer of cap due to servicing transfer

4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 N/A 6/12/2009 $ 384,650,000 $ 1,017,650,000 Updated portfolio data from servicer

10315 9/30/2009 $ 2,537,240,000 $ 3,554,890,000 

Updated portfolio data from servicer & HPDP 

initial cap

10315 12/30/2009 $ (1,679,520,000) $ 1,875,370,000 

Updated portfolio data from servicer & HAFA 

initial cap

10315 3/26/2010 $ 190,180,000 $ 2,065,550,000 Updated portfolio data from servicer

10315 5/14/2010 $ 1,880,000 $ 2,067,430,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

10315 7/14/2010 $ (881,530,000) $ 1,185,900,000 Updated portfolio data from servicer

10315 8/13/2010 $ (3,700,000) $ 1,182,200,000 Transfer of cap due to servicing transfer

10315 9/30/2010 $ 119,200,000 $ 1,301,400,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial 2MP cap

10315 9/30/2010 $ 216,998,139 $ 1,518,398,139 Updated portfolio data from servicer

10315 12/15/2010 $ (500,000) $ 1,517,898,139 Updated portfolio data from servicer

10315 1/6/2011 $ (1,734) $ 1,517,896,405 Updated portfolio data from servicer

10315 3/16/2011 $ (100,000) $ 1,517,796,405 Transfer of cap due to servicing transfer

10315 3/30/2011 $ (2,024) $ 1,517,794,381 

Updated due to quarterly assessment and 

reallocation

10315 4/13/2011 $ (800,000) $ 1,516,994,381 Transfer of cap due to servicing transfer

10315 5/13/2011 $ (17,900,000) $ 1,499,094,381 Transfer of cap due to servicing transfer

10315 6/29/2011 $ (18,457) $ 1,499,075,924 

Updated due to quarterly assessment and 

reallocation

10315 7/14/2011 $ (200,000) $ 1,498,875,924 Transfer of cap due to servicing transfer

10315 8/16/2011 $ 3,400,000 $ 1,502,275,924 Transfer of cap due to servicing transfer

10315 9/15/2011 $ 200,000 $ 1,502,475,924 Transfer of cap due to servicing transfer

10315 10/14/2011 $ (800,000) $ 1,501,675,924 Transfer of cap due to servicing transfer

10315 11/16/2011 $ (200,000) $ 1,501,475,924 Transfer of cap due to servicing transfer

10315 12/15/2011 $ 2,600,000 $ 1,504,075,924 Transfer of cap due to servicing transfer

10315 1/13/2012 $ (1,600,000) $ 1,502,475,924 Transfer of cap due to servicing transfer

4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 N/A 6/17/2009 $ 225,040,000 $ 632,040,000 Updated portfolio data from servicer

10458 9/30/2009 $ 254,380,000 $ 886,420,000 

Updated portfolio data from servicer & HPDP 

initial cap
70

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10458 12/30/2009 $ 355,710,000 $ 1,242,130,000 

Updated portfolio data from servicer & HAFA 

initial cap

10458 3/26/2010 $ (57,720,000) $ 1,184,410,000 Updated portfolio data from servicer

10458 6/16/2010 $ (156,050,000) $ 1,028,360,000 

Transfer of cap to Ocwen Financial Corporation, 

Inc. due to servicing transfer

10458 7/14/2010 $ (513,660,000) $ 514,700,000 Updated portfolio data from servicer

10458 7/16/2010 $ (22,980,000) $ 491,720,000 Transfer of cap due to multiple servicing transfers

10458 9/15/2010 $ 1,800,000 $ 493,520,000 Transfer of cap due to servicing transfer

10458 9/30/2010 $ 9,800,000 $ 503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10458 9/30/2010 $ 116,222,668 $ 619,542,668 Updated portfolio data from servicer

10458 10/15/2010 $ 100,000 $ 619,642,668 Transfer of cap due to servicing transfer

10458 12/15/2010 $ 8,900,000 $ 628,542,668 Updated portfolio data from servicer

10458 1/6/2011 $ (556) $ 628,542,112 Updated portfolio data from servicer

10458 1/13/2011 $ 2,300,000 $ 630,842,112 Transfer of cap due to servicing transfer

10458 3/16/2011 $ 700,000 $ 631,542,112 Transfer of cap due to servicing transfer

10458 3/30/2011 $ (654) $ 631,541,458 

Updated due to quarterly assessment and 

reallocation

10458 4/13/2011 $ 2,100,000 $ 633,641,458 Transfer of cap due to servicing transfer

10458 6/29/2011 $ (6,144) $ 633,635,314 

Updated due to quarterly assessment and 

reallocation

10458 7/14/2011 $ 200,000 $ 633,835,314 Transfer of cap due to servicing transfer

10458 8/16/2011 $ (100,000) $ 633,735,314 Transfer of cap due to servicing transfer

10458 9/15/2011 $ (700,000) $ 633,035,314 Transfer of cap due to servicing transfer

10458 12/15/2011 $ 17,500,000 $ 650,535,314 Transfer of cap due to servicing transfer

10458 2/16/2012 $ (100,000) $ 650,435,314 Transfer of cap due to servicing transfer

4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications $ 3,552,000,000 N/A 2 7/31/2009 $ (3,552,000,000) $ - Termination of SPA 

4/16/2009 Ocwen Financial Corporation, Inc. West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 N/A 6/12/2009 $ (105,620,000) $ 553,380,000 Updated portfolio data from servicer

10500 9/30/2009 $ 102,580,000 $ 655,960,000 

Updated portfolio data from servicer & HPDP 

initial cap

10500 12/30/2009 $ 277,640,000 $ 933,600,000 

Updated portfolio data from servicer & HAFA 

initial cap

10500 3/26/2010 $ 46,860,000 $ 980,460,000 Updated portfolio data from servicer

10500 6/16/2010 $ 156,050,000 $ 1,136,510,000 

Transfer of cap from Saxon Mortgage Services, 

Inc. due to servicing transfer

10500 7/14/2010 $ (191,610,000) $ 944,900,000 Updated portfolio data from servicer

10500 7/16/2010 $ 23,710,000 $ 968,610,000 

Transfer of cap from Saxon Mortgage Services, 

Inc. due to servicing transfer

10500 9/15/2010 $ 100,000 $ 968,710,000 Initial FHA-HAMP cap

10500 9/30/2010 $ 3,742,740 $ 972,452,740 Updated portfolio data from servicer

10500 10/15/2010 $ 170,800,000 $ 1,143,252,740 Transfer of cap due to servicing transfer

10500 1/6/2011 $ (1,020) $ 1,143,251,720 Updated portfolio data from servicer

10500 2/16/2011 $ 900,000 $ 1,144,151,720 Transfer of cap due to servicing transfer

10500 3/30/2011 $ (1,114) $ 1,144,150,606 

Updated due to quarterly assessment and 

reallocation

10500 6/29/2011 $ (10,044) $ 1,144,140,562 

Updated due to quarterly assessment and 

reallocation

10500 10/14/2011 $ (100,000) $ 1,144,040,562 Transfer of cap due to servicing transfer
71

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10500 1/13/2012 $ 194,800,000 $ 1,338,840,562 Transfer of cap due to servicing transfer

10500 2/16/2012 $ 400,000 $ 1,339,240,562 Transfer of cap due to servicing transfer

Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 N/A 6/12/2009 $ 5,540,000 $ 804,440,000 Updated portfolio data from servicer

10512 9/30/2009 $ 162,680,000 $ 967,120,000 

Updated portfolio data from servicer & HPDP 

initial cap

10512 12/30/2009 $ 665,510,000 $ 1,632,630,000 

Updated portfolio data from servicer & HAFA 

initial cap

10512 1/26/2010 $ 800,390,000 $ 2,433,020,000 Initial 2MP cap

10512 3/26/2010 $ (829,370,000) $ 1,603,650,000 Updated portfolio data from servicer

10512 7/14/2010 $ (366,750,000) $ 1,236,900,000 Updated portfolio data from servicer

10512 9/30/2010 $ 95,300,000 $ 1,332,200,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

10512 9/30/2010 $ 222,941,084 $ 1,555,141,084 Updated portfolio data from servicer

10512 1/6/2011 $ (2,199) $ 1,555,138,885 Updated portfolio data from servicer

10512 3/30/2011 $ (2,548) $ 1,555,136,337 

Updated due to quarterly assessment and 

reallocation

10512 6/29/2011 $ (23,337) $ 1,555,113,000 

Updated due to quarterly assessment and 

reallocation

10512 8/16/2011 $ (300,000) $ 1,554,813,000 Transfer of cap due to servicing transfer

10512 10/14/2011 $ (120,700,000) $ 1,434,113,000 Transfer of cap due to servicing transfer

10512 11/16/2011 $ (900,000) $ 1,433,213,000 Transfer of cap due to servicing transfer

Countrywide Home Loans Servicing LP Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 1,864,000,000 N/A 6/12/2009 $ 3,318,840,000 $ 5,182,840,000 Updated portfolio data from servicer

1000832 9/30/2009 $ (717,420,000) $ 4,465,420,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000832 12/30/2009 $ 2,290,780,000 $ 6,756,200,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000832 1/26/2010 $ 450,100,000 $ 7,206,300,000 Initial 2MP cap

1000832 3/26/2010 $ 905,010,000 $ 8,111,310,000 Updated portfolio data from servicer

1000832 4/19/2010 $ 10,280,000 $ 8,121,590,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

1000832 6/16/2010 $ 286,510,000 $ 8,408,100,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

1000832 7/14/2010 $ (1,787,300,000) $ 6,620,800,000 Updated portfolio data from servicer

1000832 9/30/2010 $ 105,500,000 $ 6,726,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

1000832 9/30/2010 $ (614,527,362) $ 6,111,772,638 Updated portfolio data from servicer

1000832 12/15/2010 $ 236,000,000 $ 6,347,772,638 Updated portfolio data from servicer

1000832 1/6/2011 $ (8,012) $ 6,347,764,626 Updated portfolio data from servicer

1000832 2/16/2011 $ 1,800,000 $ 6,349,564,626 Transfer of cap due to servicing transfer

1000832 3/16/2011 $ 100,000 $ 6,349,664,626 Transfer of cap due to servicing transfer

1000832 3/30/2011 $ (9,190) $ 6,349,655,436 

Updated due to quarterly assessment and 

reallocation

1000832 4/13/2011 $ 200,000 $ 6,349,855,436 Transfer of cap due to servicing transfer

1000832 5/13/2011 $ 300,000 $ 6,350,155,436 Transfer of cap due to servicing transfer

1000832 6/16/2011 $ (1,000,000) $ 6,349,155,436 Transfer of cap due to servicing transfer

1000832 6/29/2011 $ (82,347) $ 6,349,073,089 

Updated due to quarterly assessment and 

reallocation

1000832 7/14/2011 $ (200,000) $ 6,348,873,089 Transfer of cap due to servicing transfer

1000832 8/16/2011 $ (3,400,000) $ 6,345,473,089 Transfer of cap due to servicing transfer

4/17/2009 as 

amended on 

1/26/2010

4/17/2009 as 

amended on 

1/26/2010
72

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000832 9/15/2011 $ (1,400,000) $ 6,344,073,089 Transfer of cap due to servicing transfer

1000832 10/14/2011 $ 120,600,000 $ 6,464,673,089 Transfer of cap due to servicing transfer

1000832 10/19/2011 $ 317,956,289 $ 6,782,629,378 

 

and Wilshire Credit Corporation due to merger.

1000832 11/16/2011 $ 800,000 $ 6,783,429,378 Transfer of cap due to servicing transfer

1000832 12/15/2011 $ (17,600,000) $ 6,765,829,378 Transfer of cap due to servicing transfer

1000832 2/16/2012 $ (2,100,000) $ 6,763,729,378 Transfer of cap due to servicing transfer

4/20/2009 Home Loan Services, Inc. Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 319,000,000 N/A 6/12/2009 $ 128,300,000 $ 447,300,000 Updated portfolio data from servicer

10316 9/30/2009 $ 46,730,000 $ 494,030,000 

Updated portfolio data from servicer & HPDP 

initial cap

10316 12/30/2009 $ 145,820,000 $ 639,850,000 

Updated portfolio data from servicer & HAFA 

initial cap

10316 3/26/2010 $ (17,440,000) $ 622,410,000 Updated portfolio data from servicer

10316 7/14/2010 $ (73,010,000) $ 549,400,000 Updated portfolio data from servicer

10316 9/30/2010 $ 6,700,000 $ 556,100,000 Initial FHA-2LP cap

10316 9/30/2010 $ (77,126,410) $ 478,973,590 Updated portfolio data from servicer

10316 12/15/2010 $ (314,900,000) $ 164,073,590 Updated portfolio data from servicer

10316 1/6/2011 $ (233) $ 164,073,357 Updated portfolio data from servicer

10316 2/16/2011 $ (1,900,000) $ 162,173,357 Transfer of cap due to servicing transfer

10316 3/16/2011 $ (400,000) $ 161,773,357 Transfer of cap due to servicing transfer

10316 3/30/2011 $ (278) $ 161,773,079 

Updated due to quarterly assessment and 

reallocation

10316 5/13/2011 $ (400,000) $ 161,373,079 Transfer of cap due to servicing transfer

10316 6/29/2011 $ (2,625) $ 161,370,454 

Updated due to quarterly assessment and 

reallocation

10316 13 10/19/2011 $ (155,061,221) $ 6,309,233 Termination of SPA 

4/20/2009 Wilshire Credit Corporation Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 366,000,000 N/A 6/12/2009 $ 87,130,000 $ 453,130,000 Updated portfolio data from servicer

10205 9/30/2009 $ (249,670,000) $ 203,460,000 

Updated portfolio data from servicer & HPDP 

initial cap

10205 12/30/2009 $ 119,700,000 $ 323,160,000 

Updated portfolio data from servicer & HAFA 

initial cap

10205 3/26/2010 $ 52,270,000 $ 375,430,000 Updated portfolio data from servicer

10205 4/19/2010 $ (10,280,000) $ 365,150,000 

Transfer of cap to Countrywide Home Loans due 

to servicing transfer

10205 5/14/2010 $ (1,880,000) $ 363,270,000 

Transfer of cap to GMAC Mortgage, Inc. due to 

servicing transfer

10205 6/16/2010 $ (286,510,000) $ 76,760,000 

Transfer of cap to Countrywide Home Loans due 

to servicing transfer

10205 7/14/2010 $ 19,540,000 $ 96,300,000 Updated portfolio data from servicer

10205 7/16/2010 $ (210,000) $ 96,090,000 

Transfer of cap to Green Tree Servicing LLC due 

to servicing transfer

10205 8/13/2010 $ (100,000) $ 95,990,000 Transfer of cap due to servicing transfer

10205 9/30/2010 $ 68,565,782 $ 164,555,782 Updated portfolio data from servicer

10205 1/6/2011 $ (247) $ 164,555,535 Updated portfolio data from servicer

10205 3/30/2011 $ (294) $ 164,555,241 

Updated due to quarterly assessment and 

reallocation

10205 6/29/2011 $ (2,779) $ 164,552,462 

Updated due to quarterly assessment and 

reallocation

10205 13 10/19/2011 $ (162,895,068) $ 1,657,394 Termination of SPA 

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 156,000,000 N/A 6/17/2009 $ (64,990,000) $ 91,010,000 Updated portfolio data from servicer
73

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10309 9/30/2009 $ 130,780,000 $ 221,790,000 

Updated portfolio data from servicer & HPDP 

initial cap

10309 12/30/2009 $ (116,750,000) $ 105,040,000 

Updated portfolio data from servicer & HAFA 

initial cap

10309 3/26/2010 $ 13,080,000 $ 118,120,000 Updated portfolio data from servicer

10309 7/14/2010 $ (24,220,000) $ 93,900,000 Updated portfolio data from servicer

10309 7/16/2010 $ 210,000 $ 94,110,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

10309 8/13/2010 $ 2,200,000 $ 96,310,000 Transfer of cap due to servicing transfer

10309 9/10/2010 $ 34,600,000 $ 130,910,000 Initial 2MP cap

10309 9/30/2010 $ 5,600,000 $ 136,510,000 Initial FHA-2LP cap and FHA-HAMP

10309 9/30/2010 $ 10,185,090 $ 146,695,090 Updated portfolio data from servicer

10309 10/15/2010 $ 400,000 $ 147,095,090 Transfer of cap due to servicing transfer

10309 1/6/2011 $ (213) $ 147,094,877 Updated portfolio data from servicer

10309 3/30/2011 $ (250) $ 147,094,627 

Updated due to quarterly assessment and 

reallocation

10309 5/13/2011 $ 1,200,000 $ 148,294,627 Transfer of cap due to servicing transfer

10309 6/16/2011 $ 100,000 $ 148,394,627 Transfer of cap due to servicing transfer

10309 6/29/2011 $ (2,302) $ 148,392,325 

Updated due to quarterly assessment and 

reallocation

10309 7/14/2011 $ 1,900,000 $ 150,292,325 Transfer of cap due to servicing transfer

10309 9/15/2011 $ 200,000 $ 150,492,325 Transfer of cap due to servicing transfer

10309 10/14/2011 $ 200,000 $ 150,692,325 Transfer of cap due to servicing transfer

10309 11/16/2011 $ 400,000 $ 151,092,325 Transfer of cap due to servicing transfer

10309 2/16/2012 $ 900,000 $ 151,992,325 Transfer of cap due to servicing transfer

4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financial Instrument for Home Loan Modifications $ 195,000,000 N/A 6/17/2009 $ (63,980,000) $ 131,020,000 Updated portfolio data from servicer

10503 9/30/2009 $ 90,990,000 $ 222,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

10503 12/30/2009 $ 57,980,000 $ 279,990,000 

Updated portfolio data from servicer & HAFA 

initial cap

10503 3/26/2010 $ 74,520,000 $ 354,510,000 Updated portfolio data from servicer

10503 7/14/2010 $ (75,610,000) $ 278,900,000 Updated portfolio data from servicer

10503 8/13/2010 $ 1,100,000 $ 280,000,000 Transfer of cap due to servicing transfer

10503 9/30/2010 $ 3,763,685 $ 283,763,685 Updated portfolio data from servicer

10503 12/15/2010 $ 300,000 $ 284,063,685 Updated portfolio data from servicer

10503 1/6/2011 $ (325) $ 284,063,360 Updated portfolio data from servicer

10503 1/13/2011 $ 2,400,000 $ 286,463,360 Transfer of cap due to servicing transfer

10503 3/30/2011 $ (384) $ 286,462,976 

Updated due to quarterly assessment and 

reallocation

10503 6/29/2011 $ (3,592) $ 286,459,384 

Updated due to quarterly assessment and 

reallocation

10503 8/16/2011 $ 1,800,000 $ 288,259,384 Transfer of cap due to servicing transfer

10503 9/15/2011 $ 100,000 $ 288,359,384 Transfer of cap due to servicing transfer

10503 11/16/2011 $ 1,000,000 $ 289,359,384 Transfer of cap due to servicing transfer

10503 2/16/2012 $ 1,100,000 $ 290,459,384 Transfer of cap due to servicing transfer

5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financial Instrument for Home Loan Modifications $ 798,000,000 N/A 6/17/2009 $ (338,450,000) $ 459,550,000 Updated portfolio data from servicer
74

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10231 9/30/2009 $ (11,860,000) $ 447,690,000 

Updated portfolio data from servicer & HPDP 

initial cap

10231 12/30/2009 $ 21,330,000 $ 469,020,000 

Updated portfolio data from servicer & HAFA 

initial cap

10231 3/26/2010 $ 9,150,000 $ 478,170,000 Updated portfolio data from servicer

10231 7/14/2010 $ (76,870,000) $ 401,300,000 Updated portfolio data from servicer

10231 9/1/2010 $ 400,000 $ 401,700,000 Initial FHA-HAMP cap

10231 9/30/2010 $ (8,454,269) $ 393,245,731 Updated portfolio data from servicer

10231 1/6/2011 $ (342) $ 393,245,389 Updated portfolio data from servicer

10231 3/30/2011 $ (374) $ 393,245,015 

Updated due to quarterly assessment and 

reallocation

10231 5/13/2011 $ 18,000,000 $ 411,245,015 Transfer of cap due to servicing transfer

10231 6/29/2011 $ (3,273) $ 411,241,742 

Updated due to quarterly assessment and 

reallocation

10231 10/14/2011 $ (200,000) $ 411,041,742 Transfer of cap due to servicing transfer

5/28/2009 Nationstar Mortgage LLC Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 101,000,000 N/A 6/12/2009 $ 16,140,000 $ 117,140,000 Updated portfolio data from servicer

10406 9/30/2009 $ 134,560,000 $ 251,700,000 

Updated portfolio data from servicer & HPDP 

initial cap

10406 12/30/2009 $ 80,250,000 $ 331,950,000 

Updated portfolio data from servicer & HAFA 

initial cap

10406 3/26/2010 $ 67,250,000 $ 399,200,000 Updated portfolio data from servicer

10406 7/14/2010 $ (85,900,000) $ 313,300,000 Updated portfolio data from servicer

10406 8/13/2010 $ 100,000 $ 313,400,000 Transfer of cap due to servicing transfer

10406 9/30/2010 $ 2,900,000 $ 316,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, initial 

RD-HAMP, and initial 2MP cap

10406 9/30/2010 $ 33,801,486 $ 350,101,486 Updated portfolio data from servicer

10406 11/16/2010 $ 700,000 $ 350,801,486 Transfer of cap due to servicing transfer

10406 12/15/2010 $ 1,700,000 $ 352,501,486 Updated portfolio data from servicer

10406 1/6/2011 $ (363) $ 352,501,123 Updated portfolio data from servicer

10406 2/16/2011 $ 900,000 $ 353,401,123 Transfer of cap due to servicing transfer

10406 3/16/2011 $ 29,800,000 $ 383,201,123 Transfer of cap due to servicing transfer

10406 3/30/2011 $ (428) $ 383,200,695 

Updated due to quarterly assessment and 

reallocation

10406 5/26/2011 $ 20,077,503 $ 403,278,198 Transfer of cap due to servicing transfer

10406 6/29/2011 $ (4,248) $ 403,273,950 

Updated due to quarterly assessment and 

reallocation

10406 11/16/2011 $ 100,000 $ 403,373,950 Transfer of cap due to servicing transfer

6/12/2009 Residential Credit Solutions Fort Worth TX Purchase Financial Instrument for Home Loan Modifications $ 19,400,000 N/A 9/30/2009 $ (1,860,000) $ 17,540,000 

Updated portfolio data from servicer & HPDP 

initial cap

10326 12/30/2009 $ 27,920,000 $ 45,460,000 

Updated portfolio data from servicer & HAFA 

initial cap

10326 3/26/2010 $ (1,390,000) $ 44,070,000 Updated portfolio data from servicer

10326 7/14/2010 $ (13,870,000) $ 30,200,000 Updated portfolio data from servicer

10326 9/30/2010 $ 400,000 $ 30,600,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial 2MP cap

10326 9/30/2010 $ 586,954 $ 31,186,954 Updated portfolio data from servicer

10326 1/6/2011 $ (34) $ 31,186,920 Updated portfolio data from servicer

10326 3/30/2011 $ (37) $ 31,186,883 

Updated due to quarterly assessment and 

reallocation

10326 4/13/2011 $ 100,000 $ 31,286,883 Transfer of cap due to servicing transfer
75

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10326 6/29/2011 $ (329) $ 31,286,554 

Updated due to quarterly assessment and 

reallocation

10326 9/15/2011 $ (1,900,000) $ 29,386,554 Transfer of cap due to servicing transfer

10326 11/16/2011 $ 2,800,000 $ 32,186,554 Transfer of cap due to servicing transfer

6/17/2009 CCO Mortgage Glen Allen VA Purchase Financial Instrument for Home Loan Modifications $ 16,520,000 N/A 9/30/2009 $ 13,070,000 $ 29,590,000 

Updated portfolio data from servicer & HPDP 

initial cap

10052 12/30/2009 $ 145,510,000 $ 175,100,000 

Updated portfolio data from servicer & HAFA 

initial cap

10052 3/26/2010 $ (116,950,000) $ 58,150,000 Updated portfolio data from servicer

10052 7/14/2010 $ (23,350,000) $ 34,800,000 Updated portfolio data from servicer

10052 9/30/2010 $ 7,846,346 $ 42,646,346 Updated portfolio data from servicer

10052 1/6/2011 $ (46) $ 42,646,300 Updated portfolio data from servicer

10052 3/30/2011 $ (55) $ 42,646,245 

Updated due to quarterly assessment and 

reallocation

10052 6/29/2011 $ (452) $ 42,645,793 

Updated due to quarterly assessment and 

reallocation

6/17/2009 RG Mortgage Corporation San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 57,000,000 N/A 9/30/2009 $ (11,300,000) $ 45,700,000 

Updated portfolio data from servicer & HPDP 

initial cap

10131 12/30/2009 $ (42,210,000) $ 3,490,000 

Updated portfolio data from servicer & HAFA 

initial cap

10131 3/26/2010 $ 65,640,000 $ 69,130,000 Updated portfolio data from servicer

10131 4/9/2010 $ (14,470,000) $ 54,660,000 Updated portfolio data from servicer

10131 7/14/2010 $ (8,860,000) $ 45,800,000 Updated portfolio data from servicer

10131 9/30/2010 $ (4,459,154) $ 41,340,846 Updated portfolio data from servicer

10131 12/15/2010 $ (4,300,000) $ 37,040,846 Updated portfolio data from servicer

10131 1/6/2011 $ (51) $ 37,040,795 Updated portfolio data from servicer

10131 3/30/2011 $ (65) $ 37,040,730 

Updated due to quarterly assessment and 

reallocation

10131 6/29/2011 $ (616) $ 37,040,114 

Updated due to quarterly assessment and 

reallocation

6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 12/30/2009 $ 2,020,000 $ 2,790,000 

Updated portfolio data from servicer & HAFA 

initial cap

10224 3/26/2010 $ 11,370,000 $ 14,160,000 Updated portfolio data from servicer

10224 5/26/2010 $ (14,160,000) $ - Termination of SPA 

6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 9/30/2009 $ 330,000 $ 870,000 

Updated portfolio data from servicer & HPDP 

initial cap

10126 12/30/2009 $ 16,490,000 $ 17,360,000 

Updated portfolio data from servicer & HAFA 

initial cap

10126 3/26/2010 $ (14,260,000) $ 3,100,000 Updated portfolio data from servicer

10126 7/14/2010 $ (1,800,000) $ 1,300,000 Updated portfolio data from servicer

10126 7/30/2010 $ 1,500,000 $ 2,800,000 Updated portfolio data from servicer

10126 9/30/2010 $ 1,551,668 $ 4,351,668 Updated portfolio data from servicer

10126 1/6/2011 $ (2) $ 4,351,666 Updated portfolio data from servicer

10126 3/30/2011 $ (2) $ 4,351,664 

Updated due to quarterly assessment and 

reallocation

10126 5/13/2011 $ (1,800,000) $ 2,551,664 Transfer of cap due to servicing transfer

10126 12 6/3/2011 $ (1,872,787) $ 678,877 Termination of SPA 

6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 9/30/2009 $ (10,000) $ 20,000 

Updated portfolio data from servicer & HPDP 

initial cap

10002 12/30/2009 $ 590,000 $ 610,000 

Updated portfolio data from servicer & HAFA 

initial cap

10002 3/26/2010 $ (580,000) $ 30,000 Updated portfolio data from servicer
76

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10002 7/14/2010 $ 70,000 $ 100,000 Updated portfolio data from servicer

10002 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10002 2/17/2011 $ (145,056) $ - Termination of SPA 

6/26/2009 Technology Credit Union San Jose CA Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 12/30/2009 $ 2,180,000 $ 2,250,000 

Updated portfolio data from servicer & HAFA 

initial cap

10014 3/26/2010 $ (720,000) $ 1,530,000 Updated portfolio data from servicer

10014 7/14/2010 $ (430,000) $ 1,100,000 Updated portfolio data from servicer

10014 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

10014 1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

10014 3/30/2011 $ (1) $ 1,160,443 

Updated due to quarterly assessment and 

reallocation

10014 6/29/2011 $ (12) $ 1,160,431 

Updated due to quarterly assessment and 

reallocation

6/26/2009 National City Bank Miamisburg OH Purchase Financial Instrument for Home Loan Modifications $ 294,980,000 N/A 9/30/2009 $ 315,170,000 $ 610,150,000 

Updated portfolio data from servicer & HPDP 

initial cap

10349 12/30/2009 $ 90,280,000 $ 700,430,000 

Updated portfolio data from servicer & HAFA 

initial cap

10349 3/26/2010 $ (18,690,000) $ 681,740,000 Updated portfolio data from servicer

10349 7/14/2010 $ (272,640,000) $ 409,100,000 Updated portfolio data from servicer

10349 9/30/2010 $ 80,600,000 $ 489,700,000 

Initial FHA-HAMP cap, Initial FHA-2LP cap, and 

initial 2MP cap

10349 9/30/2010 $ 71,230,004 $ 560,930,004 Updated portfolio data from servicer

10349 1/6/2011 $ (828) $ 560,929,176 Updated portfolio data from servicer

10349 2/16/2011 $ 200,000 $ 561,129,176 Transfer of cap due to servicing transfer

10349 3/16/2011 $ (100,000) $ 561,029,176 Transfer of cap due to servicing transfer

10349 3/30/2011 $ (981) $ 561,028,195 

Updated due to quarterly assessment and 

reallocation

10349 4/13/2011 $ (2,300,000) $ 558,728,195 Transfer of cap due to servicing transfer

10349 5/13/2011 $ (200,000) $ 558,528,195 Transfer of cap due to servicing transfer

10349 6/16/2011 $ (200,000) $ 558,328,195 Transfer of cap due to servicing transfer

10349 6/29/2011 $ (9,197) $ 558,318,998 

Updated due to quarterly assessment and 

reallocation

10349 8/16/2011 $ - $ 558,318,998 Transfer of cap due to servicing transfer

10349 10/14/2011 $ 300,000 $ 558,618,998 Transfer of cap due to servicing transfer

10349 11/16/2011 $ (300,000) $ 558,318,998 Transfer of cap due to servicing transfer

10349 1/13/2012 $ 200,000 $ 558,518,998 Transfer of cap due to servicing transfer

10349 2/16/2012 $ (100,000) $ 558,418,998 Transfer of cap due to servicing transfer

7/1/2009 Wachovia Mortgage, FSB Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 634,010,000 N/A 9/30/2009 $ 723,880,000 $ 1,357,890,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000642 12/30/2009 $ 692,640,000 $ 2,050,530,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000642 2/17/2010 $ (2,050,236,344) $ 293,656 

Transfer of cap (to Wells Fargo Bank) due to 

merger

1000642 3 3/12/2010 $ (54,767) $ 238,890 

Transfer of cap (to Wells Fargo Bank) due to 

merger

7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44,260,000 N/A 9/30/2009 $ 23,850,000 $ 68,110,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000667 12/30/2009 $ 43,590,000 $ 111,700,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000667 3/26/2010 $ 34,540,000 $ 146,240,000 Updated portfolio data from servicer

1000667 5/7/2010 $ 1,010,000 $ 147,250,000 Initial 2MP cap
77

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000667 7/14/2010 $ (34,250,000) $ 113,000,000 Updated portfolio data from servicer

1000667 9/30/2010 $ 600,000 $ 113,600,000 Initial FHA-2LP cap

1000667 9/30/2010 $ (15,252,303) $ 98,347,697 Updated portfolio data from servicer

1000667 1/6/2011 $ (70) $ 98,347,627 Updated portfolio data from servicer

1000667 3/30/2011 $ (86) $ 98,347,541 

Updated due to quarterly assessment and 

reallocation

1000667 4/13/2011 $ 400,000 $ 98,747,541 Transfer of cap due to servicing transfer

1000667 5/13/2011 $ 100,000 $ 98,847,541 Transfer of cap due to servicing transfer

1000667 6/29/2011 $ (771) $ 98,846,770 

Updated due to quarterly assessment and 

reallocation

1000667 9/15/2011 $ 600,000 $ 99,446,770 Transfer of cap due to servicing transfer

1000667 10/14/2011 $ (18,900,000) $ 80,546,770 Transfer of cap due to servicing transfer

1000667 1/13/2012 $ 900,000 $ 81,446,770 Transfer of cap due to servicing transfer

1000667 2/16/2012 $ 2,400,000 $ 83,846,770 Transfer of cap due to servicing transfer

7/10/2009 Lake National Bank Mentor OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2009 $ 150,000 $ 250,000 

Updated portfolio data from servicer & HPDP 

initial cap

10355 12/30/2009 $ 130,000 $ 380,000 

Updated portfolio data from servicer & HAFA 

initial cap

10355 3/26/2010 $ 50,000 $ 430,000 Updated portfolio data from servicer

10355 7/14/2010 $ (30,000) $ 400,000 Updated portfolio data from servicer

10355 9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer

10355 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

10355 3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

10355 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

7/10/2009 IBM Southeast Employees' Federal Credit Union Delray Beach FL Purchase Financial Instrument for Home Loan Modifications $ 870,000 N/A 9/30/2009 $ (10,000) $ 860,000 

Updated portfolio data from servicer & HPDP 

initial cap

10029 12/30/2009 $ 250,000 $ 1,110,000 

Updated portfolio data from servicer & HAFA 

initial cap

10029 3/26/2010 $ (10,000) $ 1,100,000 Updated portfolio data from servicer

10029 7/14/2010 $ (400,000) $ 700,000 Updated portfolio data from servicer

10029 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

10029 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10029 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10029 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

7/17/2009 MorEquity, Inc. Evansville IN Purchase Financial Instrument for Home Loan Modifications $ 23,480,000 N/A 9/30/2009 $ 18,530,000 $ 42,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000957 12/30/2009 $ 24,510,000 $ 66,520,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000957 3/26/2010 $ 18,360,000 $ 84,880,000 Updated portfolio data from servicer

1000957 7/14/2010 $ (22,580,000) $ 62,300,000 Updated portfolio data from servicer

1000957 9/30/2010 $ (8,194,261) $ 54,105,739 Updated portfolio data from servicer

1000957 1/6/2011 $ (37) $ 54,105,702 Updated portfolio data from servicer

1000957 3/16/2011 $ (29,400,000) $ 24,705,702 Transfer of cap due to servicing transfer

1000957 3/30/2011 $ (34) $ 24,705,668 

Updated due to quarterly assessment and 

reallocation

1000957 11 5/26/2011 $ (20,077,503) $ 4,628,165 

Termination of SPA 

(remaining cap equals distribution amount)
78

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 54,470,000 N/A 9/30/2009 $ (36,240,000) $ 18,230,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000834 12/30/2009 $ 19,280,000 $ 37,510,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000834 3/26/2010 $ 2,470,000 $ 39,980,000 Updated portfolio data from servicer

1000834 7/14/2010 $ (17,180,000) $ 22,800,000 Updated portfolio data from servicer

1000834 9/30/2010 $ 35,500,000 $ 58,300,000 Initial FHA-2LP cap and initial 2MP cap

1000834 9/30/2010 $ 23,076,191 $ 81,376,191 Updated portfolio data from servicer

1000834 1/6/2011 $ (123) $ 81,376,068 Updated portfolio data from servicer

1000834 3/30/2011 $ (147) $ 81,375,921 

Updated due to quarterly assessment and 

reallocation

1000834 5/13/2011 $ (100,000) $ 81,275,921 Transfer of cap due to servicing transfer

1000834 6/29/2011 $ (1,382) $ 81,274,539 

Updated due to quarterly assessment and 

reallocation

1000834 10/14/2011 $ (300,000) $ 80,974,539 Transfer of cap due to servicing transfer

7/17/2009 Farmers State Bank West Salem OH Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 9/30/2009 $ (90,000) $ 80,000 

Updated portfolio data from servicer & HPDP 

initial cap

10612 12/30/2009 $ 50,000 $ 130,000 

Updated portfolio data from servicer & HAFA 

initial cap

10612 3/26/2010 $ 100,000 $ 230,000 Updated portfolio data from servicer

10612 7/14/2010 $ (130,000) $ 100,000 Updated portfolio data from servicer

10612 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10612 5/20/2011 $ (145,056) $ - Termination of SPA 

7/17/2009 ShoreBank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 1,410,000 N/A 9/30/2009 $ 890,000 $ 2,300,000 

Updated portfolio data from servicer & HPDP 

initial cap

10257 12/30/2009 $ 1,260,000 $ 3,560,000 

Updated portfolio data from servicer & HAFA 

initial cap

10257 3/26/2010 $ (20,000) $ 3,540,000 Updated portfolio data from servicer

10257 7/14/2010 $ (240,000) $ 3,300,000 Updated portfolio data from servicer

10257 9/30/2010 $ 471,446 $ 3,771,446 Updated portfolio data from servicer

10257 1/6/2011 $ (3) $ 3,771,443 Updated portfolio data from servicer

10257 3/30/2011 $ (4) $ 3,771,439 

Updated due to quarterly assessment and 

reallocation

10257 4/13/2011 $ (1,100,000) $ 2,671,439 Transfer of cap due to servicing transfer

10257 6/29/2011 $ (38) $ 2,671,401 

Updated due to quarterly assessment and 

reallocation

7/22/2009 American Home Mortgage Servicing, Inc Coppell TX Purchase Financial Instrument for Home Loan Modifications $ 1,272,490,000 N/A 9/30/2009 $ (53,670,000) $ 1,218,820,000 

Updated portfolio data from servicer & HPDP 

initial cap

10727 12/30/2009 $ 250,450,000 $ 1,469,270,000 

Updated portfolio data from servicer & HAFA 

initial cap

10727 3/26/2010 $ 124,820,000 $ 1,594,090,000 Updated portfolio data from servicer

10727 7/14/2010 $ (289,990,000) $ 1,304,100,000 Updated portfolio data from servicer

10727 9/30/2010 $ 1,690,508 $ 1,305,790,508 Updated portfolio data from servicer

10727 10/15/2010 $ 300,000 $ 1,306,090,508 Transfer of cap due to servicing transfer

10727 11/16/2010 $ (100,000) $ 1,305,990,508 Transfer of cap due to servicing transfer

10727 1/6/2011 $ (1,173) $ 1,305,989,335 Updated portfolio data from servicer

10727 2/16/2011 $ (500,000) $ 1,305,489,335 Transfer of cap due to servicing transfer

10727 3/30/2011 $ (1,400) $ 1,305,487,935 

Updated due to quarterly assessment and 

reallocation

10727 4/13/2011 $ 3,100,000 $ 1,308,587,935 Transfer of cap due to servicing transfer
79

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10727 6/29/2011 $ (12,883) $ 1,308,575,052 

Updated due to quarterly assessment and 

reallocation

10727 9/15/2011 $ (1,000,000) $ 1,307,575,052 Transfer of cap due to servicing transfer

10727 10/14/2011 $ (100,000) $ 1,307,475,052 Transfer of cap due to servicing transfer

10727 11/16/2011 $ (1,100,000) $ 1,306,375,052 Transfer of cap due to servicing transfer

7/22/2009 Mortgage Center, LLC Southfield MI Purchase Financial Instrument for Home Loan Modifications $ 4,210,000 N/A 9/30/2009 $ 1,780,000 $ 5,990,000 

Updated portfolio data from servicer & HPDP 

initial cap

10439 12/30/2009 $ 2,840,000 $ 8,830,000 

Updated portfolio data from servicer & HAFA 

initial cap

10439 3/26/2010 $ 2,800,000 $ 11,630,000 Updated portfolio data from servicer

10439 7/14/2010 $ (5,730,000) $ 5,900,000 Updated portfolio data from servicer

10439 9/30/2010 $ 2,658,280 $ 8,558,280 Updated portfolio data from servicer

10439 1/6/2011 $ (12) $ 8,558,268 Updated portfolio data from servicer

10439 3/30/2011 $ (14) $ 8,558,254 

Updated due to quarterly assessment and 

reallocation

10439 6/29/2011 $ (129) $ 8,558,125 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 860,000 N/A 9/30/2009 $ (490,000) $ 370,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000455 12/30/2009 $ 6,750,000 $ 7,120,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000455 3/26/2010 $ (6,340,000) $ 780,000 Updated portfolio data from servicer

1000455 7/14/2010 $ (180,000) $ 600,000 Updated portfolio data from servicer

1000455 9/30/2010 $ 125,278 $ 725,278 Updated portfolio data from servicer

1000455 3/30/2011 $ (1) $ 725,277 

Updated due to quarterly assessment and 

reallocation

1000455 6/29/2011 $ (4) $ 725,273 

Updated due to quarterly assessment and 

reallocation

7/29/2009 First Bank St. Louis MO Purchase Financial Instrument for Home Loan Modifications $ 6,460,000 N/A 9/30/2009 $ (1,530,000) $ 4,930,000 

Updated portfolio data from servicer & HPDP 

initial cap

10455 12/30/2009 $ 680,000 $ 5,610,000 

Updated portfolio data from servicer & HAFA 

initial cap

10455 3/26/2010 $ 2,460,000 $ 8,070,000 Updated portfolio data from servicer

10455 7/14/2010 $ (2,470,000) $ 5,600,000 Updated portfolio data from servicer

10455 9/30/2010 $ 2,523,114 $ 8,123,114 Updated portfolio data from servicer

10455 1/6/2011 $ (2) $ 8,123,112 Updated portfolio data from servicer

10455 3/30/2011 $ (2) $ 8,123,110 

Updated due to quarterly assessment and 

reallocation

10455 6/29/2011 $ (15) $ 8,123,095 

Updated due to quarterly assessment and 

reallocation

7/29/2009 Purdue Employees Federal Credit Union West Lafayette IN Purchase Financial Instrument for Home Loan Modifications $ 1,090,000 N/A 9/30/2009 $ (60,000) $ 1,030,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000505 12/30/2009 $ 1,260,000 $ 2,290,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000505 3/26/2010 $ 2,070,000 $ 4,360,000 Updated portfolio data from servicer

1000505 7/14/2010 $ (3,960,000) $ 400,000 Updated portfolio data from servicer

1000505 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000505 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000505 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000505 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 85,020,000 N/A 9/30/2009 $ (37,700,000) $ 47,320,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000902 12/30/2009 $ 26,160,000 $ 73,480,000 

Updated portfolio data from servicer & HAFA 

initial cap
80

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000902 3/26/2010 $ 9,820,000 $ 83,300,000 Updated portfolio data from servicer

1000902 7/14/2010 $ (46,200,000) $ 37,100,000 Updated portfolio data from servicer

1000902 9/30/2010 $ (28,686,775) $ 8,413,225 Updated portfolio data from servicer

1000902 12/3/2010 $ (8,413,225) $ - Termination of SPA 

7/31/2009 J.P. Morgan Chase Bank, NA Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 2,699,720,000 N/A 9/30/2009 $ (14,850,000) $ 2,684,870,000 

Updated portfolio data from servicer & HPDP 

initial cap

10706 12/30/2009 $ 1,178,180,000 $ 3,863,050,000 

Updated portfolio data from servicer & HAFA 

initial cap

10706 3/26/2010 $ 1,006,580,000 $ 4,869,630,000 

Updated portfolio data from servicer & 2MP initial 

cap

10706 7/14/2010 $ (1,934,230,000) $ 2,935,400,000 Updated portfolio data from servicer

10706 9/30/2010 $ 72,400,000 $ 3,007,800,000 

Initial FHA-HAMP cap, Initial FHA-2LP cap, and 

initial RD-HAMP

10706 9/30/2010 $ 215,625,536 $ 3,223,425,536 Updated portfolio data from servicer

10706 1/6/2011 $ (3,636) $ 3,223,421,900 Updated portfolio data from servicer

10706 3/16/2011 $ (100,000) $ 3,223,321,900 Transfer of cap due to servicing transfer

10706 3/30/2011 $ (3,999) $ 3,223,317,901 

Updated due to quarterly assessment and 

reallocation

10706 4/13/2011 $ (200,000) $ 3,223,117,901 Transfer of cap due to servicing transfer

10706 5/13/2011 $ 122,700,000 $ 3,345,817,901 Transfer of cap due to servicing transfer

10706 6/29/2011 $ (34,606) $ 3,345,783,295 

Updated due to quarterly assessment and 

reallocation

10706 7/14/2011 $ 600,000 $ 3,346,383,295 Transfer of cap due to servicing transfer

10706 8/16/2011 $ (400,000) $ 3,345,983,295 Transfer of cap due to servicing transfer

10706 9/15/2011 $ (100,000) $ 3,345,883,295 Transfer of cap due to servicing transfer

10706 10/14/2011 $ 200,000 $ 3,346,083,295 Transfer of cap due to servicing transfer

10706 10/19/2011 $ 519,211,309 $ 3,865,294,604 Transfer of cap due to servicing transfer

10706 11/16/2011 $ (2,800,000) $ 3,862,494,604 Transfer of cap due to servicing transfer

10706 1/13/2012 $ (100,000) $ 3,862,394,604 Transfer of cap due to servicing transfer

10706 2/16/2012 $ (100,000) $ 3,862,294,604 Transfer of cap due to servicing transfer

7/31/2009 EMC Mortgage Corporation Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 707,380,000 N/A 9/30/2009 $ (10,000) $ 707,370,000 

Updated portfolio data from servicer & HPDP 

initial cap

1001020 12/30/2009 $ 502,430,000 $ 1,209,800,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001020 3/26/2010 $ (134,560,000) $ 1,075,240,000 

Updated portfolio data from servicer & 2MP initial 

cap

1001020 7/14/2010 $ (392,140,000) $ 683,100,000 Updated portfolio data from servicer

1001020 7/16/2010 $ (630,000) $ 682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.

1001020 9/30/2010 $ 13,100,000 $ 695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap

1001020 9/30/2010 $ (8,006,457) $ 687,563,543 Updated portfolio data from servicer

1001020 10/15/2010 $ (100,000) $ 687,463,543 Transfer of cap due to servicing transfer

1001020 12/15/2010 $ (4,400,000) $ 683,063,543 Updated portfolio data from servicer

1001020 1/6/2011 $ (802) $ 683,062,741 Updated portfolio data from servicer

1001020 2/16/2011 $ (900,000) $ 682,162,741 Transfer of cap due to servicing transfer

1001020 3/16/2011 $ (4,000,000) $ 678,162,741 Transfer of cap due to servicing transfer

1001020 3/30/2011 $ (925) $ 678,161,816 

Updated due to quarterly assessment and 

reallocation
81

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001020 5/13/2011 $ (122,900,000) $ 555,261,816 Transfer of cap due to servicing transfer

1001020 6/29/2011 $ (8,728) $ 555,253,088 

Updated due to quarterly assessment and 

reallocation

1001020 7/14/2011 $ (600,000) $ 554,653,088 Transfer of cap due to servicing transfer

1001020 14 10/19/2011 $ (519,211,309) $ 35,441,779 Termination of SPA 

8/5/2009 Lake City Bank Warsaw IN Purchase Financial Instrument for Home Loan Modifications $ 420,000 N/A 9/30/2009 $ 180,000 $ 600,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000840 12/30/2009 $ (350,000) $ 250,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000840 3/26/2010 $ 20,000 $ 270,000 Updated portfolio data from servicer

1000840 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

1000840 9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

1000840 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 9/30/2009 $ 290,000 $ 430,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000609 12/30/2009 $ 210,000 $ 640,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000609 3/26/2010 $ 170,000 $ 810,000 Updated portfolio data from servicer

1000609 7/14/2010 $ (10,000) $ 800,000 Updated portfolio data from servicer

1000609 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1000609 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000609 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000609 4/13/2011 $ (200,000) $ 525,276 Transfer of cap due to servicing transfer

1000609 6/29/2011 $ (7) $ 525,269 

Updated due to quarterly assessment and 

reallocation

1000609 12 7/22/2011 $ (515,201) $ 10,068 Termination of SPA 

8/5/2009 HomEq Servicing North Highlands CA Purchase Financial Instrument for Home Loan Modifications $ 674,000,000 N/A 9/30/2009 $ (121,190,000) $ 552,810,000 

Updated portfolio data from servicer & HPDP 

initial cap

10717 12/30/2009 $ (36,290,000) $ 516,520,000 

Updated portfolio data from servicer & HAFA 

initial cap

10717 3/26/2010 $ 199,320,000 $ 715,840,000 Updated portfolio data from servicer

10717 7/14/2010 $ (189,040,000) $ 526,800,000 Updated portfolio data from servicer

10717 9/30/2010 $ 38,626,728 $ 565,426,728 Updated portfolio data from servicer

10717 10/15/2010 $ (170,800,000) $ 394,626,728 Transfer of cap due to servicing transfer

10717 12/15/2010 $ (22,200,000) $ 372,426,728 Updated portfolio data from servicer

10717 1/6/2011 $ (549) $ 372,426,179 Updated portfolio data from servicer

10717 2/16/2011 $ (900,000) $ 371,526,179 Transfer of cap due to servicing transfer

10717 3/30/2011 $ (653) $ 371,525,526 

Updated due to quarterly assessment and 

reallocation

10717 6/29/2011 $ (6,168) $ 371,519,358 

Updated due to quarterly assessment and 

reallocation

8/12/2009 Litton Loan Servicing LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ 774,900,000 N/A 9/30/2009 $ 313,050,000 $ 1,087,950,000 

Updated portfolio data from servicer & HPDP 

initial cap

10438 12/30/2009 $ 275,370,000 $ 1,363,320,000 

Updated portfolio data from servicer & HAFA 

initial cap

10438 3/26/2010 $ 278,910,000 $ 1,642,230,000 Updated portfolio data from servicer

10438 7/14/2010 $ (474,730,000) $ 1,167,500,000 Updated portfolio data from servicer

10438 8/13/2010 $ (700,000) $ 1,166,800,000 Transfer of cap to due to servicing transfer

10438 9/15/2010 $ (1,000,000) $ 1,165,800,000 Transfer of cap to due to servicing transfer
82

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10438 9/30/2010 $ (115,017,236) $ 1,050,782,764 Updated portfolio data from servicer

10438 10/15/2010 $ (800,000) $ 1,049,982,764 Transfer of cap due to servicing transfer

10438 12/15/2010 $ 800,000 $ 1,050,782,764 Updated portfolio data from servicer

10438 1/6/2011 $ (1,286) $ 1,050,781,478 Updated portfolio data from servicer

10438 3/16/2011 $ 8,800,000 $ 1,059,581,478 Transfer of cap due to servicing transfer

10438 3/30/2011 $ (1,470) $ 1,059,580,008 

Updated due to quarterly assessment and 

reallocation

10438 4/13/2011 $ (3,300,000) $ 1,056,280,008 Transfer of cap due to servicing transfer

10438 5/13/2011 $ (300,000) $ 1,055,980,008 Transfer of cap due to servicing transfer

10438 6/16/2011 $ (700,000) $ 1,055,280,008 Transfer of cap due to servicing transfer

10438 6/29/2011 $ (13,097) $ 1,055,266,911 

Updated due to quarterly assessment and 

reallocation

10438 7/14/2011 $ (200,000) $ 1,055,066,911 Transfer of cap due to servicing transfer

10438 9/15/2011 $ (2,900,000) $ 1,052,166,911 Transfer of cap due to servicing transfer

10438 10/14/2011 $ (300,000) $ 1,051,866,911 Transfer of cap due to servicing transfer

10438 11/16/2011 $ (500,000) $ 1,051,366,911 Transfer of cap due to servicing transfer

10438 12/15/2011 $ (2,600,000) $ 1,048,766,911 Transfer of cap due to servicing transfer

10438 1/13/2012 $ (194,800,000) $ 853,966,911 Transfer of cap due to servicing transfer

10438 2/16/2012 $ (400,000) $ 853,566,911 Transfer of cap due to servicing transfer

8/12/2009 PennyMac Loan Services, LLC Calasbasa CA Purchase Financial Instrument for Home Loan Modifications $ 6,210,000 N/A 9/30/2009 $ (1,200,000) $ 5,010,000 

Updated portfolio data from servicer & HPDP 

initial cap

1000744 12/30/2009 $ 30,800,000 $ 35,810,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000744 3/26/2010 $ 23,200,000 $ 59,010,000 Updated portfolio data from servicer

1000744 6/16/2010 $ 2,710,000 $ 61,720,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000744 7/14/2010 $ (18,020,000) $ 43,700,000 Updated portfolio data from servicer

1000744 7/16/2010 $ 6,680,000 $ 50,380,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000744 8/13/2010 $ 2,600,000 $ 52,980,000 Transfer of cap to due to servicing transfer

1000744 9/15/2010 $ (100,000) $ 52,880,000 Transfer of cap to due to servicing transfer

1000744 9/30/2010 $ 200,000 $ 53,080,000 Initial FHA-HAMP cap and 2MP initial cap

1000744 9/30/2010 $ (1,423,197) $ 51,656,803 Updated portfolio data from servicer

1000744 11/16/2010 $ 1,400,000 $ 53,056,803 Transfer of cap due to servicing transfer

1000744 12/15/2010 $ (100,000) $ 52,956,803 Updated portfolio data from servicer

1000744 1/6/2011 $ (72) $ 52,956,731 Updated portfolio data from servicer

1000744 1/13/2011 $ 4,100,000 $ 57,056,731 Transfer of cap due to servicing transfer

1000744 2/16/2011 $ (100,000) $ 56,956,731 Transfer of cap due to servicing transfer

1000744 3/16/2011 $ 4,000,000 $ 60,956,731 Transfer of cap due to servicing transfer

1000744 3/30/2011 $ (94) $ 60,956,637 

Updated due to quarterly assessment and 

reallocation

1000744 4/13/2011 $ (100,000) $ 60,856,637 Transfer of cap due to servicing transfer

1000744 5/13/2011 $ 5,800,000 $ 66,656,637 Transfer of cap due to servicing transfer

1000744 6/16/2011 $ 600,000 $ 67,256,637 Transfer of cap due to servicing transfer
83

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000744 6/29/2011 $ (812) $ 67,255,825 

Updated due to quarterly assessment and 

reallocation

1000744 7/14/2011 $ 2,500,000 $ 69,755,825 Transfer of cap due to servicing transfer

1000744 9/15/2011 $ 2,800,000 $ 72,555,825 Transfer of cap due to servicing transfer

1000744 10/14/2011 $ 300,000 $ 72,855,825 Transfer of cap due to servicing transfer

1000744 11/16/2011 $ 900,000 $ 73,755,825 Transfer of cap due to servicing transfer

1000744 12/15/2011 $ 800,000 $ 74,555,825 Transfer of cap due to servicing transfer

1000744 1/13/2012 $ 200,000 $ 74,755,825 Transfer of cap due to servicing transfer

8/12/2009 Servis One, Inc. Titusville PA Purchase Financial Instrument for Home Loan Modifications $ 29,730,000 N/A 9/30/2009 $ (25,510,000) $ 4,220,000 

Updated portfolio data from servicer & HPDP 

initial cap

10454 12/30/2009 $ 520,000 $ 4,740,000 

Updated portfolio data from servicer & HAFA 

initial cap

10454 3/26/2010 $ 4,330,000 $ 9,070,000 Updated portfolio data from servicer

10454 4/19/2010 $ 230,000 $ 9,300,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

10454 5/19/2010 $ 850,000 $ 10,150,000 Initial 2MP cap

10454 7/14/2010 $ (850,000) $ 9,300,000 Updated portfolio data from servicer

10454 9/15/2010 $ 100,000 $ 9,400,000 Transfer of cap to due to servicing transfer

10454 9/30/2010 $ 100,000 $ 9,500,000 Initial FHA-HAMP cap

10454 9/30/2010 $ 16,755,064 $ 26,255,064 Updated portfolio data from servicer

10454 10/15/2010 $ 100,000 $ 26,355,064 Transfer of cap due to servicing transfer

10454 12/15/2010 $ 100,000 $ 26,455,064 Updated portfolio data from servicer

10454 1/6/2011 $ (40) $ 26,455,024 Updated portfolio data from servicer

10454 1/13/2011 $ 300,000 $ 26,755,024 Transfer of cap due to servicing transfer

10454 2/16/2011 $ 100,000 $ 26,855,024 Transfer of cap due to servicing transfer

10454 3/16/2011 $ 2,200,000 $ 29,055,024 Transfer of cap due to servicing transfer

10454 3/30/2011 $ (52) $ 29,054,972 

Updated due to quarterly assessment and 

reallocation

10454 4/13/2011 $ 1,500,000 $ 30,554,972 Transfer of cap due to servicing transfer

10454 5/13/2011 $ 1,000,000 $ 31,554,972 Transfer of cap due to servicing transfer

10454 6/16/2011 $ 100,000 $ 31,654,972 Transfer of cap due to servicing transfer

10454 6/29/2011 $ (534) $ 31,654,438 

Updated due to quarterly assessment and 

reallocation

10454 8/16/2011 $ 700,000 $ 32,354,438 Transfer of cap due to servicing transfer

10454 9/15/2011 $ (600,000) $ 31,754,438 Transfer of cap due to servicing transfer

10454 10/14/2011 $ 4,000,000 $ 35,754,438 Transfer of cap due to servicing transfer

10454 11/16/2011 $ 600,000 $ 36,354,438 Transfer of cap due to servicing transfer

10454 12/15/2011 $ 200,000 $ 36,554,438 Transfer of cap due to servicing transfer

10454 1/13/2012 $ 100,000 $ 36,654,438 Transfer of cap due to servicing transfer

10454 2/16/2012 $ 1,300,000 $ 37,954,438 Transfer of cap due to servicing transfer

8/28/2009 OneWest Bank Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 668,440,000 N/A 10/2/2009 $ 145,800,000 $ 814,240,000 HPDP initial cap

10008 12/30/2009 $ 1,355,930,000 $ 2,170,170,000 

Updated portfolio data from servicer & HAFA 

initial cap

10008 3/26/2010 $ 121,180,000 $ 2,291,350,000 Updated portfolio data from servicer
84

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10008 7/14/2010 $ (408,850,000) $ 1,882,500,000 Updated portfolio data from servicer

10008 9/30/2010 $ 5,500,000 $ 1,888,000,000 2MP initial cap

10008 9/30/2010 $ (51,741,163) $ 1,836,258,837 Updated portfolio data from servicer

10008 1/6/2011 $ (2,282) $ 1,836,256,555 Updated portfolio data from servicer

10008 3/30/2011 $ (2,674) $ 1,836,253,881 

Updated due to quarterly assessment and 

reallocation

10008 6/29/2011 $ (24,616) $ 1,836,229,265 

Updated due to quarterly assessment and 

reallocation

8/28/2009 Stanford Federal Credit Union Palo Alto CA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 10/2/2009 $ 70,000 $ 370,000 HPDP initial cap

1000576 12/30/2009 $ 2,680,000 $ 3,050,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000576 3/26/2010 $ 350,000 $ 3,400,000 Updated portfolio data from servicer

1000576 7/14/2010 $ (1,900,000) $ 1,500,000 Updated portfolio data from servicer

1000576 9/30/2010 $ (1,209,889) $ 290,111 Updated portfolio data from servicer

1000576 3/23/2010 $ (290,111) $ - Termination of SPA 

8/28/2009 RoundPoint Mortgage Servicing Corporation Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 10/2/2009 $ 130,000 $ 700,000 HPDP initial cap

1001011 12/30/2009 $ (310,000) $ 390,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001011 3/26/2010 $ 2,110,000 $ 2,500,000 Updated portfolio data from servicer

1001011 7/14/2010 $ 8,300,000 $ 10,800,000 Updated portfolio data from servicer

1001011 9/30/2010 $ 5,301,172 $ 16,101,172 Updated portfolio data from servicer

1001011 1/6/2011 $ (22) $ 16,101,150 Updated portfolio data from servicer

1001011 3/16/2011 $ (400,000) $ 15,701,150 Transfer of cap due to servicing transfer

1001011 3/30/2011 $ (25) $ 15,701,125 

Updated due to quarterly assessment and 

reallocation

1001011 4/13/2011 $ - $ 15,701,125 Transfer of cap due to servicing transfer

1001011 6/29/2011 $ (232) $ 15,700,893 

Updated due to quarterly assessment and 

reallocation

9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications $ 560,000 N/A 10/2/2009 $ 130,000 $ 690,000 HPDP initial cap

1001018 12/30/2009 $ 1,040,000 $ 1,730,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001018 3/26/2010 $ (1,680,000) $ 50,000 Updated portfolio data from servicer

1001018 5/12/2010 $ 1,260,000 $ 1,310,000 Updated portfolio data from servicer

1001018 7/14/2010 $ (1,110,000) $ 200,000 Updated portfolio data from servicer

1001018 9/30/2010 $ 100,000 $ 300,000 Initial RD-HAMP

1001018 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1001018 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

Vantium Capital, Inc.dba Acqura Loan Services Plano TX Purchase Financial Instrument for Home Loan Modifications $ 6,000,000 N/A 10 10/2/2009 $ 1,310,000 $ 7,310,000 HPDP initial cap

10354 12/30/2009 $ (3,390,000) $ 3,920,000 

Updated portfolio data from servicer & HAFA 

initial cap

10354 3/26/2010 $ 410,000 $ 4,330,000 Updated portfolio data from servicer

10354 7/14/2010 $ (730,000) $ 3,600,000 Updated portfolio data from servicer

10354 9/15/2010 $ 4,700,000 $ 8,300,000 Transfer of cap due to servicing transfer

10354 9/30/2010 $ 117,764 $ 8,417,764 Updated portfolio data from servicer

10354 11/16/2010 $ 800,000 $ 9,217,764 Transfer of cap due to servicing transfer

9/2/2009 as 

amended on 

8/27/2010
85

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10354 12/15/2010 $ 2,700,000 $ 11,917,764 Updated portfolio data from servicer

10354 1/6/2011 $ (17) $ 11,917,747 Updated portfolio data from servicer

10354 1/13/2011 $ 700,000 $ 12,617,747 Transfer of cap due to servicing transfer

10354 2/16/2011 $ 1,800,000 $ 14,417,747 Transfer of cap due to servicing transfer

10354 3/30/2011 $ (19) $ 14,417,728 

Updated due to quarterly assessment and 

reallocation

10354 4/13/2011 $ 300,000 $ 14,717,728 Transfer of cap due to servicing transfer

10354 6/29/2011 $ (189) $ 14,717,539 

Updated due to quarterly assessment and 

reallocation

10354 8/16/2011 $ 300,000 $ 15,017,539 Transfer of cap due to servicing transfer

10354 9/15/2011 $ 100,000 $ 15,117,539 Transfer of cap due to servicing transfer

10354 10/14/2011 $ 100,000 $ 15,217,539 Transfer of cap due to servicing transfer

9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,250,000 N/A 10/2/2009 $ 280,000 $ 1,530,000 HPDP initial cap

1000890 12/30/2009 $ (750,000) $ 780,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000890 3/26/2010 $ 120,000 $ 900,000 Updated portfolio data from servicer

1000890 7/14/2010 $ (300,000) $ 600,000 Updated portfolio data from servicer

1000890 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1000890 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1000890 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

1000890 6/29/2011 $ (5) $ 870,327 

Updated due to quarterly assessment and 

reallocation

9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications $ 114,220,000 N/A 10/2/2009 $ 24,920,000 $ 139,140,000 HPDP initial cap

10305 12/30/2009 $ 49,410,000 $ 188,550,000 

Updated portfolio data from servicer & HAFA 

initial cap

10305 3/26/2010 $ 41,830,000 $ 230,380,000 Updated portfolio data from servicer

10305 7/14/2010 $ (85,780,000) $ 144,600,000 Updated portfolio data from servicer

10305 9/30/2010 $ 36,574,444 $ 181,174,444 Updated portfolio data from servicer

10305 1/6/2011 $ (160) $ 181,174,284 Updated portfolio data from servicer

10305 3/30/2011 $ (172) $ 181,174,112 

Updated due to quarterly assessment and 

reallocation

10305 6/29/2011 $ (1,431) $ 181,172,681 

Updated due to quarterly assessment and 

reallocation

9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications $ 4,350,000 N/A 10/2/2009 $ 950,000 $ 5,300,000 HPDP initial cap

1000483 12/30/2009 $ 5,700,000 $ 11,000,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000483 3/26/2010 $ 740,000 $ 11,740,000 Updated portfolio data from servicer

1000483 7/14/2010 $ (1,440,000) $ 10,300,000 Updated portfolio data from servicer

1000483 9/30/2010 $ (6,673,610) $ 3,626,390 Updated portfolio data from servicer

1000483 1/6/2011 $ (5) $ 3,626,385 Updated portfolio data from servicer

1000483 3/30/2011 $ (6) $ 3,626,379 

Updated due to quarterly assessment and 

reallocation

1000483 6/29/2011 $ (52) $ 3,626,327 

Updated due to quarterly assessment and 

reallocation

9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications $ 2,070,000 N/A 10/2/2009 $ 460,000 $ 2,530,000 HPDP initial cap

1000467 12/30/2009 $ 2,730,000 $ 5,260,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000467 3/26/2010 $ 13,280,000 $ 18,540,000 Updated portfolio data from servicer
86

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000467 7/14/2010 $ (13,540,000) $ 5,000,000 Updated portfolio data from servicer

1000467 9/30/2010 $ 1,817,613 $ 6,817,613 Updated portfolio data from servicer

1000467 1/6/2011 $ (10) $ 6,817,603 Updated portfolio data from servicer

1000467 3/30/2011 $ (12) $ 6,817,591 

Updated due to quarterly assessment and 

reallocation

1000467 6/29/2011 $ (115) $ 6,817,476 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala FL Purchase Financial Instrument for Home Loan Modifications $ 250,000 N/A 10/2/2009 $ 60,000 $ 310,000 HPDP initial cap

1001029 12/30/2009 $ (80,000) $ 230,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001029 3/26/2010 $ 280,000 $ 510,000 Updated portfolio data from servicer

1001029 7/14/2010 $ (410,000) $ 100,000 Updated portfolio data from servicer

1001029 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001029 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Metropolitan National Bank Little Rock AR Purchase Financial Instrument for Home Loan Modifications $ 280,000 N/A 10/2/2009 $ 70,000 $ 350,000 HPDP initial cap

1000747 12/30/2009 $ 620,000 $ 970,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000747 3/26/2010 $ 100,000 $ 1,070,000 Updated portfolio data from servicer

1000747 7/14/2010 $ (670,000) $ 400,000 Updated portfolio data from servicer

1000747 9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer

1000747 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1000747 1/26/2011 $ (435,166) $ - Termination of SPA 

9/11/2009 Franklin Credit Management Corporation Jersey City NJ Purchase Financial Instrument for Home Loan Modifications $ 27,510,000 N/A 10/2/2009 $ 6,010,000 $ 33,520,000 HPDP initial cap

1000955 12/30/2009 $ (19,750,000) $ 13,770,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000955 3/26/2010 $ (4,780,000) $ 8,990,000 Updated portfolio data from servicer

1000955 7/14/2010 $ (2,390,000) $ 6,600,000 Updated portfolio data from servicer

1000955 9/30/2010 $ 2,973,670 $ 9,573,670 Updated portfolio data from servicer

1000955 1/6/2011 $ (3) $ 9,573,667 Updated portfolio data from servicer

1000955 2/16/2011 $ (1,800,000) $ 7,773,667 Transfer of cap due to servicing transfer

1000955 3/30/2011 $ (6) $ 7,773,661 

Updated due to quarterly assessment and 

reallocation

1000955 6/29/2011 $ (61) $ 7,773,600 

Updated due to quarterly assessment and 

reallocation

1000955 10/14/2011 $ (100,000) $ 7,673,600 Transfer of cap due to servicing transfer

9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 10/2/2009 $ 90,000 $ 500,000 HPDP initial cap

1001037 12/30/2009 $ 1,460,000 $ 1,960,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001037 3/26/2010 $ 160,000 $ 2,120,000 Updated portfolio data from servicer

1001037 7/14/2010 $ (120,000) $ 2,000,000 Updated portfolio data from servicer

1001037 9/30/2010 $ (1,419,778) $ 580,222 Updated portfolio data from servicer

1001037 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001037 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001037 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001037 1/25/2012 $ (580,212) $ - Termination of SPA 
87

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 4,390,000 N/A 10/2/2009 $ 960,000 $ 5,350,000 HPDP initial cap

1001184 12/30/2009 $ (3,090,000) $ 2,260,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001184 3/26/2010 $ 230,000 $ 2,490,000 Updated portfolio data from servicer

1001184 7/14/2010 $ 5,310,000 $ 7,800,000 Updated portfolio data from servicer

1001184 9/30/2010 $ 323,114 $ 8,123,114 Updated portfolio data from servicer

1001184 1/6/2011 $ (12) $ 8,123,102 Updated portfolio data from servicer

1001184 3/16/2011 $ 600,000 $ 8,723,102 Transfer of cap due to servicing transfer

1001184 3/30/2011 $ (16) $ 8,723,086 

Updated due to quarterly assessment and 

reallocation

1001184 4/13/2011 $ 200,000 $ 8,923,086 Transfer of cap due to servicing transfer

1001184 5/13/2011 $ 100,000 $ 9,023,086 Transfer of cap due to servicing transfer

1001184 6/29/2011 $ (153) $ 9,022,933 

Updated due to quarterly assessment and 

reallocation

1001184 9/15/2011 $ 100,000 $ 9,122,933 Transfer of cap due to servicing transfer

1001184 11/16/2011 $ 100,000 $ 9,222,933 Transfer of cap due to servicing transfer

9/23/2009 Schools Financial Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 390,000 N/A 10/2/2009 $ 90,000 $ 480,000 HPDP initial cap

1001045 12/30/2009 $ 940,000 $ 1,420,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001045 3/26/2010 $ (980,000) $ 440,000 Updated portfolio data from servicer

1001045 7/14/2010 $ (140,000) $ 300,000 Updated portfolio data from servicer

1001045 9/30/2010 $ 1,150,556 $ 1,450,556 Updated portfolio data from servicer

1001045 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001045 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1001045 6/29/2011 $ (22) $ 1,450,530 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Glass City Federal Credit Union Maumee OH Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 10/2/2009 $ 60,000 $ 290,000 HPDP initial cap

10716 12/30/2009 $ (10,000) $ 280,000 

Updated portfolio data from servicer & HAFA 

initial cap

10716 3/26/2010 $ 130,000 $ 410,000 Updated portfolio data from servicer

10716 7/14/2010 $ (110,000) $ 300,000 Updated portfolio data from servicer

10716 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

10716 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 10/2/2009 $ 10,000 $ 40,000 HPDP initial cap

10149 12/30/2009 $ 120,000 $ 160,000 

Updated portfolio data from servicer & HAFA 

initial cap

10149 3/26/2010 $ 10,000 $ 170,000 Updated portfolio data from servicer

10149 7/14/2010 $ (70,000) $ 100,000 Updated portfolio data from servicer

10149 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10149 10/29/2010 $ (145,056) $ - Termination of SPA 

9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 10/2/2009 $ 60,000 $ 300,000 HPDP initial cap

1001000 12/30/2009 $ 350,000 $ 650,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001000 3/26/2010 $ 1,360,000 $ 2,010,000 Updated portfolio data from servicer

1001000 7/14/2010 $ (1,810,000) $ 200,000 Updated portfolio data from servicer
88

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001000 9/30/2010 $ 235,167 $ 435,167 Updated portfolio data from servicer

1001000 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1001000 6/29/2011 $ (4) $ 435,162 

Updated due to quarterly assessment and 

reallocation

9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 10/2/2009 $ 100,000 $ 540,000 HPDP initial cap

1000924 12/30/2009 $ 20,000 $ 560,000 

Updated portfolio data from servicer & HAFA 

initial cap

1000924 3/26/2010 $ (290,000) $ 270,000 Updated portfolio data from servicer

1000924 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

1000924 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

1000924 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10/14/2009 Great Lakes Credit Union North Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 12/30/2009 $ 1,030,000 $ 1,600,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001122 3/26/2010 $ (880,000) $ 720,000 Updated portfolio data from servicer

1001122 7/14/2010 $ (320,000) $ 400,000 Updated portfolio data from servicer

1001122 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1001122 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001122 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001122 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

10/14/2009 Mortgage Clearing Corporation Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 4,860,000 N/A 12/30/2009 $ (2,900,000) $ 1,960,000 

Updated portfolio data from servicer & HAFA 

initial cap

1001180 3/26/2010 $ (1,600,000) $ 360,000 Updated portfolio data from servicer

1001180 7/14/2010 $ (260,000) $ 100,000 Updated portfolio data from servicer

1001180 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001180 3/9/2011 $ (145,056) $ - Termination of SPA 

10/21/2009 United Bank Mortgage Corporation Grand Rapids MI Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 1/22/2010 $ 20,000 $ 430,000 Updated HPDP cap & HAFA initial cap

1000073 3/26/2010 $ 400,000 $ 830,000 Updated portfolio data from servicer

1000073 7/14/2010 $ (430,000) $ 400,000 Updated portfolio data from servicer

1000073 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000073 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000073 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000073 6/29/2011 $ (5) $ 580,215 

Updated due to quarterly assessment and 

reallocation

10/23/2009 Bank United Miami Lakes FL Purchase Financial Instrument for Home Loan Modifications $ 93,660,000 N/A 1/22/2010 $ 4,370,000 $ 98,030,000 Updated HPDP cap & HAFA initial cap

10048 3/26/2010 $ 23,880,000 $ 121,910,000 Updated portfolio data from servicer

10048 7/14/2010 $ (16,610,000) $ 105,300,000 Updated portfolio data from servicer

10048 9/30/2010 $ 1,751,033 $ 107,051,033 Updated portfolio data from servicer

10048 1/6/2011 $ (77) $ 107,050,956 Updated portfolio data from servicer

10048 3/16/2011 $ (9,900,000) $ 97,150,956 Transfer of cap due to servicing transfer

10048 3/30/2011 $ (88) $ 97,150,868 

Updated due to quarterly assessment and 

reallocation

10048 6/29/2011 $ (773) $ 97,150,095 

Updated due to quarterly assessment and 

reallocation

10/23/2009 IC Federal Credit Union Fitchburg MA Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap
89

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000740 3/26/2010 $ (760,000) $ 40,000 Updated portfolio data from servicer

1000740 5/12/2010 $ 2,630,000 $ 2,670,000 Updated portfolio data from servicer

1000740 7/14/2010 $ (770,000) $ 1,900,000 Updated portfolio data from servicer

1000740 9/30/2010 $ 565,945 $ 2,465,945 Updated portfolio data from servicer

1000740 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000740 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000740 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

10/28/2009 Harleysville National Bank & Trust Company Harleysville PA Purchase Financial Instrument for Home Loan Modifications $ 1,070,000 N/A 4/21/2010 $ (1,070,000) $ - Termination of SPA 

10/28/2009 Members Mortgage Company, Inc Woburn MA Purchase Financial Instrument for Home Loan Modifications $ 510,000 N/A 4/21/2010 $ (510,000) $ - Termination of SPA 

10/30/2009 DuPage Credit Union Naperville IL Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 1/22/2010 $ 10,000 $ 80,000 Updated HPDP cap & HAFA initial cap

1000585 3/26/2010 $ 10,000 $ 90,000 Updated portfolio data from servicer

1000585 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

1000585 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000585 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

11/6/2009 Los Alamos National Bank Los Alamos NM Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 40,000 $ 740,000 Updated HPDP cap & HAFA initial cap

1000676 3/26/2010 $ 50,000 $ 790,000 Updated portfolio data from servicer

1000676 7/14/2010 $ 1,310,000 $ 2,100,000 Updated portfolio data from servicer

1000676 9/30/2010 $ 75,834 $ 2,175,834 Updated portfolio data from servicer

1000676 1/6/2011 $ (3) $ 2,175,831 Updated portfolio data from servicer

1000676 3/30/2011 $ (4) $ 2,175,827 

Updated due to quarterly assessment and 

reallocation

1000676 6/29/2011 $ (35) $ 2,175,792 

Updated due to quarterly assessment and 

reallocation

11/18/2009 Quantum Servicing Corporation Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 18,960,000 N/A 1/22/2010 $ 890,000 $ 19,850,000 Updated HPDP cap & HAFA initial cap

1001271 3/26/2010 $ 3,840,000 $ 23,690,000 Updated portfolio data from servicer

1001271 7/14/2010 $ (2,890,000) $ 20,800,000 Updated portfolio data from servicer

1001271 9/30/2010 $ 9,661,676 $ 30,461,676 Updated portfolio data from servicer

1001271 1/6/2011 $ (46) $ 30,461,630 Updated portfolio data from servicer

1001271 1/13/2011 $ 1,600,000 $ 32,061,630 Transfer of cap due to servicing transfer

1001271 2/16/2011 $ 1,400,000 $ 33,461,630 Transfer of cap due to servicing transfer

1001271 3/30/2011 $ (58) $ 33,461,572 

Updated due to quarterly assessment and 

reallocation

1001271 4/13/2011 $ 100,000 $ 33,561,572 Transfer of cap due to servicing transfer

1001271 5/13/2011 $ 100,000 $ 33,661,572 Transfer of cap due to servicing transfer

1001271 6/16/2011 $ 800,000 $ 34,461,572 Transfer of cap due to servicing transfer

1001271 6/29/2011 $ (559) $ 34,461,013 

Updated due to quarterly assessment and 

reallocation

1001271 7/14/2011 $ 300,000 $ 34,761,013 Transfer of cap due to servicing transfer

1001271 8/16/2011 $ 200,000 $ 34,961,013 Transfer of cap due to servicing transfer

1001271 9/15/2011 $ 100,000 $ 35,061,013 Transfer of cap due to servicing transfer

1001271 1/13/2012 $ 100,000 $ 35,161,013 Transfer of cap due to servicing transfer
90

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

11/18/2009 Hillsdale County National Bank Hillsdale MI Purchase Financial Instrument for Home Loan Modifications $ 1,670,000 N/A 1/22/2010 $ 80,000 $ 1,750,000 Updated HPDP cap & HAFA initial cap

1000443 3/26/2010 $ 330,000 $ 2,080,000 Updated portfolio data from servicer

1000443 7/14/2010 $ (1,080,000) $ 1,000,000 Updated portfolio data from servicer

1000443 9/30/2010 $ 160,445 $ 1,160,445 Updated portfolio data from servicer

1000443 1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

1000443 3/30/2011 $ (2) $ 1,160,442 

Updated due to quarterly assessment and 

reallocation

1000443 6/29/2011 $ (16) $ 1,160,426 

Updated due to quarterly assessment and 

reallocation

11/18/2009 QLending, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 20,000 N/A 1/22/2010 $ - $ 20,000 Updated HPDP cap & HAFA initial cap

1001304 3/26/2010 $ (10,000) $ 10,000 Updated portfolio data from servicer

1001304 7/14/2010 $ 90,000 $ 100,000 Updated portfolio data from servicer

1001304 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001304 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

11/25/2009 Marix Servicing, LLC Phoenix AZ Purchase Financial Instrument for Home Loan Modifications $ 20,360,000 N/A 1/22/2010 $ 950,000 $ 21,310,000 Updated HPDP cap & HAFA initial cap

10412 3/26/2010 $ (17,880,000) $ 3,430,000 Updated portfolio data from servicer

10412 6/16/2010 $ 1,030,000 $ 4,460,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

10412 7/14/2010 $ (1,160,000) $ 3,300,000 Updated portfolio data from servicer

10412 8/13/2010 $ 800,000 $ 4,100,000 Transfer of cap due to servicing transfer

10412 9/30/2010 $ 200,000 $ 4,300,000 Initial FHA-HAMP cap and initial RD-HAMP

10412 9/30/2010 $ 1,357,168 $ 5,657,168 Updated portfolio data from servicer

10412 1/6/2011 $ (1) $ 5,657,167 Updated portfolio data from servicer

10412 3/16/2011 $ 5,700,000 $ 11,357,167 Transfer of cap due to servicing transfer

10412 3/30/2011 $ (6) $ 11,357,161 

Updated due to quarterly assessment and 

reallocation

10412 4/13/2011 $ 7,300,000 $ 18,657,161 Transfer of cap due to servicing transfer

10412 5/13/2011 $ 300,000 $ 18,957,161 Transfer of cap due to servicing transfer

10412 6/16/2011 $ 900,000 $ 19,857,161 Transfer of cap due to servicing transfer

10412 6/29/2011 $ (154) $ 19,857,007 

Updated due to quarterly assessment and 

reallocation

10412 7/14/2011 $ 100,000 $ 19,957,007 Transfer of cap due to servicing transfer

10412 8/16/2011 $ 300,000 $ 20,257,007 Transfer of cap due to servicing transfer

10412 1/13/2012 $ (1,500,000) $ 18,757,007 Transfer of cap due to servicing transfer

10412 2/16/2012 $ (2,100,000) $ 16,657,007 Transfer of cap due to servicing transfer

11/25/2009 Home Financing Center, Inc Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 4/21/2010 $ (230,000) $ - Termination of SPA 

11/25/2009 First Keystone Bank Media PA Purchase Financial Instrument for Home Loan Modifications $ 1,280,000 N/A 1/22/2010 $ 50,000 $ 1,330,000 Updated HPDP cap & HAFA initial cap

10519 3/26/2010 $ 1,020,000 $ 2,350,000 Updated portfolio data from servicer

10519 7/14/2010 $ (950,000) $ 1,400,000 Updated portfolio data from servicer

10519 9/30/2010 $ 50,556 $ 1,450,556 Updated portfolio data from servicer

10519 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

10519 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation
91

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10519 6/16/2011 $ (100,000) $ 1,350,552 Transfer of cap due to servicing transfer

10519 6/29/2011 $ (21) $ 1,350,531 

Updated due to quarterly assessment and 

reallocation

10519 12 7/22/2011 $ (1,335,614) $ 14,917 Termination of SPA 

12/4/2009 Community Bank & Trust Company Clarks Summit PA Purchase Financial Instrument for Home Loan Modifications $ 380,000 N/A 1/22/2010 $ 10,000 $ 390,000 Updated HPDP cap & HAFA initial cap

1000978 3/26/2010 $ 520,000 $ 910,000 Updated portfolio data from servicer

1000978 7/14/2010 $ (810,000) $ 100,000 Updated portfolio data from servicer

1000978 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000978 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

12/4/2009 Idaho Housing and Finance Association Boise ID Purchase Financial Instrument for Home Loan Modifications $ 9,430,000 N/A 1/22/2010 $ 440,000 $ 9,870,000 Updated HPDP cap & HAFA initial cap

10223 3/26/2010 $ 14,480,000 $ 24,350,000 Updated portfolio data from servicer

10223 5/26/2010 $ (24,200,000) $ 150,000 Updated portfolio data from servicer

10223 7/14/2010 $ 150,000 $ 300,000 Updated portfolio data from servicer

10223 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

10223 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Spirit of Alaska Federal Credit Union Fairbanks AK Purchase Financial Instrument for Home Loan Modifications $ 360,000 N/A 1/22/2010 $ 10,000 $ 370,000 Updated HPDP cap & HAFA initial cap

1000475 3/26/2010 $ 850,000 $ 1,220,000 Updated portfolio data from servicer

1000475 7/14/2010 $ (120,000) $ 1,100,000 Updated portfolio data from servicer

1000475 9/30/2010 $ 100,000 $ 1,200,000 Initial FHA-HAMP cap

1000475 9/30/2010 $ 105,500 $ 1,305,500 Updated portfolio data from servicer

1000475 1/6/2011 $ (2) $ 1,305,498 Updated portfolio data from servicer

1000475 2/17/2011 $ (1,305,498) $ - Termination of SPA 

12/9/2009 American Eagle Federal Credit Union East Hartford CT Purchase Financial Instrument for Home Loan Modifications $ 1,590,000 N/A 1/22/2010 $ 70,000 $ 1,660,000 Updated HPDP cap & HAFA initial cap

1001228 3/26/2010 $ (290,000) $ 1,370,000 Updated portfolio data from servicer

1001228 7/14/2010 $ (570,000) $ 800,000 Updated portfolio data from servicer

1001228 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

1001228 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001228 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

1001228 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

1001228 1/25/2012 $ (870,319) $ - Termination of SPA 

12/9/2009 Silver State Schools Credit Union Las Vegas NV Purchase Financial Instrument for Home Loan Modifications $ 1,880,000 N/A 1/22/2010 $ 90,000 $ 1,970,000 Updated HPDP cap & HAFA initial cap

1001075 3/26/2010 $ 1,110,000 $ 3,080,000 Updated portfolio data from servicer

1001075 7/14/2010 $ (1,180,000) $ 1,900,000 Updated portfolio data from servicer

1001075 9/30/2010 $ 275,834 $ 2,175,834 Updated portfolio data from servicer

1001075 1/6/2011 $ (2) $ 2,175,832 Updated portfolio data from servicer

1001075 3/30/2011 $ (3) $ 2,175,829 

Updated due to quarterly assessment and 

reallocation

1001075 6/29/2011 $ (26) $ 2,175,803 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Fidelity Homestead Savings Bank New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 2,940,000 N/A 1/22/2010 $ 140,000 $ 3,080,000 Updated HPDP cap & HAFA initial cap
92

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001269 3/26/2010 $ 6,300,000 $ 9,380,000 Updated portfolio data from servicer

1001269 7/14/2010 $ (1,980,000) $ 7,400,000 Updated portfolio data from servicer

1001269 9/30/2010 $ (6,384,611) $ 1,015,389 Updated portfolio data from servicer

1001269 1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

1001269 3/30/2011 $ (2) $ 1,015,386 

Updated due to quarterly assessment and 

reallocation

1001269 6/29/2011 $ (16) $ 1,015,370 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Bay Gulf Credit Union Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 1/22/2010 $ 10,000 $ 240,000 Updated HPDP cap & HAFA initial cap

10141 3/26/2010 $ 440,000 $ 680,000 Updated portfolio data from servicer

10141 7/14/2010 $ (80,000) $ 600,000 Updated portfolio data from servicer

10141 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

10141 10/15/2010 $ (580,222) $ - Termination of SPA 

12/9/2009 The Golden 1 Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 6,160,000 N/A 1/22/2010 $ 290,000 $ 6,450,000 Updated HPDP cap & HAFA initial cap

1001226 3/26/2010 $ 40,000 $ 6,490,000 Updated portfolio data from servicer

1001226 7/14/2010 $ (2,890,000) $ 3,600,000 Updated portfolio data from servicer

1001226 9/30/2010 $ 606,612 $ 4,206,612 Updated portfolio data from servicer

1001226 1/6/2011 $ (4) $ 4,206,608 Updated portfolio data from servicer

1001226 3/30/2011 $ (4) $ 4,206,604 

Updated due to quarterly assessment and 

reallocation

1001226 6/29/2011 $ (35) $ 4,206,569 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Sterling Savings Bank Spokane WA Purchase Financial Instrument for Home Loan Modifications $ 2,250,000 N/A 1/22/2010 $ 100,000 $ 2,350,000 Updated HPDP cap & HAFA initial cap

1000638 3/26/2010 $ (740,000) $ 1,610,000 Updated portfolio data from servicer

1000638 7/14/2010 $ (710,000) $ 900,000 Updated portfolio data from servicer

1000638 9/30/2010 $ 550,556 $ 1,450,556 Updated portfolio data from servicer

1000638 1/6/2011 $ (1) $ 1,450,555 Updated portfolio data from servicer

1000638 3/30/2011 $ (1) $ 1,450,554 

Updated due to quarterly assessment and 

reallocation

1000638 6/29/2011 $ (11) $ 1,450,543 

Updated due to quarterly assessment and 

reallocation

12/11/2009 HomeStar Bank & Financial Services Manteno IL Purchase Financial Instrument for Home Loan Modifications $ 310,000 N/A 1/22/2010 $ 20,000 $ 330,000 Updated HPDP cap & HAFA initial cap

10125 3/26/2010 $ 820,000 $ 1,150,000 Updated portfolio data from servicer

10125 7/14/2010 $ (350,000) $ 800,000 Updated portfolio data from servicer

10125 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

10125 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10125 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10125 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

12/11/2009 Glenview State Bank Glenview IL Purchase Financial Instrument for Home Loan Modifications $ 370,000 N/A 1/22/2010 $ 20,000 $ 390,000 Updated HPDP cap & HAFA initial cap

1000558 3/26/2010 $ 1,250,000 $ 1,640,000 Updated portfolio data from servicer

1000558 5/26/2010 $ (1,640,000) $ - Termination of SPA 

12/11/2009 Verity Credit Union Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 1/22/2010 $ 30,000 $ 630,000 Updated HPDP cap & HAFA initial cap

10139 3/26/2010 $ 400,000 $ 1,030,000 Updated portfolio data from servicer
93

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10139 7/14/2010 $ (330,000) $ 700,000 Updated portfolio data from servicer

10139 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

10139 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

10139 2/17/2011 $ (725,277) $ - Termination of SPA 

12/11/2009 Hartford Savings Bank Hartford WI Purchase Financial Instrument for Home Loan Modifications $ 630,000 N/A 1/22/2010 $ 30,000 $ 660,000 Updated HPDP cap & HAFA initial cap

1000753 3/26/2010 $ 800,000 $ 1,460,000 Updated portfolio data from servicer

1000753 7/14/2010 $ (360,000) $ 1,100,000 Updated portfolio data from servicer

1000753 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

1000753 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

1000753 3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

1000753 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

12/11/2009 The Bryn Mawr Trust Co. Bryn Mawr PA Purchase Financial Instrument for Home Loan Modifications $ 150,000 N/A 4/21/2010 $ (150,000) $ - Termination of SPA 

1000631 9 6/16/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

12/16/2009 Citizens 1st National Bank Spring Valley IL Purchase Financial Instrument for Home Loan Modifications $ 620,000 N/A 1/22/2010 $ 30,000 $ 650,000 Updated HPDP cap & HAFA initial cap

1000438 3/26/2010 $ (580,000) $ 70,000 Updated portfolio data from servicer

1000438 7/14/2010 $ 1,430,000 $ 1,500,000 Updated portfolio data from servicer

1000438 9/30/2010 $ 95,612 $ 1,595,612 Updated portfolio data from servicer

1000438 1/6/2011 $ (2) $ 1,595,610 Updated portfolio data from servicer

1000438 3/30/2011 $ (3) $ 1,595,607 

Updated due to quarterly assessment and 

reallocation

1000438 6/29/2011 $ (24) $ 1,595,583 

Updated due to quarterly assessment and 

reallocation

12/16/2009 Golden Plains Credit Union Garden City KS Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 1/22/2010 $ 10,000 $ 180,000 Updated HPDP cap & HAFA initial cap

1001397 3/26/2010 $ 30,000 $ 210,000 Updated portfolio data from servicer

1001397 7/14/2010 $ (10,000) $ 200,000 Updated portfolio data from servicer

1001397 9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

1001397 2/17/2011 $ (290,111) $ - Termination of SPA 

12/16/2009 First Federal Savings and Loan Association of Lakewood Lakewood OH Purchase Financial Instrument for Home Loan Modifications $ 3,460,000 N/A 1/22/2010 $ 160,000 $ 3,620,000 Updated HPDP cap & HAFA initial cap

1000828 4/21/2010 $ (3,620,000) $ - Termination of SPA 

12/16/2009 Sound Community Bank Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 1/22/2010 $ 20,000 $ 460,000 Updated HPDP cap & HAFA initial cap

10524 3/26/2010 $ 1,430,000 $ 1,890,000 Updated portfolio data from servicer

10524 7/14/2010 $ (390,000) $ 1,500,000 Updated portfolio data from servicer

10524 9/8/2010 $ (1,500,000) $ - Termination of SPA 

12/16/2009 Horizon Bank, NA Michigan City IN Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 30,000 $ 730,000 Updated HPDP cap & HAFA initial cap

1000825 3/26/2010 $ 1,740,000 $ 2,470,000 Updated portfolio data from servicer

1000825 7/14/2010 $ (1,870,000) $ 600,000 Updated portfolio data from servicer

1000825 9/30/2010 $ 850,556 $ 1,450,556 Updated portfolio data from servicer

1000825 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1000825 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation
94

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000825 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

12/16/2009 Park View Federal Savings Bank Solon OH Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

10025 3/26/2010 $ 140,000 $ 940,000 Updated portfolio data from servicer

10025 7/14/2010 $ (140,000) $ 800,000 Updated portfolio data from servicer

10025 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

10025 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10025 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10025 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

12/23/2009 Iberiabank Sarasota FL Purchase Financial Instrument for Home Loan Modifications $ 4,230,000 N/A 1/22/2010 $ 200,000 $ 4,430,000 Updated HPDP cap & HAFA initial cap

1001411 3/26/2010 $ (1,470,000) $ 2,960,000 Updated portfolio data from servicer

1001411 7/14/2010 $ (1,560,000) $ 1,400,000 Updated portfolio data from servicer

1001411 9/30/2010 $ 5,852,780 $ 7,252,780 Updated portfolio data from servicer

1001411 1/6/2011 $ (11) $ 7,252,769 Updated portfolio data from servicer

1001411 3/30/2011 $ (13) $ 7,252,756 

Updated due to quarterly assessment and 

reallocation

1001411 4/13/2011 $ (300,000) $ 6,952,756 Transfer of cap due to servicing transfer

1001411 12 6/3/2011 $ (6,927,254) $ 25,502 Termination of SPA 

12/23/2009 Grafton Suburban Credit Union North Grafton MA Purchase Financial Instrument for Home Loan Modifications $ 340,000 N/A 1/22/2010 $ 20,000 $ 360,000 Updated HPDP cap & HAFA initial cap

1001192 3/26/2010 $ (320,000) $ 40,000 Updated portfolio data from servicer

1001192 7/14/2010 $ 760,000 $ 800,000 Updated portfolio data from servicer

1001192 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1001192 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1001192 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1001192 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1001192 1/25/2012 $ (725,265) $ - Termination of SPA 

12/23/2009 Eaton National Bank & Trust Company Eaton OH Purchase Financial Instrument for Home Loan Modifications $ 60,000 N/A 1/22/2010 $ - $ 60,000 Updated HPDP cap & HAFA initial cap

1001078 3/26/2010 $ 90,000 $ 150,000 Updated portfolio data from servicer

1001078 7/14/2010 $ 50,000 $ 200,000 Updated portfolio data from servicer

1001078 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

1001078 5/20/2011 $ (145,056) $ - Termination of SPA 

12/23/2009 Tempe Schools Credit Union Tempe AZ Purchase Financial Instrument for Home Loan Modifications $ 110,000 N/A 1/22/2010 $ - $ 110,000 Updated HPDP cap & HAFA initial cap

1000703 3/26/2010 $ (20,000) $ 90,000 Updated portfolio data from servicer

1000703 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

1000703 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000703 12/8/2010 $ (145,056) $ - Termination of SPA 

1/13/2010 Fresno County Federal Credit Union Fresno CA Purchase Financial Instrument for Home Loan Modifications $ 260,000 N/A 3/26/2010 $ 480,000 $ 740,000 Updated portfolio data from servicer

10507 7/14/2010 $ (140,000) $ 600,000 Updated portfolio data from servicer

10507 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer
95

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

10507 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

10507 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

10507 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1/13/2010 Roebling Bank Roebling NJ Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 3/26/2010 $ 610,000 $ 850,000 Updated portfolio data from servicer

1001235 7/14/2010 $ 50,000 $ 900,000 Updated portfolio data from servicer

1001235 9/30/2010 $ (29,666) $ 870,334 Updated portfolio data from servicer

1001235 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001235 3/23/2011 $ (870,333) $ - Termination of SPA 

1/13/2010 First National Bank of Grant Park Grant Park IL Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 3/26/2010 $ 150,000 $ 290,000 Updated portfolio data from servicer

1000901 7/14/2010 $ 10,000 $ 300,000 Updated portfolio data from servicer

1000901 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1000901 1/26/2011 $ (290,111) $ - Termination of SPA 

1/13/2010 Specialized Loan Servicing, LLC Highlands Ranch CO Purchase Financial Instrument for Home Loan Modifications $ 64,150,000 N/A 3/26/2010 $ (51,240,000) $ 12,910,000 Updated portfolio data from servicer

1000635 5/14/2010 $ 3,000,000 $ 15,910,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 6/16/2010 $ 4,860,000 $ 20,770,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 7/14/2010 $ 3,630,000 $ 24,400,000 Updated portfolio data from servicer

1000635 7/16/2010 $ 330,000 $ 24,730,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 8/13/2010 $ 700,000 $ 25,430,000 Transfer of cap due to servicing transfer

1000635 9/15/2010 $ 200,000 $ 25,630,000 Transfer of cap due to servicing transfer

1000635 9/30/2010 $ (1,695,826) $ 23,934,174 Updated portfolio data from servicer

1000635 11/16/2010 $ 200,000 $ 24,134,174 Transfer of cap due to servicing transfer

1000635 1/6/2011 $ (32) $ 24,134,142 Updated portfolio data from servicer

1000635 1/13/2011 $ 1,500,000 $ 25,634,142 Transfer of cap due to servicing transfer

1000635 3/16/2011 $ 7,100,000 $ 32,734,142 Transfer of cap due to servicing transfer

1000635 3/30/2011 $ (36) $ 32,734,106 

Updated due to quarterly assessment and 

reallocation

1000635 4/13/2011 $ 1,000,000 $ 33,734,106 Transfer of cap due to servicing transfer
96

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1000635 5/13/2011 $ 100,000 $ 33,834,106 Transfer of cap due to servicing transfer

1000635 6/16/2011 $ 300,000 $ 34,134,106 Transfer of cap due to servicing transfer

1000635 6/29/2011 $ (332) $ 34,133,774 

Updated due to quarterly assessment and 

reallocation

1000635 8/16/2011 $ 100,000 $ 34,233,774 Transfer of cap due to servicing transfer

1000635 9/15/2011 $ 300,000 $ 34,533,774 Transfer of cap due to servicing transfer

1000635 10/14/2011 $ 300,000 $ 34,833,774 Transfer of cap due to servicing transfer

1000635 12/15/2011 $ (1,700,000) $ 33,133,774 Transfer of cap due to servicing transfer

1000635 1/13/2012 $ 1,600,000 $ 34,733,774 Transfer of cap due to servicing transfer

1000635 2/16/2012 $ 100,000 $ 34,833,774 Transfer of cap due to servicing transfer

1/13/2010 Greater Nevada Mortgage Services Carson City NV Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 3/26/2010 $ 8,680,000 $ 9,450,000 Updated portfolio data from servicer

10517 7/14/2010 $ (8,750,000) $ 700,000 Updated portfolio data from servicer

10517 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

10517 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10517 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10517 6/29/2011 $ (8) $ 870,324 

Updated due to quarterly assessment and 

reallocation

1/15/2010 Digital Federal Credit Union Marlborough MA Purchase Financial Instrument for Home Loan Modifications $ 3,050,000 N/A 3/26/2010 $ 12,190,000 $ 15,240,000 Updated portfolio data from servicer

10416 5/14/2010 $ (15,240,000) $ - Termination of SPA 

1/29/2010 iServe Residential Lending, LLC San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 960,000 N/A 3/26/2010 $ (730,000) $ 230,000 Updated portfolio data from servicer

1001415 7/14/2010 $ 370,000 $ 600,000 Updated portfolio data from servicer

1001415 9/30/2010 $ 200,000 $ 800,000 Initial FHA-HAMP cap and initial 2MP cap

1001415 9/30/2010 $ (364,833) $ 435,167 Updated portfolio data from servicer

1001415 11/16/2010 $ 100,000 $ 535,167 Transfer of cap due to servicing transfer

1001415 1/6/2011 $ (1) $ 535,166 Updated portfolio data from servicer

1001415 3/30/2011 $ (1) $ 535,165 

Updated due to quarterly assessment and 

reallocation

1001415 6/29/2011 $ (7) $ 535,158 

Updated due to quarterly assessment and 

reallocation

1/29/2010 United Bank Griffin GA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 3/26/2010 $ 160,000 $ 700,000 Updated portfolio data from servicer

1000893 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1000893 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000893 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000893 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

3/3/2010 Urban Trust Bank Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,060,000 N/A 7/14/2010 $ 4,440,000 $ 5,500,000 Updated portfolio data from servicer

1001435 9/24/2010 $ (5,500,000) $ - Termination of SPA 

3/5/2010 iServe Servicing, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 28,040,000 N/A 5/26/2010 $ 120,000 $ 28,160,000 Initial 2MP cap

1001384 7/14/2010 $ (12,660,000) $ 15,500,000 Updated portfolio data from servicer

1001384 9/30/2010 $ 100,000 $ 15,600,000 Initial FHA-HAMP cap

1001384 9/30/2010 $ (3,125,218) $ 12,474,782 Updated portfolio data from servicer

1001384 11/16/2010 $ 800,000 $ 13,274,782 Transfer of cap due to servicing transfer
97

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001384 1/6/2011 $ (20) $ 13,274,762 Updated portfolio data from servicer

1001384 3/30/2011 $ (24) $ 13,274,738 

Updated due to quarterly assessment and 

reallocation
98

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001384 6/29/2011 $ (221) $ 13,274,517 

Updated due to quarterly assessment and 

reallocation

3/10/2010 Navy Federal Credit Union Vienna VA Purchase Financial Instrument for Home Loan Modifications $ 60,780,000 N/A 7/14/2010 $ (44,880,000) $ 15,900,000 Updated portfolio data from servicer

1000494 9/30/2010 $ 1,071,505 $ 16,971,505 Updated portfolio data from servicer

1000494 1/6/2011 $ (23) $ 16,971,482 Updated portfolio data from servicer

1000494 3/30/2011 $ (26) $ 16,971,456 

Updated due to quarterly assessment and 

reallocation

1000494 6/29/2011 $ (238) $ 16,971,218 

Updated due to quarterly assessment and 

reallocation

3/10/2010 Vist Financial Corp Wyomissing PA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 400,000 $ 700,000 Updated portfolio data from servicer

1000468 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1000468 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000468 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000468 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

4/14/2010 Midwest Bank and Trust Co. Elmwood Park IL Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 300,000 $ 600,000 Updated portfolio data from servicer

1001521 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

1001521 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001521 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001521 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001521 7/14/2011 $ (580,212) $ - Termination of SPA 

4/14/2010 Wealthbridge Mortgage Corp Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 6,550,000 N/A 7/14/2010 $ (150,000) $ 6,400,000 Updated portfolio data from servicer

1000657 9/15/2010 $ 1,600,000 $ 8,000,000 Transfer of cap due to servicing transfer

1000657 9/30/2010 $ (4,352,173) $ 3,647,827 Updated portfolio data from servicer

1000657 1/6/2011 $ (5) $ 3,647,822 Updated portfolio data from servicer

1000657 3/30/2011 $ (6) $ 3,647,816 

Updated due to quarterly assessment and 

reallocation

1000657 4/13/2011 $ (3,000,000) $ 647,816 Transfer of cap due to servicing transfer

1000657 6/29/2011 $ (9) $ 647,807 

Updated due to quarterly assessment and 

reallocation

5/21/2010 Aurora Financial Group, Inc. Marlton NJ Purchase Financial Instrument for Home Loan Modifications $ 10,000 N/A 4, 8 5/26/2010 $ 30,000 $ 40,000 Updated FHA-HAMP cap

10425 9/30/2010 $ 250,111 $ 290,111 Updated portfolio data from servicer

10425 6/29/2011 $ 59,889 $ 350,000 

Updated due to quarterly assessment and 

reallocation

6/16/2010 Selene Finance LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 6/16/2010 $ 3,680,000 $ 3,680,000

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1001460 8/13/2010 $ 3,300,000 $ 6,980,000 Transfer of cap due to servicing transfer

1001460 9/30/2010 $ 3,043,831 $ 10,023,831 Updated portfolio data from servicer

1001460 10/15/2010 $ 1,400,000 $ 11,423,831 Transfer of cap due to servicing transfer

1001460 1/6/2011 $ (17) $ 11,423,814 Updated portfolio data from servicer

1001460 3/16/2011 $ 2,100,000 $ 13,523,814 Transfer of cap due to servicing transfer

1001460 3/30/2011 $ (24) $ 13,523,790 

Updated due to quarterly assessment and 

reallocation

1001460 4/13/2011 $ 2,900,000 $ 16,423,790 Transfer of cap due to servicing transfer

1001460 6/16/2011 $ (200,000) $ 16,223,790 Transfer of cap due to servicing transfer

1001460 6/29/2011 $ (273) $ 16,223,517 

Updated due to quarterly assessment and 

reallocation
99

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001460 10/14/2011 $ 100,000 $ 16,323,517 Transfer of cap due to servicing transfer

1001460 11/16/2011 $ 1,100,000 $ 17,423,517 Transfer of cap due to servicing transfer

8/4/2010 Suburban Mortgage Company of New Mexico Albuquerque NM Purchase Financial Instrument for Home Loan Modifications $ 880,000 N/A 9/30/2010 $ 1,585,945 $ 2,465,945 Updated portfolio data from servicer

1000602 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000602 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000602 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

8/20/2010 Bramble Savings Bank Cincinanati OH Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 9/30/2010 $ 1,040,667 $ 1,740,667 Updated portfolio data from servicer

1001708 1/6/2011 $ (2) $ 1,740,665 Updated portfolio data from servicer

1001708 3/30/2011 $ (3) $ 1,740,662 

Updated due to quarterly assessment and 

reallocation

1001708 6/29/2011 $ (28) $ 1,740,634 

Updated due to quarterly assessment and 

reallocation

1001708 8/10/2011 $ (1,740,634) $ - Termination of SPA 

8/25/2010 Pathfinder Bank Oswego NY Purchase Financial Instrument for Home Loan Modifications $ 1,300,000 N/A 9/30/2010 $ 2,181,334 $ 3,481,334 Updated portfolio data from servicer

1001240 1/6/2011 $ (5) $ 3,481,329 Updated portfolio data from servicer

1001240 3/30/2011 $ (6) $ 3,481,323 

Updated due to quarterly assessment and 

reallocation

1001240 6/29/2011 $ (58) $ 3,481,265 

Updated due to quarterly assessment and 

reallocation

8/27/2010 First Financial Bank, N.A. Terre Haute ID Purchase Financial Instrument for Home Loan Modifications $ 4,300,000 N/A 9/30/2010 $ 7,014,337 $ 11,314,337 Updated portfolio data from servicer

1000951 1/6/2011 $ (17) $ 11,314,320 Updated portfolio data from servicer

1000951 3/30/2011 $ (20) $ 11,314,300 

Updated due to quarterly assessment and 

reallocation

1000951 6/29/2011 $ (192) $ 11,314,108 

Updated due to quarterly assessment and 

reallocation

9/1/2010 RBC Bank (USA) Raleigh NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001421 1/6/2011 $ 34,944 $ 180,000 Updated portfolio data from servicer

1001421 3/30/2011 $ 40,000 $ 220,000 

Updated due to quarterly assessment and 

reallocation

1001421 6/29/2011 $ 50,000 $ 270,000 

Updated due to quarterly assessment and 

reallocation

9/3/2010 Fay Servicing, LLC Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 3,100,000 N/A 9/30/2010 $ 5,168,169 $ 8,268,169 Updated portfolio data from servicer

1001727 1/6/2011 $ (12) $ 8,268,157 Updated portfolio data from servicer

1001727 3/30/2011 $ (15) $ 8,268,142 

Updated due to quarterly assessment and 

reallocation

1001727 4/13/2011 $ 400,000 $ 8,668,142 Transfer of cap due to servicing transfer

1001727 6/29/2011 $ (143) $ 8,667,999 

Updated due to quarterly assessment and 

reallocation

1001727 9/15/2011 $ 700,000 $ 9,367,999 Transfer of cap due to servicing transfer

1001727 10/14/2011 $ 100,000 $ 9,467,999 Transfer of cap due to servicing transfer

1001727 11/16/2011 $ 200,000 $ 9,667,999 Transfer of cap due to servicing transfer

1001727 12/15/2011 $ 1,700,000 $ 11,367,999 Transfer of cap due to servicing transfer

9/15/2010 Vericrest Financial, Inc. Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2010 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer

1001557 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1001557 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001557 2/16/2011 $ 3,000,000 $ 4,450,554 Transfer of cap due to servicing transfer
100

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

1001557 3/16/2011 $ 10,200,000 $ 14,650,554 Transfer of cap due to servicing transfer

1001557 3/30/2011 $ (24) $ 14,650,530 

Updated due to quarterly assessment and 

reallocation

1001557 6/29/2011 $ (227) $ 14,650,303 

Updated due to quarterly assessment and 

reallocation

1001557 7/14/2011 $ 12,000,000 $ 26,650,303 Transfer of cap due to servicing transfer

1001557 12/15/2011 $ 4,100,000 $ 30,750,303 Transfer of cap due to servicing transfer

1001557 1/13/2012 $ 900,000 $ 31,650,303 Transfer of cap due to servicing transfer

9/15/2010 Midwest Community Bank Freeport IL Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000879 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000879 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000879 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

9/24/2010 American Finance House LARIBA Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000704 2/2/2011 $ (145,056) $ - Termination of SPA 

9/24/2010 Centrue Bank Ottawa IL Purchase Financial Instrument for Home Loan Modifications $ 1,900,000 N/A 9/30/2010 $ 856,056 $ 2,756,056 Updated portfolio data from servicer

10204 1/6/2011 $ (4) $ 2,756,052 Updated portfolio data from servicer

10204 3/9/2011 $ (2,756,052) $ - Termination of SPA 

9/30/2010 AgFirst Farm Credit Bank Columbia SC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001220 3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Amarillo National Bank Amarillo TX Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000478 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 American Financial Resources Inc. Parsippany NJ Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001726 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Banco Popular de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4, 5, 8 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1000509 1/6/2011 $ (3) $ 2,465,942 Updated portfolio data from servicer

1000509 3/30/2011 $ (4) $ 2,465,938 

Updated due to quarterly assessment and 

reallocation

1000509 6/29/2011 $ (36) $ 2,465,902 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Capital International Financial, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001930 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/24/2010 Citizens Community Bank Freeburg IL Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

1001848 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

1001848 3/23/2011 $ (1,160,443) $ - Termination of SPA 

9/30/2010 Community Credit Union of Florida Rockledge FL Purchase Financial Instrument for Home Loan Modifications $ 2,000,000 N/A 6 9/30/2010 $ 901,112 $ 2,901,112 Updated portfolio data from servicer

8 1/6/2011 $ (4) $ 2,901,108 Updated portfolio data from servicer

8 3/30/2011 $ (5) $ 2,901,103 

Updated due to quarterly assessment and 

reallocation

8 6/29/2011 $ (48) $ 2,901,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 CU Mortgage Services, Inc. New Brighton MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10616 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation
101

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

9/30/2010 First Federal Bank of Florida Lake City FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10364 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Mortgage Coporation Diamond Bar CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10253 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Safety Bank Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000487 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000487 3/23/2011 $ (580,221) $ - Termination of SPA 

9/30/2010 Flagstar Capital Markets Corporation Troy MI Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 7, 8 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

10228 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

10228 3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

10228 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Franklin Savings Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1000773 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000773 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000773 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Gateway Mortgage Group, LLC Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001744 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 GFA Federal Credit Union Gardner MA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001637 3/23/2011 $ (145,056) $ - Termination of SPA 
102

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

9/30/2010 Guaranty Bank Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10350 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/24/2010 James B. Nutter & Company Kansas City MO Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 4, 8 9/30/2010 $ 135,167 $ 435,167 Updated portfolio data from servicer

1000492 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1000492 3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

1000492 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Liberty Bank and Trust Co New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 1,000,000 N/A 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1001010 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001010 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1001010 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

9/30/2010 M&T Bank Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 4, 8 9/30/2010 $ 315,389 $ 1,015,389 Updated portfolio data from servicer

10529 1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

10529 3/30/2011 $ (1) $ 1,015,387 

Updated due to quarterly assessment and 

reallocation

10529 6/29/2011 $ (11) $ 1,015,376 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Magna Bank Germantown TN Purchase Financial Instrument for Home Loan Modifications $ 1,400,000 N/A 5 9/30/2010 $ 630,778 $ 2,030,778 Updated portfolio data from servicer

1000645 1/6/2011 $ (3) $ 2,030,775 Updated portfolio data from servicer

1000645 3/30/2011 $ (3) $ 2,030,772 

Updated due to quarterly assessment and 

reallocation

1000645 6/29/2011 $ (33) $ 2,030,739 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Mainstreet Credit Union Lexena KS Purchase Financial Instrument for Home Loan Modifications $ 500,000 N/A 9/30/2010 $ 225,278 $ 725,278 Updated portfolio data from servicer

1001636 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1001636 3/9/2011 $ (725,277) $ - Termination of SPA 

9/30/2010 Marsh Associates, Inc. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001907 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Midland Mortgage Company Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ 43,500,000 N/A 4, 5 9/30/2010 $ 49,915,806 $ 93,415,806 Updated portfolio data from servicer

10457 1/6/2011 $ (125) $ 93,415,681 Updated portfolio data from servicer

10457 3/30/2011 $ (139) $ 93,415,542 

Updated due to quarterly assessment and 

reallocation

10457 6/29/2011 $ (1,223) $ 93,414,319 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Schmidt Mortgage Company Rocky River OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001163 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Stockman Bank of Montana Miles City MT Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000818 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

9/30/2010 University First Federal Credit Union Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1001721 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001721 2/17/2011 $ (870,333) $ - Termination of SPA 
103

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

9/30/2010 Weststar Mortgage, Inc. Woodbridge VA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001893 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

12/15/2010 Statebridge Company, LLC Denver CO Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 5,000,000 $ 5,000,000 Updated portfolio data from servicer

1001754 1/6/2011 $ (7) $ 4,999,993 Updated portfolio data from servicer

1001754 2/16/2011 $ 500,000 $ 5,499,993 Transfer of cap due to servicing transfer

1001754 3/16/2011 $ 100,000 $ 5,599,993 Transfer of cap due to servicing transfer

1001754 3/30/2011 $ (9) $ 5,599,984 

Updated due to quarterly assessment and 

reallocation

1001754 6/29/2011 $ (85) $ 5,599,899 

Updated due to quarterly assessment and 

reallocation

1001754 11/16/2011 $ (2,500,000) $ 3,099,899 Transfer of cap due to servicing transfer

12/15/2010 Scotiabank de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 4,300,000 $ 4,300,000 Updated portfolio data from servicer

1000991 1/6/2011 $ (4) $ 4,299,996 Updated portfolio data from servicer

1000991 6/29/2011 $ (5) $ 4,299,991 

Updated due to quarterly assessment and 

reallocation

4/13/2011 AmTrust Bank, A Division of New York Community Bank Cleveland OH Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

10151 5/13/2011 $ 100,000 $ 300,000 Transfer of cap due to servicing transfer

10151 6/16/2011 $ 300,000 $ 600,000 Transfer of cap due to servicing transfer

10151 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

10151 8/16/2011 $ 200,000 $ 799,991 Transfer of cap due to servicing transfer

4/13/2011 SunTrust Mortgage, Inc. Richmond VA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

4/13/2011 Urban Partnership Bank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer

1001970 6/29/2011 $ 233,268 $ 1,233,268 

Updated due to quarterly assessment and 

reallocation

1001970 11/16/2011 $ 100,000 $ 1,333,268 Transfer of cap due to servicing transfer

4/13/2011 Western Federal Credit Union Hawthorne CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1001231 6/29/2011 $ 17,687 $ 217,687 

Updated due to quarterly assessment and 

reallocation

5/13/2011 FCI Lender Services, Inc. Anaheim Hills CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 5/13/2011 $ 500,000 $ 500,000 Transfer of cap due to servicing transfer

1002025 6/16/2011 $ 100,000 $ 600,000 Transfer of cap due to servicing transfer

1002025 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

1002025 7/14/2011 $ 200,000 $ 799,991 Transfer of cap due to servicing transfer

1002025 9/15/2011 $ 100,000 $ 899,991 Transfer of cap due to servicing transfer

1002025 11/16/2011 $ 2,500,000 $ 3,399,991 Transfer of cap due to servicing transfer

7/14/2011 Gregory Funding, LLC Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 7/14/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1002041 11/16/2011 $ 900,000 $ 1,100,000 Transfer of cap due to servicing transfer

1002041 1/13/2012 $ 100,000 $ 1,200,000 Transfer of cap due to servicing transfer

9/15/2011 Bangor Savings Bank Bangor ME Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

9/15/2011 PHH Mortgage Corporation Mt. Laurel NJ Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2011 $ 1,300,000 $ 1,300,000 Transfer of cap due to servicing transfer

12/15/2011 Rushmore Loan Management Services LLC Irvine CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1/13/2012 Sun West Mortgage Company, Inc Cerritos CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1/13/2012 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer
104

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

Total Initial Cap $ 23,831,570,000 $ 6,049,878,662

TOTAL CAP $ 29,881,448,662.08

Total Cap Adjustments
105

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Transaction 

Type Investment Description 

Cap of Incentive Payments 

on Behalf of Borrowers 

and to Servicers & 

Pricing 

Mechanism Note

Adjustment Details

12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination. 

"FHA-2LP" means the FHA Second Lien Program

8/ Initial cap does not include HAMP.

9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.

10/ The amendment reflects a change in the legal name of the institution.

11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement. 

As used in this table:

"HAFA" means the Home Affordable Foreclosure Alternatives program.

13/ Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, Inc. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior prior to such merger. 

14/ In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer. 

1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors. 

The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.

2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation. 

"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.

6/ Initial cap amount includes 2MP.

7/ Initial cap amount includes FHA-2LP.

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.
106

Name of Institution Borrowers Lenders/Investors Servicer Total Payments

Allstate Mortgage Loans & Investments, Inc. $ 3,329.43 $ 6,539.97 $ 6,329.43 $ 16,198.83

American Home Mortgage Servicing, Inc. $ 25,344,255.68 $ 80,950,090.70 $ 58,955,608.81 $ 165,249,955.19

Aurora Financial Group, Inc $ 16,795.40 $ 18,371.57 $ 35,166.97

Aurora Loan Services LLC $ 10,806,257.95 $ 29,680,839.77 $ 22,435,528.38 $ 62,922,626.10

BAC Home Loans Servicing, LP $ 64,727,552 $ 192,104,476 $ 73,680,692 $ 330,512,720

Bank of America, N.A. $ 4,267,061.97 $ 17,864,911.04 $ 8,875,438.92 $ 31,007,411.93

BANKUNITED $ 2,479,276.86 $ 8,265,440.35 $ 5,800,401.13 $ 16,545,118.34

Bayview Loan Servicing LLC $ 2,929,745.37 $ 6,991,418.91 $ 5,879,421.09 $ 15,800,585.37

Carrington Mortgage Services, LLC. $ 3,729,515.27 $ 11,833,399.61 $ 8,594,420.78 $ 24,157,335.66

CCO Mortgage, a division of RBS Citizens NA $ 864,641.54 $ 2,322,933.68 $ 1,818,151.50 $ 5,005,726.72

Central Florida Educators Federal Credit Union $ 30,653.59 $ 59,823.69 $ 74,112.68 $ 164,589.96

CitiMortgage Inc $ 29,413,608.62 $ 89,302,185.71 $ 61,981,150.79 $ 180,696,945.12

Citizens First National Bank $ 4,250.00 $ 16,525.85 $ 15,916.67 $ 36,692.52

CUC Mortgage Corporation $ 22,546.18 $ 59,000.42 $ 55,121.96 $ 136,668.56

DuPage Credit Union $ 2,000.00 $ 13,487.50 $ 4,500.00 $ 19,987.50

EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ 16,279,383.05 $ 35,441,779.30

Fay Servicing, LLC $ 89,221.74 $ 212,676.23 $ 90,971.72 $ 392,869.69

FCI Lender Services, Inc. $ 7,110.57 $ 12,503.96 $ 7,635.58 $ 27,250.11

FIRST BANK $ 327,760.34 $ 889,529.03 $ 764,841.32 $ 1,982,130.69

First Keystone Bank $ 2,775.62 $ 3,423.27 $ 8,717.90 $ 14,916.79

Franklin Credit Management Corporation $ 188,461.06 $ 417,007.31 $ 523,809.67 $ 1,129,278.04

Franklin Savings $ - $ 629.30 $ 1,000.00 $ 1,629.30

Fresno County Federal Credit Union $ 2,916.67 $ 9,576.57 $ 6,916.67 $ 19,409.91

Glass City Federal Credit Union $ 3,000.00 $ 2,109.20 $ 5,000.00 $ 10,109.20

GMAC Mortgage, LLC $ 21,265,236.38 $ 64,564,543.78 $ 45,950,462.79 $ 131,780,242.95

Great Lakes Credit Union $ 4,916.67 $ 6,172.07 $ 5,500.00 $ 16,588.74

Greater Nevada Mortgage Services $ 20,416.67 $ 59,515.24 $ 45,750.01 $ 125,681.92

Green Tree Servicing LLC $ 572,851.29 $ 1,702,594.35 $ 1,708,244.65 $ 3,983,690.29

Gregory Funding, LLC $ 25,159.50 $ 55,348.93 $ 26,391.38 $ 106,899.81

Guaranty Bank $ 916.67 $ 1,000.00 $ 1,916.67

Hillsdale County National Bank $ 10,456.52 $ 15,648.11 $ 29,657.46 $ 55,762.09

Home Loan Services, Inc. $ 169,857.80 $ 2,440,767.73 $ 3,698,606.99 $ 6,309,232.52

HomEqServicing $ - $ 3,036,319.34 $ 5,272,500.00 $ 8,308,819.34

HomeStar Bank and Financial Services $ 1,333.33 $ 4,721.17 $ 4,833.34 $ 10,887.84

Horicon Bank $ 3,348.46 $ 8,106.98 $ 6,569.53 $ 18,024.97

Iberiabank $ - $ 10,502.00 $ 15,000.00 $ 25,502.00

IBM Southeast Employees' Federal Credit Union $ 6,916.67 $ 18,601.14 $ 14,000.00 $ 39,517.81

IC Federal Credit Union $ 7,000.00 $ 14,503.85 $ 18,000.00 $ 39,503.85

Idaho Housing and Finance Association $ 10,247.15 $ 10,269.49 $ 17,330.48 $ 37,847.12

James B.Nutter and Company $ 750.00 $ 1,000.00 $ 1,750.00

JPMorgan Chase Bank, NA $ 92,137,265.60 $ 168,341,875.86 $ 89,859,502.21 $ 350,338,643.67

Lake City Bank $ 2,176.15 $ 2,634.21 $ 7,672.68 $ 12,483.04

Lake National Bank $ 2,000.00 $ 3,098.20 $ 3,000.00 $ 8,098.20

Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125.99 $ 27,530,413.93 $ 76,324,760.34

Los Alamos National Bank $ 5,537.50 $ 8,898.02 $ 16,793.00 $ 31,228.52

M&T Bank $ 20,402.19 $ 21,318.86 $ 41,721.05

Supplemental Information [Not Required by EESA §114(a)]

Home Affordable Modification Program

Non-GSE Incentive Payments (through January 2012)
107

Name of Institution Borrowers Lenders/Investors Servicer Total Payments

Marix Servicing LLC $ 307,180.00 $ 833,159.27 $ 719,776.35 $ 1,860,115.62

Marsh Associates, Inc. $ 512.86 $ 777.18 $ 1,290.04

Midland Mortgage Co. $ 958,851.74 $ 75,632.61 $ 1,175,304.55 $ 2,209,788.90

Midwest Community Bank $ - $ 727.04 $ 1,000.00 $ 1,727.04

Mission Federal Credit Union $ 20,416.68 $ 64,521.62 $ 48,916.67 $ 133,854.97

MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ 1,977,320.74 $ 4,628,164.95

Mortgage Center, LLC $ 50,380.84 $ 113,424.79 $ 128,538.05 $ 292,343.68

National City Bank $ 920,394.82 $ 3,171,188.56 $ 2,155,664.07 $ 6,247,247.45

Nationstar Mortgage LLC $ 7,950,710.63 $ 18,943,751.00 $ 16,165,794.13 $ 43,060,255.76

Navy Federal Credit Union $ 73,968.51 $ 312,378.63 $ 244,968.50 $ 631,315.64

New York Community Bank $ 6,000.00 $ 24,302.35 $ 13,000.00 $ 43,302.35

Oakland Municipal Credit Union $ - $ 3,568.11 $ 6,500.00 $ 10,068.11

Ocwen Loan Servicing, LLC $ 26,418,061.14 $ 73,055,328.94 $ 54,643,448.60 $ 154,116,838.68

OneWest Bank $ 17,886,359.04 $ 65,068,894.22 $ 36,655,561.44 $ 119,610,814.70

ORNL Federal Credit Union $ 2,000.00 $ 2,986.28 $ 6,000.00 $ 10,986.28

Park View Federal Savings Bank $ 7,000.00 $ 20,240.71 $ 15,000.00 $ 42,240.71

Pathfinder Bank $ 916.67 $ 1,574.70 $ 1,916.67 $ 4,408.04

PennyMac Loan Services, LLC $ 1,705,278.57 $ 2,112,120.54 $ 2,350,434.15 $ 6,167,833.26

PNC Bank, National Association $ 12,833.34 $ 129,189.69 $ 159,500.00 $ 301,523.03

Quantum Servicing Corporation $ 75,669.81 $ 215,675.49 $ 118,295.56 $ 409,640.86

RBC Bank (USA) $ 21,369.32 $ 22,094.09 $ 43,463.41

Residential Credit Solutions, Inc. $ 420,007.03 $ 1,294,356.93 $ 1,079,127.38 $ 2,793,491.34

RG Mortgage $ 164,852.94 $ 227,582.28 $ 401,333.81 $ 793,769.03

RoundPoint Mortgage Servicing Corporation $ 63,039.00 $ 180,323.08 $ 160,496.44 $ 403,858.52

Saxon Mortgage Services, Inc. $ 18,682,230.57 $ 36,154,113.84 $ 38,220,572.78 $ 93,056,917.19

Schools Financial Credit Union $ 6,833.33 $ 30,257.31 $ 19,500.00 $ 56,590.64

Scotiabank de Puerto Rico $ 197,757.87 $ 275,215.53 $ 230,703.90 $ 703,677.30

Select Portfolio Servicing, Inc. $ 28,086,128.23 $ 61,635,010.19 $ 51,750,108.02 $ 141,471,246.44

Selene Finance LP $ 8,333.33 $ 20,327.24 $ 9,500.00 $ 38,160.57

Servis One, Inc., dba BSI Financial Services, Inc. $ 25,389.98 $ 83,380.42 $ 94,306.64 $ 203,077.04

ShoreBank $ 49,915.10 $ 153,906.17 $ 143,165.10 $ 346,986.37

Silver State Schools Credit Union $ 12,677.95 $ 70,927.49 $ 39,844.62 $ 123,450.06

Specialized Loan Servicing LLC $ 692,209.34 $ 1,798,485.13 $ 1,368,015.78 $ 3,858,710.25

Sterling Savings Bank $ 31,878.72 $ 92,467.75 $ 93,910.30 $ 218,256.77

Technology Credit Union $ 17,250.00 $ 76,295.90 $ 35,416.67 $ 128,962.57

The Bryn Mawr Trust Company $ 3,717.90 $ 5,897.51 $ 3,717.90 $ 13,333.31

The Golden 1 Credit Union $ 67,991.63 $ 314,390.52 $ 214,324.95 $ 596,707.10

U.S. Bank National Association $ 4,101,677.38 $ 12,729,721.48 $ 10,502,666.28 $ 27,334,065.14

United Bank $ - $ 543.43 $ 2,000.00 $ 2,543.43

United Bank Mortgage Corporation $ 18,535.44 $ 35,908.59 $ 38,407.17 $ 92,851.20

Urban Partnership Bank $ 61,005.40 $ 132,644.98 $ 63,830.87 $ 257,481.25

Vantium Capital, Inc. d/b/a Acqura Loan Services $ 106,036.00 $ 207,147.28 $ 158,591.11 $ 471,774.39

Vericrest Financial, Inc. $ 118,122.86 $ 333,433.29 $ 453,623.78 $ 905,179.93

Wachovia Mortgage, FSB $ - $ 76,889.58 $ 162,000.00 $ 238,889.58

Wells Fargo Bank, N.A. $ 61,787,096.49 $ 155,532,581.69 $ 126,607,599.41 $ 343,927,277.59

Wescom Central Credit Union $ 93,545.55 $ 374,718.56 $ 210,612.54 $ 678,876.65

Western Federal Credit Union $ 7,416.67 $ 17,568.17 $ 10,916.67 $ 35,901.51

Wilshire Credit Corporation $ - $ 490,394.10 $ 1,167,000.00 $ 1,657,394.10

Yadkin Valley Bank $ 9,634.02 $ 8,939.23 $ 24,884.02 $ 43,457.27

GRAND TOTAL $ 452,137,231.64 $ 1,167,075,807.07 $ 790,012,975.91 $ 2,409,226,014.62
108

Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 102,800,000 - $ 194,026,240 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 34,056,581 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 57,169,659 N/A

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 699,600,000 - $ 1,975,334,096 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 476,257,070 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 799,477,026 N/A

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 418,000,000 - $ 1,057,839,136 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 238,864,755 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 400,974,381 N/A

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 125,100,000 - $ 267,766,006 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 142,666,006 N/A

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 154,500,000 - $ 498,605,738 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 128,461,559 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 215,644,179 N/A

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 159,000,000 - $ 482,781,786 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 120,874,221 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 202,907,565 N/A

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 172,000,000 - $ 570,395,099 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 148,728,864 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 249,666,235 N/A

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 88,000,000 - $ 220,042,786 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 49,294,215 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 82,748,571 N/A

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 43,000,000 - $ 79,351,573 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 13,570,770 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 22,780,803 N/A

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HHF Program $ 138,000,000 - $ 295,431,547 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 58,772,347 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 98,659,200 N/A

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HHF Program $ 60,672,471 - $ 162,521,345 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 101,848,874 N/A

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 55,588,050 - $ 148,901,875 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 93,313,825 N/A

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 38,036,950 - $ 101,888,323 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 63,851,373 N/A

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 126,650,987 - $ 339,255,819 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 212,604,832 N/A

Date

Seller Transaction 

Type Investment Description

Initial Investment 

Amount

Pricing 

Mechanism

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets

Hardest Hit Funds (HHF) Program

Note

Additional 

Investment Amount

Investment Amount 1 
109

Date Name of Institution City State

Seller Transaction 

Type Investment Description

Initial Investment 

Amount

Pricing 

Note Mechanism

Additional 

Investment Amount

Investment Amount 1 

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 82,762,859 - $ 221,694,139 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 138,931,280 N/A

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 166,352,726 - $ 445,603,557 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 279,250,831 N/A

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 112,200,637 - $ 300,548,144 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 188,347,507 N/A

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 7,726,678 - $ 20,697,198 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 12,970,520 N/A

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 81,128,260 - $ 217,315,593 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 136,187,333 N/A

$ 7,600,000,000

2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

1/ The purchase will be incrementally funded up to the investment amount.

3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

TOTAL INVESTMENT AMOUNT 
110

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 $ 8,117,000,000

TOTAL $ 8,117,000,000

Investment Amount Pricing Mechanism

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an 

up to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refinanced under the FHA Short Refinance program from time to 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 will incur fees for the availability and usage of the L/C up to a 

maximum amount of $117 million.

N/A

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 
111

Projected Costs and Liabilities [Section 105(a)(3)(E)]

For Period Ending February 29, 2012

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.
112

Programmatic Operating Expenses [Section 105(a)(3)(F)]

For Period Ending February 29, 2012

Type of Expense Amount

Compensation for financial agents 

and legal firms $632,333,568
113

Description of Vehicles Established [Section 105(a)(3)(H)]

For Period Ending February 29, 2012

Date Vehicle Description

None