Troubled Asset Relief Program (TARP)

Monthly Report to Congress – January 2013

February 11, 2013

This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008.
Monthly 105(a) Report January 2013

Section Page

Highlights............................................................................................................................................................... 1

Where are the TARP Funds?..................................................................................................................................... 2

Daily TARP Update 3

Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget 5

Program Updates...................................................................................................................................................... 7

Bank Support Programs........................................................................................................................................... 7

Capital Purchase Program 7

Auto Industry Financing Program........................................................................................................................... 14

Credit Market Programs........................................................................................................................................... 15

Term Asset-Backed Securities Loan Facility (TALF) 15

Public-Private Investment Program (PPIP) 16

Housing Programs.................................................................................................................................................. 17

Appendix – Financial Statements.............................................................................................................................. 21

More information is available at http://www.treasury.gov/initiatives/financial-stability.

Table of Contents
Monthly 105(a) Report January 2013

1

The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). More 

than four years after the establishment of the TARP, we are making substantial progress in winding down the extraordinary assistance that 

had to be provided during the crisis. Treasury has continued to work to reduce the dependence of the financial system on emergency 

assistance and replace public support with private capital. To date, taxpayers have recovered more than $389 billion – or 93 percent – of 

the $418 billion in TARP funds disbursed to date. And taxpayers have so far realized a $23 billion positive return on their investments 

through TARP’s bank programs. Treasury has recovered $268 billion from TARP’s bank programs through repayments, dividends, interest, 

and other income – compared to the $245 billion invested in those institutions. 

By any objective standards, the Troubled Asset Relief Program has worked: it helped stop widespread financial panic, it helped prevent 

what could have been a devastating collapse of our financial system, and it did so at a cost that is far less than what most people expected 

at the time the law was passed. 

January Highlights

In January, Treasury held auctions for its outstanding preferred stock and subordinated debt in eleven financial institutions under the 

Capital Purchase Program (CPP), for aggregate gross proceeds of approximately $191.3 million1

. The auctions were part of the strategy 

Treasury outlined in May 2012 for winding down its remaining bank investments in a way that protects taxpayer interests and preserves the 

strength of our nation’s community banks.

Also in January, Treasury took the next step in the disposition of its remaining shares of General Motors (GM) common stock with the 

initiation of a pre-arranged written trading plan. Under the plan, Treasury is proceeding with its December 2012 announcement that it 

intends to sell its shares into the market in an orderly fashion and fully exit its remaining GM investment within the following 12-15 months, 

subject to market conditions. That previous announcement was made in connection with GM’s repurchase of 200 million shares of GM 

common stock from Treasury, which was also completed in December 2012.

Treasury also announced in January the full repayment with interest of its loans under the Term Asset-backed Securities Lending Facility 

(TALF) – a joint program with the Federal Reserve that helped support the markets for auto loans, student loans, credit cards, small 

business loans and other types of consumer lending. Treasury’s remaining credit support for the program was also eliminated. As of 

January 2013, the amount of fees collected ($856 million) through the program exceed the remaining loans outstanding ($556 million), 

which means that there is no risk of overall taxpayer losses on this program. At this point, each additional dollar recovered represents an 

additional dollar of positive return for taxpayers on TALF.

Finally, all of the Public-Private Investment Funds (PPIFs) have now completed the third and final year in which they could draw capital and 

make new investments. Five funds have now been effectively wound down and four funds remain in the program. To date, Treasury has 

fully recovered its original investment of $18.6 billion in the PPIP program, plus a positive return of $331 million through equity and debt 

repayments, interest, and proceeds in excess of original equity capital, including warrant proceeds. Future debt, equity and interest 

payments from the outstanding PPIFs will provide an additional positive return for taxpayers.

 1 Because the settlements occurred after the close of the January reporting period, the proceeds are not reflected in the charts that follow.

January Highlights
Monthly 105(a) Report January 2013

2

Where are the TARP Funds?2

This report contains two charts that provide a complete picture of how TARP funds have been used, the extent to which they have been 

returned, and how much the program will cost.

Figure 1: Daily TARP Update (DTU)

The first chart shows for each TARP program the amount of funds obligated, the amount disbursed, repayments, income received and 

any losses. Thus, a reader can quickly see how much cash was disbursed under a particular program and how much cash has come 

back to Treasury. These amounts do not represent lifetime cost estimates, which are shown in the next chart. The Daily Tarp Update

(DTU) is updated after every business day and is available at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/dailytarp-reports.aspx.

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

The second chart provides for each program within TARP the amount obligated, the amount disbursed, the outstanding balance, and 

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

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

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

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

from the TARP investment.

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

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

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

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

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

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

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

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

Where are the TARP Funds?
Monthly 105(a) Report January 2013

3

Figure 1: Daily TARP Update for February 1, 2013 (through January 31, 2013)

Notes to Daily TARP Update

1/ This row represents the portion of CPP repayments that were received from refinancing to the Small Business Lending Fund (SBLF), 

which is not a TARP program. The law creating the SBLF provided that banks could refinance securities issued under the CPP and 

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

(*Dollars in Billions*) Obligated Disbursed Repayments

Refinancing to 

SBLF1

CPP Exchanges 

Into CDCI2

Write-offs & 

Realized Losses Outstanding Dividends3 Interest3 Warrants Sold4

Other Income 

(Expenses)5 Total Income Total Cash Back6

Bank Support Programs

Capital Purchase Program (CPP)

 Banks with Assets $10 Billion or Greater $ 165.33 $ 165.33 $ 159.94 $ - $ - $ 2.56 $ 2.83 $ 9.37 $ - $ 7.48 $ (0.00) $ 16.85 $ 176.79

 Banks with Assets Less Than $10 Billion $ 14.57 $ 14.57 $ 9.05 $ 2.21 $ 0.36 $ 0.59 $ 4.57 $ 1.54 $ - $ 0.26 $ (0.00) $ 1.79 $ 10.84

 Citigroup Common7 $ 25.00 $ 25.00 $ 25.00 $ - $ - $ - $ 0.93 $ - $ 0.05 $ 6.85 $ 7.84 $ 32.84

Targeted Investment Program (TIP)

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

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

Asset Guarantee Program (AGP)

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

 Citigroup $ 5.00 $ - $ - $ - $ - $ 0.64 $ - $ 0.07 $ 2.25 $ 2.95 $ 2.95

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.21 $ 0.04 $ (0.36) $ 0.01 $ 0.52 $ 0.02 $ - $ - $ - $ 0.02 $ 0.06

Bank Program Totals $ 250.46 $ 245.10 $ 234.03 $ - $ 3.16 $ 7.92 $ 15.52 $ - $ 9.28 $ 9.37 $ 34.17 $ 268.20

Credit Market Programs

Public-Private Investment Program (PPIP)

 Equity8 $ 7.23 $ 6.25 $ 4.96 $ - $ 1.29 $ 0.87 $ - $ - $ 1.05 $ 1.93 $ 6.88

 Debt $ 13.59 $ 12.38 $ 11.76 $ - $ 0.62 $ - $ 0.32 $ - $ - $ 0.32 $ 12.07

Term Asset Backed Securities Lending Facility $ 0.10 $ 0.10 $ - $ - $ 0.10 $ - $ - $ - $ - $ - $ -

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

Credit Market Program Totals $ 21.29 $ 19.09 $ 17.07 $ - $ 2.02 $ 0.87 $ 0.33 $ - $ 1.05 $ 2.26 $ 19.33

Other Programs

American International Group (AIG)9

 Common $ 47.54 $ 47.54 $ 34.06 $ 13.48 $ - $ - $ - $ - $ - $ - $ 34.06

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

AIG Totals $ 67.84 $ 67.84 $ 54.35 $ 13.48 $ - $ 0.64 $ - $ - $ 0.29 $ 0.93 $ 55.28

Automotive Industry Financing Program (AIFP)

 GM10 $ 51.03 $ 51.03 $ 28.86 $ 7.62 $ 14.55 $ - $ 0.77 $ - $ (0.00) $ 0.76 $ 29.62

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

 Ally (GMAC) $ 16.29 $ 16.29 $ 2.54 $ 0.00 $ 13.75 $ 3.14 $ - $ - $ 0.13 $ 3.27 $ 5.81

AIFP Totals $ 79.69 $ 79.69 $ 40.84 $ 10.55 $ 28.30 $ 3.14 $ 1.95 $ - $ 0.62 $ 5.72 $ 46.56

Other Programs Totals $ 147.53 $ 147.53 $ 95.19 $ 24.03 $ 28.30 $ 3.78 $ 1.95 $ - $ 0.92 $ 6.65 $ 101.84

Treasury Housing Programs Under TARP

Making Homes Affordable $ 29.87 $ 4.77

HFA Hardest-Hit Fund $ 7.60 $ 1.89

FHA Refinance11 $ 8.12 $ 0.06

Housing Totals $ 45.59 $ 6.72

TARP Totals $ 464.87 $ 418.45 $ 346.29 $ - $ 27.19 $ 38.24 $ 20.17 $ 2.28 $ 9.28 $ 11.34 $ 43.08 $ 389.37

Additional Treasury Holdings

Additional AIG Common Shares Held by Treasury9 $ 17.55 $ 17.55 $ 17.55

Total for TARP Programs and Additional AIG Shares $ 464.87 $ 418.45 $ 346.29 $ - $ 27.19 $ 38.24 $ 20.17 $ 2.28 $ 9.28 $ 28.89 $ 60.63 $ 406.92

Principal/Investment Income/Revenue

Daily TARP Update
Monthly 105(a) Report January 2013

4

$2.21 billion in CPP investments. This amount is included in total repayments and therefore, this column is not used to calculate the 

"Outstanding" amount.

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

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

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

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

treatment used to produce OFS’ financial statements.

4/ Amount of "Warrants Sold" reflects net cash receipts.

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

(Expenses)" does not include the Citigroup AGP receivable for up to $800 million in trust preferred securities from the Federal Deposit 

Insurance Corporation (FDIC).

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

Treasury for the reduction of the public debt. These amounts do not represent lifetime cost estimates, which are detailed in Figure 2.

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

8/ Allocation of Public-Private Investment Program (PPIP) Equity receipts between repayments and income are subject to reclassification.

9/ Treasury’s investment in AIG common shares consisted of shares acquired in exchange for preferred stock purchased with TARP 

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

(non-TARP shares). Treasury managed the TARP shares and non-TARP shares together, and disposed of them pro-rata in proportion 

to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the "Write-offs & Realized Losses" column 

shows a loss based on Treasury’s cost basis of $43.53 in the TARP shares alone. The non-TARP shares are shown at the bottom of 

the page after the TARP Total under "Additional AIG Common Shares Held by Treasury." A gain in the "Other Income (Expenses)" 

column is shown for the non-TARP shares because Treasury’s cost basis in such shares is deemed to be zero. When the TARP shares 

and non-TARP shares are considered together, Treasury’s cost on a cash basis is $28.73 per share. With the sale of all remaining 

shares in December 2012, Treasury has recovered a total of $72.84 billion (including proceeds from the sale of the non-TARP shares), 

compared to total TARP disbursements of $67.84 billion.

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

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

at which Treasury has sold common shares in GM’s initial public offering and subsequent sales and the Treasury’s cost basis ($43.52 

per common share) for such shares. Treasury initiated a disposition strategy for its remaining shares on January 18, 2013, under a prearranged written trading plan and intends to dispose of the shares over a 12-15 month period.

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

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

this account. As of the date hereof, no disbursements for loss claim payments under the FHA Short Refinance Program have been

made.

Daily TARP Update
Monthly 105(a) Report January 2013

5

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

Programs 

as of January 31, 2013

(dollar amounts in billions)

Disbursed as of 

January 31

Outstanding 

Investment 

Balance as of 

January 31

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup $ 25.00 $ 25.00 $ 0.00 $ (6.89)

Other banks with assets $10 billion or greater $ 165.33 $ 165.33 $ 2.83 $ (10.01)

Banks with assets less than $10 billion2 $ 14.57 $ 14.57 $ 4.57 $ 1.78

Total $ 204.89 $ 204.89 $ 7.40 $ (15.12)

Targeted Investment Program (TIP) $ 40.00 $ 40.00 $ 0.00 $ (4.00)

Asset Guarantee Program (AGP)3 $ 5.00 $ 0.00 $ 0.00 $ (3.88)

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.57 $ 0.52 $ 0.14

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity $ 7.23 $ 6.25 $ 1.29 $ (2.52)

Debt $ 13.59 $ 12.38 $ 0.62 $ 0.33

Total $ 20.82 $ 18.63 $ 1.91 $ (2.19)

Term Asset Backed Securities Lending Facility (TALF) $ 0.10 $ 0.10 $ 0.10 $ (0.54)

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

Other Programs:

American International Group (AIG): 

Preferred Stock $ 20.29 $ 20.29 $ 0.00 $ 0.00

Common Stock $ 47.54 $ 47.54 $ 0.00 $ 15.22

Total $ 67.84 $ 67.84 $ 0.00 $ 15.22

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ 28.30 $ 20.26

Sub-total for Investment Programs $ 419.28 $ 411.73 $ 38.24 $ 9.90

Making Homes Affordable $ 29.87 $ 4.77 $ - $ 29.87

Hardest Hit Fund $ 7.60 $ 1.89 $ - $ 7.60

FHA-Refinance $ 8.12 $ 0.06 $ - $ 8.12

Sub-total for Housing Programs $ 45.59 $ 6.72 $ - $ 45.59

 Total for TARP Programs $ 464.87 $ 418.45 $ 38.24 $ 55.48

Additional AIG Common Shares Held by Treasury4 n/a n/a n/a $ (17.55)

Total for TARP Programs and Additional AIG Shares $ 464.87 $ 418.45 $ 38.24 $ 37.93

Estimated Lifetime 

Cost as of 

December 311

Obligation/

Commitment

Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report January 2013

6

Notes to Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget:

1/ Lifetime cost information is as of December 31, 2012. 

2/ Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and Budget. 

The value of outstanding investments in publicly-traded securities is calculated by using the aggregate value of the investments at 

market prices as of December 31, 2012. The following common stock value information is provided for the convenience of the reader to 

show the increase or decrease in the aggregate value of the shares outstanding as of December 31, 2012, compared to the aggregate 

value of shares outstanding as of January 31, 2013, including the shares sold during January, 2013.

Note: The share price for GM was $28.83 for the period ending December 31, 2012 and $28.09 for the period ending January 31, 2013.

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

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

$2.21 billion in CPP investments.

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

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

5/ As discussed in note 9 to the Daily TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in 

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

the benefit of Treasury as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP shares and non-TARP shares 

together, and disposed of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” 

and the lifetime cost estimate shows a loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the 

non-TARP shares in the line entitled “Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares

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

$28.73 per share. TARP estimates include financing costs (borrowing) from the time of initial investment through the reporting period.

Outstanding Investment 12/31/2012 

Market Value

01/31/2013 

Market Value

Increase 

(Decrease) in Cost

GM Common Stock $ 8.65 $ 8.43 $ 0.22 

In billions

Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report January 2013

7

Program Updates

Bank Support Programs 

In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. A total of $245 billion was 

invested in banking institutions, and as of March 31, 2011, Treasury had recovered more than 100 percent of that amount through 

repayments, dividends, interest, and other income. Treasury continues to recover additional funds and estimates that the bank programs 

will result in a lifetime positive return for taxpayers of $23 billion (see Figure 2).

Capital Purchase Program (CPP)

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

institutions of all sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception.

Today, every additional dollar recovered from CPP participants represents a positive return for taxpayers.

Figure 3: Capital Purchase Program Snapshot as of January 31, 2013

Amount Invested: $204.9 billion

Largest Investment: $25 billion

Smallest Investment: $301,000.00

Total Institutions Funded: 707 Total Amount of Repayments2

: $194.34 billion

Full Repayments: 198

SBLF Repayments: 137 Total Dividends, Interest, & Other Income: $11.86 billion

CDCI Conversions: 28 Jan. Dividends and Interest: $1.02 million

Partial Repayments: 16

Sold Investments: 19 Citigroup Gain: $6.85 billion

Auctioned Investments: 90

In Bankruptcy/Receivership: 22 Total Warrant Income3

: $7.8 billion

Merged Institutions: 3

Currently in Common1 3

Total Remaining Institutions: 210 Total CPP Income: $220.85 billion

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 January 2013

8

Notes to Capital Purchase Program Snapshot as of January 31, 2013:

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

2/ Includes repayments, sales and dispositions plus income/revenue. Also included is $25 billion from completed Citigroup common stock 

conversion, $355.7 million from CDCI conversions and $2.2 billion from SBLF refinancings. See footnote 3 on page 6.

3/ Net proceeds; includes proceeds from exercised warrants.

Repayments at Par

In January, five institutions repurchased all or part of their outstanding CPP preferred shares or subordinated debentures from Treasury’s 

investments in those institutions at par for total proceeds of $12.4 million.

• On January 9, Northwest Commercial Bank repurchased all of its outstanding CPP investment for a total of $2.0 million.

• Farmers Bank; Business Bancshares, Inc.; Green Circle Investments, Inc.; and Wachusett Financial Services, Inc. each made partial 

repayments of the outstanding CPP investment in their institutions for a total of $10.4 million, resulting in a total of $18.0 million in 

outstanding CPP investment remaining among those institutions.

Sales & Dispositions

• In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”), 

Treasury sold to City Holding all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price 

of $12,643,000 plus accrued dividends and exchanged the Community Financial warrant held by Treasury for a like City Holding 

warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on January 9, 2013.

• On January 29, Treasury priced an auction of its preferred stock and subordinated debentures in 11 institutions (Alliance Financial 

Services, Inc.; Biscayne Bancshares, Inc.; Citizens Bancshares Co.; Coastal Banking Company, Inc.; Colony Bankcorp, Inc.; Delmar 

Bancorp; Dickinson Financial Corporation II; F & M Bancshares, Inc.; First Priority Financial Corp.; HMN Financial, Inc.; and Waukesha 

Bankshares, Inc.) for expected aggregate gross proceeds of approximately $191.3 million. Because the settlements occurred after the 

close of the January reporting period, the proceeds are not reflected in the charts that follow. More information can be found in 

Treasury’s Press Release here: http://www.treasury.gov/press-center/press-releases/Pages/tg1834.aspx.

Warrant Repurchases

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

consideration for investments made under the CPP. These proceeds provided an additional return of $1.4 million to taxpayers from 

Treasury’s investments in banks beyond any dividend or interest payment.

• Treasury completed the sale of warrants issued by Enterprise Financial Services Corp.; HopFed Bancorp; and Mid Penn Bancorp Inc.

for a total of $1.3 million.

• Northwest Commercial Bank repurchased preferred shares from exercised warrants from Treasury for a total of $0.1 million. 

Program Updates 

– Bank Support Programs
Monthly 105(a) Report January 2013

9

Dividends and Interest

In January, Treasury received dividends and interest income from CPP investments of approximately $1.02 million. Cumulative 

dividends, interest and fee income received from Capital Purchase Program investments is approximately $11.86 billion.

Figure 4: Top 25 Remaining Capital Purchase Program Investments as of January 31, 2013

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 January 31, 2013:

a/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First Bancorp 

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

b/ On September 13, 2012, Citizens Republic Bancorp, Inc. (Citizens) and FirstMerit Corporation (FirstMerit) announced the signing of a 

definitive agreement under which FirstMerit will acquire Citizens in a stock-for-stock merger transaction. FirstMerit expects to purchase 

Citizens’ CPP preferred stock (at par plus accrued dividends thereon) held by Treasury at closing. The transaction is expected to close 

in the second quarter of 2013.

c/ Following an auction on January 29, 2013, Treasury executed a placement agency agreement in which Treasury agreed to sell the 

institution to the winning bidder. The sale will take place in February. This is the 13th such sale Treasury has executed under CPP.

d/ Treasury exchanged its preferred stock for MCP. Hampton fulfilled the conversion conditions and Treasury's MCP was converted into 

Institution City, State

Outstanding 

Investment 

($millions)

Institution City, State

Outstanding 

Investment 

($millions)

1 Synovus Financial Corp. Columbus, GA $ 967.9 14 Old Second Bancorp, Inc. Aurora, IL $ 73.0

2 Popular, Inc. San Juan, PR $ 935.0 15 Independent Bank Corporation Ionia, MI $ 72.0

3 First BanCorpa San Juan, PR $ 400.0 16 Standard Bancshares, Inc. Hickory Hills, IL $ 60.0

4 Citizens Republic Bancorp, Inc.b Flint, MI $ 300.0 17 NewBridge Bancorp Greensboro, NC $ 52.4

5 First Banks, Inc. Clayton, MO $ 295.4 18 FNB United Corp.e Asheboro, NC $ 51.5

6 New York Private Bank & Trust Corp. New York, NY $ 267.3 19 U.S. Century Bank Miami, FL $ 50.2

7 Flagstar Bancorp, Inc. Troy, MI $ 266.7 20 BancTrust Financial Group, Inc. Mobile, AL $ 50.0

8 Cathay General Bancorp El Monte, CA $ 258.0 21 PremierWest Bancorp Medford, OR $ 41.4

9 United Community Banks, Inc. Blairsville, GA $ 180.0 22 Reliance Bancshares, Inc. Frontenac, MO $ 40.0

10 Dickinson Financial Corporation IIc Kansas City, MO $ 146.1 23 Bridgeview Bancorp, Inc. Bridgeview, IL $ 38.0

11 Anchor BanCorp Wisconsin Inc. Madison, WI $ 110.0 24 Porter Bancorp Inc. Louisville, KY $ 35.0

12 Hampton Roads Bankshares, Inc.d Norfolk, VA $ 80.3 25 First Security Group, Inc. Chattanooga, TN $ 33.0

13 Metropolitan Bank Group, Inc. Chicago, IL $ 78.4 Total $4.88 billion

Program Updates 

– Bank Support Programs
Monthly 105(a) Report January 2013

10

52,225,550 shares of common stock. Treasury currently holds 2,089,022 shares of Hampton common stock following a reverse stock 

split.

e/ Treasury exchanged its preferred stock for 108,555,303 shares of FNB United common stock. Treasury currently holds 1,085,553.03 

shares of FNB common stock following a reverse stock split.

Capital Purchase Program Regional Snapshots

Following is a detailed breakdown of remaining institutions with outstanding investments under the Capital Purchase Program. The 

locations of remaining institutions’ headquarters are mapped to provide a visual overview of outstanding investments. The regional 

snapshots provide monthly overviews of outstanding CPP investments as TARP continues to wind down its investments.

The regional snapshots include a state-by-state breakdown showing how many institutions remain in the program; the outstanding 

investment amount; and how many institutions in each state, if any, have outstanding payments due to Treasury. The regional snapshots

also show the Top 10 largest outstanding investments in that region; the total amount outstanding; the number of missed payments, if any; 

and the amount owed in non-current dividends, if applicable. 

A full list of remaining CPP investments, including more detail about those banks with outstanding payments, is contained in the appendix

to this report. This information is also available in the Dividends and Interest Report published monthly at:

http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx.

Program Updates 

– Bank Support Programs
Monthly 105(a) Report January 2013

11

State

Number of 

Institutions 

Outstanding

Number of 

Institutions 

with Missed 

Payments

Investment 

Outstanding 

(millions)

Puerto Rico 2 0 $ 1,335.00

Georgia 14 9 $ 1,264.08

New York 3 2 $ 299.77

North Carolina 10 4 $ 212.00

Virginia 8 4 $ 172.96

Florida 9 8 $ 117.19

Maryland 10 9 $ 107.71

South Carolina 8 8 $ 89.92

Pennsylvania 4 2 $ 63.09

New Jersey 3 2 $ 36.06

Massachusetts 2 1 $ 17.06

Maine 1 0 $ 12.50

Rhode Island 1 0 $ 1.07

Connecticut - - $ -

Deleware - - $ -

New Hampshire - - $ -

Vermont - - $ -

West Virginia 0 - $ -

Top 10 Largest Institutions Outstanding Details

Institution City State Public/

Private

Number of 

Missed 

Payments

Non-Current 

Dividends

Total Amount 

Outstanding

Columbus GA Public - $ - $ 967,870,000

San Juan PR Public - $ - $ 935,000,000

San Juan PR Public - $ - $ 400,000,000

New York NY Private - $ - $ 267,274,000

Blairsville GA Public - $ - $ 180,000,000

Norfolk VA Public - $ - $ 80,347,000

Greensboro NC Public - $ - $ 52,372,000

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

Miami FL Private 12 $ 8,213,640 $ 50,236,000

Narberth PA Public 14 $ 5,321,225 $ 30,407,000

*This institution's original investment has been converted into shares of common stock in the institution. Amount show n replects the original investment 

amount less sale proceeds as applicable. More information can be found in the Transaction Report located in the appendix. 

Eastern Region CPP Institutions as of January 31, 2013

Synovus Financial Corp.

Popular, Inc.

First BanCorp*

New York Private Bank & Trust Corporation

NewBridge Bancorp

U.S. Century Bank

Royal Bancshares of Pennsylvania, Inc.

State by State Breakdown

United Community Banks, Inc.

Hampton Roads Bankshares, Inc.*

Program Updates 

– Bank Support Programs
Monthly 105(a) Report January 2013

12

State

Number of 

Institutions 

Outstanding

Number of 

Institutions 

with Missed 

Payments

Investment 

Outstanding

Michigan 4 4 $ 645.44

Missouri 13 5 $ 591.30

Illinois 10 7 $ 299.66

Wisconsin 8 6 $ 154.11

Arkansas 6 4 $ 92.74

Minnesota 9 7 $ 86.23

Kentucky 6 4 $ 75.24

Tennessee 5 3 $ 65.51

Alabama 5 4 $ 60.44

Iowa 3 2 $ 31.81

Louisiana 4 2 $ 27.25

Indiana 3 2 $ 17.87

Mississippi 3 0 $ 10.12

Ohio - - $ -

Top 10 Largest Institutions Outstanding Details

Institution City State Public/

Private

Number of 

Missed 

Payments

Non-Current 

Dividends

Total Amount 

Outstanding

Citizens Republic Bancorp, Inc. Flint MI Public 12 $ 45,000,000 $ 300,000,000

First Banks, Inc. Clayton MO Private 14 $ 56,347,550 $ 295,400,000

Flagstar Bancorp, Inc. Troy MI Public 4 $ 13,332,850 $ 266,657,000

Dickinson Financial Corporation II Kansas City MO Private 14 $ 27,859,720 $ 146,053,000

Anchor BanCorp Wisconsin Inc. Madison WI Public 15 $ 20,854,167 $ 110,000,000

Metropolitan Bank Group, Inc. Chicago IL Private 7 $ 7,273,533 $ 78,406,000

Old Second Bancorp, Inc. Aurora IL Public 9 $ 8,212,500 $ 73,000,000

Independent Bank Corporation Ionia MI Public 11 $ 9,603,021 $ 72,000,000

Standard Bancshares, Inc. Hickory Hills IL Private 6 $ 4,905,000 $ 60,000,000

Central Region CPP Institutions as of January 31, 2013

State by State Breakdown

Program Updates 

– Bank Support Programs
Monthly 105(a) Report January 2013

13

State

Number of 

Institutions 

Outstanding

Number of 

Institutions 

with Missed 

Payments

Investment 

Outstanding 

(millions)

California 18 16 $ 389.45

Texas 9 6 $ 104.89

Colorado 6 4 $ 46.47

Oregon 2 1 $ 44.62

Idaho 3 2 $ 41.90

Kansas 4 2 $ 39.79

North Dakota 2 2 $ 30.84

Oklahoma 1 1 $ 30.00

Washington 3 3 $ 24.40

Nebraska 2 1 $ 8.73

Arizona 3 2 $ 8.05

Wyoming 1 0 $ 3.10

Nevada 1 1 $ 2.67

New Mexico 1 0 $ 1.58

Alaska - - $ -

Hawaii - - $ -

Montana - - $ -

South Dakota - - $ -

Utah - - $ -

Top 10 Largest Institutions Outstanding Details

Institution City State Public/

Private

Number of 

Missed 

Payments

Non-Current 

Dividends

Total Amount 

Outstanding

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

PremierWest Bancorp Medford OR Public 13 $ 6,727,500 $ 41,400,000

Spirit BankCorp, Inc. Bristow OK Private 9 $ 3,678,750 $ 30,000,000

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

Patriot Bancshares, Inc. Houston TX Private 8 $ 2,838,160 $ 26,038,000

Central Bancorp, Inc. Garland TX Private 7 $ 2,145,938 $ 22,500,000

Blue Valley Ban Corp Overland Park KS Public 15 $ 4,078,125 $ 21,750,000

FC Holdings, Inc. Sugar Land TX Private 13 $ 3,727,035 $ 21,042,000

Heritage Oaks Bancorp Paso Robles CA Public - $ - $ 21,000,000

BNCCORP, Inc. Bismarck ND Public 12 $ 3,285,300 $ 20,093,000

Western Region CPP Institutions as of January 31, 2013

State by State Breakdown

Program Updates 

– Bank Support Programs
Monthly 105(a) Report January 2013

14

Auto Industry Financing Program

The Automotive Industry Financing Program (AIFP) was launched in December 2008 to prevent the uncontrolled liquidation of Chrysler 

and General Motors (GM) and the collapse of the U.S. auto industry, because the potential for such a disruption at that time posed a 

significant risk to financial market stability and threatened the overall economy. 

Under AIFP, Treasury invested a total of $49.5 billion to help stabilize and restructure GM. In November 2010, GM completed an initial 

public offering, which yielded $13.5 billion in net proceeds for Treasury and reduced its stake in GM to 500.1 million remaining shares of 

GM common stock.

On December 19, 2012, as part of its continuing efforts to wind down TARP, Treasury announced its intent to fully exit its remaining 

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

200 million shares of GM common stock from Treasury at $27.50 per share – a transaction that closed on December 21, 2012. 

On January 18, 2013, the U.S. Department of the Treasury announced that it took the next step in its plan to sell its remaining shares of 

GM common stock with the initiation of a pre-arranged written trading plan. Under the plan, Treasury will proceed with its December 2012 

announcement that it intends to sell its shares into the market in an orderly fashion and fully exit its remaining GM investment within the 

following 12-15 months, subject to market conditions. For more information, see Treasury’s press release: http://www.treasury.gov/presscenter/press-releases/Pages/tg1826.aspx.

• In January 2013, Treasury received total net proceeds of approximately $156.4 million from the sales of GM common stock3. To 

date, Treasury has recovered approximately $29.0 billion of its investment in GM through repayments, sales of stock, dividends, 

interest, and other income.

 3 Additional details on the number of GM shares that Treasury sold and average price per share will be disclosed upon the completion of each pre-arranged trading plan 

and provided in the Monthly Report to Congress that is issued subsequent to the sale.

Program Updates 

– Auto Industry Financing Program
Monthly 105(a) Report January 2013

15

Credit Market Programs

Term Asset-Backed Securities Loan Facility (TALF) 

The Term Asset-Backed Securities Loan Facility (TALF) supported the issuance of nearly 3 million auto loans, more than 1 million student 

loans, nearly 900,000 small business loans, 150,000 other types of business loans, and millions of credit card loans. Under TALF, the 

FRBNY lent funds to investors of these types of securities. By encouraging the issuance of asset-backed securities (ABS) and CMBS, 

which are securities backed by consumer and business loans, TALF helped support the economy by increasing credit availability to 

American households and businesses. 

As part of the program, Treasury originally pledged $20 billion in credit protection through TARP against potential losses on TALF loans. In 

light of repayments over time and the number of TALF loans outstanding, Treasury’s credit protection commitment was subsequently 

reduced to $4.3 billion in June 2010 and to $1.4 billion in June 2012. 

On January 15, Treasury reduced its credit commitment to $0 and announced the full repayment with interest of its loans under TALF. As 

of January 31, 2013, the amount of fees collected ($757 million) through the program exceed the remaining loans outstanding ($548

million), which means that there is no risk of overall taxpayer losses on this program.

TALF remains a joint Treasury-Federal Reserve program. Given that Treasury’s investment has been repaid in full with interest, each 

additional dollar Treasury collects through TALF going forward represents an additional positive return for taxpayers. The final TALF loan is 

scheduled to mature on March 30, 2015. All loans remain well collateralized and current in payments of principal and interest. Treasury 

and the FRBNY do not expect any cost to taxpayers from TALF.

For more information, see Treasury’s press release at: http://www.treasury.gov/press-center/press-releases/Pages/tg1821.aspx.

Program Updates 

– Credit Market Programs
Monthly 105(a) Report January 2013

16

Credit Market Programs

Public-Private Investment Program (PPIP)

The Legacy Securities Public-Private Investment Program (PPIP) was designed to support the credit markets by bringing private capital 

back into the market for legacy securities (i.e. non-agency residential mortgage-backed securities (RMBS) and commercial mortgagebacked securities (CMBS)) that were central to the problems facing the U.S. financial system. By helping to restart the market for these 

securities, the program has helped financial institutions begin to remove these assets from their balance sheets and allowed for a general 

increase in credit availability to consumers and small businesses.

All of the Public-Private Investment Funds (PPIFs) have now completed the third and final year in which they could draw capital and make 

new investments. Five funds have now been effectively wound down and four funds remain in the program. To date, Treasury has fully 

recovered its original investment of $18.6 billion in the PPIP program, plus a positive return of $331 million through equity and debt 

repayments, interest, and proceeds in excess of original equity capital, including warrant proceeds. Future debt, equity and interest 

payments from the outstanding PPIFs will provide an additional positive return for taxpayers.

• The most recent PPIP Quarterly Report, through December 31, 2012, is located on Treasury’s website at: 

http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Public-Private-Investment-Program-Quarterly-Report.aspx. This 

report includes a summary of PPIP capital activity, portfolio holdings and current pricing, and program and fund performance through 

the end of the 4th quarter of 2012. Treasury has published 13 quarterly reports on PPIP to date and expects to provide additional 

information as the program continues to mature.

Program Updates 

– Credit Market Programs
Monthly 105(a) Report January 2013

17

Housing Programs

Making Home Affordable Program Performance Report

On February 8, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program Performance Report 

through December 2012. The report is available on the following page: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Making-Home-Affordable-Program-Performance-Report.aspx.

Highlights include:

• More than 1.1 million homeowners have received a permanent modification since the start of the program. More than 14,000 new 

permanent modifications and approximately 13,000 trial modification starts have been reported since the November report. 

• In total, nearly 1.5 million homeowner assistance actions have been granted through MHA, consisting of first and second lien 

permanent modifications, Home Affordable Foreclosure Alternatives (HAFA) transactions, and Unemployment Program (UP) 

forbearance plans.

• To date, homeowners in permanent modifications have saved an estimated $17.3 billion in monthly mortgage payments. Homeowners 

in active first lien permanent modifications are currently saving a median of $545 per month – more than one-third of their median 

before-modification payment.

• Homeowners currently in HAMP permanent modifications with some form of principal reduction have been granted an estimated $8.8

billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in December, 71% included a principal 

reduction feature.

• After six months in the program, more than 94% of homeowners remain in permanent modifications and 9.3% of homeowners are 60+

days delinquent.

2MP and HAFA Program Results

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

eligible second lien mortgages serviced by a participating servicer. To date, more than 103,000 homeowners in a permanent first lien 

modification under HAMP have received assistance through 2MP.

• More than 101,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from the 

Home Affordable Alternatives Program (HAFA), which provides $3,000 for relocation assistance after a homeowner exits the home.

Program Updates 

– Housing Programs
Monthly 105(a) Report January 2013

18

Hardest Hit Fund

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

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

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

number of different programs to help homeowners, including principal reduction, reinstatement, short sale/transition assistance, 

modification assistance, loan purchase and mortgage payment programs.

• There are now 57 programs across the 19 HFAs. Approximately 70 percent of total program funds are being targeted to help 

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

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

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

underwriters and other staff to review and approve applications.

• Treasury is working to identify best practices, share lessons learned between states and provide additional assistance and oversight to 

struggling HFAs. In January, Treasury continues to participate in bi-weekly conference calls with the 19 HFAs and the large servicers 

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

promising new programs that can effectively utilize Hardest Hit Funds. 

• Treasury recently approved a program change for Oregon, which will allow underwater borrowers in non-GSE loans refinance and 

achieve mortgage payment savings from today’s historically low interest rates. Typically, program changes are designed to increase

flexibility in administering the program, expand the eligible population of homeowners, and offer deeper levels of assistance to enable 

particularly hard hit homeowners to recover from unemployment or achieve a more sustainable mortgage payment. 

• Six HFAs drew a total of $133 million in January; over the life of the program, a total of $1.89 billion has been drawn down by the 18 

states and the District of Columbia. Each HFA draws down funds as they are needed. (See Figure 6.) HFAs have until December 31, 

2017 to expend funds, and must have exhausted at least 95 percent of their allocation before they can draw down additional funds.

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

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

Figure 5.

Program Updates 

– Housing Programs
Monthly 105(a) Report January 2013

19

Figure 5: Programs Available Through the Hardest Hit Fund

State Statewide 

Launch Reporting Link Program Information Link 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

a7b_10737418238_10737418240_btnlink http://www.hhfri.org/

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

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

Program Updates 

– Housing Programs
Monthly 105(a) Report January 2013

20

Figure 6: Hardest Hit Fund as of January 31, 2013

Program Updates 

– Housing Programs
Monthly 105(a) Report January 2013

21

 4

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

Protection Act).

Appendix Section Statutory Requirement4 Page

Remaining CPP Institutions......................................................................................... Additional Information 22

Administrative Obligations and Expenditures................................................................ EESA §105(a)(2) 27

Agreements under TARP............................................................................................. EESA §105(a)(3)(A) 28

Insurance Contracts................................................................................................... EESA §105(a)(3)(B) 35

Transactions Report................................................................................................... EESA §105(a)(3)(C,D,G) 36

Investment Programs 36

Home Affordable Modification Program 73

Projected Costs and Liabilities..................................................................................... EESA §105(a)(3)(E) 108

Programmatic Operating Expenses.............................................................................. EESA §105(a)(3)(F) 109

Description of Vehicles Established.............................................................................. EESA §105(a)(3)(H) 110

HAMP Application Activity by Servicer.......................................................................... Dodd-Frank §1483(b) 111

Table of Contents 

– Appendix
22

Name Location

Public/P

rivate

Amount 

Outstanding

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

NewBridge Bancorp Greensboro, NC Public $ 52,372,000

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

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

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

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

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

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

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

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

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

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

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

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

Colony Bankcorp, Inc.** Fitzgerald, GA Public $ 28,000,000

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

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

HMN Financial, Inc.** Rochester, MN Public $ 26,000,000

Projected Costs and Liabilities [Section 105(a)(3)(E)]

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

As of January 31, 2013
23

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

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

Citizens Bancshares Co.** Chillicothe, MO Private $ 24,990,000

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

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

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

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

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

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

FC Holdings, Inc. Sugar Land, TX Private $ 21,042,000

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

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

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

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

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

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

Hawthorn Bancshares, Inc. Lee's Summit, MO Public $ 18,255,000

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

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

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

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

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

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

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

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

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

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

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

Carolina Bank Holdings, Inc. Greensboro, NC Public $ 16,000,000 First Reliance Bancshares, Inc. Florence, SC Public $ 15,349,000

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

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

Equity Bancshares, Inc. Wichita, KS Private $ 14,800,000

Village Bank and Trust Financial CorpMidlothian, VA Public $ 14,738,000

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

Valley Financial Corporation Roanoke, VA Public $ 14,419,000

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

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

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

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

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

Meridian Bank Devon, PA Private $ 12,535,000

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

First Western Financial, Inc. Denver, CO Private $ 12,440,000

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

OneUnited Bank Boston, MA Private $ 12,063,000
24

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

Guaranty Federal Bancshares, Inc. Springfield, MO Public $ 12,000,000

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

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

Plumas Bancorp Quincy, CA Public $ 11,949,000

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Coastal Banking Company, Inc.** Beaufort, SC Public $ 9,950,000

Universal Bancorp Bloomfield, IN Private $ 9,900,000

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

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

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

Carrollton Bancorp Baltimore, MD Public $ 9,201,000

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

Delmar Bancorp** Delmar, MD Public $ 9,000,000

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Citizens First Corporation Bowling Green, KY Public $ 6,566,692
25

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

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

Business Bancshares, Inc. Clayton, MO Private $ 6,500,000

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

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

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

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

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

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

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

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

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

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

Farmers Bank Windsor, VA Private $ 5,689,000

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

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

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

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

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

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

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

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

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

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

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

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

River Valley Bancorporation, Inc. Wausau, WI Private $ 4,500,000

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

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

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

Annapolis Bancorp, Inc. Annapolis, MD Public $ 4,076,000

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

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

Premier Service BankRiverside, CA Public $ 4,000,000

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

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

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

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

CedarStone Bank Lebanon, TN Private $ 3,564,000

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

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

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

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

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

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

Grand Mountain Bancshares, Inc. Granby, CO Private $ 3,076,000
26

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

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

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

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

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

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

Patterson Bancshares, Inc Patterson, LA Private $ 2,940,000

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Union Financial Corporation Albuquerque, NM Private $ 1,579,000

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

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

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

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

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

Green Circle Investments, Inc. Clive, IA Private $ 800,000

Vision Bank - Texas Richardson, TX Private $ 712,500

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

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

210 $ 6,662,627,512

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

original invesment amount 

**Following an auction on 1/29/13 Treasury executed a placement agency agreement in which Treasury agreed 

to sell the instituion to the winning bidder. The sale will take place in February. 
27

Budget

Object Class (BOC) Budget Object Class Title Obligations Expenditures

Projected

Obligations

Projected

Expenditures

PERSONNEL SERVICES 1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS $ 108,349,816 $ 108,285,022 $ 110,454,000 $ 110,389,000

PERSONNEL SERVICES Total: $ 108,349,816 $ 108,285,022 $ 110,454,000 $ 110,389,000

2100 TRAVEL & TRANSPORTATION OF PERSONS $ 2,209,844 $ 2,162,787 $ 2,243,000 $ 2,196,000

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

2300 RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES $ 768,000 $ 693,237 768,000 694,000

2400 PRINTING & REPRODUCTION $ 402 $ 402 500 500

2500 OTHER SERVICES $ 247,225,550 $ 189,219,424 250,342,000 191,671,000

2600 SUPPLIES AND MATERIALS $ 1,582,695 $ 1,577,655 1,587,000 1,582,000

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

3200 LAND & STRUCTURES $ - $ - - -

4300 INTEREST & DIVIDENDS $ 634 $ 634 640 640

NON-PERSONNEL SERVICES Total: $ 252,052,370 $ 193,910,006 $ 255,207,140 $ 196,400,140

GRAND TOTAL: $ 360,402,186 $ 302,195,028 $ 365,661,140 $ 306,789,140

NON-PERSONNEL 

SERVICES

United States Department of the Treasury

Office of Financial Stability

Troubled Asset Relief Program

Report of Administrative Obligations and Expenditures

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

For Period Ending For Period Ending

January 31, 2013 February 28, 2013
28

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

Program Start - January 31, 2013

Date Approved Type of Transaction Vendor Purpose

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

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

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

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

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

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

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

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

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

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

11/9/2008 Interagency Agreement Internal Revenue Service Detailee

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

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

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

12/5/2008 Interagency Agreement Washington Post Administrative Support

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

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

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

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

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

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

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

1/7/2009 Contract Colonial Parking Inc. Parking

1/27/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory
29

Date Approved Type of Transaction Vendor Purpose

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

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

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

2/3/2009 Interagency Agreement Internal Revenue Service Detailees

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

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

2/18/2009 Financial Agent Fannie Mae Homeownership Program

2/18/2009 Financial Agent Freddie Mac Homeownership Program

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

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

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

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

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

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

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

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

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

3/30/2009 Contract Bingham Mccutchen LLP Legal Advisory

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

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

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

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

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

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

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

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

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

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

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

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

4/30/2009 Interagency Agreement State Department Detailee

5/5/2009 Interagency Agreement Federal Reserve Board Detailee

5/13/2009 Interagency Agreement Department of Treasury - US Mint Administrative Support
30

Date Approved Type of Transaction Vendor Purpose

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

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

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

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

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

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

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

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

7/15/2009 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

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
31

Date Approved Type of Transaction Vendor Purpose

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

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
32

Date Approved Type of Transaction Vendor Purpose

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.* Subscription Services

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

3/22/2011 Contract Harrison Scott Publications Subscription Services

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

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

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

4/27/2011 Contract Oculus Group Inc.* Financial Services
33

Date Approved Type of Transaction Vendor Purpose

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

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

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

2/27/2012 Contract Diversified Search LLC Financial Advisory

3/6/2012 Contract Integrated Federal Solutions, Inc.* Acquisition Support Services
34

Date Approved Type of Transaction Vendor Purpose

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

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

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

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

6/15/2012 Contract Qualx Corporation* Administrative Support

6/30/2012 Contract West Publishing Corporation Subscription Services

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

8/1/2012 Interagency Agreement Internal Revenue Service Training

8/3/2012 Contract Harrison Scott Publications Subscription Services

9/8/2012 Contract SNL Financial LC Subscription Services

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

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

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

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

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

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

* 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
35

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

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

For Period Ending January 31, 2013

Name Amount

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

between Citigroup and the UST, and FDIC occurred on 

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

financial condition and financial market stability. 
36

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

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

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

11, 23 - 

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

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

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

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

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

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

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

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

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

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

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

3a, 72 - 

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

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

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

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

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

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

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

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

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

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

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

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

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

Warrants 

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

Warrants 

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

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

Warrants 

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

44 - 

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

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

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

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

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

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

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

Warrants

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

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

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

Preferred Stock w/ Warrants 

Transactions Report - Investment Programs

For Period Ending January 30, 2013

CAPITAL PURCHASE PROGRAM

Troubled Asset Relief Program

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

R $ 18,500,000 

Capital 

Repayment Date

Disposition 

Investment 

Description

4/7/2010 Warrants

Footnote

11/14/2008 Valley National Bancorp Par 

11/21/2008

Purchase Date 

Seller 

$ 300,000,000

Purchase Details

CA $ 400,000,000 Par 

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

5/18/2010 Warrants A $ 5,421,615 

City National Corporation Beverly Hills 

Wayne NJ Preferred Stock w/ Warrants 

11/14/2008 12/5/2012 Warrants P $ 7,666,419 
37

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

Warrants

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

Warrants

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

29 11/21/2008 Pacific Capital Bancorp Santa Barbara CA Common Stock w/ Warrants $ 195,045,000 Par 11/30/2012 4 $ 165,983,272 $ 29,061,728 Warrants 11/30/2012 Warrants R $ 393,121 

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

85 - 

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

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

74 - 

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

47 - 

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

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

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

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

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

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

Warrants

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

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

Warrants

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

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

122 11/21/2008 First Community Corporation Lexington SC Preferred Stock w/ Warrants $ 11,350,000 Par 8/23/2012 122 $ 10,987,794 $ 0 Warrants 11/1/2012 Warrants R $ 297,500 

86 - 

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

66 - 

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

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

Warrants $ 89,388,000 Par 

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

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

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

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

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

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

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

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

Warrants

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

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

Warrants

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

198 12/5/2008 Coastal Banking Company, Inc. Fernandina Beach FL Preferred Stock w/ Warrants $ 9,950,000 Par 

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

26 - 

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

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

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

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

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

Warrants 

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

89 - 

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

75 - 

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

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

A $ 20,388,842 

A

CA R

 $ 3,435,006 

10/28/2009

2/23/2011 Warrants

49 $ 2,794,422 

Preferred Stock w/ Warrants $ 400,000,000

P

Par 

12/5/2008

11/21/2008

CVB Financial Corp

Boston 

6/2/2011 Warrants

11/18/2011 Warrants

CT 

Par 

11/21/2008

Sandy Spring Bancorp, Inc.

11/30/2011 Warrants

9

Webster Financial Corporation Waterbury 

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

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

R $ 4,450,000 

Warrants $ 1,307,000 

12/5/2008 Olney Preferred Stock w/ Warrants 

$ 130,000,000

$ 525,000,000

Par 

Par 

Par 

Preferred Stock w/ Warrants 

$ 83,094,000

Eagle Bancorp, Inc.

12/5/2008 Ontario 

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

MD 
38

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

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

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

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

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

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

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

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

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

32 - 

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

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

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

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

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

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

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

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

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

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

88 - 

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

43 - 

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

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

Warrants

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

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

12/12/2008 HopFed Bancorp Hopkinsville KY Preferred Stock w/ Warrants $ 18,400,000 Par 12/19/2012 4 $ 18,400,000 $ 0 Warrants 1/16/2013 Warrants R $ 256,257 

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

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

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

66 - 

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

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

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

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

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

76 - 

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

12/12/2008 Valley Financial Corporation Roanoke VA Preferred Stock w/ Warrants $ 16,019,000 Par 11/14/2012 4 $ 1,600,000 $ 14,419,000 Preferred Stock w/ 

Warrants

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

Warrants $ 74,426,000 Par 

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

Warrants

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

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

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

12/12/2008 Northeast Bancorp Lewiston ME Preferred Stock w/ Warrants $ 4,227,000 Par 11/28/2012 4 $ 4,227,000 $ 0 Warrants 12/28/2012 Warrants R $ 95,000 

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 12/11/2012 4 $ 71,000,000 $ 0 Warrants

176 12/12/2008 WesBanco, Inc. (Fidelity Bancorp, Inc.) Wheeling WV Preferred Stock w/ Warrants $ 7,000,000 Par 11/30/2012 176 $ 7,000,000 $ 0 Warrants

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 

181 12/19/2008 Community West Bancshares Goleta CA Preferred Stock w/ Warrants $ 15,600,000 Par 12/11/2012 $ 11,181,456 $ 0 Warrants

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 

$ 95,000,000 Par 7/18/2012

Susquehanna Bancshares, Inc Lititz Preferred Stock w/ Warrants Par 1/19/2011 Warrants R $ 5,269,179 

Warrants R $ 755,000 

$ 300,000,000

12/12/2008 Pinnacle Financial Partners, Inc. Nashville TN Preferred Stock w/ Warrants 

12/12/2008 PA 
39

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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 11/7/2012 4 $ 35,000,000 $ 0 Warrants 1/9/2013 Warrants R $ 1,006,100 

12/19/2008 Mid Penn Bancorp, Inc. Millersburg PA Preferred Stock w/ Warrants $ 10,000,000 Par 12/28/2012 4 $ 10,000,000 $ 0 Warrants 1/23/2013 Warrants R $ 58,479 

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

117 - 

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

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

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

81 - 

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

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

64 - 

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

77 - 

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

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

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

92 - 

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

194 12/19/2008 Community Financial Corporation Staunton VA Preferred Stock w/ Warrants $ 12,643,000 Par 1/9/2013 194 $ 12,643,000 $ 0 Warrants

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

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

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

30 - 

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

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

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

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

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

Warrants

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

18 12/19/2008 Union First Market Bankshares Corporation

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

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

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

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

Warrants

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

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

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

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

Warrants

2, 170 12/19/2008 FFW Corporation Wabash IN Preferred Stock w/ Exercised Warrants $ 7,289,000 Par 11/30/2012 170 $ 6,515,426 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 358,558 

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

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

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

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

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

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

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

2 12/19/2008 Monadnock Bancorp, Inc. Peterborough NH Preferred Stock w/ Exercised Warrants $ 1,834,000 Par 12/28/2012 4 $ 1,834,000 $ 0 Preferred Stock 2 12/28/2012 Preferred Stock 2, 7 R $ 92,000 

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

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

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

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

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

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

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

Warrants R

50 12/19/2008

Preferred Stock w/ Warrants $ 30,000,000 Par 

P

$ 23,864,000

$ 25,000,000 Par 11/18/2011 Warrants $ 1,750,551 

Par 

Warrants

San Jose 

12/19/2008 StellarOne Corporation Charlottesville VA 

Bridge Capital Holdings Preferred Stock w/ Warrants 

Preferred Stock w/ Warrants 

CA 

Horizon Bancorp Michigan City IN 

12/23/2008 4/20/2011 Warrants $ 1,395,000 
40

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

7/11/2011 4 $ 40,000,000 $ 176,000,000 Preferred Stock w/ 

Warrants

11/1/2012 4 $ 45,000,000 $ 131,000,000 Preferred Stock w/ 

Warrants

11/28/2012 4 $ 131,000,000 $ 0 Warrants

178 12/23/2008 First Sound Bank Seattle WA Preferred Stock w/ Warrants $ 7,400,000 Par 

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

Warrants

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

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

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

59 - 9/7/2011 12/23/2008 Green Bankshares, Inc. Greeneville TN $ 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

204 12/23/2008 HMN Financial, Inc. Rochester MN Preferred Stock w/ Warrants $ 26,000,000 Par 

39- 

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

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

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

93 - 

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

67 - 

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

154 12/23/2008 Timberland Bancorp, Inc. Hoquiam WA Preferred Stock w/ Warrants $ 16,641,000 Par 11/13/2012 154 $ 14,209,334 $ 0 Warrants

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

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

2, 155 12/23/2008 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock w/ Exercised Warrants $ 6,855,000 Par 11/9/2012 155 $ 6,398,944 $ 0 Preferred Stock 2 11/9/2012 Preferred Stock 2, 7 P $ 335,417 

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

2, 148 12/23/2008 Capital Pacific Bancorp Portland OR Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 11/9/2012 148 $ 3,715,906 $ 0 Preferred Stock 2 11/9/2012 Preferred Stock 2, 7 P $ 192,102 

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, 143 12/23/2008 The Little Bank, Incorporated Kinston NC Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 10/31/2012 143 $ 7,285,410 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 371,250 

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, 189 12/23/2008 Community Investors Bancorp, Inc. Bucyrus OH Preferred Stock w/ Exercised Warrants $ 2,600,000 Par 12/20/2012 189 $ 2,445,000 $ 0 Preferred Stock 2 12/20/2012 Preferred Stock 2, 7 P $ 105,000 

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

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

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

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

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

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

$ 600,000,000 Par 

12/23/2008 TN 

Preferred Stock w/ Warrants $ 216,000,000

Warrants P $ 31,838,761 

Magna Bank Memphis R $ 690,000 

12/17/2012

2, 49

12/23/2008 International Bancshares Corporation Laredo TX 

119 12/23/2008 M&T Bank Corporation Buffalo 

 

2, 7

Preferred Stock w/ Warrants $ 37,515,000 Par 

$ 13,795,000 Par 

 

Preferred Stock w/ Warrants 

 

Preferred Stock w/ Exercised Warrants 

 

12/23/2008 Financial Institutions, Inc. Warsaw NY 

Preferred Stock

Warrants R $ 2,079,963 

Par 

 

8/18/2011

NY 

5/11/2011
41

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

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

31 - 

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

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

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

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

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

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

87 - 

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

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

Warrants

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

Warrants

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

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

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

Warrants 

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

65 - 

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

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

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

Warrants

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

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

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

199 1/9/2009 Colony Bankcorp, Inc. Fitzgerald GA Preferred Stock w/ Warrants $ 28,000,000 Par 

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

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

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

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

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

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

Warrants 

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

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

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

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

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

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

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

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

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

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

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

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

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

2, 152 1/9/2009 Sound Banking Company Morehead City NC Preferred Stock w/ Exercised Warrants $ 3,070,000 Par 11/13/2012 152 $ 2,804,089 $ 0 Preferred Stock 2 11/13/2012 Preferred Stock 2, 7 P $ 147,918 

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 

Preferred Stock w/ Warrants 

1/9/2009 HI Common Stock w/ Warrants $ 135,000,000 Par 

R $ 110,000 

Central Pacific Financial Corp. Honolulu 37, 46 - 

3/29/2012

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

1/9/2009 Peapack-Gladstone Financial Corporation Gladstone NJ Par 4/4/2012

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

$ 28,685,000 Warrants
42

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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, 140 1/9/2009 Congaree Bancshares, Inc. Cayce SC Preferred Stock w/ Exercised Warrants $ 3,285,000 Par 10/31/2012 140 $ 2,685,979 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 106,364 

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

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

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

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

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

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

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

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

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

28 - 

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

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

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

3, 30 - 

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

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

78 - 

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

95 - 

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

91 - 

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

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

96 - 

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

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

2 1/16/2009 Community 1st Bank Roseville CA Preferred Stock w/ Exercised Warrants $ 2,550,000 Par 12/19/2012 4 $ 2,550,000 $ 0 Preferred Stock 2 12/19/2012 Preferred Stock 2, 7 R $ 128,000 

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, 201 1/16/2009 Dickinson Financial Corporation II Kansas City MO Preferred Stock w/ Exercised Warrants $ 146,053,000 Par 

2, 179 1/16/2009 The Baraboo Bancorporation Baraboo WI Preferred Stock w/ Exercised Warrants $ 20,749,000 Par 12/11/2012 $ 13,399,227 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 P $ 858,478 

2, 162 1/16/2009 Bank of Commerce Charlotte NC Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 11/30/2012 162 $ 2,477,000 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 100,100 

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 

2/15/2011 36 $ 500,000 $ 0 Warrants

12/21/2012 36 $ 150,000 $ 0 N/A

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 

159 1/23/2009 Princeton National Bancorp, Inc. Princeton IL Preferred Stock w/ Warrants $ 25,083,000 Par 

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

94 - 

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

79 - 

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

Warrants $ 3,268,000 Par 

United Financial Banking Companies, Inc. Preferred Stock w/ Exercised Warrants 2,7

$ 50,000,000

9/15/2011 Preferred Stock

Preferred Stock

$ 5,658,000 Par 

R $ 2,500,000 

2, 49 R $ 283,000 

2, 7

Vienna VA 

State Bankshares, Inc. Fargo ND Preferred Stock w/ Exercised Warrants 

1/16/2009

Par 6/29/2011

2, 36 1/16/2009 Treaty Oak Bancorp, Inc. Austin TX 

2 1/16/2009
43

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

2, 13 - 

12/4/2009, 

153

1/23/2009 Three Shores Bancorporation, Inc. (Seaside 

National Bank & Trust) Orlando FL Preferred Stock w/ Exercised Warrants $ 5,677,000 Par 11/9/2012 153 $ 4,992,788 $ 0 Preferred Stock 2 11/9/2012 Preferred Stock 2, 7 P $ 282,285 

2 1/23/2009 CalWest Bancorp Rancho Santa 

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

2, 49 1/23/2009 Fresno First Bank Fresno CA Preferred Stock w/ Exercised Warrants $ 1,968,000 Par 11/1/2012 49 $ 1,968,000 $ 0 Preferred Stock 2 11/1/2012 Preferred Stock 2, 7 R $ 98,000 

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 

4/25/2012 4 $ 1,100,000 $ 5,116,000 Preferred Stock 2

12/5/2012 4 $ 5,116,000 $ 0 Preferred Stock 2

2 1/23/2009 Farmers Bank Windsor VA Preferred Stock w/ Exercised Warrants $ 8,752,000 Par 1/9/2013 4 $ 3,063,000 $ 5,689,000 Preferred Stock 2

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 

174 1/30/2009 Parke Bancorp, Inc. Sewell NJ Preferred Stock w/ Warrants $ 16,288,000 Par 11/29/2012 174 $ 11,595,735 $ 0 Warrants

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 

5 1/30/2009 PrivateBancorp, Inc. Chicago IL Preferred Stock w/ Warrants $ 243,815,000 Par 10/24/2012 5 $ 243,815,000 $ 0 Warrants 11/14/2012 Warrants R $ 1,225,000 

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 

139 1/30/2009 Oak Ridge Financial Services, Inc. Oak Ridge NC Preferred Stock w/ Warrants $ 7,700,000 Par 10/31/2012 139 $ 7,024,595 $ 0 Warrants

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

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

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

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

Warrants

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

97 - 

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

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

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

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

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

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

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

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

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

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

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

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

2, 169 1/30/2009 Country Bank Shares, Inc. Milford NE Preferred Stock w/ Exercised Warrants $ 7,525,000 Par 11/29/2012 169 $ 6,838,126 $ 0 Preferred Stock 2 11/29/2012 Preferred Stock 2, 7 P $ 372,240 

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 

R $ 311,000 

1/30/2009 2/15/2012 R

$ 6,216,000 Par 

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

6/16/2010 Preferred Stock

2, 7 12/5/2012 Preferred Stock

1/23/2009 Par R $ 162,000 2, 7 Preferred Stock w/ Exercised Warrants 

Peoples Bancorp Inc. Marietta 

LA 

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

Preferred Stock

TN 

FPB Financial Corp. $ 3,240,000

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

2

Moscow Bancshares, Inc. Moscow Preferred Stock w/ Exercised Warrants 

Hammond 

2 1/23/2009
44

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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, 49, 145 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, 141 1/30/2009 Metro City Bank Doraville GA Preferred Stock w/ Exercised Warrants $ 7,700,000 Par 10/31/2012 141 $ 6,861,462 $ 0 Preferred Stock 2 1031/2012 Preferred Stock 2,7 R $ 369,948 

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

163 2/6/2009 Carolina Trust Bank Lincolnton NC Preferred Stock w/ Warrants $ 4,000,000 Par 11/30/2012 163 $ 3,362,000 $ 0 Warrants

161 2/6/2009 Alaska Pacific Bancshares, Inc. Juneau AK Preferred Stock w/ Warrants $ 4,781,000 Par 11/29/2012 161 $ 4,217,568 $ 0 Warrants

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 12/19/2012 4 $ 301,000 $ 0 Preferred Stock 2 12/19/2012 Preferred Stock 2, 7 R $ 15,000 

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

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

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

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

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

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

3, 30 - 

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

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

18 2/6/2009 Union First Market Bankshares Corporation

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

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

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

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

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

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

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

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

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

2, 101, 166 2/6/2009 Community Bancshares of Mississippi, Inc.

(Community Holding Company of Florida, Inc.) Brandon MS Preferred Stock w/ Exercised Warrants $ 1,050,000 Par 11/30/2012 166 $ 977,750 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 25,000 

2, 192 2/6/2009 Hyperion Bank Philadelphia PA Preferred Stock w/ Exercised Warrants $ 1,552,000 Par 12/20/2012 192 $ 983,800 $ 0 Preferred Stock 2 12/20/2012 Preferred Stock 2, 7 P $ 25,700 

2, 13 - 

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

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

2, 7, 

105 P $ 351,052 

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

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

Warrants 

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

P $ 878,256 

Rapid City 

San Rafael 11/18/2011

$ 15,568,000

Par 

Par 

Par 

Preferred Stock w/ Warrants $ 83,726,000 Warrants

 $ 2,800,000 

3/16/2011 Preferred Stock 2, 7

Warrants

R $ 778,000 

2/29/2012 R

Westamerica Bancorporation CA

SD 

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

2 2/6/2009 Stockmens Financial Corporation Preferred Stock w/ Exercised Warrants 

2/13/2009
45

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

Warrants 

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

186 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, 185 2/13/2009 Security Bancshares of Pulaski County, Inc. Waynesville MO Preferred Stock w/ Exercised Warrants $ 2,152,000 Par 12/11/2012 $ 1,475,592 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 P $ 93,245 

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, 147 2/13/2009 BankGreenville Greenville SC Preferred Stock w/ Exercised Warrants $ 1,000,000 Par 11/9/2012 147 $ 891,000 $ 0 Preferred Stock 2 11/9/2012 Preferred Stock 2, 7 P $ 46,412 

2, 168 2/13/2009 Corning Savings and Loan Association Corning AR Preferred Stock w/ Exercised Warrants $ 638,000 Par 11/30/2012 168 $ 523,680 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 3,960 

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, 151 2/13/2009 Regional Bankshares, Inc. Hartsville SC Preferred Stock w/ Exercised Warrants $ 1,500,000 Par 11/9/2012 151 $ 1,373,625 $ 0 Preferred Stock 2 11/9/2012 Preferred Stock 2, 7 P $ 74,250 

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

2, 30 - 

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

2, 7, 

30a R $ 110,000 

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

2, 171 2/13/2009 Hometown Bancshares, Inc. Corbin KY Preferred Stock w/ Exercised Warrants $ 1,900,000 Par 11/30/2012 171 $ 1,766,510 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 70,095 

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

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

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

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

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

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

2 2/13/2009 Northwest Commercial Bank Lakewood WA Preferred Stock w/ Exercised Warrants $ 1,992,000 Par 1/9/2013 4 $ 1,992,000 $ 0 Preferred Stock 2 1/9/2013 Preferred Stock 2. 7 R $ 100,000 

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, 203 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, 164 2/20/2009 CBB Bancorp Cartersville GA Preferred Stock w/ Exercised Warrants $ 2,644,000 Par 11/29/2012 164 $ 2,453,094 $ 0 Preferred Stock 2 11/29/2012 Preferred Stock 2, 7 P $ 115,861 

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, 180 2/20/2009 Central Community Corporation Temple TX Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 12/11/2012 $ 20,172,636 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 P $ 1,058,726 

1/18/2012 4 $ 3,675,000 $ 3,675,000 Preferred Stock 2

10/24/2012 4 $ 3,675,000 $ 0 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 

P $ 367,500 

R $ 368,000 

Muncie IN

Par 

11/18/2011 Warrants

10/24/2012 Preferred Stock 2,7

27, 49, 50 2/20/2009

Preferred Stock w/ Warrants 

IL Preferred Stock w/ Exercised Warrants $ 7,350,000

First Merchants Corporation Warrants

2, 4, 7 2/20/2009 First BancTrust Corporation Par 

2/13/2009 The Bank of Kentucky Financial Corporation Crestview Hills KY $ 34,000,000

Paris
46

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

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

30 - 

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

98 - 

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

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, 167 2/27/2009 Community Business Bank West Sacramento CA Preferred Stock w/ Exercised Warrants $ 3,976,000 Par 11/30/2012 167 $ 3,692,560 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 167,035 

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

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

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

2, 135 2/27/2009 First Gothenburg Bancshares, Inc. Gothenburg NE Preferred Stock w/ Exercised Warrants $ 7,570,000 Par 10/31/2012 135 $ 6,822,136 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 362,119 

11/14/2012 4 $ 800,000 $ 1,600,000 Preferred Stock2

1/23/2013 4 $ 800,000 $ 800,000 Preferred Stock2

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, 49 3/6/2009 ICB Financial Ontario CA Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 11/1/2012 49 $ 6,000,000 $ 0 Preferred Stock 2 Preferred Stock 2, 7 R $ 300,000 

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, 134 3/6/2009 Blue Ridge Bancshares, Inc. Independence MO Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 10/31/2012 134 $ 8,969,400 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 541,793 

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, 137 3/6/2009 Germantown Capital Corporation, Inc. Germantown TN Preferred Stock w/ Exercised Warrants $ 4,967,000 Par 10/31/2012 137 $ 4,495,616 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 214,595 

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

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

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

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

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

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

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

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

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

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

2 2/27/2009 Green Circle Investments, Inc. Clive IA Preferred Stock w/ Exercised Warrants $ 2,400,000 Par 
47

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

146 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, 123 3/13/2009 First National Corporation Strasburg VA Preferred Stock w/ Exercised Warrants $ 13,900,000 Par 8/23/2012 123 $ 12,082,749 $ 0 Preferred Stock 2 8/23/2012 Preferred Stock 2, 7 P $ 624,675 

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

2, 136 3/13/2009 Blackhawk Bancorp, Inc. Beloit WI Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 10/31/2012 136 $ 9,009,000 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 470,250 

2, 3a - 

11/13/2009 

30 - 9/3/2010

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

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

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

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

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

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

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

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

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

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

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

2, 142 3/20/2009 Peoples Bancshares of TN, Inc Madisonville TN Preferred Stock w/ Exercised Warrants $ 3,900,000 Par 10/31/2012 142 $ 2,919,500 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 122,225 

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

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

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

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

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

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

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

2, 165 3/27/2009 Clover Community Bankshares, Inc. Clover SC Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 11/29/2012 165 $ 2,593,700 $ 0 Preferred Stock 2 11/29/2012 Preferred Stock 2, 7 P $ 114,022 

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

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

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

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

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

2, 99 - 

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

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

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

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

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

90 - 

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

2, 3, 30 - 

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

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

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

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

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

2, 175 4/3/2009 TriSummit Bank Kingsport TN Preferred Stock w/ Exercised Warrants $ 2,765,000 Par 11/29/2012 175 $ 2,053,013 $ 0 Preferred Stock 2 11/29/2012 Preferred Stock 2, 7 P $ 124,666 

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 
48

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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, 188 4/10/2009 Bank of Southern California, N.A. (First Business 

Bank, N.A.) San Diego CA Preferred Stock w/ Exercised Warrants $ 2,211,000 Par 12/20/2012 188 $ 2,017,453 $ 0 Preferred Stock 2 12/20/2012 Preferred Stock 2, 7 P $ 90,462 

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 

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

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

12/5/2012 4 $ 250,000 $ 2,940,000 Preferred Stock 2

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

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

121 4/24/2009 Mackinac Financial Corporation Manistique MI Preferred Stock w/ Warrants $ 11,000,000 Par 8/23/2012 121 $ 10,380,905 $ 0 Warrants 12/19/2012 Warrants R $ 1,300,000 

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 12/28/2012 4 $ 787,500 $ 712,500 Preferred Stock 2

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

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

2, 7, 

83 R $ 633,000 

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

5/23/2012 4 $ 6,000,000 $ 9,000,000

1/9/2013 4 $ 2,500,000 $ 6,500,000

2, 158 4/24/2009 Standard Bancshares, Inc. Hickory Hills IL Preferred Stock w/ Exercised Warrants $ 60,000,000 Par 

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

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

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

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

Debentures 8

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

Debentures 8

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

2, 138 5/1/2009 CenterBank Milford OH Preferred Stock w/ Exercised Warrants $ 2,250,000 Par 10/31/2012 138 $ 1,831,250 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 84,057 

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 12/11/2012 4 $ 4,000,000 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 R $ 200,000 

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

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

Debentures 8 10/5/2011 Subordinated Debentures 8

7 R $ 305,000 

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

Warrants $ 10,750,000 Par 

2, 13 - 

8/31/2010, 

49

5/8/2009 Highlands Bancorp, Inc. 

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

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

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

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

Warrants $ 3,000,000 Par 

8, 133 5/8/2009 Investors Financial Corporation of Pettis County, Inc Sedalia MO Subordinated Debentures w/ Exercised 

Warrants $ 4,000,000 Par 

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

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

Debentures 8 9/15/2011 Subordinated Debentures 8

7 R $ 682,000 

3, 8, 30 - 

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

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

Warrants

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

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

2, 177 5/15/2009 Western Reserve Bancorp, Inc Medina OH Preferred Stock w/ Exercised Warrants $ 4,700,000 Par 11/30/2012 4 $ 4,700,000 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 R $ 235,000 

2, 158 5/15/2009 Community Financial Shares, Inc. Glen Ellyn IL Preferred Stock w/ Exercised Warrants $ 6,970,000 Par 12/21/2012 158 $ 3,136,500 $ 0 Preferred Stock 2 12/21/2012 Preferred Stock 2, 7 P $ 157,050 

R $ 7,465,100 

Business Bancshares, Inc. Clayton MO Preferred Stock w/ Exercised Warrants $ 15,000,000 Par Preferred Stock 2

4/17/2009 LA Preferred Stock w/ Exercised Warrants $ 3,690,000 Par 

7/3/2012 Warrants

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

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

Warrants Austin TX

5/15/2009 Mercantile Bank Corporation Grand Rapids MI Preferred Stock w/ Warrants $ 21,000,000 Par 

2 Patterson Bancshares, Inc Patterson

2 4/24/2009
49

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

2, 145 5/15/2009 Equity Bancshares, Inc. [First Community Bancshare Wichita 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 12/11/2012 4 $ 15,000,000 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 R $ 750,000 

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

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

Debentures 8 7/27/2012 Subordinated Debentures 8

7 P $ 824,731 

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

2, 182 5/22/2009 First Advantage Bancshares Inc. Coon Rapids MN Preferred Stock w/ Exercised Warrants $ 1,177,000 Par 12/11/2012 $ 1,046,621 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 P $ 53,755 

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

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

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

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

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

2, 150 5/22/2009 Franklin Bancorp, Inc. Washington MO Preferred Stock w/ Exercised Warrants $ 5,097,000 Par 11/13/2012 150 $ 3,191,614 $ 0 Preferred Stock 2 11/13/2012 Preferred Stock 2, 7 P $ 195,018 

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

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

Debentures 8 7/27/2012 Subordinated Debentures 8

7 P $ 898,722 

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

Warrants $ 6,349,000 Par 

8, 156 5/22/2009 F & C Bancorp, Inc. Holden MO Subordinated Debentures w/ Exercised 

Warrants $ 2,993,000 Par 11/13/2012 156 $ 2,840,903 $ 0 Subordinated 

Debentures 8 11/13/2012 Subordinated Debentures 8

7 P $ 148,500 

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

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

Debentures 8 7/27/2012 Subordinated Debentures 8

7 P $ 779,576 

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

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

Debentures 8 7/3/2012 Subordinated Debentures 8

7 R $ 720,000 

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

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

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

2, 197 5/29/2009 Citizens Bancshares Co. Chillicothe MO Preferred Stock w/ Exercised Warrants $ 24,990,000 Par 

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

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

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

Warrants $ 3,942,000 Par 

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

Warrants $ 19,817,000 Par 

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

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

Warrants $ 17,969,000 Par 

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

Warrants $ 17,300,000 Par 

2, 60 - 

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

2, 10, 30 - 

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

2, 7, 

30a R $ 245,000 

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

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

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

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

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

Debentures 8 9/22/2011 Subordinated Debentures 8

7 R $ 113,000 

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

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

Debentures 8

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

Par R $ 250,000 2, 7 2 5/22/2009 Blackridge Financial, Inc. Fargo ND Preferred Stock w/ Exercised Warrants $ 5,000,000 9/12/2012 Preferred Stock
50

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

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

8, 183 6/19/2009 Manhattan Bancshares, Inc. Manhattan IL Subordinated Debentures w/ Exercised 

Warrants $ 2,639,000 Par 12/11/2012 $ 2,560,541 $ 0 Subordinated 

Debentures 8 12/11/2012 P $ 131,021 

8, 10, 196 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, 157 6/19/2009 Farmers Enterprises, Inc. Great Bend KS Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 11/13/2012 157 $ 11,439,252 $ 0 Subordinated 

Debentures 8 11/13/2012 Subordinated Debentures 8

7 P $ 590,323 

8, 193 6/19/2009 Century Financial Services Corporation Santa Fe NM Subordinated Debentures w/ Exercised 

Warrants $ 10,000,000 Par 12/20/2012 193 $ 9,751,500 $ 0 Subordinated 

Debentures 8 12/20/2012 Subordinated Debentures 8

7 P $ 496,589 

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

Warrants $ 2,330,000 Par 

3, 8, 30 - 

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

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

Warrants $ 15,000,000 Par 

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

2, 40 - 

3/23/2011, 

49

6/26/2009 Veritex Holdings, Inc.

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

2, 10, 205 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, 190 6/26/2009 First Alliance Bancshares, Inc. Cordova TN Preferred Stock w/ Exercised Warrants $ 3,422,000 Par 12/20/2012 190 $ 2,370,742 $ 0 Preferred Stock 2 12/20/2012 Preferred Stock 2, 7 P $ 94,702 

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

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

2, 3, 10, 30 - 

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

2, 41 - 

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

2, 41 - 

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

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

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

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

Debentures 8 1/18/2012 Subordinated Debentures 8

7 R $ 1,245,000 

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

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

Debentures 8 12/15/2010 Subordinated Debentures 8

7 R $ 85,000 

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

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

Debentures 8 7/25/2012 Subordinated Debentures 8

7 R $ 1,750,000 

8, 195 6/26/2009 Alliance Financial Services Inc. Saint Paul MN Subordinated Debentures w/ Exercised 

Warrants $ 12,000,000 Par 

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

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

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

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

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

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

Debentures 8

11/28/2012 4 $ 36,875,000 $ 0 Subordinated 

Debentures 8

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

Warrants $ 8,400,000 Par 

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

Warrants $ 2,500,000 Par 

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

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

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

12/21/2011 4 $ 15,000,000 $ 35,000,000 Subordinated 

Debentures 8

11/28/2012 Subordinated 

Debentures 8

7 Par 

R $ 2 500 000 

R $ 2,500,000 

First American Bank Corporation Elk Grove Village IL Subordinated Debentures w/ Exercised $ 50 000 000 Par 12/11/2012 Subordinated 8

7

Subordinated 7

Debentures 8

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

Warrants $ 50,000,000

8 7/24/2009
51

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

12/11/2012 4 $ 35,000,000 $ 0 Subordinated 

Debentures 8

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

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

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

Debentures 8 9/1/2011 Subordinated Debentures 8

7 R $ 112,000 

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

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

2, 187 8/14/2009 Bank Financial Services, Inc. Eden Prairie MN Preferred Stock w/ Exercised Warrants $ 1,004,000 Par 12/20/2012 187 $ 907,937 $ 0 Preferred Stock 2 12/20/2012 Preferred Stock 2, 7 P $ 23,500 

2, 172 8/21/2009 KS Bancorp, Inc. Smithfield NC Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 11/30/2012 172 $ 3,283,000 $ 0 Preferred Stock 2 11/30/2012 Preferred Stock 2, 7 P $ 140,400 

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

Warrants $ 5,000,000 Par 

2, 3, 191 8/28/2009 First Independence Corporation Detroit MI Preferred Stock $ 3,223,000 Par 12/20/2012 191 $ 2,286,675 $ 0 N/A N/A N/A N/A 

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, 100 - 

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

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

8, 30 - 

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

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

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

2, 10, 144 9/18/2009 HomeTown Bankshares Corporation Roanoke VA Preferred Stock w/ Exercised Warrants $ 10,000,000 Par 10/31/2012 ## $ 9,093,150 $ 0 Preferred Stock 2 10/31/2012 Preferred Stock 2,7 R $ 315,462

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

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

2 9/25/2009 Mountain Valley Bancshares, Inc. Cleveland GA Preferred Stock w/ Exercised Warrants $ 3,300,000 Par 

8 9/25/2009 Grand Financial Corporation Hattiesburg MS Subordinated Debentures w/ Exercised 

Warrants $ 2,443,320 Par 

3, 8, 30 - 

7/30/2010 9/25/2009 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 Par 7/30/2010 4 $ 14,000,000 $ 0 N/A N/A N/A - N/A 

10, 21, 132 9/25/2009 GulfSouth Private Bank Destin FL Preferred Stock w/ Exercised Warrants $ 7,500,000 Par 

8, 10, 50 9/25/2009 Steele Street Bank Corporation Denver CO Subordinated Debentures w/ Exercised 

Warrants $ 11,019,000 Par 9/1/2011 50 $ 11,019,000 $ 0 Subordinated 

Debentures 8 9/1/2011 Subordinated Debentures 8

7 R $ 331,000

112 10/2/2009 Premier Financial Bancorp, Inc. Huntington WV Preferred Stock w/ Warrants $ 22,252,000 Par 7/27/2012 112 $ 19,849,222 $ 0 Warrants

2, 10, 49 10/2/2009 Providence Bank Rocky Mount NC Preferred Stock w/ Exercised Warrants $ 4,000,000 Par 9/15/2011 49 $ 4,000,000 $ 0 Preferred Stock 2 9/15/2011 Preferred Stock 2, 7 R $ 175,000

2, 10, 69 - 

1/27/2012 10/23/2009 Regents Bancshares, Inc. Vancouver WA Preferred Stock w/ Exercised Warrants $ 12,700,000 Par 1/27/2012 69 $ 12,700,000 $ 0 Preferred Stock 2 1/27/2012 Preferred Stock

2, 7, 

69 R $ 381,000

8, 50 10/23/2009 Cardinal Bancorp II, Inc. Washington MO Subordinated Debentures w/ Exercised 

Warrants $ 6,251,000 Par 9/8/2011 50 $ 6,251,000 $ 0 Subordinated 

Debentures 8 9/8/2011 Subordinated Debentures 8

7 R $ 313,000

2 10/30/2009 Randolph Bank & Trust Company Asheboro NC Preferred Stock w/ Exercised Warrants $ 6,229,000 Par 

2, 10a, 49 10/30/2009 WashingtonFirst Bankshares, Inc. Reston VA Preferred Stock $ 6,842,000 Par 8/4/2011 49 $ 6,842,000 $ 0 N/A N/A N/A - N/A 

2, 10a, 202 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 12/11/2012 4 $ 5,000,000 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 R $ 144,000

2, 10, 184 11/20/2009 Presidio Bank San Francisco CA Preferred Stock w/ Exercised Warrants $ 10,800,000 Par 12/11/2012 $ 9,058,369 $ 0 Preferred Stock 2 12/11/2012 Preferred Stock 2, 7 P $ 278,381

2, 50 11/20/2009 McLeod Bancshares, Inc. Shorewood MN Preferred Stock w/ Exercised Warrants $ 6,000,000 Par 8/18/2011 50 $ 6,000,000 $ 0 Preferred Stock 2 8/18/2011 Preferred Stock 2, 7 R $ 300,000

2, 10a 11/20/2009 Metropolitan Capital Bancorp, Inc. Chicago IL Preferred Stock $ 2,348,000 Par 

3, 10a, 72 - 

2/10/2012 12/4/2009 Broadway Financial Corporation Los Angeles CA Preferred Stock $ 6,000,000 Par 

2, 200 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 

First American Bank Corporation Elk Grove Village IL R $ 2,500,000 

Warrants $ 50,000,000 Par 12/11/2012 Debentures 8

2, 10, 50 $ 303,000 2, 7 9/25/2009 Heritage Bankshares, Inc. Norfolk VA Preferred Stock w/ Exercised Warrants $ 10,103,000 Par 8/11/2011 Preferred Stock R

8 7/24/2009
52

Name of Institution City State Investment Amount 

 Pricing 

Mechanism

 Capital Repayment 

Amount (Loss) 6 

Remaining Capital 

Amount

Remaining 

Investment 

Description

Final 

Disposition 

Date 15

 Final Disposition 

Proceeds 

Capital Repayment Details Final Disposition

 Treasury Investment Remaining

After Capital Repayment

Capital 

Repayment Date

Disposition 

Investment 

Footnote Purchase Date Description

Seller Purchase Details

2, 113, 129 12/11/2009 First Community Financial Partners, Inc. Joliet IL Preferred Stock w/ Exercised Warrants $ 22,000,000 Par 9/12/2012 129 $ 14,211,450 $ 0 Preferred Stock 2 7/27/2012 Preferred Stock

2, 7, 

113 P $ 720,374

4/4/2012 4 $ 3,000,000 $ 9,000,000 Preferred Stock w/ 

Warrants

1/30/2013 4 $ 4,000,000 $ 5,000,000 Preferred Stock w/ 

Warrants

8 12/11/2009 Nationwide Bankshares, Inc. West Point NE Subordinated Debentures w/ Exercised 

Warrants $ 2,000,000 Par 12/29/2010 4 $ 2,000,000 $ 0 Subordinated 

Debentures 8 12/29/2010 Subordinated Debentures 8

7 R $ 100,000

2, 10a, 49 12/11/2009 GrandSouth Bancorporation Greenville SC Preferred Stock $ 6,319,000 Par 9/8/2011 49 $ 6,319,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/11/2009 1st Enterprise Bank Los Angeles CA Preferred Stock $ 6,000,000 Par 9/1/2011 49 $ 6,000,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/11/2009 First Resource Bank Exton PA Preferred Stock $ 2,417,000 Par 9/15/2011 49 $ 2,417,000 $ 0 N/A N/A N/A - N/A

2, 10a, 114 12/11/2009 First Western Financial, Inc. Denver CO Preferred Stock $ 11,881,000 Par 7/27/2012 114 $ 6,138,000 $ 3,881,000 N/A N/A N/A - N/A

2, 10a 12/11/2009 Meridian Bank Devon PA Preferred Stock $ 6,335,000 Par 

2, 10a, 49 12/11/2009 The Victory Bancorp, Inc. Limerick PA Preferred Stock w/ Exercised Warrants $ 1,505,000 Par 9/22/2011 49 $ 1,505,000 $ 0 Preferred Stock 2 9/22/2011 Preferred Stock 2, 7 R $ 34,000

2, 10a, 188 12/11/2009 Bank of Southern California, N.A. (First Business 

Bank, N.A.) San Diego CA Preferred Stock $ 2,032,000 Par 12/20/2012 188 $ 1,832,697 $ 0 N/A N/A N/A N/A

2, 173 12/18/2009 Layton Park Financial Group Milwaukee WI Preferred Stock w/ Exercised Warrants $ 3,000,000 Par 11/29/2012 173 $ 2,345,930 $ 0 Preferred Stock 2 11/29/2012 Preferred Stock 2, 7 P $ 104,375

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, 203 12/18/2009 First Priority Financial Corp. Malvern PA Preferred Stock $ 4,596,000 Par 

2, 10a 12/18/2009 Northern State Bank Closter NJ Preferred Stock $ 1,230,000 Par 3/28/2012 4 $ 1,230,000 $ 0 N/A N/A N/A - N/A

2, 10a, 49 12/18/2009 Union Bank & Trust Company Oxford NC Preferred Stock $ 2,997,000 Par 9/22/2011 49 $ 2,997,000 $ 0 N/A N/A N/A N/A 

2, 10, 149 12/22/2009 First Freedom Bancshares, Inc. Lebanon TN Preferred Stock w/ Exercised Warrants $ 8,700,000 Par 11/9/2012 149 $ 7,945,493 $ 0 Preferred Stock 2 11/9/2012 Preferred Stock 2, 7 P $ 256,119

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, 175 12/22/2009 TriSummit Bank Kingsport TN Preferred Stock $ 4,237,000 Par 11/29/2012 175 $ 3,145,973 $ 0 N/A N/A N/A N/A

2, 10 12/29/2009 Atlantic Bancshares, Inc. Bluffton SC Preferred Stock w/ Exercised Warrants $ 2,000,000 Par 

2, 10 12/29/2009 Union Financial Corporation Albuquerque NM Preferred Stock w/ Exercised Warrants $ 2,179,000 Par 7/25/2012 4 $ 600,000 $ 1,579,000 Preferred Stock 2

2, 73 - 

3/9/2012 12/29/2009 Mainline Bancorp, Inc. Ebensburg PA Preferred Stock w/ Exercised Warrants $ 4,500,000 Par 3/9/2012 73 $ 4,500,000 $ 0 Preferred Stock 2 3/9/2012 Preferred Stock

2, 7, 

73

R $ 225,000

8, 10, 38 12/29/2009 FBHC Holding Company Boulder CO Subordinated Debentures w/ Exercised 

Warrants $ 3,035,000 Par 3/9/2011 38 $ 650,000 $ 0 N/A N/A N/A N/A 

2, 10a, 155 12/29/2009 Western Illinois Bancshares Inc. Monmouth IL Preferred Stock $ 4,567,000 Par 11/9/2012 155 $ 4,217,361 $ 0 N/A N/A N/A N/A

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, 164 12/29/2009 CBB Bancorp Cartersville GA Preferred Stock $ 1,753,000 Par 11/29/2012 164 $ 1,613,658 $ 0 N/A N/A N/A N/A

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 $ 194,339,631,492 $ 7,797,389,486

$ (3,143,586,588)

$ 7,460,609,240

Notes appear on the following page.

2, 10 12/11/2009 Wachusett Financial Services, Inc. Clinton MA Preferred Stock w/ Exercised Warrants $ 12,000,000 Par 

**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a). Beginning with the Transactions Report for the period ending April 20, 2012, disposition amounts for warrant sales by Treasury in a registered public offering ("A") are displayed 

after underwriting fees (net) as oppose to before underwriting fees and selling expenses (gross).

** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) the 

amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.

Total Warrant Proceeds****

Losses***

Total Repaid **

*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale, but excludes investment amounts for institutions that have pending receivership or bankruptcy proceedings.
53

1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP 

1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP 

warrants on 3/3/2010 appear on a following page of this report.

2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.

3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the 

conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.

12/ On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction. 

14/ As of the date of this report, this institution is in bankruptcy proceedings. 

22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the 

fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.

15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution in a negotiated sale pursuant to the terms of the related securities purchase agreement, "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued 

by the financial institution, and "P" represents the proceeds to Treasury, before placement expenses, from a sale by Treasury in a private auction principally involving qualified institutional buyers.

13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.

21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.

16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were 

17/ On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.

18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's 

19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.

20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by 

MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.

23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, 

Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 

26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 

2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on 

September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan 

was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by 

Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.

4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

10/ This institution participated in the expansion of CPP for small banks.

10a/ This institution received an additional investment through the expansion of CPP for small banks.

11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual 

Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically 

converted to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.

5/ Redemption pursuant to a qualified equity offering.

6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.

9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.

34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.

25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.

30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below. 

26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 

5/18/2010.

29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus 

$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury 

held 3,608,332 shares of Pacific Capital common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and 

$393,121 in respect of its warrant.

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.

35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 

1/28/2011.

36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of 

Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.

37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 

3/9/2011.

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.
54

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.

85/ On 6/19/2012, Treasury completed the sale of 52,000 shares of Ameris Bancorp preferred stock at $930.60 per share (less underwriting discounts) for net proceeds of $47,665,332.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

74/ On 4/3/2012, Treasury completed the sale of 124,000 shares of Banner Corporation preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $108,071,914.80 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

69/ On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been 

issued to Treasury by Regents.

44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal 

to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.

62/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending Fund, which occurred at a later date.

87/ On 6/19/2012, Treasury completed the sale of 30,000 shares of Farmers Capital Bank Corporation preferred stock at $869.17 per share (less underwriting discounts) for net proceeds of $21,594,228.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

68/ As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 

1/1/2012.

67/ On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to 

the terms of the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.

70/ On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

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.

80/ On 4/13/2012, Treasury completed the sale of all Gateway Bancshares, Inc. preferred stock held by Treasury to First Volunteer Corporation ("First Volunteer") for an aggregate purchase price of $6,300,000.00 plus accrued and unpaid dividends, pursuant to the terms of the agreement between Treasury and First Volunteer entered into on 

4/13/2012.

75/ On 4/3/2012, Treasury completed the sale of 65,000 shares of First Financial Holdings, Inc. preferred stock at $873.51 per share (less underwriting discounts) for net proceeds of $55,926,477.75 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

76/ On 4/3/2012, Treasury completed the sale of 62,158 shares of Wilshire Bancorp, Inc. preferred stock at $943.51 per share (less underwriting discounts) for net proceeds of $57,766,994.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

77/ On 4/3/2012, Treasury completed the sale of 2,000 shares of Seacoast Banking Corporation of Florida preferred stock at $20,510.00 per share (less underwriting discounts) for net proceeds of $40,404,700.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

78/ On 4/3/2012, Treasury completed the sale of 57,000 shares of MainSource Financial Group, Inc. preferred stock at $931.11 per share (less underwriting discounts) for net proceeds of $52,277,170.95 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

79/ On 4/3/2012, Treasury completed the sale of 52,625 shares of WSFS Financial Corporation preferred stock at $915.11 per share (less underwriting discounts) for net proceeds of $47,435,298.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.

86/ On 6/19/2012, Treasury completed the sale of 104,823 shares of Taylor Capital Group preferred stock at $893.50 per share (less underwriting discounts) for net proceeds of $92,254,460.24 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

81/ On 4/20/2012, Treasury completed the sale of all The Connecticut Bank and Trust Company preferred stock held by Treasury to Berkshire Bank for an aggregate purchase price of $6,289,966.33 consisting of (a) (i) $5,448,000.00 for the preferred stock plus (ii) all accrued and unpaid dividends and (b) $792,783.00 for the Warrant, pursuant to 

the terms of the agreement by and among Treasury, The Connecticut Bank and Trust Company, and Berkshire Bank entered into on 4/19/2012.

82/ On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

83/ On 4/24/2012, Treasury completed the sale of all Peoples Bancorporation, Inc. ("Peoples") preferred stock held by Treasury to SCBT Financial Corporation ("SCBT") for an aggregate purchase price of $13,293,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Peoples, and SCBT entered 

into on 4/24/2012.

84/ On 8/14/2012, Treasury completed the sale of all Millennium Bancorp, Inc. (Millennium) Preferred Stock held by Treasury to CIC Bancshares, Inc. (CIC) for an aggregate purchase price of (i) $2.904 million plus (ii) accrued and unpaid dividends on the Preferred Stock as of the closing date, pursuant to an agreement by and amount Treasury, CIC, 

and Millennium entered into on 4/20/2012.

66/ As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, 

and BBCN Bancorp, Inc. entered into on 11/30/2011.

59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.

45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the 

warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.

58/ On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.

47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.

46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011. On 4/4/2012, Treasury completed the sale of all of 

Treasury’s remaining 2,770,117 shares of Central Pacific Financial Corp. common stock at $13.01 per share (which represents the $13.15 public offering price less underwriting discounts) for net proceeds of $36,039,222.17, pursuant to an underwriting agreement executed on 03/29/2012.

65/ As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB 

entered into on 11/15/2011.

73/ On 3/9/2012, Treasury completed the sale of all Mainline Bancorp, Inc. preferred stock and exercised warrants held by Treasury to 9th Street Holdings, Inc., a subsidiary of S&T Bancorp, Inc., for an aggregate purchase price of $4,725,000 plus accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 9th Street 

Holdings, Inc., and S&T Bancorp, Inc. entered into on 3/8/2012.

61/ On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

60/ As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms 

of an agreement among Treasury, the acquired company and the acquiror entered into on 9/16/2011.

43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation, 

pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.

42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.

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.

41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank 

Group, Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the 

agreement.

71/ On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
55

120/ On 8/29/2012, Treasury completed the sale of 31,260 shares of BNC Bancorp preferred stock at $921.23 per share (less underwriting discounts) for net proceeds of $28,365,685.05 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

121/ On 8/29/2012, Treasury completed the sale of 11,000 shares of Mackinac Financial Corporation preferred stock at $958.09 per share (less underwriting discounts) for net proceeds of $10,380,905.15 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

122/ On 8/29/2012 Treasury completed the sale of 11,350 shares of First Community Corporation preferred stock at $982.83 per share (less underwriting discounts) for net proceeds of $10,987,793.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

123/ On 8/29/2012, Treasury completed the sale of 13,900 shares of First National Corporation preferred stock at $882.50 per share (less underwriting discounts) for net proceeds of $12,082,748.75 plus accrued dividends and 695 shares of First National Corporation preferred stock (held as a result of warrant exercise) at $912.50 per share (less 

underwriting discounts) for net proceeds of $624,674.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.

124/ On 9/18/2012, Treasury completed the sale of 36,000 shares of Yadkin Valley Financial Corporation Series T preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $31,843,080.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.

125/ On 9/18/2012, Treasury completed the sale of 13,312 shares of Yadkin Valley Financial Corporation Series T-ACB preferred stock at $880.00 per share (less underwriting discounts) for net proceeds of $11,643,740.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.

126/ On 9/20/2012, Treasury completed the sale of 17,000 shares of F&M Financial Corporation (NC) preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $15,988,500.00 and 850 shares of F&M Financial Corporation (NC) preferred stock received upon the exercise of warrants at $921.30 per share (less a 

placement agent fee) for net proceeds of $775,273.95, pursuant to a placement agency agreement executed on 9/12/2012.

127/ On 9/21/2012, Treasury completed the sale of 17,243 shares of F&M Financial Corporation (TN) preferred stock at $787.50 per share (less a placement agent fee) for net proceeds of $13,443,073.87 and 862 shares of F&M Financial Corporation (TN) preferred stock received upon the exercise of warrants at $870.00 per share (less a 

placement agent fee) for net proceeds of $742,440.60, pursuant to a placement agency agreement executed on 9/12/2012.

128/ On 9/20/2012, Treasury completed the sale of 70,000 shares of Alpine Banks of Colorado preferred stock at $814.29 per share (less a placement agent fee) for net proceeds of $56,430,297.00 and 3,500 shares of Alpine Banks of Colorado preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent 

fee) for net proceeds of $3,291,750.00, pursuant to a placement agency agreement executed on 9/12/2012.

132/ On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

133/ On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

134/ On 10/31/2012, Treasury completed the sale of 12,000 shares of Blue Ridge Bancshares, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $8,969,400.00 and 600 shares of Blue Ridge Bancshares, Inc. preferred stock received upon the exercise of warrants at $912.11 per share (less a placement 

agent fee) for net proceeds of $541,793.34, pursuant to a placement agency agreement executed on 10/22/2012.

99/ On 7/12/2012, Treasury completed the sale of all Naples Bancorp, Inc. ("Naples Bancorp") preferred stock held by Treasury to Naples Bancorp for an aggregate purchase price of $600,000.00, pursuant to the terms of the agreement between Treasury and Naples Bancorp entered into on 7/12/2012.

100/ On 7/17/2012, Treasury completed the sale of all Heartland Bancshares, Inc. ("Heartland") preferred stock held by Treasury to Horizon Bancorp for an aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Heartland, and Horizon Bancorp entered into on 

7/17/2012.

101/ As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an 

agreement among Treasury, the acquired company and the acquiror entered into on 7/19/2012.

102/ On 8/10/2012, Treasury completed the sale of 35,500 shares of Marquette National Corporation preferred stock at $720.25 per share (less a placement agent fee) for net proceeds of $25,313,186.25 and 1,775 shares of Marquette National Corporation preferred stock received upon the exercise of warrants at $825.25 per share (less a 

placement agent fee) for net proceeds of $1,450,170.56, pursuant to a placement agency agreement executed on 7/23/2012.

103/ On 8/13/2012, Treasury completed the sale of 43,000 shares of Exchange Bank preferred stock at $875.25 per share (less a placement agent fee) for net proceeds of $37,259,392.50 and 2,150 shares of Exchange Bank preferred stock received upon the exercise of warrants at $965.10 per share (less a placement agent fee) for net proceeds 

of $2,054,215.35, pursuant to a placement agency agreement executed on 7/23/2012.

129/ On 9/21/2012, Treasury completed the sale of 22,000 shares of First Community Financial Partners, Inc. preferred stock at $652.50 per share (less a placement agent fee) for net proceeds of $14,211,450.00, pursuant to a placement agency agreement executed on 9/12/2012.

130/ On 9/26/2012, Treasury completed the sale of all Central Federal Corporation preferred stock and the related warrant held by UST for an aggregate purchase price of $3,000,000, pursuant to the terms of the agreement entered into on 9/12/2012.

131/ On 10/1/2012, Treasury completed the sale of all Southern Community Financial Corp. preferred stock and the related warrant held by UST for an aggregate purchase price of $42,750,000, plus accrued and unpaid dividends, pursuant to the terms of the agreement entered into on 10/1/2012.

109/ On 8/9/2012, Treasury completed the sale of its Market Street Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $18,069,212.70 and its Market Street Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $824,730.64, 

pursuant to a placement agency agreement executed on 7/23/2012.

104/ On 8/9/2012, Treasury completed the sale of 36,282 shares of Fidelity Financial Corporation preferred stock at $891.26 per share (less a placement agent fee) for net proceeds of $32,013,328.37 and 1,814 shares of Fidelity Financial Corporation preferred stock received upon the exercise of warrants at $960.60 per share (less a placement 

agent fee) for net proceeds of $1,725,103.12, pursuant to a placement agency agreement executed on 7/23/2012.

105/ On 8/9/2012, Treasury completed the sale of 428 shares of First Western Financial, Inc. preferred stock received upon the exercise of warrants at $828.50 per share (less a placement agent fee) for net proceeds of $351,052.02, pursuant to a placement agency agreement executed on 7/23/2012.

106/ On 8/10/2012, Treasury completed the sale of 23,200 shares of Park Bancorporation, Inc. preferred stock at $730.25 per share (less a placement agent fee) for net proceeds of $16,772,382.00 and 1,160 shares of Park Bancorporation, Inc. preferred stock received upon the exercise of warrants at $780.25 per share (less a placement agent 

fee) for net proceeds of $896,039.10, pursuant to a placement agency agreement executed on 7/23/2012.

107/ On 8/10/2012, Treasury completed the sale of 35,539 shares of Trinity Capital Corporation preferred stock at $750.25 per share (less a placement agent fee) for net proceeds of $26,396,503.40 and 1,777 shares of Trinity Capital Corporation preferred stock received upon the exercise of warrants at $941.20 per share (less a placement agent 

fee) for net proceeds of $1,655,787.28, pursuant to a placement agency agreement executed on 7/23/2012.

108/ On 8/10/2012, Treasury completed the sale of 24,300 shares of CBS Banc-Corp. preferred stock at $905.20 per share (less a placement agent fee) for net proceeds of $21,776,396.40 and 1,215 shares of CBS Banc-Corp. preferred stock received upon the exercise of warrants at $921.00 per share (less a placement agent fee) for net 

proceeds of $1,107,824.85, pursuant to a placement agency agreement executed on 7/23/2012.

110/ On 8/9/2012, Treasury completed the sale of its Commonwealth Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $15,147,000.00 and its Commonwealth Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $898,722.00, 

pursuant to a placement agency agreement executed on 7/23/2012.

111/ On 8/9/2012, Treasury completed the sale of its Diamond Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $14,780,661.64 and its Diamond Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $779,576.49, pursuant to a 

placement agency agreement executed on 7/23/2012.

112/ On 8/10/2012, Treasury completed the sale of 22,252 shares of Premier Financial Bancorp, Inc. preferred stock at $901.03 per share (less a placement agent fee) for net proceeds of $19,849,222.36, pursuant to a placement agency agreement executed on 7/23/2012.

116/ On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to Pinnacle at a discount subject to the satisfaction of the conditions specified in the agreement.

113/ On 8/10/2012, Treasury completed the sale of 1,100 shares of First Community Financial Partners, Inc. preferred stock received upon the exercise of warrants at $661.50 per share (less a placement agent fee) for net proceeds of $720,373.50, pursuant to a placement agency agreement executed on 7/23/2012.

114/ On 8/9/2012, Treasury completed the sale of 8,000 shares of First Western Financial, Inc. preferred stock at $775.00 per share (less a placement agent fee) for net proceeds of $6,138,000.00, pursuant to a placement agency agreement executed on 7/23/2012.

115/ On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

117/ On 8/1/2012, Treasury completed the sale of all VIST Financial Corp. ("VIST") preferred stock and the related warrant held by Treasury to Tompkins Financial Corporation ("Tompkins") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($25,000,000) plus accrued and unpaid dividends thereon and (ii) $1,189,813 

for the warrant, pursuant to the terms of the agreement by and among Treasury, VIST, and Tompkins entered into on 8/1/2012.

118/ On 8/20/2012, Treasury completed the sale of 5,738,637 split adjusted shares of Sterling Financial Corporation common stock at $20.00 per share (less underwriting discounts) for net proceeds of $113,338,080.75, pursuant to an underwriting agreement executed on 8/14/2012.

119/ On 8/21/2012, Treasury completed the sale of 230,000 shares of M&T Bank Corporation Series A Preferred Shares and 151,500 shares of M&T Bank Corporation Series C Preferred Shares at $1,000.00 per share plus accrued dividends for proceeds of $381,500,000.00 plus accrued dividends, pursuant to an underwriting agreement executed 

97/ On 7/3/2012, Treasury completed the sale of 33,000 shares of Firstbank Corporation preferred stock at $941.01 per share (less underwriting discounts) for net proceeds of $30,587,530.05 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

98/ On 7/3/2012, Treasury completed the sale of 17,299 shares of Southern First Bancshares, Inc. preferred stock at $904.00 per share (less underwriting discounts) for net proceeds of $15,403,721.56 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

92/ On 7/3/2012, Treasury completed the sale of 48,200 shares of Fidelity Southern Corporation preferred stock at $900.60 per share (less underwriting discounts) for net proceeds of $42,757,786.20 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

93/ On 7/3/2012, Treasury completed the sale of 25,054 shares of Peoples Bancorp of North Carolina, Inc. preferred stock at $933.36 per share (less underwriting discounts) for net proceeds of $23,033,635.42 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

94/ On 7/3/2012, Treasury completed the sale of 23,184 shares of First Citizens Banc Corp preferred stock at $906.00 per share (less underwriting discounts) for net proceeds of $20,689,633.44 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

95/ On 7/3/2012, Treasury completed the sale of 45,000 shares of MetroCorp Bancshares, Inc. preferred stock at $981.17 per share (less underwriting discounts) for net proceeds of $43,490,360.25 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

96/ On 7/3/2012, Treasury completed the sale of 32,538 shares of Pulaski Financial Corp preferred stock at $888.00 per share (less underwriting discounts) for net proceeds of $28,460,337.84 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.

88/ On 6/19/2012, Treasury completed the sale of 25,223 shares of LNB Bancorp Inc. preferred stock at $739.89 per share (less underwriting discounts) for net proceeds of $21,863,749.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

89/ On 6/19/2012, Treasury completed the sale of 37,000 shares of First Defiance Financial Corp. preferred stock at $962.66 per share (less underwriting discounts) for net proceeds of $35,084,143.70 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

90/ On 6/19/2012, Treasury completed the sale of 10,958 shares of First Capital Bancorp, Inc. preferred stock at $920.11 per share (less underwriting discounts) for net proceeds of $9,931,326.90 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

91/ On 6/19/2012, Treasury completed the sale of 20,600 shares of United Bancorp, Inc. preferred stock at $825.50 per share (less underwriting discounts) for net proceeds of $16,750,220.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
56

137/ On 10/31/2012, Treasury completed the sale of 4,967 shares of Germantown Capital Corporation, Inc. preferred stock at $910.13 per share (less a placement agent fee) for net proceeds of $4,495,615.71 and 248 shares of Germantown Capital Corporation, Inc. preferred stock received upon the exercise of warrants at $966.11 per share (less 

a placement agent fee) for net proceeds of $214,595.28, pursuant to a placement agency agreement executed on 10/22/2012.

138/ On 10/31/2012, Treasury completed the sale of 2,250 shares of CenterBank preferred stock at $825.00 per share (less a placement agent fee) for net proceeds of $1,831,250.00 and 113 shares of CenterBank preferred stock received upon the exercise of warrants at $965.11 per share (less a placement agent fee) for net proceeds of 

$84,057.43, pursuant to a placement agency agreement executed on 10/22/2012.

139/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Oak Ridge Financial Services, Inc. preferred stock at $921.50 per share (less a placement agent fee) for net proceeds of $7,024,594.50, pursuant to a placement agency agreement executed on 10/22/2012.

167/ On 11/30/2012, Treasury completed the sale of 3,976 shares of Community Business Bank preferred stock at $935.00 per share (less a placement agent fee) for net proceeds of $3,692,560.00 and 199 shares of Community Business Bank preferred stock received upon the exercise of warrants at $965.00 per share (less a placement agent 

fee) for net proceeds of $167,035.00, pursuant to a placement agency agreement executed on 11/19/2012.

168/ On 11/30/2012, Treasury completed the sale of 638 shares of Corning Savings and Loan Association preferred stock at $860.00 per share (less a placement agent fee) for net proceeds of $523,680.00 and 32 shares of Corning Savings and Loan Association preferred stock received upon the exercise of warrants at $905.00 per share (less a 

placement agent fee) for net proceeds of $3,960.00, pursuant to a placement agency agreement executed on 11/19/2012.

169/ On 11/29/2012, Treasury completed the sale of 7,525 shares of Country Bank Shares, Inc. preferred stock at $917.90 per share (less a placement agent fee) for net proceeds of $6,838,125.53 and 376 shares of Country Bank Shares, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement agent 

fee) for net proceeds of $372,240.00, pursuant to a placement agency agreement executed on 11/19/2012.

170/ On 11/30/2012, Treasury completed the sale of 7,289 shares of FFW Corporation preferred stock at $902.90 per share (less a placement agent fee) for net proceeds of $6,515,425.72 and 364 shares of FFW Corporation preferred stock received upon the exercise of warrants at $995.00 per share (less a placement agent fee) for net proceeds 

of $358,558.20, pursuant to a placement agency agreement executed on 11/19/2012.

147/ On 11/9/2012, Treasury completed the sale of 1,000 shares of BankGreenville Financial Corp. preferred stock at $900.00 per share (less a placement agent fee) for net proceeds of $891,000.00 and 50 shares of BankGreenville Financial Corp. preferred stock received upon the exercise of warrants at $937.61 per share (less a placement agent 

fee) for net proceeds of $46,411.70, pursuant to a placement agency agreement executed on 11/1/2012.

146/ On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware. 

143/ On 10/31/2012, Treasury completed the sale of 7,500 shares of The Little Bank, Incorporated preferred stock at $981.20 per share (less a placement agent fee) for net proceeds of $7,285,410.00 and 375 shares of The Little Bank, Incorporated preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement 

agent fee) for net proceeds of $371,250.00, pursuant to a placement agency agreement executed on 10/22/2012.

144/ On 10/31/2012, Treasury completed the sale of 10,000 shares of HomeTown Bankshares Corporation preferred stock at $918.50 per share (less a placement agent fee) for net proceeds of $9,093,150.00 and 374 shares of HomeTown Bankshares Corporation preferred stock received upon the exercise of warrants at $852.00 per share (less a 

placement agent fee) for net proceeds of $315,461.52, pursuant to a placement agency agreement executed on 10/22/2012.

140/ On 10/31/2012, Treasury completed the sale of 3,285 shares of Congaree Bancshares Inc. preferred stock at $825.26 per share (less a placement agent fee) for net proceeds of $2,685,979.10 and 164 shares of Congaree Bancshares Inc. preferred stock received upon the exercise of warrants at $801.00 per share (less a placement agent 

fee) for net proceeds of $106,364.00, pursuant to a placement agency agreement executed on 10/22/2012.

141/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Metro City Bank preferred stock at $900.10 per share (less a placement agent fee) for net proceeds of $6,861,462.30 and 385 shares of Metro City Bank preferred stock received upon the exercise of warrants at $970.61 per share (less a placement agent fee) for net proceeds of 

$369,948.00, pursuant to a placement agency agreement executed on 10/22/2012.

142/ On 10/31/2012, Treasury completed the sale of 3,900 shares of Peoples Bancshares of TN, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $2,919,500.00 and 195 shares of Peoples Bancshares of TN, Inc. preferred stock received upon the exercise of warrants at $755.00 per share (less a placement 

agent fee) for net proceeds of $122,225.00, pursuant to a placement agency agreement executed on 10/22/2012.

145/ On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, 

pursuant to a placement agency agreement executed on 10/23/2012. 

148/ On 11/9/2012, Treasury completed the sale of 4,000 shares of Capital Pacific Bancorp preferred stock at $938.36 per share (less a placement agent fee) for net proceeds of $3,715,905.60 and 200 shares of Capital Pacific Bancorp preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net 

proceeds of $192,101.58, pursuant to a placement agency agreement executed on 11/1/2012.

149/ On 11/9/2012, Treasury completed the sale of 8,700 shares of First Freedom Bancshares, Inc. preferred stock at $922.50 per share (less a placement agent fee) for net proceeds of $7,945,492.50 and 261 shares of First Freedom Bancshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a placement 

agent fee) for net proceeds of $256,118.75, pursuant to a placement agency agreement executed on 11/1/2012.

150/ On 11/13/2012, Treasury completed the sale of 5,097 shares of Franklin Bancorp, Inc. preferred stock at $632.50 per share (less a placement agent fee) for net proceeds of $3,191,613.98 and 255 shares of Franklin Bancorp, Inc. preferred stock received upon the exercise of warrants at $772.50 per share (less a placement agent fee) for net 

proceeds of $195,017.63, pursuant to a placement agency agreement executed on 11/1/2012.

151/ On 11/9/2012, Treasury completed the sale of 1,500 shares of Regional Bankshares Inc. preferred stock at $925.00 per share (less a placement agent fee) for net proceeds of $1,373,625.00 and 75 shares of Regional Bankshares Inc. preferred stock received upon the exercise of warrants at $1,000 per share (less a placement agent fee) for 

net proceeds of $74,250.00, pursuant to a placement agency agreement executed on 11/1/2012.

152/ On 11/13/2012, Treasury completed the sale of 3,070 shares of Sound Banking Co. preferred stock at $922.61 per share (less a placement agent fee) for net proceeds of $2,804,088.57 and 154 shares of Sound Banking Co. preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net 

proceeds of $147,918.22, pursuant to a placement agency agreement executed on 11/1/2012.

153/ On 11/9/2012, Treasury completed the sale of 5,677 shares of Three Shores Bancorporation, Inc. preferred stock at $888.36 per share (less a placement agent fee) for net proceeds of $4,992,787.52 and 284 shares of Three Shores Bancorporation, Inc. preferred stock received upon the exercise of warrants at $1,004.00 per share (less a 

placement agent fee) for net proceeds of $282,284.64, pursuant to a placement agency agreement executed on 11/1/2012.

135/ On 10/31/2012, Treasury completed the sale of 7,570 shares of First Gothenburg Bancshares, Inc. preferred stock at $910.31 per share (less a placement agent fee) for net proceeds of $6,822,136.23 and 379 shares of First Gothenburg Bancshares, Inc. preferred stock received upon the exercise of warrants at $965.11 per share (less a 

placement agent fee) for net proceeds of $362,118.92, pursuant to a placement agency agreement executed on 10/22/2012.

136/ On 10/31/2012, Treasury completed the sale of 10,000 shares of Blackhawk Bancorp Inc. preferred stock at $910.00 per share (less a placement agent fee) for net proceeds of $9,009,000.00 and 500 shares of Blackhawk Bancorp Inc. preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent fee) for 

net proceeds of $470,250.00, pursuant to a placement agency agreement executed on 10/22/2012.

154/ On 11/13/2012, Treasury completed the sale of 16,641 shares of Timberland Bancorp, Inc. preferred stock at $862.50 per share (less a placement agent fee) for net proceeds of $14,209,333.88, pursuant to a placement agency agreement executed on 11/1/2012.

155/ On 11/9/2012, Treasury completed the sale of 6,855 shares of Western Illinois Bancshares, Inc. Series A preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $6,398,943.71; 4,567 shares of Western Illinois Bancshares, Inc. Series C preferred stock at $932.77 per share (less a placement agent fee) for net 

proceeds of $4,217,360.98; and 343 shares of Western Illinois Bancshares, Inc. preferred stock received upon the exercise of warrants at $987.77 per share (less a placement agent fee) for net proceeds of $335,417.06, pursuant to a placement agency agreement executed on 11/1/2012.

156/ On 11/13/2012, Treasury completed the sale of its F&C Bancorp. Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,840,902.62 and its F&C Bancorp. Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $148,500.00, pursuant to a placement 

agency agreement executed on 11/1/2012.

157/ On 11/13/2012, Treasury completed the sale of its Farmers Enterprises, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $11,439,252.00 and its Farmers Enterprises, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $590,323.14, pursuant to a 

placement agency agreement executed on 11/1/2012.

159/ On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

160/ On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a discount subject to the satisfaction of the conditions specified in the agreement.

158/ On 11/5/2012, Treasury entered into (i) an exchange agreement with Standard Bancshares, Inc. pursuant to which Treasury agreed to exchange its preferred stock for common stock and (ii) securities purchase agreements with W Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital 

Partners, L.P., and Athena Select Private Investment Fund LLC, pursuant to which Treasury agreed to sell such common stock to such parties.

161/ On 11/29/2012, Treasury completed the sale of 4,781 shares of Alaska Pacific Bancshares, Inc. preferred stock at $892.61 per share (less a placement agent fee) for net proceeds of $4,217,568.41, pursuant to a placement agency agreement executed on 11/19/2012.

162/ On 11/30/2012, Treasury completed the sale of 3,000 shares of Bank of Commerce preferred stock at $834.00 per share (less a placement agent fee) for net proceeds of $2,477,000.00 and 150 shares of Bank of Commerce preferred stock received upon the exercise of warrants at $834.00 per share (less a placement agent fee) for net 

proceeds of $100,100.00, pursuant to a placement agency agreement executed on 11/19/2012.

163/ On 11/30/2012, Treasury completed the sale of 4,000 shares of Carolina Trust Bank preferred stock at $853.00 per share (less a placement agent fee) for net proceeds of $3,362,000.00, pursuant to a placement agency agreement executed on 11/19/2012.

164/ On 11/29/2012, Treasury completed the sale of 2,644 shares of CBB Bancorp Series A preferred stock at $934.10 per share (less a placement agent fee) for net proceeds of $2,453,093; 1,753 shares of CBB Bancorp Series C preferred stock at $930.02 per share (less a placement agent fee) for net proceeds of $1,613,658.39; and 132 shares 

of CBB Bancorp Series B preferred stock received upon the exercise of warrants at $1,004.00 per share (less a placement agent fee) for net proceeds of $115,861.33, pursuant to a placement agency agreement executed on 11/19/2012.

165/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Clover Community Bankshares, Inc. preferred stock at $872.90 per share (less a placement agent fee) for net proceeds of $2,593,700.00 and 150 shares of Clover Community Bankshares, Inc. preferred stock received upon the exercise of warrants at $926.81 per share (less a 

placement agent fee) for net proceeds of $114,021.50, pursuant to a placement agency agreement executed on 11/19/2012.

166/ On 11/30/2012, Treasury completed the sale of 105 shares of Community Bancshares of Mississippi, Inc. preferred stock at $9,550.00 per share (less a placement agent fee) for net proceeds of $977,750.00 and 5 shares of Community Bancshares of Mississippi, Inc. preferred stock received upon the exercise of warrants at $10,000.00 per 

share (less a placement agent fee) for net proceeds of $25,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
57

181/ On 12/11/2012, Treasury completed the sale of 15,600 shares of Community West Bancshares, Inc. preferred stock at $724.00 per share (less a placement agent fee) for net proceeds of $11,181,456.00, pursuant to a placement agency agreement executed on 12/3/2012.

182/ On 12/11/2012, Treasury completed the sale of 1,177 shares of First Advantage Bancshares, Inc. preferred stock at $898.21 per share (less a placement agent fee) for net proceeds of $1,046,621.24 and 59 shares of First Advantage Bancshares, Inc. preferred stock received upon the exercise of warrants at $920.31 per share (less a 

placement agent fee) for net proceeds of $53,755.31, pursuant to a placement agency agreement executed on 12/3/2012.

183/ On 12/11/2012, Treasury completed the sale of its Manhattan Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,560,540.68 and its Manhattan Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $131,021.07, pursuant to 

a placement agency agreement executed on 12/3/2012.

195/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell its Alliance Financial Services, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $8,912,494.80 and its Alliance Financial Services, Inc. subordinated debentures received upon the exercise of warrants (less 

a placement agent fee) for net proceeds of $504,900.00.

196/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell its Biscayne Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $6,170,630.40 and its Biscayne Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a 

placement agent fee) for net proceeds of $204,506.72.

197/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 24,990 shares of Citizens Bancshares Co. preferred stock at $512.50 per share (less a placement agent fee) for net proceeds of $12,679,301.25 and 1,250 shares of Citizens Bancshares Co. preferred stock received upon the exercise 

of warrants at $521.25 per share (less a placement agent fee) for net proceeds of $645,046.87.

184/ On 12/11/2012, Treasury completed the sale of 10,800 shares of Presidio Bank preferred stock at $847.21 per share (less a placement agent fee) for net proceeds of $9,058,369.32 and 325 shares of Presidio Bank preferred stock received upon the exercise of warrants at $865.21 per share (less a placement agent fee) for net proceeds of 

$278,381.32, pursuant to a placement agency agreement executed on 12/3/2012.

185/ On 12/11/2012, Treasury completed the sale of 2,152 shares of Security Bancshares of Pulaski County, Inc. preferred stock at $692.61 per share (less a placement agent fee) for net proceeds of $1,475,591.75 and 108 shares of Security Bancshares of Pulaski County, Inc. preferred stock received upon the exercise of warrants at $872.10 per 

share (less a placement agent fee) for net proceeds of $93,244.93, pursuant to a placement agency agreement executed on 12/3/2012.

186/ On 12/11/12, Treasury entered into a securities purchase agreement with PremierWest Bancorp (PremierWest) and Starbuck Bancshares, Inc. (Starbuck) pursuant to which Treasury agreed to sell its CPP preferred and warrant in PremierWest to Starbuck subject to certain conditions.

193/ On 12/20/2012, Treasury completed the sale of its Century Financial Services Corporation subordinated debentures (less a placement agent fee) for net proceeds of $9,751,500.00 and its Century Financial Services Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of 

$496,588.95, pursuant to a placement agency agreement executed on 12/11/2012.

194/ In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) 

exchanged the Community Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.

187/ On 12/20/2012, Treasury completed the sale of 1,004 shares of Bank Financial Services, Inc. preferred stock at $929.22 per share (less a placement agent fee) for net proceeds of $907,936.88 and 50 shares of Bank Financial Services, Inc. preferred stock received upon the exercise of warrants at $970.00 per share (less a placement agent 

fee) for net proceeds of $23,500.00, pursuant to a placement agency agreement executed on 12/11/2012.

188/ On 12/20/2012, Treasury completed the sale of 2,211 shares of Bank of Southern California, N.A. Series A preferred stock at $920.00 per share (less a placement agent fee) for net proceeds of $2,017,453.33; 2,032 shares of Bank of Southern California, N.A. Series C preferred stock at $910.12 per share (less a placement agent fee) for net 

proceeds of $1,832,697.18; and 111 shares of Bank of Southern California, N.A. preferred stock received upon the exercise of warrants at $965.12 per share (less a placement agent fee) for net proceeds of $90,461.65, pursuant to a placement agency agreement executed on 12/11/2012.

189/ On 12/20/2012, Treasury completed the sale of 2,600 shares of Community Investors Bancorp, Inc. preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $2,445,000.00 and 130 shares of Community Investors Bancorp, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a 

placement agent fee) for net proceeds of $105,000.00, pursuant to a placement agency agreement executed on 12/11/2012.

190/ On 12/20/2012, Treasury completed the sale of 3,422 shares of First Alliance Bancshares, Inc. preferred stock at $700.10 per share (less a placement agent fee) for net proceeds of $2,370,742.20 and 171 shares of First Alliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $700.01 per share (less a placement 

agent fee) for net proceeds of $94,701.71, pursuant to a placement agency agreement executed on 12/11/2012.

191/ On 12/20/2012, Treasury completed the sale of 3,223 shares of First Independence Corporation preferred stock at $725.00 per share (less a placement agent fee) for net proceeds of $2,286,675.00, pursuant to a placement agency agreement executed on 12/11/2012.

192/ On 12/20/2012, Treasury completed the sale of 1,552 shares of Hyperion Bank preferred stock at $650.00 per share (less a placement agent fee) for net proceeds of $983,800.00 and 78 shares of Hyperion Bank preferred stock received upon the exercise of warrants at $650.00 per share (less a placement agent fee) for net proceeds of 

$25,700.00, pursuant to a placement agency agreement executed on 12/11/2012.

198/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. preferred stock at $815.00 per share (less a placement agent fee) for net proceeds of $8,028,157.50.

199/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 28,000 shares of Colony Bankcorp, Inc. preferred stock at $782.11 per share (less a placement agent fee) for net proceeds of $21,680,089.20.

200/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,000 shares of Delmar Bancorp preferred stock at $612.11 per share (less a placement agent fee) for net proceeds of $5,453,900.10 and 450 shares of Delmar Bancorp preferred stock received upon the exercise of warrants at 

$700.21 per share (less a placement agent fee) for net proceeds of $311,943.55.

201/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 146,053 shares of Dickinson Financial Corporation II preferred stock at $552.61 per share (less a placement agent fee) for net proceeds of $79,903,244.85 and 7,303 shares of Dickinson Financial Corporation II preferred stock received 

upon the exercise of warrants at $681.25 per share (less a placement agent fee) for net proceeds of $4,925,417.06.

202/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 4,609 shares of F & M Bancshares, Inc. Series A preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of $4,300,542.67; 3,535 shares of F & M Bancshares, Inc. Series C preferred stock at $942.50 per 

share (less a placement agent fee) for net proceeds of $3,298,420.12; and 230 shares of F & M Bancshares, Inc. Series B preferred stock received upon the exercise of warrants at $975.00 per share (less a placement agent fee) for net proceeds of $222,007.50.

203/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 4,579 shares of First Priority Financial Corp. Series A preferred stock at $882.90 per share (less a placement agent fee) for net proceeds of $4,002,371.11; 4,596 shares of First Priority Financial Corp. Series C preferred stock at 

$881.25 per share (less a placement agent fee) for net proceeds of $4,009,722.75; and 229 shares of First Priority Financial Corp. Series B preferred stock received upon the exercise of warrants at $991.21 per share (less a placement agent fee) for net proceeds of $224,717.22.203/ On 1/29/2013, Treasury executed a placement agency 

204/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 26,000 shares of HMN Financial, Inc. preferred stock at $721.50 per share (less a placement agent fee) for net proceeds of $18,571,410.00.

205/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 5,625 shares of Waukesha Bankshares, Inc. preferred stock at $926.90 per share (less a placement agent fee) for net proceeds of $5,161,674.37 and 169 shares of Waukesha Bankshares, Inc. preferred stock received upon the 

exercise of warrants at $991.21 per share (less a placement agent fee) for net proceeds of $165,839.35.

180/ On 12/11/2012, Treasury completed the sale of 22,000 shares of Central Community Corporation preferred stock at $926.20 per share (less a placement agent fee) for net proceeds of $20,172,636.00 and 1,100 shares of Central Community Corporation preferred stock received upon the exercise of warrants at $972.20 per share (less a 

placement agent fee) for net proceeds of $1,058,725.80, pursuant to a placement agency agreement executed on 12/3/2012.

172/ On 11/30/2012, Treasury completed the sale of 4,000 shares of KS Bancorp, Inc. preferred stock at $827.00 per share (less a placement agent fee) for net proceeds of $3,283,000 and 200 shares of KS Bancorp, Inc. preferred stock received upon the exercise of warrants at $827.00 per share (less a placement agent fee) for net proceeds of 

$140,400.00, pursuant to a placement agency agreement executed on 11/19/2012.

171/ On 11/30/2012, Treasury completed the sale of 1,900 shares of Hometown Bancshares, Inc. preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $1,766,510.00 and 95 shares of Hometown Bancshares, Inc. preferred stock received upon the exercise of warrants at $1,001.00 per share (less a placement agent 

fee) for net proceeds of $70,095.00, pursuant to a placement agency agreement executed on 11/19/2012.

179/ On 12/11/2012, Treasury completed the sale of 20,749 shares of The Baraboo Bancorporation, Inc. preferred stock at $652.30 per share (less a placement agent fee) for net proceeds of $13,399,226.97 and 1,037 shares of The Baraboo Bancorporation, Inc. preferred stock received upon the exercise of warrants at $836.21 per share (less a 

placement agent fee) for net proceeds of $858,478.27, pursuant to a placement agency agreement executed on 12/3/2012.

174/ On 11/29/2012, Treasury completed the sale of 16,288 shares of Parke Bancorp, Inc. preferred stock at $719.11 per share (less a placement agent fee) for net proceeds of $11,595,735.04, pursuant to a placement agency agreement executed on 11/19/2012.

175/ On 11/29/2012, Treasury completed the sale of 2,765 shares of TriSummit Bank Series B preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $2,053,012.50; 4,237 shares of TriSummit Bank Series D preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $3,145,972.50; and 138 

shares of TriSummit Bank Series C preferred stock received upon the exercise of warrants at $912.50 per share (less a placement agent fee) for net proceeds of $124,665.75, pursuant to a placement agency agreement executed on 11/19/2012.

173/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Layton Park Financial Group, Inc. preferred stock at $790.31 per share (less a placement agent fee) for net proceeds of $2,345,930.00 and 150 shares of Layton Park Financial Group, Inc. preferred stock received upon the exercise of warrants at $862.50 per share (less a 

placement agent fee) for net proceeds of $104,375.00, pursuant to a placement agency agreement executed on 11/19/2012.

178/ On 11/30/12, Treasury entered into an agreement with First Sound Bank (“First Sound”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to First Sound at a discount subject to the satisfaction of the conditions specified in the agreement.

177/ On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon. 

176/ In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a 

like WesBanco warrant, pursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.
58

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.
59

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Amount

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ - $ 14,000,000 Par 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 10,189,000 $ 22,115,000 Par 11/28/2012 6 $22,115,000 $0

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 22,800,000 $ 33,800,000 Par 

1, 4 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 $ - $ 6,784,000 Par 

1 8/13/2010 Preferred Stock $ 7,462,000 $ - Par 

2a 9/17/2010 Preferred Stock $ - $ 4,379,000 $ 11,841,000 Par 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ - $ 3,000,000 Par 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ - $ 17,000,000 Par 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ - $ 2,795,000 Par 

1 8/20/2010 Preferred Stock $ 5,500,000 $ - Par 

2a 9/24/2010 Preferred Stock $ - $ 4,836,000 $ 10,336,000 Par 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ - $ 11,735,000 Par 

1, 3 8/27/2010 Carver Bancorp, Inc New York NY Common Stock $ 18,980,000 $ - $ 18,980,000 Par 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ - $ 3,154,000 Par 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ - $ 10,300,000 Par 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ - $ 6,000,000 Par 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 $ 3,881,000 $ 8,086,000 Par 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ - $ 5,781,000 Par 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ - $ - $ 5,457,000 Par 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ - $ 4,520,000 Par 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ - $ 300,000 Par 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 7,875,000 $ - $ 7,875,000 Par 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 5,689,000 $ 11,334,000 Par 

1 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 

6 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ - $ - $ 2,500,000 Par 9/26/2012 6 $2,500,000 $0

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 283,000 Par 

6 9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ - $ - $ 1,657,000 Par 10/17/2012 6 $1,657,000 $0

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ - $ - $ 10,000 Par 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ - $ - $ 145,000 Par 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 424,000 Par 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ - $ - $ 2,234,000 Par 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ - $ - $ 435,000 Par 

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 

6 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ - $ 1,096,000 Par 10/3/2012 6 $1,096,000 $0

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ - $ - $ 1,600,000 Par 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ - $ - $ 2,828,000 Par 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ - $ - $ 350,000 Par 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ - $ - $ 8,044,000 Par 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 18,000,000 $ 4,000,000 $ 22,000,000 Par 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 $ 2,313,000 $ 4,060,000 Par 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 5,000,000 $ 12,123,000 $ 17,123,000 Par 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 50,400,000 $ 30,514,000 $ 80,914,000 Par 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 30,000,000 $ - $ 30,000,000 Par 

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 12/28/2012 6 $9,734,000 $0

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 54,600,000 $ - $ 54,600,000 Par 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 6,245,000 $ - $ 6,245,000 Par 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ - $ 17,910,000 Par 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ - $ 5,250,000 Par 

Mission Valley Bancorp Sun Valley CA

Citizens Bancshares Corporation Atlanta GA

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details Disposition Details

Date
60

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Footnote Purchase Date Amount

Seller Purchase Details Disposition Details

Date

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ - $ - $ 7,922,000 Par 

9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ - $ - $ 3,297,000 Par 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ - $ - $ 1,709,000 Par 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 14,000 Par 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ - $ - $ 502,000 Par 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ - $ - $ 2,646,000 Par 

9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ - $ - $ 6,300,000 Par 

9/29/2010 UNITEHERE Federal Credit Union

(Workers United Federal Credit Union) New York NY Subordinated Debentures $ - $ - $ 57,000 Par 

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ - $ - $ 325,000 Par 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ - $ 7,000 Par 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ - $ - $ 450,000 Par 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ - $ 3,260,000 Par 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ - $ 1,091,000 Par 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 295,000 Par 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ - $ - $ 1,100,000 Par 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ - $ - $ 1,522,000 Par 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ - $ - $ 30,000 Par 

5 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ - $ - $ 350,000 Par 4/10/2012 5 $350,000 $0

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ - $ 9,278,000 Par 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ - $ - $ 1,229,000 Par 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ - $ - $ 31,000 Par 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ - $ - $ 698,000 Par 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ - $ - $ 300,000 Par 

Total Purchase Amount $ 570,073,000 Total Capital Repayment Amount $37,452,000

$ 532,621,000

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.

6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement

2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.

2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.

5/ Repayment pursuant to Section 5.2 of the CDCI Securities Purchase Agreement

4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the 

exchange.

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
61

12/29/2008 Purchase GMAC Preferred Stock w/ Exercised 

Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000 Par 22, 26 12/30/2010 Partial conversion of preferred 

stock for common stock $ 5,500,000,000 N/A 26

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,670,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,670,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2 5/29/2009 Exchange for equity interest in GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company

10, 

11, 24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

12/21/2012 Partial Disposition 33 $ 5,500,000,000 Common Stock 21.97%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Debt Obligation $ 935,805,085 

4/5/2011 Partial Repayment $ 45,000,000 Debt Obligation $ 890,805,085 

5/3/2011 Partial Repayment $ 15,887,795 Debt Obligation $ 874,917,290 

12/16/2011 Partial Repayment $ 144,444 Debt Obligation $ 874,772,846 

12/23/2011 Partial Repayment $ 18,890,294 Debt Obligation $ 855,882,552 

1/11/2012 Partial Repayment $ 6,713,489 Debt Obligation $ 849,169,063 

10/23/2012 Partial Repayment $ 435,097 Debt Obligation $ 848,733,966 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A -

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A -

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust

23 Right to recover 

proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - - 17 9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover 

proceeds N/A 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional 

Note, Zero Coupon Note, 

Equity

$ 6,642,000,000 N/A

18

6/10/2009 Issuance of equity in New 

Chrysler $ - N/A Chrysler Group 

LLC

19, 31 Debt obligation w/ 

additional note & 

zero coupon note

$ 7,142,000,000 5/24/2011 Repayment - Principal $ 5,076,460,000

5/24/2011 Termination of undrawn facility 31 $ 2,065,540,000

5/24/2011 Repayment* - Additional Note $ 288,000,000

5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000

Chrysler Group 

LLC 30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 40,394,714,530

$ 403,000,000

Total Treasury Investment Amount

5 7/10/2009 60.8% Exchange for preferred and 

common stock in New GM $ 4,000,000,000 N/A

7

General Motors 

Company

10, 

11, 25 Common Stock

Additional Proceeds *

 $ 35,396,524,442 

Footnotes appear on following page.

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 

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 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%

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

$ 13,400,000,000 Par

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 5/27/2009 Purchase $ 360,624,198 N/A 7 General Motors Corporation

Debt Obligation w/ Additional 

Note $ 360,624,198 Par

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par
62

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

33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.

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.

31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

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. 

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735 Total Proceeds from Additional Notes

7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC 

2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009. 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

GM Supplier Receivables LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3

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

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).

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.)

As used in this table and its footnotes:

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.

$ (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
63

Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining Capital 

Amount

Remaining Capital 

Description Final Disposition Date 3

Final Disposition 

Description

Final Disposition 

Proceeds

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred Securities 

w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2011 A Warrants $ 190,386,428 

1/16/2009

Bank of America 

Corporation Charlotte NC Purchase

Preferred Stock w/ 

Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 A Warrants $ 1,236,804,513 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,427,190,941 

$ 0

Date Name of Institution City State

2 6/9/2009

Exchange preferred stock for 

trust preferred securities

Trust Preferred Securities 

w/ Warrants 3 12/23/2009

Partial cancellation for early 

termination of guarantee $ (1,800,000,000)

Trust Preferred 

Securities w/ Warrants $ 2,234,000,000 

5 9/30/2010 Disposition $ 2,246,000,000 Warrants $ 0

1/25/2011 Warrant Auction $ 67,197,045 None $ 0

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities 

received from the FDIC Trust Preferred Securities

TOTAL $ 0 Total Proceeds $ 2,313,197,045 

 $ 4,034,000,000 

Trust Preferred Securities 

w/ Warrants

New York NY Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants

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.

TOTAL CAPITAL REPAYMENT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, Series 

I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.

Footnote

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Description

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Seller

Type Description

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities. 

3

 $ 800,000,000.00 

5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.

3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.

Guarantee Limit Date Type Amount

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.
64

Seller 

Name of Institution City State 

Transaction 

Type Investment Amount Date Transaction Type Amount

Pricing 

Mechanism

4/17/2009 Exchange

Preferred Stock w/ Warrants 

(Series E) 1 $ 40,000,000,000 Par 

2, 3 4/17/2009 AIG New York NY Purchase $ 29,835,000,000 Par 2

TOTAL $ 69,835,000,000 Date Investment Transaction Type Pricing 

Mechanism

Warrants (Series E)

Warrants (Series F)

Total

Note Date Investment Description Date Transaction Type Pricing Mechanism

$ 2,000,000,000 5/27/2011 Cancellation N/A $ 0 10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

8/17/2011 Payment Par

8/18/2011 Payment Par

9/2/2011 Payment Par

11/1/2011 Payment Par

3/8/2012 Payment Par

3/15/2012 Payment Par

3/22/2012 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2012 Payment Par

1,455,037,962

77%

1,248,141,410

70%

1,084,206,984

63%

1,059,616,821

61%

895,682,395

55%

871,092,231

53%

317,246,078

22%

234,169,156

16%

234,169,156

0%

Footnotes appear on following page.

1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

 562,868,096

12/14/2012 Final Disposition $ 7,610,497,570 N/A

6

15

13

 924,546,133

5/7/2012 Partial Disposition $ 749,999,972 N/A 12

8/3/2012 Partial Disposition $ 4,999,999,993 N/A 13

9/10/2012 Partial Disposition $ 17,999,999,973 N/A 14

8/6/2012 Partial Disposition $ 750,000,002 N/A

Partial Disposition $ 2,699,999,965 N/A 14

5 1/14/2011 Preferred Stock (Series E) Exchange

3/8/2012 Partial Disposition $ 6,000,000,008 N/A 11

5/6/2012 Partial Disposition $ 4,999,999,993 N/A 12

5/24/2011 Partial Disposition $ 5,800,000,000

Treasury Holdings Post-Recapitalization Final Disposition

Transaction Type Pricing Mechanism Investment Description Amount / Shares

Remaining Recap 

Investment Amount, 

Shares, or Equity %

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the 

cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

Proceeds 8

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

AIG POST-RECAPITALIZATION

Recapitalization

3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description Pricing Mechanism Investment Description

N/A 9

4 1/14/2011

Preferred Stock (Series G)

$ 55,885,302

Exchange N/A

1 11/25/2008 AIG New York NY Preferred Stock w/ Warrants 

(Series D) Purchase $ 40,000,000,000 Par

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

Final Disposition

Proceeds

$ 1,521,632,096

AIA Preferred Units $ 16,916,603,568 7

$ 1,493,250,339

$ 0 8

ALICO Junior Preferred Interests $ 3,375,328,432 7

$ 44,941,843

$ 97,008,351

$ 2,153,520,000

 167,623,733

9/11/2012

Preferred Stock (Series F)

Exchange Par

Exchange

$ -

$ 185,726,192

$ 2,009,932,072

$ 5,511,067,614

$ 1,383,888,037

$ 55,833,333

$ 0 8

$ 971,506,765

$ 5,576,121,382
65

15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012. 

14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.

13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.

5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.

6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 562,868,096 

shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.

8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.

9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.

10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.

11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.

12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.

7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG Common 

Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
66

Name of Institution City State Amount

7/19/2010 2

$ 4,300,000,000

6/28/2012 3$ 1,400,000,000

1/15/2013 4$ 100,000,000

TOTAL $ 100,000,000

4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of 

TARP funds to provide credit protection is no longer necessary. 

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.

Date Date

Seller Transaction 

Type Investment Description 

1 3/3/2009 TALF LLC Wilmington DE Purchase Debt Obligation w/ Additional Note

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Pricing Mechanism

3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.

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

$ 20,000,000,000 N/A
67

Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 3

Senior Security 

Proceeds 4 Trade Date PMF6

Purchase Face 

Amount 3

Current Face 

Amount 6, 8

Life-to-date 

Principal Received 

1, 8

Disposition 

Amount 5, 6

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 $ 4,377,249 $ 2,184 6/21/2011 - $ 4,070,000 $ 3,151,186 $ 902,633 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130 10/19/2011 - $ 7,617,617 $ 5,891,602 $ 1,685,710 $ 6,462,972

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 $ 8,716,265 $ 4,348 6/21/2011 - $ 8,030,000 $ 5,964,013 $ 2,022,652 $ 6,555,383

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 $ 26,041,643 $ 12,983 6/7/2011 - $ 23,500,000 $ 22,350,367 $ 1,149,633 $ 25,039,989

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 $ 9,598,523 $ 4,783 6/7/2011 - $ 8,900,014 $ 6,542,218 $ 2,357,796 $ 7,045,774

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 $ 11,511,052 $ 5,741 6/7/2011 - $ 10,751,382 $ 9,819,270 $ 932,112 $ 10,550,917

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 $ 14,151,229 $ 7,057 6/7/2011 - $ 12,898,996 $ 12,570,392 $ 328,604 $ 13,886,504

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 $ 9,717,173 $ 4,844 6/7/2011 - $ 8,744,333 $ 8,483,188 $ 261,145 $ 9,482,247

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 $ 9,294,363 $ 4,635 6/7/2011 - $ 8,417,817 $ 8,171,159 $ 246,658 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377 9/20/2011 - $ 17,119,972 $ 15,030,712 $ 2,089,260 $ 16,658,561

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 $ 38,273,995 $ 19,077 6/21/2011 - $ 34,441,059 $ 32,656,125 $ 1,784,934 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801 9/20/2011 - $ 28,209,085 $ 25,930,433 $ 2,278,652 $ 29,142,474

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 3,200 6/21/2011 - $ 6,004,156 $ 5,656,049 $ 348,107 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722 10/19/2011 - $ 6,860,835 $ 6,520,875 $ 339,960 $ 7,105,304

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 $ 14,789,302 $ 7,373 6/21/2011 - $ 13,183,361 $ 12,704,841 $ 478,520 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408 1/24/2012 - $ 2,598,386 $ 1,903,407 $ 694,979 $ 2,052,702

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 5,187 6/21/2011 - $ 9,719,455 $ 9,531,446 $ 188,009 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561 9/20/2011 - $ 8,279,048 $ 6,425,217 $ 1,853,831 $ 7,078,089

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752 10/19/2011 - $ 5,000,000 $ 4,580,543 $ 419,457 $ 5,029,356

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541 10/19/2011 - $ 10,000,000 $ 9,030,539 $ 969,461 $ 9,994,806

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123 9/20/2011 - $ 9,272,482 $ 8,403,846 $ 868,636 $ 9,230,008

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820 10/19/2011 - $ 10,350,000 $ 10,099,555 $ 250,445 $ 11,314,651

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652 1/24/2012 - $ 6,900,000 $ 6,236,800 $ 663,200 $ 6,556,341

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966 1/24/2012 - $ 8,902,230 $ 7,503,681 $ 1,398,549 $ 8,269,277

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458 1/24/2012 - $ 8,050,000 $ 7,053,867 $ 996,133 $ 7,703,610

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061 1/24/2012 - $ 5,750,000 $ 5,473,724 $ 276,276 $ 5,764,858

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172 1/24/2012 - $ 5,741,753 $ 4,307,881 $ 1,433,872 $ 4,693,918

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912 10/19/2011 - $ 3,450,000 $ 3,367,168 $ 82,832 $ 3,698,411

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535 1/24/2012 - $ 11,482,421 $ 10,592,775 $ 889,646 $ 11,818,944

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632 10/19/2011 - $ 13,402,491 $ 12,963,737 $ 438,754 $ 14,433,039

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521 1/24/2012 - $ 14,950,000 $ 14,562,161 $ 387,839 $ 16,383,544

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 334,924,711

TOTAL INVESTMENT AMOUNT $ 368,145,452 TOTAL PROGRAM PROCEEDS TO DATE7 $ 376,748,302

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

-

-

Floating Rate SBA 7a security due 2017

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2019

Floating Rate SBA 7a security due 2020

-

-

-

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2020 -

-

-

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2025

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020

Floating Rate SBA 7a security due 2034

-

-

-

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.

2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.

3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a 

purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after 

publication of the applicable month's factor (on or about the 11th business day of each month).

4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount 

equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as 

set forth in the Master Purchase Agreement.

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Final Disposition

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

-

Floating Rate SBA 7a security due 2026 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034

Floating Rate SBA 7a security due 2020 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2033 -

Floating Rate SBA 7a security due 2029 -

Floating Rate SBA 7a security due 2033 -

5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.

6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or 

about the 11th business day of each month).

7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029
68

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 $ 156,250,000 1/4/2010 4 $ 156,250,000 $ 156,250,000 1/29/2010 Distribution 5 $ 20,091,872

2/24/2010 Final Distribution 5 $ 48,922

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 1/4/2010 4 $ 200,000,000 1/4/2010 4 $ 200,000,000 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ 

Contingent Proceeds

1/29/2010 Distribution 5 $ 502,302

2/24/2010 Final Distribution 5 $ 1,223

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 856,000,000 $ 580,960,000 2/18/2010 $ 2,444,347 $ 578,515,653 Membership Interest 10

4/15/2010 $ 3,533,199 $ 574,982,454 Membership Interest 10

9/15/2010 $ 30,011,187 $ 544,971,267 Membership Interest 10

11/15/2010 $ 66,463,982 $ 478,507,285 Membership Interest 10

12/14/2010 $ 15,844,536 $ 462,662,749 Membership Interest 10

1/14/2011 $ 13,677,726 $ 448,985,023 Membership Interest 10

2/14/2011 $ 48,523,845 $ 400,461,178 Membership Interest 10

3/14/2011 $ 68,765,544 $ 331,695,634 Membership Interest 10

4/14/2011 $ 77,704,254 $ 253,991,380 Membership Interest 10

5/20/2011 $ 28,883,733 $ 225,107,647 Membership Interest 10

6/14/2011 $ 9,129,709 $ 215,977,938 Membership Interest 10

7/15/2011 $ 31,061,747 $ 184,916,192 Membership Interest 10

8/12/2011 $ 10,381,214 $ 174,534,977 Membership Interest 10

10/17/2011 $ 6,230,731 $ 168,304,246 Membership Interest 10

12/14/2011 $ 1,183,959 $ 167,120,288 Membership Interest 10

1/17/2012 $ 1,096,185 $ 166,024,103 Membership Interest 10

2/14/2012 $ 1,601,688 $ 164,422,415 Membership Interest 10

3/14/2012 $ 3,035,546 $ 161,386,870 Membership Interest 10

3/29/2012 Distribution 5 $ 56,390,209

8/9/2012 Distribution 5 $ 1,056,751

9/28/2012 Final Distribution 5 $ 18,772

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000 2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ 

Contingent Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ 

Contingent Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ 

Contingent Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ 

Contingent Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ 

Contingent Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ 

Contingent Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ 

Contingent Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ 

Contingent Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ 

Contingent Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ 

Contingent Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ 

Contingent Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ 

Contingent Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ 

Contingent Proceeds

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ 

Contingent Proceeds

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ 

Contingent Proceeds

Final Commitment Amount Capital Repayment Details 7

1/12/2010 $ 166,000,000 $ 0 Contingent Proceeds

CREDIT MARKET PROGRAMS

Investment After Capital Repayment Distribution or Disposition

1/15/2010 $ 156,250,000 $ 0 Membership Interest

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

3/29/2012 $ 161,386,870 $ 0 Membership Interest 10
69

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Final Commitment Amount Capital Repayment Details 7 Investment After Capital Repayment Distribution or Disposition

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ 

Contingent Proceeds

3/29/2012 Distribution 5 $ 3,434,460

8/9/2012 Distribution 5 $ 40,556

9/28/2012 Final Distribution 5 $ 469

1 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,262,037,500 7/16/2010 $ 1,149,487,000 $ 1,149,487,000 7/16/2012 $ 62,499,688 $ 1,086,987,313 Membership Interest 10

9/17/2012 $ 152,499,238 $ 934,488,075 Membership Interest 10

1/15/2013 $ 254,581,112 $ 679,906,963 Membership Interest 10

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,524,075,000 7/16/2010 $ 2,298,974,000 $ 2,298,974,000 6/26/2012 $ 125,000,000 $ 2,173,974,000

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 305,000,000 $ 1,868,974,000

Debt Obligation w/ 

Contingent Proceeds

12/6/2012 $ 800,000,000 $ 1,068,974,000

Debt Obligation w/ 

Contingent Proceeds

12/21/2012 $ 630,000,000 $ 438,974,000

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 97,494,310 $ 341,479,690

Debt Obligation w/ 

Contingent Proceeds

1/24/2013 $ 341,479,690 $ - Contingent Proceeds

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,150,423,500 $ 1,064,141,738 1/15/2010 $ 44,043 $ 1,064,097,694 Membership Interest 10

2/14/2011 $ 712,284 $ 1,063,385,410 Membership Interest 10

3/14/2011 $ 6,716,327 $ 1,056,669,083 Membership Interest 10

4/14/2011 $ 7,118,388 $ 1,049,550,694 Membership Interest 10

5/14/2012 $ 39,999,800 $ 1,009,550,894 Membership Interest 10

6/14/2012 $ 287,098,565 $ 722,452,330 Membership Interest 10

7/16/2012 $ 68,749,656 $ 653,702,674 Membership Interest 10

8/14/2012 $ 361,248,194 $ 292,454,480 Membership Interest 10

8/30/2012 Distribution 5, 11 $ 75,278,664

9/12/2012 Distribution 5, 11 $ 79,071,633

9/19/2012 Distribution 5, 11 $ 106,300,357

10/1/2012 Distribution 5, 11 $ 25,909,972

12/21/2012 Distribution 5, 11 $ 678,683

2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,300,847,000 12 $ 2,128,000,000 5/16/2011 $ 30,244,575 $ 2,097,755,425

Debt Obligation w/ 

Contingent Proceeds

6/14/2011 $ 88,087 $ 2,097,667,339

Debt Obligation w/ 

Contingent Proceeds

5/3/2012 $ 80,000,000 $ 2,017,667,339

Debt Obligation w/ 

Contingent Proceeds

5/14/2012 $ 30,000,000 $ 1,987,667,339

Debt Obligation w/ 

Contingent Proceeds

5/23/2012 $ 500,000,000 $ 1,487,667,339

Debt Obligation w/ 

Contingent Proceeds

6/14/2012 $ 44,200,000 $ 1,443,467,339

Debt Obligation w/ 

Contingent Proceeds

6/25/2012 $ 120,000,000 $ 1,323,467,339

Debt Obligation w/ 

Contingent Proceeds

7/16/2012 $ 17,500,000 $ 1,305,967,339

Debt Obligation w/ 

Contingent Proceeds

7/27/2012 $ 450,000,000 $ 855,967,339

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 272,500,000 $ 583,467,339

Debt Obligation w/ 

Contingent Proceeds

10/3/2012 Distribution 5, 11 $ 12,012,957

12/21/2012 Distribution 5, 11 $ 16,967

8/30/2012 $ 292,454,480

8/22/2012 $ 583,467,339 $ - Contingent Proceeds

3/14/2012 $ 284,468,750 $ 0 Contingent Proceeds

Membership Interest 10 $ - 
70

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Final Commitment Amount Capital Repayment Details 7 Investment After Capital Repayment Distribution or Disposition

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 694,980,000 $ 528,184,800 8/14/2012 $ 90,269,076 $ 437,915,724 Membership Interest 10

9/17/2012 $ 8,833,632 $ 429,082,092 Membership Interest 10

10/15/2012 $ 10,055,653 $ 419,026,439 Membership Interest 10

11/5/2012 Distribution 5, 11 $ 297,511,708

12/5/2012 Distribution 5, 11 $ 57,378,964

2 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,389,960,000 $ 1,053,000,000 7/31/2012 $ 175,000,000 $ 878,000,000

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 5,539,055 $ 872,460,945

Debt Obligation w/ 

Contingent Proceeds

8/31/2012 $ 16,000,000 $ 856,460,945

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 1,667,352 $ 854,793,592

Debt Obligation w/ 

Contingent Proceeds

9/28/2012 $ 35,000,000 $ 819,793,592

Debt Obligation w/ 

Contingent Proceeds

10/15/2012 $ 25,334,218 $ 794,459,374

Debt Obligation w/ 

Contingent Proceeds

11/5/2012 Distribution 5, 11 $ 8,289,431

12/5/2012 Distribution 5, 11 $ 1,433,088

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,271,337,500 7/16/2010 $ 1,243,275,000 $ 1,117,399,170 2/14/2012 $ 87,099,565 $ 1,030,299,606 Membership Interest 10

3/14/2012 $ 99,462,003 $ 930,837,603 Membership Interest 10

5/14/2012 $ 74,999,625 $ 855,837,978 Membership Interest 10

7/16/2012 $ 18,749,906 $ 837,088,072 Membership Interest 10

8/14/2012 $ 68,399,658 $ 768,688,414 Membership Interest 10

9/17/2012 $ 124,999,375 $ 643,689,039 Membership Interest 10

10/15/2012 $ 240,673,797 $ 403,015,242 Membership Interest 10

11/15/2012 $ 45,764,825 $ 357,250,417 Membership Interest 10

12/14/2012 $ 24,588,926 $ 332,661,491 Membership Interest 10

1/15/2013 $ 30,470,429 $ 302,191,061 Membership Interest 10

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,542,675,000 7/16/2010 $ 2,486,550,000 $ 2,234,798,340 2/14/2012 $ 174,200,000 $ 2,060,598,340

Debt Obligation w/ 

Contingent Proceeds

3/14/2012 $ 198,925,000 $ 1,861,673,340

Debt Obligation w/ 

Contingent Proceeds

5/14/2012 $ 150,000,000 $ 1,711,673,340

Debt Obligation w/ 

Contingent Proceeds

7/16/2012 $ 37,500,000 $ 1,674,173,340

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 136,800,000 $ 1,537,373,340

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 250,000,000 $ 1,287,373,340

Debt Obligation w/ 

Contingent Proceeds

10/15/2012 $ 481,350,000 $ 806,023,340

Debt Obligation w/ 

Contingent Proceeds

11/15/2012 $ 274,590,324 $ 531,433,016

Debt Obligation w/ 

Contingent Proceeds

12/14/2012 $ 147,534,295 $ 383,898,721

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 182,823,491 $ 201,075,230

Debt Obligation w/ 

Contingent Proceeds

1 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 620,578,258 $ 620,578,258 3/14/2011 $ 1,202,957 $ 619,375,301 Membership Interest 10

4/14/2011 $ 3,521,835 $ 615,853,465 Membership Interest 10

8/14/2012 $ 104,959,251 $ 510,894,215 Membership Interest 10

9/17/2012 $ 72,640,245 $ 438,253,970 Membership Interest 10

9/28/2012 $ 180,999,095 $ 257,254,875 Membership Interest 10

10/15/2012 $ 134,999,325 $ 122,255,550 Membership Interest 10

10/19/2012 Distribution 5, 11 $ 147,464,888

11/2/2012 Distribution 5, 11 $ 148,749,256

12/21/2012 Distribution 5, 11 $ 549,997

Contingent Proceeds

11/5/2012 $ 419,026,439 $ - Membership Interest 10

10/18/2012 $ 794,459,374 $ -

10/19/2012 $ 122,255,550 $ - Membership Interest 10
71

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Final Commitment Amount Capital Repayment Details 7 Investment After Capital Repayment Distribution or Disposition

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9

2 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 1,241,156,516 $ 1,241,000,000 5/13/2011 $ 13,531,530 $ 1,227,468,470

Debt Obligation w/ 

Contingent Proceeds

7/31/2012 $ 618,750,000 $ 608,718,470

Debt Obligation w/ 

Contingent Proceeds

8/9/2012 $ 151,006,173 $ 457,712,297

Debt Obligation w/ 

Contingent Proceeds

8/14/2012 $ 11,008,652 $ 446,703,645

Debt Obligation w/ 

Contingent Proceeds

8/23/2012 $ 160,493,230 $ 286,210,415

Debt Obligation w/ 

Contingent Proceeds

8/29/2012 $ 103,706,836 $ 182,503,579

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 20,637,410 $ 161,866,170

Debt Obligation w/ 

Contingent Proceeds

10/19/2012 Distribution 5, 11 $ 6,789,287

11/2/2012 Distribution 5, 11 $ 3,718,769

12/21/2012 Distribution 5, 11 $ 13,750

1 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 474,550,000 $ 474,550,000 9/17/2012 $ 74,499,628 $ 400,050,373 Membership Interest 10

11/15/2012 $ 59,787,459 $ 340,262,914 Membership Interest 10

12/14/2012 $ 40,459,092 $ 299,803,821 Membership Interest 10

1/15/2013 $ 10,409,317 $ 289,394,504 Membership Interest 10

1/30/2013 $ 219,998,900 $ 69,395,604 Membership Interest 10

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 949,100,000 $ 949,000,000 9/17/2012 $ 149,000,000 $ 800,000,000

Debt Obligation w/ 

Contingent Proceeds

11/15/2012 $ 119,575,516 $ 680,424,484

Debt Obligation w/ 

Contingent Proceeds

11/20/2012 $ 195,000,000 $ 485,424,484

Debt Obligation w/ 

Contingent Proceeds

12/14/2012 $ 47,755,767 $ 437,668,717

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 62,456,214 $ 375,212,503

Debt Obligation w/ 

Contingent Proceeds

1/24/2013 $ 375,212,503 $ - Contingent Proceeds

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,160,784,100 $ 555,904,633 7/15/2011 $ 39,499,803 $ 516,404,830 Membership Interest 10

3/14/2012 $ 39,387,753 $ 477,017,077 Membership Interest 10

9/17/2012 $ 22,111,961 $ 454,905,116 Membership Interest 10

10/15/2012 $ 32,496,972 $ 422,408,144 Membership Interest 10

11/15/2012 $ 111,539,536 $ 310,868,608 Membership Interest 10

12/14/2012 $ 55,540,026 $ 255,328,581 Membership Interest 10

1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10

2 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,321,568,200 $ 1,111,000,000 7/15/2011 $ 79,000,000 $ 1,032,000,000

Debt Obligation w/ 

Contingent Proceeds

3/14/2012 $ 78,775,901 $ 953,224,099

Debt Obligation w/ 

Contingent Proceeds

9/17/2012 $ 44,224,144 $ 908,999,956

Debt Obligation w/ 

Contingent Proceeds

10/15/2012 $ 64,994,269 $ 844,005,687

Debt Obligation w/ 

Contingent Proceeds

11/15/2012 $ 223,080,187 $ 620,925,500

Debt Obligation w/ 

Contingent Proceeds

12/14/2012 $ 111,080,608 $ 509,844,892

Debt Obligation w/ 

Contingent Proceeds

1/15/2013 $ 89,099,906 $ 420,744,985

Debt Obligation w/ 

Contingent Proceeds

$ 30,000,000,000 $ 21,856,403,574 $ 1,052,753,910

TOTAL CAPITAL REPAYMENT AMOUNT $ 16,711,355,423

INITIAL COMMITMENT AMOUNT TOTAL DISTRIBUTIONS 5 FINAL COMMITMENT AMOUNT

9/21/2012 $ 161,866,170 $ - Contingent Proceeds
72

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

Final Commitment Amount Capital Repayment Details 7 Investment After Capital Repayment Distribution or Disposition

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3

Final Investment 

Amount 9

8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

9/ Cumulative capital drawn at end of the Investment Period.

10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.

11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.

4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.

5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.

6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, 

respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.

7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.

1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.

2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.

3/ Adjusted to show Treasury's maximum obligations to a fund.
73

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

4/13/2009 Select Portfolio Servicing Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 376,000,000 N/A 6/12/2009 $ 284,590,000 $ 660,590,000 Updated portfolio data from servicer

10310 9/30/2009 $ 121,910,000 $ 782,500,000 

Updated portfolio data from servicer & HPDP initial 

cap

10310 12/30/2009 $ 131,340,000 $ 913,840,000 

Updated portfolio data from servicer & HAFA initial 

cap

10310 3/26/2010 $ (355,530,000) $ 558,310,000 Updated portfolio data from servicer

10310 7/14/2010 $ 128,690,000 $ 687,000,000 Updated portfolio data from servicer

10310 9/30/2010 $ 4,000,000 $ 691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10310 9/30/2010 $ 59,807,784 $ 750,807,784 Updated portfolio data from servicer

10310 11/16/2010 $ (700,000) $ 750,107,784 Transfer of cap due to servicing transfer

10310 12/15/2010 $ 64,400,000 $ 814,507,784 Updated portfolio data from servicer

10310 1/6/2011 $ (639) $ 814,507,145 Updated portfolio data from servicer

10310 1/13/2011 $ (2,300,000) $ 812,207,145 Transfer of cap due to servicing transfer

10310 2/16/2011 $ 100,000 $ 812,307,145 Transfer of cap due to servicing transfer

10310 3/16/2011 $ 3,600,000 $ 815,907,145 Transfer of cap due to servicing transfer

10310 3/30/2011 $ (735) $ 815,906,410 

Updated due to quarterly assessment and 

reallocation

10310 4/13/2011 $ (100,000) $ 815,806,410 Transfer of cap due to servicing transfer

10310 5/13/2011 $ 400,000 $ 816,206,410 Transfer of cap due to servicing transfer

10310 6/16/2011 $ (100,000) $ 816,106,410 Transfer of cap due to servicing transfer

10310 6/29/2011 $ (6,805) $ 816,099,605 

Updated due to quarterly assessment and 

reallocation

10310 8/16/2011 $ (100,000) $ 815,999,605 Transfer of cap due to servicing transfer

10310 9/15/2011 $ (200,000) $ 815,799,605 Transfer of cap due to servicing transfer

10310 10/14/2011 $ (100,000) $ 815,699,605 Transfer of cap due to servicing transfer

10310 11/16/2011 $ (100,000) $ 815,599,605 Transfer of cap due to servicing transfer

10310 1/13/2012 $ 200,000 $ 815,799,605 Transfer of cap due to servicing transfer

10310 3/15/2012 $ 24,800,000 $ 840,599,605 Transfer of cap due to servicing transfer

10310 4/16/2012 $ 1,900,000 $ 842,499,605 Transfer of cap due to servicing transfer

10310 5/16/2012 $ 80,000 $ 842,579,605 Transfer of cap due to servicing transfer

10310 6/14/2012 $ 8,710,000 $ 851,289,605 Transfer of cap due to servicing transfer

10310 6/28/2012 $ (5,176) $ 851,284,429 

Updated due to quarterly assessment and 

reallocation

10310 7/16/2012 $ 2,430,000 $ 853,714,429 Transfer of cap due to servicing transfer

10310 8/16/2012 $ 2,310,000 $ 856,024,429 Transfer of cap due to servicing transfer

10310 9/27/2012 $ (13,961) $ 856,010,468 

Updated due to quarterly assessment and 

reallocation

10310 10/16/2012 $ 126,940,000 $ 982,950,468 Transfer of cap due to servicing transfer

10310 11/15/2012 $ 9,990,000 $ 992,940,468 Transfer of cap due to servicing transfer

10310 12/14/2012 $ 10,650,000 $ 1,003,590,468 Transfer of cap due to servicing transfer

10310 12/27/2012 $ (2,663) $ 1,003,587,805 

Updated due to quarterly assessment and 

reallocation

10310 1/16/2013 $ 18,650,000 $ 1,022,237,805 Transfer of cap due to servicing transfer

4/13/2009 Citi Mortgage, Inc. O'Fallon MO Purchase Financial Instrument for Home Loan Modifications $ 2,071,000,000 N/A 6/12/2009 $ (991,580,000) $ 1,079,420,000 Updated portfolio data from servicer

10722 9/30/2009 $ 1,010,180,000 $ 2,089,600,000 

Updated portfolio data from servicer & HPDP initial 

cap

10722 12/30/2009 $ (105,410,000) $ 1,984,190,000 

Updated portfolio data from servicer & HAFA initial 

cap

10722 3/26/2010 $ (199,300,000) $ 1,784,890,000 

Updated portfolio data from servicer & 2MP initial 

cap

10722 4/19/2010 $ (230,000) $ 1,784,660,000 

Transfer of cap to Service One, Inc. due to 

servicing transfer

10722 5/14/2010 $ (3,000,000) $ 1,781,660,000 

Transfer of cap to Specialized Loan Servicing, LLC 

due to servicing transfer

10722 6/16/2010 $ (12,280,000) $ 1,769,380,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 7/14/2010 $ (757,680,000) $ 1,011,700,000 Updated portfolio data from servicer

10722 7/16/2010 $ (7,110,000) $ 1,004,590,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 8/13/2010 $ (6,300,000) $ 998,290,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 9/15/2010 $ (8,300,000) $ 989,990,000 

Transfer of cap to multiple servicers due to 

servicing transfer

10722 9/30/2010 $ 32,400,000 $ 1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap

10722 9/30/2010 $ 101,287,484 $ 1,123,677,484 Updated portfolio data from servicer

10722 10/15/2010 $ (1,400,000) $ 1,122,277,484 Transfer of cap due to servicing transfer

10722 11/16/2010 $ (3,200,000) $ 1,119,077,484 Transfer of cap due to servicing transfer

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

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending January 16, 2013

Pricing 

Mechanism

U.S. Treasury Department

Office of Financial Stability

MAKING HOME AFFORDABLE PROGRAM

Date 

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details
74

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10722 3/30/2011 $ (1,031) $ 1,073,475,472 

Updated due to quarterly assessment and 

reallocation

10722 4/13/2011 $ 100,000 $ 1,073,575,472 Transfer of cap due to servicing transfer

10722 5/13/2011 $ (7,200,000) $ 1,066,375,472 Transfer of cap due to servicing transfer

10722 6/16/2011 $ (400,000) $ 1,065,975,472 Transfer of cap due to servicing transfer

10722 6/29/2011 $ (9,131) $ 1,065,966,341 

Updated due to quarterly assessment and 

reallocation

10722 7/14/2011 $ (14,500,000) $ 1,051,466,341 Transfer of cap due to servicing transfer

10722 8/16/2011 $ (1,600,000) $ 1,049,866,341 Transfer of cap due to servicing transfer

10722 9/15/2011 $ 700,000 $ 1,050,566,341 Transfer of cap due to servicing transfer

10722 10/14/2011 $ 15,200,000 $ 1,065,766,341 Transfer of cap due to servicing transfer

10722 11/16/2011 $ (2,900,000) $ 1,062,866,341 Transfer of cap due to servicing transfer

10722 12/15/2011 $ (5,000,000) $ 1,057,866,341 Transfer of cap due to servicing transfer

10722 1/13/2012 $ (900,000) $ 1,056,966,341 Transfer of cap due to servicing transfer

10722 2/16/2012 $ (1,100,000) $ 1,055,866,341 Transfer of cap due to servicing transfer

10722 3/15/2012 $ (1,700,000) $ 1,054,166,341 Transfer of cap due to servicing transfer

10722 4/16/2012 $ (600,000) $ 1,053,566,341 Transfer of cap due to servicing transfer

10722 5/16/2012 $ (340,000) $ 1,053,226,341 Transfer of cap due to servicing transfer

10722 6/14/2012 $ (2,880,000) $ 1,050,346,341 Transfer of cap due to servicing transfer

10722 6/28/2012 $ (5,498) $ 1,050,340,843 

Updated due to quarterly assessment and 

reallocation

10722 7/16/2012 $ (298,960,000) $ 751,380,843 Transfer of cap due to servicing transfer

10722 7/27/2012 $ 263,550,000 $ 1,014,930,843 Transfer of cap due to servicing transfer

10722 8/16/2012 $ 30,000 $ 1,014,960,843 Transfer of cap due to servicing transfer

10722 9/27/2012 $ (12,722) $ 1,014,948,121 

Updated due to quarterly assessment and 

reallocation

10722 10/16/2012 $ (4,020,000) $ 1,010,928,121 Transfer of cap due to servicing transfer

10722 11/15/2012 $ (1,460,000) $ 1,009,468,121 Transfer of cap due to servicing transfer

10722 12/14/2012 $ (6,000,000) $ 1,003,468,121 Transfer of cap due to servicing transfer

10722 12/27/2012 $ (1,916) $ 1,003,466,205 

Updated due to quarterly assessment and 

reallocation

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

10423 4/13/2011 $ (9,800,000) $ 5,128,950,914 Transfer of cap due to servicing transfer

10423 5/13/2011 $ 100,000 $ 5,129,050,914 Transfer of cap due to servicing transfer

10423 6/16/2011 $ (600,000) $ 5,128,450,914 Transfer of cap due to servicing transfer

10423 6/29/2011 $ (63,856) $ 5,128,387,058 

Updated due to quarterly assessment and 

reallocation

10423 7/14/2011 $ (2,300,000) $ 5,126,087,058 Transfer of cap due to servicing transfer

10423 8/16/2011 $ (1,100,000) $ 5,124,987,058 Transfer of cap due to servicing transfer

10423 9/15/2011 $ 1,400,000 $ 5,126,387,058 Transfer of cap due to servicing transfer

10423 10/14/2011 $ 200,000 $ 5,126,587,058 Transfer of cap due to servicing transfer

10423 11/16/2011 $ (200,000) $ 5,126,387,058 Transfer of cap due to servicing transfer

10423 12/15/2011 $ (200,000) $ 5,126,187,058 Transfer of cap due to servicing transfer

10423 1/13/2012 $ (300,000) $ 5,125,887,058 Transfer of cap due to servicing transfer

10423 2/16/2012 $ (200,000) $ 5,125,687,058 Transfer of cap due to servicing transfer

10423 3/15/2012 $ (1,000,000) $ 5,124,687,058 Transfer of cap due to servicing transfer

10423 4/16/2012 $ (800,000) $ 5,123,887,058 Transfer of cap due to servicing transfer

10423 5/16/2012 $ (610,000) $ 5,123,277,058 Transfer of cap due to servicing transfer

10423 6/14/2012 $ (2,040,000) $ 5,121,237,058 Transfer of cap due to servicing transfer

10423 6/28/2012 $ (39,923) $ 5,121,197,135 

Updated due to quarterly assessment and 

reallocation

10423 8/16/2012 $ (120,000) $ 5,121,077,135 Transfer of cap due to servicing transfer

10423 9/27/2012 $ (104,111) $ 5,120,973,024 

Updated due to quarterly assessment and 

reallocation
75

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10423 10/16/2012 $ (1,590,000) $ 5,119,383,024 Transfer of cap due to servicing transfer

10423 11/15/2012 $ (2,910,000) $ 5,116,473,024 Transfer of cap due to servicing transfer

10423 12/14/2012 $ (1,150,000) $ 5,115,323,024 Transfer of cap due to servicing transfer

10423 12/27/2012 $ (16,392) $ 5,115,306,632 

Updated due to quarterly assessment and 

reallocation

10423 1/16/2013 $ (3,350,000) $ 5,111,956,632 Transfer of cap due to servicing transfer

4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 N/A 6/12/2009 $ 384,650,000 $ 1,017,650,000 Updated portfolio data from servicer

10315 9/30/2009 $ 2,537,240,000 $ 3,554,890,000 

Updated portfolio data from servicer & HPDP initial 

cap

10315 12/30/2009 $ (1,679,520,000) $ 1,875,370,000 

Updated portfolio data from servicer & HAFA initial 

cap

10315 3/26/2010 $ 190,180,000 $ 2,065,550,000 Updated portfolio data from servicer

10315 5/14/2010 $ 1,880,000 $ 2,067,430,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

10315 7/14/2010 $ (881,530,000) $ 1,185,900,000 Updated portfolio data from servicer

10315 8/13/2010 $ (3,700,000) $ 1,182,200,000 Transfer of cap due to servicing transfer

10315 9/30/2010 $ 119,200,000 $ 1,301,400,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial 2MP cap

10315 9/30/2010 $ 216,998,139 $ 1,518,398,139 Updated portfolio data from servicer

10315 12/15/2010 $ (500,000) $ 1,517,898,139 Updated portfolio data from servicer

10315 1/6/2011 $ (1,734) $ 1,517,896,405 Updated portfolio data from servicer

10315 3/16/2011 $ (100,000) $ 1,517,796,405 Transfer of cap due to servicing transfer

10315 3/30/2011 $ (2,024) $ 1,517,794,381 

Updated due to quarterly assessment and 

reallocation

10315 4/13/2011 $ (800,000) $ 1,516,994,381 Transfer of cap due to servicing transfer

10315 5/13/2011 $ (17,900,000) $ 1,499,094,381 Transfer of cap due to servicing transfer

10315 6/29/2011 $ (18,457) $ 1,499,075,924 

Updated due to quarterly assessment and 

reallocation

10315 7/14/2011 $ (200,000) $ 1,498,875,924 Transfer of cap due to servicing transfer

10315 8/16/2011 $ 3,400,000 $ 1,502,275,924 Transfer of cap due to servicing transfer

10315 9/15/2011 $ 200,000 $ 1,502,475,924 Transfer of cap due to servicing transfer

10315 10/14/2011 $ (800,000) $ 1,501,675,924 Transfer of cap due to servicing transfer

10315 11/16/2011 $ (200,000) $ 1,501,475,924 Transfer of cap due to servicing transfer

10315 12/15/2011 $ 2,600,000 $ 1,504,075,924 Transfer of cap due to servicing transfer

10315 1/13/2012 $ (1,600,000) $ 1,502,475,924 Transfer of cap due to servicing transfer

10315 3/15/2012 $ (400,000) $ 1,502,075,924 Transfer of cap due to servicing transfer

10315 4/16/2012 $ (100,000) $ 1,501,975,924 Transfer of cap due to servicing transfer

10315 5/16/2012 $ (800,000) $ 1,501,175,924 Transfer of cap due to servicing transfer

10315 6/14/2012 $ (990,000) $ 1,500,185,924 Transfer of cap due to servicing transfer

10315 6/28/2012 $ (12,463) $ 1,500,173,461 

Updated due to quarterly assessment and 

reallocation

10315 8/16/2012 $ 10,000 $ 1,500,183,461 Transfer of cap due to servicing transfer

10315 9/27/2012 $ (33,210) $ 1,500,150,251 

Updated due to quarterly assessment and 

reallocation

10315 11/15/2012 $ (1,200,000) $ 1,498,950,251 Transfer of cap due to servicing transfer

10315 12/14/2012 $ 40,000 $ 1,498,990,251 Transfer of cap due to servicing transfer

10315 12/27/2012 $ (5,432) $ 1,498,984,819 

Updated due to quarterly assessment and 

reallocation

10315 1/16/2013 $ 60,000 $ 1,499,044,819 Transfer of cap due to servicing transfer

4/13/2009 Saxon Mortgage Services, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 N/A 6/17/2009 $ 225,040,000 $ 632,040,000 Updated portfolio data from servicer

10458 9/30/2009 $ 254,380,000 $ 886,420,000 

Updated portfolio data from servicer & HPDP initial 

cap

10458 12/30/2009 $ 355,710,000 $ 1,242,130,000 

Updated portfolio data from servicer & HAFA initial 

cap

10458 3/26/2010 $ (57,720,000) $ 1,184,410,000 Updated portfolio data from servicer

10458 6/16/2010 $ (156,050,000) $ 1,028,360,000 

Transfer of cap to Ocwen Financial Corporation, 

Inc. due to servicing transfer

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
76

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10458 2/16/2012 $ (100,000) $ 650,435,314 Transfer of cap due to servicing transfer

10458 3/15/2012 $ 100,000 $ 650,535,314 Transfer of cap due to servicing transfer

10458 4/16/2012 $ (17,500,000) $ 633,035,314 Transfer of cap due to servicing transfer

10458 5/16/2012 $ (760,000) $ 632,275,314 Transfer of cap due to servicing transfer

10458 6/14/2012 $ (354,290,000) $ 277,985,314 Transfer of cap due to servicing transfer

10458 6/28/2012 $ (1,831) $ 277,983,483 

Updated due to quarterly assessment and 

reallocation

10458 7/16/2012 $ (10,120,000) $ 267,863,483 Transfer of cap due to servicing transfer

10458 8/16/2012 $ (10,000) $ 267,853,483 Transfer of cap due to servicing transfer

10458 9/27/2012 $ (4,701) $ 267,848,782 

Updated due to quarterly assessment and 

reallocation

10458 10/16/2012 $ (9,220,000) $ 258,628,782 Transfer of cap due to servicing transfer

10458 11/15/2012 $ (30,000) $ 258,598,782 Transfer of cap due to servicing transfer

10458 12/14/2012 $ 60,000 $ 258,658,782 Transfer of cap due to servicing transfer

10458 12/27/2012 $ (788) $ 258,657,994 

Updated due to quarterly assessment and 

reallocation

10458 1/16/2013 $ (610,000) $ 258,047,994 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 Loan Servicing LLC West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 N/A 6/12/2009 $ (105,620,000) $ 553,380,000 Updated portfolio data from servicer

10500 9/30/2009 $ 102,580,000 $ 655,960,000 

Updated portfolio data from servicer & HPDP initial 

cap

10500 12/30/2009 $ 277,640,000 $ 933,600,000 

Updated portfolio data from servicer & HAFA initial 

cap

10500 3/26/2010 $ 46,860,000 $ 980,460,000 Updated portfolio data from servicer

10500 6/16/2010 $ 156,050,000 $ 1,136,510,000 

Transfer of cap from Saxon Mortgage Services, Inc. 

due to servicing transfer

10500 7/14/2010 $ (191,610,000) $ 944,900,000 Updated portfolio data from servicer

10500 7/16/2010 $ 23,710,000 $ 968,610,000 

Transfer of cap from Saxon Mortgage Services, Inc. 

due to servicing transfer

10500 9/15/2010 $ 100,000 $ 968,710,000 Initial FHA-HAMP cap

10500 9/30/2010 $ 3,742,740 $ 972,452,740 Updated portfolio data from servicer

10500 10/15/2010 $ 170,800,000 $ 1,143,252,740 Transfer of cap due to servicing transfer

10500 1/6/2011 $ (1,020) $ 1,143,251,720 Updated portfolio data from servicer

10500 2/16/2011 $ 900,000 $ 1,144,151,720 Transfer of cap due to servicing transfer

10500 3/30/2011 $ (1,114) $ 1,144,150,606 

Updated due to quarterly assessment and 

reallocation

10500 6/29/2011 $ (10,044) $ 1,144,140,562 

Updated due to quarterly assessment and 

reallocation

10500 10/14/2011 $ (100,000) $ 1,144,040,562 Transfer of cap due to servicing transfer

10500 1/13/2012 $ 194,800,000 $ 1,338,840,562 Transfer of cap due to servicing transfer

10500 2/16/2012 $ 400,000 $ 1,339,240,562 Transfer of cap due to servicing transfer

10500 3/15/2012 $ 100,000 $ 1,339,340,562 Transfer of cap due to servicing transfer

10500 5/16/2012 $ 123,530,000 $ 1,462,870,562 Transfer of cap due to servicing transfer

10500 6/14/2012 $ 354,290,000 $ 1,817,160,562 Transfer of cap due to servicing transfer

10500 6/28/2012 $ (6,308) $ 1,817,154,254 

Updated due to quarterly assessment and 

reallocation

10500 7/16/2012 $ 10,080,000 $ 1,827,234,254 Transfer of cap due to servicing transfer

10500 8/16/2012 $ 8,390,000 $ 1,835,624,254 Transfer of cap due to servicing transfer

10500 9/27/2012 $ (10,733) $ 1,835,613,521 

Updated due to quarterly assessment and 

reallocation

10500 10/16/2012 $ 14,560,000 $ 1,850,173,521 Transfer of cap due to servicing transfer

10500 11/15/2012 $ 13,240,000 $ 1,863,413,521 Transfer of cap due to servicing transfer

10500 12/14/2012 $ 2,080,000 $ 1,865,493,521 Transfer of cap due to servicing transfer

10500 12/27/2012 $ (1,015) $ 1,865,492,506 

Updated due to quarterly assessment and 

reallocation

10500 1/16/2013 $ 410,000 $ 1,865,902,506 Transfer of cap due to servicing transfer

Bank of America, N.A. Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 N/A 6/12/2009 $ 5,540,000 $ 804,440,000 Updated portfolio data from servicer

10512 9/30/2009 $ 162,680,000 $ 967,120,000 

Updated portfolio data from servicer & HPDP initial 

cap

10512 12/30/2009 $ 665,510,000 $ 1,632,630,000 

Updated portfolio data from servicer & HAFA initial 

cap

10512 1/26/2010 $ 800,390,000 $ 2,433,020,000 Initial 2MP cap

10512 3/26/2010 $ (829,370,000) $ 1,603,650,000 Updated portfolio data from servicer

10512 7/14/2010 $ (366,750,000) $ 1,236,900,000 Updated portfolio data from servicer

10512 9/30/2010 $ 95,300,000 $ 1,332,200,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

10512 9/30/2010 $ 222,941,084 $ 1,555,141,084 Updated portfolio data from servicer

10512 1/6/2011 $ (2,199) $ 1,555,138,885 Updated portfolio data from servicer

10512 3/30/2011 $ (2,548) $ 1,555,136,337 

Updated due to quarterly assessment and 

reallocation

10512 6/29/2011 $ (23,337) $ 1,555,113,000 

Updated due to quarterly assessment and 

reallocation

10512 8/16/2011 $ (300,000) $ 1,554,813,000 Transfer of cap due to servicing transfer

10512 10/14/2011 $ (120,700,000) $ 1,434,113,000 Transfer of cap due to servicing transfer

10512 11/16/2011 $ (900,000) $ 1,433,213,000 Transfer of cap due to servicing transfer

10512 5/16/2012 $ (200,000) $ 1,433,013,000 Transfer of cap due to servicing transfer

10512 6/28/2012 $ (17,893) $ 1,432,995,107 

Updated due to quarterly assessment and 

reallocation

10512 13 8/10/2012 $ (1,401,716,594) $ 31,278,513 

Update of cap due to termination of SPA and 

merger with BAC Home Loans, LP

4/17/2009 as 

amended on 

1/26/2010
77

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

Bank of America, N.A. (BAC Home Loans Servicing, LP) Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 1,864,000,000 N/A 6/12/2009 $ 3,318,840,000 $ 5,182,840,000 Updated portfolio data from servicer

1000832 9/30/2009 $ (717,420,000) $ 4,465,420,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000832 12/30/2009 $ 2,290,780,000 $ 6,756,200,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000832 1/26/2010 $ 450,100,000 $ 7,206,300,000 Initial 2MP cap

1000832 3/26/2010 $ 905,010,000 $ 8,111,310,000 Updated portfolio data from servicer

1000832 4/19/2010 $ 10,280,000 $ 8,121,590,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

1000832 6/16/2010 $ 286,510,000 $ 8,408,100,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

1000832 7/14/2010 $ (1,787,300,000) $ 6,620,800,000 Updated portfolio data from servicer

1000832 9/30/2010 $ 105,500,000 $ 6,726,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial RD-HAMP

1000832 9/30/2010 $ (614,527,362) $ 6,111,772,638 Updated portfolio data from servicer

1000832 12/15/2010 $ 236,000,000 $ 6,347,772,638 Updated portfolio data from servicer

1000832 1/6/2011 $ (8,012) $ 6,347,764,626 Updated portfolio data from servicer

1000832 2/16/2011 $ 1,800,000 $ 6,349,564,626 Transfer of cap due to servicing transfer

1000832 3/16/2011 $ 100,000 $ 6,349,664,626 Transfer of cap due to servicing transfer

1000832 3/30/2011 $ (9,190) $ 6,349,655,436 

Updated due to quarterly assessment and 

reallocation

1000832 4/13/2011 $ 200,000 $ 6,349,855,436 Transfer of cap due to servicing transfer

1000832 5/13/2011 $ 300,000 $ 6,350,155,436 Transfer of cap due to servicing transfer

1000832 6/16/2011 $ (1,000,000) $ 6,349,155,436 Transfer of cap due to servicing transfer

1000832 6/29/2011 $ (82,347) $ 6,349,073,089 

Updated due to quarterly assessment and 

reallocation

1000832 7/14/2011 $ (200,000) $ 6,348,873,089 Transfer of cap due to servicing transfer

1000832 8/16/2011 $ (3,400,000) $ 6,345,473,089 Transfer of cap due to servicing transfer

1000832 9/15/2011 $ (1,400,000) $ 6,344,073,089 Transfer of cap due to servicing transfer

1000832 10/14/2011 $ 120,600,000 $ 6,464,673,089 Transfer of cap due to servicing transfer

1000832 10/19/2011 $ 317,956,289 $ 6,782,629,378 

 

Wilshire Credit Corporation due to merger.

1000832 11/16/2011 $ 800,000 $ 6,783,429,378 Transfer of cap due to servicing transfer

1000832 12/15/2011 $ (17,600,000) $ 6,765,829,378 Transfer of cap due to servicing transfer

1000832 2/16/2012 $ (2,100,000) $ 6,763,729,378 Transfer of cap due to servicing transfer

1000832 3/15/2012 $ (23,900,000) $ 6,739,829,378 Transfer of cap due to servicing transfer

1000832 4/16/2012 $ (63,800,000) $ 6,676,029,378 Transfer of cap due to servicing transfer

1000832 5/16/2012 $ 20,000 $ 6,676,049,378 Transfer of cap due to servicing transfer

1000832 6/14/2012 $ (8,860,000) $ 6,667,189,378 Transfer of cap due to servicing transfer

1000832 6/28/2012 $ (58,550) $ 6,667,130,828 

Updated due to quarterly assessment and 

reallocation

1000832 7/16/2012 $ (6,840,000) $ 6,660,290,828 Transfer of cap due to servicing transfer

1000832 8/10/2012 $ 1,401,716,594 $ 8,062,007,423 

Transfer of cap (from Bank of America, N.A.) due to 

merger

1000832 8/16/2012 $ (4,780,000) $ 8,057,227,423 Transfer of cap due to servicing transfer

1000832 9/27/2012 $ (205,946) $ 8,057,021,476 

Updated due to quarterly assessment and 

reallocation

1000832 10/16/2012 $ (153,220,000) $ 7,903,801,476 Transfer of cap due to servicing transfer

1000832 11/15/2012 $ (27,300,000) $ 7,876,501,476 Transfer of cap due to servicing transfer

1000832 12/14/2012 $ (50,350,000) $ 7,826,151,476 Transfer of cap due to servicing transfer

1000832 12/27/2012 $ (33,515) $ 7,826,117,961 

Updated due to quarterly assessment and 

reallocation

1000832 1/16/2013 $ (27,000,000) $ 7,799,117,961 Transfer of cap due to servicing transfer

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

4/17/2009 as 

amended on 

1/26/2010
78

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10205 5/14/2010 $ (1,880,000) $ 363,270,000 

Transfer of cap to GMAC Mortgage, Inc. due to 

servicing transfer

10205 6/16/2010 $ (286,510,000) $ 76,760,000 

Transfer of cap to Countrywide Home Loans due to 

servicing transfer

10205 7/14/2010 $ 19,540,000 $ 96,300,000 Updated portfolio data from servicer

10205 7/16/2010 $ (210,000) $ 96,090,000 

Transfer of cap to Green Tree Servicing LLC due to 

servicing transfer

10205 8/13/2010 $ (100,000) $ 95,990,000 Transfer of cap due to servicing transfer

10205 9/30/2010 $ 68,565,782 $ 164,555,782 Updated portfolio data from servicer

10205 1/6/2011 $ (247) $ 164,555,535 Updated portfolio data from servicer

10205 3/30/2011 $ (294) $ 164,555,241 

Updated due to quarterly assessment and 

reallocation

10205 6/29/2011 $ (2,779) $ 164,552,462 

Updated due to quarterly assessment and 

reallocation

10205 13 10/19/2011 $ (162,895,068) $ 1,657,394 Termination of SPA 

4/24/2009 Green Tree Servicing LLC Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 156,000,000 N/A 6/17/2009 $ (64,990,000) $ 91,010,000 Updated portfolio data from servicer

10309 9/30/2009 $ 130,780,000 $ 221,790,000 

Updated portfolio data from servicer & HPDP initial 

cap

10309 12/30/2009 $ (116,750,000) $ 105,040,000 

Updated portfolio data from servicer & HAFA initial 

cap

10309 3/26/2010 $ 13,080,000 $ 118,120,000 Updated portfolio data from servicer

10309 7/14/2010 $ (24,220,000) $ 93,900,000 Updated portfolio data from servicer

10309 7/16/2010 $ 210,000 $ 94,110,000 

Transfer of cap from Wilshire Credit Corporation 

due to servicing transfer

10309 8/13/2010 $ 2,200,000 $ 96,310,000 Transfer of cap due to servicing transfer

10309 9/10/2010 $ 34,600,000 $ 130,910,000 Initial 2MP cap

10309 9/30/2010 $ 5,600,000 $ 136,510,000 Initial FHA-2LP cap and FHA-HAMP

10309 9/30/2010 $ 10,185,090 $ 146,695,090 Updated portfolio data from servicer

10309 10/15/2010 $ 400,000 $ 147,095,090 Transfer of cap due to servicing transfer

10309 1/6/2011 $ (213) $ 147,094,877 Updated portfolio data from servicer

10309 3/30/2011 $ (250) $ 147,094,627 

Updated due to quarterly assessment and 

reallocation

10309 5/13/2011 $ 1,200,000 $ 148,294,627 Transfer of cap due to servicing transfer

10309 6/16/2011 $ 100,000 $ 148,394,627 Transfer of cap due to servicing transfer

10309 6/29/2011 $ (2,302) $ 148,392,325 

Updated due to quarterly assessment and 

reallocation

10309 7/14/2011 $ 1,900,000 $ 150,292,325 Transfer of cap due to servicing transfer

10309 9/15/2011 $ 200,000 $ 150,492,325 Transfer of cap due to servicing transfer

10309 10/14/2011 $ 200,000 $ 150,692,325 Transfer of cap due to servicing transfer

10309 11/16/2011 $ 400,000 $ 151,092,325 Transfer of cap due to servicing transfer

10309 2/16/2012 $ 900,000 $ 151,992,325 Transfer of cap due to servicing transfer

10309 3/15/2012 $ 100,000 $ 152,092,325 Transfer of cap due to servicing transfer

10309 5/16/2012 $ 3,260,000 $ 155,352,325 Transfer of cap due to servicing transfer

10309 6/14/2012 $ 920,000 $ 156,272,325 Transfer of cap due to servicing transfer

10309 6/28/2012 $ (1,622) $ 156,270,703 

Updated due to quarterly assessment and 

reallocation

10309 7/16/2012 $ 110,000 $ 156,380,703 Transfer of cap due to servicing transfer

10309 8/16/2012 $ 5,120,000 $ 161,500,703 Transfer of cap due to servicing transfer

10309 9/27/2012 $ (4,509) $ 161,496,194 

Updated due to quarterly assessment and 

reallocation

10309 10/16/2012 $ 8,810,000 $ 170,306,194 Transfer of cap due to servicing transfer

10309 11/15/2012 $ 2,910,000 $ 173,216,194 Transfer of cap due to servicing transfer

10309 12/27/2012 $ (802) $ 173,215,392 

Updated due to quarterly assessment and 

reallocation

4/27/2009 Carrington Mortgage Services, LLC Santa Ana CA Purchase Financial Instrument for Home Loan Modifications $ 195,000,000 N/A 6/17/2009 $ (63,980,000) $ 131,020,000 Updated portfolio data from servicer

10503 9/30/2009 $ 90,990,000 $ 222,010,000 

Updated portfolio data from servicer & HPDP initial 

cap

10503 12/30/2009 $ 57,980,000 $ 279,990,000 

Updated portfolio data from servicer & HAFA initial 

cap

10503 3/26/2010 $ 74,520,000 $ 354,510,000 Updated portfolio data from servicer

10503 7/14/2010 $ (75,610,000) $ 278,900,000 Updated portfolio data from servicer

10503 8/13/2010 $ 1,100,000 $ 280,000,000 Transfer of cap due to servicing transfer

10503 9/30/2010 $ 3,763,685 $ 283,763,685 Updated portfolio data from servicer

10503 12/15/2010 $ 300,000 $ 284,063,685 Updated portfolio data from servicer

10503 1/6/2011 $ (325) $ 284,063,360 Updated portfolio data from servicer

10503 1/13/2011 $ 2,400,000 $ 286,463,360 Transfer of cap due to servicing transfer

10503 3/30/2011 $ (384) $ 286,462,976 

Updated due to quarterly assessment and 

reallocation

10503 6/29/2011 $ (3,592) $ 286,459,384 

Updated due to quarterly assessment and 

reallocation

10503 8/16/2011 $ 1,800,000 $ 288,259,384 Transfer of cap due to servicing transfer

10503 9/15/2011 $ 100,000 $ 288,359,384 Transfer of cap due to servicing transfer

10503 11/16/2011 $ 1,000,000 $ 289,359,384 Transfer of cap due to servicing transfer

10503 2/16/2012 $ 1,100,000 $ 290,459,384 Transfer of cap due to servicing transfer

10503 4/16/2012 $ 100,000 $ 290,559,384 Transfer of cap due to servicing transfer

10503 5/16/2012 $ 850,000 $ 291,409,384 Transfer of cap due to servicing transfer

10503 6/14/2012 $ 2,240,000 $ 293,649,384 Transfer of cap due to servicing transfer

10503 6/28/2012 $ (2,520) $ 293,646,864 

Updated due to quarterly assessment and 

reallocation
79

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10503 7/16/2012 $ 1,690,000 $ 295,336,864 Transfer of cap due to servicing transfer

RBS 8/16/2012 $ (30,000) $ 295,306,864 Transfer of cap due to servicing transfer

10503 9/27/2012 $ (6,632) $ 295,300,232 

Updated due to quarterly assessment and 

reallocation

10503 10/16/2012 $ 2,880,000 $ 298,180,232 Transfer of cap due to servicing transfer

10503 11/15/2012 $ 1,500,000 $ 299,680,232 Transfer of cap due to servicing transfer

10503 12/14/2012 $ 2,040,000 $ 301,720,232 Transfer of cap due to servicing transfer

10503 12/27/2012 $ (1,103) $ 301,719,129 

Updated due to quarterly assessment and 

reallocation

10503 1/16/2013 $ (10,000) $ 301,709,129 Transfer of cap due to servicing transfer

5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financial Instrument for Home Loan Modifications $ 798,000,000 N/A 6/17/2009 $ (338,450,000) $ 459,550,000 Updated portfolio data from servicer

10231 9/30/2009 $ (11,860,000) $ 447,690,000 

Updated portfolio data from servicer & HPDP initial 

cap

10231 12/30/2009 $ 21,330,000 $ 469,020,000 

Updated portfolio data from servicer & HAFA initial 

cap

10231 3/26/2010 $ 9,150,000 $ 478,170,000 Updated portfolio data from servicer

10231 7/14/2010 $ (76,870,000) $ 401,300,000 Updated portfolio data from servicer

10231 9/1/2010 $ 400,000 $ 401,700,000 Initial FHA-HAMP cap

10231 9/30/2010 $ (8,454,269) $ 393,245,731 Updated portfolio data from servicer

10231 1/6/2011 $ (342) $ 393,245,389 Updated portfolio data from servicer

10231 3/30/2011 $ (374) $ 393,245,015 

Updated due to quarterly assessment and 

reallocation

10231 5/13/2011 $ 18,000,000 $ 411,245,015 Transfer of cap due to servicing transfer

10231 6/29/2011 $ (3,273) $ 411,241,742 

Updated due to quarterly assessment and 

reallocation

10231 10/14/2011 $ (200,000) $ 411,041,742 Transfer of cap due to servicing transfer

10231 3/15/2012 $ 100,000 $ 411,141,742 Transfer of cap due to servicing transfer

10231 4/16/2012 $ (500,000) $ 410,641,742 Transfer of cap due to servicing transfer

10231 6/28/2012 $ (1,768) $ 410,639,974 

Updated due to quarterly assessment and 

reallocation

10231 7/16/2012 $ (90,000) $ 410,549,974 Transfer of cap due to servicing transfer

10231 8/16/2012 $ (134,230,000) $ 276,319,974 Transfer of cap due to servicing transfer

10231 8/23/2012 $ (166,976,849) $ 109,343,125 Transfer of cap due to servicing transfer

10231 9/27/2012 $ 1 $ 109,343,126 

Updated due to quarterly assessment and 

reallocation

10231 11/15/2012 $ (230,000) $ 109,113,126 Transfer of cap due to servicing transfer

5/28/2009 Nationstar Mortgage LLC Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 101,000,000 N/A 6/12/2009 $ 16,140,000 $ 117,140,000 Updated portfolio data from servicer

10406 9/30/2009 $ 134,560,000 $ 251,700,000 

Updated portfolio data from servicer & HPDP initial 

cap

10406 12/30/2009 $ 80,250,000 $ 331,950,000 

Updated portfolio data from servicer & HAFA initial 

cap

10406 3/26/2010 $ 67,250,000 $ 399,200,000 Updated portfolio data from servicer

10406 7/14/2010 $ (85,900,000) $ 313,300,000 Updated portfolio data from servicer

10406 8/13/2010 $ 100,000 $ 313,400,000 Transfer of cap due to servicing transfer

10406 9/30/2010 $ 2,900,000 $ 316,300,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, initial 

RD-HAMP, and initial 2MP cap

10406 9/30/2010 $ 33,801,486 $ 350,101,486 Updated portfolio data from servicer

10406 11/16/2010 $ 700,000 $ 350,801,486 Transfer of cap due to servicing transfer

10406 12/15/2010 $ 1,700,000 $ 352,501,486 Updated portfolio data from servicer

10406 1/6/2011 $ (363) $ 352,501,123 Updated portfolio data from servicer

10406 2/16/2011 $ 900,000 $ 353,401,123 Transfer of cap due to servicing transfer

10406 3/16/2011 $ 29,800,000 $ 383,201,123 Transfer of cap due to servicing transfer

10406 3/30/2011 $ (428) $ 383,200,695 

Updated due to quarterly assessment and 

reallocation

10406 5/26/2011 $ 20,077,503 $ 403,278,198 Transfer of cap due to servicing transfer

10406 6/29/2011 $ (4,248) $ 403,273,950 

Updated due to quarterly assessment and 

reallocation

10406 11/16/2011 $ 100,000 $ 403,373,950 Transfer of cap due to servicing transfer

10406 3/15/2012 $ (100,000) $ 403,273,950 Transfer of cap due to servicing transfer

10406 5/16/2012 $ 90,000 $ 403,363,950 Transfer of cap due to servicing transfer

10406 6/14/2012 $ (2,380,000) $ 400,983,950 Transfer of cap due to servicing transfer

10406 6/28/2012 $ (2,957) $ 400,980,993 

Updated due to quarterly assessment and 

reallocation

10406 7/16/2012 $ (2,580,000) $ 398,400,993 Transfer of cap due to servicing transfer

10406 8/16/2012 $ 131,450,000 $ 529,850,993 Transfer of cap due to servicing transfer

10406 8/23/2012 $ 166,976,849 $ 696,827,842 Transfer of cap due to servicing transfer

10406 9/27/2012 $ (12,806) $ 696,815,036 

Updated due to quarterly assessment and 

reallocation

10406 11/15/2012 $ 160,000 $ 696,975,036 Transfer of cap due to servicing transfer

10406 12/14/2012 $ 50,000 $ 697,025,036 Transfer of cap due to servicing transfer

10406 12/27/2012 $ (1,882) $ 697,023,154 

Updated due to quarterly assessment and 

reallocation

6/12/2009 Residential Credit Solutions, Inc. Fort Worth TX Purchase Financial Instrument for Home Loan Modifications $ 19,400,000 N/A 9/30/2009 $ (1,860,000) $ 17,540,000 

Updated portfolio data from servicer & HPDP initial 

cap

10326 12/30/2009 $ 27,920,000 $ 45,460,000 

Updated portfolio data from servicer & HAFA initial 

cap

10326 3/26/2010 $ (1,390,000) $ 44,070,000 Updated portfolio data from servicer

10326 7/14/2010 $ (13,870,000) $ 30,200,000 Updated portfolio data from servicer

10326 9/30/2010 $ 400,000 $ 30,600,000 

Initial FHA-HAMP cap, initial FHA-2LP cap, and 

initial 2MP cap
80

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10326 9/30/2010 $ 586,954 $ 31,186,954 Updated portfolio data from servicer

10326 1/6/2011 $ (34) $ 31,186,920 Updated portfolio data from servicer

10326 3/30/2011 $ (37) $ 31,186,883 

Updated due to quarterly assessment and 

reallocation

10326 4/13/2011 $ 100,000 $ 31,286,883 Transfer of cap due to servicing transfer

10326 6/29/2011 $ (329) $ 31,286,554 

Updated due to quarterly assessment and 

reallocation

10326 9/15/2011 $ (1,900,000) $ 29,386,554 Transfer of cap due to servicing transfer

10326 11/16/2011 $ 2,800,000 $ 32,186,554 Transfer of cap due to servicing transfer

10326 5/16/2012 $ 420,000 $ 32,606,554 Transfer of cap due to servicing transfer

10326 6/14/2012 $ 8,060,000 $ 40,666,554 Transfer of cap due to servicing transfer

10326 6/28/2012 $ (313) $ 40,666,241 

Updated due to quarterly assessment and 

reallocation

10326 7/16/2012 $ 2,160,000 $ 42,826,241 Transfer of cap due to servicing transfer

10326 9/27/2012 $ (911) $ 42,825,330 

Updated due to quarterly assessment and 

reallocation

10326 10/16/2012 $ 5,690,000 $ 48,515,330 Transfer of cap due to servicing transfer

10326 11/15/2012 $ 20,000 $ 48,535,330 Transfer of cap due to servicing transfer

10326 12/27/2012 $ (178) $ 48,535,152 

Updated due to quarterly assessment and 

reallocation

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

10052 6/28/2012 $ (309) $ 42,645,484 

Updated due to quarterly assessment and 

reallocation

10052 9/27/2012 $ (807) $ 42,644,677 

Updated due to quarterly assessment and 

reallocation

10052 12/27/2012 $ (131) $ 42,644,546 

Updated due to quarterly assessment and 

reallocation

6/17/2009 RG Mortgage Corporation San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 57,000,000 N/A 9/30/2009 $ (11,300,000) $ 45,700,000 

Updated portfolio data from servicer & HPDP initial 

cap

10131 12/30/2009 $ (42,210,000) $ 3,490,000 

Updated portfolio data from servicer & HAFA initial 

cap

10131 3/26/2010 $ 65,640,000 $ 69,130,000 Updated portfolio data from servicer

10131 4/9/2010 $ (14,470,000) $ 54,660,000 Updated portfolio data from servicer

10131 7/14/2010 $ (8,860,000) $ 45,800,000 Updated portfolio data from servicer

10131 9/30/2010 $ (4,459,154) $ 41,340,846 Updated portfolio data from servicer

10131 12/15/2010 $ (4,300,000) $ 37,040,846 Updated portfolio data from servicer

10131 1/6/2011 $ (51) $ 37,040,795 Updated portfolio data from servicer

10131 3/30/2011 $ (65) $ 37,040,730 

Updated due to quarterly assessment and 

reallocation

10131 6/29/2011 $ (616) $ 37,040,114 

Updated due to quarterly assessment and 

reallocation

10131 6/28/2012 $ (462) $ 37,039,652 

Updated due to quarterly assessment and 

reallocation

10131 9/27/2012 $ (1,270) $ 37,038,382 

Updated due to quarterly assessment and 

reallocation

10131 12/27/2012 $ (214) $ 37,038,168 

Updated due to quarterly assessment and 

reallocation

6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 12/30/2009 $ 2,020,000 $ 2,790,000 

Updated portfolio data from servicer & HAFA initial 

cap

10224 3/26/2010 $ 11,370,000 $ 14,160,000 Updated portfolio data from servicer

10224 5/26/2010 $ (14,160,000) $ - Termination of SPA 

6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 9/30/2009 $ 330,000 $ 870,000 

Updated portfolio data from servicer & HPDP initial 

cap

10126 12/30/2009 $ 16,490,000 $ 17,360,000 

Updated portfolio data from servicer & HAFA initial 

cap

10126 3/26/2010 $ (14,260,000) $ 3,100,000 Updated portfolio data from servicer

10126 7/14/2010 $ (1,800,000) $ 1,300,000 Updated portfolio data from servicer

10126 7/30/2010 $ 1,500,000 $ 2,800,000 Updated portfolio data from servicer

10126 9/30/2010 $ 1,551,668 $ 4,351,668 Updated portfolio data from servicer

10126 1/6/2011 $ (2) $ 4,351,666 Updated portfolio data from servicer

10126 3/30/2011 $ (2) $ 4,351,664 

Updated due to quarterly assessment and 

reallocation

10126 5/13/2011 $ (1,800,000) $ 2,551,664 Transfer of cap due to servicing transfer

10126 12 6/3/2011 $ (1,872,787) $ 678,877 Termination of SPA 

10126 9 6/14/2012 $ 990,000 $ 1,668,877 Transfer of cap due to servicing transfer

10126 9/27/2012 $ 372,177 $ 2,041,054 

Updated due to quarterly assessment and 

reallocation

6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 9/30/2009 $ (10,000) $ 20,000 

Updated portfolio data from servicer & HPDP initial 

cap

10002 12/30/2009 $ 590,000 $ 610,000 

Updated portfolio data from servicer & HAFA initial 

cap

10002 3/26/2010 $ (580,000) $ 30,000 Updated portfolio data from servicer

10002 7/14/2010 $ 70,000 $ 100,000 Updated portfolio data from servicer

10002 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10002 2/17/2011 $ (145,056) $ - Termination of SPA 

6/26/2009 Technology Credit Union San Jose CA Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 12/30/2009 $ 2,180,000 $ 2,250,000 

Updated portfolio data from servicer & HAFA initial 

cap
81

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10014 3/26/2010 $ (720,000) $ 1,530,000 Updated portfolio data from servicer

10014 7/14/2010 $ (430,000) $ 1,100,000 Updated portfolio data from servicer

10014 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

10014 1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

10014 3/30/2011 $ (1) $ 1,160,443 

Updated due to quarterly assessment and 

reallocation

10014 6/29/2011 $ (12) $ 1,160,431 

Updated due to quarterly assessment and 

reallocation

10014 6/28/2012 $ (9) $ 1,160,422 

Updated due to quarterly assessment and 

reallocation

10014 9/27/2012 $ (23) $ 1,160,399 

Updated due to quarterly assessment and 

reallocation

10014 12/27/2012 $ (4) $ 1,160,395 

Updated due to quarterly assessment and 

reallocation

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 10/14/2011 $ 300,000 $ 558,618,998 Transfer of cap due to servicing transfer

10349 11/16/2011 $ (300,000) $ 558,318,998 Transfer of cap due to servicing transfer

10349 1/13/2012 $ 200,000 $ 558,518,998 Transfer of cap due to servicing transfer

10349 2/16/2012 $ (100,000) $ 558,418,998 Transfer of cap due to servicing transfer

10349 3/15/2012 $ 200,000 $ 558,618,998 Transfer of cap due to servicing transfer

10349 6/14/2012 $ (10,000) $ 558,608,998 Transfer of cap due to servicing transfer

10349 6/28/2012 $ (6,771) $ 558,602,227 

Updated due to quarterly assessment and 

reallocation

10349 9/27/2012 $ (18,467) $ 558,583,760 

Updated due to quarterly assessment and 

reallocation

10349 12/27/2012 $ (3,105) $ 558,580,655 

Updated due to quarterly assessment and 

reallocation

7/1/2009 Wachovia Mortgage, FSB Des Moines IA Purchase Financial Instrument for Home Loan Modifications $ 634,010,000 N/A 9/30/2009 $ 723,880,000 $ 1,357,890,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000642 12/30/2009 $ 692,640,000 $ 2,050,530,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000642 2/17/2010 $ (2,050,236,344) $ 293,656 

Transfer of cap (to Wells Fargo Bank) due to 

merger

1000642 3 3/12/2010 $ (54,767) $ 238,890 

Transfer of cap (to Wells Fargo Bank) due to 

merger

7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44,260,000 N/A 9/30/2009 $ 23,850,000 $ 68,110,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000667 12/30/2009 $ 43,590,000 $ 111,700,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000667 3/26/2010 $ 34,540,000 $ 146,240,000 Updated portfolio data from servicer

1000667 5/7/2010 $ 1,010,000 $ 147,250,000 Initial 2MP cap

1000667 7/14/2010 $ (34,250,000) $ 113,000,000 Updated portfolio data from servicer

1000667 9/30/2010 $ 600,000 $ 113,600,000 Initial FHA-2LP cap

1000667 9/30/2010 $ (15,252,303) $ 98,347,697 Updated portfolio data from servicer

1000667 1/6/2011 $ (70) $ 98,347,627 Updated portfolio data from servicer

1000667 3/30/2011 $ (86) $ 98,347,541 

Updated due to quarterly assessment and 

reallocation

1000667 4/13/2011 $ 400,000 $ 98,747,541 Transfer of cap due to servicing transfer

1000667 5/13/2011 $ 100,000 $ 98,847,541 Transfer of cap due to servicing transfer

1000667 6/29/2011 $ (771) $ 98,846,770 

Updated due to quarterly assessment and 

reallocation

1000667 9/15/2011 $ 600,000 $ 99,446,770 Transfer of cap due to servicing transfer

1000667 10/14/2011 $ (18,900,000) $ 80,546,770 Transfer of cap due to servicing transfer

1000667 1/13/2012 $ 900,000 $ 81,446,770 Transfer of cap due to servicing transfer

1000667 2/16/2012 $ 2,400,000 $ 83,846,770 Transfer of cap due to servicing transfer

1000667 3/15/2012 $ (100,000) $ 83,746,770 Transfer of cap due to servicing transfer

1000667 4/16/2012 $ 200,000 $ 83,946,770 Transfer of cap due to servicing transfer

1000667 5/16/2012 $ 30,000 $ 83,976,770 Transfer of cap due to servicing transfer

1000667 6/14/2012 $ 1,810,000 $ 85,786,770 Transfer of cap due to servicing transfer

1000667 6/28/2012 $ (508) $ 85,786,262 

Updated due to quarterly assessment and 

reallocation

1000667 7/16/2012 $ 2,660,000 $ 88,446,262 Transfer of cap due to servicing transfer

1000667 9/27/2012 $ (1,249) $ 88,445,013 

Updated due to quarterly assessment and 

reallocation

1000667 10/16/2012 $ 160,000 $ 88,605,013 Transfer of cap due to servicing transfer

11/15/2012 $ 6,970,000 $ 95,575,013 Transfer of cap due to servicing transfer
82

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1000667 12/14/2012 $ 13,590,000 $ 109,165,013 Transfer of cap due to servicing transfer

1000667 12/27/2012 $ (298) $ 109,164,715 

Updated due to quarterly assessment and 

reallocation

1000667 1/16/2013 $ 90,000 $ 109,254,715 Transfer of cap due to servicing transfer

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

10355 6/28/2012 $ (4) $ 435,155 

Updated due to quarterly assessment and 

reallocation

10355 12 8/23/2012 $ (424,504) $ 10,651 Termination of SPA 

7/10/2009 IBM Southeast Employees' Federal Credit Union Delray Beach FL Purchase Financial Instrument for Home Loan Modifications $ 870,000 N/A 9/30/2009 $ (10,000) $ 860,000 

Updated portfolio data from servicer & HPDP initial 

cap

10029 12/30/2009 $ 250,000 $ 1,110,000 

Updated portfolio data from servicer & HAFA initial 

cap

10029 3/26/2010 $ (10,000) $ 1,100,000 Updated portfolio data from servicer

10029 7/14/2010 $ (400,000) $ 700,000 Updated portfolio data from servicer

10029 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

10029 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10029 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10029 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

10029 6/28/2012 $ (9) $ 870,311 

Updated due to quarterly assessment and 

reallocation

10029 12 9/14/2012 $ (821,722) $ 48,589 Termination of SPA 

7/17/2009 MorEquity, Inc. Evansville IN Purchase Financial Instrument for Home Loan Modifications $ 23,480,000 N/A 9/30/2009 $ 18,530,000 $ 42,010,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000957 12/30/2009 $ 24,510,000 $ 66,520,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000957 3/26/2010 $ 18,360,000 $ 84,880,000 Updated portfolio data from servicer

1000957 7/14/2010 $ (22,580,000) $ 62,300,000 Updated portfolio data from servicer

1000957 9/30/2010 $ (8,194,261) $ 54,105,739 Updated portfolio data from servicer

1000957 1/6/2011 $ (37) $ 54,105,702 Updated portfolio data from servicer

1000957 3/16/2011 $ (29,400,000) $ 24,705,702 Transfer of cap due to servicing transfer

1000957 3/30/2011 $ (34) $ 24,705,668 

Updated due to quarterly assessment and 

reallocation

1000957 11 5/26/2011 $ (20,077,503) $ 4,628,165 

Termination of SPA 

(remaining cap equals distribution amount)

7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 54,470,000 N/A 9/30/2009 $ (36,240,000) $ 18,230,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000834 12/30/2009 $ 19,280,000 $ 37,510,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000834 3/26/2010 $ 2,470,000 $ 39,980,000 Updated portfolio data from servicer

1000834 7/14/2010 $ (17,180,000) $ 22,800,000 Updated portfolio data from servicer

1000834 9/30/2010 $ 35,500,000 $ 58,300,000 Initial FHA-2LP cap and initial 2MP cap

1000834 9/30/2010 $ 23,076,191 $ 81,376,191 Updated portfolio data from servicer

1000834 1/6/2011 $ (123) $ 81,376,068 Updated portfolio data from servicer

1000834 3/30/2011 $ (147) $ 81,375,921 

Updated due to quarterly assessment and 

reallocation

1000834 5/13/2011 $ (100,000) $ 81,275,921 Transfer of cap due to servicing transfer

1000834 6/29/2011 $ (1,382) $ 81,274,539 

Updated due to quarterly assessment and 

reallocation

1000834 10/14/2011 $ (300,000) $ 80,974,539 Transfer of cap due to servicing transfer

1000834 6/28/2012 $ (1,003) $ 80,973,536 

Updated due to quarterly assessment and 

reallocation

1000834 9/27/2012 $ (2,745) $ 80,970,791 

Updated due to quarterly assessment and 

reallocation

1000834 12/27/2012 $ (460) $ 80,970,331 

Updated due to quarterly assessment and 

reallocation

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
83

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10257 6/28/2012 $ (29) $ 2,671,372 

Updated due to quarterly assessment and 

reallocation

10257 9/27/2012 $ (79) $ 2,671,293 

Updated due to quarterly assessment and 

reallocation

10257 12/27/2012 $ (13) $ 2,671,280 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Homeward Residential, Inc. (American Home Mortgage 

Servicing, Inc) Coppell TX Purchase Financial Instrument for Home Loan Modifications $ 1,272,490,000 N/A 9/30/2009 $ (53,670,000) $ 1,218,820,000 

Updated portfolio data from servicer & HPDP initial 

cap

10727 12/30/2009 $ 250,450,000 $ 1,469,270,000 

Updated portfolio data from servicer & HAFA initial 

cap

10727 3/26/2010 $ 124,820,000 $ 1,594,090,000 Updated portfolio data from servicer

10727 7/14/2010 $ (289,990,000) $ 1,304,100,000 Updated portfolio data from servicer

10727 9/30/2010 $ 1,690,508 $ 1,305,790,508 Updated portfolio data from servicer

10727 10/15/2010 $ 300,000 $ 1,306,090,508 Transfer of cap due to servicing transfer

10727 11/16/2010 $ (100,000) $ 1,305,990,508 Transfer of cap due to servicing transfer

10727 1/6/2011 $ (1,173) $ 1,305,989,335 Updated portfolio data from servicer

10727 2/16/2011 $ (500,000) $ 1,305,489,335 Transfer of cap due to servicing transfer

10727 3/30/2011 $ (1,400) $ 1,305,487,935 

Updated due to quarterly assessment and 

reallocation

10727 4/13/2011 $ 3,100,000 $ 1,308,587,935 Transfer of cap due to servicing transfer

10727 6/29/2011 $ (12,883) $ 1,308,575,052 

Updated due to quarterly assessment and 

reallocation

10727 9/15/2011 $ (1,000,000) $ 1,307,575,052 Transfer of cap due to servicing transfer

10727 10/14/2011 $ (100,000) $ 1,307,475,052 Transfer of cap due to servicing transfer

10727 11/16/2011 $ (1,100,000) $ 1,306,375,052 Transfer of cap due to servicing transfer

10727 5/16/2012 $ (10,000) $ 1,306,365,052 Transfer of cap due to servicing transfer

10727 6/28/2012 $ (8,378) $ 1,306,356,674 

Updated due to quarterly assessment and 

reallocation

10727 7/16/2012 $ (470,000) $ 1,305,886,674 Transfer of cap due to servicing transfer

10727 8/16/2012 $ (80,000) $ 1,305,806,674 Transfer of cap due to servicing transfer

10727 9/27/2012 $ (22,494) $ 1,305,784,180 

Updated due to quarterly assessment and 

reallocation

10727 10/16/2012 $ (260,000) $ 1,305,524,180 Transfer of cap due to servicing transfer

10727 11/15/2012 $ (30,000) $ 1,305,494,180 Transfer of cap due to servicing transfer

10727 12/14/2012 $ (50,000) $ 1,305,444,180 Transfer of cap due to servicing transfer

10727 12/27/2012 $ (3,676) $ 1,305,440,504 

Updated due to quarterly assessment and 

reallocation

10727 1/16/2013 $ (80,000) $ 1,305,360,504 Transfer of cap due to servicing transfer

7/22/2009 Mortgage Center, LLC Southfield MI Purchase Financial Instrument for Home Loan Modifications $ 4,210,000 N/A 9/30/2009 $ 1,780,000 $ 5,990,000 

Updated portfolio data from servicer & HPDP initial 

cap

10439 12/30/2009 $ 2,840,000 $ 8,830,000 

Updated portfolio data from servicer & HAFA initial 

cap

10439 3/26/2010 $ 2,800,000 $ 11,630,000 Updated portfolio data from servicer

10439 7/14/2010 $ (5,730,000) $ 5,900,000 Updated portfolio data from servicer

10439 9/30/2010 $ 2,658,280 $ 8,558,280 Updated portfolio data from servicer

10439 1/6/2011 $ (12) $ 8,558,268 Updated portfolio data from servicer

10439 3/30/2011 $ (14) $ 8,558,254 

Updated due to quarterly assessment and 

reallocation

10439 6/29/2011 $ (129) $ 8,558,125 

Updated due to quarterly assessment and 

reallocation

10439 6/28/2012 $ (94) $ 8,558,031 

Updated due to quarterly assessment and 

reallocation

10439 9/27/2012 $ (256) $ 8,557,775 

Updated due to quarterly assessment and 

reallocation

10439 12/27/2012 $ (43) $ 8,557,732 

Updated due to quarterly assessment and 

reallocation

7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 860,000 N/A 9/30/2009 $ (490,000) $ 370,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000455 12/30/2009 $ 6,750,000 $ 7,120,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000455 3/26/2010 $ (6,340,000) $ 780,000 Updated portfolio data from servicer

1000455 7/14/2010 $ (180,000) $ 600,000 Updated portfolio data from servicer

1000455 9/30/2010 $ 125,278 $ 725,278 Updated portfolio data from servicer

1000455 3/30/2011 $ (1) $ 725,277 

Updated due to quarterly assessment and 

reallocation

1000455 6/29/2011 $ (4) $ 725,273 

Updated due to quarterly assessment and 

reallocation

1000455 6/28/2012 $ (1) $ 725,272 

Updated due to quarterly assessment and 

reallocation

1000455 9/27/2012 $ (1) $ 725,271 

Updated due to quarterly assessment and 

reallocation

7/29/2009 First Bank St. Louis MO Purchase Financial Instrument for Home Loan Modifications $ 6,460,000 N/A 9/30/2009 $ (1,530,000) $ 4,930,000 

Updated portfolio data from servicer & HPDP initial 

cap

10455 12/30/2009 $ 680,000 $ 5,610,000 

Updated portfolio data from servicer & HAFA initial 

cap

10455 3/26/2010 $ 2,460,000 $ 8,070,000 Updated portfolio data from servicer

10455 7/14/2010 $ (2,470,000) $ 5,600,000 Updated portfolio data from servicer

10455 9/30/2010 $ 2,523,114 $ 8,123,114 Updated portfolio data from servicer

10455 1/6/2011 $ (2) $ 8,123,112 Updated portfolio data from servicer

10455 3/30/2011 $ (2) $ 8,123,110 

Updated due to quarterly assessment and 

reallocation

10455 6/29/2011 $ (15) $ 8,123,095 

Updated due to quarterly assessment and 

reallocation

10455 6/28/2012 $ (3) $ 8,123,092 

Updated due to quarterly assessment and 

reallocation

10455 9/27/2012 $ (5) $ 8,123,087 

Updated due to quarterly assessment and 

reallocation

10455 12/27/2012 $ (1) $ 8,123,086 

Updated due to quarterly assessment and 

reallocation

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
84

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1000505 3/26/2010 $ 2,070,000 $ 4,360,000 Updated portfolio data from servicer

1000505 7/14/2010 $ (3,960,000) $ 400,000 Updated portfolio data from servicer

1000505 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000505 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000505 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000505 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1000505 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

1000505 9/27/2012 $ (17) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1000505 12/27/2012 $ (3) $ 580,186 

Updated due to quarterly assessment and 

reallocation

7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 85,020,000 N/A 9/30/2009 $ (37,700,000) $ 47,320,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000902 12/30/2009 $ 26,160,000 $ 73,480,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000902 3/26/2010 $ 9,820,000 $ 83,300,000 Updated portfolio data from servicer

1000902 7/14/2010 $ (46,200,000) $ 37,100,000 Updated portfolio data from servicer

1000902 9/30/2010 $ (28,686,775) $ 8,413,225 Updated portfolio data from servicer

1000902 12/3/2010 $ (8,413,225) $ - Termination of SPA 

7/31/2009 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

10706 5/16/2012 $ (126,080,000) $ 3,736,214,604 Transfer of cap due to servicing transfer

10706 6/14/2012 $ (1,620,000) $ 3,734,594,604 Transfer of cap due to servicing transfer

10706 6/28/2012 $ (16,192) $ 3,734,578,412 

Updated due to quarterly assessment and 

reallocation

10706 7/16/2012 $ (2,300,000) $ 3,732,278,412 Transfer of cap due to servicing transfer

10706 8/16/2012 $ (20,000) $ 3,732,258,412 Transfer of cap due to servicing transfer

10706 9/27/2012 $ (37,341) $ 3,732,221,071 

Updated due to quarterly assessment and 

reallocation

10706 10/16/2012 $ (1,130,000) $ 3,731,091,071 Transfer of cap due to servicing transfer

10706 11/15/2012 $ (3,770,000) $ 3,727,321,071 Transfer of cap due to servicing transfer

10706 12/14/2012 $ (180,000) $ 3,727,141,071 Transfer of cap due to servicing transfer

10706 12/27/2012 $ (4,535) $ 3,727,136,536 

Updated due to quarterly assessment and 

reallocation

10706 1/16/2013 $ (60,000) $ 3,727,076,536 Transfer of cap due to servicing transfer

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

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
85

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001020 7/14/2011 $ (600,000) $ 554,653,088 Transfer of cap due to servicing transfer

1001020 14 10/19/2011 $ (519,211,309) $ 35,441,779 Termination of SPA 

8/5/2009 Lake City Bank Warsaw IN Purchase Financial Instrument for Home Loan Modifications $ 420,000 N/A 9/30/2009 $ 180,000 $ 600,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000840 12/30/2009 $ (350,000) $ 250,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000840 3/26/2010 $ 20,000 $ 270,000 Updated portfolio data from servicer

1000840 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

1000840 9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer

1000840 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

1000840 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

1000840 9/27/2012 $ (7) $ 290,099 

Updated due to quarterly assessment and 

reallocation

1000840 12/27/2012 $ (1) $ 290,098 

Updated due to quarterly assessment and 

reallocation

8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 9/30/2009 $ 290,000 $ 430,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000609 12/30/2009 $ 210,000 $ 640,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000609 3/26/2010 $ 170,000 $ 810,000 Updated portfolio data from servicer

1000609 7/14/2010 $ (10,000) $ 800,000 Updated portfolio data from servicer

1000609 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1000609 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000609 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000609 4/13/2011 $ (200,000) $ 525,276 Transfer of cap due to servicing transfer

1000609 6/29/2011 $ (7) $ 525,269 

Updated due to quarterly assessment and 

reallocation

1000609 12 7/22/2011 $ (515,201) $ 10,068 Termination of SPA 

8/5/2009 HomEq Servicing North Highlands CA Purchase Financial Instrument for Home Loan Modifications $ 674,000,000 N/A 9/30/2009 $ (121,190,000) $ 552,810,000 

Updated portfolio data from servicer & HPDP initial 

cap

10717 12/30/2009 $ (36,290,000) $ 516,520,000 

Updated portfolio data from servicer & HAFA initial 

cap

10717 3/26/2010 $ 199,320,000 $ 715,840,000 Updated portfolio data from servicer

10717 7/14/2010 $ (189,040,000) $ 526,800,000 Updated portfolio data from servicer

10717 9/30/2010 $ 38,626,728 $ 565,426,728 Updated portfolio data from servicer

10717 10/15/2010 $ (170,800,000) $ 394,626,728 Transfer of cap due to servicing transfer

10717 12/15/2010 $ (22,200,000) $ 372,426,728 Updated portfolio data from servicer

10717 1/6/2011 $ (549) $ 372,426,179 Updated portfolio data from servicer

10717 2/16/2011 $ (900,000) $ 371,526,179 Transfer of cap due to servicing transfer

10717 3/30/2011 $ (653) $ 371,525,526 

Updated due to quarterly assessment and 

reallocation

10717 6/29/2011 $ (6,168) $ 371,519,358 

Updated due to quarterly assessment and 

reallocation

10717 6/28/2012 $ (4,634) $ 371,514,724 

Updated due to quarterly assessment and 

reallocation

10717 8/16/2012 $ (430,000) $ 371,084,724 Transfer of cap due to servicing transfer

10717 9/27/2012 $ (12,728) $ 371,071,996 

Updated due to quarterly assessment and 

reallocation

10717 12/14/2012 $ (20,000) $ 371,051,996 Transfer of cap due to servicing transfer

10717 12/27/2012 $ (2,148) $ 371,049,848 

Updated due to quarterly assessment and 

reallocation

8/12/2009 Litton Loan Servicing, LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ 774,900,000 N/A 9/30/2009 $ 313,050,000 $ 1,087,950,000 

Updated portfolio data from servicer & HPDP initial 

cap

10438 12/30/2009 $ 275,370,000 $ 1,363,320,000 

Updated portfolio data from servicer & HAFA initial 

cap

10438 3/26/2010 $ 278,910,000 $ 1,642,230,000 Updated portfolio data from servicer

10438 7/14/2010 $ (474,730,000) $ 1,167,500,000 Updated portfolio data from servicer

10438 8/13/2010 $ (700,000) $ 1,166,800,000 Transfer of cap to due to servicing transfer

10438 9/15/2010 $ (1,000,000) $ 1,165,800,000 Transfer of cap to due to servicing transfer

10438 9/30/2010 $ (115,017,236) $ 1,050,782,764 Updated portfolio data from servicer

10438 10/15/2010 $ (800,000) $ 1,049,982,764 Transfer of cap due to servicing transfer

10438 12/15/2010 $ 800,000 $ 1,050,782,764 Updated portfolio data from servicer

10438 1/6/2011 $ (1,286) $ 1,050,781,478 Updated portfolio data from servicer

10438 3/16/2011 $ 8,800,000 $ 1,059,581,478 Transfer of cap due to servicing transfer

10438 3/30/2011 $ (1,470) $ 1,059,580,008 

Updated due to quarterly assessment and 

reallocation

10438 4/13/2011 $ (3,300,000) $ 1,056,280,008 Transfer of cap due to servicing transfer

10438 5/13/2011 $ (300,000) $ 1,055,980,008 Transfer of cap due to servicing transfer

10438 6/16/2011 $ (700,000) $ 1,055,280,008 Transfer of cap due to servicing transfer

10438 6/29/2011 $ (13,097) $ 1,055,266,911 

Updated due to quarterly assessment and 

reallocation

10438 7/14/2011 $ (200,000) $ 1,055,066,911 Transfer of cap due to servicing transfer

10438 9/15/2011 $ (2,900,000) $ 1,052,166,911 Transfer of cap due to servicing transfer

10438 10/14/2011 $ (300,000) $ 1,051,866,911 Transfer of cap due to servicing transfer

10438 11/16/2011 $ (500,000) $ 1,051,366,911 Transfer of cap due to servicing transfer

10438 12/15/2011 $ (2,600,000) $ 1,048,766,911 Transfer of cap due to servicing transfer

10438 1/13/2012 $ (194,800,000) $ 853,966,911 Transfer of cap due to servicing transfer

10438 2/16/2012 $ (400,000) $ 853,566,911 Transfer of cap due to servicing transfer

10438 6/28/2012 $ (9,728) $ 853,557,183 

Updated due to quarterly assessment and 

reallocation
86

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10438 8/16/2012 $ (7,990,000) $ 845,567,183 Transfer of cap due to servicing transfer

10438 9/27/2012 $ (26,467) $ 845,540,716 

Updated due to quarterly assessment and 

reallocation

10438 12/27/2012 $ (4,466) $ 845,536,250 

Updated due to quarterly assessment and 

reallocation

8/12/2009 PennyMac Loan Services, LLC Calasbasa CA Purchase Financial Instrument for Home Loan Modifications $ 6,210,000 N/A 9/30/2009 $ (1,200,000) $ 5,010,000 

Updated portfolio data from servicer & HPDP initial 

cap

1000744 12/30/2009 $ 30,800,000 $ 35,810,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000744 3/26/2010 $ 23,200,000 $ 59,010,000 Updated portfolio data from servicer

1000744 6/16/2010 $ 2,710,000 $ 61,720,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000744 7/14/2010 $ (18,020,000) $ 43,700,000 Updated portfolio data from servicer

1000744 7/16/2010 $ 6,680,000 $ 50,380,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000744 8/13/2010 $ 2,600,000 $ 52,980,000 Transfer of cap to due to servicing transfer

1000744 9/15/2010 $ (100,000) $ 52,880,000 Transfer of cap to due to servicing transfer

1000744 9/30/2010 $ 200,000 $ 53,080,000 Initial FHA-HAMP cap and 2MP initial cap

1000744 9/30/2010 $ (1,423,197) $ 51,656,803 Updated portfolio data from servicer

1000744 11/16/2010 $ 1,400,000 $ 53,056,803 Transfer of cap due to servicing transfer

1000744 12/15/2010 $ (100,000) $ 52,956,803 Updated portfolio data from servicer

1000744 1/6/2011 $ (72) $ 52,956,731 Updated portfolio data from servicer

1000744 1/13/2011 $ 4,100,000 $ 57,056,731 Transfer of cap due to servicing transfer

1000744 2/16/2011 $ (100,000) $ 56,956,731 Transfer of cap due to servicing transfer

1000744 3/16/2011 $ 4,000,000 $ 60,956,731 Transfer of cap due to servicing transfer

1000744 3/30/2011 $ (94) $ 60,956,637 

Updated due to quarterly assessment and 

reallocation

1000744 4/13/2011 $ (100,000) $ 60,856,637 Transfer of cap due to servicing transfer

1000744 5/13/2011 $ 5,800,000 $ 66,656,637 Transfer of cap due to servicing transfer

1000744 6/16/2011 $ 600,000 $ 67,256,637 Transfer of cap due to servicing transfer

1000744 6/29/2011 $ (812) $ 67,255,825 

Updated due to quarterly assessment and 

reallocation

1000744 7/14/2011 $ 2,500,000 $ 69,755,825 Transfer of cap due to servicing transfer

1000744 9/15/2011 $ 2,800,000 $ 72,555,825 Transfer of cap due to servicing transfer

1000744 10/14/2011 $ 300,000 $ 72,855,825 Transfer of cap due to servicing transfer

1000744 11/16/2011 $ 900,000 $ 73,755,825 Transfer of cap due to servicing transfer

1000744 12/15/2011 $ 800,000 $ 74,555,825 Transfer of cap due to servicing transfer

1000744 1/13/2012 $ 200,000 $ 74,755,825 Transfer of cap due to servicing transfer

1000744 3/15/2012 $ 1,900,000 $ 76,655,825 Transfer of cap due to servicing transfer

1000744 4/16/2012 $ 200,000 $ 76,855,825 Transfer of cap due to servicing transfer

1000744 6/14/2012 $ 1,340,000 $ 78,195,825 Transfer of cap due to servicing transfer

1000744 6/28/2012 $ (340) $ 78,195,485 

Updated due to quarterly assessment and 

reallocation

1000744 7/16/2012 $ 2,930,000 $ 81,125,485 Transfer of cap due to servicing transfer

1000744 8/16/2012 $ 890,000 $ 82,015,485 Transfer of cap due to servicing transfer

1000744 9/27/2012 $ (974) $ 82,014,511 

Updated due to quarterly assessment and 

reallocation

1000744 10/16/2012 $ 1,800,000 $ 83,814,511 Transfer of cap due to servicing transfer

1000744 12/14/2012 $ 3,860,000 $ 87,674,511 Transfer of cap due to servicing transfer

1000744 12/27/2012 $ (154) $ 87,674,357 

Updated due to quarterly assessment and 

reallocation

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
87

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10454 9/15/2011 $ (600,000) $ 31,754,438 Transfer of cap due to servicing transfer

10454 10/14/2011 $ 4,000,000 $ 35,754,438 Transfer of cap due to servicing transfer

10454 11/16/2011 $ 600,000 $ 36,354,438 Transfer of cap due to servicing transfer

10454 12/15/2011 $ 200,000 $ 36,554,438 Transfer of cap due to servicing transfer

10454 1/13/2012 $ 100,000 $ 36,654,438 Transfer of cap due to servicing transfer

10454 2/16/2012 $ 1,300,000 $ 37,954,438 Transfer of cap due to servicing transfer

10454 3/15/2012 $ 1,100,000 $ 39,054,438 Transfer of cap due to servicing transfer

10454 4/16/2012 $ 800,000 $ 39,854,438 Transfer of cap due to servicing transfer

10454 5/16/2012 $ (1,080,000) $ 38,774,438 Transfer of cap due to servicing transfer

10454 6/14/2012 $ 1,560,000 $ 40,334,438 Transfer of cap due to servicing transfer

10454 6/28/2012 $ (465) $ 40,333,973 

Updated due to quarterly assessment and 

reallocation

10454 8/16/2012 $ 70,000 $ 40,403,973 Transfer of cap due to servicing transfer

10454 9/27/2012 $ (1,272) $ 40,402,701 

Updated due to quarterly assessment and 

reallocation

10454 10/16/2012 $ 2,100,000 $ 42,502,701 Transfer of cap due to servicing transfer

10454 11/15/2012 $ 1,340,000 $ 43,842,701 Transfer of cap due to servicing transfer

10454 12/14/2012 $ 1,160,000 $ 45,002,701 Transfer of cap due to servicing transfer

10454 12/27/2012 $ (239) $ 45,002,462 

Updated due to quarterly assessment and 

reallocation

10454 1/16/2013 $ 210,000 $ 45,212,462 Transfer of cap due to servicing transfer

8/28/2009 OneWest Bank Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 668,440,000 N/A 10/2/2009 $ 145,800,000 $ 814,240,000 HPDP initial cap

10008 12/30/2009 $ 1,355,930,000 $ 2,170,170,000 

Updated portfolio data from servicer & HAFA initial 

cap

10008 3/26/2010 $ 121,180,000 $ 2,291,350,000 Updated portfolio data from servicer

10008 7/14/2010 $ (408,850,000) $ 1,882,500,000 Updated portfolio data from servicer

10008 9/30/2010 $ 5,500,000 $ 1,888,000,000 2MP initial cap

10008 9/30/2010 $ (51,741,163) $ 1,836,258,837 Updated portfolio data from servicer

10008 1/6/2011 $ (2,282) $ 1,836,256,555 Updated portfolio data from servicer

10008 3/30/2011 $ (2,674) $ 1,836,253,881 

Updated due to quarterly assessment and 

reallocation

10008 6/29/2011 $ (24,616) $ 1,836,229,265 

Updated due to quarterly assessment and 

reallocation

10008 6/28/2012 $ (15,481) $ 1,836,213,784 

Updated due to quarterly assessment and 

reallocation

10008 9/27/2012 $ (40,606) $ 1,836,173,178 

Updated due to quarterly assessment and 

reallocation

10008 12/27/2012 $ (6,688) $ 1,836,166,490 

Updated due to quarterly assessment and 

reallocation

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 6/29/2011 $ (232) $ 15,700,893 

Updated due to quarterly assessment and 

reallocation

1001011 6/28/2012 $ (174) $ 15,700,719 

Updated due to quarterly assessment and 

reallocation

1001011 9/27/2012 $ (479) $ 15,700,240 

Updated due to quarterly assessment and 

reallocation

1001011 11/15/2012 $ (350,000) $ 15,350,240 Transfer of cap due to servicing transfer

1001011 12/27/2012 $ (82) $ 15,350,158 

Updated due to quarterly assessment and 

reallocation

9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications $ 560,000 N/A 10/2/2009 $ 130,000 $ 690,000 HPDP initial cap

1001018 12/30/2009 $ 1,040,000 $ 1,730,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001018 3/26/2010 $ (1,680,000) $ 50,000 Updated portfolio data from servicer

1001018 5/12/2010 $ 1,260,000 $ 1,310,000 Updated portfolio data from servicer

1001018 7/14/2010 $ (1,110,000) $ 200,000 Updated portfolio data from servicer

1001018 9/30/2010 $ 100,000 $ 300,000 Initial RD-HAMP

1001018 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1001018 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

1001018 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

1001018 9/27/2012 $ (7) $ 290,099 

Updated due to quarterly assessment and 

reallocation

1001018 12/27/2012 $ (1) $ 290,098 

Updated due to quarterly assessment and 

reallocation

9/2/2009 as amended 

on 8/27/2010 Vantium Capital, Inc.dba Acqura Loan Services Plano TX Purchase Financial Instrument for Home Loan Modifications $ 6,000,000 N/A 10 10/2/2009 $ 1,310,000 $ 7,310,000 HPDP initial cap
88

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10354 12/30/2009 $ (3,390,000) $ 3,920,000 

Updated portfolio data from servicer & HAFA initial 

cap

10354 3/26/2010 $ 410,000 $ 4,330,000 Updated portfolio data from servicer

10354 7/14/2010 $ (730,000) $ 3,600,000 Updated portfolio data from servicer

10354 9/15/2010 $ 4,700,000 $ 8,300,000 Transfer of cap due to servicing transfer

10354 9/30/2010 $ 117,764 $ 8,417,764 Updated portfolio data from servicer

10354 11/16/2010 $ 800,000 $ 9,217,764 Transfer of cap due to servicing transfer

10354 12/15/2010 $ 2,700,000 $ 11,917,764 Updated portfolio data from servicer

10354 1/6/2011 $ (17) $ 11,917,747 Updated portfolio data from servicer

10354 1/13/2011 $ 700,000 $ 12,617,747 Transfer of cap due to servicing transfer

10354 2/16/2011 $ 1,800,000 $ 14,417,747 Transfer of cap due to servicing transfer

10354 3/30/2011 $ (19) $ 14,417,728 

Updated due to quarterly assessment and 

reallocation

10354 4/13/2011 $ 300,000 $ 14,717,728 Transfer of cap due to servicing transfer

10354 6/29/2011 $ (189) $ 14,717,539 

Updated due to quarterly assessment and 

reallocation

10354 8/16/2011 $ 300,000 $ 15,017,539 Transfer of cap due to servicing transfer

10354 9/15/2011 $ 100,000 $ 15,117,539 Transfer of cap due to servicing transfer

10354 10/14/2011 $ 100,000 $ 15,217,539 Transfer of cap due to servicing transfer

10354 6/28/2012 $ (147) $ 15,217,392 

Updated due to quarterly assessment and 

reallocation

10354 7/16/2012 $ (10,000) $ 15,207,392 Transfer of cap due to servicing transfer

10354 9/27/2012 $ (413) $ 15,206,979 

Updated due to quarterly assessment and 

reallocation

10354 11/15/2012 $ (40,000) $ 15,166,979 Transfer of cap due to servicing transfer

10354 12/27/2012 $ (71) $ 15,166,908 

Updated due to quarterly assessment and 

reallocation

9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,250,000 N/A 10/2/2009 $ 280,000 $ 1,530,000 HPDP initial cap

1000890 12/30/2009 $ (750,000) $ 780,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000890 3/26/2010 $ 120,000 $ 900,000 Updated portfolio data from servicer

1000890 7/14/2010 $ (300,000) $ 600,000 Updated portfolio data from servicer

1000890 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1000890 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1000890 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

1000890 6/29/2011 $ (5) $ 870,327 

Updated due to quarterly assessment and 

reallocation

1000890 6/28/2012 $ 21,717 $ 892,044 

Updated due to quarterly assessment and 

reallocation

1000890 9/27/2012 $ 190,077 $ 1,082,121 

Updated due to quarterly assessment and 

reallocation

1000890 12/27/2012 $ 35,966 $ 1,118,087 

Updated due to quarterly assessment and 

reallocation

9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications $ 114,220,000 N/A 10/2/2009 $ 24,920,000 $ 139,140,000 HPDP initial cap

10305 12/30/2009 $ 49,410,000 $ 188,550,000 

Updated portfolio data from servicer & HAFA initial 

cap

10305 3/26/2010 $ 41,830,000 $ 230,380,000 Updated portfolio data from servicer

10305 7/14/2010 $ (85,780,000) $ 144,600,000 Updated portfolio data from servicer

10305 9/30/2010 $ 36,574,444 $ 181,174,444 Updated portfolio data from servicer

10305 1/6/2011 $ (160) $ 181,174,284 Updated portfolio data from servicer

10305 3/30/2011 $ (172) $ 181,174,112 

Updated due to quarterly assessment and 

reallocation

10305 6/29/2011 $ (1,431) $ 181,172,681 

Updated due to quarterly assessment and 

reallocation

10305 6/28/2012 $ (746) $ 181,171,935 

Updated due to quarterly assessment and 

reallocation

10305 9/27/2012 $ (1,926) $ 181,170,009 

Updated due to quarterly assessment and 

reallocation

10305 12/27/2012 $ (308) $ 181,169,701 

Updated due to quarterly assessment and 

reallocation

9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications $ 4,350,000 N/A 10/2/2009 $ 950,000 $ 5,300,000 HPDP initial cap

1000483 12/30/2009 $ 5,700,000 $ 11,000,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000483 3/26/2010 $ 740,000 $ 11,740,000 Updated portfolio data from servicer

1000483 7/14/2010 $ (1,440,000) $ 10,300,000 Updated portfolio data from servicer

1000483 9/30/2010 $ (6,673,610) $ 3,626,390 Updated portfolio data from servicer

1000483 1/6/2011 $ (5) $ 3,626,385 Updated portfolio data from servicer

1000483 3/30/2011 $ (6) $ 3,626,379 

Updated due to quarterly assessment and 

reallocation

1000483 6/29/2011 $ (52) $ 3,626,327 

Updated due to quarterly assessment and 

reallocation

1000483 6/28/2012 $ (38) $ 3,626,289 

Updated due to quarterly assessment and 

reallocation

1000483 9/27/2012 $ (107) $ 3,626,182 

Updated due to quarterly assessment and 

reallocation

1000483 12/27/2012 $ (18) $ 3,626,164 

Updated due to quarterly assessment and 

reallocation

9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications $ 2,070,000 N/A 10/2/2009 $ 460,000 $ 2,530,000 HPDP initial cap

1000467 12/30/2009 $ 2,730,000 $ 5,260,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000467 3/26/2010 $ 13,280,000 $ 18,540,000 Updated portfolio data from servicer

1000467 7/14/2010 $ (13,540,000) $ 5,000,000 Updated portfolio data from servicer

1000467 9/30/2010 $ 1,817,613 $ 6,817,613 Updated portfolio data from servicer

1000467 1/6/2011 $ (10) $ 6,817,603 Updated portfolio data from servicer

1000467 3/30/2011 $ (12) $ 6,817,591 

Updated due to quarterly assessment and 

reallocation
89

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1000467 6/29/2011 $ (115) $ 6,817,476 

Updated due to quarterly assessment and 

reallocation

1000467 6/28/2012 $ (86) $ 6,817,390 

Updated due to quarterly assessment and 

reallocation

1000467 9/27/2012 $ (236) $ 6,817,154 

Updated due to quarterly assessment and 

reallocation

1000467 12/27/2012 $ (40) $ 6,817,114 

Updated due to quarterly assessment and 

reallocation

9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala FL Purchase Financial Instrument for Home Loan Modifications $ 250,000 N/A 10/2/2009 $ 60,000 $ 310,000 HPDP initial cap

1001029 12/30/2009 $ (80,000) $ 230,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001029 3/26/2010 $ 280,000 $ 510,000 Updated portfolio data from servicer

1001029 7/14/2010 $ (410,000) $ 100,000 Updated portfolio data from servicer

1001029 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001029 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001029 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001029 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

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

1000955 6/28/2012 $ (58) $ 7,673,542 

Updated due to quarterly assessment and 

reallocation

1000955 9/27/2012 $ (164) $ 7,673,378 

Updated due to quarterly assessment and 

reallocation

1000955 12/27/2012 $ (29) $ 7,673,349 

Updated due to quarterly assessment and 

reallocation

9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 10/2/2009 $ 90,000 $ 500,000 HPDP initial cap

1001037 12/30/2009 $ 1,460,000 $ 1,960,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001037 3/26/2010 $ 160,000 $ 2,120,000 Updated portfolio data from servicer

1001037 7/14/2010 $ (120,000) $ 2,000,000 Updated portfolio data from servicer

1001037 9/30/2010 $ (1,419,778) $ 580,222 Updated portfolio data from servicer

1001037 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001037 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001037 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001037 1/25/2012 $ (580,212) $ - Termination of SPA 

9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 4,390,000 N/A 10/2/2009 $ 960,000 $ 5,350,000 HPDP initial cap

1001184 12/30/2009 $ (3,090,000) $ 2,260,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001184 3/26/2010 $ 230,000 $ 2,490,000 Updated portfolio data from servicer

1001184 7/14/2010 $ 5,310,000 $ 7,800,000 Updated portfolio data from servicer

1001184 9/30/2010 $ 323,114 $ 8,123,114 Updated portfolio data from servicer

1001184 1/6/2011 $ (12) $ 8,123,102 Updated portfolio data from servicer

1001184 3/16/2011 $ 600,000 $ 8,723,102 Transfer of cap due to servicing transfer

1001184 3/30/2011 $ (16) $ 8,723,086 

Updated due to quarterly assessment and 

reallocation

1001184 4/13/2011 $ 200,000 $ 8,923,086 Transfer of cap due to servicing transfer

1001184 5/13/2011 $ 100,000 $ 9,023,086 Transfer of cap due to servicing transfer

1001184 6/29/2011 $ (153) $ 9,022,933 

Updated due to quarterly assessment and 

reallocation

1001184 9/15/2011 $ 100,000 $ 9,122,933 Transfer of cap due to servicing transfer

1001184 11/16/2011 $ 100,000 $ 9,222,933 Transfer of cap due to servicing transfer

1001184 4/16/2012 $ 1,100,000 $ 10,322,933 Transfer of cap due to servicing transfer

1001184 6/14/2012 $ 650,000 $ 10,972,933 Transfer of cap due to servicing transfer

1001184 6/28/2012 $ (136) $ 10,972,797 

Updated due to quarterly assessment and 

reallocation

1001184 9/27/2012 $ (347) $ 10,972,450 

Updated due to quarterly assessment and 

reallocation

1001184 10/16/2012 $ 250,000 $ 11,222,450 Transfer of cap due to servicing transfer

1001184 11/15/2012 $ 30,000 $ 11,252,450 Transfer of cap due to servicing transfer

1001184 12/14/2012 $ (10,000) $ 11,242,450 Transfer of cap due to servicing transfer
90

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001184 12/27/2012 $ (59) $ 11,242,391 

Updated due to quarterly assessment and 

reallocation

1001184 1/16/2013 $ 20,000 $ 11,262,391 Transfer of cap due to servicing transfer

9/23/2009 Schools Financial Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 390,000 N/A 10/2/2009 $ 90,000 $ 480,000 HPDP initial cap

1001045 12/30/2009 $ 940,000 $ 1,420,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001045 3/26/2010 $ (980,000) $ 440,000 Updated portfolio data from servicer

1001045 7/14/2010 $ (140,000) $ 300,000 Updated portfolio data from servicer

1001045 9/30/2010 $ 1,150,556 $ 1,450,556 Updated portfolio data from servicer

1001045 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001045 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1001045 6/29/2011 $ (22) $ 1,450,530 

Updated due to quarterly assessment and 

reallocation

1001045 6/28/2012 $ (16) $ 1,450,514 

Updated due to quarterly assessment and 

reallocation

1001045 9/27/2012 $ (44) $ 1,450,470 

Updated due to quarterly assessment and 

reallocation

1001045 12/27/2012 $ (7) $ 1,450,463 

Updated due to quarterly assessment and 

reallocation

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

10716 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

10716 9/27/2012 $ (7) $ 290,099 

Updated due to quarterly assessment and 

reallocation

10716 12/27/2012 $ (1) $ 290,098 

Updated due to quarterly assessment and 

reallocation

9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 10/2/2009 $ 10,000 $ 40,000 HPDP initial cap

10149 12/30/2009 $ 120,000 $ 160,000 

Updated portfolio data from servicer & HAFA initial 

cap

10149 3/26/2010 $ 10,000 $ 170,000 Updated portfolio data from servicer

10149 7/14/2010 $ (70,000) $ 100,000 Updated portfolio data from servicer

10149 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10149 10/29/2010 $ (145,056) $ - Termination of SPA 

9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 10/2/2009 $ 60,000 $ 300,000 HPDP initial cap

1001000 12/30/2009 $ 350,000 $ 650,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001000 3/26/2010 $ 1,360,000 $ 2,010,000 Updated portfolio data from servicer

1001000 7/14/2010 $ (1,810,000) $ 200,000 Updated portfolio data from servicer

1001000 9/30/2010 $ 235,167 $ 435,167 Updated portfolio data from servicer

1001000 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1001000 6/29/2011 $ (4) $ 435,162 

Updated due to quarterly assessment and 

reallocation

1001000 6/28/2012 $ (3) $ 435,159 

Updated due to quarterly assessment and 

reallocation

1001000 9/27/2012 $ (7) $ 435,152 

Updated due to quarterly assessment and 

reallocation

1001000 12/27/2012 $ (1) $ 435,151 

Updated due to quarterly assessment and 

reallocation

9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 10/2/2009 $ 100,000 $ 540,000 HPDP initial cap

1000924 12/30/2009 $ 20,000 $ 560,000 

Updated portfolio data from servicer & HAFA initial 

cap

1000924 3/26/2010 $ (290,000) $ 270,000 Updated portfolio data from servicer

1000924 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer

1000924 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

1000924 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000924 4/11/2012 $ (145,055) $ - Termination of SPA 

10/14/2009 Great Lakes Credit Union North Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 12/30/2009 $ 1,030,000 $ 1,600,000 

Updated portfolio data from servicer & HAFA initial 

cap

1001122 3/26/2010 $ (880,000) $ 720,000 Updated portfolio data from servicer

1001122 7/14/2010 $ (320,000) $ 400,000 Updated portfolio data from servicer

1001122 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1001122 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1001122 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1001122 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1001122 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

1001122 9/27/2012 $ (17) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1001122 12/27/2012 $ (3) $ 580,186 

Updated due to quarterly assessment and 

reallocation

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
91

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1000073 3/26/2010 $ 400,000 $ 830,000 Updated portfolio data from servicer

1000073 7/14/2010 $ (430,000) $ 400,000 Updated portfolio data from servicer

1000073 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000073 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000073 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000073 6/29/2011 $ (5) $ 580,215 

Updated due to quarterly assessment and 

reallocation

1000073 6/28/2012 $ (4) $ 580,211 

Updated due to quarterly assessment and 

reallocation

1000073 9/27/2012 $ (11) $ 580,200 

Updated due to quarterly assessment and 

reallocation

1000073 12/27/2012 $ (2) $ 580,198 

Updated due to quarterly assessment and 

reallocation

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

10048 3/15/2012 $ (1,400,000) $ 95,750,095 Transfer of cap due to servicing transfer

10048 6/28/2012 $ (277) $ 95,749,818 

Updated due to quarterly assessment and 

reallocation

10048 9/27/2012 $ (549) $ 95,749,269 

Updated due to quarterly assessment and 

reallocation

10048 12/27/2012 $ (65) $ 95,749,204 

Updated due to quarterly assessment and 

reallocation

10/23/2009 IC Federal Credit Union Fitchburg MA Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

1000740 3/26/2010 $ (760,000) $ 40,000 Updated portfolio data from servicer

1000740 5/12/2010 $ 2,630,000 $ 2,670,000 Updated portfolio data from servicer

1000740 7/14/2010 $ (770,000) $ 1,900,000 Updated portfolio data from servicer

1000740 9/30/2010 $ 565,945 $ 2,465,945 Updated portfolio data from servicer

1000740 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000740 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000740 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

1000740 6/28/2012 $ (29) $ 2,465,868 

Updated due to quarterly assessment and 

reallocation

1000740 9/27/2012 $ (80) $ 2,465,788 

Updated due to quarterly assessment and 

reallocation

1000740 12/27/2012 $ (14) $ 2,465,774 

Updated due to quarterly assessment and 

reallocation

10/28/2009 Harleysville National Bank & Trust Company Harleysville PA Purchase Financial Instrument for Home Loan Modifications $ 1,070,000 N/A 4/21/2010 $ (1,070,000) $ - Termination of SPA 

10/28/2009 Members Mortgage Company, Inc Woburn MA Purchase Financial Instrument for Home Loan Modifications $ 510,000 N/A 4/21/2010 $ (510,000) $ - Termination of SPA 

10/30/2009 DuPage Credit Union Naperville IL Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 1/22/2010 $ 10,000 $ 80,000 Updated HPDP cap & HAFA initial cap

1000585 3/26/2010 $ 10,000 $ 90,000 Updated portfolio data from servicer

1000585 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

1000585 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000585 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000585 9/27/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

11/6/2009 Los Alamos National Bank Los Alamos NM Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 40,000 $ 740,000 Updated HPDP cap & HAFA initial cap

1000676 3/26/2010 $ 50,000 $ 790,000 Updated portfolio data from servicer

1000676 7/14/2010 $ 1,310,000 $ 2,100,000 Updated portfolio data from servicer

1000676 9/30/2010 $ 75,834 $ 2,175,834 Updated portfolio data from servicer

1000676 1/6/2011 $ (3) $ 2,175,831 Updated portfolio data from servicer

1000676 3/30/2011 $ (4) $ 2,175,827 

Updated due to quarterly assessment and 

reallocation

1000676 6/29/2011 $ (35) $ 2,175,792 

Updated due to quarterly assessment and 

reallocation

1000676 6/28/2012 $ (26) $ 2,175,766 

Updated due to quarterly assessment and 

reallocation

1000676 9/27/2012 $ (70) $ 2,175,696 

Updated due to quarterly assessment and 

reallocation

1000676 12/27/2012 $ (12) $ 2,175,684 

Updated due to quarterly assessment and 

reallocation

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
92

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001271 6/29/2011 $ (559) $ 34,461,013 

Updated due to quarterly assessment and 

reallocation

1001271 7/14/2011 $ 300,000 $ 34,761,013 Transfer of cap due to servicing transfer

1001271 8/16/2011 $ 200,000 $ 34,961,013 Transfer of cap due to servicing transfer

1001271 9/15/2011 $ 100,000 $ 35,061,013 Transfer of cap due to servicing transfer

1001271 1/13/2012 $ 100,000 $ 35,161,013 Transfer of cap due to servicing transfer

1001271 6/14/2012 $ 330,000 $ 35,491,013 Transfer of cap due to servicing transfer

1001271 6/28/2012 $ (428) $ 35,490,585 

Updated due to quarterly assessment and 

reallocation

1001271 9/27/2012 $ (1,184) $ 35,489,401 

Updated due to quarterly assessment and 

reallocation

1001271 10/16/2012 $ (1,910,000) $ 33,579,401 Transfer of cap due to servicing transfer

1001271 11/15/2012 $ (980,000) $ 32,599,401 Transfer of cap due to servicing transfer

1001271 12/27/2012 $ (187) $ 32,599,214 

Updated due to quarterly assessment and 

reallocation

11/18/2009 Hillsdale County National Bank Hillsdale MI Purchase Financial Instrument for Home Loan Modifications $ 1,670,000 N/A 1/22/2010 $ 80,000 $ 1,750,000 Updated HPDP cap & HAFA initial cap

1000443 3/26/2010 $ 330,000 $ 2,080,000 Updated portfolio data from servicer

1000443 7/14/2010 $ (1,080,000) $ 1,000,000 Updated portfolio data from servicer

1000443 9/30/2010 $ 160,445 $ 1,160,445 Updated portfolio data from servicer

1000443 1/6/2011 $ (1) $ 1,160,444 Updated portfolio data from servicer

1000443 3/30/2011 $ (2) $ 1,160,442 

Updated due to quarterly assessment and 

reallocation

1000443 6/29/2011 $ (16) $ 1,160,426 

Updated due to quarterly assessment and 

reallocation

1000443 6/28/2012 $ (12) $ 1,160,414 

Updated due to quarterly assessment and 

reallocation

1000443 9/27/2012 $ (33) $ 1,160,381 

Updated due to quarterly assessment and 

reallocation

1000443 12/27/2012 $ (6) $ 1,160,375 

Updated due to quarterly assessment and 

reallocation

11/18/2009 QLending, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 20,000 N/A 3/26/2010 $ (10,000) $ 10,000 Updated portfolio data from servicer

1001304 7/14/2010 $ 90,000 $ 100,000 Updated portfolio data from servicer

1001304 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001304 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001304 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001304 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

11/25/2009 Marix Servicing, LLC Phoenix AZ Purchase Financial Instrument for Home Loan Modifications $ 20,360,000 N/A 1/22/2010 $ 950,000 $ 21,310,000 Updated HPDP cap & HAFA initial cap

10412 3/26/2010 $ (17,880,000) $ 3,430,000 Updated portfolio data from servicer

10412 6/16/2010 $ 1,030,000 $ 4,460,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

10412 7/14/2010 $ (1,160,000) $ 3,300,000 Updated portfolio data from servicer

10412 8/13/2010 $ 800,000 $ 4,100,000 Transfer of cap due to servicing transfer

10412 9/30/2010 $ 200,000 $ 4,300,000 Initial FHA-HAMP cap and initial RD-HAMP

10412 9/30/2010 $ 1,357,168 $ 5,657,168 Updated portfolio data from servicer

10412 1/6/2011 $ (1) $ 5,657,167 Updated portfolio data from servicer

10412 3/16/2011 $ 5,700,000 $ 11,357,167 Transfer of cap due to servicing transfer

10412 3/30/2011 $ (6) $ 11,357,161 

Updated due to quarterly assessment and 

reallocation

10412 4/13/2011 $ 7,300,000 $ 18,657,161 Transfer of cap due to servicing transfer

10412 5/13/2011 $ 300,000 $ 18,957,161 Transfer of cap due to servicing transfer

10412 6/16/2011 $ 900,000 $ 19,857,161 Transfer of cap due to servicing transfer

10412 6/29/2011 $ (154) $ 19,857,007 

Updated due to quarterly assessment and 

reallocation

10412 7/14/2011 $ 100,000 $ 19,957,007 Transfer of cap due to servicing transfer

10412 8/16/2011 $ 300,000 $ 20,257,007 Transfer of cap due to servicing transfer

10412 1/13/2012 $ (1,500,000) $ 18,757,007 Transfer of cap due to servicing transfer

10412 2/16/2012 $ (2,100,000) $ 16,657,007 Transfer of cap due to servicing transfer

10412 4/16/2012 $ (1,300,000) $ 15,357,007 Transfer of cap due to servicing transfer

10412 6/14/2012 $ (8,350,000) $ 7,007,007 Transfer of cap due to servicing transfer

10412 6/28/2012 $ (38) $ 7,006,969 

Updated due to quarterly assessment and 

reallocation

10412 8/16/2012 $ (90,000) $ 6,916,969 Transfer of cap due to servicing transfer

10412 9/27/2012 $ (103) $ 6,916,866 

Updated due to quarterly assessment and 

reallocation

10412 10/16/2012 $ (1,020,000) $ 5,896,866 Transfer of cap due to servicing transfer

10412 11/15/2012 $ 170,000 $ 6,066,866 Transfer of cap due to servicing transfer

10412 12/27/2012 $ (15) $ 6,066,851 

Updated due to quarterly assessment and 

reallocation

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

10519 6/16/2011 $ (100,000) $ 1,350,552 Transfer of cap due to servicing transfer
93

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

10519 6/29/2011 $ (21) $ 1,350,531 

Updated due to quarterly assessment and 

reallocation

10519 12 7/22/2011 $ (1,335,614) $ 14,917 Termination of SPA 

12/4/2009 Community Bank & Trust Company Clarks Summit PA Purchase Financial Instrument for Home Loan Modifications $ 380,000 N/A 1/22/2010 $ 10,000 $ 390,000 Updated HPDP cap & HAFA initial cap

1000978 3/26/2010 $ 520,000 $ 910,000 Updated portfolio data from servicer

1000978 7/14/2010 $ (810,000) $ 100,000 Updated portfolio data from servicer

1000978 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000978 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000978 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000978 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

12/4/2009 Idaho Housing and Finance Association Boise ID Purchase Financial Instrument for Home Loan Modifications $ 9,430,000 N/A 1/22/2010 $ 440,000 $ 9,870,000 Updated HPDP cap & HAFA initial cap

10223 3/26/2010 $ 14,480,000 $ 24,350,000 Updated portfolio data from servicer

10223 5/26/2010 $ (24,200,000) $ 150,000 Updated portfolio data from servicer

10223 7/14/2010 $ 150,000 $ 300,000 Updated portfolio data from servicer

10223 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

10223 6/29/2011 $ (3) $ 290,108 

Updated due to quarterly assessment and 

reallocation

10223 6/28/2012 $ (2) $ 290,106 

Updated due to quarterly assessment and 

reallocation

10223 9/27/2012 $ (6) $ 290,100 

Updated due to quarterly assessment and 

reallocation

10223 12/27/2012 $ (1) $ 290,099 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Spirit of Alaska Federal Credit Union Fairbanks AK Purchase Financial Instrument for Home Loan Modifications $ 360,000 N/A 1/22/2010 $ 10,000 $ 370,000 Updated HPDP cap & HAFA initial cap

1000475 3/26/2010 $ 850,000 $ 1,220,000 Updated portfolio data from servicer

1000475 7/14/2010 $ (120,000) $ 1,100,000 Updated portfolio data from servicer

1000475 9/30/2010 $ 100,000 $ 1,200,000 Initial FHA-HAMP cap

1000475 9/30/2010 $ 105,500 $ 1,305,500 Updated portfolio data from servicer

1000475 1/6/2011 $ (2) $ 1,305,498 Updated portfolio data from servicer

1000475 2/17/2011 $ (1,305,498) $ - Termination of SPA 

12/9/2009 American Eagle Federal Credit Union East Hartford CT Purchase Financial Instrument for Home Loan Modifications $ 1,590,000 N/A 1/22/2010 $ 70,000 $ 1,660,000 Updated HPDP cap & HAFA initial cap

1001228 3/26/2010 $ (290,000) $ 1,370,000 Updated portfolio data from servicer

1001228 7/14/2010 $ (570,000) $ 800,000 Updated portfolio data from servicer

1001228 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

1001228 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001228 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

1001228 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

1001228 1/25/2012 $ (870,319) $ - Termination of SPA 

12/9/2009 Silver State Schools Credit Union Las Vegas NV Purchase Financial Instrument for Home Loan Modifications $ 1,880,000 N/A 1/22/2010 $ 90,000 $ 1,970,000 Updated HPDP cap & HAFA initial cap

1001075 3/26/2010 $ 1,110,000 $ 3,080,000 Updated portfolio data from servicer

1001075 7/14/2010 $ (1,180,000) $ 1,900,000 Updated portfolio data from servicer

1001075 9/30/2010 $ 275,834 $ 2,175,834 Updated portfolio data from servicer

1001075 1/6/2011 $ (2) $ 2,175,832 Updated portfolio data from servicer

1001075 3/30/2011 $ (3) $ 2,175,829 

Updated due to quarterly assessment and 

reallocation

1001075 6/29/2011 $ (26) $ 2,175,803 

Updated due to quarterly assessment and 

reallocation

1001075 6/28/2012 $ (21) $ 2,175,782 

Updated due to quarterly assessment and 

reallocation

1001075 9/27/2012 $ (57) $ 2,175,725 

Updated due to quarterly assessment and 

reallocation

1001075 12/27/2012 $ (10) $ 2,175,715 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Fidelity Homestead Savings Bank New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 2,940,000 N/A 1/22/2010 $ 140,000 $ 3,080,000 Updated HPDP cap & HAFA initial cap

1001269 3/26/2010 $ 6,300,000 $ 9,380,000 Updated portfolio data from servicer

1001269 7/14/2010 $ (1,980,000) $ 7,400,000 Updated portfolio data from servicer

1001269 9/30/2010 $ (6,384,611) $ 1,015,389 Updated portfolio data from servicer

1001269 1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

1001269 3/30/2011 $ (2) $ 1,015,386 

Updated due to quarterly assessment and 

reallocation

1001269 6/29/2011 $ (16) $ 1,015,370 

Updated due to quarterly assessment and 

reallocation

1001269 6/28/2012 $ (12) $ 1,015,358 

Updated due to quarterly assessment and 

reallocation

1001269 9/27/2012 $ (32) $ 1,015,326 

Updated due to quarterly assessment and 

reallocation

1001269 12/27/2012 $ (5) $ 1,015,321 

Updated due to quarterly assessment and 

reallocation

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
94

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001226 9/30/2010 $ 606,612 $ 4,206,612 Updated portfolio data from servicer

1001226 1/6/2011 $ (4) $ 4,206,608 Updated portfolio data from servicer

1001226 3/30/2011 $ (4) $ 4,206,604 

Updated due to quarterly assessment and 

reallocation

1001226 6/29/2011 $ (35) $ 4,206,569 

Updated due to quarterly assessment and 

reallocation

1001226 6/28/2012 $ (9) $ 4,206,560 

Updated due to quarterly assessment and 

reallocation

1001226 9/27/2012 $ (14) $ 4,206,546 

Updated due to quarterly assessment and 

reallocation

1001226 12/27/2012 $ (2) $ 4,206,544 

Updated due to quarterly assessment and 

reallocation

12/9/2009 Sterling Savings Bank Spokane WA Purchase Financial Instrument for Home Loan Modifications $ 2,250,000 N/A 1/22/2010 $ 100,000 $ 2,350,000 Updated HPDP cap & HAFA initial cap

1000638 3/26/2010 $ (740,000) $ 1,610,000 Updated portfolio data from servicer

1000638 7/14/2010 $ (710,000) $ 900,000 Updated portfolio data from servicer

1000638 9/30/2010 $ 550,556 $ 1,450,556 Updated portfolio data from servicer

1000638 1/6/2011 $ (1) $ 1,450,555 Updated portfolio data from servicer

techno 3/30/2011 $ (1) $ 1,450,554 

Updated due to quarterly assessment and 

reallocation

1000638 6/29/2011 $ (11) $ 1,450,543 

Updated due to quarterly assessment and 

reallocation

1000638 9/27/2012 $ 30,907 $ 1,481,450 

Updated due to quarterly assessment and 

reallocation

1000638 12/27/2012 $ 58,688 $ 1,540,138 

Updated due to quarterly assessment and 

reallocation

12/11/2009 HomeStar Bank & Financial Services Manteno IL Purchase Financial Instrument for Home Loan Modifications $ 310,000 N/A 1/22/2010 $ 20,000 $ 330,000 Updated HPDP cap & HAFA initial cap

10125 3/26/2010 $ 820,000 $ 1,150,000 Updated portfolio data from servicer

10125 7/14/2010 $ (350,000) $ 800,000 Updated portfolio data from servicer

10125 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

10125 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10125 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10125 6/29/2011 $ (13) $ 870,319 

Updated due to quarterly assessment and 

reallocation

10125 6/28/2012 $ (10) $ 870,309 

Updated due to quarterly assessment and 

reallocation

12 7/6/2012 $ (856,986) $ 13,323 Termination of SPA 

12/11/2009 Glenview State Bank Glenview IL Purchase Financial Instrument for Home Loan Modifications $ 370,000 N/A 1/22/2010 $ 20,000 $ 390,000 Updated HPDP cap & HAFA initial cap

1000558 3/26/2010 $ 1,250,000 $ 1,640,000 Updated portfolio data from servicer

1000558 5/26/2010 $ (1,640,000) $ - Termination of SPA 

12/11/2009 Verity Credit Union Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 1/22/2010 $ 30,000 $ 630,000 Updated HPDP cap & HAFA initial cap

10139 3/26/2010 $ 400,000 $ 1,030,000 Updated portfolio data from servicer

10139 7/14/2010 $ (330,000) $ 700,000 Updated portfolio data from servicer

10139 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

10139 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

10139 2/17/2011 $ (725,277) $ - Termination of SPA 

12/11/2009 Hartford Savings Bank Hartford WI Purchase Financial Instrument for Home Loan Modifications $ 630,000 N/A 1/22/2010 $ 30,000 $ 660,000 Updated HPDP cap & HAFA initial cap

1000753 3/26/2010 $ 800,000 $ 1,460,000 Updated portfolio data from servicer

1000753 7/14/2010 $ (360,000) $ 1,100,000 Updated portfolio data from servicer

1000753 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer

1000753 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

1000753 3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

1000753 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

1000753 6/28/2012 $ (14) $ 1,160,409 

Updated due to quarterly assessment and 

reallocation

1000753 9/27/2012 $ (37) $ 1,160,372 

Updated due to quarterly assessment and 

reallocation

1000753 12/27/2012 $ (6) $ 1,160,366 

Updated due to quarterly assessment and 

reallocation

12/11/2009 The Bryn Mawr Trust Co. Bryn Mawr PA Purchase Financial Instrument for Home Loan Modifications $ 150,000 N/A 4/21/2010 $ (150,000) $ - Termination of SPA 

1000631 9 6/16/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

12/16/2009 Citizens First National Bank Spring Valley IL Purchase Financial Instrument for Home Loan Modifications $ 620,000 N/A 1/22/2010 $ 30,000 $ 650,000 Updated HPDP cap & HAFA initial cap

1000438 3/26/2010 $ (580,000) $ 70,000 Updated portfolio data from servicer

1000438 7/14/2010 $ 1,430,000 $ 1,500,000 Updated portfolio data from servicer

1000438 9/30/2010 $ 95,612 $ 1,595,612 Updated portfolio data from servicer

1000438 1/6/2011 $ (2) $ 1,595,610 Updated portfolio data from servicer

1000438 3/30/2011 $ (3) $ 1,595,607 

Updated due to quarterly assessment and 

reallocation

1000438 6/29/2011 $ (24) $ 1,595,583 

Updated due to quarterly assessment and 

reallocation

1000438 6/28/2012 $ (16) $ 1,595,567 

Updated due to quarterly assessment and 

reallocation

1000438 9/27/2012 $ (45) $ 1,595,522 

Updated due to quarterly assessment and 

reallocation

1000438 12/27/2012 $ (8) $ 1,595,514 

Updated due to quarterly assessment and 

reallocation

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 
95

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

12/16/2009 First Federal Savings and Loan Association of Lakewood Lakewood OH Purchase Financial Instrument for Home Loan Modifications $ 3,460,000 N/A 1/22/2010 $ 160,000 $ 3,620,000 Updated HPDP cap & HAFA initial cap

1000828 4/21/2010 $ (3,620,000) $ - Termination of SPA 

12/16/2009 Sound Community Bank Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 1/22/2010 $ 20,000 $ 460,000 Updated HPDP cap & HAFA initial cap

10524 3/26/2010 $ 1,430,000 $ 1,890,000 Updated portfolio data from servicer

10524 7/14/2010 $ (390,000) $ 1,500,000 Updated portfolio data from servicer

10524 9/8/2010 $ (1,500,000) $ - Termination of SPA 

12/16/2009 Horizon Bank, NA Michigan City IN Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1/22/2010 $ 30,000 $ 730,000 Updated HPDP cap & HAFA initial cap

1000825 3/26/2010 $ 1,740,000 $ 2,470,000 Updated portfolio data from servicer

1000825 7/14/2010 $ (1,870,000) $ 600,000 Updated portfolio data from servicer

1000825 9/30/2010 $ 850,556 $ 1,450,556 Updated portfolio data from servicer

1000825 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1000825 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1000825 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

1000825 6/28/2012 $ (17) $ 1,450,512 

Updated due to quarterly assessment and 

reallocation

1000825 9/21/2012 $ (1,450,512) $ - Termination of SPA 

12/16/2009 Park View Federal Savings Bank Solon OH Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap

10025 3/26/2010 $ 140,000 $ 940,000 Updated portfolio data from servicer

10025 7/14/2010 $ (140,000) $ 800,000 Updated portfolio data from servicer

10025 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer

10025 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10025 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10025 6/29/2011 $ (12) $ 870,320 

Updated due to quarterly assessment and 

reallocation

10025 6/28/2012 $ (10) $ 870,310 

Updated due to quarterly assessment and 

reallocation

10025 12 9/14/2012 $ (816,373) $ 53,937 Termination of SPA 

12/23/2009 Iberiabank Sarasota FL Purchase Financial Instrument for Home Loan Modifications $ 4,230,000 N/A 1/22/2010 $ 200,000 $ 4,430,000 Updated HPDP cap & HAFA initial cap

1001411 3/26/2010 $ (1,470,000) $ 2,960,000 Updated portfolio data from servicer

1001411 7/14/2010 $ (1,560,000) $ 1,400,000 Updated portfolio data from servicer

1001411 9/30/2010 $ 5,852,780 $ 7,252,780 Updated portfolio data from servicer

1001411 1/6/2011 $ (11) $ 7,252,769 Updated portfolio data from servicer

1001411 3/30/2011 $ (13) $ 7,252,756 

Updated due to quarterly assessment and 

reallocation

1001411 4/13/2011 $ (300,000) $ 6,952,756 Transfer of cap due to servicing transfer

1001411 12 6/3/2011 $ (6,927,254) $ 25,502 Termination of SPA 

12/23/2009 Grafton Suburban Credit Union North Grafton MA Purchase Financial Instrument for Home Loan Modifications $ 340,000 N/A 1/22/2010 $ 20,000 $ 360,000 Updated HPDP cap & HAFA initial cap

1001192 3/26/2010 $ (320,000) $ 40,000 Updated portfolio data from servicer

1001192 7/14/2010 $ 760,000 $ 800,000 Updated portfolio data from servicer

1001192 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer

1001192 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1001192 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1001192 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1001192 1/25/2012 $ (725,265) $ - Termination of SPA 

12/23/2009 Eaton National Bank & Trust Company Eaton OH Purchase Financial Instrument for Home Loan Modifications $ 60,000 N/A 3/26/2010 $ 90,000 $ 150,000 Updated portfolio data from servicer

1001078 7/14/2010 $ 50,000 $ 200,000 Updated portfolio data from servicer

1001078 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer

1001078 5/20/2011 $ (145,056) $ - Termination of SPA 

12/23/2009 Tempe Schools Credit Union Tempe AZ Purchase Financial Instrument for Home Loan Modifications $ 110,000 N/A 3/26/2010 $ (20,000) $ 90,000 Updated portfolio data from servicer

1000703 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer

1000703 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000703 12/8/2010 $ (145,056) $ - Termination of SPA 

1/13/2010 Fresno County Federal Credit Union Fresno CA Purchase Financial Instrument for Home Loan Modifications $ 260,000 N/A 3/26/2010 $ 480,000 $ 740,000 Updated portfolio data from servicer

10507 7/14/2010 $ (140,000) $ 600,000 Updated portfolio data from servicer

10507 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer

10507 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

10507 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

10507 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

10507 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

12 7/6/2012 $ (555,252) $ 24,954 Termination of SPA 

1/13/2010 Roebling Bank Roebling NJ Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 3/26/2010 $ 610,000 $ 850,000 Updated portfolio data from servicer

1001235 7/14/2010 $ 50,000 $ 900,000 Updated portfolio data from servicer

1001235 9/30/2010 $ (29,666) $ 870,334 Updated portfolio data from servicer

1001235 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001235 3/23/2011 $ (870,333) $ - Termination of SPA 
96

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1/13/2010 First National Bank of Grant Park Grant Park IL Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 3/26/2010 $ 150,000 $ 290,000 Updated portfolio data from servicer

1000901 7/14/2010 $ 10,000 $ 300,000 Updated portfolio data from servicer

1000901 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer

1000901 1/26/2011 $ (290,111) $ - Termination of SPA 

1/13/2010 Specialized Loan Servicing, LLC Highlands Ranch CO Purchase Financial Instrument for Home Loan Modifications $ 64,150,000 N/A 3/26/2010 $ (51,240,000) $ 12,910,000 Updated portfolio data from servicer

1000635 5/14/2010 $ 3,000,000 $ 15,910,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 6/16/2010 $ 4,860,000 $ 20,770,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 7/14/2010 $ 3,630,000 $ 24,400,000 Updated portfolio data from servicer

1000635 7/16/2010 $ 330,000 $ 24,730,000 

Transfer of cap from CitiMortgage, Inc. due to 

servicing transfer

1000635 8/13/2010 $ 700,000 $ 25,430,000 Transfer of cap due to servicing transfer

1000635 9/15/2010 $ 200,000 $ 25,630,000 Transfer of cap due to servicing transfer

1000635 9/30/2010 $ (1,695,826) $ 23,934,174 Updated portfolio data from servicer

1000635 11/16/2010 $ 200,000 $ 24,134,174 Transfer of cap due to servicing transfer

1000635 1/6/2011 $ (32) $ 24,134,142 Updated portfolio data from servicer

1000635 1/13/2011 $ 1,500,000 $ 25,634,142 Transfer of cap due to servicing transfer

1000635 3/16/2011 $ 7,100,000 $ 32,734,142 Transfer of cap due to servicing transfer

1000635 3/30/2011 $ (36) $ 32,734,106 

Updated due to quarterly assessment and 

reallocation

1000635 4/13/2011 $ 1,000,000 $ 33,734,106 Transfer of cap due to servicing transfer

1000635 5/13/2011 $ 100,000 $ 33,834,106 Transfer of cap due to servicing transfer

1000635 6/16/2011 $ 300,000 $ 34,134,106 Transfer of cap due to servicing transfer

1000635 6/29/2011 $ (332) $ 34,133,774 

Updated due to quarterly assessment and 

reallocation

1000635 8/16/2011 $ 100,000 $ 34,233,774 Transfer of cap due to servicing transfer

1000635 9/15/2011 $ 300,000 $ 34,533,774 Transfer of cap due to servicing transfer

1000635 10/14/2011 $ 300,000 $ 34,833,774 Transfer of cap due to servicing transfer

1000635 12/15/2011 $ (1,700,000) $ 33,133,774 Transfer of cap due to servicing transfer

1000635 1/13/2012 $ 1,600,000 $ 34,733,774 Transfer of cap due to servicing transfer

1000635 2/16/2012 $ 100,000 $ 34,833,774 Transfer of cap due to servicing transfer

1000635 3/15/2012 $ 100,000 $ 34,933,774 Transfer of cap due to servicing transfer

1000635 4/16/2012 $ 77,600,000 $ 112,533,774 Transfer of cap due to servicing transfer

1000635 5/16/2012 $ 40,000 $ 112,573,774 Transfer of cap due to servicing transfer

1000635 6/14/2012 $ (350,000) $ 112,223,774 Transfer of cap due to servicing transfer

1000635 6/28/2012 $ (1,058) $ 112,222,716 

Updated due to quarterly assessment and 

reallocation

1000635 7/16/2012 $ 4,430,000 $ 116,652,716 Transfer of cap due to servicing transfer

1000635 8/16/2012 $ (1,280,000) $ 115,372,716 Transfer of cap due to servicing transfer

1000635 9/27/2012 $ (3,061) $ 115,369,655 

Updated due to quarterly assessment and 

reallocation

1000635 10/16/2012 $ 5,600,000 $ 120,969,655 Transfer of cap due to servicing transfer

1000635 11/15/2012 $ 880,000 $ 121,849,655 Transfer of cap due to servicing transfer

1000635 12/14/2012 $ 24,180,000 $ 146,029,655 Transfer of cap due to servicing transfer

1000635 12/27/2012 $ (663) $ 146,028,992 

Updated due to quarterly assessment and 

reallocation

1000635 1/16/2013 $ 2,410,000 $ 148,438,992 Transfer of cap due to servicing transfer

1/13/2010 Greater Nevada Mortgage Services Carson City NV Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 3/26/2010 $ 8,680,000 $ 9,450,000 Updated portfolio data from servicer

10517 7/14/2010 $ (8,750,000) $ 700,000 Updated portfolio data from servicer

10517 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer

10517 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

10517 3/30/2011 $ (1) $ 870,332 

Updated due to quarterly assessment and 

reallocation

10517 6/29/2011 $ (8) $ 870,324 

Updated due to quarterly assessment and 

reallocation

10517 6/28/2012 $ (4) $ 870,320 

Updated due to quarterly assessment and 

reallocation

10517 9/27/2012 $ (10) $ 870,310 

Updated due to quarterly assessment and 

reallocation

10517 12/27/2012 $ (2) $ 870,308 

Updated due to quarterly assessment and 

reallocation

1/15/2010 Digital Federal Credit Union Marlborough MA Purchase Financial Instrument for Home Loan Modifications $ 3,050,000 N/A 3/26/2010 $ 12,190,000 $ 15,240,000 Updated portfolio data from servicer

10416 5/14/2010 $ (15,240,000) $ - Termination of SPA 

1/29/2010 iServe Residential Lending, LLC San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 960,000 N/A 3/26/2010 $ (730,000) $ 230,000 Updated portfolio data from servicer

1001415 7/14/2010 $ 370,000 $ 600,000 Updated portfolio data from servicer

1001415 9/30/2010 $ 200,000 $ 800,000 Initial FHA-HAMP cap and initial 2MP cap

1001415 9/30/2010 $ (364,833) $ 435,167 Updated portfolio data from servicer

1001415 11/16/2010 $ 100,000 $ 535,167 Transfer of cap due to servicing transfer

1001415 1/6/2011 $ (1) $ 535,166 Updated portfolio data from servicer

1001415 3/30/2011 $ (1) $ 535,165 

Updated due to quarterly assessment and 

reallocation

1001415 6/29/2011 $ (7) $ 535,158 

Updated due to quarterly assessment and 

reallocation

1001415 6/28/2012 $ (6) $ 535,152 

Updated due to quarterly assessment and 

reallocation

1001415 9/27/2012 $ (15) $ 535,137 

Updated due to quarterly assessment and 

reallocation
97

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001415 12/27/2012 $ (3) $ 535,134 

Updated due to quarterly assessment and 

reallocation

1/29/2010 United Bank Griffin GA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 3/26/2010 $ 160,000 $ 700,000 Updated portfolio data from servicer

1000893 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1000893 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000893 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000893 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1000893 6/28/2012 $ (8) $ 725,257 

Updated due to quarterly assessment and 

reallocation

1000893 9/27/2012 $ (22) $ 725,235 

Updated due to quarterly assessment and 

reallocation

1000893 12/27/2012 $ (4) $ 725,231 

Updated due to quarterly assessment and 

reallocation

3/3/2010 Urban Trust Bank Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,060,000 N/A 7/14/2010 $ 4,440,000 $ 5,500,000 Updated portfolio data from servicer

1001435 9/24/2010 $ (5,500,000) $ - Termination of SPA 

3/5/2010 iServe Servicing, Inc. Irving TX Purchase Financial Instrument for Home Loan Modifications $ 28,040,000 N/A 5/26/2010 $ 120,000 $ 28,160,000 Initial 2MP cap

1001384 7/14/2010 $ (12,660,000) $ 15,500,000 Updated portfolio data from servicer

1001384 9/30/2010 $ 100,000 $ 15,600,000 Initial FHA-HAMP cap

1001384 9/30/2010 $ (3,125,218) $ 12,474,782 Updated portfolio data from servicer

1001384 11/16/2010 $ 800,000 $ 13,274,782 Transfer of cap due to servicing transfer

1001384 1/6/2011 $ (20) $ 13,274,762 Updated portfolio data from servicer

1001384 3/30/2011 $ (24) $ 13,274,738 

Updated due to quarterly assessment and 

reallocation

1001384 6/29/2011 $ (221) $ 13,274,517 

Updated due to quarterly assessment and 

reallocation

1001384 6/28/2012 $ (169) $ 13,274,348 

Updated due to quarterly assessment and 

reallocation

1001384 9/27/2012 $ (465) $ 13,273,883 

Updated due to quarterly assessment and 

reallocation

1001384 12/27/2012 $ (78) $ 13,273,805 

Updated due to quarterly assessment and 

reallocation

3/10/2010 Navy Federal Credit Union Vienna VA Purchase Financial Instrument for Home Loan Modifications $ 60,780,000 N/A 7/14/2010 $ (44,880,000) $ 15,900,000 Updated portfolio data from servicer

1000494 9/30/2010 $ 1,071,505 $ 16,971,505 Updated portfolio data from servicer

1000494 1/6/2011 $ (23) $ 16,971,482 Updated portfolio data from servicer

1000494 3/30/2011 $ (26) $ 16,971,456 

Updated due to quarterly assessment and 

reallocation

1000494 6/29/2011 $ (238) $ 16,971,218 

Updated due to quarterly assessment and 

reallocation

1000494 6/28/2012 $ (145) $ 16,971,073 

Updated due to quarterly assessment and 

reallocation

1000494 9/27/2012 $ (374) $ 16,970,699 

Updated due to quarterly assessment and 

reallocation

1000494 12/27/2012 $ (58) $ 16,970,641 

Updated due to quarterly assessment and 

reallocation

3/10/2010 VIST Financial Corp Wyomissing PA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 7/14/2010 $ 400,000 $ 700,000 Updated portfolio data from servicer

1000468 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer

1000468 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1000468 3/30/2011 $ (1) $ 725,276 

Updated due to quarterly assessment and 

reallocation

1000468 6/29/2011 $ (11) $ 725,265 

Updated due to quarterly assessment and 

reallocation

1000468 6/28/2012 $ (8) $ 725,257 

Updated due to quarterly assessment and 

reallocation

1000468 9/27/2012 $ (22) $ 725,235 

Updated due to quarterly assessment and 

reallocation

1000468 12/27/2012 $ (4) $ 725,231 

Updated due to quarterly assessment and 

reallocation

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

1000657 6/28/2012 $ (7) $ 647,800 

Updated due to quarterly assessment and 

reallocation

1000657 9/27/2012 $ (19) $ 647,781 

Updated due to quarterly assessment and 

reallocation

1000657 12/27/2012 $ (3) $ 647,778 

Updated due to quarterly assessment and 

reallocation

5/21/2010 Aurora Financial Group, Inc. Marlton NJ Purchase Financial Instrument for Home Loan Modifications $ 10,000 N/A 4, 8 5/26/2010 $ 30,000 $ 40,000 Updated FHA-HAMP cap

10425 9/30/2010 $ 250,111 $ 290,111 Updated portfolio data from servicer

10425 6/29/2011 $ 59,889 $ 350,000 

Updated due to quarterly assessment and 

reallocation

10425 6/28/2012 $ (2) $ 349,998 

Updated due to quarterly assessment and 

reallocation

10425 9/27/2012 $ (5) $ 349,993 

Updated due to quarterly assessment and 

reallocation

10425 12/27/2012 $ (1) $ 349,992 

Updated due to quarterly assessment and 

reallocation

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
98

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001460 8/13/2010 $ 3,300,000 $ 6,980,000 Transfer of cap due to servicing transfer

1001460 9/30/2010 $ 3,043,831 $ 10,023,831 Updated portfolio data from servicer

1001460 10/15/2010 $ 1,400,000 $ 11,423,831 Transfer of cap due to servicing transfer

1001460 1/6/2011 $ (17) $ 11,423,814 Updated portfolio data from servicer

1001460 3/16/2011 $ 2,100,000 $ 13,523,814 Transfer of cap due to servicing transfer

1001460 3/30/2011 $ (24) $ 13,523,790 

Updated due to quarterly assessment and 

reallocation

1001460 4/13/2011 $ 2,900,000 $ 16,423,790 Transfer of cap due to servicing transfer

1001460 6/16/2011 $ (200,000) $ 16,223,790 Transfer of cap due to servicing transfer

1001460 6/29/2011 $ (273) $ 16,223,517 

Updated due to quarterly assessment and 

reallocation

1001460 10/14/2011 $ 100,000 $ 16,323,517 Transfer of cap due to servicing transfer

1001460 11/16/2011 $ 1,100,000 $ 17,423,517 Transfer of cap due to servicing transfer

1001460 4/16/2012 $ 200,000 $ 17,623,517 Transfer of cap due to servicing transfer

1001460 5/16/2012 $ 10,000 $ 17,633,517 Transfer of cap due to servicing transfer

1001460 6/14/2012 $ (300,000) $ 17,333,517 Transfer of cap due to servicing transfer

1001460 6/28/2012 $ (218) $ 17,333,299 

Updated due to quarterly assessment and 

reallocation

1001460 7/16/2012 $ 40,000 $ 17,373,299 Transfer of cap due to servicing transfer

1001460 8/16/2012 $ 480,000 $ 17,853,299 Transfer of cap due to servicing transfer

1001460 9/27/2012 $ (600) $ 17,852,699 

Updated due to quarterly assessment and 

reallocation

1001460 11/15/2012 $ 70,000 $ 17,922,699 Transfer of cap due to servicing transfer

1001460 12/27/2012 $ (102) $ 17,922,597 

Updated due to quarterly assessment and 

reallocation

8/4/2010 Suburban Mortgage Company of New Mexico Albuquerque NM Purchase Financial Instrument for Home Loan Modifications $ 880,000 N/A 9/30/2010 $ 1,585,945 $ 2,465,945 Updated portfolio data from servicer

1000602 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000602 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000602 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

1000602 6/28/2012 $ (30) $ 2,465,867 

Updated due to quarterly assessment and 

reallocation

1000602 8/10/2012 $ (2,465,867) $ - Termination of SPA 

8/20/2010 Bramble Savings Bank Cincinanati OH Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 9/30/2010 $ 1,040,667 $ 1,740,667 Updated portfolio data from servicer

1001708 1/6/2011 $ (2) $ 1,740,665 Updated portfolio data from servicer

1001708 3/30/2011 $ (3) $ 1,740,662 

Updated due to quarterly assessment and 

reallocation

1001708 6/29/2011 $ (28) $ 1,740,634 

Updated due to quarterly assessment and 

reallocation

1001708 8/10/2011 $ (1,740,634) $ - Termination of SPA 

8/25/2010 Pathfinder Bank Oswego NY Purchase Financial Instrument for Home Loan Modifications $ 1,300,000 N/A 9/30/2010 $ 2,181,334 $ 3,481,334 Updated portfolio data from servicer

1001240 1/6/2011 $ (5) $ 3,481,329 Updated portfolio data from servicer

1001240 3/30/2011 $ (6) $ 3,481,323 

Updated due to quarterly assessment and 

reallocation

1001240 6/29/2011 $ (58) $ 3,481,265 

Updated due to quarterly assessment and 

reallocation

1001240 6/28/2012 $ (43) $ 3,481,222 

Updated due to quarterly assessment and 

reallocation

1001240 9/27/2012 $ (119) $ 3,481,103 

Updated due to quarterly assessment and 

reallocation

1001240 12/27/2012 $ (20) $ 3,481,083 

Updated due to quarterly assessment and 

reallocation

8/27/2010 First Financial Bank, N.A. Terre Haute ID Purchase Financial Instrument for Home Loan Modifications $ 4,300,000 N/A 9/30/2010 $ 7,014,337 $ 11,314,337 Updated portfolio data from servicer

1000951 1/6/2011 $ (17) $ 11,314,320 Updated portfolio data from servicer

1000951 3/30/2011 $ (20) $ 11,314,300 

Updated due to quarterly assessment and 

reallocation

1000951 6/29/2011 $ (192) $ 11,314,108 

Updated due to quarterly assessment and 

reallocation

1000951 6/28/2012 $ (144) $ 11,313,964 

Updated due to quarterly assessment and 

reallocation

1000951 9/27/2012 $ (396) $ 11,313,568 

Updated due to quarterly assessment and 

reallocation

1000951 12/27/2012 $ (67) $ 11,313,501 

Updated due to quarterly assessment and 

reallocation

9/1/2010 RBC Bank (USA) Raleigh NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001421 1/6/2011 $ 34,944 $ 180,000 Updated portfolio data from servicer

1001421 3/30/2011 $ 40,000 $ 220,000 

Updated due to quarterly assessment and 

reallocation

1001421 6/29/2011 $ 50,000 $ 270,000 

Updated due to quarterly assessment and 

reallocation

1001421 3/15/2012 $ (200,000) $ 70,000 Transfer of cap due to servicing transfer

1001421 6/14/2012 $ (10,000) $ 60,000 Transfer of cap due to servicing transfer

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
99

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001727 4/16/2012 $ 1,600,000 $ 12,967,999 Transfer of cap due to servicing transfer

1001727 5/16/2012 $ 40,000 $ 13,007,999 Transfer of cap due to servicing transfer

1001727 6/14/2012 $ (210,000) $ 12,797,999 Transfer of cap due to servicing transfer

1001727 6/28/2012 $ (105) $ 12,797,894 

Updated due to quarterly assessment and 

reallocation

1001727 7/16/2012 $ 50,000 $ 12,847,894 Transfer of cap due to servicing transfer

1001727 8/16/2012 $ 90,000 $ 12,937,894 Transfer of cap due to servicing transfer

1001727 9/27/2012 $ (294) $ 12,937,600 

Updated due to quarterly assessment and 

reallocation

1001727 10/16/2012 $ 1,810,000 $ 14,747,600 Transfer of cap due to servicing transfer

1001727 12/27/2012 $ (61) $ 14,747,539 

Updated due to quarterly assessment and 

reallocation

1001727 1/16/2013 $ 30,000 $ 14,777,539 Transfer of cap due to servicing transfer

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

1001557 3/16/2011 $ 10,200,000 $ 14,650,554 Transfer of cap due to servicing transfer

1001557 3/30/2011 $ (24) $ 14,650,530 

Updated due to quarterly assessment and 

reallocation

1001557 6/29/2011 $ (227) $ 14,650,303 

Updated due to quarterly assessment and 

reallocation

1001557 7/14/2011 $ 12,000,000 $ 26,650,303 Transfer of cap due to servicing transfer

1001557 12/15/2011 $ 4,100,000 $ 30,750,303 Transfer of cap due to servicing transfer

1001557 1/13/2012 $ 900,000 $ 31,650,303 Transfer of cap due to servicing transfer

1001557 4/16/2012 $ 300,000 $ 31,950,303 Transfer of cap due to servicing transfer

1001557 6/28/2012 $ (266) $ 31,950,037 

Updated due to quarterly assessment and 

reallocation

1001557 9/27/2012 $ (689) $ 31,949,348 

Updated due to quarterly assessment and 

reallocation

1001557 11/15/2012 $ 720,000 $ 32,669,348 Transfer of cap due to servicing transfer

1001557 12/27/2012 $ (114) $ 32,669,234 

Updated due to quarterly assessment and 

reallocation

1001557 1/16/2013 $ 8,020,000 $ 40,689,234 Transfer of cap due to servicing transfer

9/15/2010 Midwest Community Bank Freeport IL Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000879 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000879 3/30/2011 $ (1) $ 580,220 

Updated due to quarterly assessment and 

reallocation

1000879 6/29/2011 $ (8) $ 580,212 

Updated due to quarterly assessment and 

reallocation

1000879 6/28/2012 $ (6) $ 580,206 

Updated due to quarterly assessment and 

reallocation

1000879 9/27/2012 $ (17) $ 580,189 

Updated due to quarterly assessment and 

reallocation

1000879 12/27/2012 $ (3) $ 580,186 

Updated due to quarterly assessment and 

reallocation

9/24/2010 American Finance House LARIBA Pasadena CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000704 2/2/2011 $ (145,056) $ - Termination of SPA 

9/24/2010 Centrue Bank Ottawa IL Purchase Financial Instrument for Home Loan Modifications $ 1,900,000 N/A 9/30/2010 $ 856,056 $ 2,756,056 Updated portfolio data from servicer

10204 1/6/2011 $ (4) $ 2,756,052 Updated portfolio data from servicer

10204 3/9/2011 $ (2,756,052) $ - Termination of SPA 

9/30/2010 AgFirst Farm Credit Bank Columbia SC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001220 3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Amarillo National Bank Amarillo TX Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000478 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000478 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000478 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 American Financial Resources Inc. Parsippany NJ Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001726 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001726 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001726 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Banco Popular de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4, 5, 8 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1000509 1/6/2011 $ (3) $ 2,465,942 Updated portfolio data from servicer

1000509 3/30/2011 $ (4) $ 2,465,938 

Updated due to quarterly assessment and 

reallocation

1000509 6/29/2011 $ (36) $ 2,465,902 

Updated due to quarterly assessment and 

reallocation

1000509 6/28/2012 $ (30) $ 2,465,872 

Updated due to quarterly assessment and 

reallocation

1000509 9/27/2012 $ (83) $ 2,465,789 

Updated due to quarterly assessment and 

reallocation

1000509 12/27/2012 $ (14) $ 2,465,775 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Capital International Financial, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001930 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001930 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001930 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

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
100

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1001848 3/23/2011 $ (1,160,443) $ - Termination of SPA 

9/30/2010 Community Credit Union of Florida Rockledge FL Purchase Financial Instrument for Home Loan Modifications $ 2,000,000 N/A 6 9/30/2010 $ 901,112 $ 2,901,112 Updated portfolio data from servicer

8 1/6/2011 $ (4) $ 2,901,108 Updated portfolio data from servicer

8 3/30/2011 $ (5) $ 2,901,103 

Updated due to quarterly assessment and 

reallocation

8 6/29/2011 $ (48) $ 2,901,055 

Updated due to quarterly assessment and 

reallocation

8 6/28/2012 $ (36) $ 2,901,019 

Updated due to quarterly assessment and 

reallocation

8 12 9/14/2012 $ (2,888,387) $ 12,632 Termination of SPA 

9/30/2010 CU Mortgage Services, Inc. New Brighton MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10616 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10616 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10616 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Federal Bank of Florida Lake City FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10364 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10364 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10364 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Mortgage Corporation Diamond Bar CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10253 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10253 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10253 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 First Safety Bank Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer

1000487 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer

1000487 3/23/2011 $ (580,221) $ - Termination of SPA 

9/30/2010 Flagstar Capital Markets Corporation Troy MI Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 7, 8 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer

10228 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer

10228 3/30/2011 $ (2) $ 1,160,441 

Updated due to quarterly assessment and 

reallocation

10228 6/29/2011 $ (18) $ 1,160,423 

Updated due to quarterly assessment and 

reallocation

10228 6/28/2012 $ (14) $ 1,160,409 

Updated due to quarterly assessment and 

reallocation

10228 9/27/2012 $ (37) $ 1,160,372 

Updated due to quarterly assessment and 

reallocation

10228 12/27/2012 $ (6) $ 1,160,366 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Franklin Savings Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer

1000773 1/6/2011 $ (4) $ 2,465,941 Updated portfolio data from servicer

1000773 3/30/2011 $ (4) $ 2,465,937 

Updated due to quarterly assessment and 

reallocation

1000773 6/29/2011 $ (40) $ 2,465,897 

Updated due to quarterly assessment and 

reallocation

1000773 6/28/2012 $ (30) $ 2,465,867 

Updated due to quarterly assessment and 

reallocation

1000773 9/27/2012 $ (83) $ 2,465,784 

Updated due to quarterly assessment and 

reallocation

1000773 12/27/2012 $ (14) $ 2,465,770 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Gateway Mortgage Group, LLC Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001744 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001744 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001744 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 GFA Federal Credit Union Gardner MA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001637 3/23/2011 $ (145,056) $ - Termination of SPA 

9/30/2010 Guaranty Bank Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

10350 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

10350 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

10350 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/24/2010 James B. Nutter & Company Kansas City MO Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 4, 8 9/30/2010 $ 135,167 $ 435,167 Updated portfolio data from servicer

1000492 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer

1000492 3/30/2011 $ (1) $ 435,165 

Updated due to quarterly assessment and 

reallocation

1000492 6/29/2011 $ (6) $ 435,159 

Updated due to quarterly assessment and 

reallocation

1000492 6/28/2012 $ (4) $ 435,155 

Updated due to quarterly assessment and 

reallocation

1000492 9/27/2012 $ (12) $ 435,143 

Updated due to quarterly assessment and 

reallocation

1000492 12/27/2012 $ (2) $ 435,141 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Liberty Bank and Trust Co New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 1,000,000 N/A 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer

1001010 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer

1001010 3/30/2011 $ (2) $ 1,450,552 

Updated due to quarterly assessment and 

reallocation

1001010 6/29/2011 $ (23) $ 1,450,529 

Updated due to quarterly assessment and 

reallocation

1001010 6/28/2012 $ (17) $ 1,450,512 

Updated due to quarterly assessment and 

reallocation

1001010 9/27/2012 $ (48) $ 1,450,464 

Updated due to quarterly assessment and 

reallocation

1001010 12/27/2012 $ (8) $ 1,450,456 

Updated due to quarterly assessment and 

reallocation
101

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

9/30/2010 M&T Bank Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 4, 8 9/30/2010 $ 315,389 $ 1,015,389 Updated portfolio data from servicer

10529 1/6/2011 $ (1) $ 1,015,388 Updated portfolio data from servicer

10529 3/30/2011 $ (1) $ 1,015,387 

Updated due to quarterly assessment and 

reallocation

10529 6/29/2011 $ (11) $ 1,015,376 

Updated due to quarterly assessment and 

reallocation

10529 6/28/2012 $ (11) $ 1,015,365 

Updated due to quarterly assessment and 

reallocation

10529 9/27/2012 $ (30) $ 1,015,335 

Updated due to quarterly assessment and 

reallocation

10529 12/27/2012 $ (5) $ 1,015,330 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Magna Bank Germantown TN Purchase Financial Instrument for Home Loan Modifications $ 1,400,000 N/A 5 9/30/2010 $ 630,778 $ 2,030,778 Updated portfolio data from servicer

1000645 1/6/2011 $ (3) $ 2,030,775 Updated portfolio data from servicer

1000645 3/30/2011 $ (3) $ 2,030,772 

Updated due to quarterly assessment and 

reallocation

1000645 6/29/2011 $ (33) $ 2,030,739 

Updated due to quarterly assessment and 

reallocation

1000645 6/28/2012 $ (25) $ 2,030,714 

Updated due to quarterly assessment and 

reallocation

1000645 9/27/2012 $ (68) $ 2,030,646 

Updated due to quarterly assessment and 

reallocation

1000645 12/27/2012 $ (11) $ 2,030,635 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Mainstreet Credit Union Lexena KS Purchase Financial Instrument for Home Loan Modifications $ 500,000 N/A 9/30/2010 $ 225,278 $ 725,278 Updated portfolio data from servicer

1001636 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer

1001636 3/9/2011 $ (725,277) $ - Termination of SPA 

9/30/2010 Marsh Associates, Inc. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001907 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001907 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001907 9/27/2012 $ (1) $ 145,053 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Midland Mortgage Company Oklahoma City OK Purchase Financial Instrument for Home Loan Modifications $ 43,500,000 N/A 4, 5 9/30/2010 $ 49,915,806 $ 93,415,806 Updated portfolio data from servicer

10457 1/6/2011 $ (125) $ 93,415,681 Updated portfolio data from servicer

10457 3/30/2011 $ (139) $ 93,415,542 

Updated due to quarterly assessment and 

reallocation

10457 6/29/2011 $ (1,223) $ 93,414,319 

Updated due to quarterly assessment and 

reallocation

10457 6/28/2012 $ (797) $ 93,413,522 

Updated due to quarterly assessment and 

reallocation

10457 7/16/2012 $ 294,540,000 $ 387,953,522 Transfer of cap due to servicing transfer

10457 7/27/2012 $ (263,550,000) $ 124,403,522 Transfer of cap due to servicing transfer

10457 9/27/2012 $ (3,170) $ 124,400,352 

Updated due to quarterly assessment and 

reallocation

10457 12/27/2012 $ (507) $ 124,399,845 

Updated due to quarterly assessment and 

reallocation

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

1001163 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001163 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 Stockman Bank of Montana Miles City MT Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1000818 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1000818 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1000818 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

9/30/2010 University First Federal Credit Union Salt Lake City UT Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer

1001721 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer

1001721 2/17/2011 $ (870,333) $ - Termination of SPA 

9/30/2010 Weststar Mortgage, Inc. Woodbridge VA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer

1001893 6/29/2011 $ (1) $ 145,055 

Updated due to quarterly assessment and 

reallocation

1001893 6/28/2012 $ (1) $ 145,054 

Updated due to quarterly assessment and 

reallocation

1001893 9/27/2012 $ (2) $ 145,052 

Updated due to quarterly assessment and 

reallocation

12/15/2010 Statebridge Company, LLC Denver CO Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 5,000,000 $ 5,000,000 Updated portfolio data from servicer

1001754 1/6/2011 $ (7) $ 4,999,993 Updated portfolio data from servicer

1001754 2/16/2011 $ 500,000 $ 5,499,993 Transfer of cap due to servicing transfer

1001754 3/16/2011 $ 100,000 $ 5,599,993 Transfer of cap due to servicing transfer

1001754 3/30/2011 $ (9) $ 5,599,984 

Updated due to quarterly assessment and 

reallocation

1001754 6/29/2011 $ (85) $ 5,599,899 

Updated due to quarterly assessment and 

reallocation

1001754 11/16/2011 $ (2,500,000) $ 3,099,899 Transfer of cap due to servicing transfer

1001754 3/15/2012 $ 200,000 $ 3,299,899 Transfer of cap due to servicing transfer

1001754 6/28/2012 $ (40) $ 3,299,859 

Updated due to quarterly assessment and 

reallocation

1001754 9/27/2012 $ (100) $ 3,299,759 

Updated due to quarterly assessment and 

reallocation

1001754 10/16/2012 $ 170,000 $ 3,469,759 Transfer of cap due to servicing transfer

1001754 11/15/2012 $ (30,000) $ 3,439,759 Transfer of cap due to servicing transfer

1001754 12/14/2012 $ (80,000) $ 3,359,759 Transfer of cap due to servicing transfer

1001754 12/27/2012 $ (17) $ 3,359,742 

Updated due to quarterly assessment and 

reallocation

1001754 1/16/2013 $ 50,000 $ 3,409,742 Transfer of cap due to servicing transfer
102

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

12/15/2010 Scotiabank de Puerto Rico San Juan PR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2010 $ 4,300,000 $ 4,300,000 Updated portfolio data from servicer

1000991 1/6/2011 $ (4) $ 4,299,996 Updated portfolio data from servicer

1000991 6/29/2011 $ (5) $ 4,299,991 

Updated due to quarterly assessment and 

reallocation

1000991 6/28/2012 $ (23) $ 4,299,968 

Updated due to quarterly assessment and 

reallocation

1000991 9/27/2012 $ (63) $ 4,299,905 

Updated due to quarterly assessment and 

reallocation

1000991 12/27/2012 $ (11) $ 4,299,894 

Updated due to quarterly assessment and 

reallocation

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

10151 6/28/2012 $ (7) $ 799,984 

Updated due to quarterly assessment and 

reallocation

10151 9/27/2012 $ (19) $ 799,965 

Updated due to quarterly assessment and 

reallocation

10151 12/27/2012 $ (3) $ 799,962 

Updated due to quarterly assessment and 

reallocation

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

1001970 6/28/2012 $ (3) $ 1,333,265 

Updated due to quarterly assessment and 

reallocation

1001970 9/27/2012 $ (10) $ 1,333,255 

Updated due to quarterly assessment and 

reallocation

1001970 12/27/2012 $ (2) $ 1,333,253 

Updated due to quarterly assessment and 

reallocation

4/13/2011 Western Federal Credit Union Hawthorne CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1001231 6/29/2011 $ 17,687 $ 217,687 

Updated due to quarterly assessment and 

reallocation

1001231 9/27/2012 $ (1) $ 217,686 

Updated due to quarterly assessment and 

reallocation

5/13/2011 FCI Lender Services, Inc. Anaheim Hills CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 5/13/2011 $ 500,000 $ 500,000 Transfer of cap due to servicing transfer

1002025 6/16/2011 $ 100,000 $ 600,000 Transfer of cap due to servicing transfer

1002025 6/29/2011 $ (9) $ 599,991 

Updated due to quarterly assessment and 

reallocation

1002025 7/14/2011 $ 200,000 $ 799,991 Transfer of cap due to servicing transfer

1002025 9/15/2011 $ 100,000 $ 899,991 Transfer of cap due to servicing transfer

1002025 11/16/2011 $ 2,500,000 $ 3,399,991 Transfer of cap due to servicing transfer

1002025 5/16/2012 $ 1,510,000 $ 4,909,991 Transfer of cap due to servicing transfer

1002025 6/14/2012 $ 450,000 $ 5,359,991 Transfer of cap due to servicing transfer

1002025 6/28/2012 $ (66) $ 5,359,925 

Updated due to quarterly assessment and 

reallocation

1002025 7/16/2012 $ 250,000 $ 5,609,925 Transfer of cap due to servicing transfer

1002025 8/16/2012 $ 90,000 $ 5,699,925 Transfer of cap due to servicing transfer

1002025 9/27/2012 $ (191) $ 5,699,734 

Updated due to quarterly assessment and 

reallocation

1002025 10/16/2012 $ 140,000 $ 5,839,734 Transfer of cap due to servicing transfer

1002025 11/15/2012 $ 70,000 $ 5,909,734 Transfer of cap due to servicing transfer

1002025 12/14/2012 $ 40,000 $ 5,949,734 Transfer of cap due to servicing transfer

1002025 12/27/2012 $ (34) $ 5,949,700 

Updated due to quarterly assessment and 

reallocation

1002025 1/16/2013 $ 40,000 $ 5,989,700 Transfer of cap due to servicing transfer

7/14/2011 Gregory Funding, LLC Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 7/14/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1002041 11/16/2011 $ 900,000 $ 1,100,000 Transfer of cap due to servicing transfer

1002041 1/13/2012 $ 100,000 $ 1,200,000 Transfer of cap due to servicing transfer

1002041 6/28/2012 $ (9) $ 1,199,991 

Updated due to quarterly assessment and 

reallocation

1002041 8/16/2012 $ 20,000 $ 1,219,991 Transfer of cap due to servicing transfer

1002041 9/27/2012 $ (26) $ 1,219,965 

Updated due to quarterly assessment and 

reallocation

1002041 10/16/2012 $ 50,000 $ 1,269,965 Transfer of cap due to servicing transfer

1002041 12/14/2012 $ 10,000 $ 1,279,965 Transfer of cap due to servicing transfer

1002041 12/27/2012 $ (5) $ 1,279,960 

Updated due to quarterly assessment and 

reallocation

1002041 1/16/2013 $ 130,000 $ 1,409,960 Transfer of cap due to servicing transfer

9/15/2011 Bangor Savings Bank Bangor ME Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

9/15/2011 PHH Mortgage Corporation Mt. Laurel NJ Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 9/15/2011 $ 1,300,000 $ 1,300,000 Transfer of cap due to servicing transfer

10107 6/28/2012 $ (15) $ 1,299,985 

Updated due to quarterly assessment and 

reallocation

10107 9/27/2012 $ (42) $ 1,299,943 

Updated due to quarterly assessment and 

reallocation

10107 10/16/2012 $ 140,000 $ 1,439,943 Transfer of cap due to servicing transfer

10107 12/27/2012 $ (8) $ 1,439,935 

Updated due to quarterly assessment and 

reallocation

12/15/2011 Rushmore Loan Management Services LLC Irvine CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 12/15/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer

1002097 4/16/2012 $ 600,000 $ 800,000 Transfer of cap due to servicing transfer
103

Servicer Modifying Borrowers' Loans

Name of Institution City State 

Adjustment 

Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment

Pricing 

Date Mechanism

Transaction 

Type Investment Description Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Note

Adjustment Details

1002097 6/28/2012 $ (3) $ 799,997 

Updated due to quarterly assessment and 

reallocation

1002097 8/16/2012 $ 110,000 $ 909,997 Transfer of cap due to servicing transfer

1002097 9/27/2012 $ (13) $ 909,984 

Updated due to quarterly assessment and 

reallocation

1002097 10/16/2012 $ 1,270,000 $ 2,179,984 Transfer of cap due to servicing transfer

1002097 11/15/2012 $ 230,000 $ 2,409,984 Transfer of cap due to servicing transfer

1002097 12/27/2012 $ (5) $ 2,409,979 

Updated due to quarterly assessment and 

reallocation

1002097 1/16/2013 $ 990,000 $ 3,399,979 Transfer of cap due to servicing transfer

1/13/2012 Sun West Mortgage Company, Inc Cerritos CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1/13/2012 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

3/15/2012 PrimeWest Mortgage Corporation Lubbock TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 3/15/2012 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer

6/14/2012 Resurgent Capital Solutions, LP Greenville SC Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 6/14/2012 $ 940,000 $ 940,000 Transfer of cap due to servicing transfer

1001111 6/28/2012 $ 205,242 $ 1,145,242 

Updated due to quarterly assessment and 

reallocation

1001111 9/27/2012 $ (3) $ 1,145,239 

Updated due to quarterly assessment and 

reallocation

1001111 12/27/2012 $ (1) $ 1,145,238 

Updated due to quarterly assessment and 

reallocation

1001111 1/16/2013 $ 10,000 $ 1,155,238 Transfer of cap due to servicing transfer

11/15/2012 Kondaur Capital Corporation Orange CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 11/15/2012 $ 30,000 $ 30,000 Transfer of cap due to servicing transfer

1002292 12/14/2012 $ 70,000 $ 100,000 Transfer of cap due to servicing transfer

1002292 1/16/2013 $ (10,000) $ 90,000 Transfer of cap due to servicing transfer

12/14/2012 Quicken Loans Inc Detroit MI Purchase Financial Instrument for Home Loan Modifications N/A 9 12/14/2012 $ 10,000 $ 10,000 Transfer of cap due to servicing transfer

Total Initial Cap $ 23,831,570,000 $ 6,039,454,004

TOTAL CAP $ 29,871,024,003.91

12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination. 

7/ Initial cap amount includes FHA-2LP.

Total Cap Adjustments

3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger. 

4/ Initial cap amount includes FHA-HAMP.

5/ Initial cap amount includes RD-HAMP.

6/ Initial cap amount includes 2MP.

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. 

"2MP" means the Second Lien Modification Program.

"RD-HAMP" means the Rural Housing Service Home Affordable Modification Program.

"FHA-2LP" means the FHA Second Lien 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/ Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior to such merger. 

"HPDP" means the Home Price Decline Protection program.

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. 
104

Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Allstate Mortgage Loans & Investments, Inc. $ 5,035.81 $ 8,461.89 $ 8,035.81 $ 21,533.51

AMS Servicing, LLC $ 2,833.34 $ 35,278.78 $ 31,000.00 $ 69,112.12

Aurora Financial Group, Inc $ 24,689.43 $ - $ 27,843.67 $ 52,533.10

Aurora Loan Services LLC $ 15,997,418.00 $ 41,236,849.69 $ 28,629,251.10 $ 85,863,518.79

Bank of America, N.A. $ 4,267,061.97 $ 17,852,011.77 $ 9,159,438.92 $ 31,278,512.66

Bank of America, National Association $ 200,611,190.55 $ 407,177,224.91 $ 267,983,160.13 $ 875,771,575.59

BankUnited $ 5,610,398.65 $ 14,365,589.84 $ 9,214,929.73 $ 29,190,918.22

Bayview Loan Servicing LLC $ 5,429,680.13 $ 9,823,700.49 $ 8,312,083.28 $ 23,565,463.90

Carrington Mortgage Services, LLC. $ 6,503,435.26 $ 18,383,426.75 $ 13,346,112.36 $ 38,232,974.37

CCO Mortgage, a division of RBS Citizens NA $ 1,428,164.07 $ 3,561,810.45 $ 2,686,061.56 $ 7,676,036.08

Central Florida Educators Federal Credit Union $ 66,019.18 $ 122,961.07 $ 156,496.14 $ 345,476.39

CitiMortgage Inc $ 51,156,247.24 $ 163,801,661.30 $ 89,975,245.07 $ 304,933,153.61

Citizens First National Bank $ 13,333.34 $ 41,655.07 $ 31,316.67 $ 86,305.08

Community Credit Union of Florida $ 3,000.00 $ 4,631.53 $ 5,000.00 $ 12,631.53

CUC Mortgage Corporation $ 41,325.91 $ 106,011.52 $ 80,457.62 $ 227,795.05

DuPage Credit Union $ 4,514.14 $ 22,558.25 $ 9,814.14 $ 36,886.53

EMC Mortgage Corporation $ 7,569,459.20 $ 11,592,937.05 $ 16,279,383.05 $ 35,441,779.30

Fay Servicing, LLC $ 362,759.48 $ 708,054.08 $ 375,009.43 $ 1,445,822.99

FCI Lender Services, Inc. $ 18,873.90 $ 35,027.57 $ 21,416.32 $ 75,317.79

FIRST BANK $ 639,227.45 $ 1,479,769.92 $ 1,148,920.20 $ 3,267,917.57

First Keystone Bank $ 2,775.62 $ 3,423.27 $ 8,717.90 $ 14,916.79

First Mortgage Corporation $ 1,000.00 $ - $ 1,000.00 $ 2,000.00

Franklin Credit Management Corporation $ 279,929.67 $ 577,974.81 $ 663,319.67 $ 1,521,224.15

Franklin Savings $ 750.00 $ 2,712.97 $ 3,000.00 $ 6,462.97

Fresno County Federal Credit Union $ 3,833.34 $ 13,204.31 $ 7,916.67 $ 24,954.32

Glass City Federal Credit Union $ 4,000.00 $ 2,382.68 $ 6,000.00 $ 12,382.68

GMAC Mortgage, LLC $ 42,747,812.31 $ 104,321,794.19 $ 72,214,056.20 $ 219,283,662.70

Great Lakes Credit Union $ 6,916.67 $ 12,972.89 $ 10,100.00 $ 29,989.56

Greater Nevada Mortgage Services $ 42,605.91 $ 110,051.59 $ 77,229.67 $ 229,887.17

Green Tree Servicing LLC $ 1,542,463.53 $ 4,941,643.90 $ 3,704,322.87 $ 10,188,430.30

Gregory Funding, LLC $ 36,742.83 $ 76,610.94 $ 39,391.38 $ 152,745.15

Guaranty Bank $ 916.67 $ - $ 1,000.00 $ 1,916.67

Hillsdale County National Bank $ 19,693.49 $ 29,028.78 $ 43,528.96 $ 92,251.23

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 $ 1,916.66 $ 5,572.90 $ 5,833.34 $ 13,322.90

Homeward Residential, Inc. $ 47,588,013.53 $ 126,419,022.23 $ 90,249,516.23 $ 264,256,551.99

Horicon Bank $ 5,265.13 $ 13,149.60 $ 10,169.53 $ 28,584.26

Iberiabank $ - $ 10,502.00 $ 15,000.00 $ 25,502.00

IBM Southeast Employees' Federal Credit Union $ 9,000.00 $ 23,589.08 $ 16,000.00 $ 48,589.08

IC Federal Credit Union $ 14,416.67 $ 28,943.94 $ 26,000.00 $ 69,360.61

Idaho Housing and Finance Association $ 15,572.21 $ 17,303.53 $ 25,338.88 $ 58,214.62

James B.Nutter and Company $ 4,603.44 $ - $ 5,047.55 $ 9,650.99

JPMorgan Chase Bank, NA $ 204,844,832.86 $ 414,175,754.83 $ 292,463,675.59 $ 911,484,263.28

Lake City Bank $ 4,243.60 $ 4,955.56 $ 13,634.56 $ 22,833.72

Lake National Bank $ 3,000.00 $ 3,651.45 $ 4,000.00 $ 10,651.45

Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125.99 $ 27,530,413.93 $ 76,324,760.34

Los Alamos National Bank $ 13,637.50 $ 23,438.94 $ 28,751.00 $ 65,827.44

M&T Bank $ 34,523.56 $ - $ 37,587.26 $ 72,110.82

Marix Servicing LLC $ 352,195.77 $ 970,196.74 $ 839,632.77 $ 2,162,025.28

Marsh Associates, Inc. $ 4,274.49 $ - $ 4,622.14 $ 8,896.63

Midland Mortgage Co. $ 2,542,727.77 $ 505,916.82 $ 3,198,629.84 $ 6,247,274.43

Midwest Community Bank $ 1,000.00 $ 1,817.60 $ 2,000.00 $ 4,817.60

Mission Federal Credit Union $ 42,421.54 $ 121,320.97 $ 79,071.53 $ 242,814.04

MorEquity, Inc. $ 345,841.21 $ 2,305,003.00 $ 1,977,320.74 $ 4,628,164.95

Mortgage Center LLC $ 100,378.92 $ 186,633.74 $ 212,069.42 $ 499,082.08

National City Bank $ 1,834,491.53 $ 6,217,392.46 $ 3,735,730.06 $ 11,787,614.05

Nationstar Mortgage LLC $ 21,944,614.50 $ 43,397,682.11 $ 33,036,007.97 $ 98,378,304.58

Navy Federal Credit Union $ 337,581.07 $ 775,824.70 $ 648,450.64 $ 1,761,856.41

New York Community Bank $ 12,344.17 $ 31,779.17 $ 20,603.56 $ 64,726.90

Oakland Municipal Credit Union $ - $ 3,568.11 $ 6,500.00 $ 10,068.11

Ocwen Loan Servicing, LLC $ 66,452,752.20 $ 178,374,762.92 $ 124,322,749.23 $ 369,150,264.35

OneWest Bank $ 40,133,211.46 $ 125,953,700.51 $ 63,455,550.40 $ 229,542,462.37

ORNL Federal Credit Union $ 7,951.20 $ 16,897.90 $ 21,451.20 $ 46,300.30

Park View Federal Savings Bank $ 11,000.00 $ 23,936.55 $ 19,000.00 $ 53,936.55

Pathfinder Bank $ 2,750.00 $ 4,292.61 $ 7,033.34 $ 14,075.95

PennyMac Loan Services, LLC $ 4,153,491.90 $ 7,166,410.57 $ 5,029,418.25 $ 16,349,320.72

PNC Bank, National Association $ 66,062.66 $ 471,434.49 $ 329,000.00 $ 866,497.15

Purdue Employees Federal Credit Union $ 1,000.00 $ 1,325.40 $ 2,000.00 $ 4,325.40

Quantum Servicing Corporation $ 134,393.34 $ 335,507.71 $ 183,984.09 $ 653,885.14

Residential Credit Solutions, Inc. $ 988,582.47 $ 2,724,131.24 $ 1,825,026.98 $ 5,537,740.69

Resurgent Capital Services, L.P. $ 53,636.06 $ 93,152.60 $ 60,136.06 $ 206,924.72

RG Mortgage $ 164,852.94 $ 227,582.28 $ 401,333.81 $ 793,769.03

RoundPoint Mortgage Servicing Corporation $ 115,107.33 $ 306,921.36 $ 233,681.44 $ 655,710.13

Supplemental Information [Not Required by EESA §114(a)]

Making Home Affordable Program

Non-GSE Incentive Payments (through January 2013)
105

Name of Institution Borrowers Lenders / Investors Servicer Total Payments to Date

Rushmore Loan Management Services LLC $ 40,716.52 $ 154,038.78 $ 54,122.08 $ 248,877.38

Saxon Mortgage Services, Inc. $ 19,655,991.44 $ 41,738,482.04 $ 39,415,514.90 $ 100,809,988.38

Schools Financial Credit Union $ 14,750.01 $ 44,598.03 $ 28,500.00 $ 87,848.04

Scotiabank de Puerto Rico $ 355,357.40 $ 470,487.43 $ 404,946.78 $ 1,230,791.61

Select Portfolio Servicing, Inc. $ 49,677,232.76 $ 97,338,380.80 $ 76,540,925.25 $ 223,556,538.81

Selene Finance LP $ 43,771.65 $ 108,669.31 $ 59,850.17 $ 212,291.13

Servis One, Inc., dba BSI Financial Services, Inc. $ 309,414.41 $ 656,603.71 $ 408,731.46 $ 1,374,749.58

ShoreBank $ 49,915.10 $ 153,906.17 $ 143,165.10 $ 346,986.37

Silver State Schools Credit Union $ 40,355.90 $ 174,376.81 $ 69,189.24 $ 283,921.95

Specialized Loan Servicing LLC $ 2,021,289.68 $ 4,772,950.17 $ 3,959,935.74 $ 10,754,175.59

Statebridge Company, LLC $ 9,535.75 $ 34,180.92 $ 9,642.90 $ 53,359.57

Sterling Savings Bank $ 106,974.93 $ 239,860.25 $ 211,739.84 $ 558,575.02

Technology Credit Union $ 34,250.00 $ 130,964.59 $ 54,016.67 $ 219,231.26

The Bryn Mawr Trust Company $ 7,136.68 $ 9,959.63 $ 7,435.80 $ 24,532.11

The Golden 1 Credit Union $ 173,443.29 $ 640,929.13 $ 395,020.19 $ 1,209,392.61

U.S. Bank National Association $ 8,164,555.37 $ 21,599,220.27 $ 16,571,353.43 $ 46,335,129.07

United Bank $ 2,000.00 $ 1,472.38 $ 4,000.00 $ 7,472.38

United Bank Mortgage Corporation $ 28,175.28 $ 57,763.93 $ 52,363.61 $ 138,302.82

Urban Partnership Bank $ 109,187.70 $ 221,256.46 $ 118,245.07 $ 448,689.23

Vantium Capital, Inc. d/b/a Acqura Loan Services $ 227,421.47 $ 466,508.39 $ 373,579.23 $ 1,067,509.09

Vericrest Financial, Inc. $ 487,735.46 $ 1,360,249.56 $ 1,294,267.06 $ 3,142,252.08

Wachovia Mortgage, FSB $ - $ 76,889.58 $ 162,000.00 $ 238,889.58

Wells Fargo Bank, N.A. $ 139,562,717.94 $ 328,725,064.11 $ 222,034,375.82 $ 690,322,157.87

Wescom Central Credit Union $ 166,522.45 $ 525,524.53 $ 289,225.08 $ 981,272.06

Western Federal Credit Union $ 13,416.67 $ 34,012.79 $ 16,916.67 $ 64,346.13

Wilshire Credit Corporation $ - $ 490,394.10 $ 1,167,000.00 $ 1,657,394.10

Yadkin Valley Bank $ 19,828.50 $ 20,912.04 $ 39,428.50 $ 80,169.04

Total $ 971,718,569.36 $ 2,252,472,366.85 $ 1,547,199,127.44 $ 4,771,390,063.65
106

Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 102,800,000 - $ 194,026,240 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 34,056,581 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 57,169,659 N/A

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 699,600,000 - $ 1,975,334,096 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 476,257,070 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 799,477,026 N/A

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 418,000,000 - $ 1,057,839,136 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 238,864,755 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 400,974,381 N/A

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 125,100,000 - $ 267,766,006 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 142,666,006 N/A

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 154,500,000 - $ 498,605,738 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 128,461,559 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 215,644,179 N/A

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 159,000,000 - $ 482,781,786 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 120,874,221 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 202,907,565 N/A

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 172,000,000 - $ 570,395,099 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 148,728,864 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 249,666,235 N/A

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 88,000,000 - $ 220,042,786 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 49,294,215 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 82,748,571 N/A

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 43,000,000 - $ 79,351,573 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 13,570,770 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 22,780,803 N/A

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HHF Program $ 138,000,000 - $ 295,431,547 N/A

2 9/23/2010 Purchase Financial Instrument for HHF Program - $ 58,772,347 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 98,659,200 N/A

9/23/2010 Alabama Housing Finance Authority Montgomery AL Purchase Financial Instrument for HHF Program $ 60,672,471 - $ 162,521,345 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 101,848,874 N/A

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 55,588,050 - $ 148,901,875 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 93,313,825 N/A

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 38,036,950 - $ 101,888,323 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 63,851,373 N/A

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 126,650,987 - $ 339,255,819 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 212,604,832 N/A

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 82,762,859 - $ 221,694,139 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 138,931,280 N/A

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 166,352,726 - $ 445,603,557 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 279,250,831 N/A

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 112,200,637 - $ 300,548,144 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 188,347,507 N/A

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 7,726,678 - $ 20,697,198 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 12,970,520 N/A

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 81,128,260 - $ 217,315,593 N/A

3 9/29/2010 Purchase Financial Instrument for HHF Program - $ 136,187,333 N/A

$ 7,600,000,000

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.

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets

Hardest Hit Funds (HHF) Program

Note

Pricing 

Mechanism

Additional 

Investment Amount

Investment Amount 1 

TOTAL INVESTMENT AMOUNT 

Date

Seller Transaction 

Type Investment Description

Initial Investment 

Amount
107

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

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 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
108

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(E)]

For Period Ending January 31, 2013

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance contracts 

entered into under the provisions of section 102 of the EESA; 

and the single insurance contract with Citigroup was 

terminated on December 23, 2009.
109

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(3)(F)]

For Period Ending January 31, 2013

Type of Expense Amount

Compensation for financial agents 

and legal firms $818,268,223
110

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(3)(H)]

For Period Ending January 31, 2013

Date Vehicle Description

None
Servicer Name

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

Bank of America, NA6

 17,355 10,664 1,689 8,975 1,244,614 1,218,994 561,775 657,219

BankUnited 49 83 42 41 8,926 8,806 4,263 4,543

Bayview Loan Servicing, LLC 1,631 1,155 398 757 20,968 19,123 7,340 11,783

Carrington Mortgage Services, LLC 1,033 822 210 612 52,297 50,902 17,607 33,295

CCO Mortgage, a division of RBS Citizens NA 304 423 56 367 21,403 20,879 5,366 15,513

CitiMortgage Inc 1,045 1,316 676 640 517,591 501,364 212,935 288,429

GMAC Mortgage, LLC 12,371 9,853 880 8,973 443,699 434,430 112,884 321,546

Green Tree Servicing LLC 3,139 3,007 2,533 474 67,735 66,220 24,422 41,798

Homeward Residential 5,870 4,291 544 3,747 212,862 209,393 55,681 153,712

iServe Residential Lending, LLC - - - - 1 1 1 -

iServe Servicing, Inc. - - - - 31 31 13 18

JPMorgan Chase Bank, NA 45,923 13,612 2,400 11,212 1,462,524 1,414,034 417,053 996,981

Midland Mortgage Co. 2,678 2,990 246 2,744 75,675 73,131 5,212 67,919

National City Bank 317 280 42 238 31,883 31,834 26,555 5,279

Nationstar Mortgage LLC 9,859 10,367 827 9,540 283,062 259,940 63,453 196,487

Navy Federal Credit Union 426 216 71 145 6,806 6,042 1,283 4,759

Ocwen Loan Servicing, LLC 14,278 12,041 2,069 9,972 444,042 437,319 112,905 324,414

OneWest Bank 4,193 5,265 197 5,068 344,284 327,101 97,376 229,725

ORNL Federal Credit Union 1 8 2 6 400 397 36 361

PennyMac Loan Services, LLC 257 719 54 665 10,583 9,641 2,496 7,145

PNC Bank, National Association 8 4 - 4 541 485 18 467

Quantum Servicing Corporation - - - - 692 692 85 607

Residential Credit Solutions, Inc. 453 347 33 314 13,230 11,299 1,244 10,055

Select Portfolio Servicing, Inc. 2,211 2,781 645 2,136 103,172 97,471 75,638 21,833

Specialized Loan Servicing LLC 3,345 600 115 485 27,290 23,000 2,477 20,523

U.S. Bank National Association 2,787 957 90 867 84,457 70,049 34,127 35,922

Wells Fargo Bank, NA 9,674 8,523 2,938 5,585 714,018 697,629 249,582 448,047

Other Servicers7

 - - - - 170,118 170,118 106,012 64,106

TOTAL 139,207 90,324 16,757 73,567 6,362,904 6,160,325 2,197,839 3,962,486

HAMP Application Activity by Servicer 1

As of December 2012

6 Bank of America, NA includes BAC Home Loans Servicing, LP. 

Activity in December 2012 Program-to-Date

1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey, and cannot be 

separately reviewed or validated by Treasury.

Beginning in August 2012, this report reflects a change in reporting requirements of the Monthly Servicer Survey; servicers report all HAMP modification requests received and their outcome, including multiple requests made on a loan. Prior to August 

2012, servicers counted only one request per loan. As a result of this change, prior months' reporting contained data compiled under the different methodology. This update is reflected in this report on a going forward basis.

From time to time, a servicer's current month's cumulative results may not equal that servicer's prior month's cumulative results and current month's activity; this is due to corrections or updates made to prior reporting methodology. Note that 

Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.

2

 "Requests Received" is the total number of HAMP mortgage modification requests received, as reported by servicers to Monthly Servicer Survey question: "Number of requests received for a HAMP modification". Cumulative Requests Received 

include all HAMP mortgage modification requests received since implementation of Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved and sent a Trial Offer prior to implementation of this program guidance.

7 Includes servicers that are no longer actively participating in the survey process or whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods when the 

survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).

3

 "Requests Processed" is the total number of the HAMP mortgage modifications approved or denied and communicated to the borrower by the servicer, calculated as the sum of Requests Approved and Requests Denied, defined below. Figures include 

HAMP mortgage modification requests evaluated and denied due to insufficient documentation.

4

 "Requests Approved" is the total number of HAMP mortgage modification requests approved and Trial Offers sent to the borrowers, as reported by servicers to Monthly Servicer Survey question: "Number of requests Approved and Sent a HAMP Trial 

Offer". Note that all Requests Approved do not become Active Trials because some borrowers do not accept the trial or fail to make the first trial payment. Cumulative Requests Approved include all HAMP mortgage modification requests approved and 

Trial Offers sent since program inception, or March 2009.

5

 "Requests Denied" is the total number of HAMP mortgage modification requests denied and communicated to the borrower by the servicer in accordance with program guidance, as reported by servicers to Monthly Servicer Survey question: 

"Number of requests Denied for a HAMP Trial". Cumulative Requests Denied include all HAMP mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective 

June 1, 2010. Figures include HAMP mortgage modification requests evaluated and denied due to insufficient documentation.