Company: Marshall & Ilsley Corp. (MI) 
   Participation: Marshall & Ilsley issued $1.72 billion in preferred shares 
   and a warrant to buy 13.8 million common shares at $18.62 each.. 
   Date of disclosure: Nov. 14 
   Notes: On Oct. 28, the company said this capital would raise the company's 
   Tier 1 and total capital ratio levels to 10.9% and 14.8%, respectively, 
   from 7.9% and 11.8% at Sept. 30. 
 
   Company: Regions Financial Corp. (RF) 
   Participation: Regions completed its sale of $3.5 billion in preferred 
   shares and warrants. 
   Date of disclosure: Nov. 14 
   Notes: The Treasury investment will increase Region's Tier 1 capital to 
   about 10.5%. Regions announced preliminary approval Oct. 24. 
 
   Company: Synovus Financial Corp. (SNV) 
   Participation: Synovus received preliminary approval to sell about $973 
   million in preferred shares and warrants. 
   Date of disclosure: Nov. 14 
   Notes: n/a 
 
   Company: UCBH Holdings Inc. (UCBH) 
   Participation: UCBH issued $298.7 million in preferred shares and warrants 
   to buy up to 7.84 million common shares at an exercise price of $5.71 a 
   share. 
   Date of disclosure: Nov. 14 
   Notes: The new capital will boost UCBH's risk-based capital ratio to 
   15% from 12.5%. UCBH announced preliminary approval Oct. 27. 
 
   Company: TCF Financial Corp. (TCB) 
   Participation: TCF received proceeds from a $361 million investment with 
   warrants to buy about 3.2 million common shares at $16.93 each. 
   Date of disclosure: Nov. 14 
   Notes: TCF announced preliminary approval Nov. 3. 
 
   Company: Valley National Bancorp (VLY) 
   Participation: Valley completed its sale of $300 million of preferred 
   shares and issued warrants for the purchase of about 2.3 million common 
   shares with an aggregate market price equal to $45 million or 15% of the 
   senior preferred investment. 
   Date of disclosure: Nov. 14 
   Notes: Valley said Oct. 24 it has "no plan or current need" to participate 
   in other aspects of TARP, specifically the sale of troubled assets. 
 
   Company: Washington Federal Inc. (WFSL) 
   Participation: Washington Federal completed the sale of  $200 million in 
   senior preferred shares, with warrants to purchase up to $30 million in 
   common stock. 
   Date of disclosure: Nov. 14 
   Notes: Washington Federal announced preliminary plans Oct. 26. 
 
   Company: Bank of Commerce Holdings (BOCH) 
   Participation: Bank of Commerce received approval for an investment of 
   about $17 million. 
   Date of disclosure: Nov. 13 
   Notes: The investment is expected to occur in the fourth quarter. 
 
   Company: Bank of the Carolinas Corp. (BCAR) 
   Participation: Bank of the Carolinas plans to apply. 
   Date of disclosure: Nov. 13 
   Notes: n/a 
 
   Company: Colonial BancGroup Inc. (CNB) 
   Participation: Colonial applied to participate. 
   Date of disclosure: Nov. 13 
   Notes: n/a 
 
   Company: Signature Bank (SBNY) 
   Participation: Signature received preliminary approval for $120 million in 
   capital from the sale of senior preferred shares and 15% in warrants for 
   the purchase of common stock 
   Date of disclosure: Nov. 13 
   Notes: The new capital will increase the company's total risk-based capital 
   ratio to more than 19% from 16.11% at Sept. 30. The sale is expected within 
   30 days. Signature announced its application Oct. 30. 
 
   Company: Western Alliance Bancorp. (WAL) 
   Participation: Western Alliance received preliminary approval for a $140 
   million investment. 
   Date of disclosure: Nov. 13 
   Notes: The new capital should raise the company's total capital ratio to 
   about 14.4% from 11.4%. 
 
   Company: Capital Corp of the West (CCOW) 
   Participation: Capital Corp plans to apply to sell up to $46 million of 
   senior preferred shares. 
   Date of disclosure: Nov. 12 
   Notes: n/a 
 
   Company: Frontier Financial Corp. (FTBK) 
   Participation: Frontier has filed an application. 
   Date of disclosure: Nov. 12 
   Notes: n/a 
 
   Company: Harleysville National Corp. (HNBC) 
   Participation: Harleysville filed an application for about $120 million. 
   Date of disclosure: Nov. 12 
   Notes: The $120 million figure is based on a pro forma estimation of assets 
   resulting from the pending acquisition transaction of Willow Financial 
   Bancorp Inc. (WFBC) 
 
   Company: CoBiz Financial Inc. (COBZ) 
   Participation: CoBiz plans to apply and will propose selling the maximum 
   amount of preferred stock allowed, 3% of its risk-weighted assets. 
   Date of disclosure: Nov. 7 
   Notes: n/a 
 
   Company: E*Trade Financial Corp. (ETFC) 
   Participation: E*Trade filed an application to receive $800 million. 
   Date of disclosure: Nov. 7 
   Notes: n/a

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