Company: NewBridge Bancorp (NBBC) 
   Participation: NewBridge received preliminary approval to sell $52 million 
   in preferred shares and issue warrants for common shares with an aggregate 
   market price of about $7.8 million. 
   Date of disclosure: Nov. 25 
   Notes: The capital will increase NewBridge's leverage, Tier 1 risk-based 
   capital and total risk-based capital ratios to about 10.38%, 11.89% and 
   13.16%, respectively, from 7.78%, 8.91% adn 10.18%. 
 
   Company: Pinnacle Financial Partners Inc. (PNFP) 
   Participation: Pinnacle received preliminary approval for the sale of $95 
   million of preferred stock and related warrants. 
   Date of disclosure: Nov. 25 
   Notes: The new capital would increase Pinnacle's Tier 1 risk-based capital 
   ratio to about 12.3% from 9.8% and its total risk-based capital ratio to 
   about 13.7% from 11.2% at Sept. 30. 
 
   Company: State Bancorp Inc. (STBC) 
   Participation: State received preliminary approval for an investment of 
   about $36 million. 
   Date of disclosure: Nov. 25 
   Notes: The new capital would raise State's Tier 1 leverage ratio to about 
   10.57% from 8.37% at Sept. 30 and its total risk-based capital ratio to 
   about 14.77% from 12.32%. 
 
   Company: State Street Corp. (STT) 
   Participation: State Street registered to sell up to $2 billion of 
   preferred shares on behalf of some holders. 
   Date of disclosure: Nov. 25 
   Notes: On Oct 27, State Street said the Treasury will receive 20,000 shares 
   of the company's Series B fixed-rate cumulative perpetual preferred stock, 
   $100,000 liquidation preference per share, and a 10-year warrant to 
   purchase 5.58 million shares of State Street's common stock at an exercise 
   price of $53.80 a share. 
 
   Company: Tennessee Commerce Bancorp Inc. (TNCC) 
   Participation: Tennessee Commerce received preliminary approval to issue 
   about $30 million in senior preferred shares and warrants. 
   Date of disclosure: Nov. 25 
   Notes: n/a 
 
   Company: The Bancorp Inc. (TBBK) 
   Participation: The Bancorp received preliminary approval for the sale of 
   about $45.2 million of preferred stock and related warrants. 
   Date of disclosure: Nov. 25 
   Notes: The new capital would raise The Bancorp's Tier 1 capital to risk- 
   weighted assets ratio to about 11.5% from 8.55% at Sept. 30. 
 
   Company: American River Bankshares (AMRB) 
   Participation: American River received preliminary approval for $6 million. 
   Date of disclosure: Nov. 24 
   Notes: Shareholders must approve amending the company's articles of 
   incorporation to authorize preferred stock. 
 
   Company: Cascade Financial Corp. (CASB) 
   Participation: Cascade completed its sale of $39 million in preferred 
   shares with a warrant to buy 863,442 common shares at an exercise price of 
   $6.77 each. 
   Date of disclosure: Nov. 24 
   Notes: When Cascade announced preliminary approval Nov. 3, it said the new 
   capital will raise Cascade's Tier 1 risk-based capital ratio to about 10% 
   and its total risk-based capital ratio to about 13%. On Nov. 24, the 
   company said the new capital will raise Cascade's total risk-based 
   capital ratio to 13.4%. 
 
   Company: Center Financial Corp. (CLFC) 
   Participation: Center received preliminary approval for $55 million. 
   Date of disclosure: Nov. 24 
   Notes: The new capital will increase Center's leverage capital ratio to 
   11.36% from 8.71% at Sept. 30, its Tier 1 risk-based capital ratio to 
   12.83% from 9.84% and its total risk-based capital ratio to 14.02% from 
   11.03%. 
 
   Company: CenterState Banks of Florida Inc. (CSFL) 
   Participation: In a transaction that closed Nov. 21, CenterState issued and 
   sold $27.9 million in preferred shares and a warrant to buy up to 250,825 
   common shares at an exercise price of $16.67 a share, for an aggregate 
   purchase price of $4.18 million. 
   Date of disclosure: Nov. 24 
   Notes: n/a 
 
   Company: Citigroup Inc. (C) 
   Participation: On Oct. 29, the U.S. Treasury said it would inject $25 
   billion into Citigroup. Late Nov. 23, the Treasury said it would add 
   another $20 billion. 
   Date of disclosure: Nov. 24 
   Notes: Additionally, Citigroup and the government identified a pool of 
   about $306 billion in troubled assets. Citigroup will absorb the first $29 
   billion in losses. After that, the Treasury, the Federal Reserve and the 
   Federal Deposit Insurance Corp. will take on any additional losses, though 
   the company could have to share a small portion of additional losses. 
 
   Company: Fidelity Southern Corp. (LION) 
   Participation: Fidelity received preliminary approval for $48.2 million. 
   Date of disclosure: Nov. 24 
   Notes: n/a 
 
   Company: Heritage Commerce Corp. (HTBK) 
   Participation: Heritage Commerce completed its sale of $40 million in 
   preferred shares and related common stock warrants. 
   Date of disclosure: Nov. 24 
   Notes: If the issuance of the preferred shares had occurred on Sept. 30, 
   the company's consolidated leverage ratio would have risen to 10.72% from 
   8.27%, the Tier 1 risk-based capital ratio to 11.7% from 8.83% and the 
   total risk-based capital to 12.95% from 10.08%. Heritage announced 
   preliminary approval Nov. 5. 
 
   Company: Independent Bank Corp. (IBCP) 
   Participation: Independent received preliminary approval to sell $72 
   million in preferred shares and issue warrants to buy up to $10.8 million 
   in common shares. 
   Date of disclosure: Nov. 24 
   Notes: Independent expects the new capital to raise the company's Tier 1 
   capital-to-average-assets ratio to 9.86% from 7.42% at Sept. 30 and its 
   total capital-to-risk-weighted-assets ratio to 14.17% from 11.29%.

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