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| In light of improving market conditions, Maiden Lane III LLC’s investment objective was revised in April 2012 to allow for the exploration of sales of the assets held in the portfolio. There was no fixed timeframe for the sales; at each stage, the Federal Reserve sold an asset through a competitive process and only if the best available bid represented good value for the public, while taking appropriate care to avoid market disruption. On August 23, 2012, Maiden Lane III LLC completed the sale of its remaining securities. |
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Security Offerings
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| Deal Name: |
Ayresome CDO I, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
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Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
05473WAA4 |
|
Current Face Amount1: |
$48,166,499 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
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Sold To: |
Credit Suisse Securities (USA) LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Bluegrass ABS CDO II LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
09622WAL2, 09622WAM0 |
|
Current Face Amount1: |
$92,495,048 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Credit Suisse Securities (USA) LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Diogenes CDO I LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
25454VAA7 |
|
Current Face Amount1: |
$168,393,603 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Citigroup Global Markets Inc. |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Dunhill ABS CDO, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
26545QAQ2, 26545QAA7 |
|
Current Face Amount1: |
$91,376,425 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Credit Suisse Securities (USA) LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Gemstone CDO III, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
36868AAC6 |
|
Current Face Amount1: |
$68,202,933 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Credit Suisse Securities (USA) LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Gemstone CDO IV, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
36868BAA8 |
|
Current Face Amount1: |
$229,979,893 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Ischus CDO II LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
46426RAA7, 46426RAB5 |
|
Current Face Amount1: |
$171,146,040 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Independence VI CDO, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
45377TAA4 |
|
Current Face Amount1: |
$338,677,613 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Lexington Capital Funding, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
52902TAC0, 52902TAE6 |
|
Current Face Amount1: |
$122,454,979 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
RBS Securities Inc. |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
MKP CBO IV, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
553121AA2 |
|
Current Face Amount1: |
$78,924,166 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
RBS Securities Inc. |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
MKP CBO V, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
55312WAA4 |
|
Current Face Amount1: |
$369,642,515 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Credit Suisse Securities (USA) LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Montauk Point CDO, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
612180AA7 |
|
Current Face Amount1: |
$222,630,076 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Neptune CDO 2004-1 LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
640699AA2 |
|
Current Face Amount1: |
$154,180,870 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
RBS Securities Inc. |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Neptune CDO II LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
64069RAA2 |
|
Current Face Amount1: |
$132,746,120 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Pine Mountain CDO, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
722694AA4 |
|
Current Face Amount1: |
$154,917,425 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Perce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
River North CDO LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
768277AA3 |
|
Current Face Amount1: |
$82,094,562 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Morgan Stanley & Co. LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Sherwood Funding CDO, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
82437RAA9 |
|
Current Face Amount1: |
$204,498,459 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Morgan Stanley & Co. LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Sherwood Funding CDO II, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
82437XAA6 |
|
Current Face Amount1: |
$275,608,959 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Morgan Stanley & Co. LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Straits Global ABS CDO I, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
86258PAA0 |
|
Current Face Amount1: |
$30,370,495 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Morgan Stanley & Co. LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
TABS 2005-4, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
87337UAA2 |
|
Current Face Amount1: |
$200,701,628 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Morgan Stanley & Co. LLC |
|
Trade Date: |
August 23, 2012 |
|
Deal Name: |
Vertical ABS CDO 2005-1, LTD. |
|
Offering Circulation Date: |
August 9, 2012 |
|
Bid Submission Deadline: |
August 23, 2012 |
|
CUSIPs: |
92534EAA9 |
|
Current Face Amount1: |
$192,516,234 |
|
Broker-dealers Included in Auction: |
Barclays Capital Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBS Securities Inc. |
|
Sold To: |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
Trade Date: |
August 23, 2012 |
|
|
|
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1Current face amount represents the most recent balance of principal outstanding on the securities at the Offering Circulation Date and should not be confused with market value or the price ML III paid to acquire the assets. At October 31, 2008, inception, the ML III LLC paid $29.3 billion for the portfolio of assets with a face amount of approximately $62.1 billion. |
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