ML14273A477
| ML14273A477 | |
| Person / Time | |
|---|---|
| Site: | South Texas  |
| Issue date: | 09/17/2014 |
| From: | Eller B South Texas |
| To: | Jkeith Everly Document Control Desk, Office of Nuclear Security and Incident Response |
| References | |
| NOC-AE-14003178 | |
| Download: ML14273A477 (52) | |
Text
Withhol' Accordi Persona Nuclear Operating Company South Teus Project Electric GenverninS Station P. Box 289
'adsworth. Teas 77483 d Enclosure 1 From Public Disclosure in ince With IOCFR2.390 - Forms contain lly Identifiable Information September 17, 2014 NOC-AE-14003178 10 CFR 95.17 (a)(1) 10 CFR 2.390 File No: D43.02 STI: 33941045 U. S. Nuclear Regulatory Commission Document Control Desk Washington, DC 20555-0001 ATTN: J. Keith Everly, Jr. (MS O-2D-15)
South Texas Project Units 1 & 2 Docket Nos. STN 50-498, STN 50-499 Update Foreign Ownership, Control, or Influence (FOCI)
This submittal provides updated information regarding Foreign Ownership, Control, or Influence (FOCI) for STP Nuclear Operating Company (STPNOC) for one of the three owners of South Texas Project, Units 1 and 2 in accordance with 10 CFR 95.17. provides updated forms that identify the Owners, Officers, Directors, and Executive Personnel (OODEPs) for NRG. Enclosure 2 provides an updated Standard Form 328, "Certificate Pertaining to Foreign Interests" (SF 328) for NRG. contains OODEP forms that include Personally Identifiable Information. STPNOC requests that the OODEP forms be withheld from public disclosure in accordance with 10 CFR 2.390.
There are no commitments in this letter.
If there are any questions, please contact Robyn Savage at (361) 972-7438.
Buddy Eller General Manager, Corporate Communications & External Affairs
Enclosures:
- 1. Owners, Officers, Directors, and Executive Personnel (OODEP) Forms for NRG Energy, Inc., NRG South Texas LP, Texas Genco GP, LLC, Texas Genco Holdings, Inc. (Withhold per 10 CFR2.390)
- 2. SF-328, Certificate Pertaining to Foreign Interests
- 3. Supplemental Information for Certificate Pertaining to Foreign Interests (with Attachments 1-4) 0-o
NOC-AE-14003178 Page 2 of 2 cc:
(paper copy w/o attachments)
Regional Administrator, Region IV U. S. Nuclear Regulatory Commission 1600 East Lamar Boulevard Arlington, TX 76011-4511 Balwant K. Singal Senior Project Manager U.S. Nuclear Regulatory Commission One White Flint North (MS 8B1) 11555 Rockville Pike Rockville, MD 20852 NRC Resident Inspector U. S. Nuclear Regulatory Commission P. 0. Box 289, Mail Code: MN1 16 Wadsworth, TX 77483 (electronic copy w/o attachments)
John Ragan Chris O'Hara Jim von Suskil NRG South Texas LP Steve Frantz Morgan, Lewis & Bockius LLP Balwant K. Singal U. S. Nuclear Regulatory Commission Kevin Polio Cris Eugster L. D. Blaylock CPS Energy C. Mele John Wester City of Austin Peter Nemeth Crain Caton & James, P.C.
Richard A. Ratliff Texas Department of State Health Services Robert Free Texas Department of State Health Services RMS w/ attachments
NOC-AE-1 4003178 ENCLOSURE 2 Certificate Pertaining to Foreign Interests (Standard Form SF-328)
CERTIFICATE PERTAINING TO FOREIGN INTERESTS (Type or print all answers)
OMB No. 0704-0194 OMB approval expires May 31, 2011 PLEASE DO NOT RETURN YOUR FORM TO THE ORGANIZATION IN THE PARAGRAPH BELOW, RETURN COMPLETED FORM TO YOUR RESPECTIVE COGNIZANT SECURITY OFFICE.
The public reporting burden for this collection of information is estimated to average 70 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Washington Headquarters Services, Executive Services Directorate, Information Management Division, 1155 Defense Pentagon, Washington, DC 20301-1155 (0704-0194). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB number.
PENALTY NOTICE Failure to answer all questions or any misrepresentation (by omission or or both, knowingly to make a false statement or representation to concealment, or by misleading, false or partial answers) may serve as a any Department or Agency of the United States, as to any matter basis for denial of clearance for access to classified information. In within the jurisdiction of any Department or Agency of the United addition, Title 18, United States Code 1001, makes it a criminal offense, States. This includes any statement made herein which is knowingly punishable by a maximum of five (5) years imprisonment, $15,000 fine incorrect, incomplete or misleading in any important particular.
PROVISIONS
- 1. This report is authorized by the Secretary of Defense, as Executive
- 2. When this report is submitted in confidence and is so marked, Agent for the National Industrial Security Program, pursuant to Executive applicable exemptions to the Freedom of Information Act will be Order 12829. While you are not required to respond, your eligibility for a invoked to withhold it from public disclosure.
facility security clearance cannot be determined if you do not complete this form. The retention of a facility security clearance is contingent upon
- 3. Complete all questions on this form. Mark "Yes" or "No" for each your compliance with the requirements of DoD 5220.22-M for submission question. If your answer is "Yes" fumish in full the complete of a revised form as appropriate.
information under "Remarks."
QUESTIONS AND ANSWERS
- 1. (Answer Ia. or lb.)
- a. (For entities which issue stock): Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5 percent or more of the outstanding shares of any class of your organization's equity securities?
- b. (For entities which do not issue stock): Has any foreign person directly or indirectly subscribed 5 percent or more of your organization's total capital commitment?
- 2. Does your organization directly, or indirectly through your subsidiaries and/or affiliates, own 10 percent or more of any foreign interest?
- 3. Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials?
- 4. Does any foreign person(s) have the power, direct or indirect, to control the election, appointment, or tenure of members of your organization's board of directors (or similar goveming body) or other management positions of your organization, or have the power to control or cause the direction of other decisions or activities of your organization?
- 5. Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)?
- 6. Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations to a foreign person(s)?
- 7. During your last fiscal year, did your organization derive:
- a. 5 percent or more of its total revenues or net income from any single foreign person?
- b. In the aggregate 30 percent or more if its revenues or net income from foreign persons?
- 8. Is 10 percent or more of any class of your organization's voting securities held in "nominee" shares, in "street names" or in some other method which does not identify the beneficial owner?
- 9. Do any of the members of your organization's board of directors (or similar goveming body), officers, executive personnel, general partners, regents, trustees or senior management officials hold any positions with or serve as consultants for, any foreign person(s)?
- 10. Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influence the operations or management of your organization?
STANDARD FORM 328 (Revised 612008)
PREVIOUS EDITION IS OBSOLETE.
STANDARD FORM 328 (Revised 6/2008)
PREVIOUS EDITION IS OBSOLETE.
REMARKS (Attach additional sheets, if necessary, for a full detailed statement.)
Please see attached.
CERTIFICATION I CERTIFY that the entries made by me above are true, complete, and correct to the best of my knowledge and belief and are made in good faith.
WITNESSES:
NOTE. In case of a corporation, a witness is not required but the certificate below must be completed. Type or print names under all signatures.
(Signature of Authorized Contractor Representative) me of Contractor)
(Title of Authorized Contractor Representative)
(J (Address)
I NOTE: Contractor, if a corporation, should cause the following certificate to be executed under its corporate seal, provided that the same officer shall not execute both the Agreement and the Certificate.
CERTIFICATE of the corporation named as Contractor herein; that certify that lam the e/* (ca'ri ' a__eL.(.
lCk'i~kav 6, who signed this certificate on behalf of the Contractor, was then SoAi j '( VI/I'--* "'*'-*i
-c--
of said corporation; that said certificate was duly signed for and in behalf of said corporation by authority of its governing body, and is within the scope of its corporate powers.
-Sýý (Corporate Seal)
--- (Signature and Date)
STANDARD FORM 328 (BACK) (Revised 612008)
NOC-AE-14003178 ENCLOSURE 3 Supplemental Information for Certificate Pertaining to Foreign Interests SF-328 (with Attachments 1-4)
NRG Energy, Inc.,
NRG Texas, LLC, and NRG South Texas LP Supplemental Information for Certificate Pertaining to Foreign Interests SF 328 September 10, 2014 Page 1 of 6
Supplemental Information for Certificate Pertaining to Foreign Interests For NRG Energy, Inc., NRG Texas, LLC, and NRG South Texas LP Question 1:
Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5% or more of the outstanding shares of any class of your organization's equity securities?
No.
Question 2:
Does your organization directly or indirectly through your subsidiaries and/or affiliates, own 10% or more of any foreign interest?
Yes. Attachment 1 provides a listing of NRG Energy, Inc.'s ("NRG Energy") foreign interests as of September 10, 2014, by name, country, and percentage owned or units held. In addition, Attaclunent 2 provides a listing of NRG personnel who act as officers or directors of the foreign entities.
Question 3:
Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials?
Yes. Mauricio Gutierrez, NRG's Executive Vice President and Chief Operating Officer, is a citizen of Mexico and recently became a citizen of the United States.
In addition, Glen Mackey, NRG's Chief Risk Officer, is a citizen of Canada, and is a resident alien of the United States.
Question 4:
Does any foreign person(s) have the power, direct or indirect, to control the election, appointment, or tenure of members of your organization's board of directors (or similar governing body) or other management positions of your organization, or have the power to control or cause the direction of other decisions or activities of your organization?
No.
Page 2 of 6
Question 5:
Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)?
All foreign operations represent approximately 0.1% of the company's total operating revenues and approximately 1.0% of its gross income. The largest source of revenue and income from any single foreign country was the company's operations in Australia, which represent approximately 0.05% of operating revenue (December 31, 2013) and approximately 0.9% of gross income.
NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 9.252% owned by Toshiba America Nuclear Energy Corporation (TANE), which is owned by Toshiba Corporation, a Japanese company. TANE is part of a consortium along with Stone & Webster Inc. (a Louisiana corporation which is wholly owned by The Shaw Group, Inc.) that has contracted to construct a two unit commercial nuclear power plant at the South Texas Project known as STP 3&4. TANE has provided a $500 million credit facility to NINA in connection with the construction and Stone &
Webster Inc. has provided a $100 million credit facility to NINA.
Because the efforts at the South Texas Project involve controlled nuclear information, NINA has entered into contractual arrangements and obtained additional assurances in order to ensure compliance with the applicable export control requirements in 10 CFR Part 810.
In addition, NRG Energy has entered into miscellaneous contracts for work and/or services in the United States from various companies that may be foreign owned.
Question 6:
Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations to a foreign person(s)?
Yes. NRG Energy maintains equity and debt ratios in the range of approximately 45% or more equity and 55% or less debt. However, the precise ratio varies from time to time.
NRG Energy currently has debt in the range of $19.0 billion, with approximately $8.6 billion held pursuant to the terms of a Credit Agreement (approx. $2.0 billion) and Indenture (approximately $6.6 billion) described in further detail below. The remaining debt includes project level financings that include foreign debt secured by assets located outside of the United States. However, none of these financings individually involves 5% or more of the total debt of NRG Energy. Overall, NRG Energy's debt is held by more than 400 separate debt holders, domestic and foreign. Based upon a reasonable review of lender and bondholder lists, NRG Energy estimates that all foreign debt is less than 15% of total debt, and we have not identified any singe foreign lender or group under common control that holds 5% or more of the company's debt.
Page 3 of 6
NRG Energy is indebted to lenders under an Amended and Restated Credit Agreement, dated as of July 1, 2011, among NRG Energy, the lending institutions parties thereto (the "Lenders"), and Citicorp North America Inc. ("Citicorp"). Citicorp is the administrative agent under the Credit Agreement. As such, Citicorp has been irrevocably designated and appointed by each Lender to act as administrative agent under the Credit Agreement.
Each Lender has irrevocably authorized Citicorp to take such action on its behalf under the provisions of the Credit Agreement and to exercise such powers and perform such duties as are expressly delegated to the administrative agent by the terms of the Credit Agreement, along with such other powers as are reasonably incidental thereto. Citicorp is domiciled in the United States. Portions of the loans under the Credit Agreement may from time to time be held by foreign persons. The loan is secured by NRG Energy's equity interests in substantially all of its domestic and foreign subsidiaries, with certain exceptions. The Credit Agreement contains reporting, ratio and other standard covenants.
A listing of lenders as of May 30, 2014 is provided as Attachment 3A and 3B. A reflects the term loan and Attachment 3B reflects the revolver.
NRG Energy is an issuer of the notes issued under an Indenture, dated as of February 2, 2006 (as amended or supplemented from time to time, the "Indenture"), among NRG Energy, each of the guarantors party thereto and Law Debenture Trust Company of New York ("Law Debenture") as trustee. As trustee under the Indenture, Law Debenture is authorized to exercise such powers and perform such duties as are expressly delegated to the trustee by the terms of the Indenture. Law Debenture is domiciled in the United States. Portions of the notes issued under the Indenture may from time to time be held by foreign persons. The notes are unsecured obligations of NRG Energy, and the Indenture contains reporting and other standard covenants. A listing of bondholders as of June 2014 is provided as Attachment 4A and the lists of bondholders from bond issuances in August 2014 are included as Attachments 4B and 4C.
NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 9.252% owned by Toshiba America Nuclear Energy Corporation TANE), which is owned by Toshiba Corporation, a Japanese company. TANE is part of a consortium along with Stone & Webster Inc. (a Louisiana corporation which is wholly owned by The Shaw Group, Inc.) that has contracted to construct a two unit commercial nuclear power plant at the South Texas Project known as STP 3&4. TANE has provided a $500 million credit facility to NINA in connection with the construction and Stone &
Webster Inc. has provided a $100 million credit facility to NINA.
Because the efforts at the South Texas Project involve controlled nuclear information, NINA has entered into contractual arrangements and obtained additional assurances in order to ensure compliance with the applicable export control requirements in 10 CFR Part 810.
Page 4 of 6
Question 7:
During your last fiscal year, did your organization derive:
- a. 5% or more of its total revenues or net income from any single foreign person.
No.
- b. In the aggregate 30% or more of its revenues or net income from foreign persons?
No.
Question 8:
Is 10% or more of your organization's securities held in "nominee shares," in "street names" or in some other method which does not disclose the beneficial owner?
Yes. T. Rowe Price Associates, Inc. and Capital Research Global Investors are both institutional investors that have disclosed holding 10% or more of the voting share. No investor has attempted to, or has exerted any control or influence over, appointments to management positions or influenced the policies of NRG Energy.
Question 9:
Do any of the members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials hold any positions with, or serve as consultants for, any foreign person(s)?
Yes, please see Attachment 2.
In addition:
NRG Energy Director Paul Hobby, a United States citizen, reports serving as a director of Saracen Energy Offshore Ltd., an offshore hedge fund incorporated in the Cayman Island, with operations in the United States.
NRG Energy Director Spencer Abraham, a United States citizen, reports serving as a director of Sindicatum Sustainable Resources, a developer, owner and operator of clean energy projects worldwide and a producer of sustainable products from natural resources and waste, located in Singapore.
" NRG Energy Director Edward Muller, a United States citizen, reports serving as a director of Transocean Ltd., a Swiss company that is one of the world's largest offshore drilling contractors.
- NRG Energy Director Lawrence S. Coben, a United States citizen, reports serving as a non-executive chairperson of Cascade Hydro Limited, a wholly-owned Page 5 of 6
subsidiary of Rurelec, PLC with a portfolio of over 300MW of greenfield hydro-electric projects under development in Peru.
Question 10:
Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influence the operations or management of your organization?
No.
Page 6 of 6
ATTACHMENT 1 Name of NRG Foreign Entity Domestic Name of Owner Type Owner Jurisdiction Ownership Lambigue Beheer B.V.
Netherlands NRCenerating German Holdings GmbH Entity Switzerland 100.00 Mirant AP Investments Limited Virgin Islands, British Mirant Asia-Pacific Ventures, LLC Entity Delaware 100.00 Mirant (Bermuda), Ltd.
Bermuda GenOn Energy Services, LLC Entity Delaware 100.00 Mirant (Navotas II) Corporation Phillippines Mirant AP Investments Limited Entity Virgin Islands 100.00 Mirant Asia Pacific Construction Limited (Hong Kong)
Hong Kong Mirant AP Investments Limited Entity Virgin Islands 100.00 Mirant Navotas Corporation Phillippines Mirant AP Investments Limited Entity Virgin Islands 100.00 NRG Caymans Company Cayman Islands NRCenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans-C Cayman Islands NRCeneratinq German Holdings GmbH Entity Switzerland 100.00 NRG Caymans-P Cayman Islands NRCenerating German Holdings GmbH Entity Switzerland 100.00 NRG Gladstone Operating Services Pty Ltd Australia NRG Victoria I Pty Ltd Entity Australia 100.00 NRG Victoria I Pty Ltd Australia NRCenerating International B.V.
Entity
.Netherlands 100.00 NRCeneratina German Holdings GmbH Switzerland NRCenerating Luxembourg (No. 1) SarI.
Entity Luxembourg 100.00 NRCeneratinq International B.V.
Netherlands NRG International LLC Entity Delaware 100.00 NRCenerating Luxembourg (No. 1) S.a.r.l.
Luxembourq NRCenerating International B.V.
Entity Netherlands 100.00 NRCenerating Luxembourg (No. 2) S.a.r.l.
Luxembourg NRCenerating Luxembourg (No. 1) S.a.r.I.
Entity Luxembourg 100.00 Sachsen Holding B.V.
Netherlands NRCenerating International B.V.
Entity Netherlands 100.00 Sunshine State Power (No.2) BV Netherlands NRCenerating International B.V.
Entity Netherlands 100.00 Sunshine State Power BV Netherlands NRCenerating International B.V.
Entity Netherlands 100.00 Gladstone Power Station Joint Venture Australia Sunshine State Power(No.2);Sunshine State Power B.V.
Entity Netherlands; Netherlands 17.50;20.00 Beheer-en Beleggingsmaatschappii6 Plogema B.V.
Netherlands Mission Energy Holdings International, LLC Entity Delaware, United States 100.00 Caresale Services Limited United Kingdom NRG First Power Holdings I;Mission Energy Holdings International, LLC Entity United Kingdom;Delaware, United 51.00;49.00 Doga Enerji Uretim Sanayi ve Ticaret L.S.
Turkey MEC Esenyurt B.V.
Entity Netherlands 80.00 Doga Isi Satis Hizmetleri ve Ticaret L.S.
Turkey MEC Esenyurt B.V.
Entity Netherlands 80.00 Doga Isletme ve Bakim Ticaret L.S.
Turkey MEC Esenyurt B.V.
Entity Netherlands 80.00 EME Finance UK Limited United Kingdom Mission Energy Holdings International, LLC Entity Delaware, United States 100.00 EME Generation Holdings Limited Cayman NRG Energy Holdings Inc.
Entity Delaware, United States 100.00 Maplekey Holdings Limited United Kingdom NRG First Power Holdings II Entity United Kingdom 100.00 Maplekey UK Finance Limited United Kingdom NRG First Power Holdings II Entity United Kingdom 100.00 Maplekey UK Limited United Kingdom NRG First Power Holdings II Entity United Kingdom 100.00 MEC Esenyurt B.V.
Netherlands Beheer-en Beleggingsmaatschappiij Plogema B.V.
Entity Netherlands 100.00 MEC San Pascual B.V.
Netherlands Mission Energy Holdings International, LLC Entity Delaware, United States 100.00 Midwest Generation Holdings Limited Cayman Mission Midwest Coal, LLC Entity Delaware, United States 100.00 NRG First Power Holdings I United Kingdom NRG First Power Holdings II Entity United Kingdom 100.00 NRG First Power Holdings II United Kingdom Mission Energy Holdings International, LLC Entity Delaware, United States 100.00 NRG First Power Limited Guernsey Caresale Services Limited;Maplekey UK Limited Entity United Kingdom;United Kingdom 65.00;35.00 San Pascual Cogeneration Company International B.V.
Netherlands MEC San Pascual B.V.
Entity Netherlands 50.00
ATTACHMENT 2 Name of NRG Foreign Entity NRG Energy, Inc. Personnel Name Position Lambique Beheer B.V.
Mauricio Gutierrez Director, Supervisory Board Member Mauricio Gutierrez Supervisory Board Member Mirant AP Investments Limited Mirant (Bermuda), Ltd.
Mirant (Navotas II) Corporation Mirant Asia Pacific Construction Limited (Hong Kong)
Mirant Navotas Corporation NRG Caymans Company Kevin P. Malcarney Director NRG Caymans-C Kevin P. Malcarney Director NRG Caymans-P Kevin P. Malcarney Director NRG Gladstone Operating Services Pty Ltd Michael Alvarado Director NRG Victoria I Pty Ltd Michael Alvarado Director NRCenerating German Holdings GmbH Kevin P. Malcarney Director NRCenerating International B.V.
Kevin P. Malcarney; Kevin P. Malcarney President; Managing Director, Class B; Manager NRCenerating Luxembourg (No. 1) S.a.r.I.
By NRCenerating International B.V.
Managing Director, B NRCenerating Luxembourg (No. 2) S.a.r.I.
By NRCenerating International B.V.
Managing Director, B Sachsen Holding B.V.
Kevin P. Malcarney Managing Director Sunshine State Power (No.2) BV Kevin P. Malcarney; Michael Alvarado Director B; Director B Sunshine State Power BV Kevin P. Malcarney; Michael Alvarado Director B; Director B Gladstone Power Station Joint Venture Michael Alvarado; Michael McClaughlin Management Committee Member; Management Committee Member (Alternate)
Beheer-en Beleggingsmaatschappiij Plogema B.V.
Michael Alvarado Director Caresale Services Limited Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director Doga Enerji Uretim Sanayi ve Ticaret L.S.
Doga Isi Satis Hizmetleri ve Ticaret L.S.
Doga Isletme ve Bakim Ticaret L.S.
EME Finance UK Limited Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director EME Generation Holdings Limited G. Gary Garcia Director Maplekey Holdings Limited Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director Maplekey UK Finance Limited Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director Maplekey UK Limited Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director MEC Esenyurt B.V.
Michael Alvarado Director MEC San Pascual B.V.
Michael Alvarado Director Midwest Generation Holdings Limited G. Gary Garcia Director NRG First Power Holdings I Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director NRG First Power Holdings II Daniel Keane; G. Gary Garcia; Brian Curci Director; Director; Director NRG First Power Limited Daniel Keane; G. Gary Garcia Director; Director San Pascual Cogeneration Company International B.V.
- NRG Energy acquired these companies and assignment of NRG Energy, Inc. Personnel to each of these entities is still pending approval.
NRG Energy, Inc. - SF-328 A Citibank N.A Investor Contact Report [OC Report)
As Of: 25-JUN-2014 Tranche Ret No: 031BTPR131570001 Reference Date : 05/3012014 rranche Ref No : 031RTPR131570008 rranche Name: NRG ENERGY TL B SENIOR INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manager ME] Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTIRTY NAME ENTITY PHONE I ENTITY FAX i ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 058787 SARATOGA CLO I, LIMITED (INVESCO AMCSAR cNVESCO SENIOR KY1LO14366 KYL0L14366 Investor Address: P.O.BOX 1093GT 1
OC1254 MYRTA CALVILLO 7134836224 7134378190 17314378190@TLS LDSPROD.COM USD 0.06 1.285.847.,17 1.285.847.17 000 1.285.847.17 SENIOR SECURED MGMTINC)
SECURED GEORGE TOWN KY-11102 058817 HEWETrS ISLAND CLO I-R, LTO.
,-rWTISLCLO HIGHLAND CAPITAL KY1L005257 KY1L005257 Investor Address UGLAND HOUSE, 1
OC058817 MAX WAGENBERG 2126242763 2018223744 12018223744@TLS.LDSPROD.COM USD 0.02 486.337.50 486,337.50 0.00 486.337.50 (HIGHLAND CAPITAL MANAGEMENT L MANG FM SOUTH CHURCH STREET P)
GEORGE TOWN KY-059287 AOZORA BANK LTD GPAOZ AOZORA BANK.
JPlLO08277 Investor Address. 1-3-1, KUDAN-MINAMI 1
OC059287AA KEIKAJIMURA 01181345202410 01181332399577 KKAJIMURA@AOZORABANKCO.JP USD 1.46 29.243,79160 29.243.791.60 000 29.243,791.601 LTD.
CHIYODA-KU. TOKYO JP-zz 059451 RACE POINT III CLO (FKA) RACE POINT AARP3 SANKATY IE1L010386 lE1L010386 Investor Address: AIl INTERNATIONAL 1
OC051OAGY PATRICK MITCHELL 3123327333 8669403858 RACEPOINT.III.CLO NOTICES@USBANK COM USD 0.25 4.997.334 38 4.997.334.38 0 00 4.997.334 38 III CLO LIMITED ADVISORS. LLC CENTRE IFSC DUBLIN IE-1 059478 BABSON CLO LTD 2005-1 (BABSON CAPBO5 LABSON CAPITAL KYlLG05133 KYlLO05133 Investor Address: WALKER HOUSE 1
OC059478 AMANDA LASKEY 4122348373 2018223712 AMANDA.LASKEY@BNYMELLON COM USD 818 3.506.685.12 3.086,685.12 0.00 3.506.685.12 CAPITAL)
MANAGEMENT MARY STREET GEORGE TOWN KY-059493 LCM IV LTO. (LYON CAPITAL LCMIVLTO LCM ASSET KYlL018953 Investor Address: BOUNDARY HALL 1
OC1236 CLO 7142476551 4667199298 CLO.ADMiNISTRATION@DB.COM US0 0.05 972.675009 972,675.00 0.00 972,6750.0 MANAGEMENT LLC)
MANAGEMENT CRICKET SQUARE ADMINISTRATION GEORGE TOWN KY-050502 CENTURION COO 9 LIMITED CHCEN9 COLUMBIA MANG KYlLO14911 Investor Address, QUEENSGATE HOUSE 1
OC45OOAGY BRYAN PATRICK 7134836365 2815827975
.2815827970@DOCS.LOSPROD.COM US0 0.31 6.259.980.50 6.259,980.50 0.00 6,259.980.50 INV ADV LLC SOUTH CHURCH STREET GEORGE TOWN KY-059554 VERITAS CLO II. LTD (ALCENTRA LPV2 Aloenlra NY, LLC K.YlL029778 KYlL829778 Investor Address WALKER HOUSE r
OC059554A NANCY WAYNE 6176036533 8663509162 NANCY.WAYNE@USBANK.COM USO 0.12 2.431,687.50 2.431,687.50 0.00 2.431,687.50 LIMITIED)
MARY STREET GEORGETOWN KY-059632 NAUTIQUE FUNDING LTD (INVESCO ACSNF INVESCO SENIOR KYlL021643 KYIL021643 Investor Address. WALKER HOUSE.
1 OClill RAMON ZOLETA 7134836358 2815827373 12815827373@TLS.LDPROD.COM USD 0.12 2.397,353.17 2.397,353.17 0.00 2.397,353.17 SENIOR SECURED MGMTINC)
SECURED MARY STREET GEORGE TOWN KY-009716 BABSON CLO LTD 2005-11 (BABSON SJ9052 BABSON CAPITAL KYlL061793 KYlL001783 Investor Address. WALKER HOUSE 1
OC111 JESSICA HANSEN 4122348322 2815027927 JESSICA-HANSEN@BNYMELLON.COM US 0.05 975,112.79 975,112.79 0.06 970.112.79 CAPITAL)
MANAGEMENT MARY STREET GEORGE TOWN KY-059751 APIDOS COO III ACCAP3 CVC CREDIT KYlLOO5158 Investor Address, QUEENSGATE HOUSE.
1 OC0113AGY JASON CALLEJA 7134836708 2815827937 12815827937@TLS.LDSPROO.COM USD 0.05 972,675.00 972,675.00 0.00 972,675.00 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-059755 ROCKWALLCOOLTD (HIGHLAND)
ROCK100207 HIGHLANDCAPITAL KY1L012717 KY1LO12717 Investor Address: QUEENSGATE HOUSE.
1 OC0101AGY DATATEAM 9724192526 2145404776 HIGHLANDROCKWALL@TLS LDSPRODCOM USD 0.24 4,863,375.00 4,863,375.00 000 4,863.375.00 MANG FM SOUTH CHURCH STREET GEORGE TOWN KY-059759 EATON VANCE COO VII PLC 059759USD Eaton Vance IElLO14503 Investor Address: 5 HARBOURMASTER 1
OCOOOAGY LOUISE SEYMOUR 2079648866 2815827935 USO 0.18 3.520,910.19 3.520,910.19 0.00 3,520,910.18 PLACE, I.F.S C.
DUBLIN 1, IRELAND IE-059762 NANTUCKET CLO I LTD HNAN LNP ASSET KY1L0LD647 KY1L000647 nestor Address: QUEENSGATE HOUSE 1
OC1234 SYNDICATED LOAN 9724018543 9724018555 SnyAssetSolutions-CDOGroup@bankoflny corn USD 0.15 2.922.900.56 2,922.900 56 0.00 2.922.900.56 MANAGEMENT US SOUTH CHURCH STREET SERVICING GEORGE TOWN KY.
059800 CENT COO XI LIMITED CHCE11 COLUMBIA MANG KYlL014721 Investor Address: QUEENSGATE HOUSE 1
OC4511AGY LETICIA LICONA 7134837070 2815827943 12815827943@DOCS LDSPROD.COM US 0.36 7.111.875 50 7.111,875 50 0.00 7.111.875.50 INV ADV LLC SOUTH CHURCH STREET GEORGE TOWN KY-0859832 PACIFICA COO V LYG (ALCENTRA PACV092707 Ajoentra NY. LLC l-,Y1L003625 KY1L883625 Inventor Address*: OUEENSGATE HOUSE 1
C00147AGY NATE HALL 7134836239 2815B27939 USO 0.12 2,324,864.76 2,324,864.76 0.00 2.324.684.76 LIMITIED)
SOUTH CHURCH STREET GEORGE TOWN KY-Page 1 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET COMTOTAL TOTAL LOAN TOTAL LC TOTAL I
Investor Name MNEMONIC Fund I
er MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAXM ENTITY EMAIL CCY RATIO MMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 059844 CARLYLE HIGH YIELD PARTNERS IT, ACHY C.ARLYLE KY1L06453 Investor Address: WALKER HOUSE 87 1
OC0111AGY KARI LICHMAN 7134836481 2815827948 KARl M LICHMAN@BANKOFNY.COM USD 0.17 3,310,516.47 3.310.516.47 0.00 3.310,516.47 LTD (CARLYE PARTNERS)
INVESTMENT GEORGE TOWN KY-059861 FRASER SULLIVAN CLO I LTD FRASERS 3S Debt Management KY1L041690 Investor Address: QUEENSGATE HOUSE 1
OC789 PATRICK MITCHELL 3123327333 8669400415 FRASERSULLIVAN.CLOI.NOTICES@USBANK.COM USD 0.23 4,668.840.00 4.668.840 00 0.00 4.668.840 00 US LLC SOUTH CHURCH STREET GEORGE TOWN KY-059862 VENTURE V CDO LTD AMCVW MJX ASSET KY1L000589 KYlLOO0589 Investor Address: OUEENSGATE HOUSE 1
OC059862 CHRISTINE XU 2127055340 2815829020 CREDIT@MJXAM.COM USD 0.10 1.945,350.00 1.945.35000 0.00 1.945.35030 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-059897 ACA CLO 200M-1. LIMITIED ACAC2 CVC CREDIT KYlL004250 Investor Address QUEENSGATE HOUSE.
1 OC1234 JASON CALLEJA 7134836708 2816579036 JASON.CALLEJA@BENYMELLON.COM USD 0.06 1.167.210.08 1.167,210.00 8.00 1.167,210.00 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-059902 FOUR CORNERS CLO II. LTD ALFC2 LASALLE BANK KYlLO40445 KY1LO40445 Investor Address: WALKER HOUSE.
1 0C05990201 PATRICK MITCHELL 3123327333 8669403530 FOUR.CLO2@USBANK.COM USD 0.10 1,946.88.89 1,946.568 89 0.00 1.946,568.89 MARY STREET GEORGE TOWN KY-059906 1776 CLO I LTD SJ1776 W.R HUFF ASSET KY1LL04946 Investor Address: QUEENSGATE HOUSE 1
UC1111
.CHRIS CONRADY 4122348242 2815827961 CHRISTOPHER.J CONRADY@BNYMELLON COM USD 046 9.242.856.41 9.242,856.41 0.00 9.242.856.41 SOUTH CHURCH STREET GEORGE TOWN KY-11102 059907 KINGSLAND II LTD ACSKL2 KINGSLAND KY1L881033 Investor Address QUEENSGATE HOUSE 1
0C007 KRISTOPHER KUEHL 7134836707 2815827938 12815827938@TLS LDSPROD.COM USD 0.10 1.980,000.00 1.980,000.00 000 1.980,880.00 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-059908 NOB HILL CLO LTD HONOB NEWFLEET SA KY1L023375 Investor Address QUEENSGATE HOUSE 1
OC2887AGY SARAH PRUCHA 7134836188 2815827466 12815827466@TLS LDSPROD.COM USD 0.11 2.188.518.70 2,188.518.75 0.00 2,188,518.78 SOUTH CHURCH STREET GEORGE TOWN KY-059923 DUANE STREET CLO II, LTD ACSDS2 NAPIER PARK KYlL004094 Investor Address: QUEENSGATE HOUSE 1
UC059923A GRANT BARFUSS 7134836720 2815827970 GRANT.BARFUSS@BNYMELLON COM USD 0.06 1.215.843 75 1.215,843.75 0.00 1.215.843 75 GLOBL CAP LLC SOUTH CHURCH STREET GEORGE TOWN KY-059963 SVG HORIZONS CLO I WGHOR92907 WEST GATE KYlLD00943 Investor Address: QUEENSGATE HOUSE 1
OC0123AGY ANDREA 2136213731 2815829071 ADENISEVICH@WESTGATEHORIZONS.COM USD 005 1,021.308.75 1,021,308.75 000 1.021.308.70 HORIZONS SOUTH CHURCH STREET DENISEVICH GEORGE TOWN KY-060011 BAKER STREET FUNDING CLO 2005-1 HBBSF Seix Advisors KYlLO04417 KY1L004417 Investor Address: QUEENSGATE HOUSE 1
CCOD03AGY JEFF HARRISON 4122348219 2815829023 SEIX ADVISORS8BNYMELLONTEAM@BANKOFNY.COM USD 0.23 4.571,572.50 4.571,572.50 000 4.571,572.50 LTD SOUTH CHURCH STREET GEORGE TOWN KY-060021 JERSEY STREET CLO, LTD EMJS Massachusetts KY1LL18391 Investor Address: QUEENSGATE HOUSE I
OC5566 TRACY HING 7134836174 0000000000 TRACY.HING@BNYMELLON COM USD 0.12 2.474,266 87 2.474,266.87 0.00 2.474,266.87 Financal SOUTH CHURCH STREET GEORGE TOWN KY-880028 LANDMARK VII COO LTD (SOUND AMLVII Aladdin Capital KYtL555160 KYtL555160 Investor Address: QUEENSGATE HOUSE.
1 OC0927AGY CHRISTINA KWAN 7134837614 2815829066 CHRISTINA.KWAN@BNYMELLON COM USD 0.10 1.945,350.00 1.945.350.00 0.00 1,945,3508 0 HARBOR PARTNERS)
SOUTH CHURCH STREET GEORGE TOWN KY-808029 HAMLET II, LTD (OCTAGON CREDIT ACCHM2 OCTAGON CREDIT KY1L038983 KY1L038963 Investor Address DUEENGATES HOUSE, I
OC0000AGY ELIZABETH 817-803-6822 0868-350-3142 USD 8.10 1,980.660.00 1,900.00980 9.00 1.988.088.00 INVESTORS)
INVESTORS SOUTH CHURCH STREET MATTHEWS GEORGE TOWN KY-060037 EATON VANCE COO VIII. LTD (EATON ARAEV8 Eaton Vance KYlLO14515 Investor Address QUEENSGATE HOUSE 1
UC3326 JOHN DANIEL 4122341685 3475778438 USD 0 31 6,140.072 04 6,140.072.04 000 6.140.072.84 VANCE)
SOUTH CHURCH STREET GEORGETOWN KY-060038 CARLYLE HIGH YIELD PARTNERS VIII. L CHYP883007 CARLYLE KYIL003559 Investor Address WALKER HOUSE.
1 OC0122AGY KARl LICHMAN 7134836481 2815829046 KARI.M.LICHMAN@BANKOFNY.COM USD 0.11 2.126,272.32 2.126,272.32 0.08 2,126,272.32 INVESTMENT MARY STREET GEORGE TOWN KY-060039 ROSEDALE CLO LTD AMCROS PRINCETON KYILO12808 Investor Address WALKER HOUSE 1
0C0123456 ANDREA MABASA 7132434017 7847150290 ANDREA, MABASA@WELLSFARGO.COM USD 0.13 2.674,886.25 2.674,856 25 0.00 2,674,856 25 ADVISORY MARY STREET GEORGE TOWN KY-060044 DRYDEN XI - LEVERAGED LOAN COO 060044USD PRUDENTIAL KY1L034802 KY1L034802 Invest.r Address: QUEENSGATE HOUSE 1
UC6908AGY MICHAEL LUEHRING 3128278662 2816673990 12816673990@TLS.LDSPROD.COM USD 0.23 4.693,156.88 4.693,156.88 0.09 4,693,156 80 2086 (PRUDENTIAL)
INSURANCE SOUTH CHURCH STREET GEORGE TOWN KY-808049 LIGHTPOINTCLOV. LTD (NEUBERGER ACSL5 NEUBERGER BER KY1L19894 KY1L019894 InvestorAddress: OUEENSGATE HOUSE, 1
UC0566AGY PHILIP BENEDICT 3123326712 2019108189 LIGHTPOINT.CLOS.NOTICES@USBANK.COM USD 0.10 3,015.292.50 3,015,292.50 0.00 3,015.292 55 BERMAN)
FXED INCOM SOUTH CHURCH STREET GEORGE TOWN KY-Page 2 of 25
NRG Energy, Inc. - SF-328 A INVESTOR DTCC CODE ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manage' MEI Code DTCC CODE INVESTOR DETAILS Foreign 00 CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING D60054 MOUNTAIN CAPITAL CLO V LTD ARBMO5 CARLYLE KY1L028697 KYlL028697 Investor Address 3RD FLOOR ROYAL BANK 1 CCO1 LINDA PACE 2128134946 2128134950 LINDAPACE@CARLYLE.COM USD 0.08 1,507,646 25 1,507.646.25 0.00 1.507.646 25 (CARLYLE INVESTMENT MANAGEMENT INVESTMENT OF CANADA LLC)
BUILDING, SHEDDEN ROAD GEORGE TOWN KY-060064 BRIDGEPORT CLO LTD (CIFC AMCLTD CIFC ASSET KYlL039256 KY1L039256 Investor Address: QUEENSGATE HOUSE, 1
OCOl NORA 7325782614 8665673567 NORA SWITHENBANK@DB COM USD 0.12 2.454.716 98 2.454,706.98 0.00 2.454,706.98 DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET SW.THENBANK GRAND CAYMAN KY-060068 NACM CLO I AANC101007 ALLIANZ GLOBAL KYILOO5885 Investor Address: QUEENSGATE HOUSE.
1 OC4500AGY MARY PETERS 7134836073 2815825355 12815825355@TLS.LDSPROD.COM USD 0.15 2.915,587.22 2.915,587.22 000 2.915.587 22 US-FKA SOUTH CHURCH STREET GEORGE TOWN KY-060094 SUMITOMO MITSUI TRUST BANK LTD-ACTB SUMITOMO MITSUI JP1L174996 Investor Address 5-33 KITAHAMA 4-CHOME 1 OCOOGOAGY CRAIG BUSKA 2123260528 2124184899 BUSKACRAIG@SMTB.JP USD 0.34 6,877.500.00 6.877.5000 000 6.877.500 00 NEW YORK-NY BRANCH BANKING CHUO-KU OSAKA 540-8639 JP-060005 PHOENIX CLO I. LTD (FKANAVENUE CLD ACSAC4 NG INVESTMENTS KY1L005764 KY1L005794 Investor Address: OGEENSGATE HOUSE, OCO314AGY AUDREYEBAILEY 7134006302 2B16673402 AUDREY BAILEY@BNYMELLON COM USD 0.10 1,950,362.BL 1,950,362.65 0.00 1,950,362.65 IV, LTD)
SOUTH CHURCH STREET GEORGE TOWN KY-060096 RED RIVER CLO LTD HEDUSD HIGHLAND CAPITAL KY1L009838 KY1L009838 Investor Address: QUEENSGATE HOUSE, 1
OC0927AGY TRAVIS PUCKETT 9725605327 2145404769 HIGHLAND@FCSOFT.COM USD 0.29 5.836.050.00 5.836,050.00 0S00 5.836,050.00 MANG FM SOUTH CHURCH STREET GEORGE TOWN KY-060113 GALAXY VI CLO, LTD AAGVI PINEBRIDGE KY1L027624 Investor Address: 113 SOUTH CHURCH ST.
OC5 AGENT NOTICES 7134636191 2615825345 12015825345@DOCS.LDSPROD.COM USO 0.02 483.893.59 4830893.59 0.00 483,893.59 INVESTMENTS OUEENSGATE HOUSE GEORGE TOWN KY-060118 HALCYON S.A.M. LSISU 2007-1 LTD.
HHSL HALCYON KY1L002031 Investor Address CIO WALKERS SPV 1
CO302AGY MALIA BAYNES 3123327323 8669407621 HALCYONLONGSHORT2 CLO NOTICES@USBANK.COM USD 0.17 3,385.512.21 3.305.512.21 0.00 3.385,512.21 FKA HALCYON SALM. LSISU CLO II LTD RESTRUCTURING LIMITED, WALKER HOUSE, 87 MARY STREET GEORGE TOWN, GRAND CAYMAN KY-KY1-9002 060124 BLACK DIAMOND CLO 2006-1 (CAYMAN) AMSBD6102 BLACK DIAMOND KYlL035452 KY1L035452 Investor Address QUEENSGATE HOUSE, 1
OC444AGY LOAN 84 7 6 15 90 0 0 4694402989 14694402989@TLS.LDSPROD.COM USO 0.54 10.879.886.26 10.879.886.26 0.00 10.879,886 26 L (BLACK DIAMOND CAPITAL MGMT)
CAPITAL SOUTH CHURCH STREET ADMINISTRATOR GEORGE TOWN KY-060143 PROSPERO CLO II B V. (ALCENTRA PRO2CH Alcentra NY, LLC NLILO51625 NL1L051625 Investor Address: FREDERIK 1
0C1245 RAWZABA BOUDIAB 7134836228 2816673411 RAWZABAN.BOUDIAB@BANKOFNY.COM USD 0.05 1,069,942.50 1.069.942.50 0.00 1.069,942.50 LIMITIED)
ROESKESTRAAT 123 AMSTERDAM NL-1076EE 060148 LANDMARK Viii CLO LTD (SOUND ESLO8 SOUND HARBOR KY1L55817
.KY11L555178 Investor Address: QUEENSGATE HOUSE, 1
OC2222 SIU MAN LUIE 6176036459 8663008443 SIULUIE@USBANK.COM USD 0.10 1.945.350.00 1,945.350.0]
0.00 1.945,350.00 HARBOR PARTNERS)
PARTNERS SOUTH CHURCH STREET GRAND CAYMAN KY-060153 JAY STREET MARKET VALUE CLO I LTD DJSM DIMAIO AHMAD KYlL034235 Investor Address: QUEENSGATE HOUSE, 1
OC0008AGY JAVELLE HOUSTON 2123287927 0000000000 12815829014@TLS.LDSPROD COM USD 0.20 3,967.305 05 3.967,305.05 0.00 3,967,305 00 CAPITAL, LLC SOUTH CHURCH STREET GRAND CAYMAN KY-060155 PACIFICA CDO VI LTD ALCENTRA PV1082667 Aicentra NY, LLC KYlLOO1686 KY1L001606 Investor Address: QUEENSGATE HOUSE, 1
OC0147AGY JAY KWAN 7134836332 2815825283 JAYKWAN@BNYMELLON.COM USD 0.32 6.419,655.00 6.419,650.00 0.00 6.419.655.00 LIMITIED SOUTH CHURCH STREET GEORGE TOWN KY-060160 NYLIM FLATIRON CLO 2006-1 LTD.
[NFL NEW YORK LIFE KY1L024324 KY1L024324 Investor Address: WALKER HOUSE MARY 1
OC556 JAN PIRTLE 7134836105 2815825578 12815825578@TLS.LDSPROD.COM USD 0.39 7,777,143 00 7.777,143 00 000 7,777.143 00 (NEW YORK LIFE INVESTMENT MGMT, INSURANCE STREET LLC)
GEORGE TOWN KY-060182 PIMCO FUNDS: GIS PLC GLOBAL GPPG PIMCO IE1L147873 IE1L147873 nvestor Address: NATIONS HOUSE, 1ST 1
OC1245 BANK LOAN 9499323005 6173303748 PIMCO-03683@STATESTREET.COM USO 0.40 7.909,843.06 7,90,84305 00 7.909.,430.
INVESTM GRADE CREDIT FLOOR SETTLEMENTS FUND(PIMCO) 103 WIGMORE STREET GB-ZZ 060221 TRIMARAN CLO VI LTD GPTC6 TRIMARAN KY1L003211 Investor Address: QUEENSGATE HOUSE 1
OCl111 VAN NGHIEM 713483618B 2815825571 VAN.NGHIEM@BNYMELLON.COM USD 0.10 1.945,350.00 1.945.350.00 000 1.945.350 00 ADVISORS, L.LC.
SOUTH CHURCH STREET GEORGE TOWN KY-060234 VOYA CLO It LTD (FKA ING ARRIN2 VOYA INVT MGT KYIL021254 KY1L021254 Investor Address: QUEENSGATE HOUSE 1
OC060234 CORPORATE TRUST 6176036715 8663502099 CDO.NOTICES@USBANK.COM USD 0.24 4.900,584.16 4,900,504.16 000 4,900.584.16 INVESTMENT MANAGEMENT CLO II SOUTH CHURCH STREET SERVICES LTD)
GEORGE TOWN Ky-KY11102 060235 VOYA CLO III LTD (FKA ING GPING3 VOYA INVT MGT KYlL021262 KY1L021262 Investor Address: QUEENSGATE HOUSE 1
CC1234 CORPORATE TRUST 5176036735 0663508101 CDO.NOTICES@USSANK.COM USD 0.10 1.949,006667 1.949,0W6.67 0.00 1,949.006.67 INVESTMENT MANAGEMENT CLO III SOUTH CHURCH STREET SERVICES LTD)
GEORGE TOWN KY-KY 11102 Page 3 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manaqger MEI Code DTCC CODE INVESTOR DETAILS Foreigln OC CONTACT ENTITY NAME ENTITY PHONE S ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 06S249 KINGSLAND III LTD ARK3 KINGSLAND KY1LEO4805 Investor Address OUEENSGATE HOUSE 1
OC007 KRISTOPHER KUEHL 7134836707 2816673400 12n16673455@TLS.LDSPROD.COM USD 0.27 5,332,444.98 5.332,444.98 0.00 5.332,444 98 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-060253 LATITUDE CLO II LTD ALC2 LUFKIN ADVISORS, KY1LL15934 Investor Address QUEENSGATE HOUSE 1
0C4242 MICHAEL FRENETTE 6176036728 8663949323 MICHAELFRENETrE@USBANK.COM USD 0.02 486.337.50 4868337.50 0.00 486.337.50 LLC SOUTH CHURCH ST GEORGE TOWN KY-060260 GRAYSON CLO LTD GCLOUSD HIGHLAND CAPITAL KY1L033705 KY1L033705 Investor Address: QUEENSGATE HOUSE 1
OC5000AGY DATA TEAM 9726284116 2145404771 DATATEAM@HCMLP.COM USD 0.44; 8,754,075.00 8,754,075 00 000 8.754,075 00 MANG FM SOUTH CHURCH STREET GEORGE TOWN KY-060300 LOLUMBUSNOVA CLO LTD. 2006-I ACSCCN CIFC ASSET KYlLE22161 KY1L022161 Investor Address QUEENSGATE HOUSE 1
OC0O06AGY KATHLEEN BROWNE 7733806598 8663507941 BLCLOSINGS@DEERFIELDCAPITALCOM USD 0.11 2.277,000.00 2.277,000.00 0.0 2,277,000.0n CIFC DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-360347 ACAS CLO 2007-1 LTD (FKS ACAS CLO ACS82107 AMERICAN CAPITAL KYlL032759 Investor Address: QUEENSGATE HOUSE 1
UC0101AGY AUDREY BAILEY 7134836382 2816673428 12816673428@TLS.LDSPROD.COM USD 024 4.863.375.00 4.863,375.00 0.00 4,863.375 00 2006-1)
SOUTH CHURCH STREET GEORGE TOWN KY-060354 ONE WALL STREET CLO II LTD FKA AGWOS2 Alcentra MY. LLC KY1L025529 KYlL025529 Investor Address: QUEENSGATE HOUSE 1
0C0123456 SCOTT DUBICKI 7134836780 2816673995 SCOTT. DUBICKI@BNYMELLON.COM USD 0.15 2.918.025.00 2.918,025.00 0.00 23918.025.00 00WS 1I LTD( ALCENTRA LIMITED)
SOUTH CHURCH STREET GEORGE TOWN KY-060362 APIDOS COO IV ACCAD4 CVC CREDIT KY1L001819 Investor Address QUEENSGATE HOUSE, 1
OC0884AGY CRAIG SCHILLING 7134836850 2816673429 12816673429@TLS.LDSPROD.COM USD 0.13 2,402,532 67 2,402,532 67 00o 2.402,532 67 PARTNERS SOUTH CHURCH STRE PO BOX 1093 GRAND CAYMAN KY-060378 GULF STREAM - SEXTANT CLO 2006-1 060378USD APOLLO GLOBAL KYlL033267 KY1L033367 Investor Address: QUEENSGATE HOUSE 1
OC0333AGY COURTNEY 6176036527 8663501887 CDO.NOTICES@USBANK.COM USD 0.06 572,675.00 572,675.80 0.05 972,675.00 LT (APOLLO GLOBAL MANAGEMENT MANAGEMENT SOUTH CHURCH STREET DOWLING
[IC)
GEORGE TOWN KY-060389 SCHILLER PARK CLO LTD (CIFC SHLLRPRK CIFC ASSET KY1L009432 KY1L009432 Investor Address: QUEENSGATE HOUSE 1
UC0101AGY JOANNA BENSIMON 2122509201 7325782614 JOANNASENSIMON@DB.COM USD 0.151 2,970,080.00 2.970,05000 0.00 2.970.0058 0 DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-060390 HARBOURVIEW CLO 2006-1 ACCHB6 Oppenheimer Funds KY1L002544 Investor Address: WALKER HOUSE.
1 UC500 CLO 7142476551 2144516436 CLO ADMINISTRATION@DB.COM USD 08.25 4,950.000.00 4.950,D0.07 5.00 4,950,850 0S MARY STREET ADMINISTRATION GEORGE TOWN KY-060408 AIRLIE CLO 200681 LTD HAIR6 NEUBERGER BER KYIL05869 KYILOO5869 Investor Address: QUEENSGATE HOUSE 1
OC31O7AGY PETER VUONG 7134836156 2816673417 12816673417@TLS LDSPROD.COM USD 0.15 3.015,292.50 3,015.292.50 0.00 3.015,292.50 FXED INCOM SOUTH CHURCH STREET GRAND CAYMAN KY-060428 SILVERADOCLO2006-1,LTD (NEW WLLSCPSLVRD NEW YORK LIFE KYlLOO1181 KYLO01181 Investor Address: WALKER HOUSE, MARY 1 Oclii1 CLO 7142476551 2145416374 12144516374@TLS.LDSPROD.COM USD 024 4.797,049.95 4.797.049.95 0.00 4.797,049.95 YORK LIFE INVESTMENT MGMT. LLC)
INSURANCE STREET ADMINISTRATION GEORGE TOWN KY-060469 EASTLAND CLO, LTD.
ECL HIGHLAND CAPITAL KY1L020652 KY1L020652 Investor Address: WALER HOUSE, MARY 1
OC4672AGY DATA TEAM 9724194427 L726284155 LASTLONDCLO@TLS.
LDSPROD.COIM USD 068 13.617.45000 13,617.4500 0.00 132617.450.00 MANG FM STREET GEORGE TOWN KY-060477 MOUNTAIN VIEW FUNDING CLO 2006-1. ALPMVF Seix Advisors KY1L004037 KY1L04037 Investor Address: QUEENSGATE HOUSE 1
OC1245 DARA KOTZKER 2018022356 2013888701 BANKLOANS@SEIXADVISORS.COM USD 027 5.349,712 50 5,349.712 50 0.00 5.349.712.50 SOUTH CHURCH STREET GEORGE TOWN KY-060482 APIDOS COO V DYAPV CVC CREDIT KYlLOO5588 Investor Address QUEENSGATE HOUSE, 1
CC12 SARAH PRUCHA 7134836106 2815825488 12815825488@TLS.LDSPROD.COM USD 0 06 1.155,051.56 1,155.051.56 000 1.155,051 56 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-0604884 WESTBROOK CLO LTD (SHENKMAN)
EKWEST SHENKMAN KYlLOO0019 KYlLD00019 Investor Address: OUEENSGATE HOUSE 1
OC0101AGY MICHELLE HILL 3129920095 3122768843 USD 0.07 1.409,496 99 1.409.496 99 000 1.409.496.99 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY.
060496 WESTWOOD COO I LTD (ALCENTRA AWH082807 Aloentra NY, LLC KY1LOS0O27 KY1L000027 Investor Address: QUEENSGATE HOUSE 1
OC0143AGY JAY KWAN 7134836332 2816673449 JAY.KWAN@BNYMELLON.COM USD 0.30 6.029,595 00 6,029.595 02 000 6.029,595 00 LIMITIED)
SOUTH CHURCH STREET GEORGE TOWN KY-060501 CARLYLE VEYRON CLO LTD (FKA AESSVC CARLYLE KY1LOO0670 Investor Address. P O.BOX 1093GT.
1 OC0123AGY KHRISTOPHER 7134836340 7135775265 UANIEL.DRAKE@BANKOFNY.COM USD 0 23 4,601,235 09 4,601 235 09 000 4.601.235 09 STANFIELD VEYRON CLO INVESTMENT BOUNDARY HALL KUEHL LTD)(CARLYLE INVESTMENT CRICKET SQUARE MANAGEMENT LLC)
GEORGE TOWN KY-11102 060513 INWOOD PARK COO LTD.
NINWP BLACKSTONE DEBT KYlL023169 Investor Address: WALKER HOUSE 1
OC0101AGY v'iRTUS GROUP 7139934300 8669470742 INWOODPARK@VIRTUSLLC.COM USD 0.14 2.779.071.56 2.779,071.56 0.00 2.779.071 56 ADVISORS MARY STREET GEORGETOWN KY-060525 WHITEHORSE IV LTD (WHITEHORSE EMWHT4 H I G WHITEHORSE KY1L562174 KY1L562174 Investor Address. QUEENSGATE HOUSE 1
OC060525 SAM L HUI 7134036122 2816579005 MIMI.M.SINGH@BNYMELLON.COM USD 0.10 1,945,350.00 1.945,350 00 0.00 1.945,350.00 CAPITAL)
CAP LLC SOUTH CHURCH STREET GEORGETOWN KY-Page 4 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL i
Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS F
0ign OC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX I ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 060538 NAVIGATOR COO 2006, LTD ACNA06 UIFC ASSET KYILOO1413 KYlLO01413 Investor Address BOUNDARY HALL 1
OCOOSEAGY THOMAS VICHOT 2037082704 2033563241 THOMAS.V1CHOT@GE.COM USD 0.15 2.970.000.00 2.970,.00.,00 000 2.970.000 00 MANAGEMENT CRICKET SQUARE GEORGE TOWN KY-KY11102 060550 ARES XXI CLO LTD (ARES CLO CLYDSDLO6 Ares Management KY1L003872 KY1L003872 Investor Address: QUEENSGATE HOUSE I
OCO000AGY CYNTHIA YEN 212-667-9667 8667199290 NCRAMLLOPERATIONS@US NOMURA.COM USD 0.15 2.992,443.32 2.992,443.32 0.00 2,992.443.32 MANAGEMENXFKA CLYDESDALE CLO
.LC SOUTH CHURCH STREET 2006 LTD)
GEORGE TOWN KY-KY11102 060552 VENTURE VII CDO LIMITED ACSVT7 MJX ASSET KY1L000993 KY1L00D993 Investor Address QUEENSGATE HOUSE 1
OC1099AGY JENNIFER BASSO 7134836102 2816579014 USD 0.05 987.487.31 987,487.31 0.00 987,487.31 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-060553 FOUR CORNERS CLO III LTD FRCRNRSIII MIACQUARIE FUNDS KYIL045460 KY1LL40460 Investor Address: WALKER HOUSE MARY 1
OC01 CLO 7142476041 8662481622 MARK NGUYEN@DB COM USD 001 117,112 78 117,112.78 0.00 117.112.78 GROUP STREET ADMINISTRATION GEORGE TOWN KY-060554 GALLATIN CLO III 2007-1 LTD FKA GEG3 MP SENIOR CREDIT KY1L027012 Investor Address QUEENSGATE HOUSE, 1
OC4600AGY1 ANTHONY STARK 2126019166 2816673438 12816673438@TLS.IDSPROD.COM USD 0.29 5.836.050.00 5.836.050.00 0.00 5.836,050.00 GALLATIN CLO II12006-1, LTD PARTNERS SOUTH CHURCH STRE GEORGE TOWN KY-060565 PHOENIX CLO II LTD (FKA AVENUE CLO AVENUECLO5 INGINVESTMENTS hY1L225012 KY1L225012 Investor Address: QUEENSGATE HOUSE 1
OC0333AGY MYSTI FARRIS 1134836078 2816673448 12816673448@TLSWLSPROD.COM USO 018 3,687.193 91 3,687.193 91 0.00 3,687,193.91 V LTD)
SOUTH CHURCH STREET GEORGE TOWN KY-D60570 CLEAR LAKE CLO LTD (BABSON QUICLE BABSON CAPITAL KY1L021866 Investor Address: WALKER HOUSE 1
OC222 DONALD ADAMS 7132434027 7047150263 DONALD.ADAMS@WELLSFARGO.COM USD 0.06 1.215,843.75 1.215,843.75 000 1,215.843.75 CAPITAL MANAGEMENT LLC)
MANAGEMENT MARY STREET GEORGE TOWN KY-D60572 HALCYON LOAN INVESTORS CLO I LTD NALHAL HALCYON KY1L005018 Investor Address WALKER HOUSE 1
OC060572 HANNAH BELK 7134836665 2144516406 1214461E406@DOCS.LDSPROD.COM USD 0.15 2.918,025.00 2.918,025.00 0.88 2.918.025.00 ESTORS CLO I LTD RESTRUCTURING MARY STREET GEORGE TOWN KY-060583 BRENTWOOD CLO LTD (HIGHLAND BRENTWOOD HIGHLAND CAPITAL KY1L039280 KY1L039280 Investor Address QUEENSGATE HOUSE 1
OC001 DATA TEAM 0726284100 9726284155 BRENTWOOD@TLS LDSPROD COM USD 0.15 2.918,025.00 2.918,025.00 0.00 2.918.025.00 CAPITAL MANAGEMENT)
MANG FM SOUTH CHURCH STREET GEORGE TOWN KY-060592 BURR RIDGE CLO PLUS LTD (CIFC BRRRDGPLS CIFC ASSET KY1L036542 KY1L036542 Investor Address: QUEENSGATE HOUSE C00W00AGY THORA FRIHART 7733801629 7325782614 PZAVALA@DEERFIELDCAPITAL COM USD 0.07 1.485.000.00 1.485,000.00 0.00 1,485,000.00 DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-060599 CANNINGTON FUNDING LTD ACFL SILVERMINE KYILOO6206 Investor Address: WALKER HOUSE, MARY 1 0c1 MYRTALA CALVILLO 7134836224 2816579024 12816579024@TLS LDSPROD COM USD 0.24 4.873.150 63 4.873,150 63 0.00 4,873.150.63 9SILVERMINE CAPITAL)
CAPITAL STREET GEORGE TOWN KY-060623 KATONAH IX CLO LTD GPKAT9 Trimaran Advisors, KYlLO00233 Investor Address QUEENSGATE HOUSE 1
0C231 JOHN DELANEY JR 6176036491 8663508427 NOTICESKO@KATONAHDEBTADVISORS COM USD 0.15 2,918,025 00 2,918,025 00 0.00 2,918.025.00 Katona SOUTH CHURCH STREET GEORGE TOWN KY-060627 TRALEE CDO I LTD TRALEEI PAR FOUR KY1LLO1520 Investor Address: QUEENSGATE HOUSE 1
UC9299AGY KIMBERLY GIBSON 7134836053 2144516103 12144516103@DRFAX LOSPROD COM USD 0 20 3,965,118 33 3,965,118 33 0.00 3,965,118.33 INVESTMENT SOUTH CHURCH STREET GEORGE TOWN KY-060636 OCEAN TRAILS CLO I ACSOCE WEST GATE KY1L005315 Investor Address: WALKER HOUSE 1
OC0246AGY STACEY ALEXANDER 2136213731 2816673745 SALEXANDER@WESTGATEHORIZONS COM USD 014 2,865.357.25 2,865.357 25 0.00 2.865,357.25 HORIZONS MARY STREET GEORGE TOWN KY-060642 SAPPHIRE VALLEY COO I, LTD.
CCISAP BABSON CAPITAL KY1L004649 KYlL004649 Investor Address WALKER HOUSE 1
0C111 KEVIN CEDORCHUK 6176629749 6179370495 KEVIN CEDORCHUK@IBTCO.COM USO 005 972.67500 972.675 00 0.00 972,675.00 (BABSON CAPITAL)
MANAGEMENT MARY STREET GEORGE TOWN KY-560643 BABSON CLO LTD 2007-1 (BABSON SMBC6 BABSON CAPITAL KY1L005505 KYlLOO5505 Investor Address: WALKER HOUSE 1
DC0128AGY DAVID ELKINS 7048057223 4132263377 DELKINS@BA0SONCAPITAL.COM US0 0.09 1,837,629.23 1,837,629.23 0.00 1.837.629.23 CAPITAL)
MANAGEMENT MARY STREET GEORGE TOWN KY-060644 BABSON CLO LTD 2006-I1 (BABSON USB62 BABSON CAPITAL KYlLOO0274 KY1L0L0274 Investor Address: WALKER HOUSE 1
DC0332AGY DAVID ELKINS 7048057223 4132263378 DELKINS@BABSONCAPITAL.COM USO 0.10 1.947,787.78 1,947,787.79 0.00 1,947,787.78 CAPITAL)
MANAGEMENT MARY STREET GEORGE TOWN KY-060660 LIGHTPOINT CLO VII LTD.
ACSLP7 NEUBERGER BER KYlLO19902 KY1L019902 Investor Address: QUEENSGATE HOUSE 1
DC06066001 PATRICK MITCHELL 3123327333 8669407745 LIGHTPOINT.CLO7.NOTICES@USBANK.COM USD 0.08 1,556,280.00 1,556,280 00 0.00 1,556,280.00 (NEUBERGER AND BERMAN)
FXED INCOM SOUTH CHURCH STREET GEORGETOWN KY-060665 EATON VANCE COO X PLC GPEVX Eaton Vance tE1L014529 Investor Address: 85 MERRION SQUARE 1
0C12 VALMIR PRESSENDO 000000000 2816579020 USD 0.32 6,312,734 06 6,312,734 06 0.00 6,312,734.06 DUBLIN IE-ZZ 060569 GALAXY VII CLO. LTD (PINEBRIDGE AAGAL7 PiNEBRIDGE KY1L027756 Investor Address: QUEENSGATE HOUSE 1
0C12345 MANDY HO
- 134836178 2816579029 12816579029@DOCS LOSPROD COM USD 5 08 1,653.547.50 1,653.547 50 0.00 1,653,547.50 INVESTMENTS LLC)
INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-560674 DUANE STREET CLO III LTD ACDUA sNAPIER PARK KY1 000746 Investor Address: QUEENOGATE HOUSE 1
0C1111 GRANT BARFUSS 17134836720 2816579034 GRANT ARFUSS@BYWMELLON.COM USD 5.07 1,458.012.50 1,459.012 50 0.00 1,459,012 50 GLOBL CAP LLC SOUTH CHURCH STREET GEORGE TOWN KY-Page 5 of 25
NRG Energy. Inc. - SF-328 A INVESTOR C
ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL I
Investor Name MNEMONIC Fund Manager ME! Code OTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCV RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING S60686 LANDMARK IX CDO LTD (SOUND AMLAN9 SOUND HARBOR
-YSM000CO1 KYOM050CQ1 Investor Address QUEENSGATE HOUSE 1
OC1234 CHRISTINA KWAN 7134837614 2816579030 CHRISTINAW.KWAN@BANKOFNY COM USD 0 10 1.945,350.00 1.945.350.00 0.00 1.945,350.00 HARBOR PARTNERS)
PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-060691 GRANT GROVE CLO LTD 060691USD TALL TREE KY1L033317 Investor Address QUEENSGATE HOUSE 1
OC1111 JEFFREY STONE 6176036538 8667537754 US) 0.07 1.459,926.67 1.459,926.67 0.00 1.459.926 67 INVESTMENT SOUTH CHURCH STREET GEORGE TOWN KY-W60703 RACE POINT IV CLO LIMITED ACSRA4 SANKATY KY1LL12352 KY1L012352 Investor Address: WALKER HOUSE 1
OC0033AGY ROBERT COOK 4122348235 2144425203 SANKATYPORTFOLIOADMINTEAM@SANKATY.COM USD 038 7.603.216.37 7.603,216.37 0E00 7.603.216 37 ADVISORS, LLC MARY STREET GEORGETOWN KY-060707 SHINNECOCK CLO 2006+1 LTD AISC Clinton Group KYlL011396 Investor Address: QUEENSGATE HOUSE 1
OC00I4AGY SYNDICATED LOAN 9724018543 8662188474 BNYASSETSOLUTIONS-CDOGROUP@BANKOFNY.COM USD 0.10 1,987.462 36 1,987.462 36 0.00 1,987,462.36 113 SOUTH CHURCH STREET SERVICING GEORGE TOWN KY-060711 LIMEROCK CLO I (INVESCO SENIOR CRCL1 INVESCOSENIOR KY1LO19951 KYlLS19951 Investor Addres.: P.O.5OX 1093GT 1
OC555 MYRTA CALVILLO 7134836224 2816579023 12816579023@TLS.LDSPROD.COM USD 0.11 2,14n,030.16 2.148.030.16 000 2.148.030.16 SECURED MGMT,INC)
SECURED GEORGE TOWN KY-11102 060712 LATITUDE CLO III LTD LFKNLATIII LUFKIN ADVISORS. KY1LL15942 Investor Addrens: QUEENSGATE HOUSE 1
OCt 1100 CLO 7142476551 8663811885 CLO.ADMINISTRATION@DB.COM LED 0.07 1.459,012.50 1,459,012 50 000 1.459,012.55 LLC SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-360717 TRIMARAN CLO VII LTD ACSTA7 TRIMARAN KYlLW02700 Investor Address. QUEENSGATE HOUSE 1
OC1234 VAN NGHIEM 7134836188 2816579047 VAN.NGHIEM@BNYMELLON.COM USD 020 3.925,350 00 3.925.350.00 0.00 3.925.350.05 ADVISORS, L LC.
SOUTH CHURCH STREET GEORGE TOWN KY-060746 GREYWOLF CLO I, LTD 060746USD Greywolf Capital KYlL003344 Investor Address QUEENSGATE HOUSE 1
OC0821AGY VIRTUS GROUP 7139934300 8882406289 GREYWOLFCLOI@VIRTUSLLC.COM USD 0 3 7,781,400.00 7.781,400.00 0.00 7,781.400 00 SOUTH CHURCH STREET GEORGE TOWN KY-060755 AMMC VII LTD ACSAM7 American Money KY1LW06178 Investor Address: 4TH FLOOR BOUNDARY 1 OC0555AGY VIRTUS GROUP LP 7139934300 8666678830 AMMCVII@VIRTUSLLC.COM USO 0.10 1,934,324.72 1.934,324.72 0.00 1,934.324.72 Management HALL CRICKET SQUARE GEORGE TOWN KY-KY11102 060756 MOUNTAIN VIEW CLO II LTD AGMV2 Seix Advisors KY1L033572 KY1L033572 Investor Address P0 BOX 1093GT 1
0C1245 DARA KOTZKER 2018022356 2815827955 12815827955@TLS.LDSPROD.COM USD 0.33 6.640.177.50 6.640,177.50 000 6.640,177.50 QUEENSGATE HOUSE GEORGE TOWN KY-060701 BAKER STREET CLO II LTD ACBAK2 SEIX ADVISORS KY 1LW06(62 KY 1L000602 Investor Address: OUEENSOATrE HOUSE 11 001254 DARA KOTZKER 2010022306 2013388701 BANKLOANS@gSEIXAOVISORS.COM USD 0.21 4.278,770.00 4,278.770 S0 0.00 4,279,770.00 SOUTH CHURCH STREET GEORGE TOWN KY-360763 ACA CLO 2006-2 LTD AGAC62 CVC CREDIT KY1L000894 Investor Address: QUEENSGATE HOUSE 1
OC2222AGY KHALID EL HEJJALI 7134836130 2816579008 KHALID.ELHEJJALI@BNYMELLON.COM USD 0.06 1.167,210.00 1,167,210.00 0.00 1,167.210.00 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-360778 CARLYLE DAYTONA CLO LTD (FKA AESSDC CARLYLE KYIL001736 Investor Address: P.O.BOX 1093, GT 1
OC123 AARON ALMARAZ 7134836320 2816579044 AARON.ALMARAZ@BNYMELLON.COM USD 0.17 3.408,028.36 3.408,028.36 0.00 3,408,028.36 STANFIELD DAYTONA CLO INVESTMENT GEORGE TOWN LTD)(CARLYLE INVESTMENT KY-11102 MANAGEMENT LLC) 060782 PPM GRAYHAWK CLO LTD (PPM EDPGC PPM AMERICA, INC. KY1 L051426 KYILO51426 Investor Address: WALKER HOUSE 1
OC125 LENA FIALKO 3128278588 2816579067 PPMABANKLOANOPS@PPMAMERICA.COM USD 0.10 1,945,350.00 1,945,350.00 000 1,945,350.00 AMERICA)
MARY STREET GEORGE TOWN KY-560783 VOYA CLO IV LTD (FKA ING LPINGI VOYA INVT MGT KYlL021288 KYlL021288 Investor Address: QUEENSGATE HOUSE 1
OC6908AGY CORPORATE TRUST 6176036711 8663502099 CDO.NOTICES@USBANK.COM USO 009 1,702,181.25 1,702,181.25 000 1.702,181.25 INVESTMENT MANAGEMENT CLO IV SOUTH CHURCH STREET SERVICES LTD)
GEORGE TOWN KY-KY11102 060789 KINGSLAND IV LTD ARMS KINGSLAND KYlL002866 Investor Address: QUEENSGATE HOUSE 1
OC007 KRISTOPHER KUEHL 7134836707 2816579042 12816579042@TLS LDSPROD.COM USO 027 5,386,826 73 5,386,826.73 0.00 5,306,826.73 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-060790 OCEAN TRAILS CLO II OTCLOII WEST GATE KY1L01959 Investor Address: QUEENSGATE HOUSE 1
OC01 ANDREA 2136213758 2816579064 ADENISEVICH@WESTGATEHORIZONS.COM LED 020 4,016.270 96 4,016,270 96 0.00 4.016,270.06 HORIZONS SOUTH CHURCH STREET DENISEVICH GEORGE TOWN KY-060801 CIFC FUNDING 2007-11 FKA CIFC 060801USDI CIFC ASSET KYlL021460 KYILO21460 Investor Address: QUEENSGATE HOUSE I
OC0002AGY GENE VLADIMIROV 3129920664 8669408229 CIFC FUNDING CLO3@BANKOFAMERICACOM USD 0.28 5,510,00 000 5.510,900 0.00 5.510,000.00 FUNDING 2006-111 LTD (CIFC MANAGEMENT SOUTH CHURCH STREET DEERFIELD)
GEORGE TOWN KY-060808 MOUNTAIN VIEW CLO III LTD MVCLO3 Se. Advrsors KYlL022112 KY1L-022112 Investor Address: QUEENSGATE HOUSE 1
0C1245 DARA KOTZKER 2018022356 2013388701 banldoaens@sexadviorso com USD 0.20 5,738,782.50 5.738,782 50 0.00 5.738,782.50 SOUTH CHURCH STREET GEORGE TOWN KY-060812 REGATTA FUNDING LTD ACSREG NAPIER PARK KYlLO11594 KY1L011594 Investor Address: QUEENSGATE HOUSE 1
UCWW00AGY MARC FORANT L176036760 8667719471 NOTICES REGATrAFUNDING@VIRTUSLLC.COM USD 0.10 1,945,350.00 1,945,35000 0.00 1,945,350.00 GLOBL CAP LLC SOUTH CHURCH STREET GEORGE TOWN KY-Page 6 of 25 10111111110-1
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL a
Investor Name MNEMONIC Fund Manager MEI Cede DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTTY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 060830 FOOTHILL CLO I. LTD (CARLYLE ACCFH CARLYLE KY1LL40213 KY1LL40213 Investor Address: WALKER HOUSE 1
0C4585 JESSICA KELLER 4108842140 7047150269 JESSICAK KELLER@WELLSFARGO.COM USD 0.24 4.863.375.00 4.863,375.00 0.00 4.863.375 00 INVESTMENT MANAGEMENT LLC)
INVESTMENT 87 MARY STREET GEORGE TOWN KY-KY1 9002 060832 MARLBOROUGH STREET CLO LTD ACSMBS Massachusetts KYlL026477 Investor Address: QUEENSGATE HOUSE 1
0C5566 TRACY HING 7134836174 2816579059 TRACY.HING@BNYMELLON COM USD 0 17 3.393,801 96 3.393.801 96 000 3.393,801.96 Financial SOUTH CHURCH STREET GEORGE TOWN KY-060836 MT WILSON CLO II LTD (WESTERN GPMW2 WESTERN ASSET KYlL027004 KY1L027004 Investor Address QUEENSGATE HOUSE 1
OC0333AGY CHRISTINE LEE 7132168762 2816579058 USD 007 1.461,481.21 1.461.481.21 0.00 1,461,481.21 ASSET MANAGEMENT)
MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY.
060838 OHA PARK AVENUE CLO I LTD (OAK FOHA Oak HWl Credit KYlLO00456 KY1L000456 Investor Address: QUEESGATE HOUSE 1
OC1111 JASON J PEREZ 7134836232 2816579055 USD 024 4,901,301 98 4.901.30198 080 4.901.301.98 HILL)
Partners SOUTH CHURCH STREET GEORGETOWN KY-060878 LCM V LTD LCMVLTD LCM ASSET KY1LL18961 Investor Address QUEENSGATE HOUSE 1
OC0555AGY CLO 7142476551 8667199298 ULO.ADMINISTRATION@DB.COM USD 0.36 7.152,536.68 7.152,536.68 0.00 7.152,536.68 MANAGEMENT SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-060879 BLUEMOUNTAIN CLO III LTD BLUACS BLUEMOUNTAIN KY1L002270 KYIL002270 Investor Address: QUEENSGATE HOUSE 1
OCOD01AGY KIMBERLY RE/NA 2129053923 2816673712 12816673712@TLS.LDSPROD COM LSD 0.15 2,970,000.00 2,970.00 00 0.00 2.970,000.00 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-060915 PIMCO FUNDS: GIS PLC DIVERSIFIED DOURAB PIMCO E1L122256 E11-122256 Investor Address: BLOCK D IVEAGH COURT 1 OC0333AGY BANK LOAN 9499323005 6173303777 PIMCO-04689@STATESTREET.COM USD 0.35 6.962.330.45 6.962.330.45 0.00 6.962.330 45 IN FUND HARCOURTRD 0ACCOUNTING IE-060917 MAPS CLO FUND II LTD (GSO/BLACK AMGMAP BLACKSTONE DEBT KY1L003146 KY1L063146 Investor Address QUEENSGATE HOUSE 1
OC0302AGY MICHAEL CULLY 6176036521 8663508430 MICHAEL.CULLY@USBANK.COM USD 0.22 4.494.962.22 4.494,962.22 0.00 4.494.962.22 STONE DEBT FUNDS MANAGEMENT ADVISORS SOUTH CHURCH STREET
_LC)
GEORGE TOWN KY-060918 BRIDGEPORT CLO II LTD (CIFC BRP CIFC ASSET KY1L039264 KY1L039264 Investor Address: QUEENSGATE HOUSE 1
OC3333AGY CLO 7142476551 7325782614 LLO.ADMINISTRATION@DB.COM USD 010 1.931.569.20 1.931,569.20 8.88 1.931.569.20 DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-060921 COA CAERUS CLO LTD. FKA APIDOS AP6GP 3i Debt Management KYt L002239 Investor Address: QUEENSGATE HOUSE 1
OC 111 KORY BURLESON 7134836004 2816579037 KORY.BURLESON@BNYMELLON COM USE 0 11 2,285.786 25 2,285,786 25 000 2.285.786.25 COO VI (FRASER SULLIVAN)
US LLC SOUTH CHURCH STREET GEORGE TOWN KY-060922 6,ATONAH X CLO LTD FKX Trimaran Advisors, KYlLO00597 Investor Address: QUEENSGATE HOUSE 1
OC0821AGY JOHN DELANEY JR 6176036491 8665649300 NIOTICESK10@KATONAHDEBTADVISORS.COM LSD 019 3,890.700.00 3,890,730 00 000 3.890.700 00 Katona SOUTH CHURCH STREET GEORGE TOWN KY.
060924 CARLYLE HIGH YIELD PARTNERS X LTD USCH10 CARLYLE KY1LL06479 Investor Address: WALKER HOUSE 1
OC0821AGY TATIANA MARTINEZ 7134837396 2816673710 rATIANAMARTINEZ@BANKOFNY COM USD 0.12 2,483,009.55 2,483.009 55 000 2.483.009 55 INVESTMENT MARY STREET GRAND CAYMAN KY.
060927 SATURN CLO, LTD. (PINEBRIDGE ACSAT PINEBRIDGE KYlLOO9416 Investor Address: QUEENSGATE HOUSE 1
OC0222AGY LEK CHOBUATHONG 7134836178 2816579029 LEK K CHOBUATHONG@BANKOFNY.COM USD 0.14 2.820,757 50 2,820757 50 000 2,820,757 50 INVESTMENTS LLC)
INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-560935 APIDOS QUATTRO COO (FKA APIDOS AAQCMG CVC CREDIT KYlLOO4086 Investor Address: BOUNDARY HALL 1
OC0113AGY SARAH PRUCHA 7134836106 2816579068 SARAH PRUCHA@BNYMELLON.COM USD 0.12 2,302,154 54 2,302.154.84 000 2,302,154 84 QUATTRO COO)
PARTNERS CRICKET SQUARE GEORGE TOWN KY-060939 CENT COD 12 LTD NCCCDO COLUMBIA MANG KY1L014689 KY1L014689 Investor Address QUEENSGATE HOUSE 1
OCl111 CLO 7142476551 8666114792 CLO ADMINISTRATION@DB.COM USD 0.13 2.688.434.20 2.688,434.20 000 2,688,434 20 INV ADV LLC SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-060942 MOUNTAIN CAPITAL CLO VI LTD ACSM06 CARLYLE KYlL02a689 KYIL028689 investor Address 3RD FLOOR ROYAL BANK 1 OC0821AGY DAVID RAMSEY 7134836318 2816673714 DAVID.M.RAMSEY@BNYMELLON.COM USD 0.10 1.993.983.75 1.993,983.75 0.00 1,993,983.71 (CARLYLE INVESTMENT MANAGEMENT INVESTMENT OF CANADA LLC)
SHEDDEN ROAD GEORGE TOWN KY-11006 060966 UREENS CREEK FUNDING LTD HBGCF SILVERMINE KY1L033549 Investor Address. 87 MARY ST WALKER 1
OC0123AGY RONALD RAJEH 7134836227 2816673737 USD 0 29 5.855,576 76 5.855.576.76 00 5,855,576 76 (SILVERMINE CAPITAL)
CAPITAL HOUSE GEORGETOWN KY-19002 v60987 UCTAGON INVESTMENT PARTNERS XI ACSOll OCTAGON CREDIT KY1L002395
.(Y1LS02395 Investor Address OUEENSGATE HOUSE r
OCOOSOAGY JOSHUA OLF 6176036531 8668317970 USDO 087 1,405,000.00 1,480,000.00 0 00 1,485,060 05 LTD (OCTAGON CREDIT INVESTORS)
INVESTORS SOUTH CHURCH STREET GRAND CAYMAN KY-060991 CENT COO 14 LTD CENTURCDO14 COLUMBIA MANG KYlLO14697 KY1L014697 Investor Address 113 SOUTH CHURCH 1
OCOO0AGY CLO 7142476551 5688114793 CLO.ADMtNISTRATION@DB COM USD O11 2.180.001 67 2.190,001.67 008 2.180,0167 INV ADV LLC QUEENSGATE HOUSE ADMINISTRATION GEORGE TOWN KY-060992 HARCH CLO III LIMITED (HARCH HRCH/II RARCH KYlL037102 KYlL037102 Investor Address QUEENSGATE HOUSE 1
OC4701AGY CLO 7142476551 8666114795 CLO.ADMINSTRATION@DB.COM USD 008 1,638,735.19 1.638,735.19 0.00 1.638.735.19 CAPITAL MGMT)
SOUTH CHURCH STREET ADMINSTRATION GEORGE TOWN KY-Page 7 of 25
NRG Energy. Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL aInvestor Name MNEMONIC FudMngr MEl Cede DTCC CODE INVESTOR DETAILS Foreign 00 CONTACT ENTITY NAME ENTITY PHONEDS ENTITY FAX #
ENTITY EMAIL CCV RATIO COMMITMENT OUSADN USADN OUTSTANDING 061010 LIGHTPOINT CLO VIII LTD GPLP83007 NEUBERGER BER KYlL019910 KY1L019910 Investor Address: WALKER HOUSE, 87 1
OC4500AGY PATRICK MITCHELL 3123327333 8669407745 LIGHTPOINT.CLO.VIlI NOTICES@USBANKCOM USD 0.15 3,015,292.50 3,015.292.50 0.00 3.015.292 50 (NEUBERGER BERMAN)
FXED INCOM MARY STREET GEORGETOWN KY-19002 061011 NORTHWOODS CAPITAL VIII LTD GPNWCP ANGELO. GORDON KY1Lli15460 KYLI15460 Investor Address: QUEENSGATE HOUSE 1
OC0821AGY MYRTA CALVILLO 7134836224 2815822023 USD 053 10.686.100.01 10.686.100.01 0.00 10.686,100.01 (ANGELO GORDON)
AND CO GEORGETOWN GRAND CAYMAN SHOUTH CHURCH STREET KY-061012 CIFC FUNDING 2007-1 LTD CRCC7 CIFC ASSET KYlL021494 KY1L021494 Investor Address QUEENSGATE HOUSE 1
OC0333AGY MALIA BAYNES 3123327323 8669401009 CIFC070.NOTICES@USBANK.COM USD 0.15 2,970,000 00 2,970.000.00 000 2.970.000.00 MANAGEMENT SHOUTH CHURCH STREET GEORGE TOWN KY-061019 WESTCHESTER CLO LTD FKA AMCCRC HIGHLAND CAPITAL KYlL059643 KY1L059643 IrnvestorAddress QUEENSGATE HOUSE 1
OC0101AGY DATATEAM 9726284100 2149885967 12149885967@TLS.LDSPROD.COM USO 0.58 11.672.100.00 11.672,100.00 0.00 11,672.100.00 AMHERST CLO, LTD MANG FM SHOUTH CHURCH STREET GEORGE TOWN KY.
061028 CARLYLE MCLAREN CLO LTD (FKA ARASTC CARLYLE KY1L005497 Investor Address: P 0 BOX 1093. GT 1
OC0821AGY CHARLES JANZ 7134836339 2816673735 CHARLES JANZ@BANKOFNY.COM USD 0.18 3.500.295 86 3.505,295.86 0.00 3.505,295 86 STANFIELD MCLAREN CLO INVESTMENT GEORGE TOWN LTD)(CARLYLE INVESTMENT KY-MANAGEMENT LLC) 061033 PHOENIX CLO III LTD(FKA)AVENUE AVENUEV ING INVESTMENTS IY1L224718 KY1L224718 Investor Address: P.O BOX 1093 GT 1
OC4500AGY GREGORY HANCOCK 7134836377 2816673740 GREGORY.HANCOCK@BANKOFNY.COM USD 0.06 1.154.897 66 1,154.897.66 0.00 1.154,897.66 CLO 'A LTD GEORGE TOWN, KY-061034 SHASTA CLO I LTD SHASTAI 6VC CREDIT KY1L011347 KY1L011347 Investor Address: QUEENSGATE HOUSE 1
OC0821AGY RUBENLUNA 7134836456 2816673732 12816673732@DOCS.LDSPROD.COM USO 0.08 1.629,230.63 1.629.230.63 0.00 1,629,230.63 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-061058 LCM VI LTD LCMVILTD LCM ASSET KYlL018987 Investor Address: QUEENSGATE HOUSE 1
OC1234AGY CLO 7142476551 8667199298 CLO.ADMINISTRATION@DB COM USD 0.39 7.798,053.96 7.798,053.96 0.00 7,798,053.96 MANAGEMENT SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-061064 KATONAH 2007-1 CLO LTD. FKA FRBIC Tnmaran Advisors.
KYL001298 Investor Address: BOUNDARY HALL 1
OC1245 JOHN DELANEY JR 8176036491 8666111216 GILLIGAN@KATONAHDEBTADVISORS.COM USD 0.05 972.675 00 972,675 00 000 972,675.00 BRIARCLIFF I CLO LTD.
Katona CRICKET SQUARE GEORGE TOWN KY-061098 STRATFORD CLO LTD ARASCL HIGHLAND CAPITAL KY1L031485 KY1L031485 Investor Address: QUEENSGATE HOUSE I
OC4687AGY DATA TEAM 9724194427 2145404818 DATATEAM@HCMLP.COM USD 010 1.925,700.01 1,925,700 01 000 1.925.700.01 MANG FM SOUTH CHURCH STREET GEORGE TOWN KY-061103 GALE FORCE 3 CLO LTD GALEF3 BLACKSTONEDEBT.KY1L027582 KY1L027582 Investor Address: QUEENSGATE HOUSE 1
OC6900AGY SUSANNE MICKLES 2125032147 6179370566 USD 013 2.607.850.10 2.607,850.10 0.00 2.607,850.10 ADVISORS SOUTH CHURCH STREET GEORGE TOWN KY-061110 APIDOS CINCO CDO ACSACC CVC CREDIT KYlLOO0308 investor Address: QUEENSGATE HOUSE 1
OC061110 MODUPE OYEDE 7134836989 2815827214 MODUPE.OYEDECBNYMELLON.COM USD 006 1.155,051.56 1.155.051.56 0.00 1.158,051.56 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-061144 ST. JAMES RIVER CLO, LTD (BABSON RMKSTJ BABSON CAPITAL KYlL030008 Investor Address: WALKER HOUSE 1
OC0302AGY BUCKNER TONEY 7132434027 7047150295 DUCKNER.T.TONEY@WELLSFARGO.COM USD 002 486,337.50 486,337.50 0.00 486,337.50 CAPITAL MANAGEMENT LLC)
MANAGEMENT MARY STREET GEORGE TOWN KY-061150 FLAGSHIP CLO VI (DEUTSCHE ASSET ACCFS6 Deutsche Asset K-Y1L13756 KYlLO13756 Investor Address: QUEENSGATE HOUSE 1
OC0111AGY LIZ DELGADO 2124541945 8668317981 ELIZABETH.DELGADO@DB.COM USD 015 2.918.025.00 2.918.025.00 0.00 2.918,025.00 MGMT)
Mang-SYND SOUTH CHURCH STREET GEORGE TOWN KY-061156 CALLIDUS DEBT PRTNRS CLO FUND VI AMCDP6 B.LACKSTONE DEBT KY1L004276 KY1L0L4276 Investor Address. QUEENSGATE HOUSE 1
OC01 MICHAEL CULLY 6176036471 8668488554 MICHAEL.CULLY@USBANK.COM USD 022 4.494.962 22 4,494,962.22 0.00 4.494.962.22 LT (GSO/WLACK STONE DEBT FUNDS ADVISORS SOUTH CHURCH STREET MANAGEMENT LLC)
GEORGE TOWN KY-061165 EATON VANCE CODO IX LTD (EATON EDEV9 Eaton Vance KYlL014499 Investor Address: QUEENSGATE HOUSE 1
OC0927AGY WILLIAM HAAS 4122341681 7132294922 17132294922@TLS.LDSPROD.COM USD 013 2.577,588.79 2,577.588.75 000 2.577,588 75 VANCE)
SOUTH CHURCH STREET GEORGE TOWN KY-061174 CANARAS SUMMIT CLO LIMITED GPCANA CANARAS CAPITAL JElL002779 JElL002779 Investor Address: TEMPLAR HOUSE DON 1
OCOSO0AGY CANARAS SUMMIT 2123727425 2815826156 12815826156@TLS.LDSPROD.COM USD 0.25 4.924,012.49 4,924.012.49 000 4.924.012 49 ROAD CLO LTD ST HELIER JE-JE12TR 061192 FLAGSHIP CLO V RMKFL5 Deutsche Asset KY1L013749 KYlL013749 Investor Address: BOUNDARY HALL 1
OC5621 LIZ DELGADO 2124541540 8663660152 ELIZASETH.DELGAGO@DB.COM USD 0.18 3,696,165.00 3,696,165.00 0.00 3,696.165 00 Mang-SYND CRICKET SQUARE GEORGE TOWN KY-061194 FLATIRON CLO 2007-1 LTD ARAFLT NEW YORK LIFE KYlL014200 KYtLS14200 Inrvestor Address: QUEENSGATE HOUSE 1
OC01 CLO 7142476551 2145723374 CLO.ADMINISTRATION@DB COM USD 0.24 4.743,959.81 4,743,959.81 0.00 4.743,959 81 INSURANCE SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-061199 ACA CLO 2007-1 LTD ACSAC7 CVC CREDIT KY1L004698 Investor Address: QUEENSGATE HOUSE 1
OC061199 AZRA ASHRAFI 7134837067 2816673741 USD 0.05 972,675.00 972,675.00 0.00 972,675.00 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-061215 VENTURE VIII CDO LTD ARAVO MJX ASSET KY1L004797 KYtLS04797 Investor Address: QUEENSGATE HOUSE 1
OC0333AGY KRYSTINA WU 21270530 21270530 USD 0.05 907,407.31 007,407.31 0.00 987,487.31 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-Page 8 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL 9
Investor Name MNEMONIC Fund Manager MEl Code DCCOEINVESTOR DETAILS Foreign 00 CONTACT ENTITY NAME ENTITY PHONE 9 ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 061230 GULF STREAM SEXTANT CLO 2007 1 ARAGU APOLLO GLOBAL KYlL033036 KY1L033036 Investor Address. BOUNDARY HALL 1
OC555 TAMARA DAVY 6176036540 8068488557 USD 0.25 4.974,874.37 4.974.87437 0.00 4,974.874.37 LTD MANAGEMENT CRICKET SQUARE GEORGE TOWN KY-KY 11102 061240 KINGSLAND V LTD ARKV KINGSLAND KYlL005232 Investor Address: QUEENSGATE HOUSE 1
OC007 KRISTOPHER KUEHL 7134836707 2815827810 1 2815827810@TLS LDSPROD.COM USD 0.29 5.885.567.29 5.885.567 29 0.00 5.885,567.29 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-061249 VOYA CLO V LTD (FKA ING INGMCLV VOYA INVT MGT KY1L021296 KYlL021296 Investor Address: QUEENSGATE HOUSE 1
OC CORPORATE TRUST 4804772225 8663502099 CDO.NOTICES@USBANK.COM USD 010 1,989,949.75 1.989,949.75 0.00 1.989,949.75 INVESTMENT MANAGEMENT CLO V SOUTH CHURCH STREET LTD)
GEORGE TOWN KY-KY11102 061264 WESTWOOD ODD II, LTD (ALCENTRA WCDO082807 Alcentoa NY, LLC KY1LODO035 KYlLD00035 Investor Address QUEENSGATE HOUSE 1
OC061264A JAY KWAN 7134836332 2815827216 USD 0.23 4,561.920.00 4.561,920.00 0.00 4.561,920.00 LIMITIED)
SOUTH CHURCH STREET GEORGE TOWN KY-061272 MSIM PECONIC BAY LTD (INVESCO MSIM INVESCO SENIOR KYlL002148 KYlL002148 Investor Address. QUEENSGATE HOUSE 1
OC2001AGY RAMON ZOLETA 7134836358 2816673719 RAMON.O ZOLETA@BANKOFNY.COM USD 0.08 1.682,550.86 1,682,550.86 000 1.682,500.86 SENIOR SECURED MANAGEMENT)
SECURED 113 SOUTH CHURCH STREET GEORGE TOWN KY-061302 DUANE STREET CLO IV LTD ARADS4 NAPIER PARK KYlLOO3112 KY1L003112 Investor Address QUEENSGATE HOUSE 1
OC111 NOBLE KALLUKUZHY 9727855298 2815827775 NOBLE KALLUKUZHY@BNYMELLON.COM USD 0.11 2,188.518.75 2,188.518.75 0.00 2.188,518 75 GLOSL CAP LLC SOUTH CHURCH STREET GEORGE TOWN KY-061314 FORE CLO LTD 2007-1 FORECLOO71 FORE RESEARCH KY1L002577 Investor Address QUEENSGATE HOUSE 1
OC6908AGYI CLO 7142476551 8666758279 FORE.CLO@FORERESEARCH C0M USD 0.34 6.8780025.00 6.878,025.00 0.00 6.870,025.00 SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-061345 BABSON MID-MARKET CLO LTD 2007-11 GPBM72 BABSON CAPITAL KY1L002163 KYlL002163 Investor Address: WALKER HOUSE 1
OC0102AGY KEVIN CEDORCHUK 8179373520 6179370572 KEVIN.CEDORCHUK@STATESTREET.COM USD 0.10 1.947,787.79 1,947,787.79 0.00 1.947,787 79 (BABSON CAPITAL)
MANAGEMENT 07 MARY STREET GEORGE TOWN KY-061346 PRIMUSCLOIILTD (CIFCDEERFIELD)
KSPC2 CIFC ASSET KYlL051483 KYlL051483 Investor Address: BOUNDARY HALL 1
OC0111AGY BURKE MALEK 8173719336 6173712290 PRIMUSCLOIIFAX@VIRTUSLLC.COM USD 0.14 2.703,831.57 2,703.831.57 0.00 2.703,831 57 MANAGEMENT CRICKET SQUARE WALKER HOUSE 87 MARY STREET GEORGE TOWN KY-061360 FRANKLIN CLO VI, LIMITED FRANKCS FRANKLIN KYlL041252 KYlLD41252 Investor Address: QUEENSGATE HOUSE I
C00000AGY JOAN MULIUFI 6503124068 6503123346 JMULIUF@FRKCOM US0 0.25 5.058,900 00 5.0S8,900.00 0.00 5.058.900 0O FLOATING RATE SOUTH CHURCH STREET GEORGE TOWN KY-061422 CENT COO 15 LTD ACET15927 COLUMBIA MANG KYlL014713 KY1LO14713 Investor Address: 113 QUEENSGATE 1
OC0314AGY VIRTUS GROUP 7139934300 8666072494 CENTCDOXVFAX@VIRTUSLLC.COM USD 0.13 2,688,804 51 2.688,804.51 0.00 2,688,804.51 INV ADV LLC HOUSE SOUTH CHURCH STREET GEORGE TOWN KY-061436 ARES XXIICLO LTD (FKA CLYDESDALE CDC07 Ares Management, KY1LLO0555 KY1LL00555 Investor Address. QUEENSGATE HOUSE 1
OC0143AGY CYNTHIA YEN 2126679667 8666758278 CLO.ADMINISTRATION@DB.COM USD 0.17 3.491,183.88 3,491,183.88 0.00 3,491.183.88 CLO 2007 LTD)
L-C SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 061989 SAN GABRIEL CLO I LTD EMSG1 OVC CREDIT KYlLO10059 KYlLO10059 Investor Address QUEENSGATE HOUSE 1
OC3187AGY VIRTUS GROUP 7139934320 8663504774 SANGABRIELCLOIFAX@VIRTUSLLC.COM USD 0.06 1.159,001.32 1,150,051.32 0.00 1,155,01.32 PARTNERS SOUTH CHURCH STRET GEORGE TOWN KY-062127 MUIR GROVE CLO LTD MUIR110807 TALL TREE KYlL021965 Investor Address QUEENSGATE HOUSE 1
OC111 JEFFREY STONE 6176036538 8665888518 USD 0.22 4.413,211 12 4,413,211 12 0.00 4,413.211.12 INVESTMENT SOUTH CHURCH STREET GEORGE TOWN KY-067015 CARLYLE ARNAGE CLO LTD (FKA SUZJAIM CARLYLE KYlLD05141 Investor Address: P.O. BOX 1093. GT 1
C0l111 ELDAD SIMON 7134136208 2816673902 USD 0.20 3.943,488 38 3,943.488.38 0.00 3,943,488.38 STANFIELD ARNAGE CLO INVESTMENT GEORGE TOWN LTD)(CARLYLE INVESTMENT KY-MANAGEMENT LLC) 067019 CIFC Funding 2007-111, LTD (CIFC CIFC081307 CIFC ASSET KYlL021502 KY1L021502 Investor Address: QUEENSGATE HOUSE I
OC067019AG JUSTIN MIHALINEC 2126241694 3122768111 LOANADMIN@CIFC COM USD 0.16 3,217,500.00 3.217500.00 0S00 3.217,500 00 DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY.
067177 COLUMBUSNOVA CLO IV LTD. 2007-11 CNCLO40711 CIFC ASSET KY1L022120 KYlL022120 Investor Address: QUEENSGATE HOUSE 1
OCOOOAGY VIRTUSGROUP 7139934315 8668735359 COLUMBUSNOVA2007-IIFAX@VIRTUSLLC.COM USD 0.16 3.168,000.00 3.168.000.00 0.00 3,168,000 00 (CIFC DEERFIELD)
MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-067308 VENTURE IX COO LTD 067308USD MJX ASSET KYlL002486 KYlL002486 Investor Address: QUEENSGATE HOUSE 1
OC01 GATES WATEL 3123326312 2142914287 VENTURE.IX NOTICES@USBANK USD 0.10 1.974,974.62 1.974,974.62 0.00 1.974,974 62 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-087715 DRYDEN XVIII LEVERAGED LOAN 2007 DRYXVIII07LT PRUDENTIAL IElL034840 1EIL034840 Investor Address 5 HARBOURMASTER 1
OC715 CLO 9738027240 8666566898 CLO.ADMINISTRATION@DB.COM USD 0.30 5.940,000.00 5.940.000.00 0.00 5,940,000 00 LIMITED (PRUDENTIAL)
INSURANCE PLACE ADMINISTRATION DUBLIN TEAM
- IRELAND lISE______
Page 9 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL I
Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING UTSTANDING OUTSTANDING 087878 ASS LOANS 2007 LIMITED ABS081407 GOLDMAN SACHS 1ElL006244 IE1L006244 Investor Address: BLOCK D, IVEAGH 1
OCl111 HEATHER 2122581650 2126512311 GSOFFWSO@IMSI.COM USD 0.21 4,110.981.20 4,110.981.20 0.00 4.110.981.20 ASSET COURT GRISWOLD HARCOURT DUBLIN 2 IRELAND IE-089978 JFIN CLO 2007 LTD (BABSON CAPITAL) JEFF09067 JEFFERIES KYlLG00886 KYlLOO0886 Investor Address: QUEENSGATE HOUSE 1
C0122 KEVIN CEDORCHUK £178373020 3170370586 KEVIN.CEDORCHUK@STATESTREET.COM USD 0.10 1.980.0W 00 1.980,000.00 0.00 1.980.000.08 FINANCE LLC SOUTH CHURCH STREET GEORGE TOWN KY-091712 GULF STREAM-COMPASS CLO 2007 GULF81707 APOLLO GLOBAL KY1L032558 KY1L032558 Investor Address 4TH FLOOR BOUNDARY 1 0C124 CORY OLSEN 9174723972 2144591018 12144591018@TLS LDSPROD.COM USO 015 2,984.924 62 2.984,924 62 000 2.984,924.62 LTD (APOLLO GLOBAL MANAGEMENT MANAGEMENT HALL LLC)
CRICKET SQUARE GEORGE TOWN KY-100379 GREENBRIAR CLO, LTD. (HIGHLAND HIGH1115 HIGHLANDCAPITAL KYlL032632 KY1L032632 Investor Address BOUNDARYHALL 1
OC1434AGY DATATEAM 6726284100 9726284155 GREENBRIAR@TLS.LDSPROD.COM USD 0.10 1.945,350.00 1.945.35000 000 1.945.350.00 CAPITAL MANAGEMENT)
MIANG FM CRICKET S.UARE GEORGE TOWN KY-102743 PORTOLA CLO. LTD.
POD PIMCO KYlL051327 KYILW51327 Investor Address: WALKER HOUSE 1
OC111 BANKLOANACCOUNT 9499323005 6173303854 PIMCO-06820@STATESTREET.COM USD 0.37 7.387,.08.01 7.387.906.01 0.00 7.387,906.01 87 MARY STREET ING GEORGE TOWN KY-KY 19002 107865 ECP CLO 2008-1, LTD (SILVERMINE 107865USD SILVERMINE KY1L014812 Investor Address WALKER HOUSE 1
OC10786501 KEISHA GRAY 7134836223 2815827202 USD 0.34 6.779.897.45 6.779.897 45 0.00 6.779.897 45 CAPITAL)
CAPITAL 87 MARY STREET GEORGE TOWN KY-111974 ABERDEEN LOAN FUNDING. LTD.
111974USD H"IGHLAND CAPITAL KY1L122805 KY1L122805 Investor Address: WALKER HOUSE 1
0C11197401 TRAVIS PUCKETT 9724194427 2145404818 ROCKWALL3@TLS.LDSPROD.COM USD 0.31 6.217.695.00 6.217.895.00 0.00 6.217.695.00 (HIGHLAND CAPITAL)
MANG FM 87 MARY STREET GEORGE TOWN KY-KY19002 112414 STICHTING PENSIOENFONDS 112414USD PIONEER NL1L180685 NL1L18655 Investor Address: PO BOX 85344 1
0C11241401 PHILIP COLBURN 8174224565 2144614160 12144614160@TLS.LDSPROD.COM USD 0.03 666.282.37 686,282.37 0.00 6668282.31 MEDISCHE SPECIALISTEN INVESTMENT 3508 AH UTRECHT NETHERLANDS NL-117506 GALAXY VIII CLO, LTD. (PINEBRIDGE GALAXYVIII PINEBRIDGE KY1L027038 Investor Address: QUEENSGATE HOUSE 1
UC117506A BRANDYADKINS 7134836703 2816673748 USD 0.09 1,848.082.50 1.848,082.50 0.00 1.848,082.50 INVESTMENTS LLC)
INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-120596 HUDSON CANYON FUNDING I1, LTD.
120596USD INVESCO SENIOR KY1L036807 KY1L036807 Investor Address: WALKER HOUSE 1
0C120596 MALIA BAYNES 3123327323 8669407641 HUDSONCANYON.CLO.NOTICES@USBANK.COM USO 009 1,893.418 92 1.893,418.92 000 1.893.418.92 (INVESCO SENIOR SECURED SECURED 87 MARY STREET MGMTINC)
GEORGETOWN KY-KY1-9002 135516 LLT LIMITED LLTUSD Loeb Capftal GBIL136041 G81L136041 Investar Address: WASHINGTON MALL -
1 001234 JO RUSSO 2124837052 2125742003 JRUSSO@LOEBCAP.COM USD 001 210.93467 210,934.67 080 210,934.67 Managnement PHASE 1 CHURCH STREET, 4TH FLOOR HAMILTON HM 11 VG-165691 GLOBAL CREDIT RETURN FUND N.V (IN HIGHHUSD LNP PARIBAS EUR NL1L206591 Investor Address: P.O BOX 990 1
0C1234 PATRICK DILLON-01135315428101 2015796915 PATRICK DILLON.MALONE@BNYMELLON.COM USD 0.25 4.950.0008 4.950.000.00 0.89 4.950,000.00 RELATION TO THE SERIES 2809-1 AMSTERDAM MALONE NDTES(I8NP PARIBAS)
NL-1000 166814 RENAISSANCE TRUST 2009 RENIASSUSD HIGHBRIDGE KY1L213703 KY1L213703 Investor Address: BUTTERFIELD HOUSE.68 1 0012345 MARIA PENA 7134837077 2019172154 MARIAE.PENA@BNYMELLON.COM USD 0.79 15.769.267 78 15.769.267.76 0.00 15.769.267.78 (HIGHBRIDGE CAPITAL CAPITAL FORT STREET MANAGEMENTLLC)
GEORGE TOWN KY-167163 INNOVATION TRUST 2009 INNOVAT Eaton Vance KY1L193822 KY1L193822 Investor Address BUTTERFIELD HOUSE 1
0C0001 AMANDA LASKEY 4122348373 2019172153 12019172153@TLS.LDSPROD.COM USD 165 33,119.644 70 33,1198644.70 0.00 33.119,644.7U 68 FORT STREET GEORGE TOWN KY-167251 AMBITION TRUST 2009 (BABSON AMBITRU BABSON CAPITAL KYIL206798 Investor Address: BUTTERFIELD HOUSE,68 1 0C456 AMANDALASKEY 4122348322 2019172155 AMANDA.LASKEY@BNYMELLONCOM USD 042 8.411.135 83 8,411,135083 0.00 8,411,135.83 CAPITAL MANAGEMENT.LLC)
MANAGEMENT FORT STREET GEORGE TOWN KY-180268 FRASER SULLIVAN CLO VII LTD. (FKA COATEMP 3i Debt Management KY1L238031 Investor Address: CLIFTON HOUSE 75 FORT 1 0Cll VIRTUS GROUP LP 7139934300 8668744474 NOTICES FRASERSULLIVANCLOVII§VIRTUSLLC COM USD 0.16 3.136.026.51 3.136,026.51 000 3,136,026.51 COA TEMPUS CLO LTD)
US LLC STREET GEORGE TOWN KY-KY1 1108 184548 GSO LOAN TRUST 2010 (BLACKSTONE SSOUSD BLACKSTONE DEBT KYIL225616 KYIL225616 Irvestor Address: BUTTERFIELD HOUSE 1
Oc111 SHUNTACERF 7134836077 2018223619 12018223619@TLSLDSPROD.COM USD 0.71 14,254,897.67 14.254,597.67 000 14,254,597.67 DEBT ADVISORS(GSO CAPITAL ADVISORS 68 FORT STREET PARTNERS))
GEORGE TOWN KY.
191162 OCTAGON LOAN TRUST 2010 OCTLTRST OCTAGON CREDIT KYIL246638 Investor Address: BUTTERFIELD HOUSE. 68 1 OC01 ANNYE HUA 7134828378 2018127627 12018127627@DDCS LOSPROO.COM USD 1.47 29.452,500.00 29.452,500.00 000 29,452,500.00 (OCTAGON CREDIT INVESTORS LLC)
INVESTORS FORT STREET GEORGE TOWN KY.
194530 OCTAGON PAUL CREDIT FUND SERIES OCTAGON OCTAGON CREDIT KYOMO0O209 Investor Address: P.O.BOX 1093.
1 OC001 MICHAEL GUDAS 6179371887 6173303235 SSCMIZUHOBANKLOANS@STATESTREET.COM USD 0.08 1,634,831.16 1.634.831.16 0.00 1,634,831.16 I LTD (OCTAGON CREDIT INVESTORS)
INVESTORS QUEENSGATE HOUSE GEORGE TOWN KY-11102 12083685 JOHA INTREPID LEVERAGED LOAN OHAINSUSO 0PT s
HILL CREDIT KY1L284788 KY1L294788 Investor Address: P.O.BOX 1093 1
OCOTI JASON PEREZ 7134838232 2010223894 JASON.J.PEREZ@BNYMELLON.COM USD 0.08 1.594,329.47 1.594.329.47 000 1,594,329.47 IKY-11102I I
I Page 10 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL N
Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 211567 VALIDUS REINSURANCE LTD VALREUSD PINEBRIDGE BM1L301718 Investor Address SUITE 1790 48 PAR LA 1
MC1 JAMIE SPENCER 7134836180 2018223719 12018223719@TLS LDSPROD COM USD 026 5.127,029.54 5.127.029.54 0.00 5.127,029.54 (PINEBRIDGE INVESTMENTS)
INVESTMENTS VILLE ROAD HAMILTON BM-215902 SOCIETE GENERALEGRAND CAYMAN SOGEUSD SOCIETE FR1L315759 IRL3105759 Investor Address: 1221 AVENUE OF THE 1
0c1 COLLEEN MESSINA 2018398457 2018398116 COLLEEN MESSINA@SGCIB.COM USD 025 5,005,667.49 5,005,667.49 0.00 5.005.667.49 BRANCH GENERALE AMERICAS NEW YORK FR-10020 219931 CENTRAL PARK CLO LTD CPCLO BLACKSTONE DEBT KY1L325077 KY1L325077 Investor Address P.O BOX 1093 1
CC125 MIKE CAROZZA 6176629737 6174514906 MICHAEL.CAROZZA@STATESTREET.COM USD 0.25 4.982.393.07 4,982.393 07 000 4,982.393 07 ADVISORS GEORGE TOWN KY-11102 220132 BLUEMOUNTAIN CLO 2011.1 LTD BCMLLUSD BLUEMOUNTAIN KY1L325135 Investor Address: POBOX 1093 1
0IC123 KORY BURLESON 7134836084 2017165671 12017160671@TLS.LDSPROD.COM USD 0.10 1.945,350.00 1,945,350.00 0.00 1.945.350 00 (BLUEMOUNTAIN CAPITAL CAPITAL GEORGE TOWN MANAGEMENT)
KY-11102 221860 AMBITION TRUST 2011 (BABSON ATUSD BABSON CAPITAL KY1L328394 KY1L328394 Investor Address: BUTTERFIELD HOUSE I
0C123 RICHARDNAPOR 4122348372 2018223708 12018223708@TLS.LDSPROD COM USD 056 11,213,796.98 11.213,796.98 0.00 11.213,796.98 CAPITAL MANAGEMENT LLC)
MANAGEMENT 68 FORT STREET GEORGE TOWN KY-227751 GSO LOAN TRUST 2011 (BLACKSTONE GLTUSD BLACKSTONE DEBT KY1L335878 kY1L335878 Investor Address BUTTERFIELD HOUSE 68 1 0C125 KHALID EL HEJJALI 7134836130 2016390857 12016390857@TLS.LDSPROD COM USD 1.88 37.632.697 99 37.632,697.99 0.00 37.632.697.98 DEBT ADVISORS (GSO CAPITAL ADVISORS FORT CAYMAN PARTNERS)))
GEORGE TOWN KY-228897 INNOVATION TRUST 2011 (EATON INNIKA Eaton Vance KY11335092 Investor Address: BUTTERFIELDHOUSE68 1 rC2223 AMANDALASKEY 4122348373 2017192475 12017192475@TLS.LDSPROD.COM USD 0.39 7.800.902.25 7,800,902.25 0.00 7.800.902.25 VANCE MGMT)
FORT STREET GEORGE TOWN KY-229312 VOYA CLO 2011 1 LTD (FKA ING IM CLO I1USD VOYA INVT MGT KY1L335225 KY1L335225 Investor Address: QUENNSGATE HOUSE 1
0C-123 GREGORY HANCOCK 7134836377 201 7
1 6 56 70 12017165670@TLS.LDSPROD COM USE 0.07 1.492.462 32 1.492,462.32 0.00 1.492,462.32 2011 1 LTD)
SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 331461 LCM IX LIMITED PARTNERSHIP LLPUSD LCM ASSET KYIL345521 KY1L345521 Investor Address: OUEENSGATE HOUSE 1
CC123 CLO 7142476051 2018127903 CLO.ADMINISTRATION@DB.COM USD 08.23 6.55,6,93 09 0,056,093.09 0.00 6.556.593.09 MANAGEMENT GRAND CAYMAN ADMINISTRATION KY-11102 232596 RACE POINT V CLO LIMITED RPCUSD SANKATY KYIL352212 Investor Address: WALKER HOUSE 87 1
rC123 JASON SMALLWOOD 4122341441 2018127917 12018127917@TLS LDSPROO.COM USD 0.10 1.917.583 38 1,917,083.38 0.00 1,917.583.3E ADVISORS. LLC MARY STREET GEORGE TOWN KY-234467 CARLYLE GLOBAL MARKET CARYLEE CARLYLE KY1L352378 Investor Address: WALKER HOUSE S7 1
0C2323 THOMAS CACCIOLA 617662B282 6173300362 CARLYLE-g9F0@STATESTREET.COM USD 0.20 5.029.004.82 5.029,004.82 0.00 5.029.004.82 STRATEGIES CLO 2011-1 INVESTMENT MARY STREET LTD(CARLYLE INVESTMENT GEORGE TOWN MANAGEMENT)
KY-KY19D02 236402 BABSON CLO LTD2011-1 (BABSON BAPPIPA BABSON CAPITAL KY1L354028 Investor Address CLIFTON HOUSE 1
0C2312 KEVIN CEDORCHUK 6179373520 6179370410 KEVIN.CEDORCHUK@IBTCOCOM USD 0.30 7,855.662 41 7.855,66241 0.00 7,850,662.41 CAPITAL MANAGEMENT LLC)
MANAGEMENT 75 FORT STREET GEORGE TOWN KY-KY11108 240371 GALAXY XI CLO LTD GALAKIS PINEBRIDGE KY1L027822 Investor Address: QUEENSGATE HOUSE 1
CUC123 JAMIE SPENCER 7134836180 2018127929 12018127929@TLS LDSPROOCOM USD 002 467,86899 467.868899 000 467,868.99 INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 242812 UOLUB CAPITAL PARTNERS CLO 10 GOLUSD GOLUB CAPITAL KY1L330499 Investor Address: 90 NORTH CHURCH 1
0C01 LESLIE HUNDLEY 7134836269 2017165679 12017165679@TLS.LDSPROD.COM USD 0.13 2,621.025 00 2.621.025 00 000 2,621.025.00 LIMITED (GOLUB CAPITAL)
STREET STRATHAVALE HOUSE GEORGE TOWN KY-KY11102 245382 FALCON SENIOR LOAN FUND LTD FSLUSD APOLLO GLOBAL KYIL400862 KY1L400862 Investor Address: UGLAND HOUSE 1
OC01 MICHAEL GUDAS 6176629729 61 73 30 0 3 10 MIZUHOLT-MZLt@STATESTREET COM USD 0.29 5.905,176 51 5,905,176 51 0.00 5.905.176.51 MANAGEMENT GEORGE TOWN KY-KY1-1104 245529 ALM VI LTD ALMUSD APOLLO GLOBAL KY1L399841
,*Y1L399841 Investor Address: WALKER HOUSE 87 1
O'Col VALERIE GUIMARES 6176036512 8667905326 COO ALM6W@CDO.USBANK.COM USD 037 7,421.183 88 7,421,183.88 0.00 7.421,183.80 MANAGEMENT MARY STREET GEORGE TOWN KY-KY19002 246170 AMMC CLO IX LIMITED (AMERICAN AMMIKI AMERICAN MONEY KY1L399767 Investor Address: 4 TH FLOOR BOUNDARY 1 0C223 VIRTUS GROUP LP 7139934300 8663979B4 7
NOTICES AMMCCLOIX@VIRTUSLLC.COM USD 0.25 4.945,187.77 4,945,187.77 000 4,945.107.77 MONEY MANAGEMENT CORP)
MANAGEMENT HALL CRICKET SQUARE GEORGE TOWN KY-246422 GSO JUPITER LOAN TRUST GSOJUSD BLACKSTONE DEBT KY1L404948 KYIL404940 Investor Address: 38 MARKET 1
OCOl KHALID EL HEJJALI 7134836130 3470922851 13475922851@TLS.LDSPROD COM USD 0.40 8.025,733 92 8,025,733 92 0.00 8.025.733.92 (BLACKSTONE DEBT ADVISORS(GSO ADVISORS STREETCANELLA COURT CAPITAL PARTNERS))
CAMANA BAY KY-252226 FRASER SULLIVAN CLO VI LTD FSCUSD 3i Debt Management KY1L409210 Investor Address: CLIFTON HOUSE 75 FORT 1 OC01 VIRTUS GROUP [P 7139934300 8666979809 NOTICES FRASERSULLIVANCLOVI@VIRTUSLLC.COM USD 0.16 3.141,183.09 3,141,183.09 0.00 3,141.183 09 (FRASER SULLIVAN INVESTMENT US LLC STREET MANAGEMENT)
GEORGE TOWN KY-KY11 108 263595 JAMESTOWN CLO I LTD FFSCUSD 31 Debt Management KY1L549577 KY1L549577 Investor Address: CLIFTON HOUSE 75 FORT 1 OC01 STEPHEN GLORIA 7139934300 8665 6 0 1070 NOTICES FSCVIICBNA@VIRTUSLLC.COM USD 0.03 655,252.80 655,252.80 0.00 050.252.80 US LLC ST GEORGE TOWN KY-KYl 1103 265457 LCM X LIMITED PARTNERSHIP (LCM LCMUSD LCM ASSET KY1L443706 Investor Address: QUEENSGATE HOUSE 1
OC01 CLO 7142476051 2145455378 CLO.ADMINISTRATION@DB.COM USD 0.11 2.294,513 401 2,294,513.40 000 2,294.513.40 ASSET)
MANAGEMENT GRAND CAYMAN ADMINISTRATION KY-KY 111 02 1
1 1
1 1
1 1
Page 11 of 25
NRG Energy, Inc. - SF-328 A INVESTOR I
OASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 265479 AMMC CLO X LIMITED AMMUSD AMERICAN MONEY KY1L441833 Investor Address BOUNDARY HALL 1
uC125 VlRTUS GROUP LP 7139934300 8774795865 NOTICES.AMMCCLOX@VIRTUSLLC COM USD 0.17 3.426.799.68 3.426.799.68 9.00 3,426.799.68 MANAGEMENT CRICKET SQUARE GRAND CAYMAN KY-KY11102 267844 VOYA CLO 2012 1 LTD (FKA ING IM CLO IMCUSD VOYA INVT MGT KY1L492863 KY1L452863 Investor Address: QUEENSGATE HOUSE 1
0C500 GREGORY HANCOCK 7134836377 2145455377 12145455377@TLS.LDSPROD.COM USD 0.07 1,492,462.31 1.492.462 31 000 1.492,462 31 2012 1 LTD)
SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 268307 BLUEMOUNTAIN CLO 2012 1 LTD BLUMOO BLUEMOUNTAIN KY1L460502 Investor Address: QUEENSGATE HOUSE 1
0C12 KORY BURLESON 7134836004 2145723370 12145723370@TLS.LDSPROD COM USD 0.20 3,920,100.71 3,920,100.75 0.09 3,920,100.7.
CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-268554 BABSON CLO LTD 20121 SSOUSD BABSON CAPITAL KY1L464892 KYIvL464892 Investor Address QUEENSGATE HOUSE 1
0C500 CAITLIN FARREN 6176629760 6179370268 CAITLIN.FARREN@STATESTREET.COM USD 0.10 1.980.900.00 1,990,000.00 0.00 1.980,000.00 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-268769 GALAXY XII CLO LTD GXCUSO
.'INEBRIDGE KY1 L448074 Investor Address: BOUNDARY HALL 1
0C123 JAMIE SPENCER 7124836189 2149455080
.2145455080@TLS.LDSPROD.COM USD 0.97 1,470.037.79 1,470,037 76 0 00 1.470,037.70 INVESTMENTS CRICKET SQUARE GEORGE TOWN KY-KKY 1102 269721 CARLYLE GLOBAL MARKET CGMUSD CARLYLE KY1L466889 Investor Address: WALKER HOUSE 1
0C123 WESLEY SULLIVAN 6176629304 6179889544 CARLYLE-91Fr@STATESTREET COM USD 014 2.774,640.85 2.774.640.85 0.00 2,774,640.80 STRATEGIES CLO 2012 1 LTD INVESTMENT 87 MARY STREET GEORGE TOWN KY-KY 19302 279492 AGF FLOATING RATE INCOME FUND AGFDCT Eaton Vance CA1L483162 Investor Address: 66 WELLINGTON STREET 1 OC500 RACHEL KIELY 0000000899 6173300226 EATONV-AGFA@STATESTREET.COM USD 0.02 490.012.60 490.012 60 000 490,012 60 WEST SUITE 3100 TORONTO CA-MSKIE9 279849 ECP CLO 20123 LTD ECDCT SILVERMINE KY1L484346 Investor Address: CLIFTON HOUSE 75 FORT 1 0C500 RAWZABA BOUDIAB 7134836228 2145562555 12145562555@TLS.LDSPROD.COM USD 0.22 4.410,113.35 4.410,113.35 0.00 4.410.113.35 CAPITAL STREET GEORGE TOWN. GRAND CAYMAN KY-KY 1-1108 281276 LCM X LIMITED PARTNERSHIP LLCMUSD LCM ASSET KY1L484338 Investor Address QUEENSGATE HOUSE 1
tICO0 CLO 7142476551 7145723806 12145723806@TLS.LDSPROD.COM USD 0.17 3,480,069.44 3,480,009.44 0.00 3,480.069.44 MANAGEMENT SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-281796 VENTURE X CLO LIMITED VXDCT MJX ASSET KY1L482928 KYTL482928 Investor Address: BOUNDARY HALL 1
00500 CHRISTINE XU 2127055340 2145723587 12145723587@TLS LDSPROD.COM USO 005 987,487.32 987,487.32 0.00 987,487.32 MANAGEMENT CRICKET SQUARE GEORGE TOWN KY-KYT 1102 283595 GOLUB CAPITAL PARTNERS CLO 11 MUNDHRIDCT GOLUB CAPITAL KY1L487083 Investor Address 9'ON CHURCH STREET 1
0C14 VIRTUS GROUP LP 7139934300 8662604289 UOLUBCAPITALCLO11@VIRTUSLLC.COM USD 0.17 3.494,205.00 3.494,205.00 0.00 3.494,205.00 LTD STRATHVALE HOUSE GRAND CAYMAN KY-KY 11102 283893 BABSON CLO LTD 2012 It BABOCT BABSON CAPITAL KY1L4932106 Investor Address: QUEENSGATE HOUSE 1
OC500 CAITLIN FARREN 6176629760 6174514760 SSCBABSON@STATESTREET.COM USD 0.17 1.9800.00.00 1.980.000.00 0.00 1.980,000.00 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-284184 CARLYLE GLOBAL MARKET CGMDCT CARLYLE KY1L493875 Investor Address: WALKER HOUSE,87 1
OC123 WESLEY SULLIVAN 6176629304 6179887971 UARLYLE-9IF2@STATESTREET.COM USD 0.09 1.804,465.17 1.804.465.17 0.00 1.804,465.17 STRATEGIES CLO 2012 2 LTD INVESTMENT MARY STREET GEORGE TOWN KY-KY19002 285112 APIDOS CLO IX ACOCT CVC CREDIT KY1L493909 Investor Address: QUEENSGATE HOUSE 1
OC500 JASON CALLEJA 7134836708 4693756935 14693756935@TLS.LDSPROD COM USD 015 2.938,812 87 2.938.812.87 8.00 2,938.812.87 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-285472 ECP CLO 2012 4 LTD ETDCT SILVERMINE KY1L494576 Investor Address. CLIFTON HOUSE 1
OC500 DAVID BALMERT 7134837752 4693756875 14693756875@TLS LDSPROO COM USD 0.14 2.723,490 00 2.723,490 00 800 2.723.490.00 CAPITAL 75 FORT STREET GEORGE TOWN KY-KY11108 287983 DRYDEN XXIII SENIOR LOAN FUND DDCT PRUDENTIAL KY1L482563 KY1L482563 Investor Address QUEENSGATE HOUSE 1
OC500 MICHAEL LUEHRING 3128278662 2144618486 12144618486@TLS.LDSPROD.COM USO 0.15 2.979,949 75 2.979,949 75 000 2,979,949.75 INSURANCE SOUTH CHURCH STREET GEORGE TOWN KY-294502 HALCYON LOAN ADVISORS FUNDING CYONDCT HALCYON KY1L506742 Investor Address" BOUNDARY HALL 1
Oc1 JENNIFER DO 7134836362 9729967804 19729967804@TLS.LDSPROD.COM USD 0.21 4,176.9B4.51 4,176,9S4 51 000 4,176,964 51 2012 1 LTD RESTRUCTURING CRICKET SQUARE GEORGE TOWN KY-KY1 1102 296608 PIMCO LOAN INTERESTS AND CREDIT PIMDCT PIMCO KY1L442609 Investor Address: 87 MARY STREET 1
OC12 BANK LOAN 9499323005 6173303783
-IMCO-G4762@STATESTREET.COM US) 0.04 767,250.00 767.25000 000 767.25000 MASTER FUND LTD GEORGE TOWN ACCOUNTING KY-KY19005 299930 AMMC CLO XI LIMITED AMMCDCT AMERICAN MONEY KY1L495813 KY1L495813 Investor Address: BOUNDARY HALL 1
OC1 DONNY NGUYEN 7139934300 8667129504 9OTICES.AMMCXI@VIRTUSLLC.COM USD 0.10 1,920,812.09 1.920.812.091 0.00 1,920.812.09 MANAGEMENT CRICKET SQUARE GRAND CAYMAN KY-KY1 1102 Page 12 of 25
NRG Energy. Inc. - SF-328 A Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING O 300030 LANCASHIRE INSURANCE COMPANY LICLDCT PINEBRIDGE BMILS64316 BM1L064316 Investor Address POWER HOUSE 6TH 1
0C02 AGENT BANK 0000000000 9726466595 19726466595@TLS LDSPROD COM USO 0.09 1.743,712.27 1.743.712.27 0.00 1,743,712.27 LTD INVESTMENTS FLOOR 7 PAR LA NOTICES VILLE ROAD HAMILTON BM-300421 VENTURE I CLO LIMITED VALIDCT MJX ASSET KY1tL524S58 KYIL524588 Investor Address: BOUNDARY HALL 1
0C12 VIRTUS GROUP LP 7139934300 8669037998 NOTICES VENTUREXICLO@VIRTUSLLC.COM USD 010 1.977.487 31 1.977.487.31 0.00 1.977.487.31 MANAGEMENT CRICKET SQUARE GEORGE TOWN KY-KY11102 300427 BLUEMOUNTAIN CLO 2012 2 LTD BLCLDCT BLUEMOUNTAIN KYtLS08151 KYILS08151 Investor Address: QUEENSGATE HOUSE 1
0C12 KORY BURLESON 7134836084 2145723370 19725840025@TLS.LDSPROD COM USD 0.20 3,944.962.03 3.944,962.03 0.00 3.944,962.03 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-KY 1102 301161 CARLYLE GLOBAL MARKET CUDUDCT CARLYLE KY1L526138 KY1L526138 Investor Address: WALKER HOUSE 1
0C12 WESLEY SULLIVAN 6176629304 6179374236 CARLYLE-91F3@STATESTREET.COM USD 025 4.998.780 47 4.998.780 47 9000 4.999.780.47 STRATEGIES CLO 2012 3 LTD INVESTMENT 87 MARY STREET GEORGE TOWN KY-KY19002 301717 LCM XII LIMITED PARTNERSHIP LCMDCT LCM ASSET KY1L520016 KY1L520016 Investor Address: QUEENSGATE HOUSE 1
0c1 CLO 7142476551 9725840047 CLO.ADMINISTRATION@DB COM USD 0.11 2.141,240.55 2.141.240.55 0.00 2,141.240.55 MANAGEMENT GRAND CAYMAN ADMINISTRATION KY-KY1 1102 301847 GALAXY XIV CLO LTD GACLDCT PINEBRIDGE KY1L530031 Investor Address: BOUNDARY HALL 1
0012 MANDY HO 7134836175 9725840046 1972S840046@TLS.LDSPROD.COM USD 0.01 213,322.62 213.322.62 000 213.32262 INVESTMENTS CRICKET SQUARE GEORGE TOWN KYIKYl 1102 302421 VOYA CLO 2012 3 LTD (FKA ING IM CLO INGCOCT VOYA INVT MGT KY1L538141 Investor Address: QUEENSGATE HOUSE 1
00500 JONATHAN 6176036715 8669419306 CO0 ING10@CDO.USBANK.COM USD 0.04 0.01 0.01 0.00 0.01 2012 3 LTD)
SOUTH CHURCH FLETCHER STREET GEORGE TOWN KY-KY11102 303643 OCTAGON INVESTMENT PARTNERS XIV OIPDCT OCTAGON CREDIT KY1L546136 Investor Address: QUEENSGATE HOUSE 1
OC12 STEVE JONAS 6176036537 373779163 CDO OCT14@CDO.USBANK.COM USD 000 001 001 0.00 001 LTD INVESTORS SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 304023 GOLUB CAPITAL PARTNERS CLO 14 GOLUBOCT Golub Capital KY1L546573 kY1L046573 Investor Address: 90 N CHURCH STREET 1
0C1 LESLIE HUNDLEY 7134836269 2145562519 12142564534@TLS LOSPROD.COM USD 0.22 4.367,385 00 4,367,385.00 0.09 4,367.385.00 LTD STRATHVALE HOUSE GRAND CAYMAN KY-KY1 1102 306917
,,LLIANCEBERNSTEIN INSTITUTIONAL ABURDCT ALLIANCEBERNSTE LU1L5224d8 LU1L52244B Investor Address: 2 4 RUE EUGENE 1
0C13 HENRY CABALERO 9725604420 2128233202 19726466523@TLS LDSPROD COM USD 0.17 3.391,435.77 3,391.435.77 000 3,391.435.77 INVESTMENTS AJA HIGH YIELD LOAN IN LP.
RUPPERT PORTFOLIO LUXEMBOURG LU-L 2453 307031 APIDOS OLO X APIDCT CVC CREDIT KY1L541228
[,Y1L541228 Investor Address QUEENSGATE HOUSE 1
0C1 SARAH PRUCHA 7134836196 2143020340 SARAH.PRUCHA@BNYMELLON COM USD 0.14 2.781,511.52 2.781.511.52 0.00 2.781,511.52 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 307295 RACE POINT VII CLO LIMITED RPLDCT SANKATY KYlL847464 KY1L847464 Investor Address. WALKER HOUSE 87 1
0C12 RACE POINT VII CLO 00000000000 8669419228 RACE.POINT.VII@US9ANKCOM USD 020 3,939,949.37 3.939.949.37 0.00 3.939,949.37 ADVISORS, LLC MARY STREET GEORGE TOWN KY-KY19002 307900 HALCYON LOAN ADVISORS FUNDING HALYDCT HALCYON KY1L546664 KY1L946664 Investor Address BOUNDARY HALL 1
0C1 AZENETH OLVERA 7134836362 2142962777 12142962777@TLS LDSPROD.COM USS 0 1 2,914,962.03 2,914,962.03 0.00 2.954,962.03 2012 2 LTD RESTRUCTURING CRICKET SQUARE BRAVO GEORGE TOWN KY-KY11102 308717 SHACKLETON II CLO LTD HACDCT Alcentra NY, LLC KY11547522 KY1L347522 Investor Address BOUNDARY HALL 1
OCt 9HACKLETON II CLO 0008000000 8664449720 12146461417@TLSLDSPROD.COM USO 010 1.964,923.86 1.964.923.B6 0.00 1.964.923.06 CRICKET SQUARE LTD GEORGE TOWN KY-KY 11102 312605 GALAXY XV CLO LTD GALADCT PINEBRIDGE KY1L551771 RY1L551771 Investor Address BOUNDARY HALL 1
0C12 JAMIE SPENCER 7134836180 6026804116 16026904116@TLS.LDSPROD.COM USD 0.02 326,165.23 326,165.23 006 326.165323 INVESTMENTS CRICKET SQUARE GEORGE TOWN KY-312914 VENTURE XII CLO LIMITED VENIDOCT MJX ASSET KY1LS551516 KYIL551516 Investor Address QUEENSGATE HOUSE 1
0C1 ANDY RUIZ 7139934300 8666982816 NOTICES.VENTUREXIICLO@VIRTUSLLC.COM USO 0.10 1.974,974.62 1.974,974.62 500 1.974.9748E MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-KY 1102 314820 AMMC CLO XlI LIMITED AMMDCT AMERICAN MONEY KY1L551904 KY1L551904 Investor Address. BOUNDARY HALL 1
001 COLIN GALUSKI 6176036761 8665888509 CDO.AMMC12@CDO.USBANK.COM USD 0.10 1.972.468 30 1.972.468.30 0.00 1.972,468.30 MANAGEMENT CRICKET SQUARE GRAND CAYMAN KY-KY1 1102 316620 PIMCO FUNDS GLOBAL INVESTORS FUNDS PIMCO E1L550029 lE1L550829 Investor Address STYNE HOUSE 3RD 1
0C01 BANK LOAN 9499323005 6173105699 PIMCO-03678@STATESTREET.COM USO 0.69 13.860.000 00 13.860,000 00 0.00 13.860.000.00 SERIES PLC INCOME FUND FLOOR UPPER HATCH ACCOUNTING STREET DUBLIN I E-2 318248 OFIP CLO 2013 1 LTD CPIP CHICAGO KY1L555996 RY1L555996 Investor Address: INTERTRUST SPV 1
001 STEPHANIE SMITH 4108942344 7947152215 STEPHANIE.SMiTH@WELLSFANGO.COM USD 0.20 3.9S7,436.00 3,957,436.BO 000 3,957,436 80 FUNDAMENTAL CAYMAN LIMITED 190 ELGIN AVE GEORGE TOWN KY-KY19005 Page 13 of 25
NRG Energy. Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL I
Investor Name MNEMONIC Fund Manas MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE 0 ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 318608 LCM XIII LIMITED PARTNERSHIP LOKUU LCM ASSET KY1L556085 KY.1L556085 Investor Address: QUEENSGATE HOUSE 1
OC12 CLO 7142476551 6026804256 CLO.ADMINISTRATION@DB COM USO 0.21 4.293.599.51 4.293.599.51 0.00 4.
2 9 3
,599.51 MANAGEMENT GRAND CAYMAN ADMINISTRATION KY-KY11102 318926 BLUEMOUNTAIN CLO 2013-1 LTD (FKA BLUEM JLUEMOUNTAIN KY1L558636 KY1L558636 Investor Address QUEENSGATE HOUSE 1
O01 KORY BURLESON 7134836084 9726967593 19726967593@TLS.LDSPROD.COM USD 020 3.960.00D.00 3,960.000.00 000 3.960.000.00 BM CLO 2013-1 LOAN FUNDING LLC)
CAPITAL SOUTH CHURCH STREET GRAND CAYMAN KY-KY11102 319514 ARCHES FUNDING ULC ARF PIMCO CAL.555894 CA1L555894 Investor Address: 1055 WEST GEORGIA 1
OC01 AURELIA BOSTAN 4169336345 6026804271 16026104271 @TLS.LDSPROD COM USD 0.35 6.994,424.62 6.994,424.62 0.00 6.994.424.62 STREET VANCOUVER CA-V6E4N7 319519 RACE POINT VIII CLO LIMITED RPLO SANKATY KY1L564055 KY1LS564055 Investor Address 190 ELGIN AVENUE 1
OC12 DAVID GALLIE 4122348306 4698287765 14698287765@TLS.LDSPROD.COM USD 030 5.924.923.86 5.924,923.86 000 5.924,923.86 ADVISORS. LLC GEORGE TOWN KY-KY19005 319703 A SERIES TRUST OF MULTI MANAGER STMU PIMCO KY1L553074 KY1L553074 Investor Address. BUTTERFIELD HOUSE 68 1
OC01 BANK LOAN 9499323005 6173105722 PIMCO-09309@STATESTREET.COM USD 0.27 5.347.221.85 5.347.221.85 0.00 5.347.221.85 GLOBAL INVESTMENT TRUST PIMCO FORT STREET ACCOUNTING CAYMAN SANK LOAN LIBOR PLUS GEORGE TOWN FUND JPY HEDGE KY-KY11106 319868 MOUNTAIN HAWK I CLO LTD MOHA WESTERN ASSET KY1L558172 KY11558172 Investor Address: QUEENSGATE HOUSE 1
OC12 AGENT NOTICES 00000000000 8556093618 MOUNTAIN.HAWK CLO@USBANK COM USD 012 2,369,969.54 2,369,969.54 000 2.369.969.54 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 321285 ARROWPOINTCLO20131 LTD (FKAAP ACLOO ARROWPOINT KY1L561630 KY1L561630 Investor Address 190 ELGIN AVENUE 1
OC13 CHRISTOPHER v0000000 7047153464 USD 0.10 1.982.5D6.23 1,982,506.23
. 0.00 1,982,506223 CLO 2013 1 LTD)
GEORGE TOWN CHLUMSKY KY-Y19005 321323 JAMESTOWN CLO II LTD JTNN 3i Debt Management KYOMOOOCG2 KYOMO0OCG2 snvestor Address, CLIFTON HOUSE 75 FORT 1 OC12 VIRTUS GROUP LP 7139934300 8669031306 NOTICES.JAMESTOWNCLOII@VIRTUSLLC.COM USD 0.14 2,776,021.72 2,776,021.72 0.00 2,776,021.72 US LLC STREET GEORGE TOWN KY-KY11109 330659 BLUEMOUNTAIN CLO 2013 2 LTD BMCO 9LUEMOUNTAIN KYOMOOOCMO KYOMOOOCMO Investor Address: QUEENSGATE HOUSE 1
OC12 SARAH PRUCHA 7134836106 4698287773 14698287773@TLS.LDSPROD COM USO 0.10 1.980.090.00 1.980.000.00 0.00 1.980.000.00 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 330961 PALMER SQUARE CLO 2013 1 LTD PSCD FOUNTAIN CAPITAL KYOMOOODP1 KYOMOOODP1 investor Address: QUEENSGATE HOUSE 1
OC12 VIRTUS GROUP LP 7139934300 5664698972 NOTICES.PALMERSQUARE@VIRTUSLLC.COM USD 0.10 1.970.050.25 1,970.050.25 0.00 1.970,050.25 SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 330962 BABSON CLO LTD 2013 I SABC BABSON CAPITAL KYOM000DD7 KYOMOOODD7 Investor Address: QUEENSGATE HOUSE 1
OC01 CAITLIN FARREN 6176629 7
60 6
3173105740 BA.ASON-5740@STATESTREET.COM USD 0.20 3,680.080 00 3,960.000.00 0.00 3.960,000.00 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 332272 NEUBERGER BERMAN CLO XIV LTD NBCOO NEUBERGER BER KYOM000DZO KYOM000DZ0 Investor Address: QUEENSGATE HOUSE 1
OC12 AMIEE COOPER 3123327021 8552256607 NEUBERGER.BERMAN.CLO14.NOTICES@USBANKCOM USD 0.12 2.468,796.99 2.468.796.99 000 2.468.796.99 FXED INCOM SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 332720 APIDOS CLO XlI APIDOS CVC CREDIT KYOMOOOFH3 KYOMOOOFH3 Investor Address: QUEENSGATE HOUSE 1
O01 SARAH PRUCHA 7134836106 4698287799 146982877999TLS.LDSPROD.COM USD 0 09 1.750.100.55 1.750.100.55 000 1.750,100.55 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 333082 HALCYON LOAN ADVISORS FUNDING HLAAA HALCYON KYOMOO0CP3 KYOMOOOCP3 Investor Address: BOUNDARY HALL 1
OC12 CHEVELLEGANDSEY 3123327034 8552107626 HALCYON.LOAN.ADVISORS.2013.1@USBANK.COM USD 0.15 2,918.025.00 2,918,025.00 9.00 2.918,025.00 2013 1 LTD RESTRUCTURING CRICKET SQUARE GEORGE TOWN KY-KY11102 334111 VOYA CLO 2013 1 LTD (FKA ING IM CLO INGIM VOYA INVT MGT KYOMOODH0 KYOM000OH8 Investor Address: QUEENSGATE HOUSE 1
Oc1 LOAN SERVICING 6176624456 6173105761 ING IM CLO 2013-1LTD@STATESTREET COM USD 010 1.977.518 80 1,977,518.80 000 1.977,518.80 20131 LTD)
SOUTH CHURCH UNIT STREET GEORGE TOWN KY-KY11102 334580 GALAXY XVI CLO LTD GALA PINEBRIDGE KYOM800FV4 KYOMOOOFV4 Investor Address: QUEENSGATE HOUSE 1
Oc1 JACK HUNG 7134837020 4698287866 14698287866§TLS LDSPROD.COM USD 0.02 498,740.55 498,740.55 0.00 498,740.55 INVESTMENTS SOUTHCHURCH STREET GEORGE TOWN KY-KY 1102 335034 VOYA CLO 2013 2 LTD (FKA ING DM CLO INGIMCLO VOYA INVT MGT KYOM000GZ3 Investor Address: QUEENSGATE HOUSE 1
Oc1 GJERGJI ANGJELIU 6176036462 8552356233 ING.IM.CLO.2013.2@USBANK.COM USD 005 987,518.80 987.518.80 000 987.51880 2013 2 LTD)
SOUTHCHURCH STREET GEORGE TOWN KY-KY11102 335462 WESTERN ASSET BANK LOAN MULTI WABL WESTERN ASSET KYOMO00H68 KYOMOOOH68 Investor Address: CAMANA BAY 72 MARKET 1 OC335462 SYNDICATED LOAN 9
72 401859 3
4698287810 BNYCDCOGR@BANKOFNY.COM USD 002 493,74365 493,743.65 0.00 493.743.65 CURRENCY MASTER FUND MANAGEMENT STREET SERVICING CASSIA COURT KY-KY 11206 338934 OCEAN TRAILS CLO IV OOCTUSD WEST GATE KYOM000J58 KYOM000J58 Investor Address OUEENSGATE HOUSE 1
OC01 ANDREA 2136213758 8552693579 ADENISEVICH@WESTGATEHORIZONS COM USD 0.20 3.964.962.41 3.964.962.41 0.00 39564.962.41 HORIZONS SOUTH CHURCH STREE DENISEVICH GEORGE TOWN KY-11102 340413 GOLUB CAPITAL PARTNERS CLO 17 UOLUPA Virtus Partners LLC USL1565145 JS1L65145 Investor Address CLIFTON HOUSE 1
OC001 STEPHEN GLORIA 7139934300 9774227451 NOTICES.GOLUBCAPITALCLO17@VIRTUSLLC COM USD 0.22 4.367.385 00 4.367.385.00 0.00 4.367,385.00 LTD (FKA GCPH 17 LOAN FUNDING 75 FORT STREET LLC)
GEORGE TOWN KY-KY11108 344667 APIDOS CLO XIV APCXIV OVC CREDIT KYOM050FJ9 KYOM000FJ9 Investor Address QUEENSGATE HOUSE OC001 JASON CALLEJA 7134836708 4698287797 14698287797@TLS.LDSPROD.COM USD 0.09 1.750.100 55 1,750.100 55 0.00 1.750,100.55 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 Page 14 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 352498 VENTURE XIV CLO LMITED VENTXIV MJX ASSET KYOMSSSKV4 KYOMO0KV4 Investor Address: QUEENSGATE HOUSE 1
OC001 ANDY RUIZ 7139934300 8009149780 NOTICES VENTUREXIV@VIRTUSLLC.COM USD 005 990,000.00 990,000.00 0.00 990.000.00 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 353534 URYDEN 0(1VIII SENIOR LOAN FUND DRYXX PRUDENTIAL KYOMOOKJ9 KYOMOOKJ9 Investor Address QUEENSGATE HOUSE 1
OCi BRIAN SCHOTT 0000000000 8556445336 DRYDEND)O(VII@USBANK.COM US) 0.02 4950000.00 495,000.00 0.00 495.000.00 INSURANCE SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 354793 BLUE MOUNTAIN CLO 2013 3 LTD BLUECLD BLUEMOUNTAIN KYOM000L70 KYOMMOOL70 Investor Address: QUEENSGATE HOUSE 1
00001 JOY CARLSON 6176036428 8556658361 BLUE MOUNTAIN.2013@USBANK.COM USD 010 1.980.000.00 1.980.000.00 0.00 1.980.000.00 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 355061 AVERY POINT II CLO LIMITED AVPII SANKATY KYOM000MJ5 KYOMO00MJS Investor Address: 190 ELGIN AVENUE 1
0C0001 RENEE MERTZ 4122348268 4696190236 14696198236@TLS LOSPROD.COM USOD 0.25 4.950.000.00 4.950.000.00 0.00 4.950.000.00 ADVISORS. LLC GEORGE TOWN KY-KY 19005 355526 CFIP CLO 2014 1 LIMITED ( FKA CFIP CCFIP CHICAGO KYOM000MT4 KYOM000MT4 Investor Address INTERTRUST SPV 1
0C1 MARITZA SAINT VIL 4108842173 7047151579 MARITZASAINTVIL@WELLSFARGO.COM USD 0.12 2.470.740.55 2.47B.740.55 0.00 2.478,740.55 CLO 2013 2 LIMITED)
FUNDAMENTAL CAYMAN LIMITED 190 ELGIN AVENUE GEORGE TOWN KY-KY19005 356118 SNP PARIBAS SENIOR CORPORATE dNPEU BNP PARIBAS EUR FROM0003B7 FROM0003B7 Investor Address: I BOULEVARD 1
0C003 BNP PARIBAS 0000000000 442070637061 BNPP.CDO.LOAN.OPS@BNPPARIBAS-IP.COM USD 0.10 1980.000.00 1,980.000 00 0.00 1.980,000 00 LOANS EUROPE US HAUSSMANN INVESTMENT PARIS PARTNERS FR-75009 356123 BNP PARIBAS GLOBAL SENIOR BNPGSC BNP PARIBAS EUR FR1L555339 IR1L555339 Invester Address: 1 BOULEVARD 1
00003 BNP PARISAS 0000000000 442070637061 BNPP.CDO.LOAN.OPS@BNPPARIBAS-IP.COM USD 0.59 11,880,000.00 11,880.000.00 0.00 11,8800000.00 CORPORATE LOANS HAUSSMANN INVESTMENT PARIS PARTNERS FR-75009 356953 PAVILION REAL ASSETS POOL PAV Pavilion Advisory CAOM0006P2 uAOM0006P2 Investor Address: 3001001 CORYDON 1
UCi LUKE NEWCOMB 3125645070 3124772807 PAVILION@CORTLANDGLOBAL COM USD 0.00 992,401.20 992,401.20 0.00 992,401.20 Group AVENUE WINNIPEG CA-R3M0B6 357415 GOLDMAN SACHS LUX INVESTMENT GHYF GOLDMAN SACHS LUOM0006P7 LUOMOO06P7 Investor Address: 49 AVENUE JF KENNEDY 1 0C001 GSAM PORTFOLIO 2129028222 4694402983 14694402983@TLS.LDSPROD COM USD 0.32 6.405,524.89 6.405,524.89 0.00 6.405,524.80 FUNDS (FKA) GOLDMAN SACHS FUNDS ASSET LU-1855 CONTROL AND SICAV SIF
_ANALYSIS 357601 GAVINCI REINSURANCE LTD DVRL EATON VANCE BMOM9002Q6 BMOM0002Q6 Investor Address: RENAISSANCE HOUSE 12 1 0C1 KYLE MILLER 3000000000 128180987426 12818987426@TLS.LDSPROD COM USD 0.05 992,481.20 992,481.20 0.00 992,481.2v CROW LANE PEMBROKE BM-19 357737 UALLATIN CLO V 2013 1 LIMITED GALLV MP SENIOR CREDIT KYOMOOONR6 KYOMOOONR6 Investor Address: QUEENSGATE HOUSE 1
OC001 ANTHONY STARK 2126019166 4693318004 14693318004@TLS.LDSPROD COM USD 0.07 1.485.000.00 1.405,000.00 0.00 1.485,000.00 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 358006 NEUBERGER BERMAN CLO XV LTD NBCLO NEUBERGER BER KYOMOOON37 KYOMOOON37 Investor Address: 190 ELGIN AVENUE 1
OC1 AMIEE COOPER 3123327021 8
77 2 5 845 74 NEUBERGER BERMAN CLO15.NOTICES@USBANK.COM USOD 005 994.974 87 994.974 87 0.00 994.97487 FXED INCOM GEORGE TOWN KY-KY 19005 358037 ALLIANCEBERNSTEIN INSTITUTIONAL ABII ALLIANCEBERNSTE LU1L326006 LU1L326006 Investor Address: 2-4 RUE EUGENE 1
Oc1 HENRY CABALERO 9725604420 14690287884 14698287864@TLS.LDSPROD.COM USD 0 50 9.934,811 64 9.934.811 84 000 9,934.811 84 INVESTMENTS AXA HIGH YIELD LOAN II IN LP.
RUPPERT PORTFOLIO LU-L2453 35B066 LCM XIV LIMITED PARTNERSHIP LCMLP LCM ASSET KYOMOOOL96 KYOMOOOL96 Investor Address: QUEENSGATE HOUSE 1
OC1 DEBBIE 2123597418 0vO0O 00 0 0 LCMFAX@LCMAM.COM USO 0.10 3.668,236 78 3.668,236.78 0.00 3.668,236 70 MANAGEMENT KY-KY 11102 SANFIORENZO 350470 SOUND POINT CLO III LTD SOUNDIlI SOUND POINT KYOMOOLC2 IYOMOOOLC2 Investor Address: QUEENSGATE HOUSE 1
UC001 SUTEE 7134836372 4694402982 14694402982@TLS.LDSPROD.COM USD 0.10 1.90.000.00 1.980,000.00 0.00 1.980,000.00 CAPITAL SOUTH CHOBUATHONG CHURCH STREET GEORGE TOWN KYKY 11102 358842 BABSON CAPITAL BANK LOAN FUND A BABS BABSON CAPITAL KYOMOO0N11 KYOMO9ON11 Investor Address: BUTTERFIELD HOUSE 68 1 OC001 CAITLIN FARREN 6176629760 6179460133 3ABSON-0133@STATESTREET.COM USO 020 3.969,924 82 3.969,924.82 000 3.969,924 82 SERIES TRUST OF MULTI MANAGER MANAGEMENT FORT STREET GLOBAL INVESTMENT TRUST GEORGE TOWN KY-KY 11106 359116 UHA LOAN FUNDING 2013 2 LTD OFUN OAK HILL CREDIT KYOMOO0Q18 KYOMOOO18 Investor Address: QUEENSGATE HOUSE 1
00002 OHALF2013 2 0000000000 2810987431 12818987431@TLS.LDSPROD.COM USD 0.07 1.488.721.80 1.408,721.80 0.00 1.488,721.80 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-KY 11102 359716 WESTERN ASSET BANK LOAN WASST WESTERN ASSET KYOMOOPV3 KYOMOPV3 Investor Address: CAMANA BAY 72 MARKET 1 S0001 YNDICATED LOAN 9724018593 4695183777 14695183777@TLS.LDSPROD.COM USO 0.21 4.175.278 64 4.175.278.64 0.00 4.175.27864 (OFFSHORE) FUND MANAGEMENT STREET CASSIA SERVICING COURT SUITE 2204 2ND FLOOR KY-359720 BABSON CAPITAL SENIOR LOAN TRUST BOSE BABSON CAPITAL KYOM00LJ7 KYSM000LJ7 Investor Address: UGLAND HOUSE 1
OC001 CAITLIN FARREN 6176629760 0179460133 3ABSON-0133@STATESTREET.COM USO 005 996.22799 996.22799 0.00 996.22799 MANAGEMENT GEORGE TOWN KY-KY11104 360337 RIZAL COMMERCIAL BANKING RIZ CVC CREDIT PH1L543954 PH1L543954 Investor Address: YUCHENGCO TOWER 1
00001 SARAH PRUCHA 7134836106 2143065772 12143065772@TLS.LDSPROD.COM USO 025 4.969.8807 0 4.86 03 0.00 4.969,887 03 CORPORATION PARTNERS RCBC PLAZA 0819 AYALA AVENUE MAKATI CITY PH-Page 15 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Invest,, Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE I ENTITY FAX #
ENTITY EMAIL CCY RAT1 COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 362775 BLUEMOUNTAIN CLO 20134 LTD BMC BLUEMOUNTAIN IYOMOOORD7 KYOMOOORD7 Investor Address: QUEENSGATE HOUSE 1
OC001 AGENT NOTICES 0O0000000 8663500126 BLUEMOUNTAIN.2013.4@USBANK.COM USD 0 20 3.990,930.06 3,990.930.06 0.00 3.990,930.06 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 364258 ARROWPOINT CLO 20142 LTD IFKA)
ARROP ATRROWPOINT KYOMO01VZO KYOM01VZO Investor Address: 190 ELGIN AVENUE 1
OCi AGENTBANK O000000000 7047155568 USD 0.20 3,984,911.96 3.984,911.96 0.00 3,984,911.96 ARROWPOINT CLO 2013 2 LTD GEORGE TOWN NOTICES KY-(Y190M5 364853 MUZINICH SHORTDURATIONHIGH MUSDU Muzinch and IEOM0006J5 IEOM0006J5 Investor Address: 33 SIR JOHN 1
OC001 BANK LOAN 000000000 6179565697 19725840885@TLS.LDSPROD COM USD 2.53 50.621,168.48 50.621.168.48 0.00 50.621,168.4L YIELD FUND Company ROGERSONSS QUAY ACTIVITY DUBLIN IE-365079 DRYDEN 30 SENIOR LOAN FUND DRYD IRUDENTIAL KYOM000S73 KYOMO00S73 Investor Address: QUEENSGATE HOUSE 1
CO001 BRIAN SCHOTT 0000000000 8669404786 DRYDEN.30@USBANKCOM UST) 0.17 3.486.183.96 3.486,183.96 0.00 3.486.183.96 INSURANCE SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 365591 APIDOS CLO XV APICLO LVC CREDIT KYOMO0OSKO KYOMOOOSKO Investor Address QUEENSGATE HOUSE 1
OC1 MIGUEL MIKE SMITH 7134836116 9727551306 19727551306@TLS LWSPROD.COM USO 0.10 1.989.949.75 1.989.949 75 0.00 1,989,949.75 PARTNERS SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 365807 MULTI SECTOR VALUE BOND FUND MULT PIONEER KYOM0O0R17 KYOMODOR17 Investor Address. CIBC FINANCIAL CENTRE 1 OCi PHILIP COLBURN 6174224565 4693318041 USD 0.00 74.43609 74,43609 0.00 74,4)6.08 INVESTMENT 11 DR ROYS DRIVE GRAND CAYMAN KY-366029 KINGSLAND VI KINGS KINGSLAND KYOMOOOTK8 KYOMOSSTK8 Investor Address QUEENSGATE HOUSE 1
0C1 LETICIA LICONA 7134837070 4693318038 14693318038@TLS.LDSPROD.COM USD 018 3,536.942.09 3.536.94209 0.00 3.536,942.09 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 366220 B'PIMCO BERMUDA TRUST II PIMCO PBBL PIMCO BMOM000302 BMOM000302 Investor Address: 2 CHURCH STREET 1
0c1 BANK LOAN 9499323005 6173105864 PIMCO-09601@STATESTREET.COM USD 025 4.907.972 97 4.907,972.97 000 4.907.972.97 BERMUDA BANK LOAN FUND M HlAMILTON ACCOUNTING BM-HM11 368174 AVERY POINT iII CLO LIMITED AVEP SANKATY KYOM00OSS3 KYOMOOSS33 Investor Address: 190 ELGIN AVENUE 1
OC001 FERNANDO TAPIA 4122340307 2142962412 12142962412@TLS.LDSPROD.COM USo 0.15 2.984.924 62 2,984,924.62 060 2.984.924.62 ADVISORS, LLC GEDRGE TOWN KY-KYl 9009 368904 FIDELITY FLOATING RATE HIGH FFRH FIDELITY CAOMSOODG6 CAOMOOODQ6 Investor Address: 483 BAY STREET SUITE 1
OC FIDELITY 8174746736 6173852818 BANKDEBT-CUSTODY@FMR.COM USD 0.00 997.481 11 997,481.11 000 997.481.11 INCOME FUND INVESTMENTS 300 INVESTMENTS TORONTO CA-M5G2N7 369960
£GG MASON WESTERN ASSET LEMA WESTERN ASSET IEOM000783
.EOM000783 Investor Address: RIVERSIDE TWO SIR 1
UCOO2 SYNDICATED LOAN 9724018593 9727551309 BNYCDOGR@BANKOFNY.COM USD 0.05 994.97487 9948974.87 0.00 994.974.87 SENIOR LOANS FUND MANAGEMENT JOHN ROERSONS SERVICING QUAY GRAND CANAL DOCK DUBLIN2 IE-369066 APIDOS CLO XVI ACXVI CVC CREDIT KYOMOOVM0 KYOM000VM0 Investor Address QUEENSGATE HOUSE 1
001 KORY LAYNE I134836084 2144313649 12144313649@TLS.LDSPROD COM USD 0.10 1.994,962.22 1.994.962.22 0.00 1.994.962 22 PARTNERS SOUTH BURLESON CHURCH STREET GEORGE TOWN KY-KY1 1102 371233 VENTURE XV CLO LIMITED VXV MJX ASSET KYOMOOXKO KYOMOO0XKO Investor Address: QUEENSGATE HOUSE 1
CC001 DELIA GAMBOA 2127055322 2127055390 CREDIT@MJKAM.COM USO 0.07 1.305.864.03 1.305,864.03 0.00 1.305.864 03 MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-KYI102 372734 PINEBRIDGE SARL PINB PINEBRIDGE LUOM0008Z2 LUOMOOO8Z2 Investor Address 47 AVENUE JF KENNEDY 1 OC002 THOMAS CACCIOLA 6176629282 6179566645 PINEBRIDGE-PBS1@STATESTREET COM USD 006 1,238.709.22 1,238.709.22 0.00 1.238,709.22 INVESTMENTS LU-LI855 373985 JAMESTOWN CLO III LTD JAME 3i Debt Management KYOM00XL8 KYOM005XL8 Investor Address: CLIFTON HOUSE 75 FORT 1 OC001 VIRTUS GROUP LP 7139934300 8084960628 NOTICES.JAMESTOWNCLOIII@VIRTUSLLC.COM USD 0.15 2.970,000.00 2.970,000 00 0.00 2.970.000.00 US LLC STREET GEORGE TOWN KY-KY11108 373989 GALAXY XVII CLO LTD GALX PINEBRIDGE KYOMOOOZC2 iKYOM000ZC2 Investor Address: QUEENSGATE HOUSE 1
C001 AGENT NOTICES 0000000080 4693318177 14693318177@TLS LDSPROD.COM USE 0.02 498.74005 498.740.55 000 498.74055 INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 376010 IA CLARINGTON FLOATING RATE IAC IA CLARINGTON INV CAOM00OFL2 CAOMOOOFL2 Investor Address: 1080 GRANDE ALLEE 1
OC1 PEGGY EGAN
.163040227 4163048233 PEGGY EGAN@IACLARINGTON.COM USE 0.11 2,285.786 25 2,285.766.25 0.00 2.285.786 2U INCOME FUND NC WEST QUEBEC CITY CA-GIKTM3 377815 NORTHWOODS CAPITAL XI LIMITED NRC ANGELD, GORDON YOMOOOZ25 KYOMOOOZ2N Investor AddreSS GUEENSGATE HOUSE 1
001 KAREN K LAM 1134836207 r695183056 46951896@TLS.LDSPROD.COM USD 0.55 10,983,016.23 10.983.516.32 0.00 10,883,516 23 AND CO SOUTH CHURCH STREET GEORGE TOWN KY-KY111032 378270 LCM XV LIMITED PARTNERSHIP LCMX LCM ASSET KIYOMOOISR1 K<YOMO015R1 Investor AddressOQUEENSGATE HOUSE 1
001 CLO 7142476551 2144314284 CLO.ADMINISTRATION@DB.COM USO) 0 10 1.997,481.11 1.997.481.11 0.08 1,007,481.11 MANAGEMENT SOUTH CHURCH ADMINISTRATION STREET GEORGE TOWN KY-KY 11102 Page 16 fo25
NRG Energy. Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Marlr MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAX B ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 380804 DRYDEN 31 SENIOR LOAN FUND OBTC PRUDENTIAL KYOM001CH8 KYOM001CH8 Investor Address: QUEENSGATE HOUSE 1
Oct CLO 00000O000 4695136102 14695136102@TLS.LDSPROD.COM USD 0.20 3,989,924.43 3.989,924.43 000 3.989.924 43 INSURANCE SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN TEAM KY-KY1 1102 381028 BLUEMOUNTAIN CLO 2014 1 LTD BLUEMO BLUEMOUNTAIN KYOM001884 KYOM001884 Investor Address: QUEENSGATE HOUSE 1
DCI AGENT NOTICES 000000000 4699043960 14698043960@TLS.LDSPROD.COM USE )
15 3.000,000.00 3.000.000.00 000 3.000,000 00 CAPITAL SOUTH CHURCH STREET GEORGE TOWN KY-KY1 1102 381837 DAKTREE CLO 2014 1 LTD OAKT OAKTREE CAPITAL KYOM001CJ4 IYOM001CJ4 Investor Address: 190 ELGIN AVENUE 1
OCt AGENT NOTICES 0000000000 9724379394 19724378394@TLS LDSPROD.COM USD 0.25 4,987,405.54 4.987,405 54 0.00 4,987,405.54 GEORGE TOWN KY-19005 382578 COA SUMMIT CLO LTD COASM 3i Debt Management KYOM001P42 KY9MOO1P42 Investor Address: QUEENSGATE HOUSE 1
OCOl COA SUMMIT CLO O000000000 8669400605 COA.SUMMIT@USBANK.COM USD 020 3.989,924.43 3.989.924.43 0.00 3.989.924.43 US LLC SOUTH CHURCH STREET GEORGE TOWN KY-K*Y11102 383956 PRINCIPAL GLOBAL OPPORTUNITIES PGO Principal Financial IEOMOtLN5 IEOMOOOLN5 Investor Address: 25 - 28 NORTH WALL 1
OCOl DIERICKX JODY 5152475245 8665088946 OIERICKX JODY@PRINCIPAL.COM USD 0.00 79,798.49 79,798.49 0.00 79.798.49 SERIES PLC GLOBAL FLOATING RATE Group QUAY HIGH INCOME FUND DUBLIN 2 IE-387389 AVERY POINT IV CLO LIMITED AVE SANKATY KYOM001MT2 KYOM001MT2 Investor Address: QUEENSGATE HOUSE 1
OCOC AGENT NOTICES 0000000000 8552462388 AVERY.POINT.IV@USBANK.COM USO 0.26 5.236,775 82 5,236,775.82 0.00 5.236,775.82 ADVISORS, LLC GRAND CAYMAN KY-KY1 1102 387753 URYDEN 33 SENIOR LOAN FUND DRY PRUDENTIAL KYOM0024N2 NYOM0024N2 Investor Address: QUEENSGATE HOUSE 1
OC01 CLO 0000050000 4698049509 uLO.ADMINISTRATION@DB COM USD 0 22 4,453,771.86 4.453,771.86 0.0S 4.453,771.86 INSURANCE SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN TEAM KY-KY'11102 388938 HALCYON LOAN ADVISORS FUNDING HALOF HALCYON LOAN KYOMO024L6 KYOM0024L6 Investor Address: QUEENSGATE HOUSE 1
OCO01 HALCYON LOAN 0000000000 8552252902 HALCYON.LOAN.ADVISORS.2014.2@USBANKCOM USD 0.15 2,918,025.00 2.918.025 00 090 2.918,025.00 2014 2 LTD ADV FUND SOUTH CHURCH STREET ADVISORS FUNDING GEORGE TOWN KY-KY11102 390228 SARANAC CLO III LIMITED SARANK CANARAS CAPITAL JEOM000385 JEOM000385 Investor Address: 37 ESPLANADE 1
OCOl AGENT NOTICES 0000000000 8663110511 SARANAC.CLO III@USBANK COM USD 0.07 1,423.062.69 1,423,062 69 0.00 1,423,062.69 ST HELIER JE-JE12TR 0582998 ELHURST CLO LTD (FKA AVALON ABCLT INVESCO SENIOR KYnL037664 KY1L037664 Investor Address' P.O. BOX 1093GT 1
OCol MYRTA CALVILLO 7134836224 2815827953 MYRTA.CALVILLO@BNYMELLON.COM USD 0.11 2.154,574.22 2,154.74.22 0.00 2.154.574.22 CAPITAL LTDXINVESCO SENIOR SECURED GEORGETOWN SECURED MGMT INC)
KY-058343 EATON VANCE INSTITUTIONAL SENIOR EATONAGY Eaton Vance KY1LO14580 Investor Address WALKER SECRETARY 1
OC45OOAGY CHRISTOPHER BARY 000000000 9179370628 USD 1.10 21.924,167.82 21,924,107.82 0.00 21,924,167.82 LO FUND (EATON VANCE)
HOUSE, W.S WALKER CO. WALKER HOUSE GEORGE TOWN KY-02109 324 1.294.025.722.60 057628 LEUTSCHE BANK AG NEW YORK AADBAG Deutsche Bank Ag DE1L156826 DE1L156826 Investor Address: 60 WALL STREET 2
OC9914AGY1 MARKUS LANG 9045276553 7323803359 LOAN SERVICING NY@LIST.DB.COM USD 0.10 1,981,403.37 1,981,403.37 000 1,981,403.37 BRANCH NEW YORK US-10005 057635 LRSTE GROUP BANK AG JOSE13 ERSTE GROUP ATlLO05595 Investor Address: 280 PARK AVENUE 2
OC0012AGY JEAN RAMJEET 2129845654 2129845642 JRAMJEET@ERSTEGROUP.COM 0SD 0.75 15.900.000.00 15.009,000.00 000 15,000,000.00 BANK AG 32ND FLOOR - WEST BUILDING NEW YORK, NY AT-10017 057658 BANK OF AMERICA NA ACSBO-USD BANK OF AMERICA, US1L223141 LS1L223141 Investor Address: 1850 GATEWAY 2
OC1340AGY RENONA 2142092136 2142909484 0S0 0.15 3.058,190.70 3.058.190.7T 00C 3.058,190.70 N.A.
BOULEVARD CHINWENDY CONCORD CA 94520 US-94520 057661 BARCLAYS BANK PLC(NEW YORK VBBB BARCLAYS BANK GB1L182938 GBlLt82938 Investor Address: 1 CHURCHILL PLACE 2
OCOOOAGY ANTHONY TAMBURRI 9735763449 9735763014
',NTHONY.TAMBURRI@BARCLAYSCAPITALCOM USD 0.08 1,566,162.11 1.506,162.11 0.00 1.566.162.11 BRANCH)
PLC 11TH FLOOR NEW YORK, NY 10265 GB-10265 057751 WELLS FARGO BANK, N.A WELLMB WELLS FARGO US1L058422 US1LO50422 Investor Address: 420 MONTGOMERY 2
OC128 LOAN TRADING 7045902871 7047150194 LOANTRADESUPPORT@WELLSFARGO COM USD 2.39 47,879.674.99 47.879,674.90 0.00 47.879.674.99 BANK, N A STREET SUPPORT SAN FRANCISCO, CA 94104 US-94 104 058029 MASSACHUSETTS MUTUAL LIFE MMLI BABSON CAPITAL USIL026825 US1L026825 Investor Address: 1295 STATE ST BOSTON 2 C0007 KEVIN CERDORCHUK 6176629749 9173303121 IABSO0-3121@STATESTREET.COM USD 020 3,997.962.40 3.997.962 40 0.00 3.997,962.40 INSURANCE COMPANY MANAGEMENT MA US-01 111 058033 SENIOR DEBT PORTFOLIO FORMALLY GPSDP Eaton Vance USIL011173 Investor Address: 24 FEDERAL STREET 2
OC058033 RACHEL KIELY 6176728115 9179370635 EATONV9635@STATESTREET.COM LSD 0.32 6,319.422.52 6.319.422 52 0.00 6.319,422.52 EATON VANCE PRIME FUND, INC.
BOSTON MA.
(EATON VANCE)
FOURTH FLOOR US-02110 058037 ALLSTATE INSURANCE COMPANY NALL ALLSTATE LIFE US1L121519 Investor Address: 3075 SANDERS ROAD, 2
OC0336AGY INVESTMENT 8474023802 9692262418 USD 0.25 4,950,000.00 4.950.000 00 0.00 4.950.000.00 (ALLSTATE LIFE INSURANCE INSURANCE SUITE G5A OPERATIONS COMPANY)
NORTHBROOK, ILLINOIS US-60062 058347 MORGAN STANLEY SENIOR FUNDING AAMSSF MORGAN STANLEY US1L022337 US1L522337 Investor Address: 1585 BROADWAY CIO 2
OC058347 MS LOAN SERVICING 4436274355 7182332140 USLOANSERVICING@MORGANSTANLEY.COM USD 0.09 1.873,250.01 1.873,250.01 0.00 1,873,250.01 INC SENIOR TAX DEPARTMENT 1633 BROADWAY,25 TH FLOOR NEW YORK US-10019 059442 GRAYSON AND CO (FKA EATON VA -
ACCOR Baron Vance USIL033557 Investor Address" 2 INTERNATIONAL PLACE 2 0P321A RACHEL KIELY 9179379199 9179370627 LATONV-)627gSTATESTREET.COM USD 1 23 24,051,099.07 24,001,8999.07 0.00 24,091,999.07 GRAYSON & CO FUND) 9TH FLOOR BOSTON US-02110 Page 17 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL I
Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE I ENTITY FAX #
ENTITY EMAIL CCV RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 058518 AFR - FIDELITY ADVISOR SERIES I:
AFRH Fidelity Investments USIL012643 US1L012643 Investor Address: 82 DEVONSHIRE ST 2
OC01G4AGY FIDELITY 8174746735 6173852818 FPCMSEANKD@FMR.COM USO 4 18 83.588.700 38 83.518.700.38 0.00 83.588.700 3B FIDELITY ADVISOR FLOATING RATE BOSTON, MA INVESTMENTS HIGH INCOME FUND(FIDELITY)
US-02109 058570 NATIONWIDE MUTUAL FIRE IPNATM Nationwrde Life USIL116915 Investor Address 2 PENNS WAY 2
OPS2 ANGELA FARRIS 6142493366 6142496869 FARRISA2@NATIONWIDE.COM USD 0.49 9,726,750.00 9,726.750.00 000 9.726,750.0u INSURANCE CO (NATIONWIDE LIFE Insurance US-INSURANCE COMPANY) 058619 NEW YORK LIFE INSURANCE &
NYLIAACORP NEW YORK LIFE USIL115669 US1L115669 Investor Address: 51 MADISON AVENUE 2
OC822AGY HAROLD GOLD 2125785407 2142914332 HAROLD GOLD@NYLIM.COM USD 0.41 8.154.245.47 8,154.245.47 000 8.154,245.47 ANNUITY C ORPORATION INSURANCE NEW YORK, NY 10010 US.1010 058620 NEW YORK LIFE INSURANCE CO NYLICTI NEW YORK LIFE USIL022998 USlL022998 Investor Address: 51 MADISON AVENUE 2
OC0112AGY HAROLD GOLD 2125765407 2142914332 HAROLDGOLD@NYLIM.COM USD 0.20 4.067.330 46 4.067.330.46 0.00 4.067.330 46 INSURANCE NEW YORK, NY 10010 US-10010 058718 RIVERSOURCE LIFE INSURANCE ACBIDS COLUMBIAMANG USlL010209 Investor Address: 100 N SEPULVEDA BLV.
2 OCl100AGY CYNTHIA SCOTT 4694771947 2012443675 12012443675@OOCS.LDSPROD.COM USD 0.08 1.677,864.38 1.677.864.38 0.00 1.677.864 38 COMPANY IDS LIFE INSURANCE INV ADV LLC SUITE 90245 COMPANY EL SEGUNDO. CA 90245 US-058804 EATON VANCE VT FLOATING-RATE 058804USD Eaton V.rse US1LO14706 Investor Address: 255 STATE STREET. 6TH 2 OC0123AGY CHRISTOPHER L176728115 6179370633 EATONV.1858@STATESTREET.COM USD 0.22 4.343.067.19 4.343.067.19 0.00 4.343,067.18 INCOME FUND (EATON VANCE)
FLOOR BARRY BOSTON, MA 02109 US-059159 WESTERN ASSET FLOATING RATE WAFER WESTERN ASSET USlLO59685 USlL059685 Investor Address: 117 F. COLORADO BLVD 2 OCO333AGY SYNDICATED LOAN 9724018593 8662909667 BNYCDOGR@BANKOFNY.COM USD 8 27 5.349.712.50 5.349.712.50 0.00 5.349.712 50 HIGH IN FUND LLC( WESTERN ASSET MANAGEMENT PASADENA, CA 91105 SERVICING MANAGEMENT)
US-059196 MACQUARIE/FIRST TRUST GLOBAL DMFTG MACQUARIE FUNDS US1LO21792 USlL021792 Invest.r Address 1001 WARRENVILLE RD 2
OC0101AGY IMELDAVALEZA 2132334444 2132334470 MFG OPS LA@MACQUARIE.COM USD 0.10 1.940.462.18 1.940.462.18 000 1.940,462.18 INFRASTRUCTURE UTILITIES DIVIDEND GROUP SUITE 300 AND INCOME FUND LISLE US-60532 559227 CM LIFE INSURANCE CO CMLI LABSON CAPITAL US1L104635 US1L104630 Investor Address: 1295 STATE STREET 2
CCOO7 KEVIN CERDORCHU. L176629749 6173303118 SSCBA8SON@STATESTREET COM USD 0.04 877.601.5o 877.601.50 006 877.601.54 MANAGEMENT MIP E104 SPRINGFIELD, MA US-01 111 059339 PIMCO FLOATING INCOME FUND PFLI PIMCO US1L058019 US1L058619 Investor Address: C/O PACIFIC INV.MNGMT. 2 OC0306AGY BANK LOAN 9499323005 6173300631 PIMCO-PX2B@STATESTREET.COM USD 0.15 2.982.430.95 2.982,430.95 0.00 2.982.430 95 (PIMCO)
CO LLC ACCOUNTING 840 NEWPORT CENTER DR.
NEWPORT BEACH, CA US-92660 059353 BALLANTYNE FUNDING LLC (BANK OF ABALL BANK OF AMERICA JS1L039612 Investor Address. 401N TYRON STREET.
2 OC0100AGY BALLANTYNE 8803876030 7044880388 CS_-_DERIVATIVES@BANKOFAMERICACOM USD O09 1.848.313 78 1.848.313.78 0.00 1.848,313 78 AMERICA)
FUND NC1-021-03-N FUNDING LLC CHARLOTTE, NC 28255 US-059360 VIRTUS MULTI-SECT SHRT TERM END KODPLD NEWFLEET US1L060138 U51L80139 Investor Address: 56 PROSPECT STREET 2
C058936001 AMY KEITH 8607605815 2144425214 12144425214@DOCS.LDSPROD.COM USD 1.20 24.029.840 84 24,029.840.84 0.00 24,029,84084 FD FKA PHNX MULTI-SECT SHRT TERM HARTFORD HARTFORD. CT END FD(NEWFLEET ASSET US-06115 MANAGEMENT) 859431 PIONEER FLOATING RATE TRUST ACCPFR PIONEER US1L051847 USIL051047 investor Address: 60 STATE STREET 2
OC456AGY PHILIP COLBURN 6174224565 2012443745 12012443745@TLS.LDSPROD COM USO 006 1.232.50080 1,232.805W.0 0.00 1.232.500 50 INVESTMENT BOSTON US-02109 059658 CHATHAM LIGHT II CLO LTD LPCL2 SANKATY KYlLO05695 KY1L005695 Investor Address. JOHN HANCOCK TOWER 2 OCl111 RENEE MERTZ 4122366772 2815826301 RENEEA-TAPPE@BNYMELLON.COM USD 0.24 4,717,350 00 4.717.350.00 0.00 4,717,350 00 ADVISORS, LLC 200 CLARENDON STREET BOSTON KY-02116 060083 CITIBANK, N.A. - SECONDARY TRADING STPCUSD-3 LITIGROUP GLOBAL USJL027740 USJL027740 Investor Address: 2 PENNS WAY 2
UC23423 KEVIN GANC 3023232452 2129940975 GLPARSLTSETFLEMENT@CITIGROUP.COM USD 0.49 98907,876 65 9,907.876 65 0.00 9.907.876.65 MARKETS US-860101 NEW YORK LIFE INSURANCE CO.
ACSNYL Mackay Shields US1L115636 US1L115638 Investor Address: 51 MADISON AVENUE 2
CS0333AGY NUNZIA 2122303832 2127350406 BANKLOANS@MACKAYSHIELDS COM USD 0.05 928.372 50 928,372.50 0.00 928.37250 GUARANTEED PRODUCTS)(MACKAY NEW YORK, NY 10010 MAZZOCCOLI SHIELDS)
US-tO01O 860133 COLUMBIA FUNDS SERIES TRUST II ACSAXP COLUMBIA MANG USJL009904 Irostor Address 145 AMERIPRISE 2
UC6909AGY CYNTHIA SCOTT 4694771947 3479623470 13479623470@DOCS LDSPROD COM USD 0.15 3,051,819.01 3.051,819.01 0.00 3.051,819 01 COLUMBIA FLOATING RATE NV ADV LLC FINANCIAL CENTER FUND(COLUMBIA MANAGEMENT MINNEAPOLIS INVESTMENT ADVISORS LLC)
US-55474 800187 PIMCO DIVERSIFIED INCOME FUND GPPO PIMCO USIL050601 USIL0S06O1 Investor Address 840 NEWPORT CENTER 2
OC0333AGY BANK LOAN 8499323005 6173308032 PIMCO-PX2D@STATESTREET.COM USB 0.60 11.932,217.47 11,832,21747 0.00 11,932,217.47 DRIVE ACCOUNTING NEWPORT BEACH, CA US-92660 060275 OPTIMUM TRUST-OPTIMUM FIXED GPO Delaware US1L181265 Investor Address' 2005 MARKET ST 2
OC0333AGY JOSEPH FIORILLA 2152552321 2672340803 BANKLOANS@DELINVEST.COM USE 0.05 9882,848.87 82,549 87 0.00 982,549.87 INCOME FUND (DELAWARE Investments US-19103 INVESTMENTS) 860327 RIDGEWORTH FUNDS SEIX FLOATING ALPSFR Selx Advisors US1L009854 USlLO09854 Investor Address: C/O CITI 3435 STELZER 2
OC16176 CHRIS ENNIS 8176621164 6173303298 RIDGEWORTHSEIXFRHIF-RGCJ@STATESTREET COM USD 0.52 10.365,281.03 10,365.281.03 0Ono 10,365,281.03 RATE HIGH INCOME FUND FKA STI RD CLASSIC - SEIX FLOATING RATE HIGH COLUMBUS, OH INCOME FUND US.43219 060537 CREDIT SUISSE LOAN FUNDING LLC CSK CREDIT SUISSE US1L015752 US1L015752 Investor Address: 11 MADISON AVE-CORP 2
OC007 LOAN OPERATIONS 9199946374 8664693871 18664693871@DOCS.LDSPROD.COM USD 0.04 753.321.67 753321.67 0.00 753,321.67 TAX DEPT.-8TH F NEW YORK, NY 10010 US-10010 860587 NASH POINT CLO NASHUSD SANKATY lE1L020682 IE1L020682 Invest.r Address: JOHN HANCOCK TOWER 2 OC0386AGY PATRICK MITCHELL 3123327333 2073652558 GSS.NASH.CLO.NOTICES@USBANK.COM USO 0.29 5.836,050.08 5.836.050.00 088 5,836,050.00 ADVISORS. LLC 200 CLARENDON STREET BOSTON IE-02116 Page 18 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL investor Name MNEMONIC Fwd M nW MEI Code DTCC CODE INVESTOR DETAILS F
oign OC CONTACT ENTITY NAME PHONE 4 ENTITY FAX ENTITY EMAIL CCY iRATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDINCG 060658 WESTERN ASSET CORE PLUS BOND GPWEST WESTERN ASSET US1L059784 US1L059784 Investor Address: 385 E COLORADO BLVD. 2 OC0134AGY CHRISTINE ROSADO 617-662-4578 617-451-4958 CSHUANG@STATESTREET COM USD 0.50 9.924,812.03 9.924.812.03 0.00 9.924,812.03 PORTFO (WESTERN ASSET MANAGEMENT PASADENA, CA 91105 MANAGEMENT)
US-91101 060728 MAINSTAY UNCONSTRAINED BOND NMDI Mackay Shields US1L025231 Investor Address: 51 MADISON AVENUE 2
OC001 NUNZIA 2122303832 2127350406 MAINSTAYRANKLOANS@STATESTREET.COM USD 005 1.03.9500 00 1,039,500.00 0.00 1.039.500 00 FUND (FKA MAINSTAY FLEXIBLE BOND PNJ MAZZOCCOLI OPPORTUNITIES FUND)
NEW YORK US-10010 061162 NEW YORK LIFE INSURANCE COMPANY NYLICGPPORTA Mackay Shields US1L142549 JS1L142549 Investor Address: 51 MADISON AVENUE 2
OC0405AGY NUNZIA 2122303832 2127350406 LANKLOANS@MACKAYSHIELDS.COM USD 0.08 1.670,872 50 1.670,872.50 0.00 1.670.872 50 OP-PORTABLE ALPHA MACKAY NEW YORK NY 10010 MAZZOCCOLI SHIELDS)
US-10010 061239 PIONEER BOND FUND ARPBF PIONEER USlL051005 USIL051005 Investor Address: 60 STATE STREET 2
0C06123901 PHILIP COLBURN 6174224565 2149885870 12149885870@TLS.LDSPROD.COM USD 007 1.332,564 75 1.332,564.75 0.00 1,332,564 75 INVESTMENT BOSTON, MA US-02109 061241 MET INVESTORS SERIES TRUST-061241USD PIONEER US1L180671 USlL180671 Investor Address: 80 STATE STREET 2
OC 1002AGY PHILIP COLBURN 6124224565 2142914397 12142914397@TLS.LDSPROD.COM USD 004 899,724.37 099,724.37 0.00 899,724.37 PIONEER FUND PORTFOLIO INVESTMENT BOSTON, MA5 2109-1820 US-061362 IIONEER FLOATING RATE FUND 061362USD PIONEER US1LO51039 USIL051039 Investor Address: 60 STATE STREET 2
OC061362 PHILIP COLBURN 6174224565 2149088893 12149858893@TLS LDSPRODOCOM USD 0.10 2.069.755.71 2.069,755.71 0.00 2,069,755.71 INVESTMENT BOSTON, MA US-02109 070228 UWS HIGH INCOME TRUST (DEUTSCHE RADWSHINT DEUTSCHE ASSET US1L035412 USIL035412 Investor Address: TWO INTERNATIONAL 2
CC725AGY CYNTHIA SUMNER 2124543822 0179889298 INVESTMENT SUPPORT-HY@LIST.DB.COM USD 0.05 965.250.01 965,25001 000 965250.01 ASSET MGMT)
MANGMNT HY PLACE FLOOR 7 BOSTON MASSACHUSSETTS US-02110 070145 TAIPEI FUBON COMMERCIAL BANK CO. TAFUCOBNK TAIPEI FUBON TWILLS7095 Investor Address: 700 S FLOWER ST 2
00078145 JOYCE DUH 213-225-8086 2132369155 JOYCE.DUH@FUBONLACOM USD 0.25 5,000.000.00 5,000,000 00 000 5.000,000.Oc LTD, LOS ANGELES BRANCH JEN AL ROAD LOS ANGELES TW-90017 086395 PRUDENTIAL TOTAL RETURN BOND PTR PRUDENTIAL USJLO34753 LS1L034753 Investor Address GATEWAY CENTER 2
0C01 SYNDICATED LOAN 9724018523 2017102126 BNYCDOGR@BANKOFNY.COM USD 0.07 1,485,000 00 1.405.00000 0
0 1,400,000 00 FUND INC (FKA DRYDEN TOTAL INSURANCE THREE SERVICES RETURN BOND FUND NC) 150 MULBERRY STREET,9TH FLOOR (PRUDENTIAL INVESTMENT NEWARK MANAGEMENT)
US-07102 089455 PIMCO CAYMAN TRUST PIMCO PMCAB PIMCO KY1L151440 KY1L151440 Investor Address: 140 BROADWAY 2
OC01 BANL LOAN 9499323005 0173303760 PIMCO-03813@STATESTREET.COM USO 0.06 1,126.676.00 1.126.676 80 000 1.126,676 80 CAYMAN BANK LOAN FUND NEW YORK ACCOUNTING NY KY-10005 091597 OWS FLOATING RATE FUND (FKA DWS DFR14807 Deutsche Asset USlL035388 US1L035388 Investor Address ONE BEACON ST 2
00001 HERSH GARGI 6176621639 6174514754 HGARGI@STATESTREET.COM USO 0.20 3,954,925 10 3,954.925.10 0.00 3.954.925 10 FLOATING RATE PLUS FUND)
Mang-SYND 11TH FLOOR BOSTON MA US-02108 094933 DWS MULTI MARKET INCOME TRUST DWSM092507 DEUTSCHE ASSET USlL035578 USlL035578 Investor Address: 2 INTERNATIONAL PLACE 2
)C0925 CYNTHIA SUMMER 212-454-3822 6179889298 USD 0.07 1,457,549.99 1,457.549.95 0.00 1,457,549 99 DEUTSCHE ASSET MGMT)
MANGMNT HY 7TH FLOOR BOSTON MA US-02110 094934 DWS UNCONSTRAINED INCOME VIP DWS1092507 DEUTSCHE ASSET USlL035495 US1L035495 Investor Address. ONE BEACON ST 11TH 2
OC0925 CYNTHIA SUMMER 212-454-3022 6179889298 USO 0.01 118,124.98 118.124.90 0.00 118,124.98 FKA DWS STRATEGIC INCOME VIP)
MANGMNT HY FLOOR BOSTON MA US-02108 095002 UWS UNCONSTRAINED INCOME FUND DWSS092507 DEUTSCHE ASSET US1L035560 JSlL035560 Investor Address: ONE BEACON ST 11TH 2
LC0925 CYNTHIA SUMMER 212-454-3822 L179889298 USD 005 1.000,650 01 1.000,650.01 0.00 1,000,650 01 FKA DWS STRATEGIC INCOME FUND)
MANGMNT HY FLOOR BOSTON MA US-02108 095003 UWS STRATEGIC INCOME TRUST DWST092507 DEUTSCHE ASSET USlL035552 US1L035552 Investor Address: 2 INTERNATIONAL 2
0C0925 CYNTHIA SUMMER 212-454-3822 6179889298 USD 0.02 393,97499 393.974.98 0.00 393,974.99 DEUTSCHE ASSET MGMT)
MANGMNT HY PLACE, 7TH FLOOR BOSTON MA US-02110 098939 COLUMBIASTRATEGICINCOMEFUND COLSl101 COLUMBIA MANG US1L291262 InvestorAddress: ONE FINANCIAL CENTER 2 00098939 CYNTHIA SCOTT 4694771947 201716656 12017165656@TLS.LDSPROD.COM USD 0.03 632,238.75 632,238.79 000 632.23875 INV ADV LLC BOSTON MA US-02 111 099332 681 - SEI INSTITUTIONAL MANAGED SE11107 WESTERN ASSET UJS1L124315 US1L124315 Investor Address: 385 E. COLORADO BLVD 2 0C1107 DONNA THOMAS 6268444870 6268174103 WABANKLOANS@WESTERNASSET.COM USD 003 645,112 78 645,112.78 0.00 645.112 78 TRUST'S CORE FIXED INCOME MANAGEMENT PASADENA (WESTERN ASSET MANAGEMENT)
CA US-91101 104938 LORD ASBETf INVESTMENT TRUST -
104938USD Lord Abbett US1L026593 Investor Address: 90 HUDSON STREET 2
0C1111 LOAN SERVICING 6176621243 6179889660 LORDA-1271@STATESTREET.COM USD 1.20 24.037,885.99 24.037,885.9.
000 24,037,085 99 FLOA TING RATE FUND JERSEY CITY UNIT NJ US-07302 106272 JOHN HANCOCK FUND II - FLOATING 106272USD WESTERN ASSET U
S1L189813 US1L189813 Investor Address: 601 CONGRESS STREET 2 OC0122AGY1 JOSEPH SMITH 6176621229 6179887977 JOSEPHPSMITH@STATESTREET COM USD 0.39 7.737,405 47 7.737,405.47 0.00 7,737,405 47 RATE INCOME FUND(WESTERN ASSET MANAGEMENT BOSTON MANAGEMENT)
MA US-02210 Page 19 of 25
NRG Energy. Inc. - SF-328 Atlachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL a
Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE IS ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 106733 SARATOGA INVESTMENT CORP CLO GSCGRP07LTD SARATOGA KYlLO02973 KY1L002973 Investor Address. 535 MADISON AVENUE 2
OC4564AGY ANDREW 7043354575 2144619590 ANDREW SCHAEFFER@USBANK COM USD 019 3.890,700.00 3.890,700.00 0.00 3.890,700.00 2013 1 LTD (FKA GSC INVESTMENT PARTNERS 4TH FLOOR SCHAEFFER CORP CLO 2007 LTD)
NEW YORK US-10022 109575 VIRTUS SENIOR FLOATING RATE FUND 109575USD NEWFLEET USlLO60147 USlL060147 Investor Address: 101 MUNSON STREET 2
OC10957501 AMY KEITH 8607605815 2144618248 12144618248@DOCS.LDSPROD COM USD 0.27 5,374.357.7L 5.374.357.75 0.00 5.374.357.75 (FKA)PHOENIX SENIOR FLOATING HARTFORD GREENFIELD RATE FUND US-01301 111455 ADVANCED SERIES TRUST-AST ASTWSTRNASS WESTERN ASSET USlL006967 U[SL006967 Investor Address GATEWAY CENTER 2
0C11145501 DONNATHOMAS 6268444870 6268174103 WABANKLOANS@WESTERNASSET.COM USD 0.12 2.381.954.8]
2,381.954.89 0.00 2.381,954 89 WESTERN ASSET CORE PLUS BOND MANAGEMENT THREE SAPP PORTFOLIO 100 MULBERRY STREET, 9TH FLOOR NEWARK NJ US-07102-4077 115775 ILLINOIS TOOL WORKS, INC. MASTER I1W PIMCO US1L150260 US1L150260 Investor Address: 3600 WEST LAKE 2
OC11577501 BANK LOAN 9499323005 6173303873 PIMCO-07032@STATESTREET.COM USD 0.05 1.000.00000 1,000.000.00 0.00 1,000,000.00 TRUST AVENUE ACCOUNTING GLENVIEW. IL US-60025 121077 EMORY UNIVERSITY EMORTHY SEIX ADVISORS US1L550279 US1L550279 Investor Address 3445 PEACHTREE ROAD - 2 OCt DARA KOTZKER 2018022356 6026804098 16026804098@TLS LDSPROD COM USD 0.00 29,250.00 29,250.00 0.00 29.25000 NE ATLANTA GEORGIA US-30326 132082 AMERICAN HALLMARK INSURANCE CO AMERICANUSD NEWCASTLE US1L007908 Investor Address. 777 MAIN STREET SUITE 2 OC1234 DUSTY WILSON 8173481637 8173481679 HFS-INVESTMENTS@HALLMARKGRP.COM USD 0.05 972.675.00 972.67500 0.00 972.675.00 OF TX CAPITAL 1000 FT WORTH, TX US-76 102 133986 GOLDMAN SACHS LENDING PARTNERS GSLPUSD GOLDMAN SACHS USlL033508 USlL033508 Investor Address: CIO GOLDMAN, SACHS.
2 OC1339683 CALLY HEW 2123574457 6467697700 USD 0.00 4,950.00 4,95000 000 4.950.00 LLC CREDIT AND CO.
85 BROAD STREET-TAX DEPT.
NEW YORK, NY US-10004 135291 CALIFORNIA STATE TEACHERS CALWAMUSD WESTERN ASSET US1L122400 US1L122400 Investor Address: 100 WATERFRONT 2
OC1234 MARK LUTZ 6179 3 7 3 02 B
6173303443 WAMCO-TC5Q@DSTATESTREET.COM USD 0.06 1.241.474 29 1.241.474 29 000 1.241.474.29 RETIREMENT SYSTEM (WESTERN MANAGEMENT PLACE MS 04 ASSET MANAGEMENT)
WEST SACRAMENTO US-2807 137716 JPMORGAN STRATEGIC INCOME JPMSIOF JPMORGAN ASSET USiI111668 USIL111668 Investor Address: 245 PARK AVENUE 2
OC0123 TRACI MANFORD 5136994384 5139853217 TRACI.L MANFORD@JPMORGAN.COM USE 0.09 1.881.000.00 1.881.000.00 0.00 1,881,WO0.00 OPPORTUNITIES FUND MANAGEMENT NEW YORK, NY US-10167-0001 138058 OHIO POLICE AND FIRE PENSION FUND OPFPFUSD Mackay Shields US1L181240 USlLT81240 Investor Address: 140 E. TOWN STREET 2
OC1234 NUNZIA 2122303832 2127350406 BANKLOANS@MACKAYSHIELDS.COM USD 0.15 2.977.443 61 2.977,443.61 0.00 2.977.443.61 (MACKAY SHIELDS LLC)
COLUMBUS, OH MAZZOCCOLI US-43215-5164 140363 COLUMBIA STRATEGIC INCOME FUND COLUSD COLUMBIA MANG US1L291270 Investor Address: ONE FINANCIAL CENTER 2 Oc111 CYNTHIA SCOTT 4694771947 2017165657 12017165657@TLS.LDSPROD.COM USD 0.01 291,802.50 291,80250 0.00 291,002 50 VARIABLE SERIES INV ADV LLC BOSTON US-02111 140454 3003 - PACIFIC SELECT FUND -
PSFUSD WESTERN ASSET USI1L170268 J51L170268 Investor Address: 700 NEWPORT CENTER 2
OC01234 CHRIS GALLAGHER 6176621279 617330345B CGALLAGHER@STATESTREET.COM USD 0.15 2.977,443.61 2,977,443.61 0.00 2.977,443 61 DIVERSIFIED BOND PORTFOLIO MANAGEMENT DRIVE NEWPORT BEACH, CA US-92660 141437 SEIX MULTI SECTOR ABSOLUTE SCDFUSD Seix Advisors US1L122624 USIL122624 Investor Address: 2711 CENTERVILLE 2
C01234 PEARL PENG 7139934300 6807753547 NOTICES.SEIXCREDITDISLOCATIONFUNDII@VIRTUSLLC.COM USD 0.03 547,306.05 547,306.05 0.00 547,306 05 RETURN FUND LP(FKA)SEIX CREDIT ROAD DISLOCATION FUND LP SUITE 400 WILMINGTON US-19000 144615 9956-WTC-CIF OPPORTUNISTIC FIXED WELLINGUSD WELLINGTON US1L166100 US1L166100 Investor Address. 100 FEDERAL STREET 2
OC0001AGY MATTHEW 6176621243 2012835803 12012835803@TLS.LDSPROD.COM USD 0.07 1,410.129.70 1,410.129.70 0.00 1,410.129.70 PO RTOLIO MANAGEMENT BOSTON, MA STAFFORD US-02110 151486 CITY NATIONAL ROCHDALE FIXED EPCOROCHUSD Seix Advisors USTL168593 US1L168593 Investor Address ONE FREEDOM VALLEY 2 OC1234 TOM CRONIN 6176036750 0000000000 CT CDO.LOANSERVICING@USBANK.COM USD 0.02 341.674.36 341.674.36 0.00 341,674.36 INCOME OPPORTUNITIES FUND (FKA DRIVE CNI CHARTER FUNDS - FIXED OAKS INCOMEOPPORTUNITIES FUND)
US-19456 152196 PIMCO FUNDS PIMCO LOW DURATION PLWDNF PIMCO USIL147829 US1L147629 Investor Address: 540 NEWPORT CENTER 2
OC001 BANK LOAN 9499323005 6173300370 PIMCO-PC1D@STATESTREET.COM USD 0.73 14,070,329.38 14,570,329.38 0.00 14,070,329 38 FUND (PIMCO)
DRIVE. SUITE 100 ACCOUNTING NEWPORT BEACH JS-92660 166624 BANK OF TAIWAN, LOS ANGELES NFTAIWAN BANK OF TAIWAN TW0L178943 InvesTor Address: SUITE 4525 2
OC4589 TIMOTHY LIU 2136296600 EXTN 2136296610 TIMOTHYL@BOTLAUS USD 0.00 9,949.740.74 9,949,740.74 000 9,949,748 74 BRANCH 601 SFIGUEROA STREET 155 LOS ANGELES, CA TW-90017 173282 DELAWARE GROUP INCOME FUNDS -
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2 OC0001 JOSEPH FIORILLA 2152552321 2672340803 BANKLOANS@DELINVEST.COM USD 0.02 404,210.20 404,21820 000 404,21820 DELAWARE DIVERSIFIED FLOATING Investments ONE COMMERCE RATE FUND (DELAWARE SQUARE, 9TH FLOOR, INV. ACCOUNTING INVESTMENTS)
PHILADELPHIA US-19103 177751 CONSUMER PROGRAM CONSJPM JPMORGAN ASSET US1L293359 Investor Address 175 W. JACKSON BLVD. 2 OC0001 LIDIA JODKO 3026342853 3026345868 BANKLOANS@JPMORGAN COM USD 0.01 297.000.00 297.000.00 0.00 297,000.00 ADMINISTRATORS INC ( JP MORGAN MANAGEMENT 11TH FLOOR INVESTMENT MANAGEMENT INC)
CHICAGO US-60604 180146 MT. WHITNEY SECURITIES INC.
MITWSI Deutsche Asset USIL201665 US1L201865 Investor Address 477 MARTINSVILLE ROAD OC001 LIZ DELGADO 2122500511 6173303360 ELIZABETH.DELGADO@DS COM USD 0.06 1,167.210.00 1,167.210.00 0.00 1,167,210.00 (DEUTSCHE ASSET MANAGEMENT INC)
Mang-SYND LIBERTY CORNER US-07938 Page 20 of 25
NRG Energy. Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreigrn CC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 180362 MET INVESTORS SERIES TRUST -
MEVFRP Eaton Vance US1L220063 nvestor Address 5 PARK PLAZA. SUITE 2
OC0001 RACHEL KIELY 6176728115 6173303148 MET-EATONVANCEFLOATR-C7LM@STATESTREET.COM USD 020 4.036,601 25 4.036.601.25 0.00 4.036,601 25 METIEATON VANCE FLOATING RATE 1900 PORTFOLIO (EATON VANCE IRVINE MANAGEMENT)
US-92614 180380 THE HARTFORD SHORT DURATION THSDF WELLINGTON U51L214959 US1L214959 Investor Address: 500 BIELENBERG DRIVE 2 0C444 MATTHEW 9725816535 2145723381 12145723381@TLS.LDSPROD.COM USD 0 12 2.360.573 18 2,360,573.18 0.00 2,360,573.18 FUND MANAGEMENT WOODBURY STAFFORD US-55125 180405 LOEB ARBITRAGE OFFSHORE LLOOEBUSD Loeb Capital KY1L222894 KY1L222894 nvestor Address 61 BROADWAY, 24 TH 2
00123 JAMIE GROSSMAN 2124837053 2125742003 LOEBEOPERATIONS@LOEBCAP.COM USO 0.20 4.024.673.36 4.024,673.36 0.00 4.024,673.36 PARTNERS LTD Management FLOOR NEW YORK KY.10006 180922 LVIP DELAWARE DIVERSIFIED LVIPDDFRF Delaware USIL244311 US1..244311 nvestor Address: 1300 SOUTH CLINTON 2
001 JOSEPH FIORILLA 21525 5 2 32 1 2672340803 JAFIORILLA@DELINVEST.COM USD 003 629.30359 629.30359 000 629,303.59 FLOATING RATE FUND (DELAWARE Investments STREET INVESTMENTS)
FORT WAYNE US-46802 184549 CALIFORNIA FIRST NATIONAL BANK CALFNB CALIFORNIA FIRST USIL006140 nvestor Address. 18201 VON KARMAN 2
0C125 JOE GREWE 8007352465 8007354589 GMERAZ@CALFIRST C0M US) 0.50 9.924.812 03 9.924,812.03 0.00 9.924.812 03 (CALIFORNIA FIRST NATIONAL BANK)
NATIONAL AVENUE SUITE 420 IRVINE US-92612
- 184929, FIRST WESTERN CAPITAL FIWEUSO
.VIRTUS PARTNERS US1L223042 US1L223042 nvestor Address: 1200 SEVENTEENTH 2
OC1111 VIRTUS GROUP LP 7139934300 8772788216 FWCMHIGHINCOMESENIORLOANSLP@VIRTUSLLC.COM USD 002 486.337.50 486.33750 0.00 486,337.50 MANAGEMENT HIGH INCOME SENIOR LLC STREET LOANS LIMITED PARTNERSHIP SUITE 2650 DENVER CO US-80202 193400 FIRST NIAGARA BANK N.A (FIRST NBNA FIRST NIAGARA USIL013435 nvestor Address: 6950 S TRANSIT RD P.O 2
OC123 SUE NAAB 7168195874 7168195132 COMMERCIAL PARTICIPATIONS@FNFG.COM USO 048 9.674.775 00 9,674.775 00 000 9.674.775 00 NIAGARA BANK NA)
BANKR N A OX 514 LOCKPORT US-14095 195477 TETON FUNDING LLC (APOLLO TETONFUND APOLLO GLOBAL US1L291577 InvestorAddress: P.O.BOX4418,MAIL CODE 2 001111 RACHEL RICHARDS 9725816547 2017202995 12017202995@TLSLDSPROD.COM USD 0.24 4.770.983.07 4,770.983.07 000 4.770.983 07 GLOBAL)
MANAGEMENT 633 ATLANTA US-30302 204184 PIMCO FUNDS PIMCO INCOME FUND PIFMS PIMCO US1L147837 US1L147837 nvestor Address: 840 NEWPORT CENTER 2
OC123 BANK LOAN 9499323005 6173300644 PIMCO-PX2Z@STATESTREET.COM USD 0.69 13.860,000.00 13.860,060.00 0.00 13.860.000.00 DRIVE ACCOUNTING NEWPORT BEACH US-92660 206496 uSA, SHORT TERM BOND FUND USAAGY USAA INVESTMENT US1L294720 nvestor Address 8800 FREDERICKSBURG 2 OC01 VALARIE DAY 2104987579 2104984831 BANKLOANS@USAA.COM USD 0.34 6.905,125.63 6.905.125.63 0.00 6.905,125.63 RD. A3E SAN ANTONIO US-78288 208764 DWS HIGH INCOME OPPORTUNITIES DWSHIOFI DEUTSCHE ASSET US1L299554 US1L299554 nvestor Address ONE BEACON STREET, 2
OC456 CYNTHIA SUMNER 2124543822 6173303257 CYNTHIASUMNER@DB.COM USD 008 1.659,675.00 1.659.675.00 0.00 1,659.675.0L FUND INC (DEUTSCHE ASSET MANGMNT HY 11TH FLOOR MANAGEMENT AMERICAS INC)
BOSTON US-02108 209650 UNITED HEALTHCARE INSURANCE UHCIC BLACKSTONE DEBT US1L550386 US1L550386 nvestor Address 8908 BREN ROAD EAST, 2
OC03 MICHAEL CAROZZA 61766 2 9 7
3 7 6179370565 16026804118@TLS.LDSPROD.COM USD 0.01 240,753.77 240,753.77 0.00 240,753.77 COMPANY (BLACKSTONE DEBT ADVISORS MN008-T390 ADVISORS (GSO CAPITAL PARTNERS))
MINNETONKA US-55343 210079 PUTNAM ABSOLUTE RETURN 300 FUND IARTHRF Putnam investments US1L299844 nvestor Address ONE POST OFFICE 2
OCTll MARK NGUYEN 7142476041 8666758277 MARK.NGUYEN@D8.COM USO 0.07 1.480.000.00 1.485,000.00 0.00 1.485.000.00 (PUTNAM INVESTMENTS)
SQUARE BOSTON US-02109 211536 JNUPPM AMERICA FLOATING RATE JNLPPM PPM America. Inc.
US11299240 Investor Address: 225 W WACKER DR 2
OC001 CHRIS GALLAGHER 3126341241 6173300155 PPM-JNAE@STATESTREET.COM US0 0.12 2,416,688.04 2.416.688.04 0.0O 2.416,688.04 INCOME FUND (PPM AMERICA INC)
SUITE 1000 CHICAGO US-60606 211628 PIMCO FUNDS PRIVATE ACCOUNT PRACCPO PIMCO US1L301665 US1L301665 Investor Address: 840 NEWPORT CENTER 2
OC1 BANK LOAN 9499323005 6173300397 PIMCO-PC3N@STATESTREET.CDM USD 0.12 2.5000.08.00 2.500.000.00 0.08 2.500.000.00 PORTFOLIO SERIES INVESTMENT IDRIVE SUITE 100 ACCOUNTING GRADE CORPORATE PORTFOLIO NEWPORT BEACH US-92680 213449 JPMORGAN CHASE BANK NA AS JPMJRTPL JPMORGAM ASSET USI1L175127 US1L175127 Investor Address 4 NEW YORK PLAZA 15TH a OC111 LIDIAJODKO 3026342853 3026345868 BANK LOANS@JPMORGAN.COM USD 002 396,000.00 396.000.00 000 396,000.00 TRUSTEE OF THE JPMORGAN CHASE MANAGEMENT FLOOR NY-E182 RETIREMENT PLAN (JPMORGAN ASSET NEW YORK MANAGEMENT-CINCINNATI)
US-10004 217014 POWERSHARES SENIOR LOAN
-OSELOUSD INVESCO SENIOR USlL319774 Investor Address: 301 W.ROOSEVELT ROAD 2 OC1 ANGELA 2122789563 2018223776 I201B223776@TLS.LDSPROD.COM USD 3.35 67.058.188.54 67.058.188.54 0.00 67.058.188.54 PORTFOLIO (INVESCO SENIOR SECURED WHEATON GAMBARDELLA SECURED MANAGEMENT INC)
US-60187 FAVUZZA 218647 LOOMIS SAYLES STRATEGIC ALPHA SAABSAUSD LOOMIS SAYLES US1L301723 US1L301723 Investor Address: C 0 NGAM ADVISORS LP 2 Oc1 JOSEPH ANGELONE 8174787447 6174822274 BLDPERATIONS@LOOMISSAYLES.COM USD 0.14 2.786,850.00 2
78 6
,850.00 080 2.786,850.00 FUND (FKA)LOOMIS SAYLES 399 BOYLSTON STREET ABSOLUTE STRATEGIES FUND BOSTON US-02116 228780 SOMERSET TRUST COMPANY 50U00 sOMERSET TRUST U01L370988 Ianiestr Address: 101 WEST MAIN STREET 2 001 DELLA RESH 8144438271 4144438349 RESH@SE)MERSETTRUST 0DM 000) 8.10 1,840,300 80 1,040,300 00 0800 1.840,350 08 SOMERSET US-15501 Page 21 of 25
NRG Energy. Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL x
Investol Name MNEMONIC Fund Manager MEI Code OTCC CODE INVESTOR DETAILS Foregn OC CONTACT E
ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 221970 GOLDMAN SACHS TRUST-GOLDMAN GSHYF GOLDMAN SACHS US1L251894 US1L251894 Investor Address C0O GOLDMAN SACHS 2
UC001 ALICIA LUSTY 9725816423 6173303318 GOLDMANSFRF-5BU1@STATESTREET.COM USD 1 64 32.836,194.68 32.836,194.68 0.00 32.836.194.6i SACHS HIGH YIELD FLOATING RATE ASSET ASSET MANAGMENT FUND (GOLDMAN SACHS ASSET 30 HUDSON STREET 15TH FLOOR MANAGEMENT I.P)
JERSEY CITY US-07302 225848 PIMCO FUNDS PRIVATE ACCOUNT PSFRP PIMCO JS1L335564 US1L335564 Investor Address: 840 NEWPORT CENTRE 2
0C02 BANK LOAN 9499323005 6173300219 PIMCO-PC3Z@STATESTREET.COM USD 0.01 294,872 23 294.87223 0.00 294.87223 PORTFOLIO SERIES PIMCO SENIOR DRIVE ACCOUNTING FLOATING RATE PORTFOLIO NEWPORT BEACH US-92660 226238 PRUDENTIAL INVESTMENT PRUINT PRUDENTIAL US1L328221 US1L328221 Investor Address GATEWAY CENTER 2
0C125 SYNDICATED LOAN 9724018541 2017192441 12017192441@TLS.LDSPROD.COM US0 0.09 1.725,036 52 1,725,006.52 0.00 1,725,006.52 PORTFOLIOS 9 PRUDENTIAL INSURANCE THREE,100 MULBERRY SERVICES ABSOLUTE RETURN BOND FUND STREET, 9TH FLOOR, NEWARK PRUDENTIAL INVESTMENT MANAGER)
NEW JERSEY US-07102 226613 PIMCO SENIOR FLOATING RATE FUND PIMESCHU PIMCO US1L335804 US1L335804 Investor Address. 840 NEWPORT CENTER 2
0C002 BANK LOAN 9499323005 8173300623 PIMCO-PP1Q@STATESTREET.COM USD 0.62 12,470,585 57 12,470.585 57 000 12,470.585 57 DRIVE ACCOUNTING NEWPORT BEACH US-92660 227353 LOOMIS SAYLES STRATEGIC ALPHA LSAUSD LOOMIS SAYLES US1L325573 US1L325573 Investor Address: ONE FINANCIAL CENTER 2 002 LOOMIS SAYLES 6174787447 6174B22274 BLOPERATIONS§LOOMISSAYLES.COM USD 0809 1,717,650.00S 1,717,650.00 0980 1,717,6858.0 TRUST(FKA)LOOMIS SAYLES 27TH FLOOR ABSOLUTE STRATEGIES TRUST BOSTON US-021 11 228359 JPMORGAN FLOATING RATE INCOME JPFUSD JPMORGAN ASSET US1L337925 UILL337925 Investor Address 270 PARK AVE 6 TH 2
OC159 GFS LOANSERVICES 0000000080 4695136122 GFS.LOANSERVICES.JPMCB FLOATING.RATE.INCOME@CHASE.COM USD 1 34 26,730.0008 0 26,730,000 h 8.800 26.730,000.00 FUND MANAGEMENT FLOOR NEW YORK US-i 0017 229001 OCTAGON DELAWARE TRUST 2011 OCTUSD OCTAGON CREDIT US/L337404 Investor Address 1932 WYNNTON ROAD 2
0C010 MARGARET B 2124008444 8662915114 MHARVEY@OCTAGONCREDIT.COM USD 0.11 2.179.081.38 2.179.081.38 000 2.179.081.38 (OCTAGON CREDIT INVESTORS LLC)
INVESTORS COLUMBUS HARVEY US-31999 229334 PIONEER MULTI ASSET ULTRASHORT PMAAFUSD PIONEER US1L335374 US1L335374 Inves/or Address: 60 STATE STREET D0123
.HIL/P COLBURN 3174224085 2018390982 USO 0.08 1,179.401.94 1,179,481.64 500 1,179.401.94 INCOME FUND(FKA)PIONEER MULTI INVESTMENT BOSTON ASSET FLOATING RATE FUND US-02109 234321 REYNOLDS AMERICAN DEFINED REYADMST WELLINGTON UILL439861 US1L439861 Investor Address: 401 N MAIN STREET 2
0c1 MATTHEW 9725816535 2145455287 WELLINGTON@MARKITWSO.COM USD 002 319,638.48 319,638.48 000 319,638.48 BENEFIT MASTER TRUST MANAGEMENT WINSTON STAFFORD US-27101 234613 ARROWOOD INDEMNITY COMPANY AS ARINPN BABSON CAPITAL US/L337776 US1L337776 Investor Address: 3600 ARCO CORPORATE 2 0C123 KEVIN CEDORCHUK 6176629749 6173300242 KEVIN CEDORCHUK§STATESTREET.COM USD 001 152,003.89 152,003.89 0.00 152,003.89 ADMINISTRATOR FOR THE PENSION MANAGEMENT DRIVE PLAN OF ARROWOOD INDEMNITY CHARLOTTE COMPANY (BABSON CAPITAL US-28273 MANAGEMENT) 238176 MAG MUTUAL INSURANCE COMPANY MAGMICUSD PIMCO US1L328627 USIL328627 Investor Address: 3525 PIEDMONT ROAD 2
OCt BANK LOAN 9499323005 6173303910 PIMCO-07655@STATESTREET.COM USD 0.05 994,974.87 994.974.87 0.00 994,974.87 (PIMCO)
BLDG 8, SUITE 600 ACCOUNTING ATLANTA US-30305 239225 PIONEER MULTI SECTOR FIXED PCPFT PIONEER USIL375511 US1L375511 Investor Address 1 FREEDOM VALLEY 2
0C01 PHILIP COLBURN 6174224565 2015108124 USD 0.00 99.248.11 99,248.11 0.00 99,248.11 INCOME TRUST (FKA) PIONEER INVESTMENT DRIVE OPPORTUNISTIC CORE PLUS FIXED OAKS INCOME TRUST US-19456 239852 REMUDA CAPITAL MANAGEMENT LTD REMUDA JPMORGAN ASSET US1L370892 US1L370892 Investor Address 712 MAIN STREET SUITE 2 OC13131 JENNIFER 3026345837 3026345868 BANK LOANS@JPMORGAN.COM USD 002 396,000.00 396,000.00 0.00 396.00000
)JPMORGAN ASSET MANAGEMENT)
MANAGEMENT 1900 ZERHUSEN HOUSTON US-77002 241609 ADVANCED SERIES TRUST AST FI ADVA FIDELITY USOM08J6V3 USOM0OJ6V3 Investor Address: GATOWAY CENTER 2
Oc1 FIDELITY 8174746735 6173852818 FPCMSBANKD@FMR.COM USE 0.05 972,675.00 972,675.00 0.00 972,675 0E PYRAMIS QUANTITATIVE INVESTMENTS THREE INVESTMENTS PORTFOLIO(FKA ADVANCED SERIES 100 MULBERRY STREET 9 TH FLOOR TRUST AST FIRST TRUST BALANCED NEWARK TARGET PORTFOLIO)
US-07102 245925 PIONEER INSTITUTIONAL MULTI PIONEE PIONEER US1L402836 US1L402836 Investor Address 60 STATE STREET 2
0C121 PIONEER FUND 6174224943 6174224226 USD 0.00 99.248.11 98,248.11 0.00 99,24811 SECTOR FIXED INCOME PORTFOLIO INVESTMENT BOSTON ACCOUNTING PFKA)
PIONEER INSTITUTIONAL US-02109 OPPORTUNISTIC CORE PLUS PORTFOLIO 246168 LITMAN GREGORY MASTERS LITIKA LOOMIS SAYLES US1L401150 US1L401150 Investor Address: 4ORINDA WAY SUITE 200 2 0C2121 JOSEPH ANGELONE 6174787447 6174822274 BLOPERATIONS@LOOMISSAYLES.COM USD 002 336,600.00 336,600.00 0.00 336,600.00 ALTERNATIVE STRATEGIES D
FUND(LOOMIS SAYLES)
ORINDA US-94563 246310 MEDICAL LIABILITY MUTUAL MEDIMU INVESCO SENIOR US1L355851 US1L355851 Investor Address: 2 PARK AVENUE 2
OC221 TOM JOVIC 6306848389 2018127967 12018127967@TLS.LDSPROD.COM USD 0.08 1.528,649.81 1.528,649.81 0.00 1.528,649.81 INSURANCE COMPANY(INVESCO SECURED ROOM 2500 SENIOR SECURED MANAGEMENT)
NEW YORK US-10016 249940 BAPTIST HEALTH SOUTH FLORIDA INC BHSUSD Seix Advisors US1L141319 US1L141319 Invest/r Address: 6855 RED ROAD SUITE 2
OC01 DARA KOTZKER 2018022356 2145562488 12145562488@TLS.LDSPROD.COM USD 0.00 69.175.37 69,175.37 000 69,175.37 600 CORAL GABLES US-33143 251599 PRINCIPAL FUNDS INC - GLOBAL PRIGMUSD LOOMIS SAYLES USIL406407 USIL406407 Investor Address: 711 HIGH STREET 2
0C123 JOSEPH ANGELONE 6174787447 8174822274 BLOPERATIONS@LOOMISSAYLES.COM USD 0.02 376,200.00 376,200.00 0.00 376,208.00 MULTI-STRATEGY FUND(LOOMIS DES MOINES SAYLES)
UUS-50392 Page 22 of 25
NRG Energy. Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manager ME! Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 261290 INDIANA UNIVERSITY INDUNI LOOMIS SAYLES US1L412579 US1L412579 Investor Address: 400 E 7TH STREET 2
OC112 LOOMIS SAYLES 6174787447 6174822274 BLOPERATIONS@LOOMISSAYLES COM USD 0.01 207.900.00 207,90000 0.00 207,900.00 POPLARS BUILDING ROOM 501 BLOOMINGTON US-47405 263635 WELLINGTON TRUST COMPANY NA WELMUL WELLINGTON US1L221798 USIL221798 Investor Address: 280 CONGRESS STREET 2 0612 MATTHEW 9725816535 2012835802 12012835802@TLS LDSPROO.COM USD 0.12 2.435,325.38 2.435.325.38 000 2.435.325 38 MULTIPLE COLLECTIVE INVESTMENT MANAGEMENT BOSTON STAFFORD FUNDS TRUST II CORE BOND PLUS US-02210
.HIGH YIELD PORTFOLIO 264161 BLUE CROSS OF IDAHO HEALTH BLUEC Seix Advisors USIL440505 UStL440505 Investor Address: 3000 E PINE AVE 2
0C700 DARA KOTZKER 2018022356 2145562489 12145562489@TLS.LDSPROD.COM USD 0.00 57,156.28 57,156 28 0.00 57.15626 SERVICE INC MERIDIAN US-83642 267855 COMMUNITY INSURANCE COMPANY CICUSD SANKATY US1L459836 Investor Address: 120 MONUMENT CIRCLE 2 UC123 IORTFOLIO J00OO00000 2145723387 12145723387@TLS.LDSPROD.COM USD 0.00 0.02 0.02 0.00 002 ADVISORS. LLC INDIANAPOLIS OPERATIONS TEAM US-46204 271440 THE HARTFORD STRATEGIC INCOME THSDCT WELLINGTON US1L038192 US1LO38192 Investor Address: 500 BIELENBERG DRIVE 2 OC1233 MATTHEW 9725816535 2149197291 12149197291@TLS LOSPROD COM USO 005 1.007.750.00 1.007,750.00 0.00 1.007.750.00 FUND MANAGEMENT WOODBURY STAFFORD US-55125 279491 RACE POINT VI CLO LIMITED RPDCT SANKATY KY1L460510 Investor Address: JOHN HANCOCK TOWER 2 OC500 JASON SMALLWOOD 4122341441 2018127917 12145723379@TLS.LDSPROD.COM USD 0.10 1.960,050.37 1.960.050.37 000 1.960,050.37 ADVISORS. LLC 200 CLARENDON STREET FL41 BOSTON US-02116 299651 0WS GLOBAL HIGH INCOME FUND INC DWSGDCT DEUTSCHE ASSET US1L130163 USIL130163 Investor Address: ONE BEACON STREET 2
OC01 LIZ DELGADO 2122500588 6173300221 ELIZABETH.DELGADO@DB.COM USD 0.02 314,774.99 314,77499 000 314,77499 MANGMNT HY 11TH FLOOR BOSTON US-02108 301741 VIRTUS LOW DURATION INCOME FUND VLLDCT NEWFLEET" USI.L491524 Investor Address: 101 MUNSON STREET 2
OC12 AMY KEITH 8607605815 4693756877 14693756877@TLS.LDSPROD COM USD 002 399,329.56 399.32996 000 399.329 96 HARTFORD GREENFIELD US-01301 1
306927 HIGHLAND IBOXX SENIOR LOAN ETF PYXISDCT HIGHLAND CAPITAL US1L557167 US1L557167 Investor Address: 200 CRESENT COURT 2
OCt RETAIL DATA TEAM 9724196275 9726637708 R-SETrLEMENT@PYXISCAP.COM USD 0 W 1.736,218.55 1.736,218.55 0.00 1.736.218.55 (FKA PYXIS IBOXX SENIOR LOAN ETF)
MANG FM SUITE 700 DALLAS US-75201 307164 WTC CTF CORE BOND PLUS HIGH WTCDCT WELLINGTON US1L245599 US1L245599 Investor Address: 280 CONGRESS STREET 2 OCI MATTHEW 9725816535 2012835804 12012835804@TLS LDSPROD.COM USO 003 569,250.00 569,250.00 0.O0 569.250.00 YIELD BOND PORTFOLIO MANAGEMENT BOSTON STAFFORD US-02210 312740 AMERICAN EQUITY INVESTMENT LIFE AEIDCT BLACKSTONE DEBT USOM001C35 USOM001C35 Investot"Address 100OCWESTOWN 2
OC12 MICHAEL CAROZZA 6176629737 6179370171 16026804093@TLS.LDSPROD.COM USD 0.00 0.01 0.01 0.00 0.01 INSURANCE COMPANY ADVISORS PARKWAY WEST DES MOINES US-50266 313906 MIWRD RETIREMENT FUND MWRDDCT PIONEER US1L495475 US1L495475 Investor Address. 111E ERIE ST SUITE 330 2
OCi PHILIP COLBURN 6174224565 4692771497 14692771497@TLS LDSPROD.COM USD 0.00 99,248.12 99,248.12 0.00 99,248.12 INVESTMENT CHICAGO US-60611 316639 LOW RETIREMENT GROUP TRUST LOAN WESTERN ASSET US1L548067 LS1L548067 Investor Address. 2030 DOW CENTER 2
OCt JOSEPH DE JESUS 3126306521 2145723591 12145723591@TLS LDSPROD COM USD 0.01 198,496 24 198,496.24 0.00 198,496.24 MANAGEMENT MIDLAND US-48674 330664 BLUECROSS BLUESHIELD OF SHIELD WELLINGTON US1L186076 US1L186876 Investor Address: 1 CAMERON HILL CIRCLE 2 OCi MATTHEW 9725816535 4698287746 14698287746@TLS LDSPROD COM USD 0.02 495.00000 495.000.00 000 495,000.00 TENNESSEE INC MANAGEMENT CHATTANOOGA STAFFORD US-37402 334966 JFIN CAPITAL 2013 LLC JFIN BABSON CAPITAL USOM08TT9 USOM005TT9 Investor Address: 520 MADISON AVENUE 2
OCi MICHAEL BURNS 6176629741 6179370638 MICHAEL BURNSJR@STATESTREET COM USD 0.15 2,970,000 00 2,970,000 00 0.O 2,970,000.00 MANAGEMENT NEW YORK US-10022 337535 WORKERS COMPENSATION FUND WCFCP WELLINGTON USOM0064H6 USOM0564H6 Investor Address. 100 WEST TOWNE RIDGE 2 OC01 MATTHEW 9725816535 4698287868 146982878680TLS.LDSPROO.COM USD 0.03 565,891.96 565,891 96 0.00 565.891 96 MANAGEMENT PARKWAY STAFFORD SANDY US-84070 338315 AMERICAN HONDA MASTER AHMR WELLINGTON US1L439747 US1L439747 Investor Address 1919 TORRANCE BLVD 2
OCol MATTHEW 9725816535 2145455261 12145455261@TLS.LDSPROD.COM USD 0.01 221,383.78 221,38378 0.00 221,353.78 RETIREMENT TRUST MANAGEMENT TORRANCE STAFFORD US-90501 338535 MATHENA INVESTMENTS LLC CALIFORSLT Delaware USOM007T89 USOMOO7T89 Investor Address: 3533 NW 173 RD CIR 2
OC2 BRIDGETTE 2152552814 2672340803 9ANKLOANS@DELINVEST.COM USD 0.00 99,248.12 99,248.12 0.00 99,248.12 Investments EDMOND GILLESPIE US-73012 338952 ALLEGHENY TECHNOLOGIES ALLGATES WESTERN ASSET USOM003WSO USOM003WSO Investor Address: 1000 SIX PPG PLACE 2
OCi KYLE MILLER 2135534448 4698287883 14698287883@TLS LDSPROD.COM USD 0 09 1,890,452 26 1.890.452 26 0.00 1.890,452 26 INCORPORATED MASTER PENSION MANAGEMENT PITTSBURGH TRUST US-15222 340215 ASCENSION ALPHA FUND LLC (FKA CHIMCO PIONEER USOM007W01 USOM007W01 Investor Address: 101 S HANLEY ROAD 2
OCt PHILIP COLBURN 6174224565 9726967596 CHIMCO-CHKB@STATESTREET.COM USD 002 321,93609 321,936.09 0.00 321,92609 CHIMCO ALPHA FUND LLC)
INVESTMENT SUITE 20c CLAYTON US-63105 340219 ASCENSION HEALTH MASTER PENSION AHMPT PIONEER USOM007W19 USOM007W19 Investor Address: 4600 EDMUNDSON ROAD 2 OC001 PHILIP COLBURN 6174224565 9726967597 USD 001 148,50000 148.50000 0.00 148,50000 TRUST INVESTMENT ST LOUIS US-63134 Page 23 of 25
NRG Energy, Inc. - SF-328 A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE #
ENTITY FAX 0 ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 351646 FCCI INSURANCE COMPANY FCCIIC KDP ASSET USOMD08021 USOM008021 Investor Address 6300 UNIVERSITY PKWY 2 0c1 LYNN GUY 8022292848 8023184248 3ACKOFFICE@KDPAM COM USD 0.02 496.240.60 496.240.60 0.00 496,240.60 MANAGEMENT SARASOTA US-34240 352378 CHURCHILL FINANCIAL CAYMAN LTD CHUR Churchill Financial KY1L004193 KY1L004193 Investor Address: 400 PARK AVENUE SUITE 2 0C1 MICHAELDZWOLAK 2126483963 6173300758 CARLYLE-0758@STATESTREET.COM USD 0.18 3.641.61162 3.641.61162 000 3.641.611.62 LLC.
1510 NEW YORK US-10022 353888 MTL INSURANCE COMPANY MTLINS WELLINGTON USOM008658 USOM008658 Investor Address: 1200 JORIE BOULEVARD 2 Oc1 MATTHEW 9725816535 9725840028 19725840028@TLS.LDSPROD COM USD 050 990.000 00 990.000 00 0.00 990,000.00 MANAGEMENT OAK BROOK STAFFORD US-60523 353945 MAINSTAY VP UNCONSTRAINED BOND MVN MACKAY SHIELDS US1L336364 JS1L336364 Investor Address: 51 MADISON AVENUE 2
OC03 NUNZIA 2122303832 2127350406 MAINSTAYBANKLOANS@STATESTREET.COM USD 0.03 693,000.00 693.000.00 0.00 693.000 00 PORTFOLIO PNJ MAZZOCCOLI NEW YORK US-10010 356382 LOOMIS SAYLES CORE PLUS BOND LOO LOOMIS SAYLES USIL222804 US1L222804 Investor Address: C/O NATLXIS ASSET 2
OC001 JOSEPH ANGELONE 6174787447 6174822274 BLOPERATIONS@LOOMISSAYLES.COM USO 027 5,442,493.98 5,442.493.98 0.00 5.442,493 98 FUND MANAGEMENT ADVISORS LP 399 BOYLSTON STREET BOSTON US-02116 356383 LOOMIS SAYLES CORE PLUS FIXED LOOFIT LOOMIS SAYLES US1L541252 US1L541252 Investor Address: ONE FINANCIAL CENTER 2 OC001 JOSEPH ANGELONE 6174787447 6174822274 BLOPERATIONS@LOOMISSAYLES.COM USD 0.04 801.900.00 801,900.00 0.00 B01.900.0S INCOME TRUST BOSTON US-02111 357889 UHID POLICE AND FIRE PENSION OHIO PENN CAPITAL USOM009609 USOM0096Q9 Investor Address: 140 EAST TOWN ST 2
OC003 SHANE SMITH 9725816572 2818987415 IENNCAPITAL@MARKITWSO.COM USD 0.10 1.969.924.81 1.969.924.81 0.00 1.969.924.81 FUND MANAGEMENT COLUMBUS US-43215 358035 MACQUARIEJFIRST TRUST GLOBAL MAPID Delaware US1L550444 USIL550444 Investor Address: 120 E LIBERTY DRIVE 2
OC001 JEFFERY MCKEAN 5088713125 5088718907 IIRSTiRUST@PNCGIS COM USD 0.01 200.000 00 200.000,00 0.0 200,000.00 INFRASTRUCTUREIUTILITIES DIVIDEND Investments SUITE 400 AND INCOME FUND WHEATON US-60187 358985 VERIZON MASTER SAVINGS TRUST VMST ROGGE GLOBAL USOM01S7 USOM008157 Investor Address. 295 N MAPLE AVE 2
OC1 LOUISE NOLAN 2078428430 7078428431 UETTLEMENTS@ROGGEGLOBAL.COM USD 0.05 992.481.20 992.481.20 0.SO 992,481.20 PARTNERS BUILDING 7 1ST FLOOR SOUTH BASKING RIDGE US-07920 360894 VANTAGE TRUST VTRST Principal Financial USOM00B8D5 USOMW0B8D5 Investor Address: 777 NORTH CAPITOL 2
OC001 CUSHING ALAN 515 2 3 5 53 33 L665088946 ULGAMINVACCTBANKLOAN@EXCHANGE.PRINCIPAL.COM USD 0.03 670,672.91 670,672.91 0.00 670,672.91 Group STREET NE STE 600 TAX WASHINGTON US-200024240 362011 AMBAC ASSURANCE CORPORATION AACP WESTERN ASSET USOMOOB9B7 USOM00B9B7 Investor Address: ONE STATE STREET 2
Oc1 KYLE MILLER 2135534310 4693318003 14693318003@TLS.LDSPROD.COM USD 010 1.989.949.75 1.989.949.70 000 1.989.949 75 MANAGEMENT PLAZA NEW YORK US-10004 363896 NEWFLEET MULTI SECTOR INCOME NFMS NEWFLEET USOM006504 USOM006504 Investor Address' 2 BETHESDA METRO 2
Oc1 AMY KEITH 8607605815 4698287828 14698287828@TLS.LDSPROD.COM USD 0.02 324.45592 324,451,12 0001 324,450.02 ETF HARTFORD CENTER STE 1330 BETHESDA US-20814 364112 NJEUBERGER BERMAN ALTERNATIVE NBAF Loeb Capital USOMOOBH67 USOM00BH67 Investor Address: 605 THIRD AVENUE 2ND 2
OC1 JO RUSSO 2124837052 2125742003 LOEBOPEEATIONS@LOEBCAP.COM USC 003 686.53266 686.532.66 000 686.532.66 FUNDS NEUBERGER BERMAN Management FLOOR ABSOLUTE RETURN MULTI MANAGER NEW YORK FUND US-10188 367363 DOUBLELINE LOW DURATION BOND DOUB DOUBLE LINE USOM00CGV2 USOM00CGV2 Investor Address: 333 SOUTH GRAND 2
Oc1 STEPHANIE BAZA 6176036415 8664059021 DOUBLELINE.LOW.DURATION@USBANK.COM USD 0.40 7.964.811.47 7,964.811.47 000 7.964.811.47 FUND CAPITAL LP AVENUE SUITE 1800 LOS ANGELES US-90071 367364 LOMMINGLED PENSION TRUST FUND COPET JPMORGAN ASSET USOMOOBMV2 USOMOSBMV2 Investor Address 270 PARK AVENUE 2
C0002 LUKE JENNINGS 3026345616 3026345868 BANK_LOANS@JPMORGAN.COM USD 001 248,743.72 248,743.72 0.00 248.743.72 FLOATING RATE INCOME OF MANAGEMENT NEW YORK JPMORGAN CHASE BANK N A US-10017 367480 CHI OPERATING INVESTMENT BLDI SANKATY USOM00B6Q1 USOM00B6Q1 Investor Address 198 INVERNESS DRIVE 2
OC1 PORTFOLIO 2135534310 1000000000 LATHOLICHEALTHINITIATIVES@TLS LDSPROD.COM USD 0.00 0.01 0.01 0.00 0.01 PROGRAM L P ADVISORS, LLC WEST OPERATIONS TEAM ENGLEWOOD US-80112 367614 WELLMARK INC WELLIN WELLINGTON USOMOOC100 USOMODC100 Investor Address: 1331 GRAND AVE STA 2
C0091 MATTHEW 9725816535 2143069775 12143069775@TLS LDSPROD COM USD 0.05 994,974.87 994.974.87 0.00 994.974.87 MANAGEMENT 4W526 STAFFORD DES MOINES US-50309 370121 ROCKVILLE BANK ROCV ROCKVILLE BANK US1L160723 US1L160723 nvestor Address: 1645 ELLINGTON ROAD 2
002 SARA SITKA 860291385.
L602913691 LZITKA@ROCKVILLEBANK.COM USD 0.50 9.924.812.03 9.924.812.03 0.00 9.924.812.03 SOUTH WINDSOR US-06074 370124 LOEB KING ALTERNATIVE STRATEGIES LKA Loeb Capital USOM00CBW1 USOMOOCBW1 Investor Address: 61 BROADWAY 24 FLOOR 2 OC01 JO RUSSO 2124837052 2`125742003 LOEBOPERATIONS@LOEBKING.COM USD 0.00 52.733 67 52.733 67 0.00 52,733.67 FUND Management NEW YORK US-10006 370163 SEASONS SERIES TRUST DIVERSIFIED SEAS WELLINGTON USOMOOCOl1 USOM0000C 1 Investor Address ONE SUNAMERICA 2
OC1 CHRIS BASSI 9725816257 4696192932 14696192932@TLS.LDSPROD.COM USD 0.01 241,743,72 248,74372 0.00 248,743,72 FIXED INCOME PORTFOLIO MANAGEMENT CENTER CENTURY CITY LOS ANGELES US-90067 Page 24 of 25
NRG Energy, Inc. - SF-328 A INVESTOR I
ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL Investor Name
[
MNEMONIC Fund Manager ME! Code OTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE D ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 371335 DUNHAM FLOATING RATE BOND FUND DFR NEWFLEET' USOM00CN76 USOM0CN76 investor Address 80 ARKAY DRIVE 2
00C1 AMY KEITH 8607605819 2146461859 12146461959@TLS.LDSPROD.COM USD 0.03 587.599 07 587.599 07 000 587,599.07 HARTFORD HAUPPAUGE UIS11788 372195 REGENCE BLUECROSS BLUESHIELD REGE PIMCO USOM00CXL8 USOMOOCXL8 Investor Address: 190 SW MARKET 2
C051 BANK LOAN 9499323005 6174914757 IIMCO-03042@STATESTREET.COM USD 0.00 66.331.66 66,331.66 0.05 66.331.6E OF OREGON PORTLAND ACCOUNTING US-97201 372202 REGENCE BLUECROSS BLUESHIELD REBU PIMCO USOMOOCXP9 USOM00CXP9 Investor Address: 2890 EAST 2
OC001 3ANKLOAN 9499323005 6174514777 PIMCO-03045@STATESTREET.COM USD 000 33.16583 33,16583 0.59 33.165.83 OF UTAH COTTONWOOD PARKWAY ACCOUNTING SALT LAKE CITY US-84 121 372207 IEGENCEBLUESHIELD REGEN PIMCO USOM003WT8 USOM003WT8 Investor Address 1800 NINTH AVE 2
0C1 BANK LOAN 9499323005 6174514768
-IMCO-03044@STATESTREET COM USD 0.01 129.34673 129,346.73 0.00 129,346.73 SEATTLE ACCOUNTING US-98101 372208 IREGENCE BLUESHIELD OF IDAHO RKR PIMCO USOMO0CXM6 USOMOOCXM6 Investor Address. 1602 21ST AVE 2
OC001 BANK LOAN 9499323005 8174514800 IIMCO-03043@STATESTREET.COM USD 0.00 19.89950 19,899.50 0.00 19,899.50 LEW STON ACCOUNTING US-83501 372678 PINNACOL ASSURANCE PINNA PINEBRIDGE USOM00D959 USOMOOD959 Investor Address: 7501 E LOWRY BLVD 2
OC001 MATTHEW ZAIMA 8168711805 2012835507 SLSKC3@STATESTREET.COM USD 002 494.152 07 49415207 0.00 494.152 07 INVESTMENTS DENVER US-80220 372701 GALLATIN CLO VI 2013 2 LLC GALVI URSAMINE CREDIT USOM00D512 USOMO0D512 Investor Address. 850 LIBRARY AVE STE 2
Oc1 ANTHONY STARK 2126019166 2143069094 121430e9094@TLS LDSPROD.COM USD 007 1.485.000.00 1.485,000 00 0.00 1.485,000.00 ADV LLC 204 NEWARK US-19711 383702 NEWFLEET INSTITUTIONAL LOAN NFI NEWFLEET USOMO0J8P1 LSOM00J8P1 investor Address 300 DELAWARE AVENUE. 2 OC01 AMY KEITH 8607605815 4698043902 14698043902@TLS LDSPROD COM USD 0.00 99,874.06 99,874 00 0.00 99,874 0E TRUST HARTFORD 9TH FLOOR WILMINGTON US-19801 384322 PRUDENTIAL INVESTMENT PIP PRUDENTIAL USOM00FJR7 USOM00FJR7 Investor Address: GATEWAY CENTER 2
OC01 JOSEPH 9738028616 9733678047 JOSEPH.LEMANOWICZ@PRUDENTIAL.COM USD 002 498.740.55 498,740.99 0.00 498,740.55 PORTFOLIOS INC 17 PRUDENTIAL INSURANCE THREE LEMANOWICZ SHORT DURATION MULTI SECTOR 100 MULBERRY STREET 3OND FUND NEWARK US-071024077 384983 MANNING AND NAPIER FUND INC HIGH MNH MANNING N NAPIER USOM0ODOM1 USOM00DOM1 Investor Address 290 WOODCLIFF DR 2
OC01 SHANE DEGNAN 5853256880 0000000000 SDEGNAN@MANNING.NAPIER.COM USD 0.10 1.994,962.22 1.994,962.22 0.00 1,994,962 22 YIELD BOND SERIES ADV LLC FAIRPORT US-14450 180
_707.754,277.21 Total 100.00 #MW 0.00 Page 25 of 25
NRG Energy, Inc. - SF-328 B Citibank N.A Investor Contact Report (OC Report)
As Of: 25-JUN-2014 Tranche Ref No: 031BTPR131610003 Reference Date : 05/3012014 Tranche Ref No: 031BTPRI31610003 Tranche Name: NRG ENERGY RC SENIOR INVSTGIK Arit TU-AL TOTALrLrAN -
n r
-Lr-Investor Name MNEMONIC Fund Manager MEI Code DTCCCODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE # ENTITY FAX N ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 059089 DNB BANK ASA (FKA DNE NOR BANK ONBASAUSD DNB NOR BANK NO1L177325 Investor Address: DRONNING EUFEMIAS Foreign OC0143AGY ALBERTO CACEDA 83 2 2 14580 7
0322145839 ALBERTO.CACEDA@DNB.NO USD 3.98 100,000,000.00 12,943.050.58 52,165,t45.94 65,108,896.52 ASA)
ASA GATE 30 OSLO NO-01 91 061337 THE ROYAL BANK OF SCOTLAND RBSUSD RBS GREENWICH GB11211398 0B11211398 Investor Address: 42 ST. ANDREWS Foreign OC131 LISA SHULSEN 8013126187 2038735019 GBMUSOCLENDINGOPERATIONS@RBS.COM USD 4.78 129.000,000.04 15.531.660.69 62.599,015.13 78,130,875.82 GROUP PLC CAPITAL SQUARE EDINBURGH SCOTLAND GB-095191 SUMITOMO MITSUI BANKING 095191USD SUMITOMO JP1L113879 Investor Address: CUSTOM HOUSE Foreign OC01 KRISTEN LEE 2122244314 2122245197 KRISTENMYUNGHEE_LEE@SMBCGROUP.COM USD 3.98 100,000,000.00 12,943,050.58 52,165,845.94 65,108,898.52 CORPORATION MITSUI BANKING DOCKS DUBUN IRELAND IE-3 208.348,468.86 057609 THE BANK OF TOKYO-MvITSUBISHI UFJ, ACSBTM BANKOFTOKYO JP1L164542 JP1L164542 InvestorAddress: 1251 AVENUE OF THE 1 OC0101AGY JAJMEVELEZ 2014138586 2015212304 JVELEZ@US.MUFG.JP USD 2.35 59.00,000.04 7,636,399.84 30.777.849.10 38,414,248.95 LTD (BANK OF TOKYO)
MITSUBISHI AMERICAS 14 TH FL NEW YORK JP-10020 057628 DEUTSCHE BANK AG NEW YORK AADBAG Deutsche Bank Ag DE1L156826 DElL156826 Investor Address: 60 WALL STREET I
OCOlOlAGY PARAMJITSIHRA 2122503981 7323803359 DB.LOANTRADINGOPS@DB.COM USD 6.73 169,000,000.00 21,873,755.46 88,160.279.64 110,034,035.12 BRANCH NEW YORK US-10005 057658 BANK OF AMERICA NA 057658USD BANKOF USIL223141 US1L223141 InvestorAddress: 1850 GATEWAY 1
DC9000AGY4 FAIR VALUE 9803864605 7046023632 FAIRVALUEOPTION_SERVICING TEAM@BANKOFA USD 6.73 169,000,000.0 21.873.755.48 88,160,279.6Z 110,034,035.12 AMERICA, NA.
BOULEVARD SERVICING TEAM MERICA.COM CONCORD CA 94520 US-94520 057661 BARCLAYS BANK PLC(NEW YORK VBB2 BARCLAYS BANK GBIL182938 UB1L182938 Investor Address: 1 CHURCHILL PLACE 1
CC057661T USLOAN 2125269870 9725355728 USOVERSIGHTTEAMCHEN@BARCLAYSCAPITAL.CO USD 6.73 169,000,000.00 21.873,755.48 88,160,279.64 110,034.035.12 BRANCH)
PLC 11TH FLOOR OPERATIONS M
NEW YORK, NY 10265 GB-i 0265 057680 LNP PARIBAS (BNP PARIBAS)
VIJEBNP BNP PARIBAS FR1L377510 IR1L377510 Investor Address: 787 SEVENTH 1
OC1201A PATRIZIARIZZO 5142856042 2016167918 NYK_LSLOANBOOK@US.BNPPARIBAS.COM USD 3.98 100,000,008.00 12,943,050.58 52,165,845.94 65,108.896.52 AVENUE, 32ND FL NEW YORK, NEW YORK 10019 FR-057697 CREDIT AGRICOLE CORPORATE AND CALYON CREDIT FROM0001K2 FROMO001K2 Investor Address: 1301 AVENUE OF THE 1 00012 GENER DAVID 7325907751 9178495543 GENER.DAVID@CA-CIB.COM USD 6.73 169,000,000.04 21,873,755.48 88,160,279.64 110,034,035.12 INVESTMENT BANK(F/KIA AGRICOLE AMERICAS CALYON)(CALYON)
NEW YORK FR-10019 057732 ROYAL BANK OF CANADA CAPRB ROYAL BANK OF CAlL116960 CA1L116960 Investor Address: ONE LIBERTY PLAZA I
OC0250AGY LOANS 2124286322 2124282372 USD 4.98 125,000,000.00 16,178,813.22 65,207,307.43 81,386,120.65 CANADA NEW YORK ADMINISTRATION CA-10006 057746 UNION BANK NA (FKA UNION BANK OF AESUBC UNION BANK OF US1L058299 Investor Address: 400 1
OC0258AGY COMMERCIAL LOANS 3237246198 6004469951 CLOSYND@UNIONBANK.COM USD 2.99 75,000,000.00 9,707,287.93 39.124.384.46 48,831,672.39 CALIFORNIA)
CALIFORNIA CALIFORNIA STREET OPERATIONS SAN FRANCISCO, CA US-94104 057887 JPMORGAN CHASE BANK NA (JPM JPMCBKDCT JPMORGAN US1L019291 US1L019291 Investor Address: 270 PARK AVENUE 1
OCO201A SHASHANK M JAIN 8066764242 2012443885 SHASHANK.M.JAIN@JPMORGAN.COM USD 5.97 150,000.000.00 19,414,575.87 78.248.768.91 97,663,344.78 CHASE)
CHASE BANK, N.A.
NEW YORK, NY US-10017 058244 MORGAN STANLEY BANK, NA ACSMS MORGAN US1L094930 US1L094930 Investor Address: ONE UTAH CENTER I
0C101 MORGAN STANLEY 4436274355 7182332140 MSLOANSERVICING@MORGANSTANLEY.COM USD 4.98 125.000,000.Oo 16,178,813.22 65.207,307.43 81,386,120.65 (MORGAN STANLEY)
STANLEY SENIOR 201 SOUTH MAIN STREET, 5TH FLOOR SALT LAKE CITY, UT US-84111 058347 MORGAN STANLEY SENIOR FUNDING AAMSSF MORGAN US1L022337 US1L022337 Investor Address: 1585 BROADWAY CrO 1 OC001 MORGAN STANLEY 4436274355 7182332140 MSLOANSERV1CING@MORGANSTANLEY.COM USD 1.75 44.000.000.0 5,694,942.25 22,952,972.21 28,647,914.47 INC STANLEY SENIOR TAX DEPARTMENT 1633 BROADWAY.25 TH FLOOR NEW YORK US-I0019 058415 KEYBANKNATIONALASSOCIATION EMKBN KEYBANK US1L035115 US1L035115 Investor Address: 127 PUBLIC SQUARE 1
0C61013 LASHAWN DALTON 2168134819 2163706114 LASHAWNDALTON@KEYBANK.COM USD 1.39 35.000,000.00 4,530,067.70 18.258,D46.08 22,788,113.78 (KEYBANK NATL ASSOCIATION)
CLEVELAND US-449114 058782.
INGCAPITALLLC ARMING NG Capital LLC US1L102188 Investor Address: 1325 AVENUE OF 1
0C002 ERMELINDAYOUNG 1644248240 16464248251 DL-NYCLOANADMINISTRATION@AMERICAS.ING.COM USD 3.98 t00,00,000.0 12,943,050.58 52.165,845.94 65,108,896.52 AMERICAS NEW YORK, US-10019 I
I Pagge 1 of 2
NRG Energy, Inc. - SF-328 B INVE3l5UK A.5fT TIThEAL IUIALLU ITUAL L TOTAL Investor Name MNEMONIC Fund Manager MEI Code DTCC_CODE INVESTOR DETAILS Foreign OC CONTACT ENTITY NAME ENTITY PHONE N ENTITY FAX #
ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 060016 CITIBANK, NA. - ORIGINATIONS STPCUSD-18 CITIGROUP US1L027740 DU0CITI3 Investor Address: 320 PARK AVENUE 1
OC6900AGY ANNEMARIE PAVCO 3028946010 3028946120 AGENTNOTICE@CITI.COM USD 673 169,00,000.00 21,873,755.48 88.160,279.64 110,034,035.12 GLOBAL 30TH FLOOR MARKETS NEW YORK. NY 10043 US-10043 060098 CREDITSUISSEAGCAYMAN ISLANDS FREDS1 CREDIT SUISSE CHIL156797 CHIL156797 Investor Address: ELEVEN MADISON 1
OC0928AGY DERRICK RAY 9199945559 8664693871 18664693871@DOCS.LDSPROD.COM USD 6.73 169,000,000.00 21.873.755.48 88.160.279.64 110,034,035.12 BRA NCH AVENUE NEW YORK. NY 10010-3629 CH-1O010 060099 COMMdERZBANK AG. NEW YORK AND COMMBUSD COMMERZBANK DE1L156768 Investor Address: 2 WORLD FINANCIAL 1 OC012345 LYLE BOOTH 2122667379 2122988111 LYLE.BOOTH@COMIERZBANK.COM USD 2.99 75.000.000.00 9.707,287.93 39.124.384.46 48.831.672.39 GRAND CAYMAN BRANCHES AG CENTER NEW YORK DE-10281 095138 NATIXIS-NEW YORK NATNY09260 NATIXIS FRlLl81185 InvestorAddress: 1251 AVENUEOFTHE 1 OC4575AGY ROSLYN ADAMS 2128725177 2017616934 ROSLYN.ADAMS@US.NATIXIS.COM USD 3.98 100,000,000.00 12,943,050.58 52,165,845.94 65,108,896.52 7
AMERICAS 34TH FLOOR NEW YORK NEW YORK FR-10020 110172 CIT BANK CITB CIT GROUP US1L027781 Investor Address: 2180 SOUTH 1300 1
OCi DEBORAH 4347916322 2124617855 DEBORAH.CHANDLER@CIT.COM USD 0.80 20,000,000.00 2,588,610.12 10,433.169.19 13,021,779.30 EAST. SUITE 250 CHANDLER SALT LAKE CITY UT US-84106 136202 GOLDMAN SACHS BANK USA GOLDDLC GOLDMAN SACHS US1L131229 US1L131229 Investor Address: 200 WEST STREET 1
OC17 OPERATIONS O000000000 9179773966 USD 6.73 169.000.000.00 21.873.755.48 88.160,279.64 110.034.035.12 BANK USA TAX DEPARTMENT CONTACT NEW YORK. NY US-i10282 10282 22-1 1.426,535,922.72 ITotal 1100.0012,511,000,000.011325.000,000.00_1,309,884T391.5811,634, 884,391.58 Pagge 2 of 2 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.06.10 AT 09:36:18 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 06/09/2014 Security Description GCB NRG ENERGY INC D11/08/11 07.6250/ J J18 Cusip 629377BN1 Participant 0756 AEIS INC.
0158 APEX CLEAR 4816 BKNS/CLIEN 2510 BNY/PRUDEN 0954 BNYMEL/TST 0010 BROWN BROS 0164 CHS SCHWAB 2170 COMMERCE 0385 E*TRADE 0141 FRST CLEAR 0534 INT BROKER 2164 IMP/CCS2 2517 IPM/PRUDEN 2424 J PMCB/CTC 0990 MFG TRADE 5198 ML SFKPG 0015 MSSB 2669 NRTHRN TR 2616 PNC BK,NA 0235 RBCCAPMKTS 2039 SEI PRIVAT 0997 SSB&T CO 2950 SSB/TETF 0793 STIFEL 4805 TORON-BK**
2450 UMB BK,NA 0062 VANGUARD 2116
%. 11. 1T.-
R.B...T......
B 2116 5TH-3RD BK Quantity Participant 115000j 2567 AI4AL BK 390001 0901 BANK OF NY 2500000 z 0992 BMO/TRUST 40889000' 8275 BNY/WEALTH 91147000 0955 BOAGI 185175000 2687 CALDWELL 3058000 0908 CITIBANK 10000 0052 COR LLC 440000 0987 FID SSB 2170000 0005 GOLDMAN 30000 0374 IMS LLC 13500001i 8187 JPM/OPERS*
3391000 i 0352 JPMC CLEAR
- 250000, 0902 JPMCBNA 49000 2932 MITSUB UF.
656000 0773 MLPFS/FIX 26784000i 5008 NBCN INC**
12910000 0571 OPPENHEIME 57000 0547 R W BAIRD 960000 5962 RELIANCE 2166000 2663 SEI PV/GWP 290447000 2375 SSB&T/ISHA 48289000 -
0419 STEPHENS 472000 0188 TD AMERITR 5000000' 0221 UBS FINAN Quantity 15000 99596500' 80000 611000i 880001 i.........
oo o....
50000!
1 42064000i 35000!
385000o 2890600i 45000i 550000 15708000'
.124634500!
150000ý
...; o oo...
1295000 100000 641000o 387000i 6000i 50000 i 2970000;
- 50000, 9560001 1749000V 19261000:
75000 Participant 2352 AMALGAMATE 0702 BB&T SEC 2787 BNP/CUST 2920 BNYM/NSAL 2209 BONY/SPDR 0274 CGM/SAL BR 2108 COMERICA 0573 DEUTSCHE 2126 FID TR BOS 5208 GS iNATL 2357 IPM BK/IA 2255 JPM/PCS SS 2035 JPMC/INT'L 0075 LPL FIN CO 2888 MIZUHO BNK 0050 MORGAN LLC 0226 NFS LLC 0443 PERSHING 0725 RAYMOND 0705 SCOTTRADE 0279 SOUTHWEST 2767 SSB-BRIT 0750 STERNE AG 0549 TIMBER HIL 0642 UBS SECLIC 0367 USAA INVES 2027 WELLS BKNA Quantity 150000:
10650001 16687000*
1050000:
16555000 773000.
161000 913000 50000.
373400 630000:
55000 70000
- 641000, 2055000
- 4000000, 3730000.
8851000; 366000O 73000.
- 100000, 31830000 50000.
96000 2735000i 15000i 3875000; o
215000 2803 US BANK NA 130000 0103 WEDBUSH 190000 Total 1130281000 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.05.30 AT 10:08:48 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 05/29/2014 Security Description CB NRG ENERGY INC. D06/05/09 Cusip 8.500% JD19 629377BG6 Participant 0756 AEIS INC.
0702 BB&T SEC 2209 BONY/SPDR 0908 CITIBANK 0385 E*TRADE 0005 GOLDMAN 0374 JMS LLC 0902 JPMCBNA 0076 MITSUBISHI
.l 0015 MSSB 0571 OPPENHEIMI 2616 PNC BK,NA 4801 RBC DOM**
0705 SCOTTRADE 2319 SSB TRUST 2767 SSB-BRIT 2779 SUMI MITSU 0221 UBS FINAN Quantity i
806000 60000 4832000 5590000 410000'
.., l 2275000 255000 29155000 2500000 28113000 160000 25000 100000i
- 71000, 90o0ooo 1905000; 185000 120440001 Participant 0901 BANK OF NY 0992 BMO/TRUST 0010 BROWN BROS 0651 CRDT AGRIC 0141 FRST CLEAR 0501 GOLDMAN LP 0057 JONES E D 0075 LPL FIN CO 5198 ML SFKPG 0226 NFS LLC 0338 OPTIONSXPR 0547 R W BAIRD 0235 RBCCAPMKTS 2039 SEI PRIVAT 0997 SSB&T CO 0750 STERNE AG 0188 TD AMERLTR 0642 UBS SECLLC 0062 VANGUARD Quantity Participant Quantity 22610000o 0229 BARCLAY/LE 250000!
100000 2787 BNP/CUST 8515000 6840000 0164 CHS SCHWAB 43770001 250000 0361 DAVIDSON 45000'ý 6541000 0309 FST STH CO 390001 706000 1 0534 INT BROKER 670001 105000 0352 JPMC CLEAR 2077000!
316000 0161 MERRIL j
- 250000, 1255000 0050 MORGAN LLC 504000.
4190000 2669 NRTHRN TR 6510001 5000 0443 PERSHING 47300001 17000 0725 RAYMOND
-481000 1056000i 5011 SCOTIA**
105000) 5000 0279 SOUTHWEST 131000 646000001 2375 SSB&T/ISHA 100000:
15000i 0793 STIFEL 462000 946000 1 0549 TIMBER HIL 19000 2550000_
2067 UNION BANK 25000' 275000 0103 WEDBUSH 50000:
I 2803 US BANK NA 0250 WELLS FARG 67000 25000 Total 224738000 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.06.10 AT 09:35:54 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 06/09/2014 Security Description GCB NRG ENERGY XNC D04/18/11 08.250% SM20 Cusip 629377BJ0 Participant Quantity 0756 AEIS INC.
54000 7254 BARC/LDN 297000' 4816 BKNS/CLIEN 7272000 8275 BNY/WEALTH 850000 2209 BONY/SPDR 2650000 0164 CHS SCHWAB 1560000 0385 E*TRADE 155000 0501 GOLDMAN LP 570000 0534 INT BROKER 165000 8187 JPM/OPERS*
53550002.
0902 JPMCBNA 140618000 2205 KEYBANK NA 100000 5198 ML SFKPG 448000 0015 MSSB 13481000 0571 OPPENHEIME 1095000 0725 RAYMOND 375000 0705 SCOTTRADE 60000 2319 SSB TRUST 100000; 2767 SSB-BRIT 211050001' 0188 TD AMERITR 349000 2803 US BANK NA 4615000' 0103 WEDBUSH 50000i S.........
B 7.. 3.....
2116 5TH-3RD BK 713000,!
Participant 2352 AMALGAMATE 0229 BARCLAY/LE 2787 BNP/CUST 0954 BNYMEL/TST 0013 BRNSTN LLC 0908 CITIBANK 0141 FRST CLEAR 2122 HSBCBK/IPB 03/4 IMS LLC 2517 JPM/PRUDEN 0187 JPMS LLC 0075 LPL FIN CO 0773 MLPFS/FIX 0226 NFS LLC 0443 PERSHING 4801 RBC DOM**
2039 SEI PRIVAT 0997 SSB&T CO 0793 STIFEL 0221 UBS FINAN 0367 USWM INE 2027 WELLS BKNA Quantity Participant 200001 0901 BANK OF NY 15000 0702 BB&T SEC 147500001 2510 BNY/PRUDEN 50435000 0955 BOA/GWIM 50000 0010 BROWN BROS 34043000 0715 DAVENPORT 7131000 0005 GOLDMAN 115000 2305 HUNTNGTNNB 1150001 0057 ]ONES F D 14955000 0352 JPMC CLEAR 1800000 2769 KB NA/FTSO 191000 2888 MIZUHO BNK 2159000 0050 MORGAN LLC 2095000!
2669 NRTHRN TR 1227000' 2616 PNC BK,NA 50000' 0235 RBCCAPMKTS 56000 0279 SOUTHWEST 3584070001 2375 SSB&T/ISHA 315000 2779 SUMI MITSU 582000 0642 UBS SECLLC 100002 0062 VANGUARD 2615000 0250 WELLS FARG Total Quantity 84673000 2
10000' 14990000 32000 199572000 250001 5370000' 183000:
109000 1091q000 2790000 2035000 1059000ý 35119000 53000
- 8405000, 32000, 1710000.
- 225000, 325000; 6150001 2000 1061526000 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.05.30 AT 10:09:15 EDT Security Position Report Service Home
> Request Form
> Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 05/29/2014 Security Description GCB 144A NRG ENERGY Cusip D08/20/10 8.250% MS20 629377BH4 Participant Quantity Participant Quantity Participant Quantity 0010 BROWN BROS 625000 2803 us BANK NA
- 500000o, Total 1125000 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.06.10 AT 09:37:16 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 06/09/2014 Security Description CB NRG ENERGY INC D11/15/11 07.875% MN21 Cusip 629377BS0 Participant 0756 AEIS INC.
0901 BANK OF NY 2787 BNP/CUST 8275 BNY/WEALTH
- 2209 BONY/SPDR 0164 ClS SCHWAB 2108 COMERICA 0385 E*TRADE 2975 FTB/PUBLIC 0824 ICBCFS/EQU 2357 IPM BK/IA 2255 JPM/PCS SS 0902 JPMCBNA 2205 KEYBANK NA 2932 MITSUB UF]
0050 MORGAN LLC 2669 NRTHRN TR 2616 PNC BK,NA
- 0235 RBCCAPMKTS 0705 SCOTTRADE 2319 SSB TRUST 2767 SSB-BRIT 2779 SUMI MITSU 0221 UBS FINAN 0280 US BANCORP 0103 WEDBUSH 2116 5TH-3RD BK Quantity 121000 147348000 3948000 600001 8800000) 3240000i 2593000i 105000i 1429000 50000 488000 105000 1445580001 3060001 500000 1140000 39488000.
1128000 1343000.
10000 3525000 16033000' 25000 5136000i 6000 50000:
1762000!
Participant 2567 AMAL BK 0229 BARCLAY/LE 0963 BNY/BNY ET 0954 BNYMEL/TST 0010 BROWN BROS 0908 CfTIBANK 0651 CRDT AGRIC 4818 FIDUCIE**
C000 GOLDMAN 0374 JMS LLC 2164 JPM/CCS2 2517 JPM/PRUDEN 0187 IPMS LLC 0075 LPL FIN CO 5198 ML SFKPG 0015 MSSB 0571 OPPENHEIME 0547 R W BAIRD 4707 RBCR/CDS**
2039 SEI PRIVAT 0997 SSB&T CO 2950 SSB/TETF 0188 TD AMERITR 0642 UBS SECLLC 2803 US BANK NA 2027 WELLS BKNA Quantity Participant 150001 2352 AMALGAMATE 257000!r 0992 BMO/TRUST 1109000 2510 BNY/PRUDEN 11364060001 0955 BOA/GWIM
'z134972000; 0274 CGM!SAL BR 64561000 i 2392 CITY N/B 20000001 0573 DEUTSCHE 300000 1 0141 FRST CLEAR 250001 2305 HUNTNGTNNB 10000 0057 JONES E 0 1190000:
8187 JPM/OPERS*
11225000 0352 IPMC CLEAR 418000f 2769 KB NA/FTSO 174000 0990 MFG TRADE 1436000) 073 MLPFS/FIX 14364000 0226 NFS LLC 510000 0443 PERSHING 69000 0725 RAYMOND 230001 0971 REGIONS BK 370000ý 0279 SOUTHWEST i296644000{
2375 SSB&T/ISHA 11281000 0793 STIFEL 596000i 0549 TIMBER HIL 425000 2145 UNION BANK 16139000 0062 VANGUARD 5470000 0250 WELLS FARG Total Quantity 1910001 14170001
- 16897000, 4
- 1303000, 500000ý 10000' 150000; 12180000 373000!
3000' 6500000' 5270000 3420000o 413000; 332000 1223000' 1419000:
368000O 1490000:
70000
- 900000, 741000
- 44000, 400000!
20000:
i 82000.
1128040000 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.06.10 AT 09:37:41 EDT Security Position Report Servtce Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 06/09/ 2014 Security Description CB NRG ENERGY INC D03/15/13 06.62501b MS23 Cusip 629377BUS Participant 0756 AEIS INC.
0901 BANK OF NY 0992 BMO/TRUST 8275 BNY/WEALTH 0010 BROWN BROS 2392 CITY N/B 0987 FID SSB 0374 JMS LLC 0352 JPMC CLEAR
%-1 F
2932 MITSUB OF) 0015 MSSB 2669 NRTHRN TR 0547 R W BAIRD 2042 RTC/SWMS1 0997 SSB&T CO 0793 STIFEL 0221 UBS FINAN 2027 WELLS BKNA Quantity 48000 120076000z' 591000*
850001 167536000 50000 180000 7000
...i......................... *......
1540000 712000 42748000 16324000 38000 600000O Participant 2567 AMAL BK 0229 BARCLAY/LE 2787 BNP/CUST 0954 BNYMEL/TST 0164 CHS SCHWAB 2108 COMERICA 0141 FRST CLEAR 2164 PM/CCS2 0902 JPMCBNA 5198 ML SFKPG 5008 NBCN INC**
0571 OPPENHEIME 0725 RAYMOND Quantity Participant 200001 2352 AMALGAMATE 50000' 5710000' 97562000i 9460001 39000 2899000i 3000001 134318000) 6183000!
6175000 161000!
79000i 20000) 1850000!
0702 BB&T SEC 2510 BNY/PRUDEN 0955 BOA/GWIM 0908 CITIBANK 0385 E*TRADE 0534 INT BROKER 2255 JPM/PCS SS 0075 LPL FIN CO 0050 MORGAN LLC 0226 NFS LLC 0443 PERSHING 0235 RBCCAPMKTS I
2319 SSB TRUST 2767 SSB-BRIT Quantity 55000 S.......
350000 313000 6876000 332650001 15000 15000ý 5000' 61000 2004000 1063000 2777000ý 4387000 1800000 17744000 7000
- 40000, 990000000 0705 SCO'TRADE 275964000 2375 SSB&T/ISHA 27000; 0188 TD AMERITR 17697000 2803 US BANK NA 2486000' 2116'5TH-3RDBK 67000 0549 TIMBER HIL 13728000 0062 VANGUARD 2407000!
Total A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.05.30 AT 10:05:56 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 05/29/2014 Security Description GCB144A GENON ENERGY Cusip D10/04/10 9.500% AO18 37244DAA7 Participant Quantity Participant Quantity Participant 0901 BANK OF NY 125000 0908 CMIBANK 375000 5198 ML SFKPG 0015 MSSB 2000000 Total Quantity 1000000o 3500000 A
COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.05.30 AT 10:07:29 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 05/29/2014 Security Description GCB GENON ESCROW CORP D05/11/11 09.500% OA18 Cusip 37244DAC3 Participant 0756 AEIS INC.
0901 BANK OF NY 0992 BMO/TRUST 2510 BNY/PRUDEN 0955 BOA/GWIM 0908 CITIBANK 0385 E*TRADE 0534 INT BROKER 2255 JPM/PCS SS 8112 ]PMCB/OHIO 0075 LPL FIN CO 2932 MITSUB UF T
0705 SCOTTRADE 0997 SSB&T CO 2950 SSB/TETF 0188 TD AMERITR 2145 UNION BANK I
2027 WELLS BKNA Quantity Participant 15000 i 2567 ANAL BK 66595000" 0229 BARCLAY/LE 446000 2787 BNP/CUST 4480000']
8275 BNY/WEALTH 135000ý 0010ý BRWN BROS 32454000f 2108 CON ERICA 93000
,0141 FRST CLEAR 107000 0374 JMS LLC 475000 03.92 JPI4C CLEAR 2795000 0902 1PMCBNA 50000 1 0161 MERRIL 4298000 5198 ML SFKPG 5841000!
0015 M4SSB 1229000' 2669 NRTHRN.TR 5953000 -
2616 PNC BK,NA 10000 0235 RBCCAPMKTS 15000 2039 SEI PRIVAT 218446000 2375 SSB&T/ISHA 25270000 0750 STERNE AG 455000 0549 TIMBER HIL 165000 2803 US BANK NA 5140000i 2116 5TH-3RD BK Quantity Participant 20000 2352 AMALGAMATE 85O000 0702 BB&T SEC 2415000 *4838 BNS/CL-B**
125000° 0954 BNYMEL/TST 62539000j 0164 CHS SCHWAB 10850001 0355 CS SEC USA 2402000 0005 GOLDMAN 10000 8187 JPM/OPERS*
24290000 2424 JPMCB/CTC 403 3300 0 01871 PM S LLC 89780001 0990 MFG TRADE 48/80001 0773 MLPFS/FIX 20..2000;, 5008 NBCN INC**
300700001 0571 OPPENHEIME 80000 0725 RAYMOND 5559000 0971 REGIONS BK 180000 0279 SOUTHWEST 1340000 2767 SSB-BRIT 30000, 0793 STIFEL 70000 0221 UBS FINAN 5377000 0062 VANGUARD 5000001' Total Quantity 636000i 1 I 65000 2 20000C00
- 62070000, I 8170001 50000001 14302000' 8250001
" 65000-0:
234000 j
200000; 115300001:
1000000i
-- 25000; 100001
- 2479000, 114000~
- 12257000 -
35000:
1920001 160000; 67 1486000 A
COMPANY ID: 00550873 ACCOuNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.05.30 AT 10:08:19 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 05/29/2014 Security Description GCB GENON ESCROW CORP DOS/11/11 09.875% OA20 Cusip 37244DAF6 Participant Participant 0901 BANK OF NY 4838 BNS/CL-B**
0955 BOA/GWIM 0164 CHS SCHWAI 0355 CS SEC USA 0141 FRST CLEAR 0534 INT BROKER 0187 JPMS LLC 2932 MITSUB UFJ 0050 MORGAN LLC 2669 NRTHRN TR 0705 SCOT-RADE 2767 SSB-BRIT 0188 TD AM ERJTR 2450 UMB BK,NA 0062 VANGUARD Quantity Quantity Participant 74621000 0229 BARCLAY/LE 1000000 2510 BNY/PRUDEN 3161000' 0010 BROWN BROS 3
842000 0908 CITIBANK 814000 0573 DEUTSCHE 3594000' 0005 GOLDMAN 10000 0352 JPMC CLEAR 1000000o ! 0075 LPL FIN CO 4125000ý 5198 ML SFKPG 4490000!
0015 MSSB
- 4560000, 0443 PERSHING 3
150000 0997 SSB&T CO 8875000?
2950 SSB/TETF 35000.
0549 TIMBER HIL.
375000 2145 UNION BANK 320000 2027 WELLS BKNA 20000 2787 BNP/CUST 21447000 0954 BNYMEL/TST
- 65397000, 0274 CGM/SAL BR 114470001 2108 COMERICA 45480001 0385 E-TRADE 90240001 2122 HSBCBK/IPB 11511000j 0902 IPMCBNA 13000 0161 MERRIL 14299000 0773 MLPFS/FIX 3887000 0226 NFS LLC 11.455000, 0235 RBCCAPMKTS 101487000 2375 SSB&T/ISHA 138:;5000 0793 STIFEL
.274000!
0221 UBS FINAN 699000 2803 US BANK NA 428000't Total Quantity 4115000 57573000!
30C00 1920000i 145000!
120000 91115000 25000 2750000 1066000 66850001 650000i 400001 5208000o 809000.
549993000
SPR Browser Output ATTACHMENT 4B Page 1 of I COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.08.06 AT 10:37:27 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 08/05/2014 Security Description GCB144A NRG ENERGY INC D04/21/14 06.250% MN24 Cusip 629377BX9 Participant Participant Quantity Quantity Participant Quantity 2352 AMALGAMATE 85000 0901 BANK OF NY 163964000 0992 BMO/TRUST 400000 2787 BNP/CUST 14976000 2510 BNY/PRUDEN 63170001 8275 BNY/WEALTH 70000 0954 BNYMEL/TST 96997000 0955 BOA/GWIM 850001 0010 BROWN BROS 96023000 0274 CGM/SAL BR 3412000 0908 CITIBANK 512360001 2108 COMERICA 1200000 0651 CRDT AGRIC 5890001 0355 CS SEC USA 3658000 0958 DESERET TR 615000 0987 FID SSB 50000 0005 GOLDMAN 285000 2305 HUNTNGTNNB 500000 2164 JPM/CCS2 575000 8187 JPM/OPERS*
10000001 0352 JPMC CLEAR 40235000 0902 ]PMCBNA 1115870001 0161 MERRIL 3000000J 0990 MFG TRADE 25000 2932 MITSUB UFJ 22250001 2888 MIZUHO BNK 50170001 5198 ML SFKPG 1190000 0050 MORGAN LLC 60400001 0015 MSSB 1650001 2145 MUFG UNION 115000 5008 NBCN INC**
3050000 0226 NFS LLC 25000 2669 NRTHRN TR 13872000 0571 OPPENHEIME 15000 0443 PERSHING 500001 2616 PNC BK,NA 20000 5011 SCOTIA**
7500001 2039 SEI PRIVAT 1500001 0286 SG AMERICA 4950000 2319 SSB TRUST 81000001 0997 SSB&T CO 3197940001 2375 SSB&T/ISHA 1950000 2767 SSB-BRIT 184000001 0549 TIMBER HIL 90000 2803 US BANK NA 10995000 2027 WELLS BKNA 3430000_
0250 WELLS FARG 5000 2116 5TH-3RD BK 293000 Total 997575000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReport.do 8/6/2014
SPR Browser Output ATTACHMENT 4C Page 1 of 1 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM 2014.08.06 AT 10:35:31 EDT Security Position Report Service Home
> Request Form Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 08/05/2014 Security Description GCB144A NRG ENERGY INC D01/27/14 06.250% J322 Cusip 629377BV3 Participant Participant Quantity Quantity Participant Quantity 2352 AMALGAMATE 385000 0901 BANK OF NY 1 972350001 7254 BARC/LDN 113000 0992 BMO/TRUST 246000 2787 BNP/CUST 1
45930001 0963 BNY/BNY ET J
500000 2510 BNY/PRUDEN 20554000 8275 BNY/WEALTH 1
445000 0954 BNYMEL/TST 138021000 0955 BOA/GWIM 506000 0010 BROWN BROS 152250000 0908 CITIBANK J
74545000 2108 COMERICA4 0355 CS SEC USA I
210000 0987 FID SSB 2510000 2975 FTB/PUBLIC 1872000 2305 HUNTNGTNNB 750000 0019 JEFFERIES 500000 2164 JPM/CCS2 1105000 8187 JPM/OPERS*
2580000 2255 JPM/PCS SS 185000 0352 JPMC CLEAR 2000000 0902 JPMCBNA 220179000 2769 KB NA/FTSO 1830000 2205 KEYBANK NA 100000 0161 MERRIL 1600000.
0990 MFG TRADE f
220000 2932 MITSUB UFJ 32250001 2888 MIZUHO BNK 100000 5198 ML SFKPG 1030000 0773 MLPFS/FIX 19520001 0015 MSSB 40000 2145 MUFG UNION I
400000 5008 NBCN INC**
100000 0226 NFS LLC 1225000 5222 NOMURA FIX J
100000 2669 NRTHRN TR 56015000 71 OPPENHEIME 40000 0443 PERSHING 1
150000 2616 PNC BK,NA 80000(
0235 RBCCAPMKTS 4862000 2039 SEI PRIVAT 1980000 2319 SSB TRUST 3650000k 0997 SSB&T CO 240565000 2375 SSB&T/ISHA 2150000 2767 SSB-BRIT 151750001 2950 SSB/TETF 9928000 0793 STIFEL 50000 2450 UMB BK,NA 1
800000 2803 US BANK NA 24167000 2027 WELLS BKNA N 4476000 2116 5TH-3RD BK F 11360001 Total 1098850000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReport.do 8/6/2014