NOC-AE-12002879, Foreign Ownership, Control, or Influence (FOCI)
| ML12207A221 | |
| Person / Time | |
|---|---|
| Site: | South Texas  |
| Issue date: | 07/10/2012 |
| From: | Marc-Anthony Murray South Texas |
| To: | Jkeith Everly Document Control Desk, Office of Nuclear Reactor Regulation |
| References | |
| NOC-AE-12002879 | |
| Download: ML12207A221 (38) | |
Text
Attachment I Contains Personally Identifiable Information -
Withhold From Public Disclosure in Accordance With Nuclear Operating Company 1 OCFR2.390 South Texas Pro/ect ElectricGeneratingStation PO Box2 WdsworthA Texas 77483 M9 July 10, 2012 NOC-AE-12002879 File No.: D43.02 10 CFR 2.390 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 Foreign Ownership, Control, or Influence (FOCI)
References:
- 1. Bernard W. Stapleton to A. Wayne Harrison, request to update Foreign Ownership, Control, or Influence documentation, dated January 24, 2011
- 2. A. Wayne Harrison, STP Nuclear Operating Company, to NRC Document Control Desk, "Foreign Ownership, Control, or Influence (FOCI)," dated May 19, 2011 (NOC-AE-11002657) (ML11179AO11)
- 3. A. Wayne Harrison, STP Nuclear Operating Company, to NRC Document Control Desk, "Foreign Ownership, Control, or Influence (FOCI)," dated September 6, 2011 (NOC-AE-1 1002713) (ML11256A072)
In response to Reference 1 above, STP Nuclear Operating Company (STPNOC) submitted documentation of the current status of Foreign Ownership, Control, or Influence (FOCI) for STPNOC and the three owners of the South Texas Project (References 2 and 3). A supplement to the FOCI documentation for one of the three owners, NRG Energy Inc., is attached. Also attached are the changes in the required form that identifies Owners, Officers, Directors, and Executive Personnel for STPNOC and NRG Energy Inc.
The attached forms for Owners, Officers, Directors, and Executive Personnel (OODEP) contain 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 included with this submittal.
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NOC-AE-12002879 Page 2 of 3 If there are any questions, please contact Robyn Savage at (361) 972-7438.
Michael P. Murray Manager, Regulatory Affairs Attachments: 1. Owners, Officers, Directors and Executive Personnel (OODEP) Form - (PII)
Not for Public Disclosure
- 2. Certificate Pertaining to Foreign Interests
- 3. Supplemental Information for Certificate Pertaining to Foreign Interests
NOC-AE-1 2002879 Page 3 of 3 cc:
(paper copy) (electronic copy)
- transmittal letter only *transmittal letter only
- Regional Administrator, Region IV *John Ragan U. S. Nuclear Regulatory Commission *Catherine Callaway 612 East Lamar Blvd., Suite 400 *Jim von Suskil Arlington, Texas 76011-8064 NRG South Texas LP
- Balwant K. Singal *A. H. Gutterman, Esquire Senior Project Manager Morgan, Lewis & Bockius LLP U.S. Nuclear Regulatory Commission One White Flint North (MS 8B1) 11555 Rockville Pike *Balwant K. Singal Rockville, MD 20852 U. S. Nuclear Regulatory Commission
- Senior Resident Inspector *Ed Alarcon U. S. Nuclear Regulatory Commission *Kevin Polio P. 0. Box 289, Mail Code: MN116 *Richard Pena Wadsworth, TX 77483 City Public Service
- C. M. Canady *C. Mele City of Austin City of Austin Electric Utility Department 721 Barton Springs Road *Peter Nemeth Austin, TX 78704 Crain Caton & James, P.C.
- Richard A. Ratliff Texas Department of State Health Services
- Alice Rogers Texas Department of State Health Services cc: with all Attachments U.S. Department of Energy Office of Safeguards and Security ATTN: Peggy Jackson, FOCI Program Manager Security and Emergency Management P.O. Box 2001 Oak Ridge TN 37831 RMS with all Attachments
NOC-AE-12002879 Attachment 2 Attachment 2 Certificate Pertaining to Foreign Interests (2 pages)
CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB No. 0704-0194 OMB approval expires (Type or print all answers) 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 itdoes not display a currently valid OMB control 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" furnish in full the complete of a revised form as appropriate, information under "Remarks."
QUESTIONS AND ANSWERS YES NO
- 1. (Answer la. or lb.)
- a. (Forentities 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? X
- b. (Forentities 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 x any foreign interest?
- 3. Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), X 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 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?
- 5. Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)? X
- 6. Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations X to a foreign person(s)?
- 7. During your last fiscal year, did your organization derive: X
- 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 of its revenues or net income from foreign persons? X
- 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? X
- 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 X 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? X PREVIOUS EDITION IS OBSOLETE. Adobe Professional 7.0 STANDARD FORM 328 (Revised 612008)
REMARKS (Attach additionalsheets, if necessary,for a full detailed statement.)
Please see attached supplement.
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: June 29, 2012 (Date Certified)
By( C()AW,
"*Signatur f Authorized ContractorRepresenttive) 7Christopher O'Hara (Typed Name of Contractor)
Interim Gener2l C~niin'~pI NOTE: In case of a corporation, a witness is not requiredbut the certificate below must be completed. Type orprint names under (Title of Authorized ContractorRepresentative) all signatures. 211 Carnegie Center Princeton, NJ 08540 (Address)
NOTE: Contractor,if a corporation,should cause the following certificate to be executed underits corporateseal, provided that the same officer shall not execute both the Agreement and the Certificate.
CERTIFICATE 1, S fýoxP ( Lf- ' certify that I am the (sr__i#- .T . 4
,L i-of the corporation named as Contractor herein; that C A re5 S0 who signed this certificate on behalf of the Contractor, was then 7 4 191- , ( J,_1 (Lfl }e./
of said corporation; that said certificate was duly signed for and in behalf of said corporation by authority of its go%*rning body, and is within the scope of its corporate powers.
(CorporateSeal)
STANDARD FORM 328 (BACK) (Revised 612008)
Zý * - r . .. .
NOC-AE-12002879 Attachment 3 Attachment 3 Supplemental Information for Certificate Pertaining to Foreign Interests (31 pages)
NRG Energy, Inc.,
NRG Texas, LLC, and NRG South Texas LP Supplemental Information for Certificate Pertaining to Foreign Interests SF 328 June 29, 2012 1
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. As of December 31, 2011, Orbis Investment Management Limited ("OIML") and Orbis Asset Management Limited ("OAML"), both located in Hamilton, Bermuda, together owned 5.3% of NRG Common stock. OIML and OAML have since reduced their position and own approximately 4.09% of NRG common stock, based upon their SEC Schedule 13F for the calendar year ending March 31, 2012.
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 May 31, 2012, by name, country, and percentage owned or units held. In addition, Attachment 2 provides a listing of NRG Energy 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 a permanent resident of the United States.
Also, Glen Mackey, NRG's Chief Risk Officer, is a citizen of Canada, and is a resident alien of the United States.
2
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.
Question 5:
Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)?
All foreign operations represent approximately 1.6% of the company's total operating revenues and approximately -5.3% of its gross income. The largest source of revenue and income from any single foreign country is the company's operations in Germany, which represent approximately 1.6% of year-to-date operating revenue (as of December 31, 2011) and approximately -3.9% of gross income.
NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 9.5% 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 various contracts for work, equipment 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.
As of March 31, 2012, NRG Energy has debt in the range of $10.2 billion, with approximately $7.7 billion held pursuant to the terms of a Credit Agreement (approx.
3
$1.6 billion) and Indenture (approximately $6.1 billion) described in further detail below.
The remaining debt includes project level fimancings 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 17% 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.
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 our domestic and foreign subsidiaries, with certain exceptions. The Credit Agreement contains reporting, ratio and other standard covenants.
A listing of lenders as of May 24, 2012 is provided as Attachment 3.
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 February 18, 2011 is provided as Attachment 4 (NRG Energy is not aware of any material changes to this list since it was created).
NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 10.5% 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 4
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.
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. BlackRock, Inc. is the sole institutional investor that has 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 Offshore Ltd., an offshore hedge fund incorporated in the Cayman Island, with operations in the United States. Also, NRG Energy Director Kathleen McGinty, a United States citizen, reports serving as a director at Iberdrola USA, Inc. Iberdrola is a wholly owned subsidiary of Iberdrola SpA, an electric utility headquartered in Bilbao, Spain.
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.
6
ATTACHMENT 1 Domestic Owner Ownership Name of NRG Foreign Entity Jurisdiction Name of Owner Type Jurisdiction Interest (%)
Kraftwerk Schkopau Betriebsgesellschaft mbH Germany Saale Energie GmbH Entity Germany 44.40 Kraftwerk Schkopau GbR Germany Saale Energie GmbH Entity Germany 41.90 Lambique Beheer B.V. Netherlands NRCenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans-C Cayman Islands NRCenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans-P Cayman Islands NRCenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans Company Cayman Islands NRCenerating German Holdings GmbH Entity Switzerland 100.00 NRG Glastone 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 NRCenerating German Holdings GmbH Switzerland NRCenerating Luxembourg (No. 1) S.a.r.I. Entity Luxembourg 100.00 NRCenerating International B.V. Netherlands NRG International LLC Entity Delaware 100.00 NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg 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 Saale Energie GmbH Germany NRCenerating German Holdings GmbH Entity Switzerland 100.00 Saale Energie Services GmbH Germany NRCenerating German Holdings GmbH Entity Switzerland 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 7
ATTACHMENT 2 Name of NRG Foreign Entity NRG Energy, Inc. Personnel Name Position Kraftwerk Schkopau Betriebsgesellschaft mbH Bjorn Bauerfeind Managing Director - Geschaftsfuhrer Lambique Beheer B.V. Mauricio Gutierrez Director, Supervisory Board Member Mauricio Gutierrez Supervisory Board Member NRG Gladstone Operating Services Pty Ltd Mike Shevade Director, Managing Director NRCenerating German Holdings GmbH Kevin P. Malcarney Director NRCenerating International B.V. Kevin P. Malcarney President; Managing Director, Class B; Manager Kevin P. Malcarney Managing Director, Class B NRCenerating Luxembourg (No. 1) S.a.r.l. By NRCenerating International B.V. Managing Director, B NRCenerating Luxembourg (No. 2) S.a.r.l. By NRCenerating International B.V. Managing Director, B Saale Energie GmbH Kevin P. Malcarney Managing Director Sachsen Holding B.V. Kevin P. Malcarney Managing Director Sunshine State Power (No.2) BV Mike Shevade Managing Director - Class B Sunshine State Power BV Mike Shevade Managing Director - Class B 8
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ATTACHMENT 3 CItbank N.A Investor Contact Report (OCReport)
As Of: 24-MAY.2012 Tranche Ref No : 001BTPRl11860005 Reference Date :0512412012 TracoheRef No: ORIBYPR 10I0S rrane~s m0.: INRO1EN0RHYRC.9ENOR TOTAL LOAN TOTALLC TOTAL INVEaTOR I InvestorNa.e MNEMON Fun Man....ernT tCODE GRCIn INVESTOR DETAILS ENTY"NAME ENTITYPHONEa ENTITYFAX COY ASSETRATIO TOTALCOMMITMENTOUT'STANDINGOUTSTANDING OUTSTANDING InvestorAddress:1251AVENUE OF TOEBANK OF THEAMERICAS TOKYO- 14THFL THEBANK OFTOKYO-MITSUBIOHI UFJ MITSUBISHI UFJ NEWYORK 05700 LTD(BANK OFTOKYO) ACSBTM LTD 7P11164542 JP-10020 JAIMEVELEZ 20!4138586 2015212304 UOD 4.09 04,000,O0o. 0.00 03,279,157.m 53,279.157.63 IrwesltArddress:31WEST52ND STREET DEUTSCHE BANK AG,NEWYORK NEWYORK, NY 0019 007020 BRANCH(DEUTSCHE BANK) AADSAG relhe Och-Bark OElLOSAS25 YE-loo SCOTT
'INTHICUM 2122503981 2127970070 ASD 0.00 07 0.00 0.01 0.01 MIZUHO CORPORATE BANK, LTD(FKA IestorAddress: 1633BROADWAY DAI-ICHIKANGYO BANK)(MIZUHO 40THFLOOR CORPORATE BANK LIMITEDNEW Mtuho Corporate NEWYORK. NYfools 05730 YORK BRANCH) DEMHD1 Bank.LI JPILt77171 1"00151180 JP-10019 MAXINESUNBURY7010269139 2010209941 rro 2.01 0001001 0.00 34,0097.972.9 34,007.972.OS IrnestorAddress:1085GATEWAY 8OULEVARD BANK OF CONCORD CA94520 FAIRVALUE 057000 BANKOFAMERICA NA 057650USD AMERICA, NA. US1LO09318 US-9420 SERVICING TEAM 9803804605 1046023632 USD 7.35 109,000D00 0.00 95.700.123.1 95,789,1 23.81 neestor Address:75 WALL STREET 11THFLOOR BARCLAYS BANK PLC.NEWYORK NEWYORKNY10265 057001 RANCH) (BARCLAYS) VBB2 BARCLRYS 0B1L182038 1004116136 GB-10265 DAVID BARTON 2125209870 .2125265115 USO 7,35 109,000000. 0.00 95.789,123.8 95,789,I23,8.
Irrtescr Address:707 SEVENTH AVENUE, 32N0FL NEWYORK, NEWYORK 10019 ANTONIETTA 057680 BNPPARIBAS(SNP PARIBAS) VUEBNP RNPPARIBAS FRIL038674 FR- COSENTINO 2016318335 2018504M22 USOD 4.35 1o0.00.00.7/o 0.00 56.679.054.93 56.679.954.03 InrestorAddress:1301AVENUE OF CREDIT AGRICOLE CORPORATE AND THEAMERICAS INVESTMENT BANK(FIIKA CalyeoEor NEWYORK 07097 CALYONIICALYON) CALYON Branch FR1L156740 1000086424 FR-1l;9 GENERDAVID 7325907751 0178495497 USD 4.35 100.000,000.0 0.00 56R,79.954.9O 56.679.054.03 Ir-st.r Address:ONELIBERTY PLAZA ROYAL BANK OFCANADA (ROYAL ROYAL BANK OF NEWYORK, N'Y000-1404 LOANS 007T32 SANKOF CANADAI CAPRO CANADA CAIL101960 1000573112 CA-10006 ADMINISTRATION 2124286320 2124282372 USD 3.20 ..
75.000r0000 0D 4205.0,956,19 42.509,968.1 n-et.r Address:4t0 CALIFORNIA STREET UNION BANK NA (FKAUNION BANKOF UNION BANK OF SANFRANCISCO, CA COMMERCIAL LOANS 00740 CALIFORNIA AESUBC CALIFORNIA 1001359415 U0-94104 OPERATIONS 3237246198 8004469951 U00 3.26 75.000,000. 0,00 42,SO0,966.19 42,509,966.l0 InvestorAddress:270PARKAVENUE JPMORGAN CHASEBANK HA (JPM NEWYORK,NY NICOLEF 057897 CHASE) JPMCBKDCT JPMChase USILOl1291 US-10017 MANGIARACINA 3026342022 0120443885 USD 6.52 150.000.000,00 0.00 85,019,032.30 85.019,932.3T Inestor Address:ONEUTAHCENTER 201 SOUTH MAINSTREET, 5TH FLOOR MORGAN STANLEY BANK,NA. MorganStanley SALTLAKE CITY,UT 690244 IMORGAN STANLEY) ACSMS Ivstomest JSlL094930 US-84111 MORGAN STANLEY 4436274355 7182332140 USD 5.43 125.000.00. 0.00 70,849,943.06 70,840,043.00 rnvestor Address:1585BROADWAY C/OTAXDEPARTMENT 1633BROADWAY,25 TH FLOOR MORGAN STANLEY SENIOR FUNDING MerganStanley NEWYORK 050347 INC IMORGAN STANLEY INVESTMENT AAMSSF Investment JS1L022337 1002310879 US-10019 MORGAN STANLEY 4436274332 7162332140 U1D 1.01 44,00,00. 0.00 24,930,100.17 24.039.180.17 DEUTSCHE BANK TRUSTCOMPANY Invstor Addres: 2 PENNSWAY 050702 AMERICA (DEUTSCHE) NALDB-UDO DeDtscheBank U51L034308 US- SHODA KENCHAPPA9045205449 8662403022 USD 7.35 109,000,000. 0.00 95,789,123.8 95,789.123.80 InvestorAdoress:1525 AVENUE OF AMERICAS NEWYORK, 95 3 050702 ISOCAPITAL LLC ARMING (NOCap LLC 1300534709 US-10019 -RMELINDA YOUNG 0464248240 6464240251 USD 4.35 100,000.00 0.00 58,67i, 4.9 50,079,954.93 24
ATTACHMENT3 Cit~bank N.A Invesor Contact Report (OC Report)
As Of: 24-MAY-2012 Tranche Ref No : 00IBTPR1 11850005 Reference Oate: 0512412012 Ta-he afko bJ0lBTpFHI1&000 ]
Tra*¢BiaNow, NRO.ENEROYRC.SENNIOR TOTALLOAN TOTALC TOTAL INVESTOR# IrveslONape M- " I MNEMONIC FundMar OTCCCODE GFCID ANVESTORDETAILS ENTITYNAME ENTITYPHONE#, ENTITYFAX# CCY ASSETRATIO TOTALCOMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 00.5.1S;ARRI.:1351AVENUE OF THE BANK OF THEAMERICAS TOKYO- 14THAFL THERANK OFTOKYO-MITSUBISHIUFJ MITSUBISHI UFJ NEWYORK 57501 LTD(BANK OFTOKYO) ACSBTM LTD JP1LN64A42 JP-10020 _ AIM VELEZ 201413586 2WI5212304 USD ASA,ODD00.C 409 0.OS 53,27.B157.63 53,279,157.E:
Irweslo0Address:20. PARKAVENUE DNBNORBANK AY ASA, BRANCH DNBNORBANK NEWYORK, NY 059DB INS D NORBANK) DNBASAUSD NSA,NYBRANCH US. -ALBERT CACEDA 83221458077 8322145839 USD 4.09 93,B.999,991T 0.00 53.279.157.52 53,279.157.6:
InvestorAddress:320 PARKAVENUE 30THFLOOR CitigroupGoba1 NEWYORK, NY10843 AR8B CITIBANK, N.A.- ORIGINATIONS STPCUSO-18 Markets TUSO0CITI3 US-I0043 ANNEMARIE PAUCS.30B894A01 2129940849 UID 7.35 169,00a,000.(l.0 DO 95.789.123.B8 95,78,123.0; IrvestrAddra.: ELEVEN MADISON AVENUE CREDIT SUISSE.CAYMAN ISLANDS CreditSuisse NEWYORK, NY10010-3629 B RANC(CREDIT SUISSE FREDSI AlteraBve CHlLI56797 1003IOOBSN CH-lOUtI DERRICKRAT 91B695559 6S4d693871 USD T.35 1BBO00.D00.0 0.00 S5,7BS.123.B 95,789.123,B:
InvestorAddress:2 WORLD FINANCIAL CENTER COMMERZBANK AG, NEWYORK AND COMMERZBANK NEWYORK 0 GRANDCAYMAN G0099 BRANCHES CREDITOURODA AG 081025682 DE-10281 LYLEBOOTH 21226B7379 22988111 UBD 3.26 75,000,000.00 O.0 42.509,B66.19 42,509,9661.
AvestrAddress:42ST.ANDREWS SQUARE EDINBURGH THEROYAL BANK OF SCOTLAND RBSGreenrwV SCOTLAND 01337 GROUPPLC CLAUSOTRU Caplital GSBLOB8242 1001548132 GBi. DAVIDVITT] .203B9779 2038733569 USD 6.48d 149,RO,00,0 0.0 84,453.132.8d 84.453,132.8, 54351 kdr&s- CUSTOM HOUSE DUCKS SumIomoMItsul DUBLIN SUMITOMO MITSUI BANKING Bankirt IRELAND D95191 CORPORATION 09519SIUSD CorporationGroup IE. KRISTENLEE 2122244314 2122245197 USD 1.D9 25,0O0,000. 0DO 14,169,B908.7 14,169.BBB.7:
Irvstor Address:21B0SOUTH1300 EAST,SUITE 250 SALTLAKE CITY UT 110172 CITBANK 1D0172USD CITBANK 1001712876 US.U4106 PATT MATOS 2124415B211 .1017852 USD 0.87 20D0000,01D,0 DOT. 11,335B990.9SS 11,335.g90.g IrvestorAddress:N5BROAD STREET Goldmran SBhs NEWYORK,NY 136202 GOLDMAN SACHS BANKUSA OOLDULC Asset MIt USBIL13122S 100D753986 US-l..o. ADMINCONTACT 17.35 1S9,OOO. OD 95Z7B 55,7BB,123,8 B123.B Tot_ _ 100.00 2,300,000,000.0f BO 0,00 pwraraff 8RBM 25
,-rr,~ tsrowser "jutput ATTACHMENT 4 ratgc 1 01 1 COMPANY ID: 00566346 AccouNT ID: 00177313 LOGGED IN AS: GREGG.WEISSNAN@LAWDEB.COM 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: 02/18/2011 Security Description GCB144A NRG ENERGY INC Cusip DO1/26/11 07.625% JJl8 629377BL5 Participant Quantity Participant - Quantity Participant Quantity 2352 AMALGAMATE 1 315O000 0901 BANK OF NY 163609000i 2154 BSNPPAR PB I DODD00oi 2510 BNY/PRUDEN 7956000t, 2095 BNYMEBr C D380 2251 BOA/CLIEa 200 I BOAGW I 6680001 21960ONY0ACL 114000001 0010 BROWN BROS 147340000i 090B CETBAN( .142300001 2032 CITBKIGRP 70 '218COMERICA 9500001 0573 DEUTSCHE 4500I 0987 FID SSB 90000 0141FST
- CLEAR J 3130001 0501GODMAN U' 20o0000 2219 HBBO OH 10200001 2305 HNTNGTNNB 00 2255 IPM/PCS SS J 175000 I 0352 JPMC CLEAR j24000000ý 0902 JPMCBNA j1975900001 2230 IPMCH/RBS 1 17500001, 0187 JPMS LLC 24050001 2769 KB NA/FsO 1635000J 0950 MGTR E 18720001 198 ML SFKPG 650001 2669 NRTIRN TRt 403790001 2778 NTHRN/FFA
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39826000i 4801 RBC DOM- 30D00001 2319 ssB TRUST ] 500__0997 SSB&T 00l 381846D000 2767 SSES-BRIT 276250001 2950 SSB-SPDRS 249000001 2971 SUNTRST BK 1GO 1022.1 UBS FINAN 650001 2803 US BANK NA 1 C50I2027 WELLS BKNA 60-5000ý Total 1200000000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 3/9/2011 26
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.1u COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM 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: 02/18/2011 Security Description GCB 144A NRG ENERGY Cusip DO8/20/10 8.250% MS20 629377BH4 Participant Quantity Partidpant Quantity . Participant Quantity 2352 AMALGAMATE 3465000j- 0901 BANK OF NY i1392420001 2510 BNY/PRIJDEN 21550001 786 0954 BNYMEL/TST 10 8000j 0955 BOA/GWIM 194000f 2195 BONY/BARCL 243D0000 0010 BROWN BROS 1147539000j 0274 CGM/SAL BR 1 00~ 0908 rInBANK j 218770001 218CMEIA 152500 t 0573 DEUTSCHE i22500001 0987 FID S555000!
4818 FIDuaE'w 16500D00 0141 FRST CLEAR 1 50001 2305 HUNTNGTNNB 2650001t 0352 JPMC CLEAR 245540001 2424 JPMCB/CTC 12250001 0902 JPMCBNA j 124402000) 12205 KEYBANK NA I 400000I 0992 MAR ILSLEY 950001 2932 MTTSU13 UFJ 14750001 5198 ML SFKPG -400001 0773 MLPFS/FIX 66150001 0050 MORGAN 5Th 500000' (1226 NFS LLC 1 12250001 2669 NRTI-RN TR I~o~_07 PEIIIE19000 2616 PNC BKNA 1294000_0235 R~ccApmKrs 500000 0971 REGIONS BK 50D0000 2039 SEI PRIVAT 1 2000001 2319 SSB TRUST 65001D9 S& O3675060100 2767 SSB-BRIT 1175130001 2852 TRUSTNARK 60000l 0221 UBs FINAN 400001, 12450 UMB BK,NA 1000000 12803 US BANK NA J99150001 2027 WELLS BKNAý 24200001 Total 1078576000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 3/9/2011 27
z5K Birowser uutput ATTACHMENT 4 rage i or i COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM 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 oft 02/18/2011 Security Description GCB REGS NRG ENERGY Cusip, D08/20/10 8.250%.MS20 U66967AE8 Participant Quantity Participant* quantity Par-tidpant Quantity 0954 BNYMELiTsT OMT BN0N441270001 10 ROWN BROS 112000 0908 CITBANK 3990000' 0902 JPMCBNA 123950001 29.32 mITSUB UF3 4000001 Total 21424000 https-//portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 3/9/2011 28
zbr&ý 13rowser kUutput ATTACHMENT 4 I a I*J%i COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSNAN@LAWDEB.COM 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 02/18/2011 Security Description CB NRG ENERGY INC. D06/05/09 Cusip
-500%JD19 629377BG6 Participant Quantity Participant Quantity - Participant Quantity 0901 BANK OF NY 80723o0o0 0954 BNYMEL/TST 1087360001 0955 BOA/GWIM 95000 1 2209 BONY/SPoR 2200000D o010 BROWN BROS 47508000 0702 CCo LLC o450001 1 0164 Cl-S SCH-WAB I f 9420001 ___0908 CITIBANK(
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___ 1 490001 0418 CITIGROUP 6415000i 2108 COMERICA 7580001 0355 CS SEC USA I 44390001 1.0573 DEU-TSCHE 1 5000000 0385 E*TRADE 1850001 0987 FID SSB 49000 0141 FRST CLE7AR 9660001 2975 FTB/PuL c 2125000r 0005 GOLD4AN 72020001 0534 INT BROKEJR 60001 0374 JMS LLC J 110001 0352 )PMC CLEAR 2145000 103 JMC 'NL 2350 92JMBA J96025000j 0187 JPMS LLW 31840001 2769 KB NAT*. O 1700001! 0075 LPL FIN CO 3770001 0992 MAR LSLEY I 15ooo 2932
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Total 700000000 https://portaLdtcc.com/cre5/SPR/browser/SPRPosifionReport.do 3/9/2011 29
zirif Isrowser uwapui: ATTACHMENT 4 rag, JI u1 I COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM 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 aof: 02/18/2011 Security Description CB NRG ENERGY, INC. D01/21/06 Cusip 7.375% 3J17 629377AX0 Participant Quantity Participant Quantity Participant Quantity 25000 2352 AMALGAMATE 1 0901 BANK OF NY 273D40700 7256 BARC/FDCEO 3017000 250BY(RDN 22D[ 0954 BNYMEI/TST i55525000! 0955 BOA/GWIM 4190001 2196 BONY/BARCL j 4980001 0013 BRNSTN LLC 5000 0)010 BROWN BROS 1260310001 0702 C(SLLC I 655000I 0164 cHS SCHWAB 5050010 0908 CITIBANK 147120001 0418 CITIGROUP 163 2108 COMERICA 51!;00G00 035.5 CS SEC USA 30050001 4 ______________________________________
10385 E-TRADE 1 850001 4618 FIDUCIE*. 29400001 0141 FRST CLEAR 1378000 0309 FST 5TH CO 200001 0501 GOL1DMAN LP 50001 2305 H-UNTNGTNNB 1030001I 0534 INT BROKER 120001 0374 JMS LLC J 80000 2255 IPM/PCS SS 5D0000 251 JPMPR 1 3750000i 0352 3PMC CLEAR 3944000 2424 1PM~CB/CTC 7000000j 0902 IPMCBNA I 384DG 22. EBKNA soo sLLFi c)60001 0727 MESIROW S00001 5198 ML SFKPG 5850001 0773 MLPFS/FDX 5840001 01 SB37590001 0226 L IF 1-452G000 2669 NRTHRN TR1600i 0571 OPPENH-EIME j 493000'1 0338 OPTIONSXPR j i0000 0443 PERSHING 51sii0001 0158 PFSI/RIDGE 110001 2616 PNC BK,NA 47790001 0547 R W BAIRD .5oooj 4801 RBC DOM**r 80000! 0235 RBCCAPMKTS 38220001 2319 SSB TRUST j 20910001 0997 SSB&T CO J32.89890001 2678 SSB&T/CCS J2825000[ 2767 SSB-BRIT 1 212470001 0793 STIFEL 465000 _0188 TO _______ 1530001 0549 TIMBER HI-ft 48000].
2076 U8 GLOBAL 1000001 0221 UBS IA 1 26540001 0642 UBS SEC1LC 600 214S UNION BANK 1t500000' 0280 US BANCORP SOOO0j 2803 US BANK NA 7550 0062 VANGUARD, U0'D0 EBS 509 2027 WELLS BKNA 49940001 Total 1100000000 bttps://portal.dtco.com/creS/SPR/browser/SPRPositionReportdo 3/9/2011 30
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COMPANY ID: 00566346 ACcouNT ID: 00177313 LOGGED IN AS: GRE6GGWEISSNAN@1)LAWDEB.CGM 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: 02/18/2f011 Security Description CB NRG ENERGY INC. D02/02/06 Cusip 7.375% FA16 629377AU6 Participant Quantity Participant Quantity Participant Quantity 2567 ANAL BK 100001 2352 AMALGAMATE S600125ASO K.0' 1 0901 BANK OF NY 328134'00I 0771 BLAIR LLC 3000i 5043 SMO NSBT* 25000 2154 BNP PAR PB 1 3200000 2147 BNP/PPBC 14000001 284 BNP/PPBI I 3900000;1 2510 BNY/PRU .EN I14290000! 0954 BNYME[JTST 16.441000* 0955__,BOA/ 33890001 2209 BONY/SPDR 4323000 V 0013 BRNSTN LLC 250001 0010 BROWN BROS 205268000D 0702 Cs LLC 3250001oi 7311 CF/,C MKTS 1500010274 CGM/SAL BR 5000O 0164 CHS SCHWAB 80170001' 0908 CITIBANK 65040001 2032 CIBK/GRP 180000 0418 CrrIGROUIP 1.3500001 2392 CITY NIB 51000] 2108 COMERICA 1 17920001
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100001 0573 DEUTSCHE f 200001 10385 E'-TRADE [ 3270001 4818 FIDUCIE- 7900001 0141 FRST CLEAR I 11723000O 0309 FST STH, CO 760001 0501 GOLDMAN4 1P 150001 0768 HILLIARD 5000!
229 HNB/FBO OH j 395000't 2898 HNB/FBO SC 300001 2305 HUNTNGNN 70001 0534 INT BROKER 75000)ý 0374 JMS [IC I 2730001; 2255 JPM/PCS SS . 2650001 j 2517 JPM/PRUDEN - 11270000 035Z IPMC CLEAR 14801000 2424 JPMCB/CTC j 1953000DI 0902 ]PMCBNA I 402860000t 2230 3PMCH/RBS .50000001 2769 KB NA/FTso_ 1-430_001 12205 KEYBANK NA 2600001 0075 LPL FIN CO 10020000992 MAR ILSLEY 205000O L2749901 0727 MESIROW 4350001 0990 MFG TRADE 225000' 12932 MITSIJB UFJ 406500159 LSKG3600 0773 MLPFS/FIX 5020000' 0780 MORGAN K 1 30010, 00 I MORGAN_______ 1 I 015 MSSB ioo 000 6500 j0226 NFS LI-C 1 107490001 2669 NRT1-RN TR S46 000 571 OPPEMI-EIME 41W' 0338 OPTIONSXPR 45000 0234 0 PBESON FIN 100001 0443 PERSHING 95990001 0158 PFSXIRIDGE I t000 2616 PNC BKNA 245540001 0701 PRIMEVEST 5000!
0547 R W BAIRD 32000 0725 RAYMOND 2870001 4801 R.C DOM-- 100000 0235 RBCCAPM.. TS 27210101 011 SCOT1*A- 5303000,1 0705 SCOTrRADE looooj 2039 SEI PRIVAT 3250 029 SOUTHWEST 1 250001 2319 SSB TRUST 1900 097SBTC 4900i2678 SSS&T/CCS 185012767 S56-BRIT 6090 2399 SSBFRANK 2000000i 0419 STEPHENS.100001 0750 STERNE AG SO0; 0793 STIFEL 38 I TRUST 1350001 2n971 SUTRST BK 0 0188 TD AMERITR, 2,9 506T ATER** 5740000 0549 TIMBER HI 1 164000!
12852 TUSTMAR 20001 0221 UBS FINAN 1270 1 62USECL 2450 UMB B3K,NA I 3500001 2145 UNION BANK 7750001 2803 US BANK NA 26.4930001 0062 VANGUARD 95 9SOIt 03' WEDBUSH~l fr .,~ 1A 84800 I0250 WELLS FARG 6850001 2116 5TH-3PD BK 1 153000, Total 2400000000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 3/9/2011 31