NOC-AE-14003178, Update Foreign Ownership, Control, or Influence (FOCI)
| 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'd Enclosure 1 From Public Disclosure in Accordi ince With IOCFR2.390 - Forms contain Persona lly Identifiable Information Nuclear Operating Company South Teus Project Electric GenverninS Station P. Box 289 'adsworth. Teas 77483 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) (electronic copy w/o attachments)
Regional Administrator, Region IV John Ragan U. S. Nuclear Regulatory Commission Chris O'Hara 1600 East Lamar Boulevard Jim von Suskil Arlington, TX 76011-4511 NRG South Texas LP Balwant K. Singal Steve Frantz 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 NRC Resident Inspector Kevin Polio U. S. Nuclear Regulatory Commission Cris Eugster P. 0. Box 289, Mail Code: MN1 16 L. D. Blaylock Wadsworth, TX 77483 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)
OMB No. 0704-0194 CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB approval expires (Type orprint 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 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. Ifyour 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. (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?
- 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 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?
(Revised 612008) PREVIOUS EDITION ISOBSOLETE.
STANDARD FORM STANDARD FORM 328 328 (Revised 6/2008) PREVIOUS EDITION IS OBSOLETE.
REMARKS (Attach additionalsheets, 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:
(Signature of Authorized ContractorRepresentative) me of Contractor)
NOTE. In case of a corporation,a witness is not requiredbut the (Title of Authorized ContractorRepresentative) certificatebelow must be completed. Type orprint names under all signatures.
(J (Address) I NOTE: Contractor,if a corporation,should cause the following certificateto be executed underits corporateseal, provided that the same officer shall not execute both the Agreement and the Certificate.
CERTIFICATE certify that lam the e/*(ca'ri 'a__eL.(.
of the corporation named as Contractor herein; that 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.
(Corporate Seal) -
-Sýý
--- (Signatureand 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 Attachment 3A 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 ENTITYPHONE I ENTITYFAXi ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 058787 SARATOGACLO I, LIMITED (INVESCO AMCSAR cNVESCOSENIOR KY1LO14366 KYL0L14366 Investor Address: P.O.BOX 1093GT 1 OC1254 MYRTACALVILLO 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 ISLANDCLO I-R, LTO. ,-rWTISLCLO HIGHLANDCAPITAL KY1L005257 KY1L005257 Investor Address UGLANDHOUSE, 1 OC058817 MAXWAGENBERG 2126242763 2018223744 12018223744@TLS.LDSPROD.COM USD 0.02 486.337.50 486,337.50 0.00 486.337.50 (HIGHLANDCAPITALMANAGEMENTL MANGFM SOUTH CHURCH STREET P) GEORGE TOWN KY-059287 AOZORA BANKLTD 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 IIICLO (FKA)RACE POINT AARP3 SANKATY IE1L010386 lE1L010386 Investor Address: AIl INTERNATIONAL 1 OC051OAGY PATRICKMITCHELL 3123327333 8669403858 RACEPOINT.III.CLONOTICES@USBANKCOM USD 0.25 4.997.334 38 4.997.334.38 0 00 4.997.334 38 IIICLO LIMITED ADVISORS.LLC CENTRE IFSC DUBLIN IE-1 059478 BABSONCLO LTD2005-1 (BABSON CAPBO5 LABSON CAPITAL KYlLG05133 KYlLO05133 Investor Address: WALKER HOUSE 1 OC059478 AMANDALASKEY 4122348373 2018223712 AMANDA.LASKEY@BNYMELLON COM USD 818 3.506.685.12 3.086,685.12 0.00 3.506.685.12 CAPITAL) MANAGEMENT MARYSTREET GEORGE TOWN KY-059493 LCM IV LTO. (LYONCAPITAL LCMIVLTO LCM ASSET KYlL018953 Investor Address: BOUNDARYHALL 1 OC1236 CLO 7142476551 4667199298 CLO.ADMiNISTRATION@DB.COM US0 0.05 972.675009 972,675.00 0.00 972,6750.0 MANAGEMENTLLC) MANAGEMENT CRICKETSQUARE ADMINISTRATION GEORGE TOWN KY-050502 CENTURIONCOO9 LIMITED CHCEN9 COLUMBIAMANG KYlLO14911 Investor Address, QUEENSGATE HOUSE 1 OC45OOAGY BRYANPATRICK 7134836365 2815827975 .2815827970@DOCS.LOSPROD.COM US0 0.31 6.259.980.50 6.259,980.50 0.00 6,259.980.50 INVADV LLC SOUTH CHURCH STREET GEORGE TOWN KY-059554 VERITASCLO II. LTD (ALCENTRA LPV2 Aloenlra NY, LLC K.YlL029778 KYlL829778 Investor Address WALKER HOUSE r OC059554A NANCYWAYNE 6176036533 8663509162 NANCY.WAYNE@USBANK.COM USO 0.12 2.431,687.50 2.431,687.50 0.00 2.431,687.50 LIMITIED) MARYSTREET GEORGETOWN KY-059632 NAUTIQUEFUNDING LTD (INVESCO ACSNF INVESCO SENIOR KYlL021643 KYIL021643 Investor Address. WALKER HOUSE. 1 OClill RAMONZOLETA 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 MARYSTREET GEORGE TOWN KY-009716 BABSONCLO 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 MARYSTREET 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: QUEENSGATEHOUSE. 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 EATONVANCECOO VIIPLC 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.
DUBLIN1, IRELAND IE-059762 NANTUCKETCLO I LTD HNAN LNP ASSET KY1L0LD647 KY1L000647 nestor Address: QUEENSGATE HOUSE 1 OC1234 SYNDICATEDLOAN 9724018543 9724018555 SnyAssetSolutions-CDOGroup@bankoflny corn USD 0.15 2.922.900.56 2,922.900 56 0.00 2.922.900.56 MANAGEMENTUS SOUTH CHURCH STREET SERVICING GEORGE TOWN KY.
059800 CENT COO XILIMITED CHCE11 COLUMBIAMANG KYlL014721 Investor Address: QUEENSGATE HOUSE 1 OC4511AGY LETICIALICONA 7134837070 2815827943 12815827943@DOCS LDSPROD.COM US 0.36 7.111.875 50 7.111,875 50 0.00 7.111.875.50 INVADV LLC SOUTH CHURCH STREET GEORGE TOWN KY-Inventor Address*:OUEENSGATEHOUSE 1 C00147AGY NATEHALL 7134836239 2815B27939 USO 0.12 2,324,864.76 2,324,864.76 0.00 2.324.684.76 0859832 PACIFICA COO V LYG (ALCENTRA PACV092707 Ajoentra NY. LLC l-,Y1L003625 KY1L883625 LIMITIED) SOUTH CHURCH STREET GEORGE TOWN KY-Page 1 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR ASSET COMTOTAL TOTALLOAN TOTAL LC TOTAL I Investor Name MNEMONIC Fund I er MEICode DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAXM ENTITYEMAIL CCY RATIO MMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 059844 CARLYLEHIGH YIELDPARTNERS IT, ACHY C.ARLYLE KY1L06453 Investor Address: WALKERHOUSE 87 1 OC0111AGY KARILICHMAN 7134836481 2815827948 KARlM LICHMAN@BANKOFNY.COM USD 0.17 3,310,516.47 3.310.516.47 0.00 3.310,516.47 LTD (CARLYEPARTNERS) INVESTMENT GEORGE TOWN KY-059861 FRASER SULLIVANCLO I LTD FRASERS 3SDebt Management KY1L041690 InvestorAddress: QUEENSGATE HOUSE 1 OC789 PATRICKMITCHELL 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 MJXASSET KY1L000589 KYlLOO0589 Investor Address: OUEENSGATEHOUSE 1 OC059862 CHRISTINEXU 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 LASALLEBANK KYlLO40445 KY1LO40445 Investor Address: WALKERHOUSE. 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 MARYSTREET GEORGE TOWN KY-059906 1776 CLO I LTD SJ1776 W.R HUFF ASSET KY1LL04946 Investor Address: QUEENSGATE HOUSE 1 UC1111 .CHRISCONRADY 4122348242 2815827961 CHRISTOPHER.J CONRADY@BNYMELLONCOM USD 046 9.242.856.41 9.242,856.41 0.00 9.242.856.41 SOUTH CHURCH STREET GEORGE TOWN KY-11102 059907 KINGSLANDII 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 HILLCLO 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 InvestorAddress: QUEENSGATE HOUSE 1 UC059923A GRANT BARFUSS 7134836720 2815827970 GRANT.BARFUSS@BNYMELLONCOM 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 SVGHORIZONS 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 BAKERSTREET FUNDINGCLO 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: QUEENSGATEHOUSE I OC5566 TRACYHING 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 LANDMARKVIICOO LTD (SOUND AMLVII Aladdin Capital KYtL555160 KYtL555160 Investor Address: QUEENSGATEHOUSE. 1 OC0927AGY CHRISTINAKWAN 7134837614 2815829066 CHRISTINA.KWAN@BNYMELLON COM USD 0.10 1.945,350.00 1.945.350.00 0.00 1,945,35080 HARBORPARTNERS) SOUTH CHURCH STREET GEORGE TOWN KY-808029 HAMLET II, LTD (OCTAGONCREDIT ACCHM2 OCTAGON CREDIT KY1L038983 KY1L038963 Investor Address DUEENGATESHOUSE, 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 EATONVANCE COOVIII.LTD (EATON ARAEV8 Eaton Vance KYlLO14515 Investor Address QUEENSGATE HOUSE 1 UC3326 JOHNDANIEL 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 CARLYLEHIGH YIELDPARTNERS VIII.L CHYP883007 CARLYLE KYIL003559 Investor Address WALKER HOUSE. 1 OC0122AGY KARlLICHMAN 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 MARYSTREET 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 MARYSTREET GEORGE TOWN KY-060044 DRYDEN XI- LEVERAGEDLOANCOO 060044USD PRUDENTIAL KY1L034802 KY1L034802 Invest.r Address: QUEENSGATE HOUSE 1 UC6908AGY MICHAELLUEHRING 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: OUEENSGATEHOUSE, 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 Attachment 3A INVESTOR DTCC CODE ASSET TOTAL TOTAL LOAN TOTALLC TOTAL
- Investor Name MNEMONIC Fund Manage' MEICode DTCC CODE INVESTOR DETAILS Foreign 00 CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAX # ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING D60054 MOUNTAINCAPITALCLO V LTD ARBMO5 CARLYLE KY1L028697 KYlL028697 Investor Address 3RD FLOOR ROYALBANK 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 (CARLYLEINVESTMENTMANAGEMENT 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@DBCOM 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 NACMCLO I AANC101007 ALLIANZGLOBAL KYILOO5885 Investor Address: QUEENSGATE HOUSE. 1 OC4500AGY MARYPETERS 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 SUMITOMOMITSUITRUST BANKLTD- ACTB SUMITOMOMITSUI JP1L174996 Investor Address 5-33 KITAHAMA4-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-NYBRANCH BANKING CHUO-KUOSAKA 540-8639 JP-060005 PHOENIXCLO I. LTD (FKANAVENUECLD ACSAC4 NG INVESTMENTS KY1L005764 KY1L005794 Investor Address: OGEENSGATEHOUSE, 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 GEORGECHURCH STREET TOWN KY-060096 RED RIVERCLO LTD HEDUSD HIGHLANDCAPITAL KY1L009838 KY1L009838 Investor Address: QUEENSGATE HOUSE, 1 OC0927AGY TRAVISPUCKETT 9725605327 2145404769 HIGHLAND@FCSOFT.COM USD 0.29 5.836.050.00 5.836,050.00 0S00 5.836,050.00 MANGFM SOUTH CHURCH STREET GEORGE TOWN KY-060113 GALAXYVICLO, LTD AAGVI PINEBRIDGE KY1L027624 Investor Address: 113 SOUTH CHURCH ST. OC5 AGENTNOTICES 7134636191 2615825345 12015825345@DOCS.LDSPROD.COM USO 0.02 483.893.59 4830893.59 0.00 483,893.59 INVESTMENTS OUEENSGATEHOUSE GEORGE TOWN KY-060118 HALCYONS.A.M.LSISU 2007-1 LTD. HHSL HALCYON KY1L002031 Investor Address CIOWALKERS SPV 1 CO302AGY MALIABAYNES 3123327323 8669407621 HALCYONLONGSHORT2CLO NOTICES@USBANK.COM USD 0.17 3,385.512.21 3.305.512.21 0.00 3.385,512.21 FKAHALCYONSALM. LSISUCLO IILTD RESTRUCTURING LIMITED,WALKER HOUSE,87 MARYSTREET GEORGE TOWN, GRAND CAYMAN KY-KY1-9002 76 90 0 0 060124 BLACKDIAMONDCLO 2006-1 (CAYMAN)AMSBD6102 BLACKDIAMOND KYlL035452 KY1L035452 Investor Address QUEENSGATE HOUSE, 1 OC444AGY LOAN 84 15 4694402989 14694402989@TLS.LDSPROD.COM USO 0.54 10.879.886.26 10.879.886.26 0.00 10.879,886 26 L (BLACKDIAMONDCAPITALMGMT) CAPITAL SOUTH CHURCH STREET ADMINISTRATOR GEORGETOWN KY-060143 PROSPERO CLO II B V. (ALCENTRA PRO2CH Alcentra NY, LLC NLILO51625 NL1L051625 Investor Address: FREDERIK 1 0C1245 RAWZABABOUDIAB 7134836228 2816673411 RAWZABAN.BOUDIAB@BANKOFNY.COM USD 0.05 1,069,942.50 1.069.942.50 0.00 1.069,942.50 LIMITIED) ROESKESTRAAT123 AMSTERDAM NL-1076EE 060148 LANDMARKViii CLO LTD (SOUND ESLO8 SOUND HARBOR KY1L55817 . Y11L555178 Investor Address: QUEENSGATE HOUSE, K 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 SOUTHCHURCH STREET GRANDCAYMAN KY-060153 JAY STREET MARKETVALUECLO I LTD DJSM DIMAIOAHMAD 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 SOUTHCHURCH STREET GRAND CAYMAN KY-060155 PACIFICA CDOVI 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 NYLIMFLATIRONCLO 2006-1 LTD. [NFL NEWYORKLIFE KY1L024324 KY1L024324 Investor Address: WALKERHOUSE 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 YORKLIFE INVESTMENTMGMT, INSURANCE STREET LLC) GEORGE TOWN KY-060182 PIMCO FUNDS: GIS PLC GLOBAL GPPG PIMCO IE1L147873 IE1L147873 nvestor Address: NATIONSHOUSE, 1ST 1 OC1245 BANKLOAN 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 TRIMARANCLOVI 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. SOUTHCHURCH STREET GEORGE TOWN KY-060234 VOYACLO It LTD (FKA ING ARRIN2 VOYAINVTMGT 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 INVESTMENTMANAGEMENTCLO II SOUTHCHURCH STREET SERVICES LTD) GEORGE TOWN Ky-KY11102 060235 VOYACLO III LTD (FKA ING GPING3 VOYAINVTMGT 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 INVESTMENTMANAGEMENTCLO III SOUTHCHURCH STREET SERVICES LTD) GEORGE TOWN KY-KY11102 Page 3 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name MNEMONIC Fund Manaqger MEI Code DTCC CODE INVESTOR DETAILS Foreigln OC CONTACT ENTITYNAME ENTITYPHONE S ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 06S249 KINGSLANDIIILTD ARK3 KINGSLAND KY1LEO4805 Investor Address OUEENSGATEHOUSE 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 LATITUDECLO IILTD ALC2 LUFKINADVISORS, KY1LL15934 Investor Address QUEENSGATE HOUSE 1 0C4242 MICHAELFRENETTE 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 GRAYSONCLO LTD GCLOUSD HIGHLANDCAPITAL KY1L033705 KY1L033705 Investor Address: QUEENSGATEHOUSE 1 OC5000AGY DATATEAM 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 LOLUMBUSNOVACLO LTD.2006-I ACSCCN CIFC ASSET KYlLE22161 KY1L022161 Investor Address QUEENSGATE HOUSE 1 OC0O06AGY KATHLEENBROWNE 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 ACASCLO 2007-1 LTD (FKS ACAS CLO ACS82107 AMERICANCAPITAL 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 WALLSTREET 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 00WS1ILTD(ALCENTRALIMITED) 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 GULFSTREAM - SEXTANT CLO2006-1 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 GLOBALMANAGEMENT MANAGEMENT SOUTH CHURCH STREET DOWLING
[IC) GEORGE TOWN KY-060389 SCHILLERPARK CLO LTD (CIFC SHLLRPRK CIFC ASSET KY1L009432 KY1L009432 Investor Address: QUEENSGATE HOUSE 1 UC0101AGY JOANNABENSIMON 2122509201 7325782614 JOANNASENSIMON@DB.COM USD 0.151 2,970,080.00 2.970,05000 0.00 2.970.00580 DEERFIELD) MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-060390 HARBOURVIEWCLO 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 MARYSTREET ADMINISTRATION GEORGE TOWN KY-060408 AIRLIE CLO200681 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 NEWYORK 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 INVESTMENTMGMT.LLC) INSURANCE STREET ADMINISTRATION GEORGE TOWN KY-060469 EASTLANDCLO, LTD. ECL HIGHLANDCAPITAL KY1L020652 KY1L020652 Investor Address: WALER HOUSE, MARY 1 OC4672AGY DATATEAM 9724194427 L726284155 LASTLONDCLO@TLS. LDSPROD.COIM USD 068 13.617.45000 13,617.4500 0.00 132617.450.00 MANG FM STREET GEORGETOWN KY-060477 MOUNTAINVIEW FUNDING CLO 2006-1. ALPMVF Seix Advisors KY1L004037 KY1L04037 Investor Address: QUEENSGATE HOUSE 1 OC1245 DARAKOTZKER 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 APIDOSCOOV DYAPV CVC CREDIT KYlLOO5588 Investor Address QUEENSGATE HOUSE, 1 CC12 SARAHPRUCHA 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: OUEENSGATEHOUSE 1 OC0101AGY MICHELLEHILL 3129920095 3122768843 USD 0.07 1.409,496 99 1.409.496 99 000 1.409.496.99 CAPITAL SOUTHCHURCH STREET GEORGE TOWN KY.
060496 WESTWOODCOO 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) SOUTHCHURCH STREET GEORGE TOWN KY-060501 CARLYLEVEYRON 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 STANFIELDVEYRON CLO INVESTMENT BOUNDARYHALL KUEHL LTD)(CARLYLEINVESTMENT CRICKETSQUARE MANAGEMENTLLC) GEORGE TOWN KY-11102 060513 INWOODPARK COOLTD. NINWP BLACKSTONEDEBT 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 MARYSTREET GEORGETOWN KY-060525 WHITEHORSEIVLTD (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 Attachment 3A INVESTOR ASSET TOTAL TOTALLOAN TOTAL LC TOTAL i Investor Name MNEMONIC Fund Manager MEICode DTCC CODE INVESTOR DETAILS F 0ign OC CONTACT ENTITYNAME ENTITYPHONE D ENTITYFAXI ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 060538 NAVIGATORCOO 2006, LTD ACNA06 UIFC ASSET KYILOO1413 KYlLO01413 Investor Address BOUNDARYHALL 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 CRICKETSQUARE GEORGE TOWN KY-KY11102 060550 ARES XXICLO LTD (ARES CLO CLYDSDLO6 Ares Management KY1L003872 KY1L003872 Investor Address: QUEENSGATE HOUSE I OCO000AGY CYNTHIAYEN 212-667-9667 8667199290 NCRAMLLOPERATIONS@USNOMURA.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 VIICDO 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: WALKERHOUSE MARY 1 OC01 CLO 7142476041 8662481622 MARKNGUYEN@DB COM USD 001 117,112 78 117,112.78 0.00 117.112.78 GROUP STREET ADMINISTRATION GEORGE TOWN KY-060554 GALLATINCLO III2007-1 LTD FKA GEG3 MP SENIOR CREDIT KY1L027012 Investor Address QUEENSGATE HOUSE, 1 OC4600AGY1 ANTHONYSTARK 2126019166 2816673438 12816673438@TLS.IDSPROD.COM USD 0.29 5.836.050.00 5.836.050.00 0.00 5.836,050.00 GALLATINCLO II12006-1, LTD PARTNERS SOUTH CHURCH STRE GEORGE TOWN KY-060565 PHOENIX CLO IILTD (FKA AVENUE CLO AVENUECLO5 INGINVESTMENTS hY1L225012 KY1L225012 Investor Address: QUEENSGATE HOUSE 1 OC0333AGY MYSTIFARRIS 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 CLOLTD (BABSON QUICLE BABSON CAPITAL KY1L021866 Investor Address: WALKERHOUSE 1 OC222 DONALDADAMS 7132434027 7047150263 DONALD.ADAMS@WELLSFARGO.COM USD 0.06 1.215,843.75 1.215,843.75 000 1,215.843.75 CAPITALMANAGEMENTLLC) MANAGEMENT MARYSTREET GEORGE TOWN KY-D60572 HALCYONLOANINVESTORS CLO I LTD NALHAL HALCYON KY1L005018 Investor Address WALKERHOUSE 1 OC060572 HANNAHBELK 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 MARYSTREET GEORGE TOWN KY-060583 BRENTWOODCLO LTD (HIGHLAND BRENTWOOD HIGHLANDCAPITAL KY1L039280 KY1L039280 Investor Address QUEENSGATE HOUSE 1 OC001 DATATEAM 0726284100 9726284155 BRENTWOOD@TLSLDSPROD COM USD 0.15 2.918,025.00 2.918,025.00 0.00 2.918.025.00 CAPITALMANAGEMENT) MANGFM SOUTH CHURCH STREET GEORGE TOWN KY-060592 BURR RIDGE CLO PLUS LTD (CIFC BRRRDGPLS CIFCASSET 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 CANNINGTONFUNDINGLTD ACFL SILVERMINE KYILOO6206 Investor Address: WALKERHOUSE, MARY 1 0c1 MYRTALACALVILLO 7134836224 2816579024 12816579024@TLS LDSPROD COM USD 0.24 4.873.150 63 4.873,150 63 0.00 4,873.150.63 9SILVERMINECAPITAL) CAPITAL STREET GEORGE TOWN KY-060623 KATONAHIX CLOLTD GPKAT9 Trimaran Advisors, KYlLO00233 Investor Address QUEENSGATE HOUSE 1 0C231 JOHN DELANEYJR 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 CDOI LTD TRALEEI PAR FOUR KY1LLO1520 Investor Address: QUEENSGATE HOUSE 1 UC9299AGY KIMBERLYGIBSON 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: WALKERHOUSE 1 OC0246AGY STACEY ALEXANDER 2136213731 2816673745 SALEXANDER@WESTGATEHORIZONSCOM USD 014 2,865.357.25 2,865.357 25 0.00 2.865,357.25 HORIZONS MARYSTREET GEORGE TOWN KY-060642 SAPPHIRE VALLEYCOO I, LTD. CCISAP BABSONCAPITAL KY1L004649 KYlL004649 Investor Address WALKERHOUSE 1 0C111 KEVIN CEDORCHUK 6176629749 6179370495 KEVINCEDORCHUK@IBTCO.COM USO 005 972.67500 972.675 00 0.00 972,675.00 (BABSONCAPITAL) MANAGEMENT MARYSTREET GEORGE TOWN KY-560643 BABSON CLO LTD 2007-1 (BABSON SMBC6 BABSONCAPITAL KY1L005505 KYlLOO5505 Investor Address: WALKERHOUSE 1 DC0128AGY DAVIDELKINS 7048057223 4132263377 DELKINS@BA0SONCAPITAL.COM US0 0.09 1,837,629.23 1,837,629.23 0.00 1.837.629.23 CAPITAL) MANAGEMENT MARYSTREET GEORGE TOWN KY-060644 BABSON CLO LTD 2006-I1 (BABSON USB62 BABSONCAPITAL KYlLOO0274 KY1L0L0274 Investor Address: WALKERHOUSE 1 DC0332AGY DAVIDELKINS 7048057223 4132263378 DELKINS@BABSONCAPITAL.COM USO 0.10 1.947,787.78 1,947,787.79 0.00 1,947,787.78 CAPITAL) MANAGEMENT MARYSTREET GEORGE TOWN KY-060660 LIGHTPOINT CLOVIILTD. ACSLP7 NEUBERGERBER KYlLO19902 KY1L019902 Investor Address: QUEENSGATEHOUSE 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 (NEUBERGERAND BERMAN) FXED INCOM SOUTH CHURCH STREET GEORGETOWN KY-060665 EATON VANCECOOX PLC GPEVX Eaton Vance tE1L014529 Investor Address: 85 MERRIONSQUARE 1 0C12 VALMIRPRESSENDO 000000000 2816579020 USD 0.32 6,312,734 06 6,312,734 06 0.00 6,312,734.06 DUBLIN IE-ZZ 060569 GALAXYVIICLO.LTD (PINEBRIDGE AAGAL7 PiNEBRIDGE KY1L027756 Investor Address: QUEENSGATE HOUSE 1 0C12345 MANDYHO :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 IIILTD ACDUA sNAPIER PARK KY1 000746 Investor Address: QUEENOGATEHOUSE 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 Attachment 3A INVESTOR C ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL I Investor Name MNEMONIC Fund Manager ME! Code OTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONED ENTITYFAX# ENTITYEMAIL CCV RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING S60686 LANDMARKIXCDO LTD (SOUND AMLAN9 SOUNDHARBOR -YSM000CO1 KYOM050CQ1 Investor Address QUEENSGATE HOUSE 1 OC1234 CHRISTINAKWAN 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 SOUTHCHURCHSTREET GEORGETOWN KY-060691 GRANTGROVE CLO LTD 060691USD TALLTREE 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 IVCLO 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 MARYSTREET GEORGETOWN KY-060707 SHINNECOCKCLO2006+1 LTD AISC Clinton Group KYlL011396 Investor Address: QUEENSGATE HOUSE 1 OC00I4AGY SYNDICATEDLOAN 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 LIMEROCKCLO I (INVESCO SENIOR CRCL1 INVESCOSENIOR KY1LO19951 KYlLS19951 Investor Addres.: P.O.5OX 1093GT 1 OC555 MYRTACALVILLO 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 LATITUDECLO IIILTD 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 TRIMARANCLO VIILTD 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,LLC. SOUTH CHURCH STREET GEORGE TOWN KY-060746 GREYWOLF CLO I,LTD 060746USD Greywolf Capital KYlL003344 Investor Address QUEENSGATE HOUSE 1 OC0821AGY VIRTUSGROUP 7139934300 8882406289 GREYWOLFCLOI@VIRTUSLLC.COM USD 03 7,781,400.00 7.781,400.00 0.00 7,781.400 00 SOUTH CHURCH STREET GEORGE TOWN KY-060755 AMMC VIILTD 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 MOUNTAINVIEW CLO II LTD AGMV2 Seix Advisors KY1L033572 KY1L033572 Investor Address P0 BOX 1093GT 1 0C1245 DARAKOTZKER 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 KY1LW06(62 KY1L000602 Investor Address: OUEENSOATrEHOUSE 11 001254 DARAKOTZKER 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 KHALIDEL 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 CARLYLEDAYTONACLO 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 STANFIELDDAYTONACLO INVESTMENT GEORGE TOWN LTD)(CARLYLEINVESTMENT KY-11102 MANAGEMENTLLC) 060782 PPM GRAYHAWKCLO LTD (PPM EDPGC PPM AMERICA,INC. KY1L051426 KYILO51426 Investor Address:WALKERHOUSE 1 OC125 LENAFIALKO 3128278588 2816579067 PPMABANKLOANOPS@PPMAMERICA.COM USD 0.10 1,945,350.00 1,945,350.00 000 1,945,350.00 AMERICA) MARYSTREET GEORGE TOWN KY-560783 VOYA CLO IVLTD (FKA ING LPINGI VOYAINVTMGT 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 INVESTMENTMANAGEMENTCLO IV SOUTH CHURCH STREET SERVICES LTD) GEORGE TOWN KY-KY11102 060789 KINGSLANDIVLTD 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 TRAILSCLO 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 FUNDING2007-11FKA CIFC 060801USDI CIFCASSET KYlL021460 KYILO21460 Investor Address: QUEENSGATE HOUSE I OC0002AGY GENE VLADIMIROV 3129920664 8669408229 CIFC FUNDINGCLO3@BANKOFAMERICACOM USD 0.28 5,510,00 000 5.510,900 0.00 5.510,000.00 FUNDING 2006-111LTD (CIFC MANAGEMENT SOUTH CHURCH STREET DEERFIELD) GEORGE TOWN KY-060808 MOUNTAINVIEWCLO IIILTD 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 FUNDINGLTD ACSREG NAPIERPARK KYlLO11594 KY1L011594 Investor Address: QUEENSGATE HOUSE 1 UCWW00AGY MARCFORANT 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 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL a Investor Name MNEMONIC Fund Manager MEICede DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTTY PHONED ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 060830 FOOTHILLCLO 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 INVESTMENTMANAGEMENTLLC) INVESTMENT 87 MARYSTREET GEORGE TOWN KY-KY1 9002 060832 MARLBOROUGHSTREET CLO LTD ACSMBS Massachusetts KYlL026477 Investor Address: QUEENSGATE HOUSE 1 0C5566 TRACYHING 7134836174 2816579059 TRACY.HING@BNYMELLON COM USD 0 17 3.393,801 96 3.393.801 96 000 3.393,801.96 Financial SOUTHCHURCH STREET GEORGE TOWN KY-060836 MT WILSON CLO IILTD (WESTERN GPMW2 WESTERN ASSET KYlL027004 KY1L027004 InvestorAddress QUEENSGATE HOUSE 1 OC0333AGY CHRISTINELEE 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 OHAPARK AVENUECLO I LTD (OAK FOHA Oak HWlCredit 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 BLUEMOUNTAINCLO III LTD BLUACS BLUEMOUNTAIN KY1L002270 KYIL002270 Investor Address: QUEENSGATE HOUSE 1 OCOD01AGY KIMBERLYRE/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 PIMCOFUNDS: GIS PLC DIVERSIFIED DOURAB PIMCO E1L122256 E11-122256 Investor Address: BLOCK D IVEAGHCOURT 1 OC0333AGY BANKLOAN 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 MAPSCLO FUNDII LTD (GSO/BLACK AMGMAP BLACKSTONEDEBT KY1L003146 KY1L063146 Investor Address QUEENSGATE HOUSE 1 OC0302AGY MICHAELCULLY 6176036521 8663508430 MICHAEL.CULLY@USBANK.COM USD 0.22 4.494.962.22 4.494,962.22 0.00 4.494.962.22 STONE DEBTFUNDS MANAGEMENT ADVISORS SOUTH CHURCH STREET
_LC) GEORGE TOWN KY-060918 BRIDGEPORTCLOII 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 COACAERUS CLO LTD. FKAAPIDOS AP6GP 3i Debt Management KYt L002239 Investor Address: QUEENSGATE HOUSE 1 OC 111 KORYBURLESON 7134836004 2816579037 KORY.BURLESON@BNYMELLON COM USE 0 11 2,285.786 25 2,285,786 25 000 2.285.786.25 COOVI (FRASER SULLIVAN) US LLC SOUTH CHURCH STREET GEORGE TOWN KY-060922 6,ATONAHX CLO LTD FKX Trimaran Advisors, KYlLO00597 Investor Address: QUEENSGATE HOUSE 1 OC0821AGY JOHN DELANEYJR 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 CARLYLEHIGH YIELDPARTNERS X LTD USCH10 CARLYLE KY1LL06479 Investor Address: WALKER HOUSE 1 OC0821AGY TATIANAMARTINEZ 7134837396 2816673710 rATIANAMARTINEZ@BANKOFNY COM USD 0.12 2,483,009.55 2,483.009 55 000 2.483.009 55 INVESTMENT MARYSTREET GRANDCAYMAN KY.
060927 SATURNCLO, 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 INVESTMENTSLLC) INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-560935 APIDOSQUATTROCOO (FKAAPIDOS AAQCMG CVC CREDIT KYlLOO4086 Investor Address: BOUNDARYHALL 1 OC0113AGY SARAHPRUCHA 7134836106 2816579068 SARAHPRUCHA@BNYMELLON.COM USD 0.12 2,302,154 54 2,302.154.84 000 2,302,154 84 QUATTROCOO) PARTNERS CRICKET SQUARE GEORGE TOWN KY-060939 CENT COD 12 LTD NCCCDO COLUMBIAMANG KY1L014689 KY1L014689 Investor Address QUEENSGATE HOUSE 1 OCl111 CLO 7142476551 8666114792 CLOADMINISTRATION@DB.COM USD 0.13 2.688.434.20 2.688,434.20 000 2,688,434 20 INVADV LLC SOUTH CHURCH STREET ADMINISTRATION GEORGE TOWN KY-060942 MOUNTAINCAPITALCLO VI LTD ACSM06 CARLYLE KYlL02a689 KYIL028689 investor Address 3RD FLOOR ROYALBANK 1 OC0821AGY DAVIDRAMSEY 7134836318 2816673714 DAVID.M.RAMSEY@BNYMELLON.COM USD 0.10 1.993.983.75 1.993,983.75 0.00 1,993,983.71 (CARLYLEINVESTMENTMANAGEMENT INVESTMENT OF CANADA LLC) SHEDDEN ROAD GEORGE TOWN KY-11006 060966 UREENSCREEK FUNDINGLTD HBGCF SILVERMINE KY1L033549 Investor Address. 87 MARYST WALKER 1 OC0123AGY RONALDRAJEH 7134836227 2816673737 USD 0 29 5.855,576 76 5.855.576.76 00 5,855,576 76 (SILVERMINECAPITAL) CAPITAL HOUSE GEORGETOWN KY-19002 v60987 UCTAGONINVESTMENTPARTNERS XI ACSOll OCTAGON CREDIT KY1L002395 .(Y1LS02395 Investor Address OUEENSGATEHOUSE r OCOOSOAGY JOSHUA OLF 6176036531 8668317970 USDO 087 1,405,000.00 1,480,000.00 0 00 1,485,060 05 LTD (OCTAGONCREDIT INVESTORS) INVESTORS SOUTH CHURCH STREET GRANDCAYMAN KY-060991 CENTCOO 14 LTD CENTURCDO14 COLUMBIAMANG 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 INVADV LLC QUEENSGATE HOUSE ADMINISTRATION GEORGE TOWN KY-060992 HARCHCLO IIILIMITED(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 Attachment 3A 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 LIGHTPOINTCLO VIIILTD GPLP83007 NEUBERGERBER KYlL019910 KY1L019910 Investor Address: WALKERHOUSE, 87 1 OC4500AGY PATRICKMITCHELL 3123327333 8669407745 LIGHTPOINT.CLO.VIlI NOTICES@USBANKCOM USD 0.15 3,015,292.50 3,015.292.50 0.00 3.015.292 50 (NEUBERGERBERMAN) FXEDINCOM MARY STREET GEORGETOWN KY-19002 061011 NORTHWOODS CAPITALVIII LTD GPNWCP ANGELO. GORDON KY1Lli15460 KYLI15460 Investor Address: QUEENSGATEHOUSE 1 OC0821AGY MYRTACALVILLO 7134836224 2815822023 USD 053 10.686.100.01 10.686.100.01 0.00 10.686,100.01 (ANGELOGORDON) ANDCO GEORGETOWNGRAND CAYMAN SHOUTH CHURCH STREET KY-061012 CIFC FUNDING2007-1 LTD CRCC7 CIFC ASSET KYlL021494 KY1L021494 Investor Address QUEENSGATEHOUSE 1 OC0333AGY MALIABAYNES 3123327323 8669401009 CIFC070.NOTICES@USBANK.COM USD 0.15 2,970,000 00 2,970.000.00 000 2.970.000.00 MANAGEMENT SHOUTHCHURCH STREET GEORGETOWN KY-061019 WESTCHESTER CLO LTD FKA AMCCRC HIGHLANDCAPITAL KYlL059643 KY1L059643 IrnvestorAddress QUEENSGATEHOUSE 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 AMHERSTCLO, LTD MANGFM SHOUTH CHURCH STREET GEORGE TOWN KY.
061028 CARLYLEMCLARENCLO 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 STANFIELDMCLARENCLO INVESTMENT GEORGE TOWN LTD)(CARLYLEINVESTMENT KY-MANAGEMENTLLC) 061033 PHOENIXCLO IIILTD(FKA)AVENUE AVENUEV INGINVESTMENTS 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: QUEENSGATEHOUSE 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: QUEENSGATEHOUSE 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 KATONAH2007-1 CLO LTD. FKA FRBIC Tnmaran Advisors. KYL001298 Investor Address: BOUNDARYHALL 1 OC1245 JOHN DELANEYJR 8176036491 8666111216 GILLIGAN@KATONAHDEBTADVISORS.COM USD 0.05 972.675 00 972,675 00 000 972,675.00 BRIARCLIFFI CLO LTD. Katona CRICKETSQUARE GEORGE TOWN KY-061098 STRATFORDCLO LTD ARASCL HIGHLANDCAPITAL KY1L031485 KY1L031485 Investor Address: QUEENSGATEHOUSE I OC4687AGY DATATEAM 9724194427 2145404818 DATATEAM@HCMLP.COM USD 010 1.925,700.01 1,925,700 01 000 1.925.700.01 MANGFM SOUTH CHURCH STREET GEORGE TOWN KY-061103 GALEFORCE 3 CLO LTD GALEF3 BLACKSTONEDEBT.KY1L027582 KY1L027582 Investor Address: QUEENSGATEHOUSE 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: QUEENSGATEHOUSE 1 OC061110 MODUPEOYEDE 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 BABSONCAPITAL KYlL030008 Investor Address: WALKER HOUSE 1 OC0302AGY BUCKNERTONEY 7132434027 7047150295 DUCKNER.T.TONEY@WELLSFARGO.COM USD 002 486,337.50 486,337.50 0.00 486,337.50 CAPITALMANAGEMENTLLC) MANAGEMENT MARYSTREET GEORGE TOWN KY-061150 FLAGSHIPCLO VI (DEUTSCHEASSET ACCFS6 Deutsche Asset K-Y1L13756 KYlLO13756 Investor Address: QUEENSGATEHOUSE 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 CALLIDUSDEBT PRTNRS CLO FUND VI AMCDP6 B.LACKSTONEDEBT KY1L004276 KY1L0L4276 Investor Address. QUEENSGATEHOUSE 1 OC01 MICHAELCULLY 6176036471 8668488554 MICHAEL.CULLY@USBANK.COM USD 022 4.494.962 22 4,494,962.22 0.00 4.494.962.22 LT (GSO/WLACKSTONE DEBT FUNDS ADVISORS SOUTH CHURCH STREET MANAGEMENTLLC) GEORGE TOWN KY-061165 EATONVANCECODO IX LTD (EATON EDEV9 Eaton Vance KYlL014499 Investor Address: QUEENSGATEHOUSE 1 OC0927AGY WILLIAMHAAS 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 CANARASSUMMITCLO LIMITED GPCANA CANARASCAPITAL JElL002779 JElL002779 Investor Address: TEMPLARHOUSE DON 1 OCOSO0AGY CANARASSUMMIT 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 FLAGSHIPCLO V RMKFL5 Deutsche Asset KY1L013749 KYlL013749 Investor Address: BOUNDARYHALL 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 CRICKETSQUARE GEORGE TOWN KY-061194 FLATIRONCLO 2007-1 LTD ARAFLT NEWYORKLIFE KYlL014200 KYtLS14200 InrvestorAddress: QUEENSGATEHOUSE 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 CVCCREDIT KY1L004698 Investor Address: QUEENSGATEHOUSE 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 VENTUREVIII CDO LTD ARAVO MJXASSET KY1L004797 KYtLS04797 Investor Address: QUEENSGATEHOUSE 1 OC0333AGY KRYSTINAWU 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 Attachment 3A 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 ENTITYFAX # ENTITY EMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 061230 GULFSTREAM SEXTANT CLO2007 1 ARAGU APOLLO GLOBAL KYlL033036 KY1L033036 Investor Address. BOUNDARYHALL 1 OC555 TAMARADAVY 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-KY11102 061240 KINGSLANDV 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 VOYACLOV LTD (FKA ING INGMCLV VOYA INVTMGT KY1L021296 KYlL021296 Investor Address: QUEENSGATEHOUSE 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 INVESTMENTMANAGEMENTCLOV SOUTH CHURCH STREET LTD) GEORGE TOWN KY-KY11102 061264 WESTWOOD ODD II, LTD (ALCENTRA WCDO082807 AlcentoaNY, 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 MSIMPECONIC 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 DUANESTREET CLO IV LTD ARADS4 NAPIER PARK KYlLOO3112 KY1L003112 Investor Address QUEENSGATE HOUSE 1 OC111 NOBLE KALLUKUZHY9727855298 2815827775 NOBLE KALLUKUZHY@BNYMELLON.COM USD 0.11 2,188.518.75 2,188.518.75 0.00 2.188,518 75 GLOSLCAP 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 BABSONMID-MARKETCLO LTD 2007-11 GPBM72 BABSON CAPITAL KY1L002163 KYlL002163 Investor Address: WALKER HOUSE 1 OC0102AGY KEVINCEDORCHUK 8179373520 6179370572 KEVIN.CEDORCHUK@STATESTREET.COM USD 0.10 1.947,787.79 1,947,787.79 0.00 1.947,787 79 (BABSONCAPITAL) MANAGEMENT 07 MARYSTREET GEORGE TOWN KY-061346 PRIMUSCLOIILTD (CIFCDEERFIELD) KSPC2 CIFC ASSET KYlL051483 KYlL051483 Investor Address: BOUNDARYHALL 1 OC0111AGY BURKEMALEK 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 WALKERHOUSE 87 MARYSTREET GEORGE TOWN KY-061360 FRANKLINCLO 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 FLOATINGRATE SOUTH CHURCH STREET GEORGE TOWN KY-061422 CENTCOO 15 LTD ACET15927 COLUMBIAMANG KYlL014713 KY1LO14713 Investor Address: 113 QUEENSGATE 1 OC0314AGY VIRTUSGROUP 7139934300 8666072494 CENTCDOXVFAX@VIRTUSLLC.COM USD 0.13 2,688,804 51 2.688,804.51 0.00 2,688,804.51 INVADV LLC HOUSE SOUTH CHURCH STREET GEORGE TOWN KY-061436 ARES XXIICLO LTD (FKACLYDESDALE CDC07 Ares Management, KY1LLO0555 KY1LL00555 Investor Address. QUEENSGATE HOUSE 1 OC0143AGY CYNTHIAYEN 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 GABRIELCLO I LTD EMSG1 OVCCREDIT KYlLO10059 KYlLO10059 Investor Address QUEENSGATE HOUSE 1 OC3187AGY VIRTUSGROUP 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 MUIRGROVE 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 CARLYLEARNAGE CLO LTD (FKA SUZJAIM CARLYLE KYlLD05141 Investor Address: P.O. BOX 1093. GT 1 C0l111 ELDADSIMON 7134136208 2816673902 USD 0.20 3.943,488 38 3,943.488.38 0.00 3,943,488.38 STANFIELDARNAGE CLO INVESTMENT GEORGE TOWN LTD)(CARLYLEINVESTMENT KY-MANAGEMENTLLC) 067019 CIFC Funding 2007-111,LTD (CIFC CIFC081307 CIFC ASSET KYlL021502 KY1L021502 Investor Address: QUEENSGATE HOUSE I OC067019AG JUSTIN MIHALINEC 2126241694 3122768111 LOANADMIN@CIFCCOM USD 0.16 3,217,500.00 3.217500.00 0S00 3.217,500 00 DEERFIELD) MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY.
067177 COLUMBUSNOVACLO 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 (CIFCDEERFIELD) MANAGEMENT SOUTH CHURCH STREET GEORGE TOWN KY-067308 VENTURE IXCOO LTD 067308USD MJXASSET KYlL002486 KYlL002486 Investor Address: QUEENSGATE HOUSE 1 OC01 GATES WATEL 3123326312 2142914287 VENTURE.IXNOTICES@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 LEVERAGEDLOAN2007 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______
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NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTALLC TOTAL I Investor Name MNEMONIC Fund Manager MEICode DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONED ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING UTSTANDING OUTSTANDING 087878 ASS LOANS 2007 LIMITED ABS081407 GOLDMANSACHS 1ElL006244 IE1L006244 Investor Address: BLOCKD, 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 DUBLIN2 IRELAND IE-089978 JFIN CLO2007 LTD (BABSONCAPITAL) JEFF09067 JEFFERIES KYlLG00886 KYlLOO0886 Investor Address: QUEENSGATE HOUSE 1 C0122 KEVINCEDORCHUK £178373020 3170370586 KEVIN.CEDORCHUK@STATESTREET.COM USD 0.10 1.980.0W 00 1.980,000.00 0.00 1.980.000.08 FINANCELLC SOUTH CHURCH STREET GEORGE TOWN KY-091712 GULF STREAM-COMPASS CLO 2007 GULF81707 APOLLOGLOBAL KY1L032558 KY1L032558 Investor Address 4TH FLOOR BOUNDARY 1 0C124 CORYOLSEN 9174723972 2144591018 12144591018@TLSLDSPROD.COM USO 015 2,984.924 62 2.984,924 62 000 2.984,924.62 LTD (APOLLOGLOBAL MANAGEMENT MANAGEMENT HALL LLC) CRICKETSQUARE GEORGE TOWN KY-100379 GREENBRIARCLO, 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 CAPITALMANAGEMENT) MIANGFM CRICKET S.UARE GEORGE TOWN KY-102743 PORTOLA CLO.LTD. POD PIMCO KYlL051327 KYILW51327 Investor Address: WALKERHOUSE 1 OC111 BANKLOANACCOUNT9499323005 6173303854 PIMCO-06820@STATESTREET.COM USD 0.37 7.387,.08.01 7.387.906.01 0.00 7.387,906.01 87 MARYSTREET ING GEORGE TOWN KY-KY19002 107865 ECP CLO 2008-1, LTD (SILVERMINE 107865USD SILVERMINE KY1L014812 Investor Address WALKERHOUSE 1 OC10786501 KEISHAGRAY 7134836223 2815827202 USD 0.34 6.779.897.45 6.779.897 45 0.00 6.779.897 45 CAPITAL) CAPITAL 87 MARYSTREET GEORGE TOWN KY-111974 ABERDEEN LOANFUNDING. LTD. 111974USD H"IGHLAND CAPITAL KY1L122805 KY1L122805 Investor Address: WALKERHOUSE 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 (HIGHLANDCAPITAL) MANGFM 87 MARYSTREET GEORGE TOWN KY-KY19002 112414 STICHTINGPENSIOENFONDS 112414USD PIONEER NL1L180685 NL1L18655 Investor Address: PO BOX 85344 1 0C11241401 PHILIPCOLBURN 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 GALAXYVIIICLO, 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 INVESTMENTSLLC) INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-120596 HUDSON CANYON FUNDINGI1, LTD. 120596USD INVESCOSENIOR KY1L036807 KY1L036807 Investor Address: WALKERHOUSE 1 0C120596 MALIABAYNES 3123327323 8669407641 HUDSONCANYON.CLO.NOTICES@USBANK.COM USO 009 1,893.418 92 1.893,418.92 000 1.893.418.92 (INVESCOSENIOR SECURED SECURED 87 MARYSTREET MGMTINC) GEORGETOWN KY-KY1-9002 135516 LLT LIMITED LLTUSD Loeb Capftal GBIL136041 G81L136041 Investar Address: WASHINGTONMALL- 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 HAMILTONHM 11 VG-165691 GLOBALCREDIT RETURNFUND N.V (IN HIGHHUSD LNP PARIBASEUR NL1L206591 Investor Address: P.O BOX990 1 0C1234 PATRICK DILLON- 01135315428101 2015796915 PATRICKDILLON.MALONE@BNYMELLON.COM USD 0.25 4.950.0008 4.950.000.00 0.89 4.950,000.00 RELATIONTO THE SERIES2809-1 AMSTERDAM MALONE NDTES(I8NP PARIBAS) NL-1000 166814 RENAISSANCE TRUST 2009 RENIASSUSD HIGHBRIDGE KY1L213703 KY1L213703 Investor Address: BUTTERFIELDHOUSE.68 1 0012345 MARIAPENA 7134837077 2019172154 MARIAE.PENA@BNYMELLON.COM USD 0.79 15.769.267 78 15.769.267.76 0.00 15.769.267.78 (HIGHBRIDGECAPITAL CAPITAL FORT STREET MANAGEMENTLLC) GEORGE TOWN KY-167163 INNOVATIONTRUST 2009 INNOVAT Eaton Vance KY1L193822 KY1L193822 Investor Address BUTTERFIELDHOUSE 1 0C0001 AMANDALASKEY 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 AMBITIONTRUST 2009 (BABSON AMBITRU BABSONCAPITAL KYIL206798 Investor Address: BUTTERFIELDHOUSE,68 1 0C456 AMANDALASKEY 4122348322 2019172155 AMANDA.LASKEY@BNYMELLONCOM USD 042 8.411.135 83 8,411,135083 0.00 8,411,135.83 CAPITALMANAGEMENT.LLC) MANAGEMENT FORT STREET GEORGE TOWN KY-180268 FRASER SULLIVANCLO VIILTD. (FKA COATEMP 3i Debt Management KY1L238031 Investor Address: CLIFTONHOUSE 75 FORT 1 0Cll VIRTUS GROUPLP 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-KY11108 184548 GSO LOANTRUST 2010 (BLACKSTONE SSOUSD BLACKSTONEDEBT KYIL225616 KYIL225616 Irvestor Address: BUTTERFIELDHOUSE 1 Oc111 SHUNTACERF 7134836077 2018223619 12018223619@TLSLDSPROD.COM USD 0.71 14,254,897.67 14.254,597.67 000 14,254,597.67 DEBTADVISORS(GSO CAPITAL ADVISORS 68 FORT STREET PARTNERS)) GEORGE TOWN KY.
191162 OCTAGONLOANTRUST 2010 OCTLTRST OCTAGONCREDIT KYIL246638 Investor Address: BUTTERFIELDHOUSE. 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 (OCTAGONCREDIT INVESTORS LLC) INVESTORS FORT STREET GEORGE TOWN KY.
194530 OCTAGONPAUL CREDITFUND SERIES OCTAGON OCTAGONCREDIT KYOMO0O209 Investor Address: P.O.BOX 1093. 1 OC001 MICHAELGUDAS 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 CREDITINVESTORS) INVESTORS QUEENSGATE HOUSE GEORGE TOWN KY-11102 12083685 JOHAINTREPID LEVERAGEDLOAN OHAINSUSO 0PTHILLCREDIT s 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 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL N Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONED ENTITYFAX # ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 211567 VALIDUSREINSURANCELTD 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 (PINEBRIDGEINVESTMENTS) INVESTMENTS VILLEROAD 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 CENTRALPARK CLO LTD CPCLO BLACKSTONEDEBT 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 BLUEMOUNTAINCLO 2011.1 LTD BCMLLUSD BLUEMOUNTAIN KY1L325135 Investor Address: POBOX 1093 1 0IC123 KORYBURLESON 7134836084 2017165671 12017160671@TLS.LDSPROD.COM USD 0.10 1.945,350.00 1,945,350.00 0.00 1.945.350 00 (BLUEMOUNTAINCAPITAL CAPITAL GEORGE TOWN MANAGEMENT) KY-11102 221860 AMBITIONTRUST 2011 (BABSON ATUSD BABSON CAPITAL KY1L328394 KY1L328394 Investor Address: BUTTERFIELDHOUSE 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 CAPITALMANAGEMENTLLC) MANAGEMENT 68 FORT STREET GEORGE TOWN KY-227751 GSO LOANTRUST 2011 (BLACKSTONE GLTUSD BLACKSTONEDEBT KY1L335878 kY1L335878 Investor Address BUTTERFIELDHOUSE 68 1 0C125 KHALIDEL HEJJALI 7134836130 2016390857 12016390857@TLS.LDSPROD COM USD 1.88 37.632.697 99 37.632,697.99 0.00 37.632.697.98 DEBTADVISORS (GSO CAPITAL ADVISORS FORT CAYMAN PARTNERS))) GEORGE TOWN KY-228897 INNOVATIONTRUST 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 VANCEMGMT) FORT STREET GEORGE TOWN KY-7 6 56 229312 VOYACLO 2011 1 LTD (FKA ING IMCLO I1USD VOYA INVTMGT KY1L335225 KY1L335225 Investor Address: QUENNSGATE HOUSE 1 0C-123 GREGORY HANCOCK 7134836377 201 1 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-KY11102 331461 LCM IX LIMITEDPARTNERSHIP LLPUSD LCM ASSET KYIL345521 KY1L345521 Investor Address: OUEENSGATEHOUSE 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 MARYSTREET GEORGE TOWN KY-234467 CARLYLEGLOBALMARKET CARYLEE CARLYLE KY1L352378 Investor Address: WALKER HOUSE S7 1 0C2323 THOMASCACCIOLA 617662B282 6173300362 CARLYLE-g9F0@STATESTREET.COM USD 0.20 5.029.004.82 5.029,004.82 0.00 5.029.004.82 STRATEGIES CLO2011-1 INVESTMENT MARYSTREET LTD(CARLYLEINVESTMENT GEORGE TOWN MANAGEMENT) KY-KY19D02 236402 BABSONCLO LTD2011-1 (BABSON BAPPIPA BABSON CAPITAL KY1L354028 Investor Address CLIFTON HOUSE 1 0C2312 KEVINCEDORCHUK 6179373520 6179370410 KEVIN.CEDORCHUK@IBTCOCOM USD 0.30 7,855.662 41 7.855,66241 0.00 7,850,662.41 CAPITAL MANAGEMENTLLC) MANAGEMENT 75 FORT STREET GEORGE TOWN KY-KY11108 240371 GALAXYXICLO LTD GALAKIS PINEBRIDGE KY1L027822 Investor Address: QUEENSGATEHOUSE 1 CUC123 JAMIESPENCER 7134836180 2018127929 12018127929@TLS LDSPROOCOM USD 002 467,86899 467.868899 000 467,868.99 INVESTMENTS SOUTH CHURCH STREET GEORGE TOWN KY-KY11102 242812 UOLUBCAPITALPARTNERS 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 STRATHAVALEHOUSE GEORGE TOWN KY-KY11102 73 30 0 3 245382 FALCONSENIOR LOANFUND LTD FSLUSD APOLLO GLOBAL KYIL400862 KY1L400862 Investor Address: UGLANDHOUSE 1 OC01 MICHAELGUDAS 6176629729 61 10 MIZUHOLT-MZLt@STATESTREETCOM 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 VALERIEGUIMARES 6176036512 8667905326 COO ALM6W@CDO.USBANK.COM USD 037 7,421.183 88 7,421,183.88 0.00 7.421,183.80 MANAGEMENT MARYSTREET GEORGE TOWN KY-KY19002 7
246170 AMMC CLO IXLIMITED (AMERICAN AMMIKI AMERICAN MONEY KY1L399767 Investor Address: 4 TH FLOOR BOUNDARY 1 0C223 VIRTUSGROUP LP 7139934300 8663979B4 NOTICES AMMCCLOIX@VIRTUSLLC.COM USD 0.25 4.945,187.77 4,945,187.77 000 4,945.107.77 MONEYMANAGEMENTCORP) MANAGEMENT HALL CRICKET SQUARE GEORGE TOWN KY-246422 GSO JUPITER LOANTRUST GSOJUSD BLACKSTONEDEBT KY1L404948 KYIL404940 Investor Address: 38 MARKET 1 OCOl KHALIDEL HEJJALI 7134836130 3470922851 13475922851@TLS.LDSPROD COM USD 0.40 8.025,733 92 8,025,733 92 0.00 8.025.733.92 (BLACKSTONEDEBT ADVISORS(GSO ADVISORS STREETCANELLA COURT CAPITALPARTNERS)) CAMANABAY KY-252226 FRASER SULLIVANCLO VI LTD FSCUSD 3i Debt Management KY1L409210 Investor Address: CLIFTONHOUSE 75 FORT 1 OC01 VIRTUSGROUP [P 7139934300 8666979809 NOTICES FRASERSULLIVANCLOVI@VIRTUSLLC.COM USD 0.16 3.141,183.09 3,141,183.09 0.00 3,141.183 09 (FRASERSULLIVANINVESTMENT US LLC STREET MANAGEMENT) GEORGE TOWN KY-KY11108 60 263595 JAMESTOWN CLO I LTD FFSCUSD 31Debt Management KY1L549577 KY1L549577 Investor Address: CLIFTONHOUSE 75 FORT 1 OC01 STEPHEN GLORIA 7139934300 8665 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-KYl1103 265457 LCM X LIMITEDPARTNERSHIP (LCM LCMUSD LCM ASSET KY1L443706 Investor Address: QUEENSGATEHOUSE 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 11102 1 1 1 1 _ 1 1 1 Page 11 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR
- Investor Name MNEMONIC Fund Manager MEI Code I OASSET DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAX# ENTITYEMAIL TOTAL TOTAL LOAN TOTALLC CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING TOTAL 265479 AMMC CLOX LIMITED AMMUSD AMERICAN MONEY KY1L441833 Investor Address BOUNDARYHALL 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 VOYACLO 2012 1 LTD (FKA ING IMCLO IMCUSD VOYA INVTMGT KY1L492863 KY1L452863 Investor Address: QUEENSGATE HOUSE 1 0C500 GREGORYHANCOCK 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-KY11102 268307 BLUEMOUNTAINCLO 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 GALAXYXIICLO LTD GXCUSO .'INEBRIDGE KY1L448074 Investor Address: BOUNDARYHALL 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 CARLYLEGLOBALMARKET CGMUSD CARLYLE KY1L466889 Investor Address: WALKERHOUSE 1 0C123 WESLEY SULLIVAN 6176629304 6179889544 CARLYLE-91Fr@STATESTREETCOM USD 014 2.774,640.85 2.774.640.85 0.00 2,774,640.80 STRATEGIES CLO 2012 1 LTD INVESTMENT 87 MARYSTREET GEORGE TOWN KY-KY19302 279492 AGF FLOATINGRATE INCOME FUND AGFDCT Eaton Vance CA1L483162 Investor Address: 66 WELLINGTONSTREET 1 OC500 RACHELKIELY 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: CLIFTONHOUSE 75 FORT 1 0C500 RAWZABABOUDIAB 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-KY1-1108 281276 LCMX LIMITEDPARTNERSHIP LLCMUSD LCMASSET KY1L484338 Investor Address QUEENSGATEHOUSE 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 VENTUREX CLO LIMITED VXDCT MJX ASSET KY1L482928 KYTL482928 Investor Address: BOUNDARYHALL 1 00500 CHRISTINEXU 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-KYT1102 283595 GOLUB CAPITALPARTNERS CLO 11 MUNDHRIDCT GOLUB CAPITAL KY1L487083 Investor Address 9'ONCHURCH STREET 1 0C14 VIRTUSGROUP LP 7139934300 8662604289 UOLUBCAPITALCLO11@VIRTUSLLC.COM USD 0.17 3.494,205.00 3.494,205.00 0.00 3.494,205.00 LTD STRATHVALEHOUSE GRAND CAYMAN KY-KY11102 283893 BABSON CLO LTD 2012 It BABOCT BABSON CAPITAL KY1L4932106 Investor Address: QUEENSGATEHOUSE 1 OC500 CAITLINFARREN 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 GLOBALMARKET 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 MARYSTREET GEORGE TOWN KY-KY19002 285112 APIDOS CLO IX ACOCT CVC CREDIT KY1L493909 Investor Address: QUEENSGATEHOUSE 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. CLIFTONHOUSE 1 OC500 DAVIDBALMERT 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 XXIIISENIOR LOANFUND DDCT PRUDENTIAL KY1L482563 KY1L482563 Investor Address QUEENSGATEHOUSE 1 OC500 MICHAELLUEHRING 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 HALCYONLOANADVISORSFUNDING CYONDCT HALCYON KY1L506742 Investor Address" BOUNDARYHALL 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-KY11102 296608 PIMCO LOANINTERESTS AND CREDIT PIMDCT PIMCO KY1L442609 Investor Address: 87 MARYSTREET 1 OC12 BANKLOAN 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: BOUNDARYHALL 1 OC1 DONNYNGUYEN 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-KY11102 Page 12 of 25
NRG Energy. Inc. - SF-328 Attachment 3A
- Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING O 300030 LANCASHIREINSURANCE COMPANY LICLDCT PINEBRIDGE BMILS64316 BM1L064316 Investor Address POWER HOUSE 6TH 1 0C02 AGENTBANK 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 VILLEROAD HAMILTON BM-300421 VENTURE I CLO LIMITED VALIDCT MJXASSET KY1tL524S58 KYIL524588 Investor Address: BOUNDARYHALL 1 0C12 VIRTUS GROUP LP 7139934300 8669037998 NOTICESVENTUREXICLO@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 BLUEMOUNTAINCLO 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 CARLYLEGLOBALMARKET CUDUDCT CARLYLE KY1L526138 KY1L526138 Investor Address: WALKERHOUSE 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 MARYSTREET GEORGE TOWN KY-KY19002 301717 LCM XII LIMITEDPARTNERSHIP LCMDCT LCM ASSET KY1L520016 KY1L520016 Investor Address: QUEENSGATE HOUSE 1 0c1 CLO 7142476551 9725840047 CLO.ADMINISTRATION@DBCOM USD 0.11 2.141,240.55 2.141.240.55 0.00 2,141.240.55 MANAGEMENT GRAND CAYMAN ADMINISTRATION KY-KY11102 301847 GALAXYXIVCLOLTD GACLDCT PINEBRIDGE KY1L530031 Investor Address: BOUNDARYHALL 1 0012 MANDYHO 7134836175 9725840046 1972S840046@TLS.LDSPROD.COM USD 0.01 213,322.62 213.322.62 000 213.32262 INVESTMENTS CRICKET SQUARE GEORGE TOWN KYIKYl1102 302421 VOYACLO 2012 3 LTD (FKA INGIMCLO INGCOCT VOYA INVTMGT 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 OCTAGONINVESTMENTPARTNERS 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 CAPITALPARTNERS 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 STRATHVALEHOUSE GRAND CAYMAN KY-KY11102 306917 ,,LLIANCEBERNSTEININSTITUTIONAL 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 INVESTMENTSAJA HIGH YIELDLOAN IN LP. RUPPERT PORTFOLIO LUXEMBOURG LU-L2453 307031 APIDOSOLO X APIDCT CVC CREDIT KY1L541228 [,Y1L541228 Investor Address QUEENSGATE HOUSE 1 0C1 SARAH PRUCHA 7134836196 2143020340 SARAH.PRUCHA@BNYMELLONCOM 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 RACEPOINT VIICLOLIMITED RPLDCT SANKATY KYlL847464 KY1L847464 Investor Address. WALKERHOUSE 87 1 0C12 RACE POINT VIICLO 00000000000 8669419228 RACE.POINT.VII@US9ANKCOM USD 020 3,939,949.37 3.939.949.37 0.00 3.939,949.37 ADVISORS, LLC MARYSTREET GEORGE TOWN KY-KY19002 307900 HALCYONLOANADVISORS FUNDING HALYDCT HALCYON KY1L546664 KY1L946664 Investor Address BOUNDARYHALL 1 0C1 AZENETHOLVERA 7134836362 2142962777 12142962777@TLS LDSPROD.COM USS 01 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 SHACKLETONII CLOLTD HACDCT Alcentra NY, LLC KY11547522 KY1L347522 Investor Address BOUNDARYHALL 1 OCt 9HACKLETONII 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-KY11102 312605 GALAXYXVCLO LTD GALADCT PINEBRIDGE KY1L551771 RY1L551771 Investor Address BOUNDARYHALL 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 XIICLOLIMITED VENIDOCT MJXASSET KY1LS551516 KYIL551516 Investor Address QUEENSGATE HOUSE 1 0C1 ANDYRUIZ 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-KY1102 314820 AMMC CLO XlILIMITED AMMDCT AMERICAN MONEY KY1L551904 KY1L551904 Investor Address. BOUNDARYHALL 1 001 COLINGALUSKI 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-KY11102 316620 PIMCO FUNDS GLOBALINVESTORS FUNDS PIMCO E1L550029 lE1L550829 Investor Address STYNE HOUSE 3RD 1 0C01 BANKLOAN 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 INCOMEFUND FLOOR UPPER HATCH ACCOUNTING STREET DUBLIN IE-2 318248 OFIP CLO 2013 1 LTD CPIP CHICAGO KY1L555996 RY1L555996 Investor Address: INTERTRUSTSPV 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 CAYMANLIMITED 190 ELGIN AVE GEORGE TOWN KY-KY19005 Page 13 of 25
NRG Energy. Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL I Investor Name MNEMONIC Fund Manas MEICode DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE 0 ENTITYFAX # ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 293 318608 LCM XIII LIMITEDPARTNERSHIP LOKUU LCM ASSET KY1L556085 KY.1L556085 Investor Address: QUEENSGATE HOUSE 1 OC12 CLO 7142476551 6026804256 CLO.ADMINISTRATION@DBCOM USO 0.21 4.293.599.51 4.293.599.51 0.00 4. ,599.51 MANAGEMENT GRANDCAYMAN ADMINISTRATION KY-KY11102 318926 BLUEMOUNTAINCLO 2013-1 LTD (FKA BLUEM JLUEMOUNTAIN KY1L558636 KY1L558636 Investor Address QUEENSGATEHOUSE 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 LOANFUNDING LLC) CAPITAL SOUTHCHURCH STREET GRANDCAYMAN KY-KY11102 319514 ARCHES FUNDINGULC ARF PIMCO CAL.555894 CA1L555894 Investor Address: 1055 WEST GEORGIA 1 OC01 AURELIABOSTAN 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 ELGINAVENUE 1 OC12 DAVIDGALLIE 4122348306 4698287765 14698287765@TLS.LDSPROD.COM USD 030 5.924.923.86 5.924,923.86 000 5.924,923.86 ADVISORS.LLC GEORGETOWN KY-KY19005 319703 A SERIES TRUST OF MULTI MANAGER STMU PIMCO KY1L553074 KY1L553074 Investor Address. BUTTERFIELDHOUSE68 1 OC01 BANKLOAN 9499323005 6173105722 PIMCO-09309@STATESTREET.COM USD 0.27 5.347.221.85 5.347.221.85 0.00 5.347.221.85 GLOBALINVESTMENTTRUST PIMCO FORT STREET ACCOUNTING CAYMANSANK LOANLIBORPLUS GEORGETOWN FUND JPY HEDGE KY-KY11106 319868 MOUNTAINHAWK I CLO LTD MOHA WESTERN ASSET KY1L558172 KY11558172 Investor Address: QUEENSGATE HOUSE 1 OC12 AGENTNOTICES 00000000000 8556093618 MOUNTAIN.HAWK CLO@USBANKCOM USD 012 2,369,969.54 2,369,969.54 000 2.369.969.54 MANAGEMENT SOUTH CHURCH STREET GEORGETOWN KY-KY11102 321285 ARROWPOINTCLO20131 LTD (FKAAP ACLOO ARROWPOINT KY1L561630 KY1L561630 Investor Address 190 ELGINAVENUE 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) GEORGETOWN CHLUMSKY KY-Y19005 321323 JAMESTOWN CLO II LTD JTNN 3i Debt Management KYOMOOOCG2KYOMO0OCG2 snvestor Address, CLIFTONHOUSE 75 FORT 1 OC12 VIRTUSGROUP 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 GEORGETOWN KY-KY11109 330659 BLUEMOUNTAINCLO 2013 2 LTD BMCO 9LUEMOUNTAIN KYOMOOOCMOKYOMOOOCMOInvestor Address: QUEENSGATEHOUSE 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 GEORGETOWN KY-KY11102 330961 PALMERSQUARE CLO 2013 1 LTD PSCD FOUNTAINCAPITAL KYOMOOODP1KYOMOOODP1investor Address: QUEENSGATEHOUSE 1 OC12 VIRTUSGROUP 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 GEORGETOWN KY-KY11102 7
330962 BABSONCLO LTD2013 I SABC BABSONCAPITAL KYOM000DD7 KYOMOOODD7Investor Address: QUEENSGATEHOUSE 1 OC01 CAITLINFARREN 6176629 60 3173105740 6 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 GEORGETOWN KY-KY1 1102 332272 NEUBERGER BERMANCLO XIVLTD NBCOO NEUBERGERBER KYOM000DZO KYOM000DZ0 Investor Address: QUEENSGATEHOUSE 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 FXEDINCOM SOUTH CHURCH STREET GEORGETOWN KY-KY11102 332720 APIDOS CLO XlI APIDOS CVC CREDIT KYOMOOOFH3KYOMOOOFH3Investor Address: QUEENSGATEHOUSE 1 O01 SARAHPRUCHA 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 GEORGETOWN KY-KY11102 333082 HALCYONLOANADVISORSFUNDING HLAAA HALCYON KYOMOO0CP3 KYOMOOOCP3 Investor Address: BOUNDARYHALL 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 CRICKETSQUARE GEORGETOWN KY-KY11102 334111 VOYACLO 2013 1 LTD (FKA ING IMCLO INGIM VOYA INVTMGT KYOMOODH0 KYOM000OH8 Investor Address: QUEENSGATEHOUSE 1 Oc1 LOANSERVICING 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 GEORGETOWN KY-KY11102 334580 GALAXYXVICLO LTD GALA PINEBRIDGE KYOM800FV4 KYOMOOOFV4Investor Address: QUEENSGATEHOUSE 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 GEORGETOWN KY-KY 1102 335034 VOYACLO 2013 2 LTD (FKA INGDM CLO INGIMCLO VOYAINVTMGT KYOM000GZ3 Investor Address: QUEENSGATEHOUSE 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 GEORGETOWN KY-KY11102 72 3 335462 WESTERN ASSET BANKLOAN MULTI WABL WESTERNASSET KYOMO00H68 KYOMOOOH68 Investor Address: CAMANABAY 72 MARKET 1 OC335462 SYNDICATEDLOAN 9 401859 4698287810 BNYCDCOGR@BANKOFNY.COM USD 002 493,74365 493,743.65 0.00 493.743.65 CURRENCY MASTERFUND MANAGEMENT STREET SERVICING CASSIA COURT KY-KY11206 338934 OCEANTRAILS CLO IV OOCTUSD WEST GATE KYOM000J58 KYOM000J58 Investor Address OUEENSGATE HOUSE 1 OC01 ANDREA 2136213758 8552693579 ADENISEVICH@WESTGATEHORIZONSCOM USD 0.20 3.964.962.41 3.964.962.41 0.00 39564.962.41 HORIZONS SOUTH CHURCH STREE DENISEVICH GEORGETOWN KY-11102 340413 GOLUB CAPITALPARTNERS CLO 17 UOLUPA Virtus Partners LLC USL1565145 JS1L65145 Investor Address CLIFTONHOUSE 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 LOANFUNDING 75 FORT STREET LLC) GEORGETOWN KY-KY11108 344667 APIDOSCLO XIV APCXIV OVC CREDIT KYOM050FJ9 KYOM000FJ9 Investor Address QUEENSGATEHOUSE 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 CHURCHSTREET GEORGETOWN KY-KY11102 Page 14 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONED ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 352498 VENTUREXIVCLO LMITED VENTXIV MJX ASSET KYOMSSSKV4 KYOMO0KV4 Investor Address: QUEENSGATE HOUSE 1 OC001 ANDYRUIZ 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-KY11102 353534 URYDEN 0(1VIII SENIOR LOANFUND 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 BLUEMOUNTAINCLO 2013 3 LTD BLUECLD BLUEMOUNTAIN KYOM000L70 KYOMMOOL70Investor 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-KY11102 355061 AVERYPOINT II CLO LIMITED AVPII SANKATY KYOM000MJ5 KYOMO00MJS Investor Address: 190 ELGINAVENUE 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-KY19005 355526 CFIP CLO 2014 1 LIMITED ( FKACFIP CCFIP CHICAGO KYOM000MT4 KYOM000MT4 Investor Address INTERTRUSTSPV 1 0C1 MARITZASAINT 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 CAYMANLIMITED 190 ELGIN AVENUE GEORGE TOWN KY-KY19005 356118 SNP PARIBASSENIOR 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 PARIBASGLOBALSENIOR 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 PAVILIONREALASSETS 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 GOLDMANSACHS LUXINVESTMENT GHYF GOLDMANSACHS 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) GOLDMANSACHS FUNDS ASSET LU-1855 CONTROLAND SICAVSIF _ANALYSIS 357601 GAVINCIREINSURANCELTD DVRL EATONVANCE BMOM9002Q6 BMOM0002Q6 Investor Address: RENAISSANCE HOUSE 12 1 0C1 KYLEMILLER 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 UALLATINCLO V 2013 1 LIMITED GALLV MP SENIOR CREDIT KYOMOOONR6 KYOMOOONR6Investor Address: QUEENSGATE HOUSE 1 OC001 ANTHONYSTARK 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-KY11102 77 2 5 74 358006 NEUBERGERBERMANCLO XVLTD NBCLO NEUBERGER BER KYOMOOON37 KYOMOOON37Investor Address: 190 ELGINAVENUE 1 OC1 AMIEE COOPER 3123327021 8 845 NEUBERGERBERMANCLO15.NOTICES@USBANK.COM USOD 005 994.974 87 994.974 87 0.00 994.97487 FXED INCOM GEORGE TOWN KY-KY19005 358037 ALLIANCEBERNSTEIN INSTITUTIONAL ABII ALLIANCEBERNSTE LU1L326006 LU1L326006 Investor Address: 2-4 RUE EUGENE 1 Oc1 HENRYCABALERO 9725604420 14690287884 14698287864@TLS.LDSPROD.COM USD 0 50 9.934,811 64 9.934.811 84 000 9,934.811 84 INVESTMENTSAXA HIGH YIELDLOAN II IN LP. RUPPERT PORTFOLIO LU-L2453 00 0 0 35B066 LCM XIV LIMITEDPARTNERSHIP LCMLP LCM ASSET KYOMOOOL96 KYOMOOOL96 Investor Address: QUEENSGATE HOUSE 1 OC1 DEBBIE 2123597418 0vO0O LCMFAX@LCMAM.COM USO 0.10 3.668,236 78 3.668,236.78 0.00 3.668,236 70 MANAGEMENT KY-KY11102 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 BABSONCAPITALBANKLOANFUND A BABS BABSON CAPITAL KYOMOO0N11 KYOMO9ON11 Investor Address: BUTTERFIELDHOUSE 68 1 OC001 CAITLINFARREN 6176629760 6179460133 3ABSON-0133@STATESTREET.COM USO 020 3.969,924 82 3.969,924.82 000 3.969,924 82 SERIES TRUST OF MULTIMANAGER MANAGEMENT FORT STREET GLOBALINVESTMENTTRUST GEORGE TOWN KY-KY11106 359116 UHA LOANFUNDING 2013 2 LTD OFUN OAK HILLCREDIT KYOMOO0Q18 KYOMOOO18 Investor Address: QUEENSGATE HOUSE 1 00002 OHALF20132 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-KY11102 359716 WESTERN ASSET BANKLOAN WASST WESTERN ASSET KYOMOOPV3 KYOMOPV3 Investor Address: CAMANABAY 72 MARKET 1 S0001 YNDICATEDLOAN 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 SUITE2204 2ND FLOOR KY-359720 BABSONCAPITALSENIOR LOANTRUST BOSE BABSON CAPITAL KYOM00LJ7 KYSM000LJ7 Investor Address: UGLANDHOUSE 1 OC001 CAITLINFARREN 6176629760 0179460133 3ABSON-0133@STATESTREET.COM USO 005 996.22799 996.22799 0.00 996.22799 MANAGEMENT GEORGE TOWN KY-KY11104 360337 RIZALCOMMERCIALBANKING RIZ CVC CREDIT PH1L543954 PH1L543954 Investor Address: YUCHENGCO TOWER 1 00001 SARAHPRUCHA 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 AYALAAVENUE MAKATICITY PH-Page 15 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTALLOAN TOTAL LC TOTAL
- Invest,, Name MNEMONIC Fund Manager MEICode DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONEI ENTITYFAX# ENTITYEMAIL CCY RAT1 COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 362775 BLUEMOUNTAINCLO 20134 LTD BMC BLUEMOUNTAIN IYOMOOORD7 KYOMOOORD7 Investor Address: QUEENSGATE HOUSE 1 OC001 AGENTNOTICES 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 SOUTHCHURCHSTREET GEORGE TOWN KY-KY11102 364258 ARROWPOINTCLO 20142 LTD IFKA) ARROP ATRROWPOINT KYOMO01VZO KYOM01VZO Investor Address: 190 ELGINAVENUE 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 MUZINICHSHORTDURATIONHIGH MUSDU Muzinch and IEOM0006J5 IEOM0006J5 Investor Address: 33 SIR JOHN 1 OC001 BANKLOAN 000000000 6179565697 19725840885@TLS.LDSPROD COM USD 2.53 50.621,168.48 50.621.168.48 0.00 50.621,168.4L YIELDFUND Company ROGERSONSS QUAY ACTIVITY DUBLIN IE-365079 DRYDEN30 SENIOR LOANFUND DRYD IRUDENTIAL KYOM000S73 KYOMO00S73 Investor Address: QUEENSGATE HOUSE 1 CO001 BRIANSCHOTT 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 APIDOSCLO XV APICLO LVC CREDIT KYOMO0OSKOKYOMOOOSKOInvestor Address QUEENSGATEHOUSE 1 OC1 MIGUELMIKE 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 MULTISECTOR VALUEBOND FUND MULT PIONEER KYOM0O0R17 KYOMODOR17 Investor Address. CIBC FINANCIALCENTRE 1 OCi PHILIP COLBURN 6174224565 4693318041 USD 0.00 74.43609 74,43609 0.00 74,4)6.08 INVESTMENT 11 DR ROYS DRIVE GRANDCAYMAN KY-366029 KINGSLANDVI KINGS KINGSLAND KYOMOOOTK8KYOMOSSTK8 Investor Address QUEENSGATE HOUSE 1 0C1 LETICIALICONA 7134837070 4693318038 14693318038@TLS.LDSPROD.COM USD 018 3,536.942.09 3.536.94209 0.00 3.536,942.09 CAPITAL SOUTHCHURCH STREET GEORGE TOWN KY-KY11102 366220 B'PIMCOBERMUDATRUST IIPIMCO PBBL PIMCO BMOM000302 BMOM000302 Investor Address: 2 CHURCH STREET 1 0c1 BANKLOAN 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 AVERYPOINT iIICLO LIMITED AVEP SANKATY KYOM00OSS3 KYOMOOSS33 Investor Address: 190 ELGINAVENUE 1 OC001 FERNANDOTAPIA 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-KYl9009 368904 FIDELITYFLOATINGRATEHIGH FFRH FIDELITY CAOMSOODG6 CAOMOOODQ6Investor Address: 483 BAYSTREET 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 MASONWESTERN ASSET LEMA WESTERN ASSET IEOM000783 .EOM000783 Investor Address: RIVERSIDETWO SIR 1 UCOO2 SYNDICATEDLOAN 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 CANALDOCK DUBLIN2 IE-369066 APIDOSCLO XVI ACXVI CVC CREDIT KYOMOOVM0 KYOM000VM0 Investor Address QUEENSGATE HOUSE 1 001 KORYLAYNE 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-KY11102 371233 VENTURE XVCLO LIMITED VXV MJXASSET KYOMOOXKO KYOMOO0XKO Investor Address: QUEENSGATE HOUSE 1 CC001 DELIAGAMBOA 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 AVENUEJF KENNEDY 1 OC002 THOMASCACCIOLA 6176629282 6179566645 PINEBRIDGE-PBS1@STATESTREETCOM 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: CLIFTONHOUSE 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 GALAXYXVIICLO LTD GALX PINEBRIDGE KYOMOOOZC2 iKYOM000ZC2Investor Address: QUEENSGATE HOUSE 1 C001 AGENTNOTICES 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 IACLARINGTONFLOATINGRATE IAC IACLARINGTONINV 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 QUEBECCITY CA-GIKTM3 377815 NORTHWOODS CAPITALXI LIMITED NRC ANGELD,, GORDON YOMOOOZ25 KYOMOOOZ2NInvestor AddreSS GUEENSGATEHOUSE 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 LIMITEDPARTNERSHIP LCMX LCM ASSET KIYOMOOISR1 K<YOMO015R1Investor 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 STREET ADMINISTRATION GEORGE TOWN KY-KY11102 Page 16 fo25
NRG Energy. Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name MNEMONIC Fund Marlr MEICode DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAXB ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 380804 DRYDEN 31 SENIOR LOANFUND 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-KY11102 381028 BLUEMOUNTAINCLO 2014 1 LTD BLUEMO BLUEMOUNTAIN KYOM001884 KYOM001884 Investor Address: QUEENSGATE HOUSE 1 DCI AGENTNOTICES 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-KY11102 381837 DAKTREECLO 2014 1 LTD OAKT OAKTREE CAPITAL KYOM001CJ4 IYOM001CJ4 Investor Address: 190 ELGINAVENUE 1 OCt AGENTNOTICES 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 COASUMMITCLO LTD COASM 3i Debt Management KYOM001P42 KY9MOO1P42 Investor Address:QUEENSGATE HOUSE 1 OCOl COA SUMMITCLO 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 PRINCIPALGLOBALOPPORTUNITIES PGO Principal Financial IEOMOtLN5 IEOMOOOLN5 Investor Address: 25 - 28 NORTHWALL 1 OCOl DIERICKXJODY 5152475245 8665088946 OIERICKXJODY@PRINCIPAL.COM USD 0.00 79,798.49 79,798.49 0.00 79.798.49 SERIES PLC GLOBALFLOATINGRATE Group QUAY HIGH INCOME FUND DUBLIN2 IE-387389 AVERYPOINT IV CLO LIMITED AVE SANKATY KYOM001MT2 KYOM001MT2 Investor Address: QUEENSGATE HOUSE 1 OCOC AGENTNOTICES 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-KY11102 387753 URYDEN33 SENIOR LOANFUND 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 HALCYONLOANADVISORS FUNDING HALOF HALCYONLOAN KYOMO024L6 KYOM0024L6 Investor Address: QUEENSGATE HOUSE 1 OCO01 HALCYONLOAN 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 ADVISORSFUNDING GEORGE TOWN KY-KY11102 390228 SARANACCLO IIILIMITED SARANK CANARASCAPITAL JEOM000385 JEOM000385 Investor Address: 37 ESPLANADE 1 OCOl AGENTNOTICES 0000000000 8663110511 SARANAC.CLOIII@USBANKCOM 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 MYRTACALVILLO 7134836224 2815827953 MYRTA.CALVILLO@BNYMELLON.COM USD 0.11 2.154,574.22 2,154.74.22 0.00 2.154.574.22 CAPITALLTDXINVESCOSENIOR SECURED GEORGETOWN SECURED MGMTINC) KY-058343 EATONVANCEINSTITUTIONALSENIOR 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 LEUTSCHEBANKAG NEW YORK AADBAG Deutsche Bank Ag DE1L156826 DE1L156826 Investor Address: 60 WALLSTREET 2 OC9914AGY1 MARKUSLANG 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 NEWYORK US-10005 057635 LRSTEGROUP BANKAG 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 BANKAG 32ND FLOOR - WEST BUILDING NEWYORK, NY AT-10017 057658 BANKOF AMERICANA ACSBO-USD BANKOF 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 BARCLAYSBANKPLC(NEWYORK VBBB BARCLAYSBANK GB1L182938 GBlLt82938 Investor Address: 1 CHURCHILL PLACE 2 OCOOOAGY ANTHONYTAMBURRI9735763449 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 LOANTRADING 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-94104 058029 MASSACHUSETTSMUTUALLIFE MMLI BABSON CAPITAL USIL026825 US1L026825 Investor Address: 1295 STATE ST BOSTON 2 C0007 KEVINCERDORCHUK 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-01111 058033 SENIORDEBTPORTFOLIO FORMALLY GPSDP Eaton Vance USIL011173 Investor Address: 24 FEDERAL STREET 2 OC058033 RACHELKIELY 6176728115 9179370635 EATONV9635@STATESTREET.COM LSD 0.32 6,319.422.52 6.319.422 52 0.00 6.319,422.52 EATONVANCEPRIME FUND, INC. BOSTON MA.
(EATONVANCE) FOURTHFLOOR US-02110 058037 ALLSTATEINSURANCECOMPANY NALL ALLSTATELIFE 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 (ALLSTATELIFE INSURANCE INSURANCE SUITE G5A OPERATIONS COMPANY) NORTHBROOK,ILLINOIS US-60062 058347 MORGANSTANLEYSENIOR FUNDING AAMSSF MORGANSTANLEY US1L022337 US1L522337 Investor Address: 1585 BROADWAYCIO 2 OC058347 MS LOANSERVICING 4436274355 7182332140 USLOANSERVICING@MORGANSTANLEY.COM USD 0.09 1.873,250.01 1.873,250.01 0.00 1,873,250.01 INC SENIOR TAXDEPARTMENT 1633 BROADWAY,25TH FLOOR NEW YORK US-10019 059442 GRAYSONAND CO (FKA EATONVA- ACCOR Baron Vance USIL033557 Investor Address" 2 INTERNATIONAL PLACE 2 0P321A RACHELKIELY 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 Attachment 3A INVESTOR ASSET TOTAL TOTALLOAN TOTAL LC TOTAL I Investor Name MNEMONIC Fund Manager MEICode DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONEI ENTITYFAX# ENTITYEMAIL CCV RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 058518 AFR - FIDELITYADVISORSERIES I: AFRH Fidelity Investments USIL012643 US1L012643 Investor Address: 82 DEVONSHIREST 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 FIDELITYADVISOR FLOATINGRATE BOSTON, MA INVESTMENTS HIGH INCOME FUND(FIDELITY) US-02109 058570 NATIONWIDEMUTUALFIRE IPNATM Nationwrde Life USIL116915 Investor Address 2 PENNS WAY 2 OPS2 ANGELAFARRIS 6142493366 6142496869 FARRISA2@NATIONWIDE.COM USD 0.49 9,726,750.00 9,726.750.00 000 9.726,750.0u INSURANCECO (NATIONWIDELIFE Insurance US-INSURANCECOMPANY) 058619 NEW YORKLIFE INSURANCE& NYLIAACORP NEW YORK LIFE USIL115669 US1L115669 Investor Address: 51 MADISONAVENUE 2 OC822AGY HAROLDGOLD 2125785407 2142914332 HAROLD GOLD@NYLIM.COM USD 0.41 8.154.245.47 8,154.245.47 000 8.154,245.47 ANNUITYC ORPORATION INSURANCE NEW YORK, NY 10010 US.1010 058620 NEW YORKLIFE INSURANCE CO NYLICTI NEW YORK LIFE USIL022998 USlL022998 Investor Address: 51 MADISONAVENUE 2 OC0112AGY HAROLDGOLD 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 CYNTHIASCOTT 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 INVADV LLC SUITE 90245 COMPANY EL SEGUNDO. CA 90245 US-058804 EATON VANCEVT FLOATING-RATE 058804USD EatonV.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 INCOMEFUND (EATON VANCE) FLOOR BARRY BOSTON, MA02109 US-059159 WESTERN ASSET FLOATINGRATE WAFER WESTERNASSET USlLO59685 USlL059685 Investor Address: 117 F. COLORADOBLVD 2 OCO333AGY SYNDICATEDLOAN 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,CA91105 SERVICING MANAGEMENT) US-059196 MACQUARIE/FIRSTTRUST GLOBAL DMFTG MACQUARIEFUNDS US1LO21792 USlL021792 Invest.r Address 1001 WARRENVILLERD 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 INFRASTRUCTUREUTILITIESDIVIDEND GROUP SUITE 300 AND INCOMEFUND LISLE US-60532 559227 CM LIFE INSURANCE CO CMLI LABSONCAPITAL US1L104635 US1L104630 Investor Address: 1295 STATE STREET 2 CCOO7 KEVINCERDORCHU. L176629749 6173303118 SSCBA8SON@STATESTREET COM USD 0.04 877.601.5o 877.601.50 006 877.601.54 MANAGEMENT MIPE104 SPRINGFIELD,MA US-01 111 059339 PIMCO FLOATINGINCOME 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 BALLANTYNEFUNDING LLC (BANKOF ABALL BANK OF AMERICA JS1L039612 Investor Address. 401N TYRONSTREET. 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 FUNDINGLLC CHARLOTTE,NC 28255 US-059360 VIRTUS MULTI-SECTSHRT TERMEND 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 FKAPHNX MULTI-SECTSHRT TERM HARTFORD HARTFORD. CT END FD(NEWFLEET ASSET US-06115 MANAGEMENT) 859431 PIONEER FLOATINGRATE 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 CHATHAMLIGHTIICLO 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 CLARENDONSTREET BOSTON KY-02116 060083 CITIBANK,N.A. - SECONDARYTRADING STPCUSD-3 LITIGROUPGLOBAL 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 YORKLIFE INSURANCE CO. ACSNYL MackayShields US1L115636 US1L115638 Investor Address: 51 MADISONAVENUE 2 CS0333AGY NUNZIA 2122303832 2127350406 BANKLOANS@MACKAYSHIELDS COM USD 0.05 928.372 50 928,372.50 0.00 928.37250 GUARANTEEDPRODUCTS)(MACKAY NEW YORK, NY10010 MAZZOCCOLI SHIELDS) US-tO01O 860133 COLUMBIAFUNDS SERIES TRUST II ACSAXP COLUMBIAMANG USJL009904 Irostor Address 145 AMERIPRISE 2 UC6909AGY CYNTHIASCOTT 4694771947 3479623470 13479623470@DOCS LDSPROD COM USD 0.15 3,051,819.01 3.051,819.01 0.00 3.051,819 01 COLUMBIAFLOATINGRATE NV ADV LLC FINANCIALCENTER FUND(COLUMBIAMANAGEMENT MINNEAPOLIS INVESTMENTADVISORS LLC) US-55474 800187 PIMCO DIVERSIFIED INCOME FUND GPPO PIMCO USIL050601 USIL0S06O1 Investor Address 840 NEWPORT CENTER 2 OC0333AGY BANKLOAN 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-OPTIMUMFIXED GPO Delaware US1L181265 Investor Address' 2005 MARKETST 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 RIDGEWORTHFUNDS SEIX FLOATING ALPSFR Selx Advisors US1L009854 USlLO09854 Investor Address: C/O CITI 3435 STELZER 2 OC16176 CHRIS ENNIS 8176621164 6173303298 RIDGEWORTHSEIXFRHIF-RGCJ@STATESTREETCOM USD 0.52 10.365,281.03 10,365.281.03 0Ono 10,365,281.03 RATEHIGH INCOME FUND FKA STI RD CLASSIC - SEIX FLOATINGRATE HIGH COLUMBUS,OH INCOME FUND US.43219 060537 CREDITSUISSE LOAN FUNDINGLLC CSK CREDIT SUISSE US1L015752 US1L015752 Investor Address: 11 MADISONAVE-CORP 2 OC007 LOANOPERATIONS 9199946374 8664693871 18664693871@DOCS.LDSPROD.COM USD 0.04 753.321.67 753321.67 0.00 753,321.67 TAXDEPT.-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 CLARENDONSTREET BOSTON IE-02116 Page 18 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- investor Name MNEMONIC Fwd M nW MEICode DTCC CODE INVESTOR DETAILS F oign OC CONTACT ENTITYNAME PHONE4 ENTITYFAX # ENTITYEMAIL CCY iRATIOCOMMITMENT OUTSTANDING OUTSTANDING OUTSTANDINCG 060658 WESTERNASSET CORE PLUS BOND GPWEST WESTERN ASSET US1L059784 US1L059784 Investor Address: 385 E COLORADO BLVD. 2 OC0134AGY CHRISTINEROSADO 617-662-4578 617-451-4958 CSHUANG@STATESTREETCOM USD 0.50 9.924,812.03 9.924.812.03 0.00 9.924,812.03 PORTFO (WESTERNASSET MANAGEMENT PASADENA,CA 91105 MANAGEMENT) US-91101 060728 MAINSTAYUNCONSTRAINEDBOND NMDI Mackay Shields US1L025231 Investor Address: 51 MADISONAVENUE 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 MAINSTAYFLEXIBLEBOND PNJ MAZZOCCOLI OPPORTUNITIES FUND) NEW YORK US-10010 061162 NEW YORK LIFE INSURANCE COMPANYNYLICGPPORTA Mackay Shields US1L142549 JS1L142549 Investor Address: 51 MADISONAVENUE 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-PORTABLEALPHA MACKAY NEW YORK NY 10010 MAZZOCCOLI SHIELDS) US-10010 061239 PIONEERBOND 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 OC1002AGY 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 FLOATINGRATE 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 CYNTHIASUMNER 2124543822 0179889298 INVESTMENTSUPPORT-HY@LIST.DB.COM USD 0.05 965.250.01 965,25001 000 965250.01 ASSET MGMT) MANGMNTHY PLACE FLOOR 7 BOSTON MASSACHUSSETTS US-02110 070145 TAIPEI FUBONCOMMERCIALBANKCO. TAFUCOBNK TAIPEI FUBON TWILLS7095 Investor Address: 700S 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 PRUDENTIALTOTALRETURNBOND PTR PRUDENTIAL USJLO34753 LS1L034753 Investor Address GATEWAYCENTER 2 0C01 SYNDICATEDLOAN 9724018523 2017102126 BNYCDOGR@BANKOFNY.COM USD 0.07 1,485,000 00 1.405.00000 0 0 1,400,000 00 FUND INC (FKA DRYDENTOTAL INSURANCE THREE SERVICES RETURN BONDFUND NC) 150 MULBERRYSTREET,9TH FLOOR (PRUDENTIALINVESTMENT NEWARK MANAGEMENT) US-07102 089455 PIMCOCAYMANTRUST 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 BANKLOANFUND NEW YORK ACCOUNTING NY KY-10005 091597 OWSFLOATINGRATEFUND (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 FLOATINGRATEPLUS FUND) Mang-SYND 11TH FLOOR BOSTON MA US-02108 094933 DWS MULTI MARKETINCOMETRUST DWSM092507 DEUTSCHE ASSET USlL035578 USlL035578 Investor Address: 2 INTERNATIONAL PLACE 2 )C0925 CYNTHIASUMMER 212-454-3822 6179889298 USD 0.07 1,457,549.99 1,457.549.95 0.00 1,457,549 99 DEUTSCHEASSET MGMT) MANGMNTHY 7TH FLOOR BOSTON MA US-02110 094934 DWS UNCONSTRAINEDINCOME VIP DWS1092507 DEUTSCHEASSET USlL035495 US1L035495 Investor Address. ONE BEACON ST 11TH 2 OC0925 CYNTHIASUMMER 212-454-3022 6179889298 USO 0.01 118,124.98 118.124.90 0.00 118,124.98 FKA DWS STRATEGIC INCOME VIP) MANGMNTHY FLOOR BOSTON MA US-02108 095002 UWS UNCONSTRAINEDINCOME FUND DWSS092507 DEUTSCHE ASSET US1L035560 JSlL035560 Investor Address: ONE BEACON ST 11TH 2 LC0925 CYNTHIASUMMER 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) MANGMNTHY FLOOR BOSTON MA US-02108 095003 UWS STRATEGIC INCOME TRUST DWST092507 DEUTSCHE ASSET USlL035552 US1L035552 Investor Address: 2 INTERNATIONAL 2 0C0925 CYNTHIASUMMER 212-454-3822 6179889298 USD 0.02 393,97499 393.974.98 0.00 393,974.99 DEUTSCHEASSET MGMT) MANGMNTHY PLACE, 7TH FLOOR BOSTON MA US-02110 098939 COLUMBIASTRATEGICINCOMEFUND COLSl101 COLUMBIAMANG US1L291262 InvestorAddress: ONE FINANCIALCENTER 2 00098939 CYNTHIASCOTT 4694771947 201716656 12017165656@TLS.LDSPROD.COM USD 0.03 632,238.75 632,238.79 000 632.23875 INVADV LLC BOSTON MA US-02111 099332 681 - SEI INSTITUTIONALMANAGED SE11107 WESTERN ASSET UJS1L124315US1L124315 Investor Address: 385 E. COLORADO BLVD 2 0C1107 DONNATHOMAS 6268444870 6268174103 WABANKLOANS@WESTERNASSET.COM USD 003 645,112 78 645,112.78 0.00 645.112 78 TRUST'S CORE FIXEDINCOME MANAGEMENT PASADENA (WESTERN ASSET MANAGEMENT) CA US-91101 104938 LORD ASBETf INVESTMENTTRUST - 104938USD Lord Abbett US1L026593 Investor Address: 90 HUDSON STREET 2 0C1111 LOANSERVICING 6176621243 6179889660 LORDA-1271@STATESTREET.COM USD 1.20 24.037,885.99 24.037,885.9. 000 24,037,085 99 FLOA TINGRATE 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(WESTERNASSET 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 ENTITYNAME ENTITYPHONE IS ENTITYFAX # ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 106733 SARATOGAINVESTMENTCORP CLO GSCGRP07LTD SARATOGA KYlLO02973 KY1L002973 Investor Address. 535 MADISONAVENUE 2 OC4564AGY ANDREW 7043354575 2144619590 ANDREWSCHAEFFER@USBANKCOM 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 VIRTUSSENIOR FLOATINGRATE 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)PHOENIXSENIOR FLOATING HARTFORD GREENFIELD RATE FUND US-01301 111455 ADVANCEDSERIES TRUST-AST ASTWSTRNASS WESTERN ASSET USlL006967 U[SL006967 Investor Address GATEWAYCENTER 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 ILLINOISTOOL WORKS, INC. MASTER I1W PIMCO US1L150260 US1L150260 Investor Address: 3600 WEST LAKE 2 OC11577501 BANKLOAN 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 EMORYUNIVERSITY 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 ATLANTAGEORGIA US-30326 132082 AMERICANHALLMARKINSURANCECO AMERICANUSD NEWCASTLE US1L007908 Investor Address. 777 MAINSTREET 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-76102 133986 GOLDMANSACHS LENDING PARTNERS GSLPUSD GOLDMANSACHS USlL033508 USlL033508 Investor Address: CIOGOLDMAN, SACHS. 2 OC1339683 CALLYHEW 2123574457 6467697700 USD 0.00 4,950.00 4,95000 000 4.950.00 LLC CREDIT AND CO.
85 BROAD STREET-TAXDEPT.
NEW YORK, NY US-10004 3 7 3 02 135291 CALIFORNIASTATE TEACHERS CALWAMUSD WESTERN ASSET US1L122400 US1L122400 Investor Address: 100 WATERFRONT 2 OC1234 MARKLUTZ 6179 B 6173303443 WAMCO-TC5Q@DSTATESTREET.COM USD 0.06 1.241.474 29 1.241.474 29 000 1.241.474.29 RETIREMENTSYSTEM (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 TRACIMANFORD 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. TOWNSTREET 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 (MACKAYSHIELDS LLC) COLUMBUS,OH MAZZOCCOLI US-43215-5164 140363 COLUMBIASTRATEGIC INCOME FUND COLUSD COLUMBIAMANG US1L291270 Investor Address: ONE FINANCIALCENTER 2 Oc111 CYNTHIASCOTT 4694771947 2017165657 12017165657@TLS.LDSPROD.COM USD 0.01 291,802.50 291,80250 0.00 291,002 50 VARIABLESERIES INVADV LLC BOSTON US-02111 140454 3003 - PACIFICSELECT FUND - PSFUSD WESTERNASSET 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 BONDPORTFOLIO MANAGEMENT DRIVE NEWPORTBEACH, CA US-92660 141437 SEIX MULTISECTOR 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)SEIXCREDIT ROAD DISLOCATIONFUND 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 NATIONALROCHDALE 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 INCOMEOPPORTUNITIESFUND) US-19456 152196 PIMCO FUNDS PIMCO LOW DURATION PLWDNF PIMCO USIL147829 US1L147629 Investor Address: 540 NEWPORT CENTER 2 OC001 BANKLOAN 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 NEWPORTBEACH JS-92660 166624 BANKOF TAIWAN,LOS ANGELES NFTAIWAN BANKOF TAIWAN TW0L178943 InvesTorAddress: SUITE 4525 2 OC4589 TIMOTHYLIU 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 DELAWAREGROUP INCOME FUNDS - DELDFRF Delaware USIL215022 US1L215022 Inveslor Address: 2005 MARKETSTREET. 2 OC0001 JOSEPH FIORILLA 2152552321 2672340803 BANKLOANS@DELINVEST.COM USD 0.02 404,210.20 404,21820 000 404,21820 DELAWAREDIVERSIFIED FLOATING Investments ONE COMMERCE RATE FUND (DELAWARE SQUARE,9TH FLOOR, INV. ACCOUNTING INVESTMENTS) PHILADELPHIA US-19103 177751 CONSUMER PROGRAM CONSJPM JPMORGANASSET US1L293359 Investor Address 175 W. JACKSON BLVD. 2 OC0001 LIDIAJODKO 3026342853 3026345868 BANKLOANS@JPMORGAN COM USD 0.01 297.000.00 297.000.00 0.00 297,000.00 ADMINISTRATORSINC ( JP MORGAN MANAGEMENT 11TH FLOOR INVESTMENTMANAGEMENT INC) CHICAGO US-60604 180146 MT. WHITNEYSECURITIES INC. MITWSI Deutsche Asset USIL201665 US1L201865 Investor Address 477 MARTINSVILLEROAD OC001 LIZ DELGADO 2122500511 6173303360 ELIZABETH.DELGADO@DSCOM USD 0.06 1,167.210.00 1,167.210.00 0.00 1,167,210.00 (DEUTSCHEASSET MANAGEMENTINC) Mang-SYND LIBERTYCORNER US-07938 Page 20 of 25
NRG Energy. Inc. - SF-328 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreigrn CC CONTACT ENTITYNAME ENTITYPHONED ENTITYFAX # ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 180362 MET INVESTORS SERIES TRUST - MEVFRP Eaton Vance US1L220063 nvestor Address 5 PARK PLAZA.SUITE 2 OC0001 RACHELKIELY 6176728115 6173303148 MET-EATONVANCEFLOATR-C7LM@STATESTREET.COM USD 020 4.036,601 25 4.036.601.25 0.00 4.036,601 25 METIEATONVANCE FLOATINGRATE 1900 PORTFOLIO (EATON VANCE IRVINE MANAGEMENT) US-92614 180380 THE HARTFORDSHORT DURATION THSDF WELLINGTON U51L214959 US1L214959 Investor Address: 500 BIELENBERGDRIVE 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 LOEBARBITRAGE 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 5 2 32 1 180922 LVIPDELAWAREDIVERSIFIED LVIPDDFRF Delaware USIL244311 US1..244311 nvestor Address: 1300 SOUTH CLINTON 2 001 JOSEPH FIORILLA 21525 2672340803 JAFIORILLA@DELINVEST.COM USD 003 629.30359 629.30359 000 629,303.59 FLOATING RATEFUND (DELAWARE Investments STREET INVESTMENTS) FORT WAYNE US-46802 184549 CALIFORNIAFIRST NATIONALBANK CALFNB CALIFORNIAFIRST USIL006140 nvestor Address. 18201 VON KARMAN 2 0C125 JOE GREWE 8007352465 8007354589 GMERAZ@CALFIRSTC0M US) 0.50 9.924.812 03 9.924,812.03 0.00 9.924.812 03 (CALIFORNIAFIRST NATIONALBANK) NATIONAL AVENUESUITE 420 IRVINE US-92612 184929, FIRST WESTERN CAPITAL FIWEUSO .
VIRTUS PARTNERS US1L223042 US1L223042 nvestor Address: 1200 SEVENTEENTH 2 OC1111 VIRTUSGROUP LP 7139934300 8772788216 FWCMHIGHINCOMESENIORLOANSLP@VIRTUSLLC.COM USD 002 486.337.50 486.33750 0.00 486,337.50 MANAGEMENTHIGH INCOME SENIOR LLC STREET LOANS LIMITEDPARTNERSHIP SUITE 2650 DENVER CO US-80202 193400 FIRST NIAGARABANKN.A (FIRST NBNA FIRST NIAGARA USIL013435 nvestor Address: 6950 S TRANSITRD P.O 2 OC123 SUE NAAB 7168195874 7168195132 COMMERCIALPARTICIPATIONS@FNFG.COM USO 048 9.674.775 00 9,674.775 00 000 9.674.775 00 NIAGARABANKNA) BANKRN A OX 514 LOCKPORT US-14095 195477 TETON FUNDINGLLC (APOLLO TETONFUND APOLLOGLOBAL US1L291577 InvestorAddress: P.O.BOX4418,MAIL CODE 2 001111 RACHELRICHARDS 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 INCOMEFUND PIFMS PIMCO US1L147837 US1L147837 nvestor Address: 840 NEWPORT CENTER 2 OC123 BANKLOAN 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 NEWPORTBEACH US-92660 206496 uSA, SHORT TERM BONDFUND USAAGY USAAINVESTMENT US1L294720 nvestor Address 8800 FREDERICKSBURG 2 OC01 VALARIEDAY 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 CYNTHIASUMNER 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 MANGMNTHY 11TH FLOOR MANAGEMENTAMERICASINC) BOSTON US-02108 29 37 209650 UNITEDHEALTHCAREINSURANCE UHCIC BLACKSTONEDEBT US1L550386 US1L550386 nvestor Address 8908 BREN ROAD EAST, 2 OC03 MICHAELCAROZZA 61766 7 6179370565 16026804118@TLS.LDSPROD.COM USD 0.01 240,753.77 240,753.77 0.00 240,753.77 COMPANY (BLACKSTONEDEBT ADVISORS MN008-T390 ADVISORS(GSO CAPITALPARTNERS)) MINNETONKA US-55343 210079 PUTNAMABSOLUTERETURN300 FUND IARTHRF Putnam investments US1L299844 nvestor Address ONE POST OFFICE 2 OCTll MARKNGUYEN 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 AMERICAFLOATINGRATE 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 INCOMEFUND (PPM AMERICAINC) SUITE 1000 CHICAGO US-60606 211628 PIMCO FUNDS PRIVATEACCOUNT PRACCPO PIMCO US1L301665 US1L301665 Investor Address: 840 NEWPORT CENTER 2 OC1 BANKLOAN 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 IDRIVESUITE 100 ACCOUNTING GRADE CORPORATE PORTFOLIO NEWPORTBEACH US-92680 213449 JPMORGAN CHASE BANKNA AS JPMJRTPL JPMORGAM ASSET USI1L175127 US1L175127 Investor Address 4 NEW YORK PLAZA15TH 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 (INVESCOSENIOR SECURED WHEATON GAMBARDELLA SECURED MANAGEMENTINC) US-60187 FAVUZZA 2 78 6 218647 LOOMIS SAYLESSTRATEGICALPHA SAABSAUSD LOOMIS SAYLES US1L301723 US1L301723 Investor Address: C 0 NGAMADVISORSLP 2 Oc1 JOSEPH ANGELONE 8174787447 6174822274 BLDPERATIONS@LOOMISSAYLES.COM USD 0.14 2.786,850.00 , ,850.00 080 2.786,850.00 FUND (FKA)LOOMIS SAYLES 399 BOYLSTON STREET ABSOLUTESTRATEGIES FUND BOSTON US-02116 228780 SOMERSET TRUST COMPANY 50U00 sOMERSETTRUST U01L370988 Ianiestr Address: 101 WEST MAINSTREET 2 001 DELLARESH 8144438271 4144438349 RESH@SE)MERSETTRUST0DM 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 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTALLC TOTAL x Investol Name MNEMONIC Fund Manager MEI Code OTCC CODE INVESTOR DETAILS Foregn OC CONTACT E ENTITYPHONED ENTITYFAX # ENTITYEMAIL CCY RATO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 221970 GOLDMANSACHS TRUST- GOLDMAN GSHYF GOLDMAN SACHS US1L251894 US1L251894 Investor Address C0OGOLDMAN SACHS 2 UC001 ALICIALUSTY 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 YIELDFLOATINGRATE ASSET ASSET MANAGMENT FUND (GOLDMANSACHS ASSET 30 HUDSON STREET 15TH FLOOR MANAGEMENTI.P) JERSEY CITY US-07302 225848 PIMCO FUNDS PRIVATEACCOUNT PSFRP PIMCO JS1L335564 US1L335564 Investor Address: 840 NEWPORT CENTRE 2 0C02 BANKLOAN 9499323005 6173300219 PIMCO-PC3Z@STATESTREET.COM USD 0.01 294,872 23 294.87223 0.00 294.87223 PORTFOLIO SERIES PIMCO SENIOR DRIVE ACCOUNTING FLOATINGRATEPORTFOLIO NEWPORT BEACH US-92660 226238 PRUDENTIALINVESTMENT PRUINT PRUDENTIAL US1L328221 US1L328221 Investor Address GATEWAYCENTER 2 0C125 SYNDICATEDLOAN 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 ABSOLUTERETURN BONDFUND STREET, 9TH FLOOR, NEWARK PRUDENTIALINVESTMENTMANAGER) NEW JERSEY US-07102 226613 PIMCO SENIOR FLOATINGRATE FUND PIMESCHU PIMCO US1L335804 US1L335804 Investor Address. 840 NEWPORT CENTER 2 0C002 BANKLOAN 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 SAYLESSTRATEGIC ALPHA LSAUSD LOOMIS SAYLES US1L325573 US1L325573 Investor Address: ONE FINANCIALCENTER 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)LOOMISSAYLES 27TH FLOOR ABSOLUTESTRATEGIES TRUST BOSTON US-021 11 228359 JPMORGAN FLOATINGRATE INCOME JPFUSD JPMORGAN ASSET US1L337925 UILL337925 Investor Address 270 PARK AVE 6 TH 2 OC159 GFS LOANSERVICES 0000000080 4695136122 GFS.LOANSERVICES.JPMCBFLOATING.RATE.INCOME@CHASE.COM USD 1 34 26,730.00080 26,730,000 h 8.800 26.730,000.00 FUND MANAGEMENT FLOOR NEW YORK US-i 0017 229001 OCTAGONDELAWARETRUST 2011 OCTUSD OCTAGON CREDIT US/L337404 Investor Address 1932 WYNNTONROAD 2 0C010 MARGARETB 2124008444 8662915114 MHARVEY@OCTAGONCREDIT.COM USD 0.11 2.179.081.38 2.179.081.38 000 2.179.081.38 (OCTAGONCREDIT INVESTORS LLC) INVESTORS COLUMBUS HARVEY US-31999 229334 PIONEER MULTIASSET 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)PIONEERMULTI INVESTMENT BOSTON ASSET FLOATINGRATE FUND US-02109 234321 REYNOLDS AMERICANDEFINED REYADMST WELLINGTON UILL439861 US1L439861 Investor Address: 401 N MAINSTREET 2 0c1 MATTHEW 9725816535 2145455287 WELLINGTON@MARKITWSO.COM USD 002 319,638.48 319,638.48 000 319,638.48 BENEFIT MASTERTRUST MANAGEMENT WINSTON STAFFORD US-27101 234613 ARROWOOD INDEMNITYCOMPANYAS ARINPN BABSONCAPITAL US/L337776 US1L337776 Investor Address: 3600 ARCO CORPORATE 2 0C123 KEVIN CEDORCHUK 6176629749 6173300242 KEVINCEDORCHUK§STATESTREET.COM USD 001 152,003.89 152,003.89 0.00 152,003.89 ADMINISTRATORFOR THE PENSION MANAGEMENT DRIVE PLANOF ARROWOOD INDEMNITY CHARLOTTE COMPANY(BABSONCAPITAL US-28273 MANAGEMENT) 238176 MAGMUTUALINSURANCECOMPANY MAGMICUSD PIMCO US1L328627 USIL328627 Investor Address: 3525 PIEDMONT ROAD 2 OCt BANKLOAN 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 MULTISECTOR 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 OPPORTUNISTICCORE PLUS FIXED OAKS INCOME TRUST US-19456 239852 REMUDA CAPITALMANAGEMENTLTD REMUDA JPMORGAN ASSET US1L370892 US1L370892 Investor Address 712 MAINSTREET SUITE 2 OC13131 JENNIFER 3026345837 3026345868 BANK LOANS@JPMORGAN.COM USD 002 396,000.00 396,000.00 0.00 396.00000
)JPMORGANASSET MANAGEMENT) MANAGEMENT 1900 ZERHUSEN HOUSTON US-77002 241609 ADVANCEDSERIES TRUST AST FI ADVA FIDELITY USOM08J6V3 USOM0OJ6V3 Investor Address: GATOWAYCENTER 2 Oc1 FIDELITY 8174746735 6173852818 FPCMSBANKD@FMR.COM USE 0.05 972,675.00 972,675.00 0.00 972,675 0E PYRAMISQUANTITATIVE INVESTMENTS THREE INVESTMENTS PORTFOLIO(FKA ADVANCEDSERIES 100 MULBERRYSTREET 9 TH FLOOR TRUST AST FIRST TRUST BALANCED NEWARK TARGET PORTFOLIO) US-07102 245925 PIONEER INSTITUTIONALMULTI 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 LITMANGREGORY MASTERS LITIKA LOOMISSAYLES US1L401150 US1L401150 Investor Address: 4ORINDA WAYSUITE 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 MEDICALLIABILITYMUTUAL 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 ROOM2500 SENIOR SECURED MANAGEMENT) NEW YORK US-10016 249940 BAPTIST HEALTHSOUTH 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 CORALGABLES 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 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name MNEMONIC Fund Manager ME!Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 261290 INDIANAUNIVERSITY INDUNI LOOMIS SAYLES US1L412579 US1L412579 Investor Address: 400 E 7TH STREET 2 OC112 LOOMIS SAYLES 6174787447 6174822274 BLOPERATIONS@LOOMISSAYLESCOM USD 0.01 207.900.00 207,90000 0.00 207,900.00 POPLARS BUILDING ROOM 501 BLOOMINGTON US-47405 263635 WELLINGTONTRUST COMPANYNA 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 MULTIPLECOLLECTIVEINVESTMENT MANAGEMENT BOSTON STAFFORD FUNDSTRUST IICORE BOND PLUS US-02210
.HIGHYIELDPORTFOLIO 264161 BLUECROSS OF IDAHOHEALTH BLUEC Seix Advisors USIL440505 UStL440505 Investor Address: 3000 E PINE AVE 2 0C700 DARAKOTZKER 2018022356 2145562489 12145562489@TLS.LDSPROD.COM USD 0.00 57,156.28 57,156 28 0.00 57.15626 SERVICEINC MERIDIAN US-83642 267855 COMMUNITYINSURANCECOMPANY CICUSD SANKATY US1L459836 Investor Address: 120 MONUMENTCIRCLE 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 HARTFORDSTRATEGIC INCOME THSDCT WELLINGTON US1L038192 US1LO38192 Investor Address: 500 BIELENBERGDRIVE 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 RACEPOINT VI CLO LIMITED RPDCT SANKATY KY1L460510 Investor Address: JOHN HANCOCKTOWER 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 GLOBALHIGH 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 MANGMNTHY 11TH FLOOR BOSTON US-02108 301741 VIRTUS LOW DURATIONINCOME FUND VLLDCT NEWFLEET" USI.L491524 Investor Address: 101 MUNSON STREET 2 OC12 AMYKEITH 8607605815 4693756877 14693756877@TLS.LDSPROD COM USD 002 399,329.56 399.32996 000 399.329 96 HARTFORD GREENFIELD US-01301 1 306927 HIGHLANDIBOXXSENIOR LOANETF PYXISDCT HIGHLANDCAPITAL US1L557167 US1L557167 Investor Address: 200 CRESENT COURT 2 OCt RETAIL DATATEAM 9724196275 9726637708 R-SETrLEMENT@PYXISCAP.COM USD 0W 1.736,218.55 1.736,218.55 0.00 1.736.218.55 (FKA PYXIS IBOXXSENIOR LOANETF) MANG FM SUITE 700 DALLAS US-75201 307164 WTC CTFCORE BONDPLUS 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 BONDPORTFOLIO MANAGEMENT BOSTON STAFFORD US-02210 312740 AMERICANEQUITY INVESTMENTLIFE AEIDCT BLACKSTONEDEBT USOM001C35 USOM001C35 Investot"Address 100OCWESTOWN 2 OC12 MICHAELCAROZZA 6176629737 6179370171 16026804093@TLS.LDSPROD.COM USD 0.00 0.01 0.01 0.00 0.01 INSURANCECOMPANY ADVISORS PARKWAY WEST DES MOINES US-50266 313906 MIWRDRETIREMENT FUND MWRDDCT PIONEER US1L495475 US1L495475 Investor Address. 111E ERIE ST SUITE330 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 RETIREMENTGROUP TRUST LOAN WESTERN ASSET US1L548067 LS1L548067 Investor Address. 2030 DOW CENTER 2 OCt JOSEPH DEJESUS 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 BLUECROSSBLUESHIELDOF SHIELD WELLINGTON US1L186076 US1L186876 Investor Address: 1 CAMERON HILLCIRCLE 2 OCi MATTHEW 9725816535 4698287746 14698287746@TLS LDSPROD COM USD 0.02 495.00000 495.000.00 000 495,000.00 TENNESSEEINC MANAGEMENT CHATTANOOGA STAFFORD US-37402 334966 JFIN CAPITAL2013 LLC JFIN BABSON CAPITAL USOM08TT9 USOM005TT9 Investor Address: 520 MADISONAVENUE 2 OCi MICHAELBURNS 6176629741 6179370638 MICHAELBURNSJR@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 COMPENSATIONFUND 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 HONDAMASTER 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 RETIREMENTTRUST MANAGEMENT TORRANCE STAFFORD US-90501 338535 MATHENAINVESTMENTSLLC 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 ALLEGHENYTECHNOLOGIES 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 INCORPORATEDMASTER PENSION MANAGEMENT PITTSBURGH TRUST US-15222 340215 ASCENSIONALPHA FUND LLC (FKA CHIMCO PIONEER USOM007W01 USOM007W01 Investor Address: 101 S HANLEYROAD 2 OCt PHILIP COLBURN 6174224565 9726967596 CHIMCO-CHKB@STATESTREET.COM USD 002 321,93609 321,936.09 0.00 321,92609 CHIMCOALPHA FUND LLC) INVESTMENT SUITE 20c CLAYTON US-63105 340219 ASCENSIONHEALTHMASTER PENSION AHMPT PIONEER USOM007W19 USOM007W19 Investor Address: 4600 EDMUNDSONROAD 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 Attachment 3A INVESTOR ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAX0 ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 351646 FCCI INSURANCE COMPANY FCCIIC KDP ASSET USOMD08021 USOM008021 Investor Address 6300 UNIVERSITYPKWY 2 0c1 LYNNGUY 8022292848 8023184248 3ACKOFFICE@KDPAMCOM USD 0.02 496.240.60 496.240.60 0.00 496,240.60 MANAGEMENT SARASOTA US-34240 352378 CHURCHILLFINANCIALCAYMANLTD CHUR Churchill Financial KY1L004193 KY1L004193 Investor Address: 400 PARK AVENUESUITE 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 INSURANCECOMPANY 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 MAINSTAYVP UNCONSTRAINED BOND MVN MACKAYSHIELDS US1L336364 JS1L336364 Investor Address: 51 MADISONAVENUE 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 LOOMISSAYLESCORE PLUS BOND LOO LOOMIS SAYLES USIL222804 US1L222804 Investor Address: C/O NATLXISASSET 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 ADVISORSLP 399 BOYLSTONSTREET BOSTON US-02116 356383 LOOMISSAYLESCORE PLUS FIXED LOOFIT LOOMIS SAYLES US1L541252 US1L541252 Investor Address: ONE FINANCIALCENTER 2 OC001 JOSEPH ANGELONE 6174787447 6174822274 BLOPERATIONS@LOOMISSAYLES.COM USD 0.04 801.900.00 801,900.00 0.00 B01.900.0S INCOMETRUST BOSTON US-02111 357889 UHID POLICE AND FIRE PENSION OHIO PENN CAPITAL USOM009609 USOM0096Q9 Investor Address: 140 EAST TOWN ST 2 OC003 SHANESMITH 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 LIBERTYDRIVE 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 MASTERSAVINGS TRUST VMST ROGGE GLOBAL USOM01S7 USOM008157 Investor Address. 295 N MAPLEAVE 2 OC1 LOUISENOLAN 2078428430 7078428431 UETTLEMENTS@ROGGEGLOBAL.COM USD 0.05 992.481.20 992.481.20 0.SO 992,481.20 PARTNERS BUILDING7 1ST FLOOR SOUTH BASKINGRIDGE US-07920 2 3 5 53 33 360894 VANTAGETRUST VTRST Principal Financial USOM00B8D5 USOMW0B8D5Investor Address: 777 NORTHCAPITOL 2 OC001 CUSHINGALAN 515 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 AMBACASSURANCE 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 NEWYORK US-10004 363896 NEWFLEETMULTISECTOR 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 NJEUBERGERBERMANALTERNATIVE NBAF Loeb Capital USOMOOBH67 USOM00BH67 Investor Address: 605 THIRDAVENUE 2ND 2 OC1 JO RUSSO 2124837052 2125742003 LOEBOPEEATIONS@LOEBCAP.COM USC 003 686.53266 686.532.66 000 686.532.66 FUNDSNEUBERGER BERMAN Management FLOOR ABSOLUTERETURN MULTIMANAGER NEW YORK FUND US-10188 367363 DOUBLELINELOW DURATIONBOND DOUB DOUBLE LINE USOM00CGV2 USOM00CGV2 Investor Address: 333 SOUTHGRAND 2 Oc1 STEPHANIEBAZA 6176036415 8664059021 DOUBLELINE.LOW.DURATION@USBANK.COM USD 0.40 7.964.811.47 7,964.811.47 000 7.964.811.47 FUND CAPITALLP AVENUESUITE 1800 LOS ANGELES US-90071 367364 LOMMINGLEDPENSION TRUST FUND COPET JPMORGAN ASSET USOMOOBMV2USOMOSBMV2 Investor Address 270 PARK AVENUE 2 C0002 LUKEJENNINGS 3026345616 3026345868 BANK_LOANS@JPMORGAN.COM USD 001 248,743.72 248,743.72 0.00 248.743.72 FLOATINGRATE INCOME OF MANAGEMENT NEW YORK JPMORGAN CHASE BANKN 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 PROGRAML P ADVISORS, LLC WEST OPERATIONSTEAM 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 ROCKVILLEBANK ROCV ROCKVILLEBANK US1L160723 US1L160723 nvestor Address: 1645 ELLINGTONROAD 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 KINGALTERNATIVESTRATEGIES LKA Loeb Capital USOM00CBW1 USOMOOCBW1Investor Address: 61 BROADWAY24 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 SEASONSSERIES 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 CENTURYCITY LOS ANGELES US-90067 Page 24 of 25
NRG Energy, Inc. - SF-328 Attachment 3A INVESTOR I ASSET TOTAL TOTAL LOAN TOTAL LC TOTAL
- Investor Name [ MNEMONIC Fund Manager ME!Code OTCC CODE INVESTOR DETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONED ENTITYFAX# ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 371335 DUNHAMFLOATINGRATE BONDFUND DFR NEWFLEET' USOM00CN76 USOM0CN76 investor Address 80 ARKAYDRIVE 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 REGENCEBLUECROSS BLUESHIELD REGE PIMCO USOM00CXL8 USOMOOCXL8 Investor Address: 190 SW MARKET 2 C051 BANKLOAN 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 LAKECITY US-84121 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 IREGENCEBLUESHIELDOF IDAHO RKR PIMCO USOMO0CXM6USOMOOCXM6 InvestorAddress. 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 PINNACOLASSURANCE PINNA PINEBRIDGE USOM00D959 USOMOOD959 Investor Address: 7501 E LOWRYBLVD 2 OC001 MATTHEWZAIMA 8168711805 2012835507 SLSKC3@STATESTREET.COM USD 002 494.152 07 49415207 0.00 494.152 07 INVESTMENTS DENVER US-80220 372701 GALLATINCLO VI 2013 2 LLC GALVI URSAMINECREDIT USOM00D512 USOMO0D512 Investor Address. 850 LIBRARYAVE STE 2 Oc1 ANTHONYSTARK 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 NEWFLEETINSTITUTIONAL LOAN NFI NEWFLEET USOMO0J8P1 LSOM00J8P1 investor Address 300 DELAWAREAVENUE. 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 PRUDENTIALINVESTMENT PIP PRUDENTIAL USOM00FJR7 USOM00FJR7 Investor Address: GATEWAYCENTER 2 OC01 JOSEPH 9738028616 9733678047 JOSEPH.LEMANOWICZ@PRUDENTIAL.COM USD 002 498.740.55 498,740.99 0.00 498,740.55 PORTFOLIOSINC 17 PRUDENTIAL INSURANCE THREE LEMANOWICZ SHORTDURATIONMULTISECTOR 100 MULBERRYSTREET 3OND FUND NEWARK US-071024077 384983 MANNINGAND NAPIER FUND INC HIGH MNH MANNINGN 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 Attachment 3B 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 MEICode DTCCCODE INVESTORDETAILS Foreign OC CONTACT ENTITYNAME ENTITYPHONE # ENTITYFAXN ENTITYEMAIL CCY RATIO COMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 22 7 059089 DNB BANK ASA (FKA DNE NOR BANK ONBASAUSD DNB NOR BANK NO1L177325 Investor Address: DRONNING EUFEMIAS Foreign OC0143AGY ALBERTO CACEDA 83 14580 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-0191 061337 THE ROYAL BANKOF 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 MITSUIBANKING 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 BANKOF TOKYO-MvITSUBISHIUFJ, 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 BANKAG 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 BANKPLC(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 LIBERTYPLAZA 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 BANKNA (FKA UNION BANKOF 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 UTAHCENTER 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 MAINSTREET, 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 TAXDEPARTMENT 1633 BROADWAY.25 TH FLOOR NEW YORK US-I0019 058415 KEYBANKNATIONALASSOCIATION EMKBN KEYBANK US1L035115 US1L035115 Investor Address: 127 PUBLIC SQUARE 1 0C61013 LASHAWNDALTON 2168134819 2163706114 LASHAWNDALTON@KEYBANK.COM USD 1.39 35.000,000.00 4,530,067.70 18.258,D46.08 22,788,113.78 (KEYBANKNATL 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.COMUSD 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 Attachment 3B 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 COMMdERZBANKAG. 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 CAYMANBRANCHES 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 CITBANK 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 LAKECITY 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 BANKUSA 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
Attachment 4A 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 Cusip D11/08/11 07.6250/ J J18 629377BN1 Participant Quantity Participant Quantity Participant Quantity 0756 AEIS INC. 115000j 2567 AI4AL BK 15000 2352 AMALGAMATE 150000:
0158 APEX CLEAR 390001 0901 BANK OF NY 99596500' 0702 BB&T SEC 10650001 4816 BKNS/CLIEN 2500000 z 0992 BMO/TRUST 80000 2787 BNP/CUST 16687000*
2510 BNY/PRUDEN 40889000' 8275 BNY/WEALTH 611000i 2920 BNYM/NSAL 1050000:
0954 BNYMEL/TST 91147000 185175000 0955 BOAGI 2687 CALDWELL i.........
oo o....
880001 .2209 BONY/SPDR 16555000 0010 BROWN BROS 50000! 0274 CGM/SAL BR 773000.
0164 CHS SCHWAB 3058000 0908 CITIBANK 1 42064000i 2108 COMERICA 161000 2170 COMMERCE 10000 0052 COR LLC 35000! 0573 DEUTSCHE 913000 0385 E*TRADE 440000 0987 FID SSB 385000o 2126 FID TR BOS 50000.
0141 FRST CLEAR 2170000 0005 GOLDMAN 2890600i 5208 GS iNATL 373400 0534 INT BROKER 30000 0374 IMS LLC 45000i 2357 IPM BK/IA 630000:
2164 IMP/CCS2 13500001i 8187 JPM/OPERS* 550000 2255 JPM/PCS SS 55000 2517 IPM/PRUDEN 3391000 i 0352 JPMC CLEAR 15708000' 2035 JPMC/INT'L 70000 2424 JPMCB/CTC 250000, 0902 JPMCBNA .124634500!
0990 MFG TRADE 49000 2932 MITSUB UF.
...;ooo ...
150000ý 0075 LPL FIN CO 2888 MIZUHO BNK 641000, 2055000 5198 ML SFKPG 656000 0773 MLPFS/FIX 1295000 0050 MORGAN LLC 4000000, 0015 MSSB 26784000i 5008 NBCN INC** 100000 0226 NFS LLC 3730000.
2669 NRTHRN TR 12910000 0571 OPPENHEIME 641000o 0443 PERSHING 8851000; 2616 PNC BK,NA 57000 0547 R W BAIRD 387000i 0725 RAYMOND 366000O 0235 RBCCAPMKTS 960000 5962 RELIANCE 6000i 0705 SCOTTRADE 73000.
2039 SEI PRIVAT 2166000 2663 SEI PV/GWP 50000 i 0279 SOUTHWEST 100000, 290447000 2375 SSB&T/ISHA 0997 SSB&T CO , . ... . . ... .. . ., . .. ...
. . ...... . .. . . ....... 2970000; 2767 SSB-BRIT 31830000 2950 SSB/TETF 48289000 - 0419 STEPHENS 50000, 0750 STERNE AG 50000.
0793 STIFEL 472000 0188 TD AMERITR 9560001 0549 TIMBER HIL 96000 4805 TORON-BK** 5000000' 0221 UBS FINAN 1749000V 0642 UBS SECLIC 2735000i 2450 UMB BK,NA 215000 2803 US BANK NA 19261000: 0367 USAA INVES 15000i 0062 VANGUARD 130000 0103 WEDBUSH 75000 2027 WELLS BKNA 3875000; 2116 %.11. 1T.- B R .B...T......
o 2116 5TH-3RD BK 190000 Total 1130281000
Attachment 4A 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 Quantity Participant Quantity Participant Quantity 0756 AEIS INC. i 806000 0901 BANK OF NY 22610000o 0229 BARCLAY/LE 250000!
0702 BB&T SEC 60000 0992 BMO/TRUST 100000 2787 BNP/CUST 8515000 2209 BONY/SPDR 4832000 0010 BROWN BROS 6840000 0164 CHS SCHWAB 43770001 0908 CITIBANK 5590000 0651 CRDT AGRIC 250000 0361 DAVIDSON 45000'ý 0385 E*TRADE .. .. ......... . . ., l410000'
. . . .- 0141 FRST CLEAR 6541000 0309 FST STH CO 390001 0005 GOLDMAN 2275000 0501 GOLDMAN LP 706000 1 0534 INT BROKER 670001 0374 JMS LLC 255000 0057 JONES E D 105000 0352 JPMC CLEAR 2077000!
0902 JPMCBNA 29155000 0075 LPL FIN CO 316000 0161 MERRIL j 250000, 0076 MITSUBISHI 2500000 5198 ML SFKPG 1255000 0050 MORGAN LLC , 504000.
.l . . . .. . ..
0015 MSSB 28113000 0226 NFS LLC 4190000 2669 NRTHRN TR 6510001 0571 OPPENHEIMI 160000 0338 OPTIONSXPR 5000 0443 PERSHING 47300001 2616 PNC BK,NA 25000 0547 R W BAIRD 17000 0725 RAYMOND -481000 4801 RBC DOM** 100000i 0235 RBCCAPMKTS 1056000i 5011 SCOTIA** 105000) 0705 SCOTTRADE 71000, 2039 SEI PRIVAT 5000 0279 SOUTHWEST . 131000 2319 SSB TRUST 90o0ooo 0997 SSB&T CO 646000001 2375 SSB&T/ISHA 100000:
2767 SSB-BRIT 1905000; 0750 STERNE AG 15000i 0793 STIFEL 462000 2779 SUMI MITSU I : 185000 0188 TD AMERLTR 946000 1 0549 TIMBER HIL 19000 0221 UBS FINAN 120440001 0642 UBS SECLLC 2550000_ 2067 UNION BANK 25000' 2803 US BANK NA 67000 0062 VANGUARD 275000 0103 WEDBUSH 50000:
0250 WELLS FARG 25000 Total 224738000
Attachment 4A 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 Cusip D04/18/11 08.250% SM20 629377BJ0 Participant Quantity Participant Quantity Participant Quantity 0756 AEIS INC. 54000 2352 AMALGAMATE 200001 0901 BANK OF NY 84673000 2 10000' 7254 BARC/LDN 297000' 0229 BARCLAY/LE 15000 0702 BB&T SEC 4816 BKNS/CLIEN 7272000 2787 BNP/CUST 147500001 2510 BNY/PRUDEN 14990000 8275 BNY/WEALTH 850000 0954 BNYMEL/TST 50435000 0955 BOA/GWIM 32000 2209 BONY/SPDR 2650000 0013 BRNSTN LLC 50000 0010 BROWN BROS 199572000 0164 CHS SCHWAB 1560000 0908 CITIBANK 34043000 0715 DAVENPORT 250001 0385 E*TRADE 155000 0141 FRST CLEAR 7131000 0005 GOLDMAN 5370000' 0501 GOLDMAN LP 570000 2122 HSBCBK/IPB 115000 2305 HUNTNGTNNB 183000:
0534 INT BROKER 165000 03/4 IMS LLC 1150001 0057 ]ONES F D 109000 8187
- ' JPM/OPERS*
............ . . . .. . . . . . . . .*. . . .53550002.
. . . . . 2517 JPM/PRUDEN 14955000 0352 JPMC CLEAR 1091q000 0902 JPMCBNA 140618000 0187 JPMS LLC 1800000 2769 KB NA/FTSO 2790000 2205 KEYBANK NA ' 100000 0075 LPL FIN CO 191000 2888 MIZUHO BNK 2035000 5198 ML SFKPG 448000 0773 MLPFS/FIX 2159000 0050 MORGAN LLC 1059000ý 0015 MSSB 13481000 0226 NFS LLC 2095000! 2669 NRTHRN TR 35119000 0571 OPPENHEIME 1095000 0443 PERSHING 1227000' 2616 PNC BK,NA 53000 0725 RAYMOND 375000 4801 RBC DOM** 50000' 0235 RBCCAPMKTS 8405000, 0705 SCOTTRADE 60000 2039 SEI PRIVAT 56000 0279 SOUTHWEST 32000, 2319 SSB TRUST 100000; 0997 SSB&T CO 3584070001 2375 SSB&T/ISHA 1710000.
2767 SSB-BRIT 211050001' 0793 STIFEL 315000 2779 SUMI MITSU 225000, 0188 TD AMERITR 349000 0221 UBS FINAN 582000 0642 UBS SECLLC 325000; 2803 US BANK NA 4615000' 0367 USWMINE .. 100002 0062 VANGUARD 6150001 0103 WEDBUSH 50000i 2027 WELLS BKNA 2615000 0250 WELLS FARG 2000 S......... B . 7.. 3.....
2116 5TH-3RD BK 713000,!
Total 1061526000
Attachment 4A 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
Attachment 4A 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 Cusip 07.875% MN21 629377BS0 Participant Quantity Participant Quantity Participant Quantity 0756 AEIS INC. 121000 2567 AMAL BK 150001 2352 AMALGAMATE 1910001 0901 BANK OF NY 147348000 0229 BARCLAY/LE 257000!r 0992 BMO/TRUST 14170001 1109000 2510 BNY/PRUDEN 2787 BNP/CUST 3948000
............. 0963 BNY/BNY ET 16897000, 8275 BNY/WEALTH 600001 0954 BNYMEL/TST 11364060001 0955 BOA/GWIM 4 1303000,
- 2209 BONY/SPDR 8800000) 0010 BROWN BROS 'z134972000; 0274 CGM!SAL BR 500000ý 0164 ClS SCHWAB 3240000i 0908 CfTIBANK 64561000 i 2392 CITY N/B 10000' 2108 COMERICA 2593000i 0651 CRDT AGRIC 20000001 0573 DEUTSCHE 150000; 0385 E*TRADE 105000i 4818 FIDUCIE** 300000 1 0141 FRST CLEAR 12180000 2975 FTB/PUBLIC 1429000 C000 GOLDMAN 250001 2305 HUNTNGTNNB 373000!
0824 ICBCFS/EQU 50000 0374 JMS LLC 10000 0057 JONES E 0 3000' 2357 IPM BK/IA 488000 2164 JPM/CCS2 1190000: 8187 JPM/OPERS* 6500000' 2255 JPM/PCS SS 105000 2517 JPM/PRUDEN 11225000 0352 IPMC CLEAR 5270000 0902 JPMCBNA 1445580001 0187 IPMS LLC 418000f 2769 KB NA/FTSO 3420000o 2205 KEYBANK NA 3060001 0075 LPL FIN CO 174000 0990 MFG TRADE 413000; 2932 MITSUB UF] 500000 5198 ML SFKPG 1436000) 073 MLPFS/FIX 332000 0050 MORGAN LLC 1140000 0015 MSSB 14364000 0226 NFS LLC 1223000' 2669 NRTHRN TR 39488000. 0571 OPPENHEIME 510000 0443 PERSHING 1419000:
2616 PNC BK,NA 1128000 0547 R W BAIRD 69000 0725 RAYMOND 368000O
- 0235 RBCCAPMKTS 1343000. 4707 RBCR/CDS** 230001 0971 REGIONS BK 1490000:
0705 SCOTTRADE 10000 2039 SEI PRIVAT 370000ý 0279 SOUTHWEST 70000 2319 SSB TRUST 3525000 0997 SSB&T CO i296644000{ 2375 SSB&T/ISHA 900000, 2767 SSB-BRIT 16033000' 2950 SSB/TETF 11281000.
0793 STIFEL
..... 741000 2779 SUMI MITSU 25000 0188 TD AMERITR *. :..... .
596000i 0549 TIMBER HIL 44000, 0221 UBS FINAN 5136000i 0642 UBS SECLLC 425000 2145 UNION BANK 400000!
0280 US BANCORP 6000 2803 US BANK NA 16139000 0062 VANGUARD 20000:
0103 WEDBUSH 50000: 2027 WELLS BKNA 5470000 0250 WELLS FARG i 82000.
2116 5TH-3RD BK 1762000!
Total 1128040000
Attachment 4A 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 Cusip 06.62501b MS23 629377BUS Participant Quantity Participant Quantity Participant Quantity 0756 AEIS INC. 48000 2567 AMAL BK 200001 2352 AMALGAMATE . 55000 S.. . .... .......... ..... .
0901 BANK OF NY 120076000z' 0229 BARCLAY/LE 50000' 0702 BB&T SEC 350000 0992 BMO/TRUST 591000* 2787 BNP/CUST 5710000' 2510 BNY/PRUDEN 313000 8275 BNY/WEALTH 850001 -- .....
0954 BNYMEL/TST .. 97562000i 0955 BOA/GWIM 6876000 0010 BROWN BROS 167536000 0164 CHS SCHWAB 9460001 0908 CITIBANK 332650001 2392 CITY N/B 50000 2108 COMERICA 39000 0385 E*TRADE 15000 0987 FID SSB 180000 0141 FRST CLEAR 2899000i 0534 INT BROKER 15000ý 0374 JMS LLC ...i .. .. ........... ..7000
. ....... *.... .. 2164 PM/CCS2 3000001 2255 JPM/PCS SS 5000'
%-1 -------- ........
0352 JPMC CLEAR F 1540000 0902 JPMCBNA 134318000) 0075 LPL FIN CO 61000 2932 MITSUB OF) 712000 5198 ML SFKPG 6183000! 0050 MORGAN LLC 2004000 0015 MSSB 42748000 5008 NBCN INC** 6175000 0226 NFS LLC 1063000 2669 NRTHRN TR 16324000 0571 OPPENHEIME 161000! 0443 PERSHING 2777000ý 0547 R W BAIRD 38000 0725 RAYMOND 79000i 0235 RBCCAPMKTS 4387000
... ... . . ......I, ....:-. . ,...
2042 RTC/SWMS1 600000O 0705 SCO'TRADE 20000) 2319 SSB TRUST 1800000 0997 SSB&T CO 275964000 2375 SSB&T/ISHA 1850000! 2767 SSB-BRIT 17744000 0793 STIFEL 27000; 0188 TD AMERITR 67000 0549 TIMBER HIL 7000 0221 UBS FINAN 17697000 2803 US BANK NA 13728000 0062 VANGUARD 40000, 2027 WELLS BKNA 2486000' 2116'5TH-3RDBK 2407000!
Total 990000000
Attachment 4A 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 Quantity 0901 BANK OF NY 125000 0908 CMIBANK 375000 5198 ML SFKPG 1000000o 0015 MSSB 2000000 Total 3500000
Attachment 4A 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 Cusip D05/11/11 09.500% OA18 37244DAC3 Participant Quantity Participant Quantity Participant Quantity 0756 AEIS INC. 15000 i 2567 ANAL BK 20000 2352 AMALGAMATE 636000i 0901 BANK OF NY 66595000" 0229 BARCLAY/LE 85O000 0702 BB&T SEC 1I 65000 0992 BMO/TRUST 446000 2787 BNP/CUST 2415000 *4838 BNS/CL-B** 2 20000C00 2510 BNY/PRUDEN 4480000'] 8275 BNY/WEALTH 125000° 0954 BNYMEL/TST 62070000, 0955 BOA/GWIM 135000ý 0010ý BRWN BROS 62539000j 0164 CHS SCHWAB --- I 8170001 0908 CITIBANK 32454000f 2108 CON ERICA 10850001 0355 CS SEC USA 50000001 0385 E*TRADE 93000 ,0141 FRST CLEAR 2402000 0005 GOLDMAN 14302000' 0534 INT BROKER 107000 0374 JMS LLC 10000 8187 JPM/OPERS* 8250001 2255 JPM/PCS SS 475000 03.92 JPI4C CLEAR 24290000 2424 JPMCB/CTC "65000-0:
8112 ]PMCB/OHIO 2795000 0902 1PMCBNA 403 33000 01871 PM S LLC 234000 0075 LPL FIN CO 50000 1 0161 MERRIL 89780001 0990 MFG TRADE j 200000; 2932 MITSUB UF T 4298000 5198 ML SFKPG 48/80001 0773 MLPFS/FIX 115300001:
- 0050 MORGAN LLC 5841000! 0015 M4SSB 20..2000;, 5008 NBCN INC** 1000000i 0226 NFS LLC 1229000' 2669 NRTHRN.TR 300700001 0571 OPPENHEIME -- 25000; 0443 PERSHING 5953000 - 2616 PNC BK,NA 80000 0725 RAYMOND 100001 4801 RBC DOM** 10000 0235 RBCCAPMKTS 5559000 0971 REGIONS BK
- 2479000, 0705 SCOTTRADE 15000 2039 SEI PRIVAT 180000 0279 SOUTHWEST 114000~
0997 SSB&T CO 218446000 2375 SSB&T/ISHA 1340000 2767 SSB-BRIT - 12257000 -
2950 SSB/TETF 25270000 0750 STERNE AG 30000, 0793 STIFEL 35000:
0188 TD AMERITR 455000 0549 TIMBER HIL 70000 0221 UBS FINAN 1920001 2145 UNION BANK I 165000 2803 US BANK NA 5377000 0062 VANGUARD 160000; 2027 WELLS BKNA 5140000i 2116 5TH-3RD BK 5000001' Total 67 1486000
Attachment 4A 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 Cusip DOS/11/11 09.875% OA20 37244DAF6 Participant Quantity Participant Quantity Participant Quantity 0901 BANK OF NY 74621000 0229 BARCLAY/LE 20000 2787 BNP/CUST 4115000 4838 BNS/CL-B** 1000000 2510 BNY/PRUDEN 21447000 0954 BNYMEL/TST 57573000!
0955 BOA/GWIM 3161000' 0010 BROWN BROS 65397000, 0274 CGM/SAL BR 30C00 0164 CHS SCHWAI3 842000 0908 CITIBANK 114470001 2108 COMERICA 1920000i 0355 CS SEC USA 814000 0573 DEUTSCHE 45480001 0385 E-TRADE 145000!
0141 FRST CLEAR 3594000' 0005 GOLDMAN 90240001 2122 HSBCBK/IPB 120000 0534 INT BROKER 10000 0352 JPMC CLEAR 11511000j 0902 IPMCBNA 91115000 0187 JPMS LLC 1000000o ! 0075 LPL FIN CO 130 00 0161 MERRIL 25000 2932 MITSUB UFJ 4125000ý 5198 ML SFKPG 14299000 0773 MLPFS/FIX 2750000 0050 MORGAN LLC- 4490000! 0015 MSSB 3887000 0226 NFS LLC 1066000 2669 NRTHRN TR 4560000, 0443 PERSHING 3 11.455000, 0235 RBCCAPMKTS 66850001 0705 SCOT-RADE 150000 0997 SSB&T CO 101487000 2375 SSB&T/ISHA 650000i 2767 SSB-BRIT 8875000? 2950 SSB/TETF 138:;5000 0793 STIFEL 400001 0188 TD AM ERJTR 35000. 0549 TIMBER HIL. . .274000! 0221 UBS FINAN 5208000o 2450 UMB BK,NA 375000 2145 UNION BANK 699000 2803 US BANK NA 809000.
0062 VANGUARD 320000 2027 WELLS BKNA 428000't Total 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 Cusip D04/21/14 06.250% MN24 629377BX9 Participant Quantity Participant 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 Cusip D01/27/14 06.250% J322 629377BV3 Participant Quantity Participant 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