Text

Transmittal of Information of Foreign Ownership, Control, or Influence (FOCI)
	ML16053A107
Person / Time
Site:	South Texas
Issue date:	01/27/2016
From:	Marc-Anthony Murray; South Texas
To:	; Document Control Desk, Office of Nuclear Security and Incident Response
Shared Package
ML16053A099	List: ML16053A107; NOC-AE-16003330, Transmittal of Information of Foreign Ownership, Control, or Influence (FOCI);
References
	NOC-AE-16003330, STI: 34267450
	Download: ML16053A107 (55)
	v • d • e

Enclosures 1 & 2 Contain Personally Identifiable Information -

Withhold From Public Disclosure in Accordance With 10CFR2.390 South Texas Project Electric Generating StaUon P.Q Box 28JJ Wadsworth, Texas 77483 January 27, 2016 NOC-AE-16003330 File No.: D43.02 10 CFR 2.390 10 CFR 95.17 (a)(1)

ATTN: Document Control Desk U. S. Nuclear Regulatory Commission Director, Division of Security Operations Office of Nuclear Security and Incident Response Washington, DC 20555-0001 -

South Texas Project

, __ / ** , ** * *** ¥ ** Units .. 1.:*&.2 ~

Docket Nos. STN 50-498, STN 50-499 Foreign Ownership, Control, or Influence (FOCI)

In accordance with 10.CFR ~5.17 (a)(1), STP.Nuclear Operating Company (STPNOC) submits the information which docbme'rtts the curre-nrstatus of Forefgh Ownership; Control, or Influence (FOCI) for STPNOC and one of the owners of the South Texas Project:(STP). _The attached enclosures provide ch~inges to the--qerfificafe 'Pertaining* to -i=orergn' lntEfrests.

In addition, the enclosed forms indicate the c;_8anges; i_n t8§ reg!-!ir~9JQfn:!_t,ha1 i9e.ntifi~~-Owners,.Qfficers, Directors, and Executive Personnel for STPNOC and a STP owner.

The attached forms in *E~cl~sures 1 a~d f~r:o~ners, Officers, Dire~tqr~: ~~d*E~~cutive 2

Personnel (OODEP) contain Personal~y ldentifiable-lnform'ation." STPNOC requestS that the OODEP forms be withhe_ld f~om public disclosure in accord;:u1ce with 1b CFR 2.~90.

There are no commitment~ included with this submittal.

If there are any questions, pl~ase co~ta~! ~oby!1 ~ayage a_t (361) 972~7i38.

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Michae1 P. Mu *: - ~ * * **

_ -:M?nag_~!':_f3egulato_ry_ Aff9irs

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Enclosures:

1. Owners, Officers, Directors and Executive Personnel (OODEP), Form for STP Nuclear .Operating .Company - (Pll) Not foLPUblicDisclosure

2. Owners, Officers, Directors and Executive Personnel (OODEP) Forms for NRG Energy lnc.;-NRG-SouthTexas LP;-Texas Genco GP, LLC; and-Texas Genco Holdings, Inc. - (Pll) Not for Public Disclosure

3. Certificate Pertaining to Foreign Interests (SF-328)

4. Supplemental Information for Certificate Pertaining to Foreign Interests with <7 Attachments ~ Sl j(_ D '&

STI: 34267450

Enclosures 1 & 2 Contain Personally Identifiable Information -

Withhold From Public Disclosure in Accordance With NOC-AE-16003330 10CFR2.390 Page 2 of 2 cc:

(paper copy) (electronic copy)

transmittal letter only *transmittal letter only

Regional Administrator, Region IV Morgan. Lewis & Beckius LLP U.S. Nuclear Regulatory Commission

Steve Frantz, Esquire 1600 East Lamar Boulevard Arlington, TX 76011-4511

Lisa M. Regner U.S. Nuclear Regulatory Commission Senior Project Manager *Lisa M. Regner U.S. Nuclear Regulatory Commission One White Flint North (08H04) NRG South Texas LP 11555 Rockville Pike *John Ragan Rockville, MD 20852

Chris O'Hara

Jim van Suskil

NRC Resident Inspector CPS Energy U. S. Nuclear Regulatory Commission *Kevin Pollo P. 0. Box 289, Mail Code: MN116

Cris Eugster Wadsworth, TX 77483

L. D. Blaylock Crain Caton & James. P.C.

Peter Nemeth City of Austin

Elaina.Ball

John Wester Texas Dept. of State Health Services

Richard A. Ratliff

Robert Free RMS with all Enclosures

NOC-AE-16003330 Enclosure 3 Enclosure 3 Certificate Pertaining to Foreign Interests (SF-328)

(2 pages) ~.

OMB No. 0704-0194 CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB approval expires (Type or print all answers) Msy31. 2011 PLEASE DO NOT RETURN YOUR FORM TO THE ORGANIZATION IN THE PARAGRAPH BELOW, RE11JRN COMPLETED FORM TO YOUR RESPECTIVE COGNIZANT SECURITY OFFICE. . . .

Tllll pubUc :rtihg burden far llliS coll9clion or infotmation 11 estimated to awrage 70 minutes per respcnse. Including Ille time lot reviewing lns!NCliona.

e = exlatillQ data sources: gaVlerlng 0 0

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Pent1g011, ~asllinglon. DC 203ot11ss (070ol-0194J. RospolldenlJ 1ltollld be awn !hat notwilhatonding any other pravllicn oflaw, no person 1han be subj!d to any penalty tor l'aoling to comply willl a cclleClion ol lnfonnatiOn if it does not display a CUl!llndy llalkl OMB number. * , *

PENALTY NOTICE FaUure to answer all questions or any misrepresentation (by omission or or both, knowingly lo make a false statement or reprj!sentatlon to concealment, or by misleading, false or partial answers) may serve as a any Department or Agency or the United Stales, as to any matter basil! for de111a1 of clearance for access to dasslfied Information. In within the jurlsdictiQn or any Department or Agency of the *united

~ddillon, Ttlle 18. United ~tates Code 1001. makes It a criminal offense. States. This lndudes J.

any statement ' .

made herein. which iS knowingly .

punishable by a maximum of five (5) years Imprisonment, $15,000 fine Incurred, Incomplete or misleading In any important particular. ..

PROVISIONS

1. This report Is authorized by the Secretary of Defense, as Executive 2. llVhen this report is submitted in confidence and Is so marked, Agent for the National lndusliial Security Pr9gram, pursuant to Executive applicable exemptions to the Freedom or Information Act will .be*

Order 12829. llVhlle you are not required to respond, your ellgiblllty for a Invoked to withhold It from public disclosure.

facility ~curlty r;fearance caMol be determined if you do not complete this form. The retention of a fa.dilly security ciearance Is co11tlngent 1Jpon an on

3. Complete questions this form. Mark "Yes" or "No" for each your compliance with the requirements of DoO .5220.22-M for submission question, If your ans\iiter is "Yes* furnish In full. the complete of a re~ed ~rm as approp~ate. Information un~er "Remarks."

QUESTIONS AND ANSWERS

1. (An5wer 1a. or 1b.J ** YES NO

a. (For enlibes which issue stock): Do any foreign person(s), directly or Indirectly, own .or have beneficial ownership of 5 percent or more of the' outstanding sh8res of any class of your organization's equl~ securities? *

b. (For elitilies which do not Issue stock)~* Has any foreign per5on Qirectly or Indirectly subscribed 5 percent or more of your x

Qrganlzatlon's total capital commitment?

2. Does your organimilon directly, or lndlreclly tnrough your subsidiaries and/or alliliate5, own 10*percent or more of any foreign Interest? ' * *

x 3, .Do any non~U.S. ;;ltlzeris serve as membeni of your organization's board of director..i (or similar governing body), olfrcers, execuliw personnel, general partners, regents, trustees or senior managem1mt officials? x

4. Does any* foreign person(s) have the power, direct or lndli:ect, to control the election, appointment, or IElflure of member!i of your organl;zatlon's boafd of directors (or similar governing body) or other management posllions of your.organization, or have the pOW!!f lo control or ~use the direction of other decisions or actlvl,ileS Of your organization? . x

5. Does your organizalion*have any contracts; agreements, understandings, or arrangements with a foreign person(s)?

. ' " ' x

6. Does yout organrzauon, whether as borro\ver, surety, guarantor or otherwise have any indebtedness, liablUUes or obligations to a foreign person(s)?. . . ** * * , * * .*

x

1. ounl\g your last fiscal year, did your organization derive:

a. 5 percent or more of its.,total revenµes or net income from any single foreign person?

x

.b. In the aggregate 30 percent or more lfits revenues or net Income from foreign persons? x

8. Is 1opercent or more of any class of your organization's 'liotlng securities held in "nominee" shares, In "Street names* or In some other method which does not Identify the'beneliclal ow11er? , . .. . x

9. Do any of the meinberi> of your organlza~n*s board of directors (or similar governing body), officers, executive personnel, ; * * ;

general partners, regents. trustees or senior management officials hold *any positions with or senle as consultants. for, any ' \'

foreign persoi'l(s)? * '..

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10. Is there any other facfor(s) that Indicate$ or demonstrates a capability OR the part of foreign pers!JOS lo .control or lnftu~ce the operations or management or your organization? * . . l

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STANDARD FORM 328 (Revised 6/2008) PREVIOUS EDITIQN IS OBSOLETE. ,; " N

REMARKS (Attach additional sheets, if necessal}', for a full detailed statement.)

See Supplemental. Attachment 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:

DavidR. Hill (Typed Name of Contractor)

Executive Vice Pre.sl~ent & General Counsel NOTE: In case of a corporation, a witness is not requ/Jed but the . ..rte of Authorized Contractor Reprasentative) certificate below must be completed. Type or print names under ell slgnaturas. . 211 Carnegie Center, Princeton, New Jersey 08540 (Address)

NOTE: Contractor, if a corporation, should cause the foUow/ng certificate to be executed under its COIJJOrate seal, provided that the same oflietlr shall not execuie }joth the Agraement and the Certificate. ; .

CERTIFICATE

1. _ _ _ _ _ _ _ _ B_ri_an_c_u_rc_I_ _ _ _ _ _ _.* certify that tam the _ _ _ _c_o....;;rp_o_ra_t_e_s_e_c_re_ta_ry..___ __

of the corporation named as Contractor herein; that _ _ _ _ _ _ _ _ _ _ _o_.a_v_ld_R_._H_il_l- - - - - - - - - -

who signed this certificate on behalf of the Contractor, was then Execu.<<ve Vice President & General Counsel ofsai<:teorporation: that said certificate was d~jy signed for and .in behalf of saTd corporation by authority of its governing body, and is withfn the scope of its corporate powers.

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STANDARD FORM 328 (BACK) (Revised 6/2008)

NOC-AE-16003330 Enclosure 4 Enclosure 4 Supplemental Information for Certificate Pertaining to Foreign Interests (Supplemental Information (6 pages+ Attachments)

Attachment 1 (3 pages)

Attachment 2 (5 pages)

Attachment 3A (24 pages)

Attachment 38 (2 pages)

Attachment 4A (9 pages)

NRG Energy, Inc., Texas Genco Holdings, Inc., Texas Genco GP, LLC, and NRG South Texas Supplemental Information for Certificate Pertaining to Foreign Interests SF328 January 18, 2016 1 of6

Supplemental Information for Certificate Pertaining to Foreign Interests For NRG Energy, Inc., Texas Genco Holdings, Inc., Texas Genco GP, LLC, and NRG South Texas 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 January 15, 2016, by name, country, and percentage owned or units held.

In addition, Attachment 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 Executive Officer, is a citizen of Mexico and a citizen of the United States.

Glen Mackey, NRG's Chief Risk Officer, is a citizen of Canada, and is a resident alien of the United States.

Gaetan Frotte, NRG's Treasurer, is a citizen of Prance and a citizen 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.

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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 gross income. The largest source of revenue and income from any single foreign country was the company's operations in Australia, which represent approximately 0.04% of operating revenue and gross income (December 31, 2014).

NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 11.14% 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. Current funding now exceeds $500 million. TANE is funding ongoing license activities.

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 $19.5 billion, with approximately $8.1 billion held pursuant to the terms of a Credit Agreement (approx. $2.0 billion) and Indenture (approximately $6.2 billion) described in further detail below. The remaining debt includes project level financings. Overall, NRG Energy's debt is held by more than 500 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 19%

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.

3 of6

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 oflenders as of January 14, 2016 is provided as Attachment 3A and 3B. Attachment 3A 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 and an Indenture, dated as of April 4, 2014, 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 Indentures, 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 January 2016 is provided as Attachment 4A.

In addition, an NRG Energy subsidiary plans to develop carbon capture facilities that may prolong the life ofNRG's coal fleet and convert NRG's carbon emissions from a liability to a productive asset. To that end, in July 2014, NRG Energy formed a joint venture with JX Nippon Oil & Gas Exploration Corporation (JX Nippon), to build and operate the Petra Nova Carbon Capture Project, or the Petra Nova Project.

The Petra Nova Project is being financed by: (i) up to $167 million from a U.S. DOE CCPI grant, (ii) $250 million in loans provided by the Japan Bank for International Cooperation and Mizuho Bank, Ltd., and (iii) approximately $300 million in equity contributions from each of the Company and JX Nippon. The joint venture also owns a 50% equity interest in Texas Coastal Ventures, LLC, which holds working interests in the West Ranch oil field in Jackson County, Texas.

In addition, Petra Nova Parish Holdings LLC entered into two credit facilities, or the Petra Nova Parish Credit Agreements, to fund the cost of construction of the CCF at the W.A. Parish facility. The Petra Nova Parish Credit Agreements are comprised of a $75 4 of6

million Nippon Export and Investment Insurance, or NEXI, covered loan and a $17 5 million Japan Bank for International Cooperation, or JBIC, facility.

NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 11.14% 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. Current funding now exceeds $500 million. TANE is funding ongoing license activities.

Because the efforts at the South Texas Project involve controlled nuclear information, NINA has entered into contractual arrangements and obtained additional assurances in order to ensure compliance with the applicable export control requirements in 10 CFR Part 810.

Question 7:

During your last fiscal year, did your organization derive:

a. 5% or more of its total revenues or net income from any single foreign person.

No.

b. In the aggregate 30% or more of its revenues or net income from foreign persons?

No.

Question 8:

Is 10% or more of your organization's securities held in "nominee shares," in "street names" or in some other method which does not disclose the beneficial owner?

Yes. Hotchkis & Wiley Capital Management is an institutional investor that has disclosed holding 10% or more of the voting share. No investor has attempted to, or has exerted any control or influence over, appointments to management positions or influenced the policies of NRG Energy.

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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 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.

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.

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Attachment 1 Page 1 of 3 Gladstone Power Station Joint Venture Australia Sunshine State Power (No. 2) B.V. Netherlands 17.50 Sunshine State Power B.V. Netherlands 20.00 NRG Gladstone Operating Services Pty Ltd Australia NRG Victoria I Ply Ltd Australia 100.00 NRG Victoria I Pty Ltd Australia NRCenerating International B.V. Netherlands 100.00 Mirant (Bermuda), Ltd. Bermuda GenOn Energy Services, LLC US (Delaware) 100.00 Mirant AP Investments Limited British Virgin Islands Mirant Asia-Pacific Ventures, LLC US (Delaware) 100.00 Sunora Energy International Ltd British Virgin Islands Sunora Energy Construction Holdings LLC US (Delaware) 100.00 Midwest Generation Holdings Limited Cayman Islands Mission Midwest Coal, LLC US (Delaware) 100.00 Goal Zero Europe GmbH Germany Goal Zero LLC US (Delaware) 100.00 NRG First Power Limited Guernsey Caresale Services Limited United Kingdom 65.00 Maplekey UK Limited United Kingdom 35.00 Mirant Asia-Pacific Construction (Hong Kong) Limited Hong Kong Mirant AP Investments Limited British Virgin Islands 100.00 NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg NRCenerating International B.V. Netherlands 100.00 NRCenerating Luxembourg (No. 2) S.a.r.I. Luxembourg NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg 100.00 Beheer-en Beleggingsmaatschappij Plogema B.V. Netherlands Mission Energy Holdings International, LLC US (Delaware) 100.00 MEC Esenyurt B.V. Netherlands Beheer-en Beleggingsmaatschappij Plogema B.V. Netherlands 100.00 MEG San Pascual B.V. Netherlands Mission Energy Holdings International, LLC US (Delaware) 100.00 NRCenerating International B.V. Netherlands NRG International LLC US (Delaware) 41.67 San Pascual Cogeneration Company International B.V. Netherlands MEG San Pascual B.V. Netherlands 50.00 Sunshine State Power (No. 2) B.V. Netherlands NRCenerating International B.V. Netherlands 100.00 Sunshine State Power B.V. Netherlands NRCenerating International B.V. Netherlands 100.00 3279405 Nova Scotia Company Nova Scotia NRG ULC Parent, Inc. US (Delaware) 100.00 3283764 Nova Scotia Company Nova Scotia Solar Pure Energies ULC Nova Scotia 100.00 Pure Energies Group ULC Nova Scotia 3279405 Nova Scotia Company Nova Scotia 100.00 Solar Pure Energies ULC Nova Scotia Pure Energies Group ULC Nova Scotia 100.00 2332174 Ontario Inc. Ontario Solar Pure Energies ULC Nova Scotia 50.00 7644868 Canada Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 7711565 Canada Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 7549709 Canada Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 Pure Energies Solar Services Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 Mirant (Navotas II) Corporation Philippines Mirant AP Investments Limited British Virgin Islands 100.00 Mirant Navotas Corporation Philippines Mirant AP Investments Limited British Virgin Islands 100.00 Energy Efficient Engineering International (Pty) Ltd Republic of South Africa NRG Renew Investments (PTY) Ltd. Republic of South Africa 100.00

Attachment 1 Page 2 of 3 EXKF (Pty) Ltd Republic of South Africa NRG Renew Africa (Pty) Ltd Republic of South Africa 100.00 NRG Renew Africa (Pty) Ltd Republic of South Africa NRCenerating International B.V. Netherlands 100.00 NRG Renew Investments (Pty) Ltd. Republic of South Africa NRG Renew Africa (Pty) Ltd Republic of South Africa 100.00 NRG Renew Management and Finance (Ply) Ltd. Republic of South Africa NRG Renew Africa (Pty) Ltd Republic of South Africa 100.00 NRG Renew SPV Eight (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Eighteen (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Eleven Ply Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Fifteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Five (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Four (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Fourteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Nine (Ply) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Nineteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV One (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Seven (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Seventeen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Six (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Sixteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Ten (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Thirteen (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Three (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Twelve (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Twenty (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Two (Pty) Ud Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRCenerating German Holdings GmbH Switzerland NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg 100.00 Doga Enerji Uretim Sanayi ve Ticaret Limited Sirketi Turkey MEC Esenyurt B.V. Netherlands 80.00 Doga lsi Salis Hizmetleri Ticaret Limited Sirketi Turkey MEC Esenyurt B.V. Netherlands 100.00 Doga lsletme ve Bakim Ticaret Limited Sirketi Turkey MEC Esenyurt B.V. Netherlands 80.00 Caresale Services Limited United Kingdom Mission Energy Holdings International, LLC US (Delaware) 49.00 NRG First Power Holdings I United Kingdom 51.00 EME Finance UK Limited United Kingdom Mission Energy Holdings International, LLC US (Delaware) 100.00 Maplekey Holdings Limited United Kingdom Mission Energy Holdings International, LLC US (Delaware) 100.00 Maplekey UK Finance Limited United Kingdom NRG First Power Holdings II United Kingdom 100.00

Attachment 1 Page 3 of3 Maplekey UK Limited United Kingdom Maplekey UK Finance Limited United Kingdom 100.00 NRG First Power Holdings I United Kingdom NRG First Power Holdings II United Kingdom 100.00 NRG First Power Holdings II United Kingdom Mission Energy Holdings International, LLC US (Delay..iare) 100.00

Attachment 2 Page 1of5 Gladstone Power Station Joint Venture Alvarado, Michael Management Committee Member Mclaughlin, Michael Management Commmittee Member (alternate)

NRG Gladstone Operating Services Pty Ltd Alvarado, Michael Director Lewis, Stephen Director NRG Victoria I Ply Ltd Alvarado, Michael Director Lewis, Stephen Director Mirant (Bermuda), Ltd.*

Mirant AP Investments Limited Mackey, Glen E. Director Sunora Energy International Ltd*

Midwest Generation Holdings Limited Mackey, Glen E. Director Goal Zero Europe GmbH Harmon, William Director Killinger, Elizabeth R. Director Olson, Rick Director NRG First Power Limited Curci, Brian Director Keane, Daniel M. Director Mirant Asia-Pacific Construction (Hong Kong) Limited Curci, Brian Director Mackey, Glen E. Director NRCenerating Luxembourg (No. 1) S.a.r.I. NRCenerating International B.V. Director NRCenerating Luxembourg (No. 2) S.a.r.I. NRCenerating International B.V. Director Beheer-en Beleggingsmaatschappij Plogema B.V. Alvarado, Michael Director MEG Esenyurt B.V. Alvarado, Michael Director A MEG San Pascual B.V. Alvarado, Michael Director A NRCenerating International B.V. Malcarney, Kevin P. Director San Pascual Cogeneration Company International 8.V. Curci, Brian Director A Sunshine State Power (No. 2) B.V. Alvarado, Michael Director 8 Malcarney, Kevin P. Director B Sunshine State Power 8.V. Alvarado, Michael Director 8 Malcarney, Kevin P. Director B 3279405 Nova Scotia Company** Malcarney, Kevin P. Director/Secretary Pegler, Kelcy Jr. President Sotos, Christopher S. Vice President 3283764 Nova Scotia Company Malcarney, Kevin P. Secretary Pegler, Kelcy Jr. President Sotos, Christopher S. Vice President Malcarney, Kevin P. Director

Attachment 2 Page 2 of 5 Pure Energies Group ULC Malcarney, Kevin P. Director Surapaneni, Prakash Director Young, Robert Director Delsante, Lisa M. Secretary Mason, Richard Vice President Pegler, Kelcy Jr. President Plotkin, Chad Senior Vice President and Treasurer Scott, Hugh Senior Vice President Son, Scott Vice President Solar Pure Energies ULC Malcarney, Kevin P. Director Surapaneni, Prakash Director Young, Robert Director Delsante, Lisa M. Secretary Mason, Richard Vice President Pegler, Kelcy Jr. President Plotkin, Chad Senior Vice President and Treasurer Scott, Hugh Senior Vice President Son, Scott Vice President 2332174 Ontario Inc.*

7549709 Canada Inc.** Delsante, Lisa M. Secretary Frotte, Gaelan Vice President & Treasurer Mason, Richard Vice President Pegler, Kelcy Jr. President Scott, Hugh Senior Vice President Son, Scott Vice President 7644868 Canada Inc.** Delsante, Lisa M. Secretary Frotte, Gaetan Vice President & Treasurer Mason, Richard Vice President Pegler, Kelcy Jr. President Scott, Hugh Senior Vice President Son, Scott Vice President 7711565 Canada Inc.** Delsante, Lisa M. Secretary Frotte, Gaetan Vice President & Treasurer Mason, Richard Vice President Pegler, Kelcy Jr. President Scott, Hugh Senior Vice President

Attachment 2 Page 3 of 5 Son, Scott Vice President Pure Energies Solar Services Inc.** Young, Robert Director (Canadian)

Chong, Jason Assistant Treasurer Delsante, Lisa M. Secretary Mason, Richard Vice President Pegler, Kelcy Jr. President Plotkin, Chad Senior Vice President Scott, Hugh Vice President Mirant (Navotas 11) Corporation Curci, Brian Director Mackey, Glen E. Director (Chairman of the Board)/President Mirant Navotas Corporation Curci, Brian Director Mackey, Glen E. Director (Chairman of the Board)/President Energy Efficient Engineering International (Pty) Ltd Petrarolo, Dino Director Pattison, Grant Michael Director EXKF (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew Africa (Pty) Ltd Cornelius, Craig Director Pattison, Grant Michael Director NRG Renew Investments (Pty) Ltd. Cornelius, Craig Director Pattison, Grant Michael Director NRG Renew Management and Finance (Ply) Ltd. Cornelius, Craig Director Pattison, Grant Michael Director NRG Renew SPV Eight (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Eighteen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Eleven (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Fifteen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Five (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Four (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Fourteen (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director

Attachment 2 Page 4 of 5 NRG Renew SPV Nine (Pty) Ltd NRG Renew SPV Nineteen (Pty) Ltd Pattison, Grant Michael Petrarolo, Dino Buchanan, Margo Juliet Pattison, Grant Michael i~-

Director Director Director Director NRG Renew SPV One (Ply) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Seven (Ply) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Seventeen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Six (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Sixteen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Ten (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Thirteen (Ply) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Three (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Twelve (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Twenty (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Two (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRCenerating German Holdings GmbH Malcarney, Kevin P. Director Doga Enerji Uretim Sanayi ve Ticaret Limited Sirketi Alvarado, Michael Director Curci, Brian Director Oliver, Clifford Director Doga lsi Salis Hizmetleri Ticaret Limited Sirketi Alvarado, Michael Director Curci, Brian Director Oliver, Clifford Director Doga lsletme ve Bakim Ticaret Limited Sirketi Alvarado, Michael Director Curci, Brian Director Oliver, Clifford Director

Attachment 2 Page 5 of 5 Pf'.,~:~;t'.:,"f;;rp/.~F:-"'*~~;;-?~. 7~"'7,:. ~'71'K~>r*;:;~=~~~<.:>>~l.,...,,' ~*:.i:>~ ~::~~..~~~~"'*1"'-"7;;~~-:

~!1t~~N$~~~'1\4:Ji!:.;..: 11°*;?.. ~~..t.. ~ ..;:\ ~~~,.~1,;lt~.,.,.*~:..~~~:.~:.t,;:~ rij(~~e~~i!n.Qixl?:ersa~n~I;:~.. .,* :-G'?l .. ..,.,. ~ .. ~* l,,:i,_'t III*~lEt.f4l~ ~~ ~ ..~-:-.,... i.J~b ~t.. ::*~*~~:t:?i.a : ~ ~~><<

Caresale Services Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director EME Finance UK Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director Maplekey Holdings Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director Maplekey UK Finance Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director Maplekey UK Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director NRG First Power Holdings I Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director NRG First Power Holdings II Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director

NRG Energy acquired these companies and assignment of personnel to each of these entities is pending.

- NRG Management personnel pending approval.

Attachment 3A Page 1of24

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Attachment 3A Page 5 of 24

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0;2\l :3,aoo.ooo.oc :>.aeo,ooo.oc 0.011 3,890.000.CC 75 FOITT Sfi'\EET GEORGETOWN ~~~~O .201~_1 .NOTlCES@IJSSA 231'.\9$4. ACiSCL020131 lTD KY-KY 11108 1 OC1.2 ACtS CL0*2013 l LTD 0000000()()0 555:1:087411 USO 0.1\5 1,018;5oi.Q.1 1,078,501.iM *0.!J(l i,078.501.0.: '
HOUSE SOUTKCHURCHSTREET NEUBERGER,BERMAN.CL..014.NOTi 332272 NEUBERGER BERMAN Cl,O Xl\fLTO GIOORGETOWN l OC12 AMIEE COOPER 3123327021 65522Ss507 CES@USBANKJ:;QM USO IJ.01 1,43!;,334 .75 1.;435',334.7i a,oo, 1)135,334,7!
HOUSE s61,1tH CHURCH STREET 33272() A?lOOS CLO XII GEORGETOWN 1 OC1 SARAH PRUCHA 7134836106 4591.!287.799 - 1498287799@TLS.LOSPROO.cm.t USO 0.12 2:339,fsS.98 2.339:165.9(! O.O<l 2,339, 165.9!
CRlC!<ET SQUARE -.-
l;lA.L.CYON lOAfl ADVISORS FUNDING GEORGETOWN HA!.CYON,LOANAOVISOR~.2013, 1 33:l082 20131.LTD KV-KY.1.1102 t OC12 CHEVELLE GANDSEY. 312332103-l" !!552107821) @USBANK.COM USO O".i!i 2;866.443.75 Z,866 .44(\ .7! O.O<l 2.856.443. n fiOUl>E SOUTH CHURCH"
VOYACl020l31 LTD (FKAING IM CLO !>~EE'!' LOAN SERVIC!Ne. fNG_lM_CU:UC113*
33-1111 20131 LTD) GEORGETOWN i OC1 UNIT 5176&24451> f.>17310&761. IL'TO@STA.TESTREET:COM USO 0.10 J,942.562.6E 1,942 ,552.liE o.oo 1,942.5$2.li!
HOUSE FLATIRON CLO 20141. LTD (FKA) So0T1-i CHURCH STREET STRUCTURED
~34%4 FLATIRON CLO 2613 2 LTD GEORGETOWN 1 OCi CREDIT SERVICES. 71.;;2476551 6026804253 CLOADMiNtSTRATION@D!l.COM USO 0.05 .991.-0s.9c ~'t.435.0C 0,Q(l 99'l,435.9C HOUSE VOYA CLO 21>13 2 LTD (FAA ING IM CLO SOUTHCHURCH STREET 23soa.i 1ot32LTO) - GEORGETOWN 1 OC1 GJEHGJI ANGJELIU
61760313482 8552355233 fNG,lM.CU:i,2013:2@USBANK:COM USD i:i.~ £170,00Z.Sf !Jfa.os2:a1 a.oo e10.062_e;f LANE.HOUSE MERCE~ SIR$ LD'M:'.R NOTIC(;SJCE3G_LOBALCRE!J:>ITCL0l 335311 'tCE3 Gl.O!lAL CREDIT CLO LIMITED* DUSI.IN 1 OC01 6RANOY HEREFORD 7139934WO 577415~162 TO@VIRTU$LLC.COM USO 0,26 .3;£140, 7&,i.49 3,B40,759.4t O,OQ 3.l>lo. 7!i9,4>
HOUSE SOUTH CHURCH STREE GIOORGETOWN A,OE;NISSVJCH@V;ESTGATEHORIZ 338934 .OCE..\N.TRAILS CLO IV KV,11102 1 OC01 ANDREA DEN ISEVICH 21'362137.SS 9725a.-IM43* ONS.COM USO 0.2.0 ::i;a94,S74.66 5,8S4.S7.4.& O.O.7C 2:93.73l$,7C o.oo. 293.738.70 l-jOUSESOUJH CHURCH STREET 344867' APIOOS Cl.O XIV GEORGETOWN .t OC001 JASON cAU.cJA 713-lll36708 4698287797 1469£1267797@TLS.LDSPROO,COM USO 0;13 2,650,29S.Ss 2,650,298.31: *O,Q{l 2.sso,ws;oe HO~SESOUTHC!iURCM S.TReET NOTlCES.VENTUREXIV@VI RTUSLL 352498 V-tNTURE XJV CLO U.!rrEO GS'.lRGE TOWN 1 ocooi A."JDY RUJZ. 71SSS34:iOo 8009149780' c.cor.i USO b.~ 972,500.0C sn.sai:wc ti.ml. sn.soo.oc
Attachment 3A Page 12 of 24
fjOUSE ~OUTH, cHURc!:I
~T~E:E'T .* . CLO 3~20!l . MOUNTAIN HA\M< ti CLO 'LTD* GEORGE TO\ft,lfl.I 1 OCi AoMINISTAATlON 714247ll551 .snn4so42 19721745642@TLS,L0s!"ROO.COM USO '0,00 '413,16Mt 4n,1-a2.oo a.oo "11<1.1sios
~RE!ON SANK.A.TY sENIOR LOAN FUND Pl.ISi.JC DUBLIN SAN!<ATY SENIOR*
' 3545111 LIMITED ci:lMPANY . . . . . tE:-2 OCi LOAN FUND PLC OOOOoOOOOCI 4SiWlow7o 146944ooa7o@rLS.t.DsPRoo.cm.fi USO lits io2a.il14.7i il.025..sr.i:n.
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CHURCH STREET ' SLUEJ.tbUNTAl/.i.2ll13@Usi;ANKc
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usu u,w l;tM!;>,UOIJJJt . 1,Y.:!:1,UUUllt 0,00 i ,U4i;;Ul)!l.IJ!.
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GEORGE::ro\M't ' .. '
35.$001 AVERY'POlliT u CLO LIMITT:O KY*KY 10005 . 1 oc&in F!ENSE ME'RTZ 4122348206' .i6ee10023& 14006100236i!!JTLS.l.00f'~OD.CC>>.t USO itis 4.1!62:500.oc ll,ll'02J:;00.!J( 0.00 4;56'2.00D.Oc
C~YMAN L!MITED '
CFIP*Cl:.0~0111 [.!MlTE!i ( FMCf'll' ,\SO ELGlN i\V,!:N~ MARITZl\;~1mvi~WEJ-LSFARG0 355$25 CLO 2MS 2 UMITEO ) GEORGETOWN 1 OCi MAAn'ZA SAINT VIL 410084211.3' ;041151.519 .COM USO 0.12 S!;434,i!i4:43 2,A34.l'l24A O.Oll 2,434, 924.4<
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- ' 1,()16.333.~
I 35004!1 MAGNETITE VIII LIMITED KY*KY :tOOIJS . t . OC007 . AoMIN!STAATlON - ' 0000000000 *, ' ' &0261504:!1.9 ' 1<1ooaiooo62@rLS.LOSPROO.cCM !JSIL O.fl!I .*1;615~333;33 '
0.00 :. _i,!115:333.13 AYENUE..
W'lNNlf'EG PAVllloN@CQ8TLANOCll.OBAL.cO 35695;; F'A".llUON REAL AsSErS l"OOL CA,FSMOOO' 1 OCi . LVKENEWCOMS J.12$4sofo :n24maor. M USO O.~ fl74Sf37.'M 974.))37.3"1 O,Qil ei4.im..a.
GOLDMAN'S.'IOOS LUX INVESTMENT KENNEDY,. G!;;',M FPRTFDUO FUNDS (Fl<A) GO~DMANSACHS FUNDS l.LIXEMBOURG CONTROL AND. GOLDMANSActiS-
55741!) SlClW$!F . . . 1.;tt.i:,1855, ' l. 'ocoo, .. ANALYSIS 2120028222 ll1794i!a!l3i'. . GF'iK@s'rAtESii:iencoM USO *0A1 ' . '2.c100;1l4.i2 2,100.n'.!;i~ O.Oll. 2.100. 't 1**'7"
~~~sguTH~URq.! I 357TJ7 GALLATIN CLO V 201 J 1* LIMITED GEORGETOWN 1* OCQOl ANTH!Jt>IY STARK 2.1200Uil66 4em1a004 1400J31S004@TLS,LoSf'ROO.COO USO o.07 Vt5S;700,00 1A51.t750:0C 0.00 1.453.700.00 fl\\lestot Address: ISO ELGIN AVENUE .. * .. - ' ' .. .. - .. ... '
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INVESj'MEMTS li:l.A HJGlj i'lE:l.Il LOAN tt LU;_\EMl'lOURG 35ll03'7 *- ' POR'ffOUO. .. LU-1..2453 1' OC1 HeNRY: CASALERO. . G12000MM . 46002S7Ba:l .. 1469B287ali4@TLS.L0si"ROO,COMI USO ' ilAit< ... ... Jl,759, 19S.4! ' !l.1.59.196.4~ .... 0:00 * !!,1.(lil,1SfS.~
HOUSE GRAND CAYMAN 01:.0.. .
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'M911lJ OOA 1.0AIJ FUNOJNG aoi3*2 LTO G!;.OAGE'TOWN t *O~ CHA!.Jl'2d13 2 0000000000 2.!ii8!!8743 I,* 12!U8ilB7451@:'fLS.LOOPROO.C c+.t USO 0.07 l,>l62,401M1 ,1,41tl,4f!$.iil *Q,{]l) :!*.,462,401'.U:)l rnveswr Ad~rw$; !.!GLAND HOUSE, * .
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~!Z,AL CO~IMERCIAL BANKING ~1!!AYf'.LA AVE~~LIE 350'337 CORPORATION MAK.A.Tl Clf'r' 1 66u01 SARAH PRUCHA 7134836106 ' :a 143005172 1.214JOOS772@TLS.LOSFROO.COM USO .Q,:is 4.asz,oosAs >1;2 ,035.>I~ 0,00 4;882,035.4!
AVAW LOANS Sl\NK11;TY 2H KAf'ITALMLAGEGESELLSCHAPT.1<18,!i * ' . " .
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3$2115 E!LUEMOUNTAIN CLO 2013-4 lTD GEORGETOWN 1 OCQ-01 AGENT NOTfcSs 0000000000 4ll1'331<!070 CQM . USO 020 3Jl21){383;3;1 ' 3)l20 ,363 ,3; Q,1J\'l 3.920,31.lS.3 ll'lVCShlt.Addr!!SS: 100 ELGJN AVENUE ARRPWPOINT ol.0:<0142 LTl'l (FKAl GEORGEiOWN
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C}!URCH STREET 35ss;;; APIOOS.CLO.XV GEORGETOWN 1 OCi AGENT NOilCES 7134S36Uti ~127551'006 1972755f300@TLS.l:OOPR'OO.COM USO 0.1.S 3,740;595,:32 .3,140,595;3.Z o.oo 3,7Ml..595.~
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'.36602<} KlNGSLll.ND Vt GEORGETOWN .t 001 LETICfA LfCoNA 11341!37070 469331BWll' 146933i5031l@.TLS.LOSPROO,COM USO 0,08 i ..i9\i,1s3ss 'i,.i.oo, J53Jlc *0.00 t,496, 153.af 75 FORT STREET GEORGETOWN 3650:l5 i'LUE HILL CLOUD- l'.Y*KY 11it1i't . t OCtltli iOM JO\llC 6300848389 460031aila:i* 14139331806:.l@!LS.LOSPROO.C Cl.~ USO 0107 .1.4ss.a34.:is ;t;4sS.334.3~ fi,rnl' j_456.334.illi
Attachment 3A Page 13 of 24 Fl.,l))lf:lGMEijt4EL ,A.~IJE INOUsTRl/l,LANi:f COMMEl'lCtALMNI~ XICHENG' r:JiS~tCT 3Ssr.i4 OF ctltNA LlMlTEO .. .. S.E:IJlN~. 1 .OC02 .* Vll'>l'GLIAO !l400ll1e5S1 21295631!31 f.OAl-4ADMIN@LIS:tcac.coM.CN USO :i>;.34 *124.a1s):12.s1 .124.SiS.712.51 . o.oc l24.im;m2.s1 ftwesltlf Mdr'.!l?S! 100 &:LG!N AVEJ:lUe GEOR~.TOWN I*
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~2:TO~S'ID !:!TREEf VlRWS GF:MUt.'r.ISECTOR 'SHORT DIJ!lLiN' 374943 ouR.o\r1oi-1 aoNo FtJNo
IE- - t. DC0fl7 . ; MJV)\EITH 8G016051l'fS if44314iaj 12.1443142il3@TLS.LO$PROOJJOM uso ' *i:J.01 ' .. '" Ss;74'3.6£ . .oo,'7112.f;* "' 0.00 !19.743.$9 wes:r 1A rii..N<JNcrroti E'.LOATlNG RAiE OU!!9£C CITY* f>Ei;;GV.~GAN@lACLAftii,IGTOr-tco 3760!0 INCOME J:'JJND CA,G1li'.7Ma 1 OC.t PEGGY EGAN 41Gs00227 J 1IJ3048.Zl3 M UsO "OU 12.Z4J:i, 380.$4 2.245,380..!M 0.01) 2.245.3&1.9'1 HOUSE.SOUTH.CHURCH ' ~*
~1ijt:c1 377P43 ~GNET1TE lli LIMITED GEO,i'.!GETOWN 1 ocnri1 MAGNETITE IX LTD OOOOOOIJOOO. 0000000000' 14695lase59@r.1c..S.tQSl"fioo.cOM USO 0.1(6 i.:2,11,B;i.1.s:l
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380274. s!.tZUKA INK/; DUS.SS.DORF . . 1 . QC:l.Hll CONTACT oodoaauoon il6.95\M007 i4illl5,'1001@.TLS.LOSPR00.COM uao 0.-01 -;,42°5,49!J..OO i,i125;MUMJ<; fl,00 1;425Ji91Hlt HOUSE 3Qt/h4 CHUROI STREET 35!l4tS ~IOOS CLO xvn GEORGE TOWN 1 O.Ci MlCHAEL ESPINOZA 000000000 0 4698l14l005 146SS04396S@Tts. i.OOPROOJ::.O..\t USO *OH. 2,015.sse.se 2.07:5:5913,!1~ *0,00 . 2 ..075.596.S<
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Attachment 3A Page 14 of 24
~
HOUSE GRANO CAYMAN
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FRANl'\Lln JNVESTORS SCCURITIES BOSTON.MA us:o2mll P~WAY I. . QC-0104AG'I FIDELITY INVESTM1'NTS . al74i4sns. 6l73852MS:' FFCMSB.l\NKO@FMl'tCOM USO l.04 2Msa,l91:2s fa38g_397.20 a.oo 20.W.39t;2E TRUST.f~KUN FLOATING RATE S{\NMA~O MMRIANNE 058561) DAILY ACCESS FUNO ..US-!14403 2 OC012!>AGY CHRENClK 5603122461 !i50312334S I 2144614163@TLS.LOSPROO.COM USD 0.21 5.3.."4.942.96 5;394 ,942. Si: 0:00 s,:;!14, S42. Si:
NATIONW10 MUTUAL FIRE
'INSURANCE CO (NAllONWIOE Ul'E ln~est!li Addrass; 2 Pl:}INS WAY 058570 INSURANCE COMPANY) \JS. 2 , OPS2 ANGELA FARRIS 5142493356. 6142496869 FARRfSrci@i>-ATIONWiOE.COM USO OAS 9:S54J!1isc -G,554 .812.SC ihac 9,S54;fl12.SC fnvestor Address; 51 MADISON AVENUE NEW YORK LIFE INSURANCE & NEW '(ORK,. NY 1ooto 058619 Al'/}JUIT'( G ORPD°RATI0.'1' us-10010* 2 ocasi2Ai:;y HAROLD GOW 21257654!>7 214291433i: HAAoLO GDlD@NYLii.i.C:OM USO 0.4l :a,010, fo4.7i !1,010, 104.77 a.oo ll,Ofo, 104.77 fn~astcr Address: 51 MADISON AVENUE NEW YORI( NV f0010 . -
056620 NEW YORK LLFE INSURANCE CO US.10010 :1. OC!,li1ZAGY HAROLD GOl.D _ 2:1257654(17 2.14291433:0 HAROU:i~GOLO@NYLJM.COM USO 0.20 .&.995,4~.21 3,995.*133', :ai o.ao 3.005,:.133;21 FINANCIAL RIVERSOt,JRCE LIFE INSURANCE: CENTER ,120124..i:js?S@DOCS.LDSPROD,CQ osa11e, COMPANY MINNEAPOUS 2 OCftOOAGY CYNTHtA.SCOTI 'l694111S47 2012443.lStS* M USO O;Oo 1;!i41J;205.1f 1.6'1il ,:2ll!'L1 E 0,!)lj' t64a,2os. 1E STREET BLACKRCCl<.LlMITED DURATIOl-1 NEWYQRKN'Y' LOAN SERVICIN~
058...<l87 INCOME TRUSl' US-10022 2 OC0562AGY UNIT 5176621233 6179'839517 12142613145@nS.L0Sf'R00.GOM USO O.Lr.1 .5913)161-5-t sso:.o1a1,5-1 _ O.OQ .S!l<l.461.5*'
PAAKWAY 8U>.Cl<,R<JCK FLOATlNGAATE INCOME Wl!.M1NGTON LOAN PROOUCT$
059029 . STRATEGIES FUND INC_(BLA.CKROCK) US*19809 ~- QC!l07' TEAM 6176621648. 0173363020 12.144425380@JLS.LOSPROO.COM USO 0:10 <?.019,ao7.e~ *Wl9,ilDi.s~ .a.oo io'ls.soi.ss WEi;TEHN ASSET FLOATING RA TE BLVD HIGH IN FUND LlC( WESTERN ASSET PASAOENA, CA 91105 S'(NOICATED L9Ail 059159 MANAGEMENT) us. i ocna3JAGY SERVICING !!724015593 B652S0!!661' E!NYCOOGR@SAJ>JKOFNY_C:OM USO 0.01' '249: 358.91 240,358.9'1 a.no' .Z49,35a9'i
Attachment 3A Page 17 of 24 M1PE104 SPRINGFIEl,.Q, MA BAB~ON-05!!2Z7 CM
__,. LIFE INSURANCE CO l.!S-01111 z . ticnoz.
KEVIN CEROORCHUK 6176629749 S173203t1a* W1i8@STATESTREET.COM USO o.o.l 662.!16R~. i.!62,0SS.34 O,OQ. :~s:z.oaa,34 f?AR~WAY *.
91.ACKRCCK FL.OATING RATE INCOME Ytrli.M~NGTON OS92S3 TRUST . US-19809 ii.

otuoa- AGENT NOTICES OOOOOOoOOO . i 14261~t42- 12i42s13142@TLS.LDSPROO.COi.t uso o.oe i .2i1 ;a5e.9i t,2Zl.aS8:~ 0.00 t.221.856'.m FD FKAFHNX MUL.Tl-SECTSHRTTERM STREET ".

eNOFD(NEWFLEEr ASSET . HARTFORD. CT 12144425214@00CS.LDSl'ROD,CQ M . . ., '
!l5!l"J!$U MANAOEMEt*ffJ U8'0011b :L Ut:[l!J:l!IAG\' A.'.iV REffH HoU/l:lU!:!l1 !> 2144-125:1,4 usu *1:2U .23Jro!:i;U/U.9~ :1:5,llU!>,llf!l!K tl.UU .2lJ:l01:i,1JiO.ll~
rrwestcf Address: 60 STATE STREET sbsroN ..
059431 PlQNEISR FLOATING RATEIRUST US.o:!1Cl9 - :l.

OCl56.AG)' . Fl:llllP 'coLSURN s1142z.is&s 2012443745 12012443l45@TLS.LDSPROD:cOM: USO *:o_oo 1:210;7.t:.lSE J,2Hi.713.6( 0.00 1,iio:n.3'.B~

!NOYA Hl;At..TH,SYSTEM F.OUNDATIOO DEFINED BENEFIT PLAN 1,!f,STER lnw.ita,-.\qdress; 2990 TELESIART CT SANKl9AN
'060168 TRUST US*22042 2 Ol::0333AGV ACCOUNTING 9400323005 o1733()370S* f'IMCO.G239i@sr ATESTREET.COM i.JSD .o.Gi :204:122, 1i 2°'4.122.1:< 0.0-0 iM;122:1~
JC PENNEY CORPORATION lt~C tn~o~tot Address: 650! LEGACY DR 060i!IS PEJJSIDN Pt.AN l'RUST - US.75024 -- 2 -- . OC!l1 "
AGENT NOTTcES *-- 9499323005 . 6179370i52; -* F'IMCO.OGAS@STATESTREET.COM USO om -65t>,20t .$;) . *-- - 656,201,5:!. 0.00 ese:to1.sz Investor Address; 1345 AVENUE Of'THE AMERJCAS49TH FL BAN'!'\ LOAN. A~UANi-_. . .
060205 FtXED INCOME SHARES sERlES c US'1011l5

2-

oco1 ACCOUNTING G4S93Z3005 i;1~300tH4' PCSA@STATESTRF:ET.COM USO 0~15 2.m.111.2c 2,92li ;;'f dC Cl,00 *2-9.Zli.7; ;i(

AVE IBM PERSONAi. PE./IJSJON PLAN TRUST' WHITE PLAINS, NY SANK LOAN BANRlbANACCOUNTING@SSciMS 060:209 tP!MCO) . US-10604 2 DC0333AGY ,4.CCOtlNTlNG 9499323005 . 94l!MOB1!90' .COM USO b.G3 !!34;251:8( 5a4.25i 87. O.Dll s:i-.i25~.a*
OPTlMUM FUND TRUST.OPTIMUM F:tXED INCOME !"tlND (DELAWARE tMcslllr AddritsS'. 2005 MARKET S'T' 06027.S tNVESTMEN'TS) US.19100 :< OC0333AGY JOSEPH FlORIL*..i\ Zl52552J2t 2s1234oaoa t201&17756S@TL.S.f.DSPROO.COM USO 0J18 . t,4Sll;Sl7.M 1,4110.517.A< . 0,00 1.4S0.5lJ,M RATEHlGH INCOMEFUNOFKASTT STE.LZ.ER RD. -. ..
r;LA~f(.;. l;ll;li\'rlUAllNG KA 1I; HIGH t;UL.UMtlUl;l, UH 060-~1 INCOME FUND US-43219 2 OCJ6116 CH1'!SE.NN1S 617662116-4. 617330329!!" USO O.iJO p;02 0.02 0.00 0.02 BOND FlJND {Fl<A '{IR.TUS MUI..Tl' STREET - "
SECTOR FIXED INCOMEFUND){FAA GREENFIELO 12144,425217@DOCS,LDSPROD,C()
060334 PHOENlX Mlh'U:.SECTOR FIXED . US-01301 2 _OCCIJIJ'.3340\ AMY f;J;lJH --- - 8607605$ l S: 21*lM25t17 M. USO o.o;; .900.370,a.l . 'i!()(J.~0.84 - . a.oo !lrlD.S70.B4 1
1\'ESTER.'l ASSET CORE PLUS BOND BLVD.
PORTFO (WES~N ASSET F'A.."ADENA; CA 91105 000056 MANAGEMENT) US-91101 z ocoi34AGY CHRISTl~ii; ROSADO 6176624576 6174514958. CSi'IUANG@STATESTREET.COM USO it*i a,71!4.932.21 &J'.64:.!132.2.7 O.Otl e,7a4,932.21 lnvootor A(,lllrass: 60 STATE STREET BOSTON, MA
. 0612311 PlON!Orn9.0ND FUNb' US-Cl2..1G9 2 OCrr512:S90~ PHILIP COLBURN 5114224565 i 149aa5Sitf 12i49S85il'70@TLS.l0Sf'P.OD.COM !JSO 0.07 1,309,Co9,31 1,31lil,00$.31 o.oo i ,'309JlM. 31

M.ETINVESTOR!) SERISSIRUST CENTER PIONEER .srRArEGIC INCOME BOSTON 061241 PORTFOl..10 .. US-02111 :.l 0Cl-002AGY PHILIP COLBURN Gl2<12Z45!l5 2142!114 397. 1214W143!!7@TLS.LDSPROO.COM USO OJ:M -!l83,6ZO.te 1)83,820,1~ (i.tlC. aaa,s:w,ic ROAD FORD MaTOR COMPANY DEFINED DEARBORN 001336 BENEf'lf MASTER TRUST _ US-46126 2 oc01 AGENT NOTICES S.\99323005 6179460303* PIMC0-0-0303@STATESTREET.COM USO .0.00 1;749,801'.32 1,749.807.~ O.O<l 1,74$,807.3; .

rnvestcr Add~sS: 6.rr STAIE l!fflEET' BOSTON, MA
. 0,61362 F'IONEER FLOATlNG RATE FUND US*Cl211l9 2 QCOB1:Je2 Pt!IUP COLSURN. 6174224565. .Z 14988SS93* .1214S8SS893@rLS.LOSf'ROD.COM; USO 0'10 :2..16!1.1~ 2.033, 111S.1:< 0.0Q 2.033.169. 11 INTERNATIONAl PIJ\CE FL.OOR,7*
DEUTSCHEH1GH INCOME TRUST (FKA BOSTON INV!'S TMENT.SUPPORT-070228 D'NS HIGH INCOME TRUST) MASSACHUSSf;ll'S 2 CC72&AOY CYNTHIA~UMNER 2124543$22 6179869291>" HY*Zi}llS.T, OB.COM USO 0.00 .9<\8;187.51 !'l~S.187.&1 o.~o !148;187; 51 DE.UTSCHEGLOBAL INCOMESUILOEI<; STREET 11'Tl-i FLOOR FUND (FKA OWS GLOBAL INCOME BOSTON 070233 BUILDER FUND) uS.02.108 2

OC21MG'l" Kll.WAiPOON 2124S429M !11n2cia~ KM.JAf.POON@DS.COM USO 0.00 i,t13;BO:i41 t, 113.803.41 o.oo i;113,803..i1 JEN AL RQA[}

TAIPEI FUBO.'l COMMERCIAL BANK CO, LOS ANGELES a7a.1.is Lm_ LOS ANGELES BRA14CH T'N-90017 :i. OC:07!3145 JOYCEOlJH 21 :J-225~3Bll :1.132369155 JO.YCE.DUH@FlJEONl:ACOM* USD i:.t25. .\,911;S1ih!B 4,li1 UliS.1E a.no 4311l;li16.1E PORTFOllOS 1NC:H PRUOENTfAL THREE 086395 TOTAL RETIJ$N BOND FUNb (f'KA)
PRUDENTIAL TOT.'IL RETURN BONO 100 MULBERRY STiiEE.i NE'NARI(
CENTER DRIVE OCQ1 SYNDICATED LO.AN SERVICES (!724016523 2c111s2i2s BNYCDOGR@SANKOFNY.COM USO 0.1>7 1.~s~,7.5!}.oc 1-458,750.!K Cl,01) t451.l.7~.oc PIMCO FUNDS PIMCO 1NVESTh1ENT SUITE 100 8;'.NKLOAN Qa7276 Gi'tAOE COOF'ORATE' BOND FUND NEWPORT SEACH 2 ocn1 ACCOUNTING 94003-23005. 517.'.:'300300 PIMCO,FC2R@STATESTRE.ET.CCM USO 0.26 .5. 00.1 *1$:1 57 5.031.191.51 0.01.l' 5.,031'191.5?
NE'.VYORK PlMCO CAYMAN TRUST PlMCO CAYMM N'f BANLLOAN 08945-S SANK LOAN FUND KY-10005 2 DC01 ACCOUNTING 9499323005 . 6173303760. PIMCC-ro813@STA1ESTREET.COM USO o.oo eis.sw.i.e 615,599.11; a.ao 615.500.10 TRUST (fl<A DWS MUL.11 M,A.RKET PLACE INCOME TRUST (DEUTSCHE ASSET .l'TH FLOOR 09493-3 MG Mn) BOSTON 2

OCM25 CYNTHfA SUMlt.ER 2 i :2-454-3822 o1i9SSEl29fJ.. USO 0.20 a.5166',179, 1s S.966.179.1~ -0.00 3,!)66, 179.1 =

11TH FLO(Jfl D'NS UNCONSTRAfMEO INCOMe VIP EOSTON 094934 (FKA r:N<iS STRATEGIC INCOME VIP) MA 2. OCOS25* CYNTHIA SUMMER 212-454-3822 617958!!295' USO .o.ol 115.636.92 1'*t6',03t"9:2 6.oo 116-035.9,
Attachment 3A Page 18 of 24
~
11JI-! fL_OOf;:'
DWS UNCONSTMINED lN~OMEfUNQ BOSTON 095002 (FKADWSSTRATEGICINCOMEFIJND). MA 2 OCG!i25' cYNTHIASUMMER 212-454-3822 6179SS92SB USO 0.05 .9ll2:9QuS. .!laz.001.n o.oo. .11a2,9e1,n oioursCHS STRAT.EGIC IN.COME iRUST F'LAPS. TfH f'LOOR (FKA DWS STRATEGIC !NCPME BOSTON **-
ci9Soa3 TRSUT(DEUTSCH£ASS£T MGMTi) MA 2 ocofl2s CYNTHIA SUMMER 212-454~382i t317!laa9296- USO o.Oti *;J 13,92!H1!i 1,, 1~.929.s~ Q,QQ t113.929.~
COLUME!lA STMTEG1C;INC0ME FUND STREET ASERIESOF COLlJMSlA FUNDS Si:RiES BOSTON llYH93!1 lRlJl>"Tf. uS-o:mo z OCUY!llf.511 CYi<lTHIASGOT:I *l!l!M 1/1!14 / !!Ul'/16!>1IBn 12Uf/ 1li!>l:l!>ll@Jl.S.LOSPROU.eU.\~ usu U.U3 "!I'll .OO:t!:!l EU1,!lfl2.Bl U,UU i;21.m;:1.!l'i 981

Sfi! INSTITUTIONAL.MANAGED Bl.VO, TRUST'S CORE FiXEii' INCOME( . PAsADSNA 0119"~2: (WESTERN ASSET MANAGEMENT} CA - " 2 ocqi.J7 DONNA THOMAS 5268M48W: 617~9157 SeJCFh661@STAIESTREET,COM USO *:ti.O..s *63:>,ioo:v 633.zw.21 0,00 5jsios.27

- TAX D!'l'ARThl$tTW81fA ACE PROPEwY ANO CASUALTY Pl:ilL.AflELPHIA 1001sa INSURANCE COMPANY PA 2 oco1 AGENT NOTICES oOOOoooooo 0000000000 146980438a4@iLS.l'.OSPROO.Cb>'~ USO 0.02 324.166.61 . 324.100.67 0,00 324,i00.67
.fOliN HAt-JCOCK FUND U-.Fl:OATlf!G STREET F!ATe INCOME. FUNO(WESTEBN ASSET BOSTON JO$EP8P$MITH@STATESTREET'.C 1002(t,._ MANAGEMENT}. MA .. 2 . OC!l'122AGV1 .. hJOsEPH $MITH* *- - 61.766212:!9 - 6179'6!.!7!177. OM_ -* .. USO -- O.IJ.i 74&'.0IU< ._ -*- 74i3.07fi.!!2 **- 0.00 '741.l,0713'.ll:!
SARATOGA INVESTMENT CORP CLO ,ii.VENUE 4'fl-! fl,O,OR i201iJJJO (FK)\GSC INVESTMENT NEW YORK ANOREW ANoREW.scf!AEFFER@usEiANK.c OM . USO iri67:;s CORP clo 2007 LTD) us.10022 2 OCl5?4AGY sCHAEFFER 7o4:13s4s15 21445.19590* 0'.19 ,;{a21 :925J5c 3,sii.e2s.oc 0,00 M:<1':925.bc PMl.l<WAY*
Bi.ACKRCCK DEFlN~D OF'POR'Ti..INITY WlLMINGTON llJMli. CREDITTR.usr OE 2 oco1 LOAN 1'.ROOVC'j'S 2i:i8105655 2144618261 ti 144191 il:isr@TLS.LD$PR00.COM USO .o.!li::. *44ll.B4&..1E Ma,846.1~. 0.00 44a.a4!3.1 e*
VlRTl.JSSENIOR FLOATING RATE FUND STREET
!FKAJPHCENIX SENIOR FLOATING RATE MEEMFiE:L.0 121M61B24S@OOCS'..LDSPROD.CO 109sis FU~lO lJS.01301 2. oi::.10957501 I.MY KEITH BS07ll05815 21.1461a24a M IJSO i:J.2:! . s,i]9;ass.;1i s,279.a5a41 a.ao 5.279.35a47

AVENUE "-**

ILL,JNIJlS fllUL WURKS,INU. MA!>li;H fJLl::l'lVff;;W, IL EIANKl.UJ\l'-l 1{5775 TRUST US-60025 2 OC1157i'.501 ACCOUNTING sJ00323005- lj 17(;'303873 . F'IMC0.07001@SiATESTREET.CCM USO o.ti1 *235,761.GE 235.161.~ 0.00 235.761.6~
INCOME SERIEStFJKIA PHONEIX EDGE** STREET "
$ERlES F\.JNO:PHOENI,)( MULJl SECTOR G~EENFll_:lD, Ml\ 1l!14442523i@DOCS,LDSF'r:l0D,CO l1193:l FIXED lNCOME SERlES(NEWFLEEt IJS-01301 . 2 OCH7WS. . MW KEITT! 86076058 j:;" . 2144425231. M. USO O.!Y.t J003,@0:6ll . Zll:i,030.S!: - 0.00' ~s:i;o:io:&!:
1n~es1cr Address; P. o aox 1744 HARTfoO ct H!MCOBANKt.OANOPS@Tl1EHARTF 1SOW1 1-tAATFOFiO LIFE INSURANCE COMPANY US.061# 2 0Ca1 AGENT NOTICE OOCOOoOOGO a f4461"4e9* ORD,COM USO COi '\04.46292 fC4AS2,~ 0.011 -104;462..9" SUITE 1(100 HFS.
AMERICA'l Hi\U.MARk1NSUAANCECO FT WORTH, TX' IN\ieSTMENTS@HALLMARKGRP.C

f32002 Oi' TX . .. . US.1fil!l2. . :z OCH~ DUSTY \MlS'ON! ll.l'13.fa1il:i7 a.rnws11119 QM .. mm *0.05 !l55,~81.2E :955;41'11:2" *('1.0CJ .!'lrul.481.2£ SACrtS. ANO CO.

GoLDMArl SACHS LENDlNG PARTNERS S.5 BROAD 'sfRE£T-TAX rii:Fi'.
. 1::13006. ~c , NEWYORK.NY 2 OC 1:i31!6ll3 CAU.'IHEW 2 l:i;lt>.'A45'r 54u7770CI* USO 0,00 4,8Sl:50 4',852,(1( ll'.00. A,862.so CAUFOR~<IA STATE TEACHERS PLACEMS04 Ret1Ra!ENt svs~1 twestE:R.N WEST SACRAMENTO WAMG6-1-352!11 ASSET' MANAGEMENT) US.956\1<S 2 0Ct234 MARK LUTZ ammoo21.r 6173303443 TCsO@STATESTR<?;ET.COM

USO .0.1:12'

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- TAX OEPARfMENT NE'N YOR~. NY OPERATIONS GS-SBD-ADMIN-
)362Cl2 GOLDMAN SACHS EWJK USA US.ll}Zs:< 2 . OCll25 CONTACT 21isri210ee s179on.:ism' CONTACTS@NY:EMAILGS.COM USO 0.01 21G',703.3:1. 216,7-03.3~ 0,00 2.16;703.32 rn*1e5tar Addre$S: :140 PARKAYENUE JP~IORGAN STRATEGIC INCOME NEV'/ YQRK. NY TRACl,LMANFORD@JPMOR,GAN.C i'3771G OPPORTUNITIES FUND US-10157'.-COIH AVENUE

OC01Zl TRACI MANFORD &13SS94364 !113-9853217 OM USO 0.0!) 1;84 T, 750.0C 1 ,847 ,750.0( o.oo l.841, rso.oc FLOOR35 BRYAN.T.MUtllNs@BANKoi'NY.cc 159404 SANKATY SENIORLOAN FUND LP eOSTON :2 001234 BRYANT. i,llJLLfNS 4122348211 2815824214. M USO o.s9 7,595,2.18:21'. 7,596;218.2C 0,00 7,596,2.18.2C C!;NTERDR.IVE W03 - PACIFIC SEl.ECT FUND* NEWPORT BEACH, cA c;eAilAGHER@STATESTREET .CO 140454 DIVERSIFIED BOND PORTFOLIO lJS-92650 2 DC01234 CHRJS GAuAGHtR 5171iifi2tii!I !! 173303458., M USD b.15. '2,924,812.0~ 2.924,812.0< . a.nil 2,924,El12,02 MUl.:TIPLE*COMMON TRUST F\JNOS* STREET TRUST OJ'>PORTUNlSTIC FlXEJJ INCOME BOSTON, MA MATTHEW 1446i*5 ALLOcATlON PORTFOLIO . US-02110 2. OC~OIJ1AGY STAFFORD i!o1w35eo3 zo1253saoa l 2012835SOO@TLS. LOSPROO.COM USO 0.05 \192.an37 992,273.e] O,OIJ 992.:273.81

INt;: *. (FKA THE MEO ICAL ASSURANCE Jn11estor Add!lls!!I: P.O. BOX 590009* *-*. -

COMPANYJ{Ol'PENHEJ MER BIRMINGHM\, f\L.
1471$2. INVESTMENT MGMT) US-3S259 2 0Ct2:;4 MICHAEL KONRAD 3178433651 3 'I 78-i3369\'.I* MtCHAEl.KOliMD@OPCO.COM USO. O.li:l 49S;717:9E 4S5;7i7.!v.: 0.00 ,isa,11i.s~
F1M(:;O Fl.Jll!PS PIMCO LOW DURATION ~~~cfR~~~c~1re wo BANK LOA.N 1521!15 FUNO {PlMOO) US-92660 2 OCC01 ACCOUNTING 949"<1323005 617-330037!;. PIMCO-PC1CJ@STATESTREET.COM USO 0,7;:, 14.312.773.0E 14,31:U73.0.: . (J;Q(j 14.312.773'.0.:
1nvestor Address: PO eox 590009 BIRMINGHAM 16064J PROASSURANCE CA.sUALTY COMPANY US-35259 2 00121 MlCHAEl. KONRAD 3178433631. 3178433699 MICHAeLKONRAD@OPCO.COM USO 0.00 994.884.91 994.884.91 *0,0IJ 994.884.91
~1. S.flGl,JEf\OA ~~EET SANK.OF. TAIWAN, !.OS AflGEl.ES. LOS AN'GElES, CA 165624 BRANCH TW-90017 2 064589 T(MOil-l'r'llU 21362956!l0 E.'<TN 155 2136200610 TiMOTHVL@BOTLAUS USO 0.50 il.713.869.3< 9J'i:i.ass.3~ .a.mi H.773.869.':Y-
Attachment 3A Page 19 of 24
-- CENTE_R, DRf\fE,,Surre 11:t0 PIMCO LONG - TERM CREl:)1T FUND NE'IVPORT BEACH EWl~LOAN 172:Wi (PIMCO). us;_s2seo . 2 . o*c0ilo1 ACCOIJNTING 949932Wo&: S17S3~D; , PIMCO:PPFS@STATESTREET.COM USO 0.11 .'2.1.13,069.81 2,11a.009.si 0,0IJ 2, 113,009.61 DELAWARE 01VERSIFIED FLOA TlNG STREE:i, ONE COMMERCIO -- --
RAT~FUNO{DELAWARE: .. $_\lUARE. !ffij FLOoR;INV.
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MET/EATON VANCE R.OATING.AATE ' 1900 ' "' ' -*

PORTFOLIO (EATON VANCE . . IRVINe MET.:c/\TONVAiiCEFLOArR-
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TUCSON SUPPLEMENTAi. RETlR...MENT TUCS9N BANK.LOAN 361555 SYSTEM US.85701 2 OC001 ACCOUNTlNG 949932305 6173303105-* PIMCO.IJ2446@STATESTR.EE.T.COM USD. o.ro *.544.465. 1.7 !544A65.17 . 0.00 sM,4SS.11 SOUTH 1STH fL PERMANENS CAf'fTAt FLOATl_['IG RA, re l<lSNYQRK LOAN PRODUCTS "62910 FUNOLP us-10010 2 DC!lOl Te:AM oocooocooo _4'6ro75694ii 140037513945@TLS.LOSPROD.COM USO O.o:< :s9B'.974;3E . :!98.974.:Je O.QO 398,974.3 C!RCt.E INOIANAPOUS PORiFOLIO BLUECROSSOFCAL!!'ORNIA@TLS.l f:l631>17 Bi.UE CROSS OF CALIFORNIA US.462C4 ~

OC!!lll OPERATIONS TEA/,; 00000000000 21429'32410 DSPROOCO USO 6:14 2.a45.199:2a i,845, 199.2 *0,0(l -2;S4s,19s,2e CENTER STE 13JIJ NE.WFLE:ET MUI.Tl SECTOR fNCOME eETi-tESDA

53$!15 El"l' US

.Z!IB14 2: OC1 /.J.tY K.EJTJ-1 B607B05lli Ei 4698257828. 146952S7Si!!@TLS.L0Sf?ROO.COM USO o.c13 626.562..7! 628.562.7* ii.no. 628,562:7~

Attachment 3A Page 22 of 24 i\VENl.j'ESUITE 1800 0,01.JB~EL!Ni: LOW DURATION 150ND l,.0$NlGEl:.ES OOUBlEUNE LOW.DURATION@(JS 367363 FUND US-90071 2 .001 STEPHANIE BAZA &176036415' a6&4r:;sa!l21. *raANKCOM USO 0.21 4. iw;aw.;r. . 4,125,:mi.s; o.oo 4,125,326~
POMf\'1.lNGlEO f'SN$EON 'fRL!ST FUND. rnves\or AddrGSS: 1170 PARKAVE:f:;UI:' -.
Fl.OATENO' RATE INCOMS OF N~YO~K 361354 JPMORGAN CHASE SANK'N A

Us-10011 i Oct!O:i'J Ll.lKE JENNlNGS 30:26345616

302aJ.foaes, MNK*lOAflS@JPMORGAN.CO~l USO a.in 144.346.73 244.346".7'i Q,Q(I l!A4,34S~7,

- ORlVEWEST -
CHi OPERATING !flVE$TMENT ENGLEWQOri PORT!'OUO CATHOUCHEA!.THINIT1AT1VES@Ti:

fill4lJU .* AAOGRAI.! L P . . uS-sll112 * ;l . Ut.:1' OPERAllUml fi::AM IJULJU(JIJIJUllU . \!.1!11$4!l!l!!!>U* S.i:.iJSPROU.COl.i ' usu .u.us 1,5 lll,l!43llll l,orn,!l.;:rni.:

ll.UlJ l,!!1 Y.l!4~fic fnlleslcr Addre:is: 1 KAISER Pl.Ab,.

oAKWlo . .
36'75i7 KAISCR.PERMANEITTE GROUP TRUST US-94612. j! oc TOM~OVIC li300s4a389' ~1443135711 12144313G70@Tl.S.LoSFROO,C<>>.I. USO "0.02 ~(l.47&.9:1 ::xJOA ~5.\11

C,00 3eOAiS.91 411.'52!>

DESf,!Olf:iES MAlTHi;:w 367614 l/l/ELLMARK INC US*50309 2 Ot;DOl STAFFORD 972sa165J5 ~143009775 '1214'300977El@TLS.LPSPROO.CO.'-' iJSo o,cs '977.Sa6.9Z (:Jn.sas.l};: 0.00 sn.3ss:s~
tn~5tor l'\dd~s: 1 KAISER' PLAZA OAKLAND.
369375.. KA!st;R FOUNDATION HOSPITALS uS.s.ie12 ... 2 .* occoi. .. TOM JOVJC '
il300848SB9 . 2l44Jl357t. . 12t4431J671@TLS.LDSPRCO.COM USO 0.02 .... .380.'458.2f . -- 380,468.2f - 0.00
SS0,46e.ZE
,18TH,FLOOR NATIONAL UNION ARE INSURANCE NE1/'~YORl'I 1469331aooi@Tls,l;D$i>Roo.co~.t USO 359376 COMPANY O!' l'ITTSSURGl-I PA IJS-10038 i" . otdoi TOMJOVIC 636684a3a9 ~69331Mti1 0.00 40,610if 40,1§10.2 Q,Q(I 40.610.2e lr\ve1tkir'Addr~;.1!IOS4MMER STRl;El BOSTON . .
389379 LEXINGTON 'rNSUP.ANC'E coi.iPANY. US-02110 2. OCOCl7 "fOMJo\lrc 6300ll4B:lil9 46!1331lia61 1469331soil1@nS.LOSPROO.COM USO 0.00 2a.:io2.4E '20,202.4> 0.00 '20,302.4:9 lllW1!fgf Addres.s: PO BO~ 4Bea:
MIERICA'! GENERAL Lif'E. INSliRANCE. HOUSTON 369380 COMPAN'f US-77210 2. oCt.101 TOMJOVIC 6300848369 4693316ose 14693318000@Tl.S.LoSl'ROO.COM USO .0.02 320.1sz.z; 320~*16:2.Z: . o.oo .a20.16~
. .. 18Tt>FLOQR Mll:!{l<,:A~ HUM!; A.$l;;UHANi.:!; N!i;WYt.,IKK 3593112 COMPNIY US,-1003<3 2 OCOl)l TOM;JOVlC 6306841!359 4.593311'!055 14693318056@TLS.LOS?ROO.COM USO 0.00 94,552::1!1 '94,:562.!!1 0.00 94.562.81
~f\'1NQOST445 "
UNIT'EDHE,tl.l.THCARE INSURAf:!.¢E MINNETONKA 369911. COMPANY US-SS34i'l .. .. 2 OC!li .. UHIC .. oooooocooo ~ 600192'!!il. " . 146001!1267l@iLS.LOSl'ROO.COM! USO 0.02 .l74.~.'1 *" ..:i74.00S:4e C:OO ... '314,03B.4e ROAD SOU[H WlNDSOR COMMERqlALLOANSERVlCING@R 3'1'0121 'rrocKv!LLE BANK l.lS-06074 2 "6c:i SARAilr~ oolrnf:iasa 660291:1691' OCKVIL!.ESANKCOM USO a.so *.ii,149.S73A3 9,1.:9,373:4~ il.ao 9;749.373:.A~
fl90!l.
LOEE> Mi~ ALTERNATIVE.STRATEGIES NEW YORK LOEBOPERATIONs@LOESKING.CO M . * ...
3'i'01:!.4 FUNO lJS-iOOOO 2

OCJ>1 JOf<USSO 2.l24a310S2 [125742003 USO Mo 0.0.1 CHli O.Oll 0))1 CENTER C~NTURY cm Si:ASON.S SERIES TRUST DI llERSIF1ED LOS AflGELES 370183 FIXED INCOME PORTFOLIO US-90067 2. OC1 CHRJ S llASSI 972581iu57' 46961921132 146W19293Z@TLS.LOSPROO,COl.t USO 0.!11 .2M,3A6,72 2.14 .a.m,7:; n,ao . 2*14,3~!3:7::

lnvcstcr Address: 80 ARKAY ORIVE '
HAUPP,.\UGE .
';$71335 DUNHAM FLOATING RATE BOND FUND US-11788 2 OC1. AMY KEITH 6607605615 2146461859 1.2.t4s4618S9@TLS.LOSPROO.COMi USO *.0.114 325.295,96 o25.29-0.9 0.00 825;296:9 rnvestor AddresS:* 1oo 'SN MAR.Kj:T ..
RE~ENCE BLUECROSS Bl.UESH!ELO PORTl.:AN!l E!ANKLOAN

72195 Ol'.08EGON ,US-97201 2 0011 ACCOUNTING !!499323005 8174&14757 PIMC0.ll3C4i@STATIE.STREET.COM USO 0.00 es.1s9,1;; *65.159.1~ 0,00 65.159..l

l COTTONWOOD PAR'i<mAY REGENCE BLUECROSS BlU(

SHlELD SA,LT LAKE CITY BANK LOAN 3722()2 OFUTAff US-84121 2 OCDD1 ACCOUNTING !!499323005 G17'1!114m PIMC0-0304S@STATESTREET.COM USO o.oo 32,57G.SE. "J2.~79.5e o.ao 32.579.513 rn~estar Address: 1il0D NINTH AVE SEATTLE aANKLONl 372207' .REGENCE BLlJESHIELO lis.9a101 2 OCi AtcollNTtNG g.!99523005 61745147~ i:>IMC0-03cM@SrATESiREET,COM USO 0.01 121,oo().3C 121.000.Sc o.oo t.27,060.3(

rnvestQr Address: 1602 21ST AVE LEWISTOfj BANKLOAfl

imua ru:::GENCE BllJESHIELD OF IDAHO US-83501 2 ocno1 ACcmJNTJNG B4993230IT5 St74fit4BOO PIMC0.03Cl43@ST ATESTREET.COM USO 0.00 .rn.547.74 19.547.1* a,oo 19;547.74 STE204 N~AA~

372701 GALLATIN CLO V12013 2 LL.C US-1!1711 2 OC1 .ANTHONY STARK

212!i019l6tl i 1431i6~Cf94 12143069094@TLS.LDSFROO.COM USO ,Q,07 1.~si;.1so.oc 1A5S.750.0c a.mi 1.455.700.0C

.DRIVE.
SENTRY INSURANCE A MUTUAL STE\ll;NS FOtm 315472 COMPANY US-54451 ::! OC1 TOMJOVIC 5300641!38;) 469511!3531 146951&3631@rLS.LDSPROO.COM USO MS 60i',73ff.90 607.735.0C o.oo. M7,7.38.9C AVENUE, SUITE 3(l!](]
SAN FRANCISCO CITY AND COUNTY SAN FRANCISCO SAN FfWJGlSCO ClJY 3'11:![)9 EMPLOYEES RETIREMENT SYSTEM US-94102 2 001 AND COUNTRY EMPL 000000000 0 *l69513!lli7'.il 14005l:le07~@ns.LOOPROO.COM USO 0,06 1, 14i!;l!46<<8i . 1, 142.z.l!i.Si o.o!l' 1,142,346.llE PORTFOLIOS INC ff PRUDENTIAL THRSE Sl-lOl'lTOURA110N MULTf SECiOR iOO MULBERRY STREET JOSEPH JOSEPH.lEMA.1-!0WICZ@PRUDENTI 384322 SONOFIJNO NEiNARK 2 OC01 LEMANOW1CZ 9738()26$.16 973367<104 7 .... L.COM USO O.D:l 4$9,924.43 469,9Z4.4' O.oo *4.69.924.4~
lnVestdr Address~ 290 V/OODCUFf DR MANN!NG ANO NAPIER FUND lNG HIGH FAIRPORT MFOPERATICNS@MANN1NG'-
384983 VIELO SOND SERIES US-14450 2 oc2.1 AGENT NOTICES O!lCOOallOIJO oaeoailooou NAPIER.COM: . . USO b.15. 2.!!29.45925 2.929'.4sli2i a.ml 2.929,459.:1.G
Attachment 3A Page 23 of 24

?TfiEE:T FIRs'l".ENERG'r'.SYSTEM MASTER Al<RCN. PORTFOUO

?e6S43 . RETIREMENTTRUST US,44308*, 2 OC01 OPERATIONS 0000000000 46!13319255 14003319255@TLS.LOPROO, COM usu o.o~ 1,709,665.87 ' i..7Qa:.665. S7 o.oo 1,708,665.!17
- .,. ~ - ..
AVENUE'19TH l'LOO~
JF.IN ci:.6201SLfo (FKA)JFIN f'ui-io iv NEW.YORK ' jEFFERl!'S~: _ .
silab91. 2014'LI.c* uS:-ioo22

2 OC01 MICHAEL BuRNS 5li'0029741 - 61'73600s2j, OS23@STATl:STREET,COM USO *o:fa *:2.il3l.5so.a1.. 2,631 ,5s6:al (l.Q(I 2.S31.SSO.B1 FlNANClAL CENTER

~
BtACKsTONE GSO SENIOR LOAN* .1 LINCOLN STREET 3llH2llll POi<ii=.ouo "
imSltlN 2 OC01 Mtt:Hll.fL t:AfillllA ll1 IB!l:!Yl-31 r:>r1.:mio.rnru Ul:lU .u.!lrJ . b;Yl4AlVl600.104789 ' . USMNK'.COM USO 0;01 - ' 2ll4;!¥.l6.9l - ' 294,69tl.9 0.00' 2 - . -. - 294.600.91 MULTlPL_E COLLECTl\IE INV-cSThlENT STREET FUNos TRLiSTJI MULTI SECTOR SoSTON

922ai CREDIT PORTFOLIO Us.022116 2 oco1 CHRlSBASsl 9t25Bi6257 ' 4 698049600 i469864siiOO@TLS.lOSPROO

COM USO 0Jl2 ::313,986.3( 313s1as:3* 0.00 3.13see.3c PlMCD FUNDS PRIVATE ACCOUNT ~ENTER PRIVE'

'PdRTFotiO.SERll:S LOl*Kl'OURATiON SUITE 100' BANK LOAN 393328 CORPORAT1" BONO PORTFOl.1 b NEWFORTSEACH 2 "OC01 ACCOUNTiNB 9'1!l!l:i2J005 1Hf330C&24 ' PIMCO.PPAS@STATESTREET.COM IJSO . o.57. ,tl.167.ill:!JJ! 11.161,ilta!l< ' -- o.oo ,11J 5(,913.si '
ln~cr Adllress: 100 Bl'.Y:RRQ BAYER CORPORATION DEFINED PITTSBUR~H .. BANKLO.ill>l 393466 BENEFIT MASTERl'RUST US.15:!05 2 OC01 ACCOUNTING 9499JZaOOS 511:3:ioaan

l?IMC0-07002@STATESTREET.COJ\I USO -O.(l;). 167,669.9.:: ' 167.aoil-.9 0,00 161JJos.S~

PAAKWAY410 " " '"' " ,.. -- - ..
'JH!; V~lfjl;iLE;AflNUllY lll-c Hl,lU:OlUN 397134 JNSURAfJCE COMPANY US-71019 :! OC01 'iOMilOVlC (;30084638 9 ~.6.9.3311300!1' 1469331o058@TLS,LOSPROO.COM IJSO, a.no 58.017~45' _Aa,011.~e O.M 45,017.45 STREET MILWAUl{EE l

95799 MM HIMCO SHORT OURAl'.lON

FUND US-53233. - . 2 ' dco1 " AGENT NOTICES . . OOCOOOOoliG 2149835Bll5* UM8FS-FATEAMJENNl@UM8.COM USO . " O.Gi .104;402.9<: ... 1-04.;462;9' 0.00 :104AS2.92 DTE ENERG_Y COMP'AN'( AFFILll\TES 1nv~tQr ,Aqdress;.ONE Ef"ERGY P.LAZA EMPLOYEE BE,NEflT PLANS MASTER DETROlT

39s1so TRUST US.4S226' 2 OC01 AGENT No Tl CES !:14993iJ005 6173303727 PIMCcNl2953@STATESTREET.COM USO 0.02 .;ioa.24s;iS 409,245.31: o.oo *409,245.~~

PA,lilKWAY MOUNTAIN Vlr::#
39!!525 G'OOG!t.E:INc US-94043 2

CCOf AG!ONT NOTIC!e:S 6116!i29252 M18S81S'i3 12a1S!.>81513@iLS.LflSPROb.COM USO -.;(i:f2 2.:reo. wa.3s 2,~B0:798;~ o.oo :!,2BO,'i'9S.3~

investor Addfl!S$l 7'1,! HIGH si:REET PGIT ULTRA SHORT ENHANCED '(ll:lD DESMOIN!!S Dl:.GAMINVACCTE!A~LOAN@EXCH 4D15B6 FUND US.511392 2 0C01 AGENT NOTICES 5152475245 n29925400* A.NGE,PRINClf'l'\L,COM USO 0,lll 151,85305 lSt,~S;J. rn; Q,00 16l,BS3,11" LlCJHT WO cL...RENtl6Ns STREET fl 4 i
','; 4oi32a SANKATV SENIOR LOAN FUND SRf LP BOsTON . . 2

oc111 RENEE MERTZ 412234&26{! il171Ga323:> 18177663233@TLS.LOSFROO.COM USO .0.06 ".1,082;799:3'! t ,OB2.799.3'1 0.00 'f.o~.100.~

STREET'* . ;
GREENFIELO 405480 VJRTUS SiRATEGfC INCOME FUtlO US.V1301 2 OC01 P.l,!Y KEITH aso7eoss1s a\73453785: , at73:4537as@rLS.LOSPROD.coM USO orij i 19,3a6.1G i19,38S.1S 0.0(1 119.386.ts STREET 9';NTURYUNX INC DEFINED BENEFIT S41TE3SOO B'ANKLOAN 407039 MASTER TRUST DENVER 18THFLOOR

OCC01 ACCOUNTING 94993230051 El l73:i0Jll01> PJMC0--06I,13-§ST ATESTREET,COM USO o.tl2. 312.52S.8d . '312.525.8~ 0,Q(J 312.525.84 QOMMERCE ANO INP.USTRY Ni;JNYORK

{07080 INSi.JRANCE COMPANY US-10038 2 oc-01 TOMJOViC 630684SS69.
21~68SS* 1i14307S885@lTLS1DSPROD.COi.l USO O.C-0 60.540-4~ iio.540.44 QOO 60.540.44 PAfl'Jf;V'/AY THliHJNITED STATES UFE INSURANCE HOUSTON
'411046 COMPANY IN THE CITY OF NEW YORI< US-tro19 a OCIJ1 TOMJO\IJC 6300848389 4693316057. 1469331!l057@iLS.LDSPROOi:C!M USO a.oil 'J'f .ll)D.52 *a7,a10.o< a.no .:iw1u.52 STREET FIRSTENERGV'SYS1'EM'MAS'l'rn AKRON BANXLOAN 412156 RETIREMENT TRUST 'us.M:iila ;! *OCriCl1 ACCOUNTING g499Jzj()os 6173303676 PIMCO-il1S24@STATESTREET.COl'.I USO .-O.Dl 150,~7~.J~ i50.a1s.14 a.w *1 so.s1s.14 STREET ... . "
RUSH UNl\lcRSITYMEOICAL CENTER sUITE200 8,6.Nl<;_lOAN 412217 MASTER RETIREMENT TRUST ClilCAGO 2 OC001 ACCOUNTtNG 9499323005 Gl7S30_38li' f'IMCo.-0627.l@ST ATESiREET.CQl<,\ USO O.tll :294; 155-.ii 294.1.55.64 Q,Q(j' 294,IS5.64 75 FORT STREET' GEO~GEToWN
.4127$2 EtM*CL020141 LTD K1*KY 111(18 2 OC01 AGENT NOTICES 0000000000 ' ass592t 688 ELM.CL020!4@USBANKCOl.I USO 0.11 2. t10.-1115.'2l 2,1HJ.B15.24 O;OQ. -:?;110,615.24 PAAKWAY
'Rro TINro AMERICA MASTER SOUTH JORDAN. l:lANKlOAN 412692 RETIREMENT TRUST us.a.:bGS :? 'OCOOl ACCOUNTING !l49S323ilo5 6'1793702.47 PIMC6-078S9@STATESTREET,COM USO 0.01 t184,&n.a2 184,672.8:1 .(J,Oll 184,672.82 SWTH MiCHCLiN NORTH AMERICA INC .G:REE!*MLLE ElANKLOAN
~'i3S35 MASTEf{ RETIREMi=NTTRUST lJS-29515' :i OC01 ACCOtJNil~JG' 9499323005 5173303!114 PIMCO-D62,06@Sl'.AT£STREET,COM USO b.ol 2Jt.4;:i.Us 231;43*4'16 .a.oo 2:iL434.iS
Attachment 3A Page 24 of 24 FINANCIAL CENTER 3200PLAzAS 12143075821@00CS.lDSPROD.CO 41°381!4 s\JN,*.!.IERICA FLEXIBLE CREDITFUNO JERSEY CITY 2 . OC01 Al.!YkEITl-l 86071i053Hi 2.143D7E82l* M USO o.ro 64B:333;3:l 6-iS.333.~ o.oo !i48,333:~
STREET USTAXZa BANI< LONI 414653 JOHN HANCOCK PENSlON PLAN 80STON 2 0Co1 ACCOUNTING 9499323005 617946o096 PIMC0'0782.0@STA TESTREET,COM USO 0.01 192, o24:6li ;92,02<1.&e 0.00 t92.C24.ile 0633 FO 60.X 4418 ..
ATL:ANTA 41b4!l1 8flK1NG CREEK TAAUlNt; Lll.! US-:ill".lO:'L :!. UC01 JUHN IAVLUR. !U:.!!>l!ll>l~ll ~ll!Af1!:>:l\i2!l. 141JYtllbW'2t!@TL!;.L0$PRUU.l.!Ul.F usu .(].J.Jb Y\l:!,:J.'lU.!:1-1 !J!l:!,:l'l!W4 u.uu Y9:!.3M:iJJ~
ln~eslcr Address; 6621 FANNIN STREET TEXAS CHILDRENS HOSPITAL HOUSTON 418S69 l'OU~iDATION . US*770JO 2 OC02 AGENT NOTICES 9499323005 i; 17369~;;m1 PIMC0.D17JO@STATESTREET.COM USO "0.02. -444,2.89:3.l #1.269.34 0,00 444:269.34 ROAD
.SUITE 100 6,l\/o!KL9AN 419222. CoN 'NAY RETIREMENTM.A.STER TRU.ST ANN ARBOR 2 OC01 ACCOUNTING 949'3323005 6173303673 PIMCO-il1B72@ST ATE STREET ,COM USO 0.02 .l!46;265.22 346,205,22 0.00 .346.265:2<
WAY FIRST AMERICAN Tt.TlE INSUSV-.NCE ~A,NTAANA 42045 COMPANY - US.92707 2 - OC01 AGENT NOTICES .* 9499S23005 . 6l7421034il . PIMC0.0304S@S'rATESTREET.COM USO *- o.ro .. 494.9iO~!loi. .194,910.!J.<: 0.00 49:.\,910.94 lnvestarMdrei;s: 110 STAIE STREET NEW YORK STATE i::OMlfoN AlBANY 42l~lll RETiR~ENT FUND. us-12234 2 OC01 AGENT NOTICES - 0000000000 OoCOOOOOOO* 197280Si613@TLS:t0sPROO.COl..t USO 0.03 1173.269.-2~ s73,i69.2' 0.00 673.269.2~
J'>lVD CONSUMER PROGRAM 11THFlOOR BANK LOAN BLK-42.1242.- ADMINISTRAToRS INC CHICAGO 2. CC01 DP8:vlTI!ONS 2, :2!l 10635-8 . 0000000000 PRJVATENFO@BLACKRCCK.COM USO 1101 * :2!11. 750.ot Wt7_50.[)( 0.00 29t75.0.0C.
DRIVENORTI+
LIVONIA 0 423616 INVESCO SSL FUND LLC US-48152 2 OC01 TOM JOVIC 6306648389 46%133100 14G951SJ796@Tl.S.LDSFROO.COM USO *0.00 1;21s,i>1-1:7E 1.275.0.14.7E c.oo 1.i7S.tl14.7S

- lmiestor Ad<Jress: 6524.FANNIN - - -** . - .

!;;J 1..Ul<~Ht:ALll'l!;;Y!;;IEM HUUlHUN !:IAl'lKLUAN 425552 RETIREMENT PLAN US-TIOJO 2 OC01 ACCOUNTING 94gg32J00s 5173303654 _ F'IMCO-Oi459@.STATESTREEr.CCl'..I USO .0.01 1)1.1):;6.~5' 117,033.~~ 0.00 117.036.4E HOUSE
~OUTHCHURCHSTREET 426561 DR.YDEN 38 SENIOR LOAN FUND .GEORGE TOWN 2 . OC01 BRAIN SCHOU: OOCOOOC-000 84456$0i!H. . DRYDEMl8@USBANKcoM* USO l}.1:; .2~9f-4.6S.t72. 2.984,654.7~ 0.00 . 2;984,654.7~
'/'IELFARE BENEflTS Pl.AN FOR DRIVE COLLE9TJVEl Y BARGAlNED CHARLOTT BANI< LOAN 426902 El.IF'LOYEES US-28262 2 OC01 ACCOUNTING Me9323oos 61rn00702* PIMC6--0i3i!O@STATESTREET,COM USO *0.02. ..j45.482..sa 445,482.ii! O.Oll *445.4S2.So NORTHWESTERN MU.TUAL SERIES '(l/1ScONSIN AVE FUNO INC MULTT SECTOR BOND MILWAUKEE BANKLOM-1 421790 POt<Tl'OUO US-53iD2 2 ocno1 ACCOUNTll'J(; 949!1323005 6179880722 PIMC0-06232.~STA 1'E.SiREOl.COM USO O.o.I B6G,5~03 illl6,!i:l6.0C *0.0(] 856,536.0~
ALTERNATIVES FUND (FKA} WAY
'of>PE~IHEIMER OUEST FOR VALUE CENTENNIAL

128473 FUNDS FOR THE ACCOUNT OF US-80112 2 OC

Ol AGENT NOTICES 0000000000 ~ 693287827* 146962BlS:l.7@TLS.LDSPROO.COM USO 0,00 547,B51.99 Sol7;!J51.~ 0,(1(] 5*17,951,9!

Investor Addras~' 4 EASTON OVAL COLUMBUS . SAFE.AuT0.1NSURAACEC6@USsA 428660 SAFE .A.UTO INSURANCE COMPANY US-432196010 2 6C1l1 AGENT NOTICES 0000000000 8444203339

NK.COM USO .0.01 '246.086.7~ 2~3.086,7~ 0.00 2~8.ilSo. 7<

STREET .. ..
HEWLETT PACKARD COMPANY PAt.OALTO 428780 MASTER TRUST US-943!14 2 OC01 A.GENT NoTiCE.s 9499322005 5173303863* PIMC0.:06935@ST ATESTREET .COM USO 0.04 731),314.3:2 .739 ,314.'3: 0,00 7:39.31<!.3'.<
lnYestor Al!dress: 101 ASH STREET SEMPRA ENERGY DEFINED BENEFIT S,t\NOIEGQ .
428950 MASTI;R TRUST US-92101 2 OC01 AGENT NOTICES 9499n3oos e11s.;soc9a PIMC0--07697@STATESTREET,COM !JSP o.ao 87,86SA1 87.8&5.41 0.Q(i 87.865.41 UNCONSTRAINEO BOND SERIES (Fi<A) l11'i'esta1Address:290 WOODCLIFF .DR MANNING AND NAPIER FUND 1NC CORE FAIRPORT TRADEPROCESStNG@MANNlNG-430483 Pl.US BOIJD SERJES IJS-14450 :i ocoa TRADE PROCESSING 5853252215 oocoooooooo N~IERCOM USO 0:45 8.1l33,ES0-42 6,933.660.~ o.oo 8,933.60,4, Fl 28 OCM-LOS ANGELES DIONNE AUBREY NEWACCT@OAKTREEECAP!TALG 431265 OAKTREE ElF II SERIES 92 LTO US-90071 2 DC01 MCGHEE 2138306:;()6 OODOOOGOOO OM VSD 0.18 :3.n12.ci20.sa 3,512,025.6f. a.nil ;:;,s1i.026.&
SUITE1400 STATE OF HAWAII EM!>LOYEES. HONOLUW BANK LOAN 432049 RETIR~IENT~YSTEM

US*001l1::J2980. 2. OCOi AC.COUNTING 9499323005 6174210453

PIMC0.100i3@STATESTREET.C~1 USO .0.01 132.101HC 132.1os.1c a.co 132.106.7C SUITE1.tHO VIRTUS NE'NFLEET MUlTl SECTOR. NEWVORK M1148 UNCONSTRAINED BOND ETF US-10036 2 QC01 AGENT i'JOTJCES. 860i605315 9725JS.l045* 19725354045@T.LS. tOSPROO.COM USO, O.G:l 537, 237.80 537.237:8* 0.00 537237.8' P;IRKWAY WAREHOUSE FUNDING AVERY !"O!NT COLUMBUS WAREHOUSEfUrJOlt!

4'12734 VII CLOLLC 43240 2 OC01 G oocoooaooo 5443{]04523 AVERY.POINT.Vll@USBANK.COM USO *0,13 2.467,212.2~ '2.487;212.2E .. .QQO, 2,4B7,212,2E 20a Demos tic DcrnMtle 511 ;54_0,475.7~
Total 100.00 1 ;9_66,394,99~.85 1.9S6,3\;4,999,8S 0.00 *1,966,394,999:.85
Attachment 38 Page 1 of 2 fr~anche Ref No: 031BTPR13.1610003 frranche Name : NRG ENERGY RC SENIOR TOTAL LOAN TOTAL LC INVESTOR# Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE GFCID INVESTOR DETAILS OCCONTACT ENTITY NAME ENTITY PHONE # ENTITY FAX# ENTITY EMAIL CCY ASSET RATIO TOTAL COMMITMENT OUTSTANDING OUTSTANDING TOTAL OUTSTANDING Investor Address: DRONNING EUFEMIAS GATE 30 DNB BANK ASA (FKA DNB NOR BANK OSLO 059089 ASA) DNBASAUSD DNB NOR BANK ASA N01L 177325 N0-0191 1 OC0143AGY ALBERTO CACEDA 8322145807 8322145839 ALBERTO.CACEDA@DNB.NO USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 I"'.""""'"" ,.._..._.,.,..,.,.,"+£.::ii. -.,.,...,,u......... ._._....,,,,,,_
EDINBURGH THE ROYAL BANK OF SCOTLAND RBS GREENWICH SCOTLAND GBMUSOCLENDINGOPERATIONS@R 061337 GROUP PLC RBSUSD CAPITAL GB1L211398 GB1L211398 1001648132 GB- 1 OC131 LISA SHULSEN 8013126187 2038735019 BS.COM USO 4.78 120,000,000.00 0.00 52,863, 183.91 52,863, 183.91
............. -..................... .._,...., .... 1""' ,..., ..................... """.....
DUBLIN SUMITOMO MITSUI BANKING SUMITOMO MITSUI IRELAND KRISTENMYUNGHEE_LEE@SMBCGR 095191 CORPORATION 095191USD BANKING JP1L113879 IE- 1 OC01 KRISTEN LEE 2122244314 2122245197 CUP.COM USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 Foreign 3 Foreign 140,968,490.42 1111v<;;>;;io~v1 ri,yu1i;;;;;io;;io, l&..o.J r\YL... .._,, Inc. ,_,,_
10TH FL THE BANK OF TOKYO MITSUBISHI UFJ BANK OF TOKYO NEW YORK 057609 LTD ACSBTM MITSUBISHI JP1L164542 JP1L164542 JP-10020 2 OC0101AGY JAIME VELEZ 2014138586 2015212304 JVELEZ@US.MUFG.JP USO 2.35 59,000,000.00 0.00 25, 991,065.42 25,991,065.42 Investor Address: 60 WALL STREET DEUTSCHE BANK AG NEW YORK NEW YORK 057628 BRANCH MD BAG Deutsche Bank Ag DE1L156826 DE1L 156826 US-10005 2 OC0101AGY PARAMJIT SIHRA 9042712411 7323803359 PARAMJIT.SIHRA@DB.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Investor Address: 150 N COLLEGE STREET NC1 028 17 06 BANK OF AMERICA, CHARLOTTE FAIR VALUE FAIR_VALUE_OPTION_SERVICING_T 057658 BANK OF AMERICA NA 057658USD N.A. US1L009318 US1L009318 US-28255 2 OC9000AGY4 SERVICING TEAM 9803864605 7046023632 EAM@BANKOFAMERICA.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 I'"'*--*- *--*---*
11TH FLOOR BARCLAYS BANK PLC( NEW YORK NEW YORK 057661 BRANCH) VBBB BARCLAYS BANK PLC GB1L182938 GB1L182938 1008116136 GB-10265 2 OC1254 DERMOT KEENAN 3059824464 2015108101 DERMOT.KEENAN@BARCLAYS.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 1111vv;;io~v1 ""1.1u1o;;;;;io;;io. I"""' ""'v-. __ ur inc: ..... ,.,,._,.,,,...,,......,
34TH FLOOR NEW YORK, NY 057666 NATIXIS NEW YORK BRANCH ACSNBP Natixis FR1L 181185 FR1L181185 FR-10020 2 OC005 ROSLYN ADAMS 2128725177 2017616934 ROSL YN.ADAMS@US.NATIXIS.COM USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 Investor Address: 787 SEVENTH AVENUE, 32ND FL NEW YORK, NEW YORK 10019 NYK_LS_LOAN_BOOK@US.BNPPARI 057680 BNP PARIBAS (BNP PARIBAS) VUEBNP BNP PARIBAS FR1L377510 FR1L377510 FR- 2 OC1201A PATRIZIA RIZZO 5142856042 2016167918 BAS.COM USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 CREDIT AGRICOLE CORPORATE AND Investor Address: 1301 AVENUE OF THE AMERICAS INVESTMENT BANK(F/K/A NEW YORK 057697 CAL YON)(CALYON) CALYON CREDIT AGRICOLE FROM0001K2 FROM0001K2 1000086424 FR-10019 2 OC012 GENER DAVID 7325907751 9178495543 GENER.DAVID@CA-CIB.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Investor Address: ONE LIBERTY PLAZA ROYAL BANK OF NEW YORK LOANS 057732 ROYAL BANK OF CANADA CAPRB CANADA CA1L116960 CA1L116960 1000573112 CA-10006 2 OC0250AGY ADMINISTRATION 2124286322 2124282372 USO 4.98 125,000,000.00 0.00 55,065,816.57 55,065,816.57

* *--* -~ .............. , ........ , 01n ..........."'
TAX DEPARTMENT SUMITOMO MITSUI BANKING CORP. SUMITOMO MITSUI NEW YORK CLAIRE_KOWALSKl@SMBCGROUP.C 057738 (FKA THE SUMITOMO BANK) PSUMIT BANKING JP1L113879 JP-10172 2 OC12345 CLAIRE KOWALSKI 2017618701 2122244397 OM USO 1.00 25,000,000.00 0.00 11,013, 163.31 11,013,163.31
, ** - - * - * *--* , ....... "'tUV CALIFORNIA STREET MUFG UNION BANK NA (FKA UNION UNION BANK OF SAN FRANCISCO COMMERCIAL LOANS 057746 BANK NA) AESUBC CALIFORNIA US1L329203 US1L329203 1001359416 US-94104 2 OC0258AGY OPERATIONS 3237246198 8004469951 CLO SYND@UNIONBANK.COM USO 2.99 75,000,000.00 0.00 33,039,489.94 33,039,489.94 Investor Address: 270 PARK AVENUE JPMORGAN CHASE BANK NA (JPM JPMORGAN CHASE NEWYORK,NY 057887 CHASE) CJPMOGR BANK, N.A. US1L019291 US1L019291 US-10017 2 OC005 ASHA NANJAPPA 8066760775 2012443885 NA_CPG@JPMORGAN.COM USD 5.97 150,000,000.00 0.00 66,078,979.88 66,078,979.88

--*-* *--*---* - * * - u 1ru ....,,_1 llC.C"\

201 SOUTH MAIN STREET, 5TH FLOOR MORGAN STANLEY BANK, N.A. MORGAN STANLEY SALT LAKE CITY, UT MSLOANSERVICING@MORGANSTAN 058244 (MORGAN STANLEY) ACS MS SENIOR US1L094930 US1L094930 US-84111 2 OC101 MORGAN STANLEY 4436274355 7182332140 LEY.COM USD 4.98 125,000,000.00 0.00 55,065,816.57 55,065,816.57 DEPARTMENT MORGAN STANLEY SENIOR FUNDING MORGAN STANLEY 1633 BROADWAY,25 TH FLOOR MSLOANSERVICING@MORGANSTAN 058347 INC MSSF SENIOR US1L022337 US1L022337 1002310879 NEW YORK 2 OC015 MORGAN STANLEY 4436274355 7182332140 LEY.COM USD 0.76 19,000,000.00 0.00 8,370,004.12 8,370,004.12 Investor Address: 127 PUBLIC SQUARE KEYBANK NATIONAL ASSOCIATION CLEVELAND 058415 (KEYBANK NATL ASSOCIATION) EMKBN KEYBANK US1L035115 US1L035115 1000518979 US-44114 2 OC61013 LASHAWN DALTON 2168134819 2163706114 LASHAWN DALTON@KEYBANK.COM USD 1.39 35,000,000.00 0.00 15,418,428.64 15,418,428.64 Investor Address: 1325 AVENUE OF AMERICAS DL-NEW YORK, NYCLOANADMINISTRATION@AMERI 058782 ING CAPITAL LLC ARMING ING Capital LLC US1L102188 1005384709 US-10019 2 OC002 FRENKLIN CHRISTIAN 6464248244 6464248251 GAS.ING.COM USD 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 30TH FLOOR CJTIGROUP GLOBAL NEW YORK, NY 10043 060086 CITIBANK, N.A. - ORIGINATIONS STPCUSD-18 MARKETS US1L027740 DUOOOCITl3 US-10043 2 OC6900AGY ANNEMARIE PAVCO 3028946010 3028946120 AGENTNOTICE@CITl.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00
Attachment 38 Page 2 of 2 Investor Address: ELEVEN MADISON AVENUE CREDIT SUISSE AG CAYMAN ISLANDS NEW YORK, NY 10010-3629 060098 BRA NCH FREDS1 CREDIT SUISSE CH1L156797 CH1L 156797 1003008564 CH-10010 2 OC0928AGY DERRICK RAY 9199945559 8664693871 18664693871@DOCS.LDSPROD.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Investor Address: 2 WORLD FINANCIAL CENTER COMMERZBANK AG, NEW YORK AND NEW YORK 060099 GRAND CAYMAN BRANCHES COMMBUSD COMMERZBANK AG DE1L 156768 1001025682 DE-10281 2 OC012345 LYLE BOOTH 2122667379 2122988111 LYLE.BOOTH@COMMERZBANK.COM USO 2.99 75,000,000.00 0.00 33,039,489.94 33,039,489.94 Investor Address: 888 EAST WALNUT STREET PASADENA 110172 CIT BANK NA (FKA) CIT BANK CITB CIT GROUP US1L027781 1001712876 US-91101 2 OC1 DEBORAH CHANDLER 4347916322 2124617855 DEBORAH.CHANDLER@CIT.COM USO 0.80 20,000,000.00 0.00 8,810,530.65 8,810,530.65 Investor Address: 200 WEST STREET TAX DEPARTMENT GOLDMAN SACHS NEW YORK, NY OPERATIONS 136202 GOLDMAN SACHS BANK USA GOLDDLC BANK USA US1L131229 US1L131229 1000753986 US-10282 2 OC17 CONTACT 0000000000 9179773966 USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Domestic 20 Domestic 965, 193,632.86 Total 100.00 2,511,000,000.01 0.00 1,106,162, 123.28 965, 193,632.86
1/1212016 SPR Browser Output Attachment 4A Page 1 of 9 COMPANY ID: 00550873 AccouNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:30:12 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB 144A NRG ENERGY D08/20/l0 Cusip 8.250% MS20 629377BH4 Participant Quantity Quantity Participant Quantity BROWN BROS Total 1125000
1/12/2016 SPR Browser Output Attachment 4A Page 2 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:40:39 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB NRG.ENERGY INC D04/18/11 Cusip 08.2500/o SM20 629377BJO Participant Quantity Participant Quantity Participant Quantity
---~*-*--,---
AMALGAMATE 0226 NFS LLC 0443 PERSHING 0725 RAYMOND 4801 RBC DOM**
0705 SCOTTRADE
---+--*~--
2319 SSB TRUST Total 1056526000
1/12/2016 SPR Browser Output Attachment 4A Page 3 of 9 CoMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:41:23 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB NRG.ENERGY INC D11/08/11 Cusip 07.6250/o JJ18 629377BN1 Participant Quantity Participant Quantity Participant Quantity
--,~~~~----*~~--,--
485000 0715 DAVENPORT 220000 0141 FRST CLEAR 5208 GS !'NATL 0534 INT BROKER 2357 JPM BK/IA 0419 STEPHENS 0188 TD AMERITR 0642 UBS SECLLC 0062 VANGUARD 0250 WELLS FARG Total 1038646000
1/12/2016 SPR Browser Output Attachment 4A Page 4 of 9 COMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY,COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:43:01 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description CB NRG ENERGY INC Dll/15/11 Cusip 07.8750/o MN21 629377850 Participant Participant Quantity Participant r----*- 2567 AMAL BK 0756 AEIS INC.
2116 5TH-3RD BK Total 1128040000
1/1212016 SPR Browser Output Attachment 4A Page 5 of 9 COMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:43:49 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description CB NRG ENERGY INC 003/15/13 Cusip 06.6250/o MS23 629377BU5 Participant Quantity Participant Participant 0221 UBS FINAN 2027 WELLS BKNA 0250 WELLS FARG Total 916000000
1/12/2016 SPR Browser Output Attachment 4A Page 6 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:51:59 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Security De~cription GCB144A NRG ENERGY INC Cusip DOi/27/14 06.2500/o ll22 629377BV3 Participant Quantity Participant Quantity Participant Quantity THERE WAS NO POSITION FOR THIS SECURITY
1/1212016 SPR Browser Output Attachment 4A Page 7 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM Security Position .Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:52:31 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB NRG .ENERGY INC Dl0/24/14 Cusip 06.2500/o JJ22 629377BW1 Participant Quantity Participant Quantity Participant Quantity Total 1090000000
1/12/2016 SPR Browser Output Attachment 4A Page 8 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:53:14 EST Security Position Reports:* One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Security Descripti~n GCB144A NRG ENERGY INC Cusip 004/21/14 o6.250i>/o MN24 629377BX9 Participant Quantity Participant Quantity Participant Quantity THERE WAS NO POSITION FOR THIS SECURITY
1/12/2016 SPR Browser Output Attachment 4A Page 9 of 9 CoMPANV ID: 00550873 AccouNT ID: 00181661 LOGGED IN AS: BRIAN,CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:54:10 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description CB NRG ENERGY INC 011/01/14 Cusip 06.2500/o MN24 629377BY7 Participant Quantity Participant Participant Quantity 115000 1 26364000 8000 150000 310000 1416000 125000 Total 886875000
Enclosures 1 & 2 Contain Personally Identifiable Information -
Withhold From Public Disclosure in Accordance With 10CFR2.390 South Texas Project Electric Generating StaUon P.Q Box 28JJ Wadsworth, Texas 77483 January 27, 2016 NOC-AE-16003330 File No.: D43.02 10 CFR 2.390 10 CFR 95.17 (a)(1)
ATTN: Document Control Desk U. S. Nuclear Regulatory Commission Director, Division of Security Operations Office of Nuclear Security and Incident Response Washington, DC 20555-0001 -
South Texas Project
, __ / ** , ** * *** ¥ ** Units .. 1.:*&.2 ~
Docket Nos. STN 50-498, STN 50-499 Foreign Ownership, Control, or Influence (FOCI)
In accordance with 10.CFR ~5.17 (a)(1), STP.Nuclear Operating Company (STPNOC) submits the information which docbme'rtts the curre-nrstatus of Forefgh Ownership; Control, or Influence (FOCI) for STPNOC and one of the owners of the South Texas Project:(STP). _The attached enclosures provide ch~inges to the--qerfificafe 'Pertaining* to -i=orergn' lntEfrests.

In addition, the enclosed forms indicate the c;_8anges; i_n t8§ reg!-!ir~9JQfn:!_t,ha1 i9e.ntifi~~-Owners,.Qfficers, Directors, and Executive Personnel for STPNOC and a STP owner.

The attached forms in *E~cl~sures 1 a~d f~r:o~ners, Officers, Dire~tqr~: ~~d*E~~cutive 2
Personnel (OODEP) contain Personal~y ldentifiable-lnform'ation." STPNOC requestS that the OODEP forms be withhe_ld f~om public disclosure in accord;:u1ce with 1b CFR 2.~90.

There are no commitment~ included with this submittal.

If there are any questions, pl~ase co~ta~! ~oby!1 ~ayage a_t (361) 972~7i38.
-~;/~" ... '_ . - -~ ~-
/,'/ Y_ll ,. , . . ,

Michae1 P. Mu *: - ~ * * **

_ -:M?nag_~!':_f3egulato_ry_ Aff9irs
... 0 M"* < ** -

Enclosures:

1. Owners, Officers, Directors and Executive Personnel (OODEP), Form for STP Nuclear .Operating .Company - (Pll) Not foLPUblicDisclosure

2. Owners, Officers, Directors and Executive Personnel (OODEP) Forms for NRG Energy lnc.;-NRG-SouthTexas LP;-Texas Genco GP, LLC; and-Texas Genco Holdings, Inc. - (Pll) Not for Public Disclosure

3. Certificate Pertaining to Foreign Interests (SF-328)

4. Supplemental Information for Certificate Pertaining to Foreign Interests with <7 Attachments ~ Sl j(_ D '&

STI: 34267450
Enclosures 1 & 2 Contain Personally Identifiable Information -
Withhold From Public Disclosure in Accordance With NOC-AE-16003330 10CFR2.390 Page 2 of 2 cc:
(paper copy) (electronic copy)

transmittal letter only *transmittal letter only

Regional Administrator, Region IV Morgan. Lewis & Beckius LLP U.S. Nuclear Regulatory Commission

Steve Frantz, Esquire 1600 East Lamar Boulevard Arlington, TX 76011-4511

Lisa M. Regner U.S. Nuclear Regulatory Commission Senior Project Manager *Lisa M. Regner U.S. Nuclear Regulatory Commission One White Flint North (08H04) NRG South Texas LP 11555 Rockville Pike *John Ragan Rockville, MD 20852

Chris O'Hara

Jim van Suskil

NRC Resident Inspector CPS Energy U. S. Nuclear Regulatory Commission *Kevin Pollo P. 0. Box 289, Mail Code: MN116

Cris Eugster Wadsworth, TX 77483

L. D. Blaylock Crain Caton & James. P.C.

Peter Nemeth City of Austin

Elaina.Ball

John Wester Texas Dept. of State Health Services

Richard A. Ratliff

Robert Free RMS with all Enclosures

NOC-AE-16003330 Enclosure 3 Enclosure 3 Certificate Pertaining to Foreign Interests (SF-328)
(2 pages) ~.
OMB No. 0704-0194 CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB approval expires (Type or print all answers) Msy31. 2011 PLEASE DO NOT RETURN YOUR FORM TO THE ORGANIZATION IN THE PARAGRAPH BELOW, RE11JRN COMPLETED FORM TO YOUR RESPECTIVE COGNIZANT SECURITY OFFICE. . . .
Tllll pubUc :rtihg burden far llliS coll9clion or infotmation 11 estimated to awrage 70 minutes per respcnse. Including Ille time lot reviewing lns!NCliona.

e = exlatillQ data sources: gaVlerlng 0 0

~':1:~;~ ~=~=* ~ :"rl~~::,11~:'1:;'.:\~~~~=?~~ ~:3=~~=~,!~~~~*:e=:.ilnf.:~:~O:ana~~:i"tfs':~~~ae .
Pent1g011, ~asllinglon. DC 203ot11ss (070ol-0194J. RospolldenlJ 1ltollld be awn !hat notwilhatonding any other pravllicn oflaw, no person 1han be subj!d to any penalty tor l'aoling to comply willl a cclleClion ol lnfonnatiOn if it does not display a CUl!llndy llalkl OMB number. * , *

PENALTY NOTICE FaUure to answer all questions or any misrepresentation (by omission or or both, knowingly lo make a false statement or reprj!sentatlon to concealment, or by misleading, false or partial answers) may serve as a any Department or Agency or the United Stales, as to any matter basil! for de111a1 of clearance for access to dasslfied Information. In within the jurlsdictiQn or any Department or Agency of the *united

~ddillon, Ttlle 18. United ~tates Code 1001. makes It a criminal offense. States. This lndudes J.
any statement ' .
made herein. which iS knowingly .
punishable by a maximum of five (5) years Imprisonment, $15,000 fine Incurred, Incomplete or misleading In any important particular. ..
PROVISIONS

1. This report Is authorized by the Secretary of Defense, as Executive 2. llVhen this report is submitted in confidence and Is so marked, Agent for the National lndusliial Security Pr9gram, pursuant to Executive applicable exemptions to the Freedom or Information Act will .be*

Order 12829. llVhlle you are not required to respond, your ellgiblllty for a Invoked to withhold It from public disclosure.
facility ~curlty r;fearance caMol be determined if you do not complete this form. The retention of a fa.dilly security ciearance Is co11tlngent 1Jpon an on

3. Complete questions this form. Mark "Yes" or "No" for each your compliance with the requirements of DoO .5220.22-M for submission question, If your ans\iiter is "Yes* furnish In full. the complete of a re~ed ~rm as approp~ate. Information un~er "Remarks."

QUESTIONS AND ANSWERS

1. (An5wer 1a. or 1b.J ** YES NO

a. (For enlibes which issue stock): Do any foreign person(s), directly or Indirectly, own .or have beneficial ownership of 5 percent or more of the' outstanding sh8res of any class of your organization's equl~ securities? *

b. (For elitilies which do not Issue stock)~* Has any foreign per5on Qirectly or Indirectly subscribed 5 percent or more of your x

Qrganlzatlon's total capital commitment?

2. Does your organimilon directly, or lndlreclly tnrough your subsidiaries and/or alliliate5, own 10*percent or more of any foreign Interest? ' * *

x 3, .Do any non~U.S. ;;ltlzeris serve as membeni of your organization's board of director..i (or similar governing body), olfrcers, execuliw personnel, general partners, regents, trustees or senior managem1mt officials? x

4. Does any* foreign person(s) have the power, direct or lndli:ect, to control the election, appointment, or IElflure of member!i of your organl;zatlon's boafd of directors (or similar governing body) or other management posllions of your.organization, or have the pOW!!f lo control or ~use the direction of other decisions or actlvl,ileS Of your organization? . x

5. Does your organizalion*have any contracts; agreements, understandings, or arrangements with a foreign person(s)?

. ' " ' x

6. Does yout organrzauon, whether as borro\ver, surety, guarantor or otherwise have any indebtedness, liablUUes or obligations to a foreign person(s)?. . . ** * * , * * .*

x

1. ounl\g your last fiscal year, did your organization derive:

a. 5 percent or more of its.,total revenµes or net income from any single foreign person?

x
.b. In the aggregate 30 percent or more lfits revenues or net Income from foreign persons? x

8. Is 1opercent or more of any class of your organization's 'liotlng securities held in "nominee" shares, In "Street names* or In some other method which does not Identify the'beneliclal ow11er? , . .. . x

9. Do any of the meinberi> of your organlza~n*s board of directors (or similar governing body), officers, executive personnel, ; * * ;

general partners, regents. trustees or senior management officials hold *any positions with or senle as consultants. for, any ' \'
foreign persoi'l(s)? * '..
r . ;*>< <*.
.: . *~ ,,_. '

10. Is there any other facfor(s) that Indicate$ or demonstrates a capability OR the part of foreign pers!JOS lo .control or lnftu~ce the operations or management or your organization? * . . l

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STANDARD FORM 328 (Revised 6/2008) PREVIOUS EDITIQN IS OBSOLETE. ,; " N
REMARKS (Attach additional sheets, if necessal}', for a full detailed statement.)
See Supplemental. Attachment 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:
DavidR. Hill (Typed Name of Contractor)
Executive Vice Pre.sl~ent & General Counsel NOTE: In case of a corporation, a witness is not requ/Jed but the . ..rte of Authorized Contractor Reprasentative) certificate below must be completed. Type or print names under ell slgnaturas. . 211 Carnegie Center, Princeton, New Jersey 08540 (Address)
NOTE: Contractor, if a corporation, should cause the foUow/ng certificate to be executed under its COIJJOrate seal, provided that the same oflietlr shall not execuie }joth the Agraement and the Certificate. ; .
CERTIFICATE

1. _ _ _ _ _ _ _ _ B_ri_an_c_u_rc_I_ _ _ _ _ _ _.* certify that tam the _ _ _ _c_o....;;rp_o_ra_t_e_s_e_c_re_ta_ry..___ __

of the corporation named as Contractor herein; that _ _ _ _ _ _ _ _ _ _ _o_.a_v_ld_R_._H_il_l- - - - - - - - - -
who signed this certificate on behalf of the Contractor, was then Execu.<<ve Vice President & General Counsel ofsai<:teorporation: that said certificate was d~jy signed for and .in behalf of saTd corporation by authority of its governing body, and is withfn the scope of its corporate powers.
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STANDARD FORM 328 (BACK) (Revised 6/2008)
NOC-AE-16003330 Enclosure 4 Enclosure 4 Supplemental Information for Certificate Pertaining to Foreign Interests (Supplemental Information (6 pages+ Attachments)
Attachment 1 (3 pages)
Attachment 2 (5 pages)
Attachment 3A (24 pages)
Attachment 38 (2 pages)
Attachment 4A (9 pages)
NRG Energy, Inc., Texas Genco Holdings, Inc., Texas Genco GP, LLC, and NRG South Texas Supplemental Information for Certificate Pertaining to Foreign Interests SF328 January 18, 2016 1 of6
Supplemental Information for Certificate Pertaining to Foreign Interests For NRG Energy, Inc., Texas Genco Holdings, Inc., Texas Genco GP, LLC, and NRG South Texas 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 January 15, 2016, by name, country, and percentage owned or units held.
In addition, Attachment 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 Executive Officer, is a citizen of Mexico and a citizen of the United States.
Glen Mackey, NRG's Chief Risk Officer, is a citizen of Canada, and is a resident alien of the United States.
Gaetan Frotte, NRG's Treasurer, is a citizen of Prance and a citizen 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.
2 of6
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 gross income. The largest source of revenue and income from any single foreign country was the company's operations in Australia, which represent approximately 0.04% of operating revenue and gross income (December 31, 2014).
NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 11.14% 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. Current funding now exceeds $500 million. TANE is funding ongoing license activities.
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 $19.5 billion, with approximately $8.1 billion held pursuant to the terms of a Credit Agreement (approx. $2.0 billion) and Indenture (approximately $6.2 billion) described in further detail below. The remaining debt includes project level financings. Overall, NRG Energy's debt is held by more than 500 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 19%
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.
3 of6
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 oflenders as of January 14, 2016 is provided as Attachment 3A and 3B. Attachment 3A 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 and an Indenture, dated as of April 4, 2014, 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 Indentures, 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 January 2016 is provided as Attachment 4A.
In addition, an NRG Energy subsidiary plans to develop carbon capture facilities that may prolong the life ofNRG's coal fleet and convert NRG's carbon emissions from a liability to a productive asset. To that end, in July 2014, NRG Energy formed a joint venture with JX Nippon Oil & Gas Exploration Corporation (JX Nippon), to build and operate the Petra Nova Carbon Capture Project, or the Petra Nova Project.
The Petra Nova Project is being financed by: (i) up to $167 million from a U.S. DOE CCPI grant, (ii) $250 million in loans provided by the Japan Bank for International Cooperation and Mizuho Bank, Ltd., and (iii) approximately $300 million in equity contributions from each of the Company and JX Nippon. The joint venture also owns a 50% equity interest in Texas Coastal Ventures, LLC, which holds working interests in the West Ranch oil field in Jackson County, Texas.
In addition, Petra Nova Parish Holdings LLC entered into two credit facilities, or the Petra Nova Parish Credit Agreements, to fund the cost of construction of the CCF at the W.A. Parish facility. The Petra Nova Parish Credit Agreements are comprised of a $75 4 of6
million Nippon Export and Investment Insurance, or NEXI, covered loan and a $17 5 million Japan Bank for International Cooperation, or JBIC, facility.
NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 11.14% 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. Current funding now exceeds $500 million. TANE is funding ongoing license activities.
Because the efforts at the South Texas Project involve controlled nuclear information, NINA has entered into contractual arrangements and obtained additional assurances in order to ensure compliance with the applicable export control requirements in 10 CFR Part 810.
Question 7:
During your last fiscal year, did your organization derive:

a. 5% or more of its total revenues or net income from any single foreign person.

No.

b. In the aggregate 30% or more of its revenues or net income from foreign persons?

No.
Question 8:
Is 10% or more of your organization's securities held in "nominee shares," in "street names" or in some other method which does not disclose the beneficial owner?
Yes. Hotchkis & Wiley Capital Management is an institutional investor that has disclosed holding 10% or more of the voting share. No investor has attempted to, or has exerted any control or influence over, appointments to management positions or influenced the policies of NRG Energy.
5 of6
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 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.

Question 10:
Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influence the operations or management of your organization?
No.
6 of6
Attachment 1 Page 1 of 3 Gladstone Power Station Joint Venture Australia Sunshine State Power (No. 2) B.V. Netherlands 17.50 Sunshine State Power B.V. Netherlands 20.00 NRG Gladstone Operating Services Pty Ltd Australia NRG Victoria I Ply Ltd Australia 100.00 NRG Victoria I Pty Ltd Australia NRCenerating International B.V. Netherlands 100.00 Mirant (Bermuda), Ltd. Bermuda GenOn Energy Services, LLC US (Delaware) 100.00 Mirant AP Investments Limited British Virgin Islands Mirant Asia-Pacific Ventures, LLC US (Delaware) 100.00 Sunora Energy International Ltd British Virgin Islands Sunora Energy Construction Holdings LLC US (Delaware) 100.00 Midwest Generation Holdings Limited Cayman Islands Mission Midwest Coal, LLC US (Delaware) 100.00 Goal Zero Europe GmbH Germany Goal Zero LLC US (Delaware) 100.00 NRG First Power Limited Guernsey Caresale Services Limited United Kingdom 65.00 Maplekey UK Limited United Kingdom 35.00 Mirant Asia-Pacific Construction (Hong Kong) Limited Hong Kong Mirant AP Investments Limited British Virgin Islands 100.00 NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg NRCenerating International B.V. Netherlands 100.00 NRCenerating Luxembourg (No. 2) S.a.r.I. Luxembourg NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg 100.00 Beheer-en Beleggingsmaatschappij Plogema B.V. Netherlands Mission Energy Holdings International, LLC US (Delaware) 100.00 MEC Esenyurt B.V. Netherlands Beheer-en Beleggingsmaatschappij Plogema B.V. Netherlands 100.00 MEG San Pascual B.V. Netherlands Mission Energy Holdings International, LLC US (Delaware) 100.00 NRCenerating International B.V. Netherlands NRG International LLC US (Delaware) 41.67 San Pascual Cogeneration Company International B.V. Netherlands MEG San Pascual B.V. Netherlands 50.00 Sunshine State Power (No. 2) B.V. Netherlands NRCenerating International B.V. Netherlands 100.00 Sunshine State Power B.V. Netherlands NRCenerating International B.V. Netherlands 100.00 3279405 Nova Scotia Company Nova Scotia NRG ULC Parent, Inc. US (Delaware) 100.00 3283764 Nova Scotia Company Nova Scotia Solar Pure Energies ULC Nova Scotia 100.00 Pure Energies Group ULC Nova Scotia 3279405 Nova Scotia Company Nova Scotia 100.00 Solar Pure Energies ULC Nova Scotia Pure Energies Group ULC Nova Scotia 100.00 2332174 Ontario Inc. Ontario Solar Pure Energies ULC Nova Scotia 50.00 7644868 Canada Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 7711565 Canada Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 7549709 Canada Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 Pure Energies Solar Services Inc. Ontario Solar Pure Energies ULC Nova Scotia 100.00 Mirant (Navotas II) Corporation Philippines Mirant AP Investments Limited British Virgin Islands 100.00 Mirant Navotas Corporation Philippines Mirant AP Investments Limited British Virgin Islands 100.00 Energy Efficient Engineering International (Pty) Ltd Republic of South Africa NRG Renew Investments (PTY) Ltd. Republic of South Africa 100.00
Attachment 1 Page 2 of 3 EXKF (Pty) Ltd Republic of South Africa NRG Renew Africa (Pty) Ltd Republic of South Africa 100.00 NRG Renew Africa (Pty) Ltd Republic of South Africa NRCenerating International B.V. Netherlands 100.00 NRG Renew Investments (Pty) Ltd. Republic of South Africa NRG Renew Africa (Pty) Ltd Republic of South Africa 100.00 NRG Renew Management and Finance (Ply) Ltd. Republic of South Africa NRG Renew Africa (Pty) Ltd Republic of South Africa 100.00 NRG Renew SPV Eight (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Eighteen (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Eleven Ply Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Fifteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Five (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Four (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Fourteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Nine (Ply) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Nineteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV One (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Seven (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Seventeen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Six (Pty) Ltd Republic of South Africa NRG Renew Investments (Ply) Ltd. Republic of South Africa 100.00 NRG Renew SPV Sixteen (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Ten (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Thirteen (Ply) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Three (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Twelve (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Twenty (Pty) Ltd Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRG Renew SPV Two (Pty) Ud Republic of South Africa NRG Renew Investments (Pty) Ltd. Republic of South Africa 100.00 NRCenerating German Holdings GmbH Switzerland NRCenerating Luxembourg (No. 1) S.a.r.I. Luxembourg 100.00 Doga Enerji Uretim Sanayi ve Ticaret Limited Sirketi Turkey MEC Esenyurt B.V. Netherlands 80.00 Doga lsi Salis Hizmetleri Ticaret Limited Sirketi Turkey MEC Esenyurt B.V. Netherlands 100.00 Doga lsletme ve Bakim Ticaret Limited Sirketi Turkey MEC Esenyurt B.V. Netherlands 80.00 Caresale Services Limited United Kingdom Mission Energy Holdings International, LLC US (Delaware) 49.00 NRG First Power Holdings I United Kingdom 51.00 EME Finance UK Limited United Kingdom Mission Energy Holdings International, LLC US (Delaware) 100.00 Maplekey Holdings Limited United Kingdom Mission Energy Holdings International, LLC US (Delaware) 100.00 Maplekey UK Finance Limited United Kingdom NRG First Power Holdings II United Kingdom 100.00
Attachment 1 Page 3 of3 Maplekey UK Limited United Kingdom Maplekey UK Finance Limited United Kingdom 100.00 NRG First Power Holdings I United Kingdom NRG First Power Holdings II United Kingdom 100.00 NRG First Power Holdings II United Kingdom Mission Energy Holdings International, LLC US (Delay..iare) 100.00
Attachment 2 Page 1of5 Gladstone Power Station Joint Venture Alvarado, Michael Management Committee Member Mclaughlin, Michael Management Commmittee Member (alternate)
NRG Gladstone Operating Services Pty Ltd Alvarado, Michael Director Lewis, Stephen Director NRG Victoria I Ply Ltd Alvarado, Michael Director Lewis, Stephen Director Mirant (Bermuda), Ltd.*
Mirant AP Investments Limited Mackey, Glen E. Director Sunora Energy International Ltd*
Midwest Generation Holdings Limited Mackey, Glen E. Director Goal Zero Europe GmbH Harmon, William Director Killinger, Elizabeth R. Director Olson, Rick Director NRG First Power Limited Curci, Brian Director Keane, Daniel M. Director Mirant Asia-Pacific Construction (Hong Kong) Limited Curci, Brian Director Mackey, Glen E. Director NRCenerating Luxembourg (No. 1) S.a.r.I. NRCenerating International B.V. Director NRCenerating Luxembourg (No. 2) S.a.r.I. NRCenerating International B.V. Director Beheer-en Beleggingsmaatschappij Plogema B.V. Alvarado, Michael Director MEG Esenyurt B.V. Alvarado, Michael Director A MEG San Pascual B.V. Alvarado, Michael Director A NRCenerating International B.V. Malcarney, Kevin P. Director San Pascual Cogeneration Company International 8.V. Curci, Brian Director A Sunshine State Power (No. 2) B.V. Alvarado, Michael Director 8 Malcarney, Kevin P. Director B Sunshine State Power 8.V. Alvarado, Michael Director 8 Malcarney, Kevin P. Director B 3279405 Nova Scotia Company** Malcarney, Kevin P. Director/Secretary Pegler, Kelcy Jr. President Sotos, Christopher S. Vice President 3283764 Nova Scotia Company Malcarney, Kevin P. Secretary Pegler, Kelcy Jr. President Sotos, Christopher S. Vice President Malcarney, Kevin P. Director
Attachment 2 Page 2 of 5 Pure Energies Group ULC Malcarney, Kevin P. Director Surapaneni, Prakash Director Young, Robert Director Delsante, Lisa M. Secretary Mason, Richard Vice President Pegler, Kelcy Jr. President Plotkin, Chad Senior Vice President and Treasurer Scott, Hugh Senior Vice President Son, Scott Vice President Solar Pure Energies ULC Malcarney, Kevin P. Director Surapaneni, Prakash Director Young, Robert Director Delsante, Lisa M. Secretary Mason, Richard Vice President Pegler, Kelcy Jr. President Plotkin, Chad Senior Vice President and Treasurer Scott, Hugh Senior Vice President Son, Scott Vice President 2332174 Ontario Inc.*
7549709 Canada Inc.** Delsante, Lisa M. Secretary Frotte, Gaelan Vice President & Treasurer Mason, Richard Vice President Pegler, Kelcy Jr. President Scott, Hugh Senior Vice President Son, Scott Vice President 7644868 Canada Inc.** Delsante, Lisa M. Secretary Frotte, Gaetan Vice President & Treasurer Mason, Richard Vice President Pegler, Kelcy Jr. President Scott, Hugh Senior Vice President Son, Scott Vice President 7711565 Canada Inc.** Delsante, Lisa M. Secretary Frotte, Gaetan Vice President & Treasurer Mason, Richard Vice President Pegler, Kelcy Jr. President Scott, Hugh Senior Vice President
Attachment 2 Page 3 of 5 Son, Scott Vice President Pure Energies Solar Services Inc.** Young, Robert Director (Canadian)
Chong, Jason Assistant Treasurer Delsante, Lisa M. Secretary Mason, Richard Vice President Pegler, Kelcy Jr. President Plotkin, Chad Senior Vice President Scott, Hugh Vice President Mirant (Navotas 11) Corporation Curci, Brian Director Mackey, Glen E. Director (Chairman of the Board)/President Mirant Navotas Corporation Curci, Brian Director Mackey, Glen E. Director (Chairman of the Board)/President Energy Efficient Engineering International (Pty) Ltd Petrarolo, Dino Director Pattison, Grant Michael Director EXKF (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew Africa (Pty) Ltd Cornelius, Craig Director Pattison, Grant Michael Director NRG Renew Investments (Pty) Ltd. Cornelius, Craig Director Pattison, Grant Michael Director NRG Renew Management and Finance (Ply) Ltd. Cornelius, Craig Director Pattison, Grant Michael Director NRG Renew SPV Eight (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Eighteen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Eleven (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Fifteen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Five (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Four (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Fourteen (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director
Attachment 2 Page 4 of 5 NRG Renew SPV Nine (Pty) Ltd NRG Renew SPV Nineteen (Pty) Ltd Pattison, Grant Michael Petrarolo, Dino Buchanan, Margo Juliet Pattison, Grant Michael i~-
Director Director Director Director NRG Renew SPV One (Ply) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Seven (Ply) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Seventeen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Six (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Sixteen (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Ten (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Thirteen (Ply) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Three (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Twelve (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRG Renew SPV Twenty (Pty) Ltd Buchanan, Margo Juliet Director Pattison, Grant Michael Director NRG Renew SPV Two (Pty) Ltd Pattison, Grant Michael Director Petrarolo, Dino Director NRCenerating German Holdings GmbH Malcarney, Kevin P. Director Doga Enerji Uretim Sanayi ve Ticaret Limited Sirketi Alvarado, Michael Director Curci, Brian Director Oliver, Clifford Director Doga lsi Salis Hizmetleri Ticaret Limited Sirketi Alvarado, Michael Director Curci, Brian Director Oliver, Clifford Director Doga lsletme ve Bakim Ticaret Limited Sirketi Alvarado, Michael Director Curci, Brian Director Oliver, Clifford Director
Attachment 2 Page 5 of 5 Pf'.,~:~;t'.:,"f;;rp/.~F:-"'*~~;;-?~. 7~"'7,:. ~'71'K~>r*;:;~=~~~<.:>>~l.,...,,' ~*:.i:>~ ~::~~..~~~~"'*1"'-"7;;~~-:
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Caresale Services Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director EME Finance UK Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director Maplekey Holdings Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director Maplekey UK Finance Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director Maplekey UK Limited Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director NRG First Power Holdings I Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director NRG First Power Holdings II Curci, Brian Director Keane, Daniel M. Director Mackey, Glen E. Director

NRG Energy acquired these companies and assignment of personnel to each of these entities is pending.

NRG Management personnel pending approval.

Attachment 3A Page 1of24
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Attachment 3A Page 3 of 24 HOUSE (iou'n:l CHU~CH ST MICHAEl.:,f'.JiENETI"E@USBANK.C.O
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Attachment 3A Page 5 of 24
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SQUTH PHL)~CH.STREET NOTICES,REGAtrAFUNDJNG@Vl Fl i osoo1i . REGATTA FlJNDlNG L1'D
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15 FORT STREET GEORGE IOWN SLATER MJLL LOAN 28758:!' SLATER l.ilLL LOAN FUND LP KY*KY tt1()S 1 ,OC500 F.UNDL.P 0000000000 ' 8552734763 SI.ATER..MILL§USBANK.COM USO o:'\5 2;98'i.,654.7~ 2.984,654.n -0.0IJ 2.984:654,7' HO\,JSE SOUTH CHURCH STREET 267983 .DRYDEN XX.Iii SENIOR LOAN FUND GEORGETOWN 1 bcsoo MICHAEL LUEHRING iJ128278662. 2144616486, 1214461ll4!16@TLS.LDSPROO.COM USO cua . ;1,415;863.6< 3.475,883.6< a.ml. 3.475;863.~
Attachment 3A Page 10 of 24 r
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$QUTH CHl.JRC!i.STREE! NEUBERGER,BERMAN.Cl01!tNO'rl 2!'18!141!. NWEEROER BERMAN CL.O :XII l ID .* GEORGE.TOWN l . ocsoo . cHARlOTTEJIN. 3123326995 !16sn'64!Ma CES@USSAf.Jl<~COM ' usu *o.os 9$4,s10.1< . !le.4:,a'lo.1* o.oo .9<14.810. i2 '
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~¢k.~:~~s:; 190 ELGIN A'VENll!= I 007295 RACE POINT VI! CLO LIMITED KY*l<Y 19002' 1

6Cii RACE POINT VU. CLO 00000000000 l'.659419228 RACE.PblNT. '/ll@!JSBANK,COM USO .,0;20' .1;a10,300..ao 3.670 ,'3cr.! .BC . Cl,00 . a.aro:aa:uc

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Attachment 3A Page 11 of 24 Cl'\YMA~ l.,!MITED 190 ELGIN AV!= ST!'PHANtE:SMlTH@Wl:tl:SFAAGO 318248 .CF!?ct02013 i LTD . ioEORGE:ToWN 1 _OC1 STEPHANIE SMl:rrl 4108542344 7047152:!15" ,COi.i USO .Q.i2 2.402,74S.'Zll 2,402149.2~ 0.00. 2,402,749.2!:
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GRAND CAYMAN tl.6_
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VANCO\NER 319514 ARCH!;$ FUNDING ULC CA.YISE4N7" 1 ocoi AURELIA BOSTAf/ 4169SJ6345 l!Q26a04271' tii026c0427*1@TLS.LDSPROO.COl.IJ USO o.is 6'.61a;1ss.ao i3,870.7B5.l!C 0.00 ..0.870.7il5.BC
.Investor /ladress: 190 El.GIN AYeNUE l GE<OR(3E'TOWN 31!ll;j.g - AACE POINT VtlJ CLO :UMITEO* KY*KY19oos .... .1 0Cf2 .... - .. DAVID GAi.LiE. <t1<Z':J4a3oa 4698287765; - 1469S287185@TLS.LQSPROO.C'"-t USO . 'O.a"O * *s.a20,1110.~ - .. s.sw, 100.lle .o.oo' : .5.8:10;i 90~'3!
PLUS FUND JPY HEOOE A SERIES HOUSE66FORTSTREET TRUST OF MUlTI Mt\NAGER GLOBAL GEORGE.TOWN. eANi)LOAN, 31971'.15 l~IYESTMENT TRUST KY*l<Y 1.ifoo 1 6c01 ACCOUNTING 9499323005 6 i 73105722.

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lllOTICES.MOUNTAl~J.HAWK.CLO@i 31l!Sl:!B MOUNTAIN HAWK! CLO LIO GEORGE 10WN - . 1: . oc12:. AGENT NOTICES nmmoocoaail B556uiJ3Sl8, . USSAN!<.COM USO ri.n8 i;1l62,B41.s7 1 ,6S2 ,64 Ul7 a.co t,ss2.e:4uj ln\rel;iill Adilreas: 190. ELGIN AVENUE AAA.i;>'W?OiNTCLO 20t;l 1 LTD* (FK'.i, Af:J GE6ME.1'9WN CH!ilSTbPHER 321265 CL02Ql3'1 LTD) KY*KY 19005 1 OC1J CHLUM.SKY 0000000000

TC4715J464 USO :r.i~1il 1;947;461,93 l,9.4'i.46Ul.': . O.OtJ Ul47.~G1.~

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SOUTH CHURCH STREET 330059 E!llJEMOlJNTAIN.cLO 2Q13 2 LTO* .GEORGE TOWN l octz -* SARAH PRUCH~ 7Cl483&106 . 4'69S<a7n3 _ 1413962Btm@iLS.LOSPROO.COM USO .. - :0..i.O. 1, !145.000.00 - i.945,000, oc ... 0,C{) I i ,945, 000.0C HOUSE 33005z BABSON CLO LTO 2013 i SOUTH CHURCH STREET GEORGETOWN 1 ocar cAITl.lN FARREN '61'76629760 G173lOS740 SASSON-5740@STATESTRE:ET.COM USO -
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HOUSE SOUTKCHURCHSTREET NEUBERGER,BERMAN.CL..014.NOTi 332272 NEUBERGER BERMAN Cl,O Xl\fLTO GIOORGETOWN l OC12 AMIEE COOPER 3123327021 65522Ss507 CES@USBANKJ:;QM USO IJ.01 1,43!;,334 .75 1.;435',334.7i a,oo, 1)135,334,7!
HOUSE s61,1tH CHURCH STREET 33272() A?lOOS CLO XII GEORGETOWN 1 OC1 SARAH PRUCHA 7134836106 4591.!287.799 - 1498287799@TLS.LOSPROO.cm.t USO 0.12 2:339,fsS.98 2.339:165.9(! O.O<l 2,339, 165.9!
CRlC!<ET SQUARE -.-
l;lA.L.CYON lOAfl ADVISORS FUNDING GEORGETOWN HA!.CYON,LOANAOVISOR~.2013, 1 33:l082 20131.LTD KV-KY.1.1102 t OC12 CHEVELLE GANDSEY. 312332103-l" !!552107821) @USBANK.COM USO O".i!i 2;866.443.75 Z,866 .44(\ .7! O.O<l 2.856.443. n fiOUl>E SOUTH CHURCH"

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HOUSE FLATIRON CLO 20141. LTD (FKA) So0T1-i CHURCH STREET STRUCTURED
~34%4 FLATIRON CLO 2613 2 LTD GEORGETOWN 1 OCi CREDIT SERVICES. 71.;;2476551 6026804253 CLOADMiNtSTRATION@D!l.COM USO 0.05 .991.-0s.9c ~'t.435.0C 0,Q(l 99'l,435.9C HOUSE VOYA CLO 21>13 2 LTD (FAA ING IM CLO SOUTHCHURCH STREET 23soa.i 1ot32LTO) - GEORGETOWN 1 OC1 GJEHGJI ANGJELIU

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Attachment 3A Page 12 of 24
fjOUSE ~OUTH, cHURc!:I
~T~E:E'T .* . CLO 3~20!l . MOUNTAIN HA\M< ti CLO 'LTD* GEORGE TO\ft,lfl.I 1 OCi AoMINISTAATlON 714247ll551 .snn4so42 19721745642@TLS,L0s!"ROO.COM USO '0,00 '413,16Mt 4n,1-a2.oo a.oo "11<1.1sios
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Attachment 3A Page 18 of 24
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Attachment 3A Page 21 of 24 A.VENUE JFINCLOW.Hfl LiO (FRAJFIN NEW YORK. Mti;:;HAgt;SURNSJR@STAiESTREE 334006 cAPITAt. 2.013 LlC) us-1oo22_ 2 001 MlCl-lAEL aURNS 1>170029741 ' B173757376* T.COM

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72195 Ol'.08EGON ,US-97201 2 0011 ACCOUNTING !!499323005 8174&14757 PIMC0.ll3C4i@STATIE.STREET.COM USO 0.00 es.1s9,1;; *65.159.1~ 0,00 65.159..l

l COTTONWOOD PAR'i<mAY REGENCE BLUECROSS BlU(

SHlELD SA,LT LAKE CITY BANK LOAN 3722()2 OFUTAff US-84121 2 OCDD1 ACCOUNTING !!499323005 G17'1!114m PIMC0-0304S@STATESTREET.COM USO o.oo 32,57G.SE. "J2.~79.5e o.ao 32.579.513 rn~estar Address: 1il0D NINTH AVE SEATTLE aANKLONl 372207' .REGENCE BLlJESHIELO lis.9a101 2 OCi AtcollNTtNG g.!99523005 61745147~ i:>IMC0-03cM@SrATESiREET,COM USO 0.01 121,oo().3C 121.000.Sc o.oo t.27,060.3(

rnvestQr Address: 1602 21ST AVE LEWISTOfj BANKLOAfl

imua ru:::GENCE BllJESHIELD OF IDAHO US-83501 2 ocno1 ACcmJNTJNG B4993230IT5 St74fit4BOO PIMC0.03Cl43@ST ATESTREET.COM USO 0.00 .rn.547.74 19.547.1* a,oo 19;547.74 STE204 N~AA~

372701 GALLATIN CLO V12013 2 LL.C US-1!1711 2 OC1 .ANTHONY STARK

212!i019l6tl i 1431i6~Cf94 12143069094@TLS.LDSFROO.COM USO ,Q,07 1.~si;.1so.oc 1A5S.750.0c a.mi 1.455.700.0C

.DRIVE.
SENTRY INSURANCE A MUTUAL STE\ll;NS FOtm 315472 COMPANY US-54451 ::! OC1 TOMJOVIC 5300641!38;) 469511!3531 146951&3631@rLS.LDSPROO.COM USO MS 60i',73ff.90 607.735.0C o.oo. M7,7.38.9C AVENUE, SUITE 3(l!](]
SAN FRANCISCO CITY AND COUNTY SAN FRANCISCO SAN FfWJGlSCO ClJY 3'11:![)9 EMPLOYEES RETIREMENT SYSTEM US-94102 2 001 AND COUNTRY EMPL 000000000 0 *l69513!lli7'.il 14005l:le07~@ns.LOOPROO.COM USO 0,06 1, 14i!;l!46<<8i . 1, 142.z.l!i.Si o.o!l' 1,142,346.llE PORTFOLIOS INC ff PRUDENTIAL THRSE Sl-lOl'lTOURA110N MULTf SECiOR iOO MULBERRY STREET JOSEPH JOSEPH.lEMA.1-!0WICZ@PRUDENTI 384322 SONOFIJNO NEiNARK 2 OC01 LEMANOW1CZ 9738()26$.16 973367<104 7 .... L.COM USO O.D:l 4$9,924.43 469,9Z4.4' O.oo *4.69.924.4~
lnVestdr Address~ 290 V/OODCUFf DR MANN!NG ANO NAPIER FUND lNG HIGH FAIRPORT MFOPERATICNS@MANN1NG'-
384983 VIELO SOND SERIES US-14450 2 oc2.1 AGENT NOTICES O!lCOOallOIJO oaeoailooou NAPIER.COM: . . USO b.15. 2.!!29.45925 2.929'.4sli2i a.ml 2.929,459.:1.G
Attachment 3A Page 23 of 24

?TfiEE:T FIRs'l".ENERG'r'.SYSTEM MASTER Al<RCN. PORTFOUO

?e6S43 . RETIREMENTTRUST US,44308*, 2 OC01 OPERATIONS 0000000000 46!13319255 14003319255@TLS.LOPROO, COM usu o.o~ 1,709,665.87 ' i..7Qa:.665. S7 o.oo 1,708,665.!17
- .,. ~ - ..
AVENUE'19TH l'LOO~
JF.IN ci:.6201SLfo (FKA)JFIN f'ui-io iv NEW.YORK ' jEFFERl!'S~: _ .
silab91. 2014'LI.c* uS:-ioo22

2 OC01 MICHAEL BuRNS 5li'0029741 - 61'73600s2j, OS23@STATl:STREET,COM USO *o:fa *:2.il3l.5so.a1.. 2,631 ,5s6:al (l.Q(I 2.S31.SSO.B1 FlNANClAL CENTER

~
BtACKsTONE GSO SENIOR LOAN* .1 LINCOLN STREET 3llH2llll POi<ii=.ouo "
imSltlN 2 OC01 Mtt:Hll.fL t:AfillllA ll1 IB!l:!Yl-31 r:>r1.:mio.rnru Ul:lU .u.!lrJ . b;Yl4AlVl600.104789 ' . USMNK'.COM USO 0;01 - ' 2ll4;!¥.l6.9l - ' 294,69tl.9 0.00' 2 - . -. - 294.600.91 MULTlPL_E COLLECTl\IE INV-cSThlENT STREET FUNos TRLiSTJI MULTI SECTOR SoSTON

922ai CREDIT PORTFOLIO Us.022116 2 oco1 CHRlSBASsl 9t25Bi6257 ' 4 698049600 i469864siiOO@TLS.lOSPROO

COM USO 0Jl2 ::313,986.3( 313s1as:3* 0.00 3.13see.3c PlMCD FUNDS PRIVATE ACCOUNT ~ENTER PRIVE'

'PdRTFotiO.SERll:S LOl*Kl'OURATiON SUITE 100' BANK LOAN 393328 CORPORAT1" BONO PORTFOl.1 b NEWFORTSEACH 2 "OC01 ACCOUNTiNB 9'1!l!l:i2J005 1Hf330C&24 ' PIMCO.PPAS@STATESTREET.COM IJSO . o.57. ,tl.167.ill:!JJ! 11.161,ilta!l< ' -- o.oo ,11J 5(,913.si '
ln~cr Adllress: 100 Bl'.Y:RRQ BAYER CORPORATION DEFINED PITTSBUR~H .. BANKLO.ill>l 393466 BENEFIT MASTERl'RUST US.15:!05 2 OC01 ACCOUNTING 9499JZaOOS 511:3:ioaan

l?IMC0-07002@STATESTREET.COJ\I USO -O.(l;). 167,669.9.:: ' 167.aoil-.9 0,00 161JJos.S~

PAAKWAY410 " " '"' " ,.. -- - ..
'JH!; V~lfjl;iLE;AflNUllY lll-c Hl,lU:OlUN 397134 JNSURAfJCE COMPANY US-71019 :! OC01 'iOMilOVlC (;30084638 9 ~.6.9.3311300!1' 1469331o058@TLS,LOSPROO.COM IJSO, a.no 58.017~45' _Aa,011.~e O.M 45,017.45 STREET MILWAUl{EE l

95799 MM HIMCO SHORT OURAl'.lON

FUND US-53233. - . 2 ' dco1 " AGENT NOTICES . . OOCOOOOoliG 2149835Bll5* UM8FS-FATEAMJENNl@UM8.COM USO . " O.Gi .104;402.9<: ... 1-04.;462;9' 0.00 :104AS2.92 DTE ENERG_Y COMP'AN'( AFFILll\TES 1nv~tQr ,Aqdress;.ONE Ef"ERGY P.LAZA EMPLOYEE BE,NEflT PLANS MASTER DETROlT

39s1so TRUST US.4S226' 2 OC01 AGENT No Tl CES !:14993iJ005 6173303727 PIMCcNl2953@STATESTREET.COM USO 0.02 .;ioa.24s;iS 409,245.31: o.oo *409,245.~~

PA,lilKWAY MOUNTAIN Vlr::#
39!!525 G'OOG!t.E:INc US-94043 2

CCOf AG!ONT NOTIC!e:S 6116!i29252 M18S81S'i3 12a1S!.>81513@iLS.LflSPROb.COM USO -.;(i:f2 2.:reo. wa.3s 2,~B0:798;~ o.oo :!,2BO,'i'9S.3~

investor Addfl!S$l 7'1,! HIGH si:REET PGIT ULTRA SHORT ENHANCED '(ll:lD DESMOIN!!S Dl:.GAMINVACCTE!A~LOAN@EXCH 4D15B6 FUND US.511392 2 0C01 AGENT NOTICES 5152475245 n29925400* A.NGE,PRINClf'l'\L,COM USO 0,lll 151,85305 lSt,~S;J. rn; Q,00 16l,BS3,11" LlCJHT WO cL...RENtl6Ns STREET fl 4 i
','; 4oi32a SANKATV SENIOR LOAN FUND SRf LP BOsTON . . 2

oc111 RENEE MERTZ 412234&26{! il171Ga323:> 18177663233@TLS.LOSFROO.COM USO .0.06 ".1,082;799:3'! t ,OB2.799.3'1 0.00 'f.o~.100.~

STREET'* . ;
GREENFIELO 405480 VJRTUS SiRATEGfC INCOME FUtlO US.V1301 2 OC01 P.l,!Y KEITH aso7eoss1s a\73453785: , at73:4537as@rLS.LOSPROD.coM USO orij i 19,3a6.1G i19,38S.1S 0.0(1 119.386.ts STREET 9';NTURYUNX INC DEFINED BENEFIT S41TE3SOO B'ANKLOAN 407039 MASTER TRUST DENVER 18THFLOOR

OCC01 ACCOUNTING 94993230051 El l73:i0Jll01> PJMC0--06I,13-§ST ATESTREET,COM USO o.tl2. 312.52S.8d . '312.525.8~ 0,Q(J 312.525.84 QOMMERCE ANO INP.USTRY Ni;JNYORK

{07080 INSi.JRANCE COMPANY US-10038 2 oc-01 TOMJOViC 630684SS69.
21~68SS* 1i14307S885@lTLS1DSPROD.COi.l USO O.C-0 60.540-4~ iio.540.44 QOO 60.540.44 PAfl'Jf;V'/AY THliHJNITED STATES UFE INSURANCE HOUSTON
'411046 COMPANY IN THE CITY OF NEW YORI< US-tro19 a OCIJ1 TOMJO\IJC 6300848389 4693316057. 1469331!l057@iLS.LDSPROOi:C!M USO a.oil 'J'f .ll)D.52 *a7,a10.o< a.no .:iw1u.52 STREET FIRSTENERGV'SYS1'EM'MAS'l'rn AKRON BANXLOAN 412156 RETIREMENT TRUST 'us.M:iila ;! *OCriCl1 ACCOUNTING g499Jzj()os 6173303676 PIMCO-il1S24@STATESTREET.COl'.I USO .-O.Dl 150,~7~.J~ i50.a1s.14 a.w *1 so.s1s.14 STREET ... . "
RUSH UNl\lcRSITYMEOICAL CENTER sUITE200 8,6.Nl<;_lOAN 412217 MASTER RETIREMENT TRUST ClilCAGO 2 OC001 ACCOUNTtNG 9499323005 Gl7S30_38li' f'IMCo.-0627.l@ST ATESiREET.CQl<,\ USO O.tll :294; 155-.ii 294.1.55.64 Q,Q(j' 294,IS5.64 75 FORT STREET' GEO~GEToWN
.4127$2 EtM*CL020141 LTD K1*KY 111(18 2 OC01 AGENT NOTICES 0000000000 ' ass592t 688 ELM.CL020!4@USBANKCOl.I USO 0.11 2. t10.-1115.'2l 2,1HJ.B15.24 O;OQ. -:?;110,615.24 PAAKWAY
'Rro TINro AMERICA MASTER SOUTH JORDAN. l:lANKlOAN 412692 RETIREMENT TRUST us.a.:bGS :? 'OCOOl ACCOUNTING !l49S323ilo5 6'1793702.47 PIMC6-078S9@STATESTREET,COM USO 0.01 t184,&n.a2 184,672.8:1 .(J,Oll 184,672.82 SWTH MiCHCLiN NORTH AMERICA INC .G:REE!*MLLE ElANKLOAN
~'i3S35 MASTEf{ RETIREMi=NTTRUST lJS-29515' :i OC01 ACCOtJNil~JG' 9499323005 5173303!114 PIMCO-D62,06@Sl'.AT£STREET,COM USO b.ol 2Jt.4;:i.Us 231;43*4'16 .a.oo 2:iL434.iS
Attachment 3A Page 24 of 24 FINANCIAL CENTER 3200PLAzAS 12143075821@00CS.lDSPROD.CO 41°381!4 s\JN,*.!.IERICA FLEXIBLE CREDITFUNO JERSEY CITY 2 . OC01 Al.!YkEITl-l 86071i053Hi 2.143D7E82l* M USO o.ro 64B:333;3:l 6-iS.333.~ o.oo !i48,333:~
STREET USTAXZa BANI< LONI 414653 JOHN HANCOCK PENSlON PLAN 80STON 2 0Co1 ACCOUNTING 9499323005 617946o096 PIMC0'0782.0@STA TESTREET,COM USO 0.01 192, o24:6li ;92,02<1.&e 0.00 t92.C24.ile 0633 FO 60.X 4418 ..
ATL:ANTA 41b4!l1 8flK1NG CREEK TAAUlNt; Lll.! US-:ill".lO:'L :!. UC01 JUHN IAVLUR. !U:.!!>l!ll>l~ll ~ll!Af1!:>:l\i2!l. 141JYtllbW'2t!@TL!;.L0$PRUU.l.!Ul.F usu .(].J.Jb Y\l:!,:J.'lU.!:1-1 !J!l:!,:l'l!W4 u.uu Y9:!.3M:iJJ~
ln~eslcr Address; 6621 FANNIN STREET TEXAS CHILDRENS HOSPITAL HOUSTON 418S69 l'OU~iDATION . US*770JO 2 OC02 AGENT NOTICES 9499323005 i; 17369~;;m1 PIMC0.D17JO@STATESTREET.COM USO "0.02. -444,2.89:3.l #1.269.34 0,00 444:269.34 ROAD
.SUITE 100 6,l\/o!KL9AN 419222. CoN 'NAY RETIREMENTM.A.STER TRU.ST ANN ARBOR 2 OC01 ACCOUNTING 949'3323005 6173303673 PIMCO-il1B72@ST ATE STREET ,COM USO 0.02 .l!46;265.22 346,205,22 0.00 .346.265:2<
WAY FIRST AMERICAN Tt.TlE INSUSV-.NCE ~A,NTAANA 42045 COMPANY - US.92707 2 - OC01 AGENT NOTICES .* 9499S23005 . 6l7421034il . PIMC0.0304S@S'rATESTREET.COM USO *- o.ro .. 494.9iO~!loi. .194,910.!J.<: 0.00 49:.\,910.94 lnvestarMdrei;s: 110 STAIE STREET NEW YORK STATE i::OMlfoN AlBANY 42l~lll RETiR~ENT FUND. us-12234 2 OC01 AGENT NOTICES - 0000000000 OoCOOOOOOO* 197280Si613@TLS:t0sPROO.COl..t USO 0.03 1173.269.-2~ s73,i69.2' 0.00 673.269.2~
J'>lVD CONSUMER PROGRAM 11THFlOOR BANK LOAN BLK-42.1242.- ADMINISTRAToRS INC CHICAGO 2. CC01 DP8:vlTI!ONS 2, :2!l 10635-8 . 0000000000 PRJVATENFO@BLACKRCCK.COM USO 1101 * :2!11. 750.ot Wt7_50.[)( 0.00 29t75.0.0C.
DRIVENORTI+
LIVONIA 0 423616 INVESCO SSL FUND LLC US-48152 2 OC01 TOM JOVIC 6306648389 46%133100 14G951SJ796@Tl.S.LDSFROO.COM USO *0.00 1;21s,i>1-1:7E 1.275.0.14.7E c.oo 1.i7S.tl14.7S

- lmiestor Ad<Jress: 6524.FANNIN - - -** . - .

!;;J 1..Ul<~Ht:ALll'l!;;Y!;;IEM HUUlHUN !:IAl'lKLUAN 425552 RETIREMENT PLAN US-TIOJO 2 OC01 ACCOUNTING 94gg32J00s 5173303654 _ F'IMCO-Oi459@.STATESTREEr.CCl'..I USO .0.01 1)1.1):;6.~5' 117,033.~~ 0.00 117.036.4E HOUSE
~OUTHCHURCHSTREET 426561 DR.YDEN 38 SENIOR LOAN FUND .GEORGE TOWN 2 . OC01 BRAIN SCHOU: OOCOOOC-000 84456$0i!H. . DRYDEMl8@USBANKcoM* USO l}.1:; .2~9f-4.6S.t72. 2.984,654.7~ 0.00 . 2;984,654.7~
'/'IELFARE BENEflTS Pl.AN FOR DRIVE COLLE9TJVEl Y BARGAlNED CHARLOTT BANI< LOAN 426902 El.IF'LOYEES US-28262 2 OC01 ACCOUNTING Me9323oos 61rn00702* PIMC6--0i3i!O@STATESTREET,COM USO *0.02. ..j45.482..sa 445,482.ii! O.Oll *445.4S2.So NORTHWESTERN MU.TUAL SERIES '(l/1ScONSIN AVE FUNO INC MULTT SECTOR BOND MILWAUKEE BANKLOM-1 421790 POt<Tl'OUO US-53iD2 2 ocno1 ACCOUNTll'J(; 949!1323005 6179880722 PIMC0-06232.~STA 1'E.SiREOl.COM USO O.o.I B6G,5~03 illl6,!i:l6.0C *0.0(] 856,536.0~
ALTERNATIVES FUND (FKA} WAY
'of>PE~IHEIMER OUEST FOR VALUE CENTENNIAL

128473 FUNDS FOR THE ACCOUNT OF US-80112 2 OC

Ol AGENT NOTICES 0000000000 ~ 693287827* 146962BlS:l.7@TLS.LDSPROO.COM USO 0,00 547,B51.99 Sol7;!J51.~ 0,(1(] 5*17,951,9!

Investor Addras~' 4 EASTON OVAL COLUMBUS . SAFE.AuT0.1NSURAACEC6@USsA 428660 SAFE .A.UTO INSURANCE COMPANY US-432196010 2 6C1l1 AGENT NOTICES 0000000000 8444203339

NK.COM USO .0.01 '246.086.7~ 2~3.086,7~ 0.00 2~8.ilSo. 7<

STREET .. ..
HEWLETT PACKARD COMPANY PAt.OALTO 428780 MASTER TRUST US-943!14 2 OC01 A.GENT NoTiCE.s 9499322005 5173303863* PIMC0.:06935@ST ATESTREET .COM USO 0.04 731),314.3:2 .739 ,314.'3: 0,00 7:39.31<!.3'.<
lnYestor Al!dress: 101 ASH STREET SEMPRA ENERGY DEFINED BENEFIT S,t\NOIEGQ .
428950 MASTI;R TRUST US-92101 2 OC01 AGENT NOTICES 9499n3oos e11s.;soc9a PIMC0--07697@STATESTREET,COM !JSP o.ao 87,86SA1 87.8&5.41 0.Q(i 87.865.41 UNCONSTRAINEO BOND SERIES (Fi<A) l11'i'esta1Address:290 WOODCLIFF .DR MANNING AND NAPIER FUND 1NC CORE FAIRPORT TRADEPROCESStNG@MANNlNG-430483 Pl.US BOIJD SERJES IJS-14450 :i ocoa TRADE PROCESSING 5853252215 oocoooooooo N~IERCOM USO 0:45 8.1l33,ES0-42 6,933.660.~ o.oo 8,933.60,4, Fl 28 OCM-LOS ANGELES DIONNE AUBREY NEWACCT@OAKTREEECAP!TALG 431265 OAKTREE ElF II SERIES 92 LTO US-90071 2 DC01 MCGHEE 2138306:;()6 OODOOOGOOO OM VSD 0.18 :3.n12.ci20.sa 3,512,025.6f. a.nil ;:;,s1i.026.&
SUITE1400 STATE OF HAWAII EM!>LOYEES. HONOLUW BANK LOAN 432049 RETIR~IENT~YSTEM

US*001l1::J2980. 2. OCOi AC.COUNTING 9499323005 6174210453

PIMC0.100i3@STATESTREET.C~1 USO .0.01 132.101HC 132.1os.1c a.co 132.106.7C SUITE1.tHO VIRTUS NE'NFLEET MUlTl SECTOR. NEWVORK M1148 UNCONSTRAINED BOND ETF US-10036 2 QC01 AGENT i'JOTJCES. 860i605315 9725JS.l045* 19725354045@T.LS. tOSPROO.COM USO, O.G:l 537, 237.80 537.237:8* 0.00 537237.8' P;IRKWAY WAREHOUSE FUNDING AVERY !"O!NT COLUMBUS WAREHOUSEfUrJOlt!

4'12734 VII CLOLLC 43240 2 OC01 G oocoooaooo 5443{]04523 AVERY.POINT.Vll@USBANK.COM USO *0,13 2.467,212.2~ '2.487;212.2E .. .QQO, 2,4B7,212,2E 20a Demos tic DcrnMtle 511 ;54_0,475.7~
Total 100.00 1 ;9_66,394,99~.85 1.9S6,3\;4,999,8S 0.00 *1,966,394,999:.85
Attachment 38 Page 1 of 2 fr~anche Ref No: 031BTPR13.1610003 frranche Name : NRG ENERGY RC SENIOR TOTAL LOAN TOTAL LC INVESTOR# Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE GFCID INVESTOR DETAILS OCCONTACT ENTITY NAME ENTITY PHONE # ENTITY FAX# ENTITY EMAIL CCY ASSET RATIO TOTAL COMMITMENT OUTSTANDING OUTSTANDING TOTAL OUTSTANDING Investor Address: DRONNING EUFEMIAS GATE 30 DNB BANK ASA (FKA DNB NOR BANK OSLO 059089 ASA) DNBASAUSD DNB NOR BANK ASA N01L 177325 N0-0191 1 OC0143AGY ALBERTO CACEDA 8322145807 8322145839 ALBERTO.CACEDA@DNB.NO USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 I"'.""""'"" ,.._..._.,.,..,.,.,"+£.::ii. -.,.,...,,u......... ._._....,,,,,,_
EDINBURGH THE ROYAL BANK OF SCOTLAND RBS GREENWICH SCOTLAND GBMUSOCLENDINGOPERATIONS@R 061337 GROUP PLC RBSUSD CAPITAL GB1L211398 GB1L211398 1001648132 GB- 1 OC131 LISA SHULSEN 8013126187 2038735019 BS.COM USO 4.78 120,000,000.00 0.00 52,863, 183.91 52,863, 183.91
............. -..................... .._,...., .... 1""' ,..., ..................... """.....
DUBLIN SUMITOMO MITSUI BANKING SUMITOMO MITSUI IRELAND KRISTENMYUNGHEE_LEE@SMBCGR 095191 CORPORATION 095191USD BANKING JP1L113879 IE- 1 OC01 KRISTEN LEE 2122244314 2122245197 CUP.COM USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 Foreign 3 Foreign 140,968,490.42 1111v<;;>;;io~v1 ri,yu1i;;;;;io;;io, l&..o.J r\YL... .._,, Inc. ,_,,_
10TH FL THE BANK OF TOKYO MITSUBISHI UFJ BANK OF TOKYO NEW YORK 057609 LTD ACSBTM MITSUBISHI JP1L164542 JP1L164542 JP-10020 2 OC0101AGY JAIME VELEZ 2014138586 2015212304 JVELEZ@US.MUFG.JP USO 2.35 59,000,000.00 0.00 25, 991,065.42 25,991,065.42 Investor Address: 60 WALL STREET DEUTSCHE BANK AG NEW YORK NEW YORK 057628 BRANCH MD BAG Deutsche Bank Ag DE1L156826 DE1L 156826 US-10005 2 OC0101AGY PARAMJIT SIHRA 9042712411 7323803359 PARAMJIT.SIHRA@DB.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Investor Address: 150 N COLLEGE STREET NC1 028 17 06 BANK OF AMERICA, CHARLOTTE FAIR VALUE FAIR_VALUE_OPTION_SERVICING_T 057658 BANK OF AMERICA NA 057658USD N.A. US1L009318 US1L009318 US-28255 2 OC9000AGY4 SERVICING TEAM 9803864605 7046023632 EAM@BANKOFAMERICA.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 I'"'*--*- *--*---*
11TH FLOOR BARCLAYS BANK PLC( NEW YORK NEW YORK 057661 BRANCH) VBBB BARCLAYS BANK PLC GB1L182938 GB1L182938 1008116136 GB-10265 2 OC1254 DERMOT KEENAN 3059824464 2015108101 DERMOT.KEENAN@BARCLAYS.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 1111vv;;io~v1 ""1.1u1o;;;;;io;;io. I"""' ""'v-. __ ur inc: ..... ,.,,._,.,,,...,,......,
34TH FLOOR NEW YORK, NY 057666 NATIXIS NEW YORK BRANCH ACSNBP Natixis FR1L 181185 FR1L181185 FR-10020 2 OC005 ROSLYN ADAMS 2128725177 2017616934 ROSL YN.ADAMS@US.NATIXIS.COM USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 Investor Address: 787 SEVENTH AVENUE, 32ND FL NEW YORK, NEW YORK 10019 NYK_LS_LOAN_BOOK@US.BNPPARI 057680 BNP PARIBAS (BNP PARIBAS) VUEBNP BNP PARIBAS FR1L377510 FR1L377510 FR- 2 OC1201A PATRIZIA RIZZO 5142856042 2016167918 BAS.COM USO 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 CREDIT AGRICOLE CORPORATE AND Investor Address: 1301 AVENUE OF THE AMERICAS INVESTMENT BANK(F/K/A NEW YORK 057697 CAL YON)(CALYON) CALYON CREDIT AGRICOLE FROM0001K2 FROM0001K2 1000086424 FR-10019 2 OC012 GENER DAVID 7325907751 9178495543 GENER.DAVID@CA-CIB.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Investor Address: ONE LIBERTY PLAZA ROYAL BANK OF NEW YORK LOANS 057732 ROYAL BANK OF CANADA CAPRB CANADA CA1L116960 CA1L116960 1000573112 CA-10006 2 OC0250AGY ADMINISTRATION 2124286322 2124282372 USO 4.98 125,000,000.00 0.00 55,065,816.57 55,065,816.57

* *--* -~ .............. , ........ , 01n ..........."'
TAX DEPARTMENT SUMITOMO MITSUI BANKING CORP. SUMITOMO MITSUI NEW YORK CLAIRE_KOWALSKl@SMBCGROUP.C 057738 (FKA THE SUMITOMO BANK) PSUMIT BANKING JP1L113879 JP-10172 2 OC12345 CLAIRE KOWALSKI 2017618701 2122244397 OM USO 1.00 25,000,000.00 0.00 11,013, 163.31 11,013,163.31
, ** - - * - * *--* , ....... "'tUV CALIFORNIA STREET MUFG UNION BANK NA (FKA UNION UNION BANK OF SAN FRANCISCO COMMERCIAL LOANS 057746 BANK NA) AESUBC CALIFORNIA US1L329203 US1L329203 1001359416 US-94104 2 OC0258AGY OPERATIONS 3237246198 8004469951 CLO SYND@UNIONBANK.COM USO 2.99 75,000,000.00 0.00 33,039,489.94 33,039,489.94 Investor Address: 270 PARK AVENUE JPMORGAN CHASE BANK NA (JPM JPMORGAN CHASE NEWYORK,NY 057887 CHASE) CJPMOGR BANK, N.A. US1L019291 US1L019291 US-10017 2 OC005 ASHA NANJAPPA 8066760775 2012443885 NA_CPG@JPMORGAN.COM USD 5.97 150,000,000.00 0.00 66,078,979.88 66,078,979.88

--*-* *--*---* - * * - u 1ru ....,,_1 llC.C"\

201 SOUTH MAIN STREET, 5TH FLOOR MORGAN STANLEY BANK, N.A. MORGAN STANLEY SALT LAKE CITY, UT MSLOANSERVICING@MORGANSTAN 058244 (MORGAN STANLEY) ACS MS SENIOR US1L094930 US1L094930 US-84111 2 OC101 MORGAN STANLEY 4436274355 7182332140 LEY.COM USD 4.98 125,000,000.00 0.00 55,065,816.57 55,065,816.57 DEPARTMENT MORGAN STANLEY SENIOR FUNDING MORGAN STANLEY 1633 BROADWAY,25 TH FLOOR MSLOANSERVICING@MORGANSTAN 058347 INC MSSF SENIOR US1L022337 US1L022337 1002310879 NEW YORK 2 OC015 MORGAN STANLEY 4436274355 7182332140 LEY.COM USD 0.76 19,000,000.00 0.00 8,370,004.12 8,370,004.12 Investor Address: 127 PUBLIC SQUARE KEYBANK NATIONAL ASSOCIATION CLEVELAND 058415 (KEYBANK NATL ASSOCIATION) EMKBN KEYBANK US1L035115 US1L035115 1000518979 US-44114 2 OC61013 LASHAWN DALTON 2168134819 2163706114 LASHAWN DALTON@KEYBANK.COM USD 1.39 35,000,000.00 0.00 15,418,428.64 15,418,428.64 Investor Address: 1325 AVENUE OF AMERICAS DL-NEW YORK, NYCLOANADMINISTRATION@AMERI 058782 ING CAPITAL LLC ARMING ING Capital LLC US1L102188 1005384709 US-10019 2 OC002 FRENKLIN CHRISTIAN 6464248244 6464248251 GAS.ING.COM USD 3.98 100,000,000.00 0.00 44,052,653.26 44,052,653.26 30TH FLOOR CJTIGROUP GLOBAL NEW YORK, NY 10043 060086 CITIBANK, N.A. - ORIGINATIONS STPCUSD-18 MARKETS US1L027740 DUOOOCITl3 US-10043 2 OC6900AGY ANNEMARIE PAVCO 3028946010 3028946120 AGENTNOTICE@CITl.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00
Attachment 38 Page 2 of 2 Investor Address: ELEVEN MADISON AVENUE CREDIT SUISSE AG CAYMAN ISLANDS NEW YORK, NY 10010-3629 060098 BRA NCH FREDS1 CREDIT SUISSE CH1L156797 CH1L 156797 1003008564 CH-10010 2 OC0928AGY DERRICK RAY 9199945559 8664693871 18664693871@DOCS.LDSPROD.COM USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Investor Address: 2 WORLD FINANCIAL CENTER COMMERZBANK AG, NEW YORK AND NEW YORK 060099 GRAND CAYMAN BRANCHES COMMBUSD COMMERZBANK AG DE1L 156768 1001025682 DE-10281 2 OC012345 LYLE BOOTH 2122667379 2122988111 LYLE.BOOTH@COMMERZBANK.COM USO 2.99 75,000,000.00 0.00 33,039,489.94 33,039,489.94 Investor Address: 888 EAST WALNUT STREET PASADENA 110172 CIT BANK NA (FKA) CIT BANK CITB CIT GROUP US1L027781 1001712876 US-91101 2 OC1 DEBORAH CHANDLER 4347916322 2124617855 DEBORAH.CHANDLER@CIT.COM USO 0.80 20,000,000.00 0.00 8,810,530.65 8,810,530.65 Investor Address: 200 WEST STREET TAX DEPARTMENT GOLDMAN SACHS NEW YORK, NY OPERATIONS 136202 GOLDMAN SACHS BANK USA GOLDDLC BANK USA US1L131229 US1L131229 1000753986 US-10282 2 OC17 CONTACT 0000000000 9179773966 USO 6.73 169,000,000.00 0.00 74,448,984.00 74,448,984.00 Domestic 20 Domestic 965, 193,632.86 Total 100.00 2,511,000,000.01 0.00 1,106,162, 123.28 965, 193,632.86
1/1212016 SPR Browser Output Attachment 4A Page 1 of 9 COMPANY ID: 00550873 AccouNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:30:12 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB 144A NRG ENERGY D08/20/l0 Cusip 8.250% MS20 629377BH4 Participant Quantity Quantity Participant Quantity BROWN BROS Total 1125000
1/12/2016 SPR Browser Output Attachment 4A Page 2 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:40:39 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB NRG.ENERGY INC D04/18/11 Cusip 08.2500/o SM20 629377BJO Participant Quantity Participant Quantity Participant Quantity
---~*-*--,---
AMALGAMATE 0226 NFS LLC 0443 PERSHING 0725 RAYMOND 4801 RBC DOM**
0705 SCOTTRADE
---+--*~--
2319 SSB TRUST Total 1056526000
1/12/2016 SPR Browser Output Attachment 4A Page 3 of 9 CoMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:41:23 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB NRG.ENERGY INC D11/08/11 Cusip 07.6250/o JJ18 629377BN1 Participant Quantity Participant Quantity Participant Quantity
--,~~~~----*~~--,--
485000 0715 DAVENPORT 220000 0141 FRST CLEAR 5208 GS !'NATL 0534 INT BROKER 2357 JPM BK/IA 0419 STEPHENS 0188 TD AMERITR 0642 UBS SECLLC 0062 VANGUARD 0250 WELLS FARG Total 1038646000
1/12/2016 SPR Browser Output Attachment 4A Page 4 of 9 COMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY,COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:43:01 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description CB NRG ENERGY INC Dll/15/11 Cusip 07.8750/o MN21 629377850 Participant Participant Quantity Participant r----*- 2567 AMAL BK 0756 AEIS INC.
2116 5TH-3RD BK Total 1128040000
1/1212016 SPR Browser Output Attachment 4A Page 5 of 9 COMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:43:49 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description CB NRG ENERGY INC 003/15/13 Cusip 06.6250/o MS23 629377BU5 Participant Quantity Participant Participant 0221 UBS FINAN 2027 WELLS BKNA 0250 WELLS FARG Total 916000000
1/12/2016 SPR Browser Output Attachment 4A Page 6 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN As: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:51:59 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Security De~cription GCB144A NRG ENERGY INC Cusip DOi/27/14 06.2500/o ll22 629377BV3 Participant Quantity Participant Quantity Participant Quantity THERE WAS NO POSITION FOR THIS SECURITY
1/1212016 SPR Browser Output Attachment 4A Page 7 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM Security Position .Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:52:31 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description GCB NRG .ENERGY INC Dl0/24/14 Cusip 06.2500/o JJ22 629377BW1 Participant Quantity Participant Quantity Participant Quantity Total 1090000000
1/12/2016 SPR Browser Output Attachment 4A Page 8 of 9 COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:53:14 EST Security Position Reports:* One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Security Descripti~n GCB144A NRG ENERGY INC Cusip 004/21/14 o6.250i>/o MN24 629377BX9 Participant Quantity Participant Quantity Participant Quantity THERE WAS NO POSITION FOR THIS SECURITY
1/12/2016 SPR Browser Output Attachment 4A Page 9 of 9 CoMPANV ID: 00550873 AccouNT ID: 00181661 LOGGED IN AS: BRIAN,CURCI@NRCENERGY.COM Security Position Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:54:10 EST Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 01/11/2016 Security Description CB NRG ENERGY INC 011/01/14 Cusip 06.2500/o MN24 629377BY7 Participant Quantity Participant Participant Quantity 115000 1 26364000 8000 150000 310000 1416000 125000 Total 886875000

NOC-AE-16003330, Transmittal of Information of Foreign Ownership, Control, or Influence (FOCI)

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