ML12207A221

South Texas Project, Units 1 & 2, Foreign Ownership, Control, or Influence (FOCI)

ML12207A221
Person / Time
Site:	South Texas
Issue date:	07/10/2012
From:	Murray M P South Texas
To:	Everly J K Document Control Desk, Office of Nuclear Reactor Regulation
References
NOC-AE-12002879
Download: ML12207A221 (38)

Text

Nuclear Operating Company South Texas Pro/ect Electric Generating Station PO Box2 Attachment I Contains Personally Identifiable Information

-Withhold From Public Disclosure in Accordance With 1 OCFR2.390 M9 WdsworthA Texas 77483 July 10, 2012 NOC-AE-12002879 File No.: D43.02 10 CFR 2.390 U. S. Nuclear Regulatory Commission Document Control Desk Washington, DC 20555-0001 ATTN: J. Keith Everly, Jr. (MS O-2D-15)South Texas Project Units 1 & 2 Docket Nos. STN 50-498, STN 50-499 Foreign Ownership, Control, or Influence (FOCI)

References:

1. Bernard W. Stapleton to A. Wayne Harrison, request to update Foreign Ownership, Control, or Influence documentation, dated January 24, 2011 2. A. Wayne Harrison, STP Nuclear Operating Company, to NRC Document Control Desk, "Foreign Ownership, Control, or Influence (FOCI)," dated May 19, 2011 (NOC-AE-11002657) (ML11179AO11)

3. A. Wayne Harrison, STP Nuclear Operating Company, to NRC Document Control Desk, "Foreign Ownership, Control, or Influence (FOCI)," dated September 6, 2011 (NOC-AE-1 1002713) (ML1 1256A072)In response to Reference 1 above, STP Nuclear Operating Company (STPNOC) submitted documentation of the current status of Foreign Ownership, Control, or Influence (FOCI) for STPNOC and the three owners of the South Texas Project (References 2 and 3). A supplement to the FOCI documentation for one of the three owners, NRG Energy Inc., is attached.

Also attached are the changes in the required form that identifies Owners, Officers, Directors, and Executive Personnel for STPNOC and NRG Energy Inc.The attached forms for Owners, Officers, Directors, and Executive Personnel (OODEP) contain Personally Identifiable Information.

STPNOC requests that the OODEP forms be withheld from public disclosure in accordance with 10 CFR 2.390.There are no commitments included with this submittal.

/,4oo(,, STI: 33569712/d NOC-AE-12002879 Page 2 of 3 If there are any questions, please contact Robyn Savage at (361) 972-7438.Michael P. Murray Manager, Regulatory Affairs Attachments:

1. Owners, Officers, Directors and Executive Personnel (OODEP) Form -(PII)Not for Public Disclosure

2. Certificate Pertaining to Foreign Interests 3. Supplemental Information for Certificate Pertaining to Foreign Interests NOC-AE-1 2002879 Page 3 of 3 cc: (paper copy)(electronic copy)*transmittal letter only*transmittal letter only*Regional Administrator, Region IV U. S. Nuclear Regulatory Commission 612 East Lamar Blvd., Suite 400 Arlington, Texas 76011-8064

• Balwant K. Singal Senior Project Manager U.S. Nuclear Regulatory Commission One White Flint North (MS 8B1)11555 Rockville Pike Rockville, MD 20852*Senior Resident Inspector U. S. Nuclear Regulatory Commission P. 0. Box 289, Mail Code: MN116 Wadsworth, TX 77483*C. M. Canady City of Austin Electric Utility Department 721 Barton Springs Road Austin, TX 78704*John Ragan*Catherine Callaway*Jim von Suskil NRG South Texas LP*A. H. Gutterman, Esquire Morgan, Lewis & Bockius LLP*Balwant K. Singal U. S. Nuclear Regulatory Commission

• Ed Alarcon*Kevin Polio*Richard Pena City Public Service*C. Mele City of Austin*Peter Nemeth Crain Caton & James, P.C.*Richard A. Ratliff Texas Department of State Health Services*Alice Rogers Texas Department of State Health Services cc: with all Attachments U.S. Department of Energy Office of Safeguards and Security ATTN: Peggy Jackson, FOCI Program Manager Security and Emergency Management P.O. Box 2001 Oak Ridge TN 37831 RMS with all Attachments NOC-AE-12002879 Attachment 2 Attachment 2 Certificate Pertaining to Foreign Interests (2 pages)

CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB No. 0704-0194 OMB approval expires (Type or print all answers) May 31, 2011 PLEASE DO NOT RETURN YOUR FORM TO THE ORGANIZATION IN THE PARAGRAPH BELOW. RETURN COMPLETED FORM TO YOUR RESPECTIVE COGNIZANT SECURITY OFFICE.The public reporting burden for this collection of information is estimated to average 70 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Send comments regarding this burden estimate or any other aspect of this collection of information.

including suggestions for reducing the burden, to the Department of Defense, Washington Headquarters Services, Executive Services Directorate, Information Management Division, 1155 Defense Pentagon, Washington, DC 20301-1155 (0704-0194).

Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number.PENALTY NOTICE Failure to answer all questions or any misrepresentation (by omission or or both, knowingly to make a false statement or representation to concealment, or by misleading, false or partial answers) may serve as a any Department or Agency of the United States, as to any matter basis for denial of clearance for access to classified information.

In within the jurisdiction of any Department or Agency of the United addition, Title 18, United States Code 1001, makes it a criminal offense, States. This includes any statement made herein which is knowingly punishable by a maximum of five (5) years imprisonment, $15,000 fine incorrect, incomplete or misleading in any important particular.

PROVISIONS

1. This report is authorized by the Secretary of Defense, as Executive

2. When this report is submitted in confidence and is so marked, Agent for the National Industrial Security Program, pursuant to Executive applicable exemptions to the Freedom of Information Act will be Order 12829. While you are not required to respond, your eligibility for a invoked to withhold it from public disclosure.

facility security clearance cannot be determined if you do not complete this form. The retention of a facility security clearance is contingent upon 3. Complete all questions on this form. Mark "Yes" or "No" for each your compliance with the requirements of DoD 5220.22-M for submission question.

If your answer is "Yes" furnish in full the complete of a revised form as appropriate, information under "Remarks." QUESTIONS AND ANSWERS YES NO 1. (Answer la. or lb.)a. (For entities which issue stock): Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5 percent or more of the outstanding shares of any class of your organization's equity securities?

X b. (For entities which do not issue stock): Has any foreign person directly or indirectly subscribed 5 percent or more of your organization's total capital commitment?

2. Does your organization directly, or indirectly through your subsidiaries and/or affiliates, own 10 percent or more of x any foreign interest?3. Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), X officers, executive personnel, general partners, regents, trustees or senior management officials?

4. Does any foreign person(s) have the power, direct or indirect, to control the election, appointment, or tenure of members of your organization's board of directors (or similar governing body) or other management positions of your organization, or have the power to control or cause the direction of other decisions or activities of your organization?

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

X 6. Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations X to a foreign person(s)?

7. During your last fiscal year, did your organization derive: X a. 5 percent or more of its total revenues or net income from any single foreign person?b. In the aggregate 30 percent or more of its revenues or net income from foreign persons? X 8. Is 10 percent or more of any class of your organization's voting securities held in "nominee" shares, in "street names" or in some other method which does not identify the beneficial owner? X 9. Do any of the members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials hold any positions with, or serve as consultants for, any X foreign person(s)?

10. Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influence the operations or management of your organization?

X STANDARD FORM 328 (Revised 612008)PREVIOUS EDITION IS OBSOLETE.Adobe Professional 7.0 REMARKS (Attach additional sheets, if necessary, for a full detailed statement.)

Please see attached supplement.

CERTIFICATION I CERTIFY that the entries made by me above are true, complete, and correct to the best of my knowledge and belief and are made in good faith.WITNESSES:

June 29, 2012 (Date Certified)

By(C()AW, f Authorized Contractor Representtive) 7Christopher O'Hara (Typed Name of Contractor)

Interim Gener2l C~niin'~pI NOTE: In case of a corporation, a witness is not required but the certificate below must be completed.

Type or print names under (Title of Authorized Contractor Representative) all signatures.

211 Carnegie Center Princeton, NJ 08540 (Address)NOTE: Contractor, if a corporation, should cause the following certificate to be executed under its corporate seal, provided that the same officer shall not execute both the Agreement and the Certificate.

CERTIFICATE 1, S fýoxP ( f- L 'certify that I am the (sr__i#- .T .4 ,L i-of the corporation named as Contractor herein; that C A re5 S0 who signed this certificate on behalf of the Contractor, was then 7 , 4 191- ( J,_1 (Lfl }e./of said corporation; that said certificate was duly signed for and in behalf of said corporation by authority of its go%*rning body, and is within the scope of its corporate powers.Zý* -r ... .(Corporate Seal)STANDARD FORM 328 (BACK) (Revised 612008)

NOC-AE-12002879 Attachment 3 Attachment 3 Supplemental Information for Certificate Pertaining to Foreign Interests (31 pages)

NRG Energy, Inc., NRG Texas, LLC, and NRG South Texas LP Supplemental Information for Certificate Pertaining to Foreign Interests SF 328 June 29, 2012 1 Supplemental Information for Certificate Pertaining to Foreign Interests For NRG Energy, Inc., NRG Texas, LLC, and NRG South Texas LP Question 1: Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5% or more of the outstanding shares of any class of your organization's equity securities?

No. As of December 31, 2011, Orbis Investment Management Limited ("OIML") and Orbis Asset Management Limited ("OAML"), both located in Hamilton, Bermuda, together owned 5.3% of NRG Common stock. OIML and OAML have since reduced their position and own approximately 4.09% of NRG common stock, based upon their SEC Schedule 13F for the calendar year ending March 31, 2012.Question 2: Does your organization directly or indirectly through your subsidiaries and/or affiliates, own 10% or more of any foreign interest?Yes. Attachment 1 provides a listing of NRG Energy, Inc.'s ("NRG Energy") foreign interests as of May 31, 2012, by name, country, and percentage owned or units held. In addition, Attachment 2 provides a listing of NRG Energy personnel who act as officers or directors of the foreign entities.Question 3: Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials?

Yes. Mauricio Gutierrez, NRG's Executive Vice President and Chief Operating Officer, is a citizen of Mexico and a permanent resident of the United States.Also, Glen Mackey, NRG's Chief Risk Officer, is a citizen of Canada, and is a resident alien of the United States.2 Question 4: Does any foreign person(s) have the power, direct or indirect, to control the election, appointment, or tenure of members of your organization's board of directors (or similar governing body) or other management positions of your organization, or have the power to control or cause the direction of other decisions or activities of your organization?

No.Question 5: Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)?

All foreign operations represent approximately 1.6% of the company's total operating revenues and approximately

-5.3% of its gross income. The largest source of revenue and income from any single foreign country is the company's operations in Germany, which represent approximately 1.6% of year-to-date operating revenue (as of December 31, 2011) and approximately

-3.9% of gross income.NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 9.5% owned by Toshiba America Nuclear Energy Corporation (TANE), which is owned by Toshiba Corporation, a Japanese company. TANE is part of a consortium along with Stone & Webster Inc. (a Louisiana corporation which is wholly owned by The Shaw Group, Inc.) that has contracted to construct a two unit commercial nuclear power plant at the South Texas Project known as STP 3&4. TANE has provided a $500 million credit facility to NINA in connection with the construction and Stone &Webster Inc. has provided a $100 million credit facility to NINA.Because the efforts at the South Texas Project involve controlled nuclear information, NINA has entered into contractual arrangements and obtained additional assurances in order to ensure compliance with the applicable export control requirements in 10 CFR Part 810.In addition, NRG Energy has entered into various contracts for work, equipment and/or services in the United States from various companies that may be foreign owned.Question 6: Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations to a foreign person(s)?

Yes. NRG Energy maintains equity and debt ratios in the range of approximately 45% or more equity and 55% or less debt. However, the precise ratio varies from time to time.As of March 31, 2012, NRG Energy has debt in the range of $10.2 billion, with approximately

$7.7 billion held pursuant to the terms of a Credit Agreement (approx.3

$1.6 billion) and Indenture (approximately

$6.1 billion) described in further detail below.The remaining debt includes project level fimancings that include foreign debt secured by assets located outside of the United States. However, none of these financings individually involves 5% or more of the total debt of NRG Energy. Overall, NRG Energy's debt is held by more than 400 separate debt holders, domestic and foreign.Based upon a reasonable review of lender and bondholder lists, NRG Energy estimates that all foreign debt is less than 17% of total debt, and we have not identified any singe foreign lender or group under common control that holds 5% or more of the company's debt.NRG Energy is indebted to lenders under an Amended and Restated Credit Agreement, dated as of July 1, 2011, among NRG Energy, the lending institutions parties thereto (the"Lenders"), and Citicorp North America Inc. ("Citicorp").

Citicorp is the administrative agent under the Credit Agreement.

As such, Citicorp has been irrevocably designated and appointed by each Lender to act as administrative agent under the Credit Agreement.

Each Lender has irrevocably authorized Citicorp to take such action on its behalf under the provisions of the Credit Agreement and to exercise such powers and perform such duties as are expressly delegated to the administrative agent by the terms of the Credit Agreement, along with such other powers as are reasonably incidental thereto. Citicorp is domiciled in the United States. Portions of the loans under the Credit Agreement may from time to time be held by foreign persons. The loan is secured by NRG Energy's equity interests in substantially all of our domestic and foreign subsidiaries, with certain exceptions.

The Credit Agreement contains reporting, ratio and other standard covenants.

A listing of lenders as of May 24, 2012 is provided as Attachment 3.NRG Energy is an issuer of the notes issued under an Indenture, dated as of February 2, 2006 (as amended or supplemented from time to time, the "Indenture"), among NRG Energy, each of the guarantors party thereto and Law Debenture Trust Company of New York ("Law Debenture")

as trustee. As trustee under the Indenture, Law Debenture is authorized to exercise such powers and perform such duties as are expressly delegated to the trustee by the terms of the Indenture.

Law Debenture is domiciled in the United States. Portions of the notes issued under the Indenture may from time to time be held by foreign persons. The notes are unsecured obligations of NRG Energy, and the Indenture contains reporting and other standard covenants.

A listing of bondholders as of February 18, 2011 is provided as Attachment 4 (NRG Energy is not aware of any material changes to this list since it was created).NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture that is approximately 10.5% owned by Toshiba America Nuclear Energy Corporation (TANE), which is owned by Toshiba Corporation, a Japanese company. TANE is part of a consortium along with Stone & Webster Inc. (a Louisiana corporation which is wholly owned by The Shaw Group, Inc.) that has contracted to construct a two unit commercial nuclear power plant at the South Texas Project known as STP 3&4. TANE has provided a $500 million credit facility to NINA in connection with the construction and Stone &Webster Inc. has provided a $100 million credit facility to NINA 4 Because the efforts at the South Texas Project involve controlled nuclear information, NINA has entered into contractual arrangements and obtained additional assurances in order to ensure compliance with the applicable export control requirements in 10 CFR Part 810.Question 7: During your last fiscal year, did your organization derive: a. 5% or more of its total revenues or net income from any single foreign person.No.b. In the aggregate 30% or more of its revenues or net income from foreign persons?No.Question 8: Is 10% or more of your organization's securities held in "nominee shares," in "street names" or in some other method which does not disclose the beneficial owner?Yes. BlackRock, Inc. is the sole institutional investor that has disclosed holding 10% or more of the voting share. No investor has attempted to, or has exerted any control or influence over, appointments to management positions or influenced the policies of NRG Energy.Question 9: Do any of the members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials hold any positions with, or serve as consultants for, any foreign person(s)?

Yes, please see Attachment

2. In addition, NRG Energy Director Paul Hobby, a United States citizen, reports serving as a director of Saracen Offshore Ltd., an offshore hedge fund incorporated in the Cayman Island, with operations in the United States. Also, NRG Energy Director Kathleen McGinty, a United States citizen, reports serving as a director at Iberdrola USA, Inc. Iberdrola is a wholly owned subsidiary of Iberdrola SpA, an electric utility headquartered in Bilbao, Spain.

Question 10: Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influence the operations or management of your organization?

No.6 ATTACHMENT 1 Domestic Owner Ownership Name of NRG Foreign Entity Jurisdiction Name of Owner Type Jurisdiction Interest (%)Kraftwerk Schkopau Betriebsgesellschaft mbH Germany Saale Energie GmbH Entity Germany 44.40 Kraftwerk Schkopau GbR Germany Saale Energie GmbH Entity Germany 41.90 Lambique Beheer B.V. Netherlands NRGenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans-C Cayman Islands NRGenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans-P Cayman Islands NRGenerating German Holdings GmbH Entity Switzerland 100.00 NRG Caymans Company Cayman Islands NRGenerating German Holdings GmbH Entity Switzerland 100.00 NRG Glastone Operating Services Pty Ltd Australia NRG Victoria I Pty Ltd Entity Australia 100.00 NRG Victoria I Pty Ltd Australia NRGenerating International B.V. Entity Netherlands 100.00 NRGenerating German Holdings GmbH Switzerland NRGenerating Luxembourg (No. 1) S.a.r.I. Entity Luxembourg 100.00 NRGenerating International B.V. Netherlands NRG International LLC Entity Delaware 100.00 NRGenerating Luxembourg (No. 1) S.a.r.I. Luxembourg NRGenerating International B.V. Entity Netherlands 100.00 NRGenerating Luxembourg (No. 2) S.a.r.l. Luxembourg NRGenerating Luxembourg (No. 1) S.a.r.I. Entity Luxembourg 100.00 Saale Energie GmbH Germany NRGenerating German Holdings GmbH Entity Switzerland 100.00 Saale Energie Services GmbH Germany NRGenerating German Holdings GmbH Entity Switzerland 100.00 Sachsen Holding B.V. Netherlands NRGenerating International B.V. Entity Netherlands 100.00 Sunshine State Power (No.2) BV Netherlands NRGenerating International B.V. Entity Netherlands 100.00 Sunshine State Power BV Netherlands NRGenerating International B.V. Entity Netherlands 100.00 7 ATTACHMENT 2 Name of NRG Foreign Entity NRG Energy, Inc. Personnel Name Position Kraftwerk Schkopau Betriebsgesellschaft mbH Bjorn Bauerfeind Managing Director -Geschaftsfuhrer Lambique Beheer B.V. Mauricio Gutierrez Director, Supervisory Board Member Mauricio Gutierrez Supervisory Board Member NRG Gladstone Operating Services Pty Ltd Mike Shevade Director, Managing Director NRGenerating German Holdings GmbH Kevin P. Malcarney Director NRGenerating International B.V. Kevin P. Malcarney President; Managing Director, Class B; Manager Kevin P. Malcarney Managing Director, Class B NRGenerating Luxembourg (No. 1) S.a.r.l. By NRGenerating International B.V. Managing Director, B NRGenerating Luxembourg (No. 2) S.a.r.l. By NRGenerating International B.V. Managing Director, B Saale Energie GmbH Kevin P. Malcarney Managing Director Sachsen Holding B.V. Kevin P. Malcarney Managing Director Sunshine State Power (No.2) BV Mike Shevade Managing Director -Class B Sunshine State Power BV Mike Shevade Managing Director -Class B 8 ATTACHMENT 3 CIP.l,n N.A_nMte N ReOrt (ON RAoW).. ON : -l.A 01 TrNh.R ..O. : .R STP1tI IS-Refree- Date 0 -/4212=~1 -UNU -Al T ox~A o^ OTAL IADESTORA I, rN9 a -- MINEMNiA -1n A 1 CDOE OPAA

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'0.00 000YU02U201 07 2410 10 1114102000

'00 1.00 00.100200 2002000 000 00204000 S INC O.ET V CCN YF Va.. UI 21 RACHL KIELY 8111. BID 131 A7435 I LA4 A IS. qMCO ~ ~ ~ ~ CA 4L,,I SPRI FNDNGFITELDC, 1A A LN 000000 C 11001C INSURANCE 0000 L 201L07011 U0000 400200 000000,0 .11-0017 240 000 600.0000 42....711 00 IS 030.2800-ArS ONE TROSTONC N-21. 0 MU02LT 0 00401 012 --L 03400040 01... 1 ...2T FO~~~I- -F- STATE SUTREETS A N FETRTODT 0800 MANBEMENT 00 0000 0000 2 .112 1A72 -22 20 U 110 0AM OEIo .17.1. 27440000 024 04.208000 00 I24 0 0 000 I 0 2I 1 xn..r A t.- IO TH IRDFICO SC 1 IO D FU .. =T D. .CAl BANK LOANOR E 0.3. 3R00021 030OA0 00607 I 00020002 R702040 1N1 4 D01 3214 040 BInS 20 2 00001 04032E40N00LL21 022000 0(if J, 4L.0107 10 70101 US.210 PHILIP 20L6 N 617402400 2012344010020 000 80.40 65000000 00 0 00.00 002713 ALI07 BNA LOAN2FUN04004LL0112000L0A 7000401 22 1 0400 240001 3102040702 701604 02250 001 0072 1001 4074 8000 000 4,1.101 A..,.) 020 I.T 210 (02000714 00000R_00S

-= =TIR FLOOR.0002 100410012L00(AR00 00000003204.00 0012010,10 10060080 67 40040020000A,0021020 00002001 30 00 10.0 100000 000 1.00 0 440710200200000 LTD 020 ILO I00G0 00001000 C1 40 00000 0004512576 00100'104BR 601204 21- 26100034 20 20 8. S.47 .13147 0 0,7.1.AE.ENLLC IT C A5r1U ATTACHMENT 3 cHINIFI N.A 4Tn8400 8o. t TRpo", I00 Re.port)o0.oo...on0,T.oPP-, Goo.c~e: G -2 T OTAL LOAN rOTTALIC TOTAL 50000008.

....-H.... -*0001 ODd C CDE 0 0 CID SOTOP DETAILS EN0Y0NAME E0'0 0000 -00P E0 AX.0 0 CY A0 ET0 0 5 tOTAL400 T 02 4ME5T 0UT04 TAT80NG 0UTSTTAN00 NG OUTSTANDING11, 11 1E YORK rCý09 IORK 1 0011 00040 RAN4 000 0 TSC0E0 AA4 0A --00 4 4E0LI 0040 D. ANKL. L J 442040 4 US0 1. 1-00512.L 1 4.40 So j 0 -.02 00 I.US.A.; WAKROS SAARH ýHRCHSRE

= OUSE. AT IOUTH I C"UC STREET~~GEORGE LA..IS, CDO II PID OE) I ACCAP3 .'DO-271 jASyN CAUiCIN A I74. ou RC 0 .Ew Co, .250o. DI Do .2 -G.7=n~ OUEEN ...TE I1UH CHILI" ITREE:AVALRYN CA~ LP{EGMN GEORGE IOUSE N~em GIUCIN STREETLD ER TO SNWNLA I.,. NANTUCKET0404 0 0 00040 00.0 Cy 408400 0Ky4. 21. 0E 4N N 000 I PC 7SK.- I 1nv .. A, I QEENEGATE SOTHCHRCH STROET-1. CO X LAMIT) CHCC11 RN -C1 K11- 1 'P77SOD EyRICI LIDNAG RAT37-7 UID2W3 J D 0 1.37 4237 PRI ..11 2.1S13TI G75 MOUSE OUE1"T SSOUTH ..LNG. STREET (CE GEORGE TOWN 080004040 toOI (00I40 0000004000SI E 132IS u .7.2oo 11..G'o.= WALKER HOISE 87 CARLYLE HIGH YIED PARTNERS IX, c-d -e. nK GEOG 04 00 TD 0 CAR8 4 E 'AR08 N0 ACHY IM 0 LLC 0 Ky. 04 080 LIC 04A480848 800815800 4N440 040 0404084.04 08 10014 000 -.0 4,4I0 I'.= E= BOA GT IS BANK LOAN FULREM) ANSTER O SYNDICATEI LOAN l=v APKAN OUEENISGATEu~anSOUTH C URCH STREET E TOWN-I FRASER SULLIVAN ELI I LTD FRASERS Ne AY IPATRICK MIT1HELL 11-212331

--,1 US. ow .T NA. Do D 7.. 1 .7" wo w=ne~ AIIAAA SOUTH HURCH STREET IJX AAA GEORGE TO 0) 42 4E0TUR0 V 0 Do 0 T0 D 0MC00 .0.... LC 4 YIL4 IG7UGEG0y.

UGA 040484I088 AU 012705.80 41 0 00 4S0 000 1 9800K.) 4800.482 00o 1 85.8 DoOUEE.EGATECHURCH STF-.CA CIO 2w- LINAIT"ID

("GO' A. -" G EORGE TOWN 40880 4A00TA0)04 4 04 0 4404480000

4. 4JA0O 400 1001627205O 8 4004C08851 4 008 0000084.4 000804.- o G .O 1 Go Do G. .I~v 11;I, WALKER HOUSE FOREIGN GEORGE TOWN 040 UR00RNERS C4 O I4 L 4D 0400 8E.OR 0 4 .PATRICK 0 4 T CHE 4L 012332-03 40 0 4 0'S .4.2417 004000440 0 1 0P46,200 7 GGGeNA- UERE IEGATE DRYDEN IX GCNI.R LOAN FUND -5 GEORGE TOWN, GRAND CAYMA MAXUM Inv. 1AAAm OUEENSGATC SOUH CHURCH STREET K., CAFU .GtEORGE TOWN 00080 OcTo o700 M8080 0 04. 0004 0C 80440Yy TO48 2840440 440 044 7 -44.04 ,72548844.14 02 G lJ4.A0404OU-NSGTE 5OUTH CHURC" STREET II-1 NOB HILCOLD 00 RA. PRCH .1.2N- LED .1. 22. 115 j 2-1IS Go owl 729 .31 I R7KNGSLADG GAI LOAD F D C LTDa FNCI A -r1ýg 17IUSDYlDS1 0 11 I04 D)48404 0 844S LLC 04AHRA _ 14 110 47 0. 80O14A4N4 ONG 7-4018 8 28108- 3 L) D 000 08.10 04 2041214DD0 0o0 ..48 S00 SOUTH CHURCH STREE1-U1H CIURCH STREET oNA ER 2 R10 FU NDING 1 L E2DF Gor SO BQHURCH KYL 7 1 AMODMOE 7H -5 21 77RS ol 711 o 1.0. 3 SOUTH CHURCH STREPtHORIZONSTR CLO0 I ATD ESW 1.75272 =y. _ IRA TCYOHEN 213.1371C 11- US. 00 16 2A 121.UP7 .2.121. Uj7 " 0 .$41.n= -U NGATE SOUH CHURCH IC D(L N EORGET TOWN 00208' 4ooooo to 440PT 8000 LTD. 4 0 1'040400044000440400ACY NG 7-104000 8000001040 4480 042 05000000 00 I0 00 020 40800 40440000448 004 0404084o0 44444000 4040000 40.CoO04800 0040400 0400040 .0 40.04.000 58204.00E4A0.0E 000048.48440400004

000000040 0000 0004004 -IT 00000I 140 404000 I'l 0004l04004 80082 40 02 44000 44402 02 44400 000000 , 4440080044 A_0 C-00 40000400.

TS K 444 MAI40 0L40____ 044400400 800-I00 400 040 400.000 Do00 I0 0 M80.04 004000400104440400004200000~

008000000040044 ATTACHMENT 3 DID-. N.A Tra80h1 Ref N~Oo8 01856P800 1 1 8R1;10)J1-STOR f GAGE ..T. -EW1 7T I= y-N{E ýfy ONE v ICY RA 3 L TIO "OTALCO-EXT = -U SADNG STREET CEUT5CH0 8 A11 AG1N YOE I= YORKI I'll .IA.D5702 DRANCH LOEUT..E TANK AA..AG E1LI- DE.II A SLN 575 7 -3 JED O , ,1 1 52 2UD 0LOOR 0TEF11 0_1KNA0 S C11 ROAD 0 ,10 11UT" CHURCH STREET 101 0 1 0 LTD (OCTAGON C 1R0IT o811r10 GEORGE T1 _08008 81158801 001 21 0 1 000 28 07. 7ST. R AC .- -01205013111RY S8AIA8O 10-10871 51038 3172 U1. D00 -028 72 02 .184 M=NAEMNT(CAYMA )LTD NCOASGE I I OX GEORGE 1 10, 010A1Y0A0 2 00 LON I A.r ,-. -UENSGAIE 22 A3 EON VANCE CD"Vl LTD (EATON 001701 AE011- 020027 I-- IDT 1-10.110t.

11 LS00IS0-21.2110 O In.- 111ýA WAKER HOUSEE.>m~n .GEORGE TOM 1..OU 1;SE LERIOS.NY RC STRE)RYN ED OAN-D GYEORGE TCRN 0 8 2 8 7 0 1 ID LT 8 1 1 0 5 0 0 8 1 0 2 2 0A12 0 2 0 8 5 0 0 0 0 1 28 1 0 0 2 10 81 5 3 0 21 O 0 1 0 1.72 0 E80 155 07 52 8 0 8 1,7 0 837 52Awr.. *UEENSGATE I=ETH C"UC ETREET= -H1t CLO V.

eCge GEO G T.L 815111271701115000800.

2881050d 2 300511511T0RICK2 MI0111513701.4S 30e70 3 6?=111882 A8..1 GE LERROC700= ' fLN D C I. L D (NE CERS CM SETG I"E 0 0 1 0 1 10 0 1 ) 1101107 2 81 -00 0L 8 20 11 1=0 88 8 1723 1Y .1 2 2 PA R E 1 2 1 17 13 2 1 1 1 70 0 0 2 8 D 0 0 0 8 2 81 1 0 2 8 072 8 2 0 0 0 0 0 8 2 8 .05 5 0 10O00111185020077 08811121881115 0000007000101-3 K-L2 .051100120-512--7S115DE5 -DO -7.-invst . 3RD FLOOR RDYAL DANK "F CANADA NOUNTAIN CAPITAL CLO V LTO BU'LD"NG '=ED""N 'o" 0101012210R0 1 1G0T LLC 0L00800 7y 0 LINDA RACE -. -A 211 00 01o I 1 11375 DO 1 I 37S STREET -NT FL 00000~C- 0810-8081 11050800 .8 8 8 2 2 0105 00881 0 1010 100121.2.

2515071 5 .11 00 88 1.00 11000 00 8885 -.002 N:.UT E HURCH STREE 01 C. 2881 I 0 0NC 1O R 8 21811 10070 1 Ky.0MARI -ERE 17-081 8 73 8 1. 1 2LE1 111 2 1 2 2..70 0125 00 2.075 01-S2, CAC Ay GEORGE N MCayAILSL CSMSD ma-Ay s- -1 21 -32 2117- U. W. o m. -SEE5ED 003 CI NK N A wSECONDARY TRA 00NG 0 .RGOA-T1 'a5s SILJ 80000 V111 0 0100 "50 080 7.U3 81-. 2 8 730 5 0 7.000= ,-1~ .S OUEENEG 1E w 7 ERIX CLI I, LTD ýKA AVENUE CLO ING Ge n EORGE T O IOUTH CHUC STREETCapri EoRGE TO GRG; RED RIVER OLD LTD REDUED ~ ~ mL KY1L-G 1 .75N71. TAI. 972505327 2 4S4476G USD 038 ýR -D.EC 2 a GO 5 955LWE'NEI 1011 C NS NCE DO (GUARANTEE PRDCE)(MACKY "1W YORI NY 1110.UEENS ^TE HoUS'PINENGDE ;EORG.10 TO JCQUELINE LM'TED, W-KER (CAYMAN) L (.ACKD= .E.OO b T0 m1 AR CA , m'Mn M I l ME LLC 1ODS 1 KV. PAU RAI 2111 81-?111 IS. -63 .-LET ED g OL ,AFUIýS 11' TRUE' 1 IF A , ^ER1. S C.'.M A_ EATE 'ANINlIL CEý'IER5AERISNVE MET.ET ADeRIS L C INW ADVS uS57 CY-HA EDO- 17-70194 0S. 1, 12S I -2.1 D E ROES 'SA T A :=R EERO CLO 1$ 8 V. ýALC-RA ^Mý'1RD1AM I AABUIB7 -E 7 1-1 o IG. 1.,.OIRID A.- IL-1621 1-77.721 N1107E GB ODA 17M1 UD07 0 17 S-,n CHURCH STREET LNDLM FATRK ONl CLO LT.D ALT. C.-y 11 0115TRIELI UE 1 i -I7 KR RG SETO O TR.1S.ENTCR OMCE RELRTRNF K LOAN 12 ATTACHMENT 3 TNERN 0 00. REpost (0 R060 R -D Of: -12 00ESTONO 2,0 IUENIE (N.S FRUND OTO TI-SOD ENT_ PHONE' 13 --1 SDY ASSET 001DD TTTALOTDDDlN OUTST08'G 8U0T2T5.0NG A0.(UT0( STANODG DEUTSCHE BANK AG, NEW YORK YORK NY I C N00 9 50F0 1RAN. T NEUNS00C BA.I BBak 0 ILIDO DO- _ AFUAD LAND 1025 r0011 200 013 -.06 INS GS II IRSI (0 0(0 19 10(120'(0009 FOUNUSS 1;01 00RRF 0 0.I(0C50rE1L1CT-15050 U NGEDNST(N05 0555 SOISTNO USD O2N 3.020750 17D5OT.N7IO 00 0 6 705.6(550'005 .15(1200 LOUDIILTO GPLCO LLCO 1(0 .80-N(O NO LFOi FTT 7610060 N001S85002 ISO 000 9(0.000 9(0r00 0( 000 00(0 I11G III GME IC O 11NA1A1N I I__~~~;T G.ECGUR1 AG HI STREE 2 2 , 62.9 I G D( " ., Gl S U T A: = I R O Y D S S I M I ~ 2 8 1 66 7 0 U S2 i2 0 .0 8 8 CA 3 -0 ( SIT 6 0 2 7N. 0 6 G OFUD $EI FL TIC GIO R EAL H1. ..U~U ..HE -L A.LA-2. IREOT6oNO690BTLLCCo ILONOORAI G-. 000S1N0 0(102~50 I.(0-0 USC 0251 1...600 0000 002 3.. .1 SS 0000(1111 ORSAIIFYICLRET11 OF H CHURC IT.. OA-.C CU C A BANR LOA-1.01 059020 DlES"E INCOM 00280 03F0 99990 Pi 20 USILUDOO U00221 A0 ____________

0 5CCO 0.NTING 0N-2005 20101001 200 0(0S (92.00 (0.0 2 0(0 1025OR S 00( ."O'" CeHURCHUC S NGr T ) FA- -ILI LTD S F NG -KY. SUR ANGHE 71436ERIR171 I.01CwIN.

ISADGA -1 ITI ING -STMEIT ~ ~ OUEESIEHUE030.T 2 OO 80109E0 056000 0T1L00032 1 690 K 00. 0000100 067031 000 310R00165 UNO 06: 16005.0( 10000 0 OTT 10606.0o0(RA L IA LTDEM{NEW CI YORK LI"E" GEORGE ToA ..-ATCR.S-2. 0006LI02 MNT. OR0CSLVR, Go0 N DILCI600 1001 10. ,099109C222S S(1061316 511001000 00 06 00060202 00000 020 D. 7 0(024 KNSWOON 0002 003T0D0 AR_____ A,. 1.1-0000 11K0 0610000 20 DOTON 71.2.. 2.1- 0D 3121085901

.1 6(0 ST.11059615

=ne [A... WALER N SAE.MAC-1y STREET RATEOAT _ US OU U NGS SR OEn NHU R A C I I-06000 2(7(3165100T 89(9 100776235T Ky 230A KO TZR '01550 5 0801039870 200 0 31 030. 0( N 003.00 02 0( 0148.700(((50 SSDOS COES VUI9 0 0 8Y091k 22 Y0.30 80(11 YUFO '1506009 T(STTS0 290 011 062006002[

0191 00(037 0(0 01 S3 761(A~.~ QUEENSEATE

-347 (0 0 0 0 VFT RC S CLO S 0 0 0 0 (F0 00 , 'l -N -1 21 .7 .2 8 210 0 30 A 0 02.0 5000193=^RU CTETRE1 A_1 -0 pAKGDO LCCAD A'..I KY. FI.VT S G ILLIp 71-3 ..4 1 -74 USD 1,172 ..17 1, 1 0 1 2 .744S ING 3 RE -1RR 13 ATTACHMENT 3 Crdn- N.A R-- O O: 4 o-2012* , -

TOTAL US TA OBET.R. .,N= .... ...Mnae -TCCDE -NnYA- ENTITY FIRUE II E.CT-AX ¢CC ]ASSET RUAnO rTITLIGORARIERT

'DU'T`ATAMD-G .U-TNNO )TST R.4 100100000000G0(00000

.1 00 0 00 0 0 00 0 1 1 1 8 1 llFALL ERE 0017 IIORK 1000100 LTD ' RIO LLI' AB-1111 LP0 *10-lS11110000 00BE00A -OLIAR -DO 10011 01 -000 210 0. 'A.1110 0S 0700 00 1.1100S.I0S0001IO IT11I lo- 0M00 LO woLTD 001 0 w.000 0. o 0000 00 00L- I= llOUS GGGT 00002 00RSE IV LTD 07T,:B OR 008 8F10S.0 0U002-0 0 LED GRIo SO 000100EIEG 0 -00 001000. 1020 000000 100100- -ET CET E 1 o -WORM R..GTORCIO WIS0 000 CA R-. ,W7C44 KY0 B C7 U. I BOB I 00000 A0000 0 0 T L L00005201010 U 01 00 0 00 0 CDI LMO O L LO7 1 01LC0 10L0 0 505 0 0 K .000002IN 000 T01 7000500 210 70 1 42 0S0 0 00 2 5 00 0 0 0 0.100.00 1 0 01 01111 000=o=s"G SOUTHZ1 CHURC G-00100 2001LD ELY0D4l 001Dl-00 01-3602 000000 01000007 00. 00400 100RI.10I-141S 01000110 000 0100 01 0000.0 01, 001S 0.000,00 01OUSEREGATE

-200 000 0200241 0I 0 00 010E 01-7 O00081111Z K010 0-03-011101000 0-0100110B0000009 2811001 I'S 02-5.0) 11.10000 20 UI .750000002 i 1U= AKER HOUSE Cow. CYON LANINVESýLTORT LOD LT GEGRGE TOM 000700 .1100 0I.0T00000 075007L201 y0 00 0000BELK 00004 10051 00001 0I0 C.3 A- .10 2I0.0 0 00 S9-1000.B S-OU.100000000000 T040000 2000001000EOR AGGI7 -_7 2 131 .7 7 1 1..YE o IGo I G==A-U R FUS LAE 0A000 20 FITAL)Tooo ACCOA0 I0001.711.A0¥L.

0000 0E0R, U 1TO7 .375 0000200118

1. 03 0 000 0.- 4 o 1,.2. 000.C 001o 0.01101100Ar-7 WLKER H0OUE RUGHTOI CLOA IVES TOR OLD. LT AFA EORGETO A ZB00E A0 0 0000 0 .'0010570 0y. 0ATA100 00010700 120 3 0010 100 D 000 001G 038 100n 001 0001.01001 0107011 -L 0-E 00000 10001000 0.0010 005B0NE .102127333 207-00 M0 000 0.1010101 010102150 0wl 5 1 r1000 I0 14 ATTACHMENT 3 X'40000.o

_ -0 12004 000 0088 4 4 484.~0~T-T0-8 o1ool..-0I o~4,o12A..r N NE :d = TIDE E5TT G Y NAME ENI-PONES ENGE FAX ASSETk TOTAL .T MUTBT= .-TANDIG G.TBT...N.

m,. 31 -ES 52-+ANH TB o BAGC. DA- D E+ 1= B I'l MAR S LAG 3 133 -..D Dm DO51 -2 I .111 S8-~v -~~

HOUSE.SOUTH CHURCH STREE JLA.NNMR 1. GDO IT. GEORGE To_GINVELO Am'.. RUNIVL.- I_ _ CHISIATWN S 1 1 -GORSS T in= r I~~~ A.;., WALKER ... B 57040 ANK 10-0 A 0V0000 LL.0 KY1.4 10210020 ROBERT COOK 5100 04023 001 0 00 040 1.402 40.21 010 1.4-22.51 LIMEROCK CLO I (I-VSO 5ENIOR = E = P 0 801E1T -G-711 SECURED MG.T INC) CRCLI Mma,ýýB +n KY! IQ752 I K.1 11.2 jyaTA CALV-LL 1-C157 3 LED 0I 14 2,11 11 .... .....SOUTH -ýCHU STREET-711 L.ITnUDE CLO U LTD Fm.FLA11 LL-PS .Iml-SIGATIO.

1-441-1+ Im1m SO 00 w i6% IO G 1... 7S. GG Im -1. GO n. QA,.CUEE.SGATE SOUTH CHURCH SEIIET EORGE TO.R0717 TIM0ATA OLD II LTD 7cS0I0 LLC I.-0400 y IK0 NGHIEM 4'0.065-0 04004004007 us0 005 o G07010 0om5.5 000803 o 0 005coo40 o.+ 01usom FREEDOM SEB NSTIUTVý-E.F.U.NAGED TRUST OAKS, PA 0137 ENHANCED00440 0o. 1AS105 0 LG o SILIFo8o,7

+00715000 00 2. SUB ADVISOR 0100014070 M2050 0D 0. -0.50.1 141000240 00.7.. 0100G=+ OU.ESG.TE SOUTHr CHURCH STREET I T_00000000 0.0-L 24700 0.95,00 LT00000G0C-K 0040o RU, F 7 -S -00 BAGOD 1 -OG A.A. N^E-E " ORRI -A .7 .110. 11RTUS GRU G t 7131- U- 02 3 36473750 ED 31473.75..

1-1T CH STREET-7.) 000 000000 0YL04 0_ 0AR. LKO 227 .-1 LED 128 A-8 GO, 1 00.0 01 ING IVESTENTSOUTH CHURCH STREET ACA INVE -LIDNT NAGEME C AA. C-1 ;EORGE TON OROAT RUS 04000 000C4A00404RAI 10CLO 0II 0002000I LC IS 0T0CIy A000004 000400.00 1100 0 004 0070K 0.0004 0 0.00,15 04 0. 10AN I P. ...ENSG3 E LTDUCAILOUC ISRC IVSTER "T ALAG HUS AýRGCRYAW GOLI (P GEOGGE TOM1 E A AF N N T EDG GI nPM1 n -IKIC I S. -Kl LEA IIA KOR 111.2 T. -G1G .O ... GGN=n. All. WALER HOUSECE .11TO C LY I =ALYE77"NB EORGE TO CRORTTRS NV7. MT E ST.MNA EEHIS LC ARCFH FLC 11.112.3 GA NY E L-N ES 6171-713 -3.2.. JR. 01i 1 .73 7 G ..7S 4 7 E,7 GO SOUTH CHURCH STREET K.1- G- GEORGE TOL 04000 0000000U100 L0ED 00L ARMS 0888000l .7287 TROY 0 .40G 7 10 4 281650 2 00D1 0' 3-1. 391-S.14 00 1.- 1511=H ll.UUENSATSOUTH CHULC1 STREET AT LO 1LTD ERN 0400 0104000000004000 0 4001L02 R, STACEY ALEXANDER 0 0 1-1010 0.000.-0 000 00,1 1 54 1- 0.00410 0 00 10.2 125GO.=n-- QUEEISGATE

'00108IE CO i 540410040 00 40 000L03 Av s 1- 7.004 KY. D2 K000004050 000400100

-8.004 N400 022 5 50414005 0100 040 ...O 0100-41 HOUSETSO CHURCH STREET F 0054 OOO 040 400 40047 0000000005020 0 ++m++ 00 0 e OUEENBG^TE C='. =H CHURCH STREET 5,E1ýLU RHOS 12 : 1 VI(FM ENT A.AGEMENI ULC' A C .GA U I C 1 -13 7 -1y. CO LA. E .N 7132 -7.71 ..031 4I m. bU2 07 0 -.No GG37 I -AG GO2 0= 0 0 0 0040 2 0 00 .0 00 00010 0 0000400010100 600 04 0140001 '0760000 RI oOOoTO 0054500 ~ 4040004 .40 0100408040 0140100 00T000454 OoO~o~OO.000 0000000E_MARLBR010 000424040 9001 0L89D0 CS0B00.0.052-00 TRAC 10 081401 000400US G0814 050 020 015001 0.1000 04 00T500550 0400 0500000000 01400 00 0000040 0 0001400004 010011 0001000 0 20 100200 0000000 40 0.00004 0 4 0 0 ~ ~ ~ ~ M : .A 0 1 4 1 4 0 0 0 4 0 0 4 0 1 0 2 1 8 0 1 0 80 0 0 1 0 8 0 0 A0 4 0 1 0 0 0 0 0 0 0 0 0 0 4 6 5 0 1 1 0 0 0 8 0 4 0 00 0 5 8 0 1 0 40040040 400 0050000 KY.806. 0000001042 5710.1 4- -7100 502018 CM 0 L5TD1 00041.0 0..9684 1- -001 K0. 50A 001 0000011 7-1' 0551 081119-80 050 000I 210040 .71.0400.

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~ ~~ 000000 00 02 00 00 0000 9 00 000 00 00 0 0002 00002000 0020 000. 000.00 000900 000020 00000 20 9 0.00 0200F00R000 00020000000000001.0 0000900 REE 0009 02000000020 0.0090 00902 0000200 002200 '90009 20 00 2.000 0.990 00 0009 0 00271. DRLCO1 _T 0000000D200 C000020 0 MO.10 '011.000 0C7000000000 00200027 1113....A

'00 0 005000 9000 000 CDPU 0. 0000900 700000 ,0000000,10700 000,00 OE,,,,,,,.,.

o'~~.1ooo 0001000200 JOHN000 000000A00NC9020O200000CK20000 00000010200000 00000000 0000000900000000 10000 0000000200 00009 00000000 00000000T00000010 0000000 90020070000S00 202.0000D2921000R0ET0901090 20000 0091000100000000700 000 IN 00.0000000000000 0 2000000 00 00 010.01.0 00001.0 02 00.00.0 0000 0[ 00000A 000000 000IN00200 0.0LI0000E1005000 1100 I007'20000 90090020001 2099.0000 1000 000 20000 20000000, 000 2900000 00100 0000000:00 0021500 0000000 00.00900001000020000000 0702000 100 200 0000002 0000200 002 9000000-9 (G FLATN RAT INOM FUN AGDC E. V.. C-5E9R HL tY DO OW lP .-1 IwwP IS ITISN IN AR LOA 0 o L2PI 23 ATTACHMENT 3 CItbank N.A Investor Contact Report (OC Report)As Of: 24-MAY.2012 Tranche Ref No : 001BTPRl11860005 Reference Date :0512412012 Tracohe Ref No : ORIBYPR 10I0S rrane~s m0.: INRO1EN0RHYRC.9ENOR TOTAL LOAN TOTAL LC TOTAL INVEaTOR I Investor Na.e MNEMON Fun Man....er nT tCODE GRCIn INVESTOR DETAILS ENTY" NAME ENTITY PHONE a ENTITY FAX COY ASSET RATIO TOTAL COMMITMENT OUT'STANDING OUTSTANDING OUTSTANDING Investor Address: 1251 AVENUE OF TOE BANK OF THE AMERICAS TOKYO- 14 THFL THE BANK OF TOKYO-MITSUBIOHI UFJ MITSUBISHI UFJ NEWYORK 05700 LTD (BANK OF TOKYO) ACSBTM LTD 7P11164542 JP-10020 JAIME VELEZ 20!4138586 2015212304 UOD 4.09 04,000,O0o.

0.00 03,279,157.m 53,279.157.63 IrwesltArddress:

31 WEST 52ND STREET DEUTSCHE BANK AG, NEWYORK NEWYORK, NY 0019 007020 BRANCH (DEUTSCHE BANK) AADSAG relhe Och- Bark OElLOSAS25 YE-loo SCOTT 'INTHICUM 2122503981 2127970070 ASD 0.00 07 0.00 0.01 0.01 MIZUHO CORPORATE BANK, LTD (FKA IestorAddress:

1633 BROADWAY DAI-ICHI KANGYO BANK)(MIZUHO 40TH FLOOR CORPORATE BANK LIMITED NEW Mtuho Corporate NEWYORK. NY fools 05730 YORK BRANCH) DEMHD1 Bank. LI JPILt77171 1"00151180 JP-10019 MAXINESUNBURY 7010269139 2010209941 rro 2.01 0001001 0.00 34,0097.972.9 34,007.972.OS Irnestor Address: 1085 GATEWAY 8OULEVARD BANK OF CONCORD CA 94520 FAIR VALUE 057000 BANKOFAMERICA NA 057650USD AMERICA, NA. US1LO09318 US-9420 SERVICING TEAM 9803804605 1046023632 USD 7.35 109,000D00 0.00 95.700.123.1 95,789,1 23.81 neestor Address: 75 WALL STREET 11TH FLOOR BARCLAYS BANK PLC.NEWYORK NEWYORK NY 10265 057001 RANCH) (BARCLAYS)

VBB2 BARCLRYS 0B1L182038 1004116136 GB-10265 DAVID BARTON 2125209870

.2125265115 USO 7,35 109,000000.

0.00 95.789,123.8 95,789,I23,8.

Irrtescr Address: 707 SEVENTH AVENUE, 32N0 FL NEWYORK, NEWYORK 10019 ANTONIETTA 057680 BNP PARIBAS (SNP PARIBAS) VUEBNP RNP PARIBAS FRIL038674 FR- COSENTINO 2016318335 2018504M22 USOD 4.35 1o0.00.00.7/o 0.00 56.679.054.93 56.679.954.03 Inrestor Address: 1301 AVENUE OF CREDIT AGRICOLE CORPORATE AND THE AMERICAS INVESTMENT BANK(FIIKA Calyeo Eor NEWYORK 07097 CALYONIICALYON)

CALYON Branch FR1L156740 1000086424 FR-1l;9 GENER DAVID 7325907751 0178495497 USD 4.35 100.000,000.0 0.00 56R,79.954.9O 56.679.054.03 Ir-st.r Address: ONE LIBERTY PLAZA ROYAL BANK OF CANADA (ROYAL ROYAL BANK OF NEWYORK, N'Y 000-1404 LOANS 007T32 SANK OF CANADAI CAPRO CANADA CAIL101960 1000573112 CA-10006 ADMINISTRATION 2124286320 2124282372 USD 3.20 75.000r0000

..0D 4205.0,956,19 42.509,968.1 n-et.r Address: 4t0 CALIFORNIA STREET UNION BANK NA (FKA UNION BANK OF UNION BANK OF SAN FRANCISCO, CA COMMERCIAL LOANS 00740 CALIFORNIA AESUBC CALIFORNIA 1001359415 U0-94104 OPERATIONS 3237246198 8004469951 U00 3.26 75.000,000.

0,00 42,SO0,966.19 42,509,966.l0 Investor Address: 270 PARK AVENUE JPMORGAN CHASE BANK HA (JPM NEWYORK, NY NICOLE F 057897 CHASE) JPMCBKDCT JPM Chase USILOl1291 US-10017 MANGIARACINA 3026342022 0120443885 USD 6.52 150.000.000,00 0.00 85,019,032.30 85.019,932.3T Inestor Address: ONE UTAH CENTER 201 SOUTH MAIN STREET, 5TH FLOOR MORGAN STANLEY BANK, NA. Morgan Stanley SALT LAKE CITY, UT 690244 IMORGAN STANLEY) ACSMS Ivstomest JSlL094930 US-84111 MORGAN STANLEY 4436274355 7182332140 USD 5.43 125.000.00.

0.00 70,849,943.06 70,840,043.00 rnvestor Address: 1585 BROADWAY C/O TAX DEPARTMENT 1633 BROADWAY,25 TH FLOOR MORGAN STANLEY SENIOR FUNDING Mergan Stanley NEWYORK 050347 INC IMORGAN STANLEY INVESTMENT AAMSSF Investment JS1L022337 1002310879 US-10019 MORGAN STANLEY 4436274332 7162332140 U1D 1.01 44,00,00.

0.00 24,930,100.17 24.039.180.17 DEUTSCHE BANK TRUST COMPANY Invstor Addres: 2 PENNS WAY 050702 AMERICA (DEUTSCHE)

NALDB-UDO DeDtsche Bank U51L034308 US- SHODA KENCHAPPA 9045205449 8662403022 USD 7.35 109,000,000.

0.00 95,789,123.8 95,789.123.80 Investor Adoress: 1525 AVENUE OF AMERICAS NEW YORK, 050702 ISO CAPITAL LLC ARMING (NO Cap LLC 1300534709 US-10019 -RMELINDA YOUNG 0464248240 6464240251 USD 4.35 100,000.00 0.00 58,67i, 9 5 4.9 3 50,079,954.93 24 ATTACHMENT3 Cit~bank N.A Invesor Contact Report (OC Report)As Of: 24-MAY-2012 Tranche Ref No : 00IBTPR1 11850005 Reference Oate: 0512412012 Ta-he afko bJ0lBTpFHI1&000

]Now, NRO.ENEROYRC.SENNIOR TOTALLOAN TOTA LC TOTAL INVESTOR#

IrveslONape " I M- MNEMONIC Fund Mar OTCC CODE GFCID ANVESTORDETAILS ENTITY NAME ENTITYPHONE# , ENTITYFAX#

CCY ASSETRATIO TOTALCOMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING 00.5.1S; ARRI.: 1351 AVENUE OF THE BANK OF THE AMERICAS TOKYO- 14THAFL THE RANK OF TOKYO-MITSUBISHI UFJ MITSUBISHI UFJ NEW YORK 57501 LTD (BANK OF TOKYO) ACSBTM LTD JP1LN64A42 JP-10020 _ AIM VELEZ 201413586 2WI5212304 USD 409 ASA,ODD00.C 0.OS 53,27.B157.63 53,279,157.E:

Irweslo0 Address: 20. PARK AVENUE DNB NOR BANK ASA, AY BRANCH DNB NOR BANK NEWYORK, NY 059DB D INS NOR BANK) DNBASAUSD NSA, NY BRANCH US. -ALBERT CACEDA 83221458077 8322145839 USD 4.09 93,B.999,991T 0.00 53.279.157.52 53,279.157.6:

InvestorAddress:

320 PARK AVENUE 30TH FLOOR Citigroup Goba1 NEWYORK, NY 10843 AR8B CITIBANK, N.A. -ORIGINATIONS STPCUSO-18 Markets TUSO0CITI3 US-I0043 ANNEMARIE PAUCS .30B894A01 2129940849 UID 7.35 169,00a,000.(l.0 DO 95.789.123.B8 95,78,123.0; IrvestrAddra.:

ELEVEN MADISON AVENUE CREDIT SUISSE. CAYMAN ISLANDS Credit Suisse NEWYORK, NY 10010-3629 B RANC (CREDIT SUISSE FREDSI AlteraBve CHlLI56797 1003IOOBSN CH-lOUtI DERRICK RAT 91B695559 6S4d693871 USD T.35 1BBO00.D00.0 0.00 S5,7BS.123.B 95,789.1 23,B: Investor Address: 2 WORLD FINANCIAL CENTER COMMERZBANK AG, NEWYORK AND COMMERZBANK NEWYORK 0 G0099 GRAND CAYMAN BRANCHES CREDITOURODA AG 081025682 DE-10281 LYLE BOOTH 21226B7379 22988111 UBD 3.26 75,000,000.00 O.0 42.509,B66.19 42,509,9661.

Avestr Address: 42 ST. ANDREWS SQUARE EDINBURGH THE ROYAL BANK OF SCOTLAND RBS GreenrwV SCOTLAND 01337 GROUP PLC CLAUSOTRU Caplital GSBLOB8242 1001548132 GBi. DAVID VITT] .203B9779 2038733569 USD 6.48d 149,RO,00,0 0.0 84,453.132.8d 84.453,132.8, 54351 kdr&s- CUSTOM HOUSE DUCKS SumIomo MItsul DUBLIN SUMITOMO MITSUI BANKING Bankirt IRELAND D95191 CORPORATION 09519SIUSD Corporation Group IE. KRISTEN LEE 2122244314 2122245197 USD 1.D9 25,0O0,000.

0DO 14,169,B908.7 14,169.BBB.7:

Irvstor Address: 21B0 SOUTH 1300 EAST, SUITE 250 SALT LAKE CITY UT 110172 CIT BANK 1D0172USD CIT BANK 1001712876 US.U4106 PATT MATOS 2124415B211

.1017852 USD 0.87 20D0000,01D,0 DOT. 11,335B990.9SS 11,335.g90.g Irvestor Address: N5 BROAD STREET Goldmran SBhs NEW YORK, NY 136202 GOLDMAN SACHS BANK USA OOLDULC Asset MIt USBIL13122S 100D753986 US-l..o. ADMIN CONTACT 17.35 1S9,OOO. OD 95Z7B B123.B 55,7BB,123,8 Tot_ _ 100.00 2,300,000,000.0f 0,00 BO pwraraff 8RBM 25

, -rr,~ tsrowser "jutput ATTACHMENT 4 ratgc 1 01 1 COMPANY ID: 00566346 AccouNT ID: 00177313 LOGGED IN AS: GREGG.WEISSNAN@LAWDEB.COM Security Position Report Service Home > Request Form > Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 02/18/2011 Security Description GCB144A NRG ENERGY INC DO1/26/11 07.625% JJl8 Cusip 629377BL5 Participant Quantity Participant

-Quantity Participant Quantity 2352 AMALGAMATE 1 315O000 0901 BANK OF NY 163609000i 2154 BSNP PAR PB I DODD00oi 2510 BNY/PRUDEN 7956000t, 2095 BNYMEBr C D380 2251 BOA/CLIEa 200 I BOAGW I 6680001 21960ONY0ACL 114000001 0010 BROWN BROS 147340000i 090B CETBAN( .142300001 2032 CITBKIGRP 70 '218COMERICA 9500001 0573 DEUTSCHE 4500I 0987 FID SSB 90000 0141FST CLEAR J 3130001 0501GODMAN U' 20o0000 2219 HBBO OH 10200001 2305 HNTNGTNNB 00 2255 IPM/PCS SS J 175000 I 0352 JPMC CLEAR j24000000ý 0902 JPMCBNA j1975900001 2230 IPMCH/RBS 1 17500001, 0187 JPMS LLC 24050001 2769 KB NA/FsO 1635000J 0950 MGTR E 18720001 198 ML SFKPG 650001 2669 NRTIRN TRt 403790001________5___

18200 00_____2778 NTHRN/FFA 17000001 0-571 OPPEN-IEME 1§3000 2616 PNC BKNA 39826000i 4801 RBC DOM- 30D00001 2319 ssB TRUST ] 500__0997 SSB&T 00l 381846D000 2767 SSES-BRIT 276250001 2950 SSB-SPDRS 249000001 2971 SUNTRST BK 1GO 1022.1 UBS FINAN 650001 2803 US BANK NA 1 C50I2027 WELLS BKNA 60-5000ýTotal 1200000000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 26 3/9/2011 ar-ri nroOWSrE XJULpUE ATTACHMENT 4.1u JL U1L i COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM Security Position Report Service Home > Request Form > Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 02/18/2011 Security Description GCB 144A NRG ENERGY DO8/20/10 8.250% MS20 Cusip 629377BH4 Participant Quantity Partidpant Quantity .Participant Quantity 2352 AMALGAMATE 3465000j-0901 BANK OF NY i1392420001 2510 BNY/PRIJDEN 21550001 0954 BNYMEL/TST 10 7 8 6 8000j 0955 BOA/GWIM 194000f 2195 BONY/BARCL 243D0000 0010 BROWN BROS 1147539000j 0274 CGM/SAL BR 1 00~ 0908 rInBANK j 218770001 218CMEIA 152500 t 0573 DEUTSCHE i22500001 0987 FID S555000!4818 FIDuaE'w 16500D00 0141 FRST CLEAR 1 50001 2305 HUNTNGTNNB 2650001t 0352 JPMC CLEAR 245540001 2424 JPMCB/CTC 12250001 0902 JPMCBNA j 124402000) 12205 KEYBANK NA I 400000I 0992 MAR ILSLEY 950001 2932 MTTSU13 UFJ 14750001 5198 ML SFKPG -400001 0773 MLPFS/FIX 66150001 0050 MORGAN 5Th 500000'(1226 NFS LLC 1 12250001 2669 NRTI-RN TR I~o~_07 PEIIIE19000 2616 PNC BKNA 1294000_0235 R~ccApmKrs 500000 0971 REGIONS BK 50D0000 2039 SEI PRIVAT 1 2000001 2319 SSB TRUST 65001D9 S& O3675060100 2767 SSB-BRIT 1175130001 2852 TRUSTNARK 60000l 0221 UBs FINAN 400001, 12450 UMB BK,NA 1000000 12803 US BANK NA J99150001 2027 WELLS BKNAý 24200001 Total 1078576000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 27 3/9/2011 z5K Birowser uutput ATTACHMENT 4 rage i or i COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM Security Position Report Service Home > Request Form > Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as oft 02/18/2011 Security Description GCB REGS NRG ENERGY D08/20/10 8.250%.MS20 Cusip, U66967AE8 Participant Quantity Participant*

quantity Par-tidpant Quantity OMT BN0N441270001 0954 BNYMELiTsT 10 ROWN BROS 112000 0908 CITBANK 3990000' 0902 JPMCBNA 123950001 29.32 mITSUB UF3 4000001 Total 21424000 https-//portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 28 3/9/2011 zbr&ý 13rowser kUutput ATTACHMENT 4 I a I *J %i COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSNAN@LAWDEB.COM Security Position Report Service Home > Request Form > Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of 02/18/2011 Security Description CB NRG ENERGY INC. D06/05/09 Cusip-500% JD19 629377BG6 Participant Quantity Participant Quantity -Participant Quantity 0901 BANK OF NY 80723o0o0 0954 BNYMEL/TST 1087360001 0955 BOA/GWIM 95000 1 2209 BONY/SPoR 2200000D o010 BROWN BROS 47508000 0702 CCo LLC o450001 I ___ __ __ ____ ___1 0164 Cl-S SCH-WAB f 9420001 0908 CITIBANK( 133170001 2032 CriTBK/GRP 1 490001 0418 CITIGROUP 6415000i 2108 COMERICA 7580001 0355 CS SEC USA I 44390001 1.0573 DEU-TSCHE 1 5000000 0385 E*TRADE 1850001 0987 FID SSB 49000 0141 FRST CLE7AR 9660001 2975 FTB/PuL c 2125000r 0005 GOLD4AN 72020001 0534 INT BROKEJR 60001 0374 JMS LLC J 110001 0352 )PMC CLEAR 2145000 1 03 JMC 'NL 2350 92JMBA J96025000j 0187 JPMS LLW 31840001 2769 KB O 1700001! 0075 LPL FIN CO 3770001 0992 MAR LSLEY I 15ooo 2932 I 571.50001 5198 MLSFKPG j 297ooo1 0780 MORGAN K 25000!,.86.0,i5008 , -. 11950001 0226 NFS L-C 1617000i 0015 MSSB 1660 !508NBCN INC** I 12669 NRTHRN TR 531320001 0571 OPPENHI-IEE 1 997000!__0338 OPTIONSXPR I 25000!o,, I,,_ I ,1ooi Io,,,,,,, ! *0443 PERSHING 9380001 2616 PNC BKNA 1 26600001 0701 PRIMEVEST 5000 0547 R W BAIRD 1.00001 0725 RAYMOND 730001 481 _ RPC DOM 1000001 10235 RB&CAPMICTS 1627000 5011 SCOTIA" 111750001 75S~iAE J 200 02o79 SOUTHiWEST 5650)00!1 2319 SSB TRUST J 10600001' 0997 SSB&T CO j 155770000 2767 558-RIT 1160200 2950 SSB-SPDR'S 1300 0793 STIFEL 4050001 2779 SUMI TRUST 11 340000 112971 SUNTRST BK ISo !O DAM 600 5036 T1O WATER--- 1 30450001 0549 TIMBER HIL j 15000o1 0221 UBS FINAN 5338000j D 642 UBS SE~IC 1 1750001 2450 UMB BKNA I 61.400001 2067 UNION BANK i 25000!I2145 UNION BANK I 347D000I 2803 US BANK NA 107660001 0062 VANGUARD I 150000, 10103 WEDBUSH 1 50000! 2027 WELLS BKNA J 221600011 21-16 511--3RD BK 19000]Total 700000000 https://portaLdtcc.com/cre5/SPR/browser/SPRPosifionReport.do 29 3/9/2011 zirif Isrowser uwapui: ATTACHMENT 4 rag, JI u1 I COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM Security Position Report Service Home > Request Form > Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as aof: 02/18/2011 Security Description CB NRG ENERGY, INC. D01/21/06 Cusip 7.375% 3J17 629377AX0 Participant Quantity Participant Quantity Participant Quantity 2352 AMALGAMATE 2 5 0 0 0 1 0901 BANK OF NY 273D40700 7256 BARC/FDCEO 3017000 250BY(RDN 22D[ 0954 BNYMEI/TST i55525000!

0955 BOA/GWIM 4190001 2196 BONY/BARCL j 4980001 0013 BRNSTN LLC 5000 0)010 BROWN BROS 1260310001 0702 C(SLLC I 655000I 0164 cHS SCHWAB 5050010 0908 CITIBANK 147120001 0418 CITIGROUP 163 2108 COMERICA 51!;00G00 035.5 CS SEC USA 30050001 4 ______________________________________

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10385 E-TRADE 1 850001 4618 FIDUCIE*.

29400001 0141 FRST CLEAR 1378000 0309 FST 5TH CO 200001 0501 GOL1DMAN LP 50001 2305 H-UNTNGTNNB 1030001I 0534 INT BROKER 120001 0374 JMS LLC J 80000 2255 IPM/PCS SS 5D0000 251 JPMPR 1 3750000i 0352 3PMC CLEAR 3944000 2424 1 PM~CB/CTC 7000000j 0902 IPMCBNA I 384DG 22. EBKNA soo sLLFi c)60001 0727 MESIROW S00001 5198 ML SFKPG 5850001 0773 MLPFS/FDX 5840001 01 SB37590001 0226 IF L 1-452G000 2669 NRTHRN TR1600i 0571 OPPENH-EIME j 493000'1 0338 OPTIONSXPR j i0000 0443 PERSHING 51sii0001 0158 PFSI/RIDGE 110001 2616 PNC BK,NA 47790001 0547 R W BAIRD .5oooj 4801 RBC DOM**r 80000! 0235 RBCCAPMKTS 38220001 2319 SSB TRUST j 20910001 0997 SSB&T CO J32.89890001 2678 SSB&T/CCS J2825000[

2767 SSB-BRIT 1 212470001 0793 STIFEL 465000 _ 0188 TO _______ 1530001 0549 TIMBER HI-ft 48000].2076 U8 GLOBAL 1000001 0221 UBS IA 1 26540001 0642 UBS SEC1LC 600 214S UNION BANK 1 t500000' 0280 US BANCORP SOOO0j 2803 US BANK NA 7550 0062 VANGUARD, U0'D0 EBS 509 2027 WELLS BKNA 49940001 Total 1100000000 bttps://portal.dtco.com/creS/SPR/browser/SPRPositionReportdo 30 3/9/2011 Lfl. L~. .AJI tO VI at.Lt '~QUjLJL ~0~~~" ATTACHMENT 4 COMPANY ID: 00566346 ACcouNT ID: 00177313 LOGGED IN AS: GRE6GGWEISSNAN@1)LAWDEB.CGM Security Position Report Service Home > Request Form > Security Position Report Security Position Reports: One Time Special Security Position Report The Depository Trust Company One Time Security Position Report Position as of: 02/18/2f011 Security Description CB NRG ENERGY INC. D02/02/06 Cusip 7.375% FA16 629377AU6 Participant Quantity Participant Quantity Participant Quantity 2567 ANAL BK 100001 2352 AMALGAMATE S600125ASO K.0'1 0901 BANK OF NY 328134'00I 0771 BLAIR LLC 3000i 5043 SMO NSBT* 25000 2154 BNP PAR PB 1 3200000 2147 BNP/PPBC 14000001 284 BNP/PPBI I 3900000;1 2510 BNY/PRU .EN I14290000!

0954 BNYME[JTST 0955__, BOA/ 33890001 2209 BONY/SPDR 4323000 V 0013 BRNSTN LLC 250001 0010 BROWN BROS 205268000D 0702 Cs LLC 3250001oi 7311 CF/,C MKTS 1500010274 CGM/SAL BR 5000O____.____o_. : ,o~ __o__________

_______o 0164 CHS SCHWAB 80170001' 0908 CITIBANK 65040001 2032 CIBK/GRP 180000 0418 CrrIGROUIP 1.3500001 2392 CITY NIB 51000] 2108 COMERICA 1 17920001 0355 CS SEC USA [ 900j06 AISN ] 100001 0573 DEUTSCHE f 200001 10385 E'-TRADE [ 3270001 4818 FIDUCIE- 7900001 0141 FRST CLEAR I 11723000O 0309 FST STH, CO 760001 0501 GOLDMAN4 1P 150001 0768 HILLIARD 5000!229 HNB/FBO OH j 395000't 2898 HNB/FBO SC 300001 2305 HUNTNGNN 1 7000 0534 INT BROKER 75000)ý 0374 JMS [IC I 2730001; 2255 JPM/PCS SS .2650001 j 2517 JPM/PRUDEN

-11270000 035Z IPMC CLEAR 14801000 2424 JPMCB/CTC j 1953000DI 0902 ]PMCBNA I 402860000t 2230 3PMCH/RBS

.50000001 2769 KB NA/FTso_ 1-430_001 12205 KEYBANK NA 2600001 0075 LPL FIN CO 10020000992 MAR ILSLEY 205000O L2749901 0727 MESIROW 4350001 0990 MFG TRADE 225000'12932 MITSIJB UFJ 406500159 LSKG3600 0773 MLPFS/FIX 5020000'0780 MORGAN K 1 30010, 00 MORGAN_______

ioo 1 000 015 MSSB 6500 j0226 NFS LI-C 1 107490001 2669 NRT1-RN TR S46 000 571 OPPEMI-EIME 41W'I I 0338 OPTIONSXPR 0 45000 0234 PBESON FIN 100001 0443 PERSHING 95990001 0158 PFSXIRIDGE I t000 2616 PNC BKNA 245540001 0701 PRIMEVEST 5000!0547 R W BAIRD 32000 0725 RAYMOND 2870001 4801 R.C DOM-- 100000 0235 RBCCAPM..

TS 27210101 011 5303000,1 0705 SCOTrRADE looooj 2039 SEI PRIVAT 3250 029 SOUTHWEST 1 250001 2319 SSB TRUST 1900 097SBTC 4900i2678 SSS&T/CCS 185012767 S56-BRIT 6090 2399 SSBFRANK 2000000i 0419 STEPHENS .100001 0750 STERNE AG SO0;0793 STIFEL 38 I TRUST 1350001 2n971 SUTRST BK 0 0188 TD AMERITR, 2,9 506T ATER** 5740000 0549 TIMBER HI 1 164000!12852 TUSTMAR 20001 0221 UBS FINAN 1270 1 62USECL 2450 UMB B3K,NA I 3500001 2145 UNION BANK 7750001 2803 US BANK NA 26.4930001 0062 VANGUARD 9SOIt 95 03' WEDBUSH~l 1 fr .,~ A 84800 I0250 WELLS FARG 6850001 2116 5TH-3PD BK 1 153000, Total 2400000000 https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo 31 3/9/2011