south texas project, units 1 and 2 - transmittal of ... · south texas project electric generating...

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 2 f~r:o~ners, Officers, Dire~tqr~: ~~d·E~~cutive 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 1 b 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

STI: 34267450

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 ~ S l j(_ D '&

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Enclosures 1 & 2 Contain Personally Identifiable Information -Withhold From Public Disclosure in Accordance With 10CFR2.390

NOC-AE-16003330 of 2

cc: (paper copy)

*transmittal letter only

* Regional Administrator, Region IV U.S. Nuclear Regulatory Commission 1600 East Lamar Boulevard Arlington, TX 76011-4511

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

*NRC Resident Inspector U. S. Nuclear Regulatory Commission P. 0. Box 289, Mail Code: MN116 Wadsworth, TX 77483

RMS with all Enclosures

(electronic copy)

*transmittal letter only

Morgan. Lewis & Beckius LLP * Steve Frantz, Esquire

U.S. Nuclear Regulatory Commission *Lisa M. Regner

NRG South Texas LP *John Ragan * Chris O'Hara * Jim van Suskil

CPS Energy *Kevin Pollo * Cris Eugster * 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

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Enclosure 3

NOC-AE-16003330 Enclosure 3

Certificate Pertaining to Foreign Interests (SF-328) (2 pages) ~.

CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB No. 0704-0194 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

~':1:~;~ ~=~=· 0~ :"rl~~::,11~:'1:;'.:\~~~~=?~~0~: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. · , · ·

PENAL TY 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 any statement made herein which iS knowingly J. ' . . . . 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

3. Complete an questions on this form. Mark "Yes" or "No" for each this form. The retention of a fa.dilly security ciearance Is co11tlngent 1Jpon 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 x 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 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 x 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? .

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:

.,

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

. b. In the aggregate 30 percent or more lfits revenues or net Income from foreign persons? x 8. Is 1 o percent 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 ' \' r . <•.

;, ', foreign persoi'l(s)? · '.. .: . ·~ ,,_. '

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 ·s":.", .. : /X the operations or management or your organization? ·· . . l · · ·. :« , , 1 ~".1 "

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:

NOTE: In case of a corporation, a witness is not requ/Jed but the certificate below must be completed. Type or print names under ell slgnaturas . .

DavidR. Hill (Typed Name of Contractor)

Executive Vice Pre.sl~ent & General Counsel . ..rte of Authorized Contractor Reprasentative)

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.

- ;. -,,~~· ; '.~- i \.; ~ ~ 01/1812016 /'~~-~ae ~ . ;. ,;f9f'.tP~iiJ~9-saa1J.

~' • . •, "I,,.' ,,.'. "

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

Enclosure 4

NOC-AE-16003330 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

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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.

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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

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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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Gladstone Power Station Joint Venture Australia

NRG Gladstone Operating Services Pty Ltd Australia

NRG Victoria I Pty Ltd Australia

Mirant (Bermuda), Ltd. Bermuda

Mirant AP Investments Limited British Virgin Islands

Sunora Energy International Ltd British Virgin Islands

Midwest Generation Holdings Limited Cayman Islands

Goal Zero Europe GmbH Germany

NRG First Power Limited Guernsey

Mirant Asia-Pacific Construction (Hong Kong) Limited Hong Kong

NRGenerating Luxembourg (No. 1) S.a.r.I. Luxembourg


Beheer-en Beleggingsmaatschappij Plogema B.V. Netherlands

MEC Esenyurt B.V. Netherlands

MEG San Pascual B.V. Netherlands

NRGenerating International B.V. Netherlands

San Pascual Cogeneration Company International B.V. Netherlands

Sunshine State Power (No. 2) B.V. Netherlands

Sunshine State Power B.V. Netherlands

3279405 Nova Scotia Company Nova Scotia

3283764 Nova Scotia Company Nova Scotia

Pure Energies Group ULC Nova Scotia

Solar Pure Energies ULC Nova Scotia

2332174 Ontario Inc. Ontario

7644868 Canada Inc. Ontario



Pure Energies Solar Services Inc. Ontario

Mirant (Navotas II) Corporation Philippines

Mirant Navotas Corporation Philippines

Energy Efficient Engineering International (Pty) Ltd Republic of South Africa

Sunshine State Power (No. 2) B.V.

Sunshine State Power B.V.

NRG Victoria I Ply Ltd

NRGenerating International B.V.

GenOn Energy Services, LLC

Mirant Asia-Pacific Ventures, LLC

Sunora Energy Construction Holdings LLC

Mission Midwest Coal, LLC

Goal Zero LLC

Caresale Services Limited

Maplekey UK Limited

Mirant AP Investments Limited


NRGenerating Luxembourg (No. 1) S.a.r.I.

Mission Energy Holdings International, LLC

Beheer-en Beleggingsmaatschappij Plogema B.V.

Mission Energy Holdings International, LLC

NRG International LLC

MEG San Pascual B.V.



NRG ULC Parent, Inc.

Solar Pure Energies ULC

3279405 Nova Scotia Company

Pure Energies Group ULC








NRG Renew Investments (PTY) Ltd.

Netherlands

Netherlands

Australia

Netherlands

US (Delaware)

US (Delaware)

US (Delaware)

US (Delaware)

US (Delaware)

United Kingdom

United Kingdom

British Virgin Islands

Netherlands

Luxembourg

US (Delaware)

Netherlands

US (Delaware)

US (Delaware)

Netherlands

Netherlands

Netherlands

US (Delaware)

Nova Scotia

Nova Scotia

Nova Scotia

Nova Scotia

Nova Scotia

Nova Scotia

Nova Scotia

Nova Scotia



Republic of South Africa

Attachment 1 Page 1 of 3

17.50

20.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

65.00

35.00

100.00

100.00

100.00

100.00

100.00

100.00

41.67

50.00

100.00

100.00

100.00

100.00

100.00

100.00

50.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

EXKF (Pty) Ltd Republic of South Africa

NRG Renew Africa (Pty) Ltd Republic of South Africa

NRG Renew Investments (Pty) Ltd. Republic of South Africa

NRG Renew Management and Finance (Ply) Ltd. Republic of South Africa

NRG Renew SPV Eight (Pty) Ltd Republic of South Africa

NRG Renew SPV Eighteen (Ply) Ltd Republic of South Africa

NRG Renew SPV Eleven Ply Ltd Republic of South Africa

NRG Renew SPV Fifteen (Pty) Ltd Republic of South Africa

NRG Renew SPV Five (Ply) Ltd Republic of South Africa

NRG Renew SPV Four (Ply) Ltd Republic of South Africa

NRG Renew SPV Fourteen (Pty) Ltd Republic of South Africa

NRG Renew SPV Nine (Ply) Ltd Republic of South Africa

NRG Renew SPV Nineteen (Pty) Ltd Republic of South Africa

NRG Renew SPV One (Pty) Ltd Republic of South Africa

NRG Renew SPV Seven (Pty) Ltd Republic of South Africa

NRG Renew SPV Seventeen (Pty) Ltd Republic of South Africa

NRG Renew SPV Six (Pty) Ltd Republic of South Africa

NRG Renew SPV Sixteen (Pty) Ltd Republic of South Africa

NRG Renew SPV Ten (Pty) Ltd Republic of South Africa

NRG Renew SPV Thirteen (Ply) Ltd Republic of South Africa

NRG Renew SPV Three (Pty) Ltd Republic of South Africa

NRG Renew SPV Twelve (Pty) Ltd Republic of South Africa

NRG Renew SPV Twenty (Pty) Ltd Republic of South Africa

NRG Renew SPV Two (Pty) Ud Republic of South Africa

NRGenerating German Holdings GmbH Switzerland

Doga Enerji Uretim Sanayi ve Ticaret Limited Sirketi Turkey

Doga lsi Salis Hizmetleri Ticaret Limited Sirketi Turkey

Doga lsletme ve Bakim Ticaret Limited Sirketi Turkey

Caresale Services Limited United Kingdom

EME Finance UK Limited United Kingdom

Maplekey Holdings Limited United Kingdom

Maplekey UK Finance Limited United Kingdom


NRGenerating International B.V. Netherlands



NRG Renew Investments (Ply) Ltd. Republic of South Africa
























Mission Energy Holdings International, LLC US (Delaware)

NRG First Power Holdings I United Kingdom



NRG First Power Holdings II United Kingdom


100.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

100.00

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100.00

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100.00

100.00

100.00

100.00

100.00

80.00

100.00

80.00

49.00

51.00

100.00

100.00

100.00

Maplekey UK Limited United Kingdom Maplekey UK Finance Limited

NRG First Power Holdings I United Kingdom NRG First Power Holdings II

NRG First Power Holdings II United Kingdom Mission Energy Holdings International, LLC

United Kingdom

United Kingdom

US (Delay..iare)

Attachment 1 Page 3 of3

100.00

100.00

100.00

Gladstone Power Station Joint Venture

NRG Gladstone Operating Services Pty Ltd

NRG Victoria I Ply Ltd

Mirant (Bermuda), Ltd.•


Sunora Energy International Ltd•

Midwest Generation Holdings Limited

Goal Zero Europe GmbH

NRG First Power Limited

Mirant Asia-Pacific Construction (Hong Kong) Limited



Beheer-en Beleggingsmaatschappij Plogema B.V.

MEG Esenyurt B.V.

MEG San Pascual B.V.


San Pascual Cogeneration Company International 8.V.

Sunshine State Power (No. 2) B.V.

Sunshine State Power 8.V.

3279405 Nova Scotia Company**

3283764 Nova Scotia Company

Alvarado, Michael

Mclaughlin, Michael

Alvarado, Michael

Lewis, Stephen

Alvarado, Michael

Lewis, Stephen

Mackey, Glen E.

Mackey, Glen E.

Harmon, William

Killinger, Elizabeth R.

Olson, Rick

Curci, Brian

Keane, Daniel M.

Curci, Brian

Mackey, Glen E.



Alvarado, Michael

Alvarado, Michael

Alvarado, Michael

Malcarney, Kevin P.

Curci, Brian

Alvarado, Michael

Malcarney, Kevin P.

Alvarado, Michael

Malcarney, Kevin P.

Malcarney, Kevin P.

Pegler, Kelcy Jr.

Sotos, Christopher S.

Malcarney, Kevin P.

Pegler, Kelcy Jr.

Sotos, Christopher S.

Malcarney, Kevin P.

Management Committee Member

Attachment 2 Page 1of5

Management Commmittee Member (alternate)

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director

Director A

Director A

Director

Director A

Director 8

Director B

Director 8

Director B

Director/Secretary

President

Vice President

Secretary

President

Vice President

Director

Pure Energies Group ULC Malcarney, Kevin P.

Surapaneni, Prakash

Young, Robert

Delsante, Lisa M.

Mason, Richard

Pegler, Kelcy Jr.

Plotkin, Chad

Scott, Hugh

Son, Scott

Solar Pure Energies ULC Malcarney, Kevin P.

Surapaneni, Prakash

Young, Robert

Delsante, Lisa M.

Mason, Richard

Pegler, Kelcy Jr.

Plotkin, Chad

Scott, Hugh

Son, Scott

2332174 Ontario Inc.*

7549709 Canada Inc.** Delsante, Lisa M.

Frotte, Gaelan

Mason, Richard

Pegler, Kelcy Jr.

Scott, Hugh

Son, Scott


Frotte, Gaetan

Mason, Richard

Pegler, Kelcy Jr.

Scott, Hugh

Son, Scott


Frotte, Gaetan

Mason, Richard

Pegler, Kelcy Jr.

Scott, Hugh

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Vice President

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Son, Scott

Pure Energies Solar Services Inc.** Young, Robert

Chong, Jason

Delsante, Lisa M.

Mason, Richard

Pegler, Kelcy Jr.

Plotkin, Chad

Scott, Hugh

Mirant (Navotas 11) Corporation Curci, Brian

Mackey, Glen E.

Mirant Navotas Corporation Curci, Brian

Mackey, Glen E.

Energy Efficient Engineering International (Pty) Ltd Petrarolo, Dino

Pattison, Grant Michael

EXKF (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew Africa (Pty) Ltd Cornelius, Craig


NRG Renew Investments (Pty) Ltd. Cornelius, Craig


NRG Renew Management and Finance (Ply) Ltd. Cornelius, Craig


NRG Renew SPV Eight (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Eighteen (Pty) Ltd Buchanan, Margo Juliet


NRG Renew SPV Eleven (Pty) Ltd Pattison, Grant Michael

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NRG Renew SPV Fifteen (Pty) Ltd Buchanan, Margo Juliet


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Petrarolo, Dino

NRG Renew SPV Four (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Fourteen (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

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NRG Renew SPV Nineteen (Pty) Ltd Buchanan, Margo Juliet


NRG Renew SPV One (Ply) Ltd Pattison, Grant Michael

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NRG Renew SPV Seven (Ply) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Seventeen (Pty) Ltd Buchanan, Margo Juliet


NRG Renew SPV Six (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Sixteen (Pty) Ltd Buchanan, Margo Juliet


NRG Renew SPV Ten (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Thirteen (Ply) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Three (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Twelve (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRG Renew SPV Twenty (Pty) Ltd Buchanan, Margo Juliet


NRG Renew SPV Two (Pty) Ltd Pattison, Grant Michael

Petrarolo, Dino

NRGenerating German Holdings GmbH Malcarney, Kevin P.

Doga Enerji Uretim Sanayi ve Ticaret Limited Sirketi Alvarado, Michael

Curci, Brian

Oliver, Clifford

Doga lsi Salis Hizmetleri Ticaret Limited Sirketi Alvarado, Michael

Curci, Brian

Oliver, Clifford

Doga lsletme ve Bakim Ticaret Limited Sirketi Alvarado, Michael

Curci, Brian

Oliver, Clifford


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Keane, Daniel M. Director

Mackey, Glen E. Director

EME Finance UK Limited Curci, Brian Director



Maplekey Holdings Limited Curci, Brian Director



Maplekey UK Finance Limited Curci, Brian Director



Maplekey UK Limited Curci, Brian Director



NRG First Power Holdings I Curci, Brian Director



NRG First Power Holdings II Curci, Brian Director



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2Jt.4;:i.Us


i..7Qa:.665. S7 o.oo ..

2,631 ,5s6:al (l.Q(I

"

5,!l /!1.4 H.44 O,UU

tli00:2a3.74 Cl.00

i.42.\;,532.~ 0.00

' 294,69tl.9 - . 0.00'

313s1as:3• 0.00

11.161,ilta!l< ' -- o.oo

167.aoil-.9 0,00 -

_Aa,011.~e O.M

l 1-04.;462;9' 0.00

409,245.31: o.oo

2,~B0:798;~ o.oo

lSt,~S;J. rn; Q,00

t ,OB2.799.3'1 0.00 .

i19,38S.1S 0.0(1

'312.525.8~ 0,Q(J

iio.540.44 QOO

·a7,a10.o< a.no

i50.a1s.14 a.w

294.1.55.64 Q,Q(j'

2,1HJ.B15.24 O;OQ.

184,672.8:1 .(J,Oll

231;43·4'16 .a.oo

1,708, 665.!17

2.S31.SSO.B1 .

~.!Jl4.41Vl~

.t.S00.283. 74

1.424.-532.5~

- 294.600.91

3.13see.3c

,11J 5(,913.si '

161JJos.S~ ..

45,017.45

:104AS2.92

·409,245.~~

:!,2BO,'i'9S.3~

16l,BS3,11"

'f.o~.100.~ ;

119.386.ts

312.525.84

60.540.44

.:iw1u.52

·1 so.s1s.14

294,IS5.64

-:?;110,615.24

184,672.82

2:iL434.iS

FINANCIAL CENTER 3200PLAzAS

41°381!4 s\JN,•.!.IERICA FLEXIBLE CREDITFUNO JERSEY CITY 2 . OC01 Al.!YkEITl-l 86071i053Hi 2.143D7E82l· STREET

JOHN HANCOCK PENSlON PLAN USTAXZa BANI< LONI

617946o096 414653 80STON 2 0Co1 ACCOUNTING 9499323005 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. ln~eslcr Address; 6621 FANNIN STREET

TEXAS CHILDRENS HOSPITAL HOUSTON 418S69 l'OU~iDATION . US·770JO 2 OC02 AGENT NOTICES 9499323005 i; 17369~;;m1

ROAD

CoN 'NAY RETIREMENTM.A.STER TRU.ST .SUITE 100 6,l\/o!KL9AN

949'3323005 419222. ANN ARBOR 2 OC01 ACCOUNTING 6173303673 WAY

42045-3 FIRST AMERICAN Tt.TlE INSUSV-.NCE ~A,NTAANA

- COMPANY - US.92707 2 - OC01 AGENT NOTICES .• 9499S23005 . 6l7421034il

NEW YORK STATE i::OMlfoN lnvestarMdrei;s: 110 STAIE STREET

42l~lll AlBANY

RETiR~ENT FUND. us-12234 2 OC01 AGENT NOTICES - 0000000000 OoCOOOOOOO· J'>lVD

CONSUMER PROGRAM 11THFlOOR BANK LOAN 42.1242.- ADMINISTRAToRS INC CHICAGO 2. CC01 DP8:vlTI!ONS 2, :2!l 10635-8 . 0000000000

DRIVENORTI+ LIVONIA

423616 INVESCO SSL FUND LLC US-48152 2 OC01 TOM0

JOVIC 6306648389 46%133100 ·- 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

HOUSE ~OUTHCHURCHSTREET

426561 DR.YDEN 38 SENIOR LOAN FUND .GEORGE TOWN 2 . OC01 BRAIN SCHOU: OOCOOOC-000 84456$0i!H. '/'IELFARE BENEflTS Pl.AN FOR DRIVE COLLE9TJVEl Y BARGAlNED CHARLOTT€ BANI< LOAN

426902 El.IF'LOYEES US-28262 2 OC01 ACCOUNTING Me9323oos 61rn00702· NORTHWESTERN MU.TUAL SERIES '(l/1ScONSIN AVE FUNO INC MUL TT SECTOR BOND MILWAUKEE BANKLOM-1

421790 POt<Tl'OUO US-53iD2 2 ocno1 ACCOUNTll'J(; 949!1323005 6179880722 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· Investor Addras~' 4 EASTON OVAL COLUMBUS .

428660 SAFE .A.UTO INSURANCE COMPANY US-432196010 2 6C1l1 AGENT NOTICES 0000000000 8444203339 STREET

HEWLETT PACKARD COMPANY PAt.OALTO 428780 MASTER TRUST US-943!14 2 OC01 A.GENT NoTiCE.s 9499322005 5173303863·

lnYestor Al!dress: 101 ASH STREET SEMPRA ENERGY DEFINED BENEFIT S,t\NOIEGQ .

428950 MASTI;R TRUST US-92101 2 OC01 AGENT NOTICES 9499n3oos e 11s.;soc9a UNCONSTRAINEO BOND SERIES (Fi<A) l11'i'esta1Address:290 WOODCLIFF .DR MANNING AND NAPIER FUND 1NC CORE FAIRPORT

430483 Pl.US BOIJD SERJES IJS-14450 :i ocoa TRADE PROCESSING 5853252215 oocoooooooo Fl 28

..

LOS ANGELES DIONNE AUBREY 431265 OAKTREE ElF II SERIES 92 LTO US-90071 2 DC01 MCGHEE 2138306:;()6 OODOOOGOOO

SUITE1400 STATE OF HAWAII EM!>LOYEES. HONOLUW BANK LOAN

432049 RETIR~IENT~YSTEM · US·001l1::J2980. 2. OCOi AC.COUNTING 9499323005 6174210453 SUITE1.tHO

VIRTUS NE'NFLEET MUl Tl SECTOR. NEWVORK M1148 UNCONSTRAINED BOND ETF US-10036 2 QC01 AGENT i'JOTJCES. 860i605315 9725JS.l045·

P;IRKWAY WAREHOUSE FUNDING AVERY !"O!NT COLUMBUS WAREHOUSEfUrJOlt!

4'12734 VII CLOLLC 43240 2 OC01 G oocoooaooo 5443{]04523

20a Demos tic

[email protected] M USO o.ro

PIMC0'0782.0@STA TESTREET,COM USO 0.01 ..

141JYtllbW'2t!@TL!;.L0$PRUU.l.!Ul.F usu .(].J.Jb

[email protected] USO "0.02.

P IMCO-il1B72@ST ATE STREET ,COM USO 0.02

. PIMC0.0304S@S'rATESTREET.COM USO ·- o.ro

197280Si613@TLS:t0sPROO.COl..t USO 0.03

BLK-PRJVA [email protected] USO 1101 •

[email protected] USO ·0.00 -·· . -

_ F'[email protected]'..I USO .0.01

. DRYDEMl8@USBANKcoM· USO l}.1:;

PIMC6--0i3i!O@STATESTREET,COM USO ·0.02.

PIMC0-06232.~STA 1'E.SiREOl.COM USO O.o.I

146962BlS:[email protected] USO 0,00

SAFE.AuT0.1NSURAACEC6@USsA · NK.COM USO .0.01

.. ..

PIMC0.:06935@ST ATESTREET .COM USO 0.04

PIMC0--07697@STATESTREET,COM !JSP o.ao

TRADEPROCESStNG@MANNlNG-N~IERCOM USO 0:45 OCM-NEWACCT@OAKTREEECAP!TALG OM VSD 0.18

· [email protected]~1 USO .0.01

[email protected]. tOSPROO.COM USO, O.G:l

[email protected] USO ·0,13

Total 100.00

64B:333;3:l

192, o24:6li

Y\l:!,:J.'lU.!:1-1

-444,2.89:3.l

.l!46; 265.22

.. 494.9iO~!loi.

1173.269.-2~

:2!11. 750.ot

1;21s,i>1-1:7E .

1)1.1):;6.~5'

.2~9f-4.6S.t72.

..j45.482..sa

B6G,5~03

547,B51.99

'246.086.7~

731),314.3:2

87,86SA1

8.1l33,ES0-42

:3.n12.ci20.sa

132.101HC

537, 237.80

2.467,212.2~

1 ;9_66,394,99~.85


6-iS.333.~ o.oo

;92,02<1.&e 0.00

!J!l:!,:l'l!W4 u.uu

#1.269.34 0,00

346,205,22 0.00

.194,910.!J.<: 0.00

s73,i69.2' 0.00

Wt7_50.[)( 0.00

1.275.0.14.7E c.oo

117,033.~~ 0.00

2.984,654.7~ 0.00

445,482.ii! O.Oll

illl6,!i:l6.0C ·0.0(]

Sol7;!J51.~ 0,(1(]

2~3.086,7~ 0.00

.739 ,314.'3: 0,00

87.8&5.41 0.Q(i

6,933.660.~ o.oo

3,512,025.6f. a.nil

132.1os.1c a.co

537.237:8• 0.00

'2.487;212.2E .. .QQO,

DcrnMtle

1.9S6,3\;4,999,8S 0.00

!i48,333:~

t92.C24.ile

Y9:!.3M:iJJ~

444:269.34

.346.265:2<

49:.\,910.94

673.269.2~

29t75.0.0C.

1.i7S.tl14.7S

117.036.4E

. 2;984,654.7~

· 445.4S2.So

856,536.0~

5·17,951,9!

2~8.ilSo. 7<

7:39.31<!.3'.<

87.865.41

8,933.€60,4,

;:;,s1i.026.&

132.106.7C

537237.8'

2,4B7,212,2E

511 ;54_0,475.7~

·1,966,394,999:.85

fr~anche Ref No: 031BTPR13.1610003

frranche Name : NRG ENERGY RC SENIOR

INVESTOR# Investor Name MNEMONIC Fund Manager MEI Code DTCC CODE GFCID

DNB BANK ASA (FKA DNB NOR BANK 059089 ASA) DNBASAUSD DNB NOR BANK ASA N01L 177325

THE ROYAL BANK OF SCOTLAND RBS GREENWICH 061337 GROUP PLC RBSUSD CAPITAL GB1L211398 GB1L211398 1001648132

SUMITOMO MITSUI BANKING SUMITOMO MITSUI 095191 CORPORATION 095191USD BANKING JP1L113879

THE BANK OF TOKYO MITSUBISHI UFJ BANK OF TOKYO 057609 LTD ACSBTM MITSUBISHI JP1L164542 JP1L164542

DEUTSCHE BANK AG NEW YORK 057628 BRANCH MD BAG Deutsche Bank Ag DE1L156826 DE1L 156826

BANK OF AMERICA, 057658 BANK OF AMERICA NA 057658USD N.A. US1L009318 US1L009318

BARCLAYS BANK PLC( NEW YORK 057661 BRANCH) VBBB BARCLAYS BANK PLC GB1L182938 GB1L182938 1008116136

057666 NATIXIS NEW YORK BRANCH ACSNBP Natixis FR1L 181185 FR1L181185

057680 BNP PARIBAS (BNP PARIBAS) VUEBNP BNP PARIBAS FR1L377510 FR1L377510

CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK(F/K/A

057697 CAL YON)(CAL YON) CAL YON CREDIT AGRICOLE FROM0001K2 FROM0001K2 1000086424

ROYAL BANK OF 057732 ROYAL BANK OF CANADA CAPRB CANADA CA1L116960 CA1L116960 1000573112

SUMITOMO MITSUI BANKING CORP. SUMITOMO MITSUI

057738 (FKA THE SUMITOMO BANK) PSUMIT BANKING JP1L113879

MUFG UNION BANK NA (FKA UNION UNION BANK OF

057746 BANK NA) AESUBC CALIFORNIA US1L329203 US1L329203 1001359416

JPMORGAN CHASE BANK NA (JPM JPMORGAN CHASE

057887 CHASE) CJPMOGR BANK, N.A. US1L019291 US1L019291

MORGAN STANLEY BANK, N.A. MORGAN STANLEY

058244 (MORGAN STANLEY) ACS MS SENIOR US1L094930 US1L094930

MORGAN STANLEY SENIOR FUNDING MORGAN STANLEY 058347 INC MSSF SENIOR US1L022337 US1L022337 1002310879

KEYBANK NATIONAL ASSOCIATION 058415 (KEYBANK NATL ASSOCIATION) EMKBN KEYBANK US1L035115 US1L035115 1000518979

058782 ING CAPITAL LLC ARMING ING Capital LLC US1L102188 1005384709

CJTIGROUP GLOBAL 060086 CITIBANK, N.A. - ORIGINATIONS STPCUSD-18 MARKETS US1L027740 DUOOOCITl3

INVESTOR DETAILS OCCONTACT ENTITY NAME

Investor Address: DRONNING EUFEMIAS GATE 30 OSLO N0-0191 1 OC0143AGY ALBERTO CACEDA I"'.""""'""'' ,.._..._.,.,..,.,.,"+£.::ii. -.,.,...,,u ......... ._._....,,,,,,_

EDINBURGH SCOTLAND GB- 1 OC131 LISA SHULSEN ............. -.. ................... .._,...., .... 1""''' ,..., ..................... """'' .....

DUBLIN IRELAND IE- 1 OC01 KRISTEN LEE

Foreign 3 1111v<;;>;;io~v1 ri,yu1i;;;;;io;;io, l&..o.J r\YL... .._,, Inc. ,_,,_ 10TH FL NEW YORK JP-10020 2 OC0101AGY JAIME VELEZ

Investor Address: 60 WALL STREET NEW YORK US-10005 2 OC0101AGY PARAMJIT SIHRA

Investor Address: 150 N COLLEGE STREET NC1 028 17 06 CHARLOTTE FAIR VALUE US-28255 2 OC9000AGY4 SERVICING TEAM

I'"'·--·- ·--·---· - ·-··-···-- .................. 11TH FLOOR NEW YORK GB-10265 2 OC1254 DERMOT KEENAN 1111vv;;io~v1 ""1.1u1o;;;;;io;;io. I"""' ""'v-. __ ur inc: ..... ,.,,._,.,,,...,,......,

34TH FLOOR NEW YORK, NY FR-10020 2 OC005 ROSLYN ADAMS

Investor Address: 787 SEVENTH AVENUE, 32ND FL NEW YORK, NEW YORK 10019 FR- 2 OC1201A PATRIZIA RIZZO

Investor Address: 1301 AVENUE OF THE AMERICAS NEW YORK FR-10019 2 OC012 GENER DAVID

Investor Address: ONE LIBERTY PLAZA NEW YORK LOANS CA-10006 2 OC0250AGY ADMINISTRATION

----· ·--· -~ .............. , ........ , 01n ........... "'

TAX DEPARTMENT NEW YORK JP-10172 2 OC12345 CLAIRE KOWALSKI

, •• --·-• ·--· , ....... "'tUV

CALIFORNIA STREET SAN FRANCISCO COMMERCIAL LOANS US-94104 2 OC0258AGY OPERATIONS

Investor Address: 270 PARK AVENUE NEWYORK,NY US-10017 2 OC005 ASHA NANJAPPA ···--·-· ·--·---· -··- u 1ru ....,,_1 llC.C"\

201 SOUTH MAIN STREET, 5TH FLOOR SALT LAKE CITY, UT US-84111 2 OC101 MORGAN STANLEY

·-· '""'""'""' ........... '""'.., -·- '"" DEPARTMENT 1633 BROADWAY,25 TH FLOOR NEW YORK 2 OC015 MORGAN STANLEY

Investor Address: 127 PUBLIC SQUARE CLEVELAND US-44114 2 OC61013 LASHAWN DALTON

Investor Address: 1325 AVENUE OF AMERICAS NEW YORK, US-10019 2 OC002 FRENKLIN CHRISTIAN

'. --·-· ·--· ---· --- .... ,._, --30TH FLOOR NEW YORK, NY 10043 US-10043 2 OC6900AGY ANNEMARIE PAVCO

ENTITY PHONE # ENTITY FAX# ENTITY EMAIL CCY

8322145807 8322145839 [email protected] USO

GBMUSOCLENDINGOPERA TIONS@R 8013126187 2038735019 BS.COM USO

KRISTENMYUNGHEE_LEE@SMBCGR 2122244314 2122245197 CUP.COM USO



FAIR_ VALUE_OPTION_SERVICING_T 9803864605 7046023632 [email protected] USO


2128725177 2017616934 ROSL [email protected] USO

[email protected] 5142856042 2016167918 BAS.COM USO


2124286322 2124282372 USO

[email protected] 2017618701 2122244397 OM USO

3237246198 8004469951 CLO [email protected] USO

8066760775 2012443885 [email protected] USD

MSLOANSERVICING@MORGANSTAN 4436274355 7182332140 LEY.COM USD

MSLOANSERVICING@MORGANSTAN 4436274355 7182332140 LEY.COM USD

2168134819 2163706114 LASHAWN DAL [email protected] USD

DL-NYCLOANADMINISTRATION@AMERI

6464248244 6464248251 GAS.ING.COM USD


TOTAL LOAN ASSET RATIO TOTAL COMMITMENT OUTSTANDING

3.98 100,000,000.00 0.00

4.78 120,000,000.00 0.00

3.98 100,000,000.00 0.00

2.35 59,000,000.00 0.00

6.73 169,000,000.00 0.00

6.73 169,000,000.00 0.00

6.73 169,000,000.00 0.00

3.98 100,000,000.00 0.00

3.98 100,000,000.00 0.00

6.73 169,000,000.00 0.00

4.98 125,000,000.00 0.00

1.00 25,000,000.00 0.00

2.99 75,000,000.00 0.00

5.97 150,000,000.00 0.00

4.98 125,000,000.00 0.00

0.76 19,000,000.00 0.00

1.39 35,000,000.00 0.00

3.98 100,000,000.00 0.00

6.73 169,000,000.00 0.00


TOTAL LC OUTSTANDING TOTAL OUTSTANDING

44,052,653.26 44,052,653.26

52,863, 183.91 52,863, 183.91

44,052,653.26 44,052,653.26

Foreign 140,968,490.42

25, 991,065.42 25,991,065.42

74,448,984.00 74,448,984.00

74,448,984.00 74,448,984.00

74,448,984.00 74,448,984.00

44,052,653.26 44,052,653.26

44,052,653.26 44,052,653.26

74,448,984.00 74,448,984.00

55,065,816.57 55,065,816.57

11,013, 163.31 11,013,163.31

33,039,489.94 33,039,489.94

66,078,979.88 66,078,979.88

55,065,816.57 55,065,816.57

8,370,004.12 8,370,004.12

15,418,428.64 15,418,428.64

44,052,653.26 44,052,653.26

74,448,984.00 74,448,984.00

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

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

Investor Address: 888 EAST WALNUT STREET PASADENA

110172 CIT BANK NA (FKA) CIT BANK CITB CIT GROUP US1L027781 1001712876 US-91101 2 OC1

Investor Address: 200 WEST STREET TAX DEPARTMENT GOLDMAN SACHS NEW YORK, NY

136202 GOLDMAN SACHS BANK USA GOLDDLC BANK USA US1L 131229 US1L131229 1000753986 US-10282 2 OC17

Domestic 20

DERRICK RAY 9199945559 8664693871 [email protected] USO 6.73

LYLE BOOTH 2122667379 2122988111 L [email protected] USO 2.99

DEBORAH CHANDLER 4347916322 2124617855 [email protected] USO 0.80

OPERATIONS CONTACT 0000000000 9179773966 USO 6.73

Total 100.00

169,000,000.00 0.00

75,000,000.00 0.00

20,000,000.00 0.00

169,000,000.00 0.00

2,511,000,000.01 0.00


74,448,984.00

33,039,489.94

8,810,530.65

74,448,984.00

Domestic

74,448,984.00

33,039,489.94

8,810,530.65

74,448,984.00

965, 193,632.86

1,106,162, 123.28 965, 193,632.86

1/1212016 SPR Browser Output

COMPANY ID: 00550873 AccouNT ID: 00181661


LOGGED IN As: [email protected]

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

Security Description

The Depository Trust Company One Time Security Position Report

Position as of: 01/11/2016

GCB 144A NRG ENERGY D08/20/l0 Cusip 8.250% MS20 629377BH4

Participant Quantity Quantity

BROWN BROS

Participant Quantity

Total 1125000

1/12/2016 SPR Browser Output Attachment 4A Page 2 of 9

COMPANY ID: 00550873 ACCOUNT ID: 00181661 LOGGED IN As: [email protected]






GCB NRG.ENERGY INC D04/18/11 Cusip 08.2500/o SM20 629377BJO

Participant Quantity Participant Quantity ---~·-·--,---

4801 RBC DOM**

0705 SCOTTRADE ---+--·~--

2319 SSB TRUST


AMALGAMATE

0226 NFS LLC

0443 PERSHING

0725 RAYMOND

Total 1056526000


CoMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN AS: [email protected]






GCB NRG.ENERGY INC D11/08/11 Cusip 07.6250/o JJ18 629377BN1

Participant Quantity Participant Quantity Participant --,~~~~----·~~--,--

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

Quantity

1038646000


COMPANY ID: 00550873 AccoUNT ID: 00181661 LOGGED IN AS: BRIAN.CURCI@NRGENERGY,COM



Security Description CB NRG ENERGY INC Dll/15/11 07.8750/o MN21

Participant r----·-

0756 AEIS INC.



Cusip 629377850

Participant

2567 AMAL BK

Quantity Participant

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: [email protected]



Security Description CB NRG ENERGY INC 003/15/13 06.6250/o MS23


0250 WELLS FARG



Cusip 629377BU5

Participant Participant

0221 UBS FINAN

2027 WELLS BKNA

Total 916000000

1/12/2016 SPR Browser Output

COMPANY ID: 00550873 ACCOUNT ID: 00181661


LOGGED IN As: [email protected]



Security De~cription GCB144A NRG ENERGY INC DOi/27/14 06.2500/o ll22



Cusip 629377BV3

Participant Quantity Participant Quantity

THERE WAS NO POSITION FOR THIS SECURITY

1/1212016 SPR Browser Output



LOGGED IN AS: [email protected]

Security Position .Report Service Home > Request Form > Security Position Report 2016.01.12 AT 13:52:31 EST




Security Description GCB NRG .ENERGY INC Dl0/24/14 Cusip 06.2500/o JJ22 629377BW1

Participant Quantity Participant Quantity Participant Quantity

Total 1090000000




LOGGED IN AS: [email protected]


Security Position Reports:· One Time Special Security Position Report

Security Descripti~n GCB144A NRG ENERGY INC 004/21/14 o6.250i>/o MN24



Cusip 629377BX9

Participant Quantity Participant Quantity

THERE WAS NO POSITION FOR THIS SECURITY


CoMPANV ID: 00550873 AccouNT ID: 00181661


LOGGED IN AS: BRIAN,[email protected]



Security Description CB NRG ENERGY INC 011/01/14 06.2500/o MN24




Cusip 629377BY7

Participant

Total


115000 1

26364000

8000

150000

310000

1416000

125000

886875000

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