Managing Director, Deputy Director of Compliance

MA/A 0001261467 XXXXXXXX Rose Keenan 212-278-7254 rose.keenan@sgcib.com esteban.umana@sgcib.com rose.keenan@sgcib.com SG AMERICAS SECURITIES, LLC 128351 52-1128875 866-00197-00 867-00824 008-66125 128351 SG Americas Securities, LLC Registered in all 50 states, the District of Columbia and Puerto Rico 245 PARK AVENUE NEW YORK NY 10167 212-278-5004 N www.sgcib.com James Michael Hubbert Managing Director, Deputy Director of Compliance

245 Park Avenue New York NY 10167

212-278-5004 212-278-7696 james.hubbert@sgcib.com Lisette Marla Lieberman

245 Park Avenue New York NY 10167

212-278-6412 212-278-7696 lisette.lieberman@sgcib.com SG Americas Securities Holdings LLC N Societe Generale S.A. Y Registry of Commerce and Companies 552 120 222 RCS Paris I0 December DE 08-08-2003 N 703 4 4 0 0 10 Corporations or other businesses 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Security-based swap dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company Insurance company or agency Pension consultant Real estate broker or dealer 26 Add Other municipal advisor David Bird David Bird Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Security-based swap dealer Commodity trading advisor Futures commission merchant SG Securities (HK) Limited SG Securities (HK) Limited - Reference Number: 11547 N Y Y Securities and Futures Commission AAD941 K3 Delete Insurance company or agency KOMERCNI POJISTOVNA A.S. KOMERCNI POJISTOVNA A.S. Reference Number: 11961 N Y Y Czech National Bank 63998017 2N Add Trust Company SG Trust (Asia) Ltd SG Trust (Asia) Ltd - Reference Number: 11547 N Y Y Monetary Authority of Singapore 200010525H U0 Delete Banking/Thrift institution SG Hambros Trust Company Ltd SG Hambros Trust Company Ltd - Reference Number: 12517 N Y Y Financial Conduct Authority 122566 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution Other municipal advisor Komercni Banka, a.s. Komercni Banka, a.s. Reference Number: 10935 N Y Y Czech National Bank 45317054 2N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution Insurance company or agency Other municipal advisor Societe Generale Banka Srbija Societe Generale Banka Srbija - Reference Number: 10099 N Y Y National Bank of Serbia 7552335 Z2 Delete Investment Company Investment Adviser SG 29 Haussmann SG 29 Haussmann - Reference Number: 14441 N Y Y French Financial Market Authority GP-06000029 I0 Delete Broker-dealer municipal securities dealer or government securities broker or dealer Banking/Thrift institution Societe General Ghana Limited Societe General Ghana Limited - Reference Number: 13423 N Y Y Register-General's Department Ministry of Justice CS011472016 J0 Delete Banking/Thrift institution Societe Generale Benin Societe Generale Benin - Reference Number: 13421 N Y Y Central Bank of West African States (BCEAO) B 0104 G6 Delete Banking/Thrift institution Societe Generale Algerie Societe Generale Algerie - Reference Number:10091 N Y Y Bank of Algeria B4 Commission of Surveillance of Stock Exchange Operations B4 Delete Banking/Thrift institution Ohridska Banka AD Skopje Ohridska Banka AD Skopje - Reference Number: 16219 N Y Y National Bank of the Republic of Macedonia 05004756 1U Delete Trust Company AEGIS HOLDINGS (ONSHORE) INC. AEGIS HOLDINGS (ONSHORE) INC. N Y N Delete Insurance company or agency FINASSURANCE SNC FINASSURANCE SNC - Reference Number: 10286 N Y Y Authority for Prudential Control and Resolution (ACPR) 7000574 I0 Delete Banking/Thrift institution FRANFINANCE FRANFINANCE - Reference Number: 10153 N Y Y ACPR ( Autorite de controle prudentiel et de resolution ) / Prudential Control and Resolution Authority 16760 I0 Delete Investment Adviser Lyxor Asset Management Japan Co Ltd Lyxor Asset Management Japan Co Ltd - Reference Number: 16044 N Y Y ??FSA (Financial Services Agency) Kanto Local Finance Bureau(FIBO) 415 M0 Delete Investment Company Pascal Fundo de Investimento Multi Mercado - Investimento No Exterior Pascal Fundo de Investimento Multi Mercado - Investimento No Exterior - Reference Number: 18190 N Y Y CVM - Comissao de Valores Mobiliarios 13.107.003/0001-70 D5 Delete Investment Company SG AMERICAS EQUITIES CORP. SG AMERICAS EQUITIES CORP. - Reference Number: 13099 N Y N Delete Trust Company SG HEALTHCARE BENEFITS TRUSTEE COMPANY LIMITED SG HEALTHCARE BENEFITS TRUSTEE COMPANY LIMITED - Reference Number: 11914 N Y Y Companies House 02202418?? X0 Delete Insurance company or agency SG OSIGURANJE a.d.o. SG OSIGURANJE a.d.o. - Reference Number: 17389 N Y Y National Bank of Serbia 20561211 Z2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Security-based swap dealer Futures commission merchant SG Securities Korea, Ltd SG Securities Korea, Ltd - Reference Number: 11547 N Y Y FSC (Financial Services Comission) M5 Delete Trust Company SG UK MP Trustee Company Limited SG UK MP Trustee Company Limited - Reference Number: 16457 N Y Y Companies House 6209960 X0 Delete Banking/Thrift institution SOCIETE GENERALE SOCIETE GENERALE - Reference Number: 10001 N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Security-based swap dealer Commodity trading advisor Futures commission merchant SOCIETE GENERALE BANK & TRUST SOCIETE GENERALE BANK & TRUST - Reference Number: 10344 N Y Y CSSF B00000019 N4 Delete Banking/Thrift institution Societe Generale Capital Market Finance Societe Generale Capital Market Finance N Y Y Commission de Surveillance du Secteur Financier (CSSF) B 180290 N4 Delete Investment Company SOCIETE GENERALE INVESTMENT CORPORATION SOCIETE GENERALE INVESTMENT CORPORATION - Reference Number: 13075 N Y N Add Investment Adviser Banking/Thrift institution SOCIETE GENERALE PRIVATE BANKING (MONACO) SOCIETE GENERALE PRIVATE BANKING (MONACO) - Reference Number: 11217 N Y Y ACPR 71236 I0 Add Banking/Thrift institution SOCIETE GENERALE PRIVATE BANKING (SUISSE) S.A. SOCIETE GENERALE PRIVATE BANKING (SUISSE) S.A. - Reference Number: 14100 N Y Y FINMA 117056 V8 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Futures commission merchant SOCIETE GENERALE PRIVATE WEALTH MANAGEMENT S.A. SOCIETE GENERALE PRIVATE WEALTH MANAGEMENT S.A. - Reference Number: 13058 N Y Y CSSF S0000427 N4 Delete Banking/Thrift institution SOGELEASE FRANCE SOGELEASE FRANCE - Reference Number: 10219 N Y Y ACPR ( Autorite de controle prudentiel et de resolution ) / Prudential Control and Resolution Authority 14198 I0 Delete Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant Societe Generale Capital Canada Inc Societe Generale Capital Canada Inc - Reference Number: 13426 N Y Y Alberta Securities Commission Z4 Autorite des marches financiers (Quebec) Z4 British Columbia Securities Commission Z4 Manitoba Securities Commission Z4 New Brunswick Securities Commission Z4 Nova Scotia Securities Commission Z4 Ontario Securities Commission Z4 Prince Edward Island - Office of the Attorney General Z4 Saskatchewan Financial Services Commission Z4 Securities Commission of Newfoundland and Labrador Z4 Montreal Exchange (MX) Z4 Canadian Derivatives Clearing Cor;oration (CDCC) Z4 Ice Futures Canada Inc. Z4 Ice Clear Canada Z4 Toronto Stock Exchange (TSX) Z4 TSX Venture Exchange Z4 Apha Exchange Z4 TMX Venture Exchange Z4 TMX Select Z4 Canadian National Stock Exchange (CNSX) Z4 Pure Trading Z4 Chi-X Canada Z4 CX2 Z4 Omega Z4 Aequitas NEO Exchange Z4 CDS Clearing and Depository Services Z4 National Futures Association Z4 Investment Industry Association of Canada Z4 Investment Industry Regulatory Organization of Canada (IIROC) Z4 Montreal Exchange Regulatory Division (MXR) Z4 Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Z4 Add Other municipal advisor Roberto S. Simon Roberto S. Simon Y Y N Add Swap Dealer Banking/Thrift institution Societe Generale Caledonienne de Banque Societe Generale Caledonienne de Banque - Reference Number: 11463 N Y Y ACPR (Autorite de Controle Prudentiel et de Resolution) 80B76232 1W Add Sponsor or syndicator of limited partnerships SG EUROPEAN DISTRESSED OPPORTUNITIES I GP LTD SG EUROPEAN DISTRESSED OPPORTUNITIES I GP LTD N Y Y Jersey Financial Services Commission 101615 Y9 Add Investment Adviser Swap Dealer Banking/Thrift institution SG Kleinwort Hambros Bank (CI) Limited SG Kleinwort Hambros Bank (CI) Limited Reference # 11880 N Y Y Jersey Financial Services Commission; Guernsey Financial Services Commission 2693 Y9 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution SG KLEINWORT HAMBROS BANK (GIBRALTAR) LIMITED SG KLEINWORT HAMBROS BANK (GIBRALTAR) LIMITED - Reference Number: 12505 N Y Y Gibraltar Financial Services Commission 1294 J1 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution SG KLEINWORT HAMBROS BANK LIMITED SG KLEINWORT HAMBROS BANK LIMITED - Reference Number: 11886 N Y Y Financial Conduct Authority 964058 X0 Delete Banking/Thrift institution INORA LIFE DAC INORA LIFE DAC - Reference Number: 10931 N Y Y Central Bank of Ireland (CBI) 329745 L2 Delete Banking/Thrift institution SG DE BANQUES EN GUINEE SG DE BANQUES EN GUINEE - Reference Number: 11386 N Y Y CENTRAL BANK OF REPUBLIC OF GUINEA RCCM/GCKAL/0689A/2003 J9 Delete Banking/Thrift institution Yup Cameroun Yup Cameroun - Reference Number: 19635 N Y Y Central African Banking Commission (en francais COBAC) RC/DLA/2017/B/3476 du 16/08/2017 E4 Delete Broker-dealer municipal securities dealer or government securities broker or dealer SOGECAPITAL BOURSE SOGECAPITAL BOURSE- Reference Number: 13458 N Y Y Moroccan authority of Capital Markets 43181 P2 Add Other municipal advisor Anne Andrieux Anne Andrieux Y Y N Add Other municipal advisor Valentine Sallettaz Valentine Sallettaz Y Y N Delete Investment Company Trust Company SOCIETE IMMOBILIERE DE L'ARSENAL SOCIETE IMMOBILIERE DE L'ARSENAL Reference # 11218 N Y N Delete Swap Dealer Banking/Thrift institution UNION INTERNATIONALE DE BANQUES UNION INTERNATIONALE DE BANQUES Reference # 13280 N Y Y ??Central Bank of Tunisia B6151996?? W6 Delete Insurance company or agency ALD Re Designated Activity Company ALD Re Designated Activity Company Reference # 15067 N Y Y Central Bank of Ireland ?? 41173?? L2 Delete Banking/Thrift institution SOCIETE GENERALE (CANADA) SOCIETE GENERALE (CANADA) Reference # 10065 N Y Y 1- Office of the superintendent of Financial Institutions (OSFI) 2- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) 3- Financial Consumer Agency of Canada (FCAC) Z4 Delete Insurance company or agency BRD SOCIETATE DE ADMINISTRARE A FONDURILOR DE PENSII PRIVATE SA BRD SOCIETATE DE ADMINISTRARE A FONDURILOR DE PENSII PRIVATE SA Reference # 16447 N Y Y IDEM 17113 S5 Delete Insurance company or agency Fonds d'investissement immobiliers pour le commerce et la distribution - FONDIS Fonds d'investissement immobiliers pour le commerce et la distribution - FONDIS Reference # 16807 N Y N Delete Insurance company or agency MASSY 30 AVENUE CARNOT MASSY 30 AVENUE CARNOT Reference # 16307 N Y N Delete Insurance company or agency ORADEA VIE ORADEA VIE Reference # 10979 N Y Y Prudential Control and Resolution Authority 1265 05 02 I0 Delete Insurance company or agency PACI INVESTMENTS S.A. PACI INVESTMENTS S.A. Reference # 19307 N Y N Delete Insurance company or agency PIERRE PATRIMOINE PIERRE PATRIMOINE Reference # 19550 N Y N Delete Insurance company or agency SCI RUEIL NEWTON SCI RUEIL NEWTON Reference # 16805 N Y N Delete Insurance company or agency SCI YVOIRE SCI YVOIRE Reference # 16806 N Y N Delete Insurance company or agency SGI 10-16 VILLE L'EVEQUE SGI 10-16 VILLE L'EVEQUE Reference # 19615 N Y N Delete Insurance company or agency SGI CAEN SGI CAEN Reference # 19157 N Y N Delete Insurance company or agency SGI VILLETTE SGI VILLETTE Reference # 19158 N Y N Delete Banking/Thrift institution FIDITALIA S.p.A FIDITALIA S.p.A Reference # 10926 N Y Y Bank of Italy?? 37 L6 Delete Insurance company or agency SOGEVIMMO SOGEVIMMO Reference # 10503 N Y N Delete Real estate broker or dealer SOCIETE IMMOBILIERE URBI ET ORBI SOCIETE IMMOBILIERE URBI ET ORBI Reference # 18372 N Y Y ??SIREN ??SIREN 350??250??627 RCS NANTERRE I0 Delete Insurance company or agency CEDRUS ASSURANCES SERVICES CEDRUS ASSURANCES SERVICES Reference # 19576 N Y N Delete Insurance company or agency Real estate broker or dealer MAROCAINE VIE IMMOBILIER MAROCAINE VIE IMMOBILIER Reference # 16271 N Y N Delete Banking/Thrift institution Banco Societe Generale Mocambique S.A Banco Societe Generale Mocambique S.A Reference #18969 N Y Y Bank of Mozambique 11763 P3 Delete Trust Company SG STRAKHOVANIE LLC SG STRAKHOVANIE LLC Reference # 16289 N Y Y IDEM 16291 1Z Delete Trust Company SOCIETE GENERALE STRAKHOVANIE ZHIZNI LLC SOCIETE GENERALE STRAKHOVANIE ZHIZNI LLC Reference # 16291 N Y Y The Central Bank of Russia of the Federation 4079 1Z Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Security-based swap dealer Futures commission merchant SG Securities Korea Co, Ltd SG Securities Korea Co, Ltd Reference # 18321 N Y N Delete Banking/Thrift institution GENEFIM GENEFIM Reference # 10292 N Y Y Bank of Spain?? 1496 U3 Delete Banking/Thrift institution SOGEFIMUR SOGEFIMUR Reference # 10217 N Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant SG SECURITIES (SINGAPORE) PTE. LTD. SG SECURITIES (SINGAPORE) PTE. LTD. Reference # 16738 N Y Y ??Monetary Authority of Singapore (MAS) and SGX 198200823Z U0 Delete Trust Company KLEINWORT BENSON INTERNATIONAL TRUSTEES LIMITED KLEINWORT BENSON INTERNATIONAL TRUSTEES LIMITED Reference # 19467 N Y Y Jersey Financial Services Commission; Guernsey Financial Services Commission 1002565 A3 Delete Trust Company SG Kleinwort Hambros Trust Company (UK) Limited SG Kleinwort Hambros Trust Company (UK) Limited Reference 19433 N Y Y ??Financial Conduct Authority ??779105 X0 Delete Sponsor or syndicator of limited partnerships ST. GEORGE ST. CAPITAL (KB) LIMITED ST. GEORGE ST. CAPITAL (KB) LIMITED Reference # 19440 N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Banking/Thrift institution Trust Company SKB BANKA D.D. LJUBLJANA SKB BANKA D.D. LJUBLJANA Reference # 10858 N Y Y Bank of Slovenia ??5026237 2A Amend Investment Adviser Commodity pool operator Sponsor or syndicator of limited partnerships Other municipal advisor LYXOR ASSET MANAGEMENT INC. LYXOR ASSET MANAGEMENT HOLDING CORP. Reference # 13080 N Y N Add Swap Dealer Banking/Thrift institution BANQUE DE POLYNESIE BANQUE DE POLYNESIE N Y Y Authority for Prudential and Regulatory Control 12149 I4 Delete Trust Company AEGIS HOLDINGS (ONSHORE) INC. AEGIS HOLDINGS (ONSHORE) INC. N Y N Delete Banking/Thrift institution Trust Company COMPAGNIE GENERALE DE LOCATION D'EQUIPEMENTS COMPAGNIE GENERALE DE LOCATION D'EQUIPEMENTS Reference # 10251 N Y Y Authority for Prudential Control and Resolution (ACPR) "SIREN 303 236 186" I0 Delete Banking/Thrift institution Trust Company SEFIA SEFIA Reference # 16346 N Y Y Authority for Prudential Control and Resolution (ACPR) "SIREN 491 411 542" I0 Add Other municipal advisor Steven Levinson Steven Levinson Y Y N Add Other municipal advisor Gabriel Enrique Prieto-Cogliolo Gabriel Enrique Prieto-Cogliolo Y Y N Add Other municipal advisor Stefanie Sachiko Hadolt Reimers Stefanie Sachiko Hadolt Reimers Y Y N Add Other municipal advisor Andre Carlos Chusan Andre Carlos Chusan Y Y N Add Other municipal advisor Massimiliano Battisti Massimiliano Battisti Y Y N N N N N N N N N N N Y N N N Add Hatem NMN Mustapha 6487941 07-01-2019 Co-Chief Executive Officer 245 Park Avenue New York NY 10167 212-278-6000 The Applicant's municipal advisory business is conducted by the Applicant's Infrastructure Finance Group, the seven members of which are located and employed by the Applicant solely in the United States. The Infrastructure Finance Group provides municipal advisory services for infrastructure projects throughout North American to consortia or single bidders that may be obligated persons within the meaning of Rule 15Ba1-1. The Infrastructure Finance Group does not provide municipal advisory services directly to municipal entities. The Applicant is an indirect wholly owned subsidiary of Societe Generale, a global financial services firm incorporated in France as a French limited liability company. The Societe Generale Group operates in eighty-three countries through an extensive network of domestic and international branches, agencies and subsidiaries, none of which, apart from the Applicant, conduct municipal advisory activities in the United States. We are continuing to diligence our affiliates and will provide supplementary information as to those affiliates if necessary. N Y Y Y N Y N Y Y N Y N N N N Y N Y N N N N N N N Y SG Americas Securities Holdings, LLC N 061703332 06-1703332 Direct Owner 04-01-2014 E N 61703332 James Michael Hubbert Managing Director/Deputy Director of Compliance 11-01-2013 NA N 3066659 Michael Patrick Walsh Head of Operations 02-01-2007 NA Y 1060871 Gregory W Zielinski COO 05-01-2017 NA Y 2384242 Jean Francois Despoux CO-CHIEF EXECUTIVE OFFICER - HEAD OF COV CAP RAISING FIN 02-01-2016 NA Y 6116935 EDWARD PATRICK CULLEN CHIEF FINANCIAL OFFICER -FINOP 01-01-2015 NA N 1551615 HATEM NMN MUSTAPHA DIRECTOR - CHIEF EXECUTIVE OFFICER 07-01-2019 NA Y 6487941 SG Americas Securities Holdings, LLC Societe Generale N 52-1128875 Parent 12-01-2008 E Y SG Americas Securities Holdings, LLC N 061703332 06-1703332 Direct Owner 04-01-2014 E N 61703332 James Michael Hubbert Managing Director/Deputy Director of Compliance 11-01-2013 NA N 3066659 Michael Patrick Walsh Head of Operations 02-01-2007 NA Y 1060871 Gregory W Zielinski COO 05-01-2017 NA Y 2384242 Jean Francois Despoux CO-CHIEF EXECUTIVE OFFICER - HEAD OF COV CAP RAISING FIN 02-01-2016 NA Y 6116935 EDWARD PATRICK CULLEN CHIEF FINANCIAL OFFICER -FINOP 01-01-2015 NA N 1551615 HATEM NMN MUSTAPHA DIRECTOR - CHIEF EXECUTIVE OFFICER 07-01-2019 NA Y 6487941 SG Americas Securities Holdings, LLC Societe Generale N 52-1128875 Parent 12-01-2008 E Y 1 9-A2 Societe Generale S.A. 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Bohrer Robert F.X. Bohrer Director 06-30-2020 N N N N N Y Y N N N N N Y N N N Y N Y N N