Regulatory Relations

MA/A 0001484219 XXXXXXXX Mary Beth Coffey 212-412-3206 marybeth.coffey@barclays.com mary.costa@barclays.com Barclays Capital INC 000019714 06-1031656 866-00522-00 867-01287 008-41342 000019714 801-69700 000019714 SWAP FIRM 0228758 COMMODITY POOL OPERATOR 0228758 COMMODITY TRADING ADVISOR 0228758 EXEMPT FOREIGN FIRM AGENT 0228758 FUTURES COMMISSION MERCHANT 0228758 Municipal Securities Dealer -- MSRB A6566 745 SEVENTH AVENUE NEW YORK NY 10019 212-526-7000 N 745 SEVENTH AVENUE NEW YORK NY 10019 www.barcap.com Add WWW.BARCLAYSWEALTH.COM Add WWW.BARCLAYS.COM Add WWW.INVESTMENTPHILOSOPHY.COM Matthew HEALY Eisenberg Regulatory Relations

745 7th Avenue, 14th floor New York NY 10019

212-526-6967 matthew.eisenberg@barclays.com Add IRON MOUNTAIN (MULITPLE LOCATIONS) 745 ATLANTIC AVENUE BOSTON MA 02111 212-526-6967

IRON MOUNTAIN IS A THIRD PARTY VENDOR THAT SERVES AS A DOCUMENT REPOSITORY. BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. N BARCLAYS CAPITAL SECURITIES LIMITED Y Financial Conduct Authority 124431 X0 BARCLAYS CAPITAL ASIA LIMITED Y Securities and Futures Commission AAC257 K3 BARCLAYS CAPITAL JAPAN LIMITED Y Japan Securities Dealers Association M0 DURLACHER NOMINEES LTD. N BARCLAYS STOCKBROKERS LTD. Y Financial Conduct Authority 124247 X0 BARCLAYS METALS LTD. N BARCLAYS PHYSICAL TRADING LIMITED N WESTFERRY INVESTMENTS LTD N BARCLAYS BANK TRUST CO.LTD Y Financial Conduct Authority; Prudential Regulatory Authority 119184 X0 BARCLAYS ASIA LIMITED N BARCLAYS CAPITAL CANADA INC Y Investment Industry Regulatory Organization of Canada 23970 Z4 BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. Y National Banking and Securities Commission BCC06031613A O5 BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. Y Monetary Authority of Singapore U0 BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. N BARCLAYS CAPITAL MAURITIUS LIMITED N BARCLAYS CAPITAL SECURITIES (THAILAND) LTD Y Securities and Exchange Commission of Thailand 105539027328 W1 BARCLAYS INTERNATIONAL FUNDS GROUP LIMITED N BARCLAYS PRESTACADO DE SERVICOS - ACE N BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED Y Financial Conduct Authority 305405 Y8 BARCLAYS SHAREDEALING Y Financial Conduct Authority 139258 X0 BARCLAYS VIE S.A. Y French Prudential Supervisory Authority RCS PARIS B 384532172 I0 BARREP PTY LIMITED N GERRARD INVESTMENT MANAGEMENT LIMITED Y Financial Conduct Authority 155595 X0 PT BARCLAYS CAPITAL SECURITIES INDONESIA N WOOLWOCH PLAN MANAGERS LIMITED Y Financial Conduct Authority 183887 X0 EQUITY VALUE INVESTMENTS LLP N BARCLAYS PLC N BARCLAYS BANK PLC. Y Financial Conduct Authority; Prudential Regulation Authority 122702 X0 December CT 03-30-1998 N 3438 3 3 3 0 0 1 Municipal Entities 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice On Selection Y Y Y Y Y Y Y Y APPLICANT ACTS AS AN AGENT ON A FULLY DISCLOSED BASIS FOR COMMODITIES. APPLICANT ACTS AS MARKETER FOR OVER-THE-COUNTER DERIVATIVES, FOREIGN EXCHANGE CONTRACTS, AND OTHER FINANCIAL INSTRUMENTS AND EFFECTS SECURITIES TRANSACTIONS PURSUANT TO SEC RULE 15A-6 THROUGH ITS AFFILIATES. APPLICANT ENGAGES IN THE BUSINESS OF PRIVATE EQUITY AND BUSINESS TRANSACTION FINANCIAL ADVISORY SERVICES. 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 23 Add Broker-dealer municipal securities dealer or government securities broker or dealer Barclays Capital Securities Limited Barclays Capital Securities Limited N Y Y Financial Conduct Authority; Prudential Regulation Authority 124431 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. N Y N Add Investment Adviser Futures commission merchant BARCLAYS CAPITAL ASIA LIMITED BARCLAYS CAPITAL ASIA LIMITED N Y Y Securities and Futures Commission AAC257 K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BARCLAYS STOCKBROKERS LTD. BARCLAYS STOCKBROKERS LTD. N Y Y Financial Conduct Authority 124247 X0 Add Investment Company BARCLAYS METALS LTD. BARCLAYS METALS LTD. N Y N Add Commodity trading advisor BARCLAYS PHYSICAL TRADING LIMITED BARCLAYS PHYSICAL TRADING LIMITED N Y N Add Investment Company WESTFERRY INVESTMENTS LTD WESTFERRY INVESTMENTS LTD N Y N Add Investment Adviser Trust Company BARCLAYS BANK TRUST CO.LTD BARCLAYS BANK TRUST CO.LTD N Y Y Financial Conduct Authority; Prudential Regulatory Authority 119184 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BARCLAYS CAPITAL CANADA INC BARCLAYS CAPITAL CANADA INC N Y Y Investment Industry Regulatory Organization of Canada 23970 Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. N Y Y National Banking and Securities Commission BCC06031613A O5 Add Futures commission merchant BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. N Y Y Monetary Authority of Singapore U0 Add Investment Adviser BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL MAURITIUS LIMITED BARCLAYS CAPITAL MAURITIUS LIMITED N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL SECURITIES (THAILAND) LTD BARCLAYS CAPITAL SECURITIES (THAILAND) LTD N Y Y "Securities and Exchange 105539027328 W1 Add Banking/Thrift institution BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED N Y Y Financial Conduct Authority 305405 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS SHAREDEALING BARCLAYS SHAREDEALING N Y Y Financial Conduct Authority 139258 X0 Add Investment Company Investment Adviser Insurance company or agency BARCLAYS VIE S.A. BARCLAYS VIE S.A. N Y Y French Prudential Supervisory Authority RCS PARIS B 384532172 I0 Add Banking/Thrift institution BARREP PTY LIMITED BARREP PTY LIMITED N Y N Add Investment Company Investment Adviser GERRARD INVESTMENT MANAGEMENT LIMITED GERRARD INVESTMENT MANAGEMENT LIMITED N Y Y Financial Conduct Authority 155595 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company PT BARCLAYS CAPITAL SECURITIES INDONESIA PT BARCLAYS CAPITAL SECURITIES INDONESIA N Y N Add Investment Adviser WOOLWOCH PLAN MANAGERS LIMITED WOOLWOCH PLAN MANAGERS LIMITED N Y Y Financial Conduct Authority 183887 X0 Add Investment Company Investment Adviser EQUITY VALUE INVESTMENTS LLP EQUITY VALUE INVESTMENTS LLP N Y N Add Swap Dealer Security-based swap dealer Banking/Thrift institution BARCLAYS BANK PLC. BARCLAYS BANK PLC. N Y Y Financial Conduct Authority; Prudential Regulation Authority 122702 X0 N N N N N N N N N N N N N BARCLAYS BANK PLC 0000312070 Schedule B BARCLAYS PLC 0000312069 Schedule B Y Y N N Y Y N Y Y Y Y Y Y Y N Y N N N Y Y Y N Y N Y BARCLAYS GROUP US INC. N 13-3249618 OWNS BARCLAYS CAPITAL INC 12-21-1999 E Y GERARD SEBASTIAN LAROCCA BOARD DIRECTOR 10-31-2005 NA Y 002683227 THOMAS JAMES MCGUIRE BOARD DIRECTOR 05-19-2014 NA Y 003275074 JOSEPH ALLEN GOLD BOARD DIRECTOR 05-19-2014 NA Y 005513804 GERARD SEBASTIAN LAROCCA PRESIDENT 01-01-2011 NA Y 002683227 JILL WENZLAFF OSTERGAARD CHIEF COMPLIANCE OFFICER - BD 03-07-2012 NA N 003022963 JOSEPH JAMES CORCORAN III BOARD DIRECTOR 05-21-2013 NA Y 002126677 JOSEPH MICHAEL BUSUTTIL BOARD DIRECTOR 07-25-2013 NA Y 002836180 JONATHAN DARRYL KLEIN REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - WEALTH 07-08-2013 NA N 002457251 RAHUL NMN JAISING REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES 08-06-2013 NA N 004754959 JONATHAN MICHAEL IMUNDO REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - INVESTOR SOULTIONS 08-06-2013 NA N 004199570 ANTHONY NMN BANCONE REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - DISTRIBUTION 08-06-2013 NA N 001790892 JOSEPH MICHAEL BUSUTILL CHIEF FINANCIAL OFFICER 11-25-2013 NA Y 002836180 MARCELO LEONCIO RIFFAUD CHIEF LEGAL OFFICER 07-08-2015 NA Y 002588667 JOSEPH ALLEN GOLD CHIEF EXECUTIVE OFFICER 07-11-2014 NA Y 005513804 WILLIAM FRANCIS CAIRNEY CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER 11-17-2014 NA N 002088079 KEVIN JOHN MCKAY CHIEF LEGAL OFFICER - WEALTH 03-23-2015 NA N 001136608 MONTY LEE FORREST Chief Operations Officer 05-11-2015 NA Y 005812639 MONTY LEE FORREST BOARD DIRECTOR 05-11-2015 NA Y 005812639 JEFFREY ANTHONY MELI CO-HEAD OF RESEARCH 07-24-2015 NA N 004477654 KENNETH CHARLES ABBOTT BOARD DIRECTOR 11-23-2015 NA Y 002343656 BARCLAYS GROUP US INC. BARCLAYS BANK PLC Y 13-4942190 SOLE SHAREHOLDER 01-01-2000 E Y BARCLAYS BANK PLC BARCLAYS PLC Y SOLE SHAREHOLDER 01-01-1985 E Y Add BARCLAYS GROUP US INC. N 13-3249618 OWNS BARCLAYS CAPITAL INC 12-21-1999 E Y Add GERARD SEBASTIAN LAROCCA BOARD DIRECTOR 10-31-2005 NA Y 002683227 Add THOMAS JAMES MCGUIRE BOARD DIRECTOR 05-19-2014 NA Y 003275074 Add JOSEPH ALLEN GOLD BOARD DIRECTOR 05-19-2014 NA Y 005513804 Add GERARD SEBASTIAN LAROCCA PRESIDENT 01-01-2011 NA Y 002683227 Add JILL WENZLAFF OSTERGAARD CHIEF COMPLIANCE OFFICER - BD 03-07-2012 NA N 003022963 Amend JOSEPH JAMES CORCORAN III BOARD DIRECTOR 05-21-2013 NA Y 002126677 Amend JOSEPH MICHAEL BUSUTTIL BOARD DIRECTOR 07-25-2013 NA Y 002836180 Add JONATHAN DARRYL KLEIN REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - WEALTH 07-08-2013 NA N 002457251 Amend RAHUL NMN JAISING REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES 08-06-2013 NA N 004754959 Add JONATHAN MICHAEL IMUNDO REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - INVESTOR SOULTIONS 08-06-2013 NA N 004199570 Amend ANTHONY NMN BANCONE REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - DISTRIBUTION 08-06-2013 NA N 001790892 Amend JOSEPH MICHAEL BUSUTILL CHIEF FINANCIAL OFFICER 11-25-2013 NA Y 002836180 Amend MARCELO LEONCIO RIFFAUD CHIEF LEGAL OFFICER 07-08-2015 NA Y 002588667 Add JOSEPH ALLEN GOLD CHIEF EXECUTIVE OFFICER 07-11-2014 NA Y 005513804 Delete WILLIAM FRANCIS CAIRNEY CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER 11-17-2014 NA N 002088079 Delete KEVIN JOHN MCKAY CHIEF LEGAL OFFICER - WEALTH 03-23-2015 NA N 001136608 Amend MONTY LEE FORREST Chief Operations Officer 05-11-2015 NA Y 005812639 Amend MONTY LEE FORREST BOARD DIRECTOR 05-11-2015 NA Y 005812639 Add JEFFREY ANTHONY MELI CO-HEAD OF RESEARCH 07-24-2015 NA N 004477654 Add KENNETH CHARLES ABBOTT BOARD DIRECTOR 11-23-2015 NA Y 002343656 Add BARCLAYS GROUP US INC. BARCLAYS BANK PLC Y 13-4942190 SOLE SHAREHOLDER 01-01-2000 E Y Add BARCLAYS BANK PLC BARCLAYS PLC Y SOLE SHAREHOLDER 01-01-1985 E Y 1 9-A1 9-A2 Barclays PLC N BARCLAYS CAPITAL INC. 000019714 1786349 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 000019714 121562 1 9-C2 9-C4 9-C5 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 661887 9-E2 BARCLAYS CAPITAL INC. 000019714 661888 9-E2 BARCLAYS CAPITAL INC. 000019714 661889 9-E2 BARCLAYS CAPITAL INC. 000019714 232184 9-E2 BARCLAYS CAPITAL INC. 000019714 1169498 9-E2 BARCLAYS CAPITAL INC. 000019714 1230813 9-E2 BARCLAYS CAPITAL INC. 000019714 1292950 9-E2 BARCLAYS CAPITAL INC. 000019714 1302267 9-E2 BARCLAYS CAPITAL INC. 000019714 1377638 9-E2 BARCLAYS CAPITAL INC. 000019714 1423960 9-E2 BARCLAYS CAPITAL INC. 000019714 1479997 9-E2 BARCLAYS CAPITAL INC. 000019714 1501367 1 9-D4 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1527472 9-E2 BARCLAYS CAPITAL INC. 000019714 1536027 9-E2 BARCLAYS CAPITAL INC. 000019714 1541779 1 9-D2 BARCLAYS CAPITAL SECURITIES LTD. N BARCLAYS CAPITAL INC. 000019714 1548853 1 9-D2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1548854 9-E2 BARCLAYS CAPITAL INC. 000019714 1557230 9-E2 BARCLAYS CAPITAL INC. 000019714 1566770 1 9-D2 9-D3 9-D4 9-D5 BARCLAYS CAPITAL JAPAN LIMITED N BARCLAYS CAPITAL INC. 000019714 1584877 1 9-D2 9-D3 9-D4 9-D5 BARCLAYS CAPITAL SECURITIES LIMITED N BARCLAYS CAPITAL INC. 000019714 1584876 9-E2 BARCLAYS CAPITAL INC. 000019714 1593136 1 9-D1 9-D2 9-D4 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1617028 2 9-C1 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 000019714 1616860 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1616860 BARCLAYS PLC N BARCLAYS CAPITAL INC. 000019714 1616860 9-E2 BARCLAYS CAPITAL INC. 000019714 1629130 9-E2 BARCLAYS CAPITAL INC. 000019714 1644385 9-E2 BARCLAYS CAPITAL INC. 000019714 1643596 9-E2 BARCLAYS CAPITAL INC. 000019714 1643608 9-E2 BARCLAYS CAPITAL INC. 000019714 1653764 9-E2 BARCLAYS CAPITAL INC. 000019714 1660460 9-E2 BARCLAYS CAPITAL INC. 000019714 1661681 9-E2 BARCLAYS CAPITAL INC. 000019714 1668873 9-E2 BARCLAYS CAPITAL INC. 000019714 1677554 9-E2 BARCLAYS CAPITAL INC. 000019714 1679221 9-E2 BARCLAYS CAPITAL INC. 000019714 1680347 9-E2 BARCLAYS CAPITAL INC. 000019714 1680149 1 9-G BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1683302 9-E2 BARCLAYS CAPITAL INC. 000019714 1686202 9-E2 BARCLAYS CAPITAL INC. 000019714 1687100 9-E2 BARCLAYS CAPITAL INC. 000019714 1688826 9-E2 BARCLAYS CAPITAL INC. 000019714 1702248 9-E2 BARCLAYS CAPITAL INC. 000019714 1702485 9-E2 BARCLAYS CAPITAL INC. 000019714 1707531 9-E2 BARCLAYS CAPITAL INC. 000019714 1708662 1 9-D2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1710329 9-E2 BARCLAYS CAPITAL INC. 000019714 1710965 9-E2 BARCLAYS CAPITAL INC. 000019714 1710212 9-E2 BARCLAYS CAPITAL INC. 000019714 1717797 9-C1 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 000019714 1724254 9-E2 BARCLAYS CAPITAL INC. 000019714 1723395 1 9-D2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1724926 9-E2 BARCLAYS CAPITAL INC. 000019714 1732899 9-E2 BARCLAYS CAPITAL INC. 000019714 1734623 9-E2 BARCLAYS CAPITAL INC. 000019714 1736351 9-E2 BARCLAYS CAPITAL INC. 000019714 1740501 9-E2 BARCLAYS CAPITAL INC. 000019714 1771735 1 9-C1 9-C2 9-C4 9-C5 Barclays Bank PLC N BARCLAYS CAPITAL INC. 000019714 1786350 2 9-C1 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 000019714 1774522 Barclays PLC N BARCLAYS CAPITAL INC. 000019714 1774522 Barclays Bank PLC N BARCLAYS CAPITAL INC. 000019714 1774522 1 9-D1 9-D2 9-D4 Barclays Bank PLC N BARCLAYS CAPITAL INC. 000019714 1786357 2 9-D1 9-D2 9-D4 Barclays Bank PLC N BARCLAYS CAPITAL INC. 000019714 1786358 Barclays Bank PLC, New York Branch N BARCLAYS CAPITAL INC. 000019714 1786358 2 9-D1 9-D2 9-D4 Barclays Bank PLC N BARCLAYS CAPITAL INC. 000019714 1786359 Barclays Bank PLC, New York Branch N BARCLAYS CAPITAL INC. 000019714 1786359 9-E2 BARCLAYS CAPITAL INC. 000019714 1789028 9-E2 BARCLAYS CAPITAL INC. 000019714 1793634 9-E2 BARCLAYS CAPITAL INC. 000019714 1796827 9-E2 BARCLAYS CAPITAL INC. 000019714 1797971 9-E2 BARCLAYS CAPITAL INC. 000019714 1796828 9-E2 BARCLAYS CAPITAL INC. 000019714 1800637 9-E2 BARCLAYS CAPITAL INC. 000019714 1796826 9-E2 BARCLAYS CAPITAL INC. 000019714 1795262 9-E2 BARCLAYS CAPITAL INC. 000019714 1815873 9-E2 Barclays Capital, Inc 000019714 1827780 9-E2 Barclays Capital, Inc 000019714 1833219 9-E2 Barclays Capital, Inc 000019714 1845255 2 9-D2 9-D4 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1855026 BARCLAYS BANK PLC NEW YORK BRANCH N BARCLAYS CAPITAL INC. 000019714 1855026 9-E2 Barclays Capital, Inc 000019714 1822936 9-E2 Barclays Capital, Inc 000019714 1821633 9-E2 Barclays Capital Inc. 000019714 1858546 9-E2 Barclays Capital Inc. 000019714 1859484 9-E2 Barclays Capital Inc. 000019714 1858552 1 9-H1a 9-H1b BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1357207 1 9-H2 BARCLAYS CAPITAL INC. 000019714 1737351 BARCLAYS PLC N BARCLAYS CAPITAL INC. 000019714 1737351 1 9-H2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 000019714 1801820 HIRAN CANTU HIRAN CANTU DIRECTOR 01-19-2016 N N N N N Y Y N N Y Y N Y N N N N Y Y N Y