SENIOR VICE PRESIDENT

MA 0000049709 XXXXXXXX Pat Campbell 612-671-2496 pat.campbell@ampf.com AMERIPRISE FINANCIAL SERVICES, INC. 000006363 41-0973005 866-01168-00 008-16791 000006363 801-28543 000006363 000006363 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK PA PR RI SC SD TN TX UT VT VI VA WA WV WI National Futures Association 0196794 707 2ND AVENUE SOUTH MINNEAPOLIS MN 55402 612-671-3131 612-671-4929 1 W 1ST AVE STE 105 CONSHOHOCKEN PA 19428-6802 610-280-0964 866-289-8922 800 Westchester Ave Ste S-508 Rye Brook NY 10573-1332 914-269-6739 914-253-0990 3900 Northwoods Drive Suite 150 Arden Hills MN 55112-6991 651-765-7025 651-494-9768 75 Hazard Ave Enfield CT 06082-3887 781-367-7186 866-224-7932 5656 Hood St Ste 104 West Linn OR 97068-3279 503-723-9636 503-496-0978 Y 5227 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 http://www.ameriprise.com KURT WALKER LOFGREN SENIOR VICE PRESIDENT

2076 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474

612-671-4114 612-671-0659 KURT.W.LOFGREN@AMPF.COM PATRICIA LOUISE CAMPBELL SENIOR LEGAL AFFAIRS MANAGER

50611 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474

612-671-2496 612-671-4929 PAT.CAMPBELL@AMPF.COM IRON MOUNTAIN RECORDS MANAGEMENT 920 APOLLO ROAD EAGAN MN 55121-2203 651-452-6515

IRON MOUNTAIN STORES CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING SOME ELECTRONIC INFORMATION. AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 707 2ND AVENUE SOUTH MINNEAPOLIS MN 55402 612-671-3662 AEIS RETAINS CERTAIN RECORDS FOR REGISTRANT RELATED TO THE CLEARING SERVICES IT PROVIDES FOR THE APPLICANT. IBM 1001 THIRD AVENUE SOUTH MINNEAPOLIS MN 55402 919-341-801

IBM MAINTAINS CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING ELECTRONIC COMMUNICATIONS. COMPUTER SCIENCES CORPORATION 2100 EAST GRAND AVE EL SEGUNDO CA 90245-5024 847-208-5814

COMPUTER SCIENCES CORPORATION MAINTAINS CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING ELECTRONIC COMMUNICATIONS. SYMANTEC 20330 STEVENS CREEK BOULEVARD CUPERTINO CA 95014-2268 952-223-4692

SYMANTEC MAINTAINS CERTAIN BOOKS AND RECORDS OF REGISTRANT, INCLUDING ELECTRONIC COMMUNICATIONS. December DE 06-14-1971 N 12441 40 40 40 0 53 Municipal Entities Non-profit organizations 0 0 0 Local government investment pools State government investment pools Hospitals Colleges Other investment clubs Fixed Fees Not Applicable Advice Investment Of Proceeds MS Y Y Y Y Y Y Y APPLICANT PARTICIPATES IN THE SALE OF FACE-AMOUNT CERTIFICATES AND UNIT INVESTMENT TRUSTS. BROKER OR DEALER IN AGENCY SECURITIES. INVESTMENT RESEARCH PREPARATION AND DISTRIBUTION N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Commodity pool operator Banking/Thrift institution Trust Company Insurance company or agency 19 Investment Adviser Commodity pool operator COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC N Y Y Other - AUSTRALIAN SECURITIES & INVESTMENTS COMMISSION (NOTICE FILING PURSUANT TO ASIC CLASS ORDER CO 03/1100 C3 Other - CANADIAN EXEMPTION: ALBERTA, BRITISH COLUMBIA, MANITOBA, NEW BRUNSWICK, NEWFOUNDLAND, NOVA SCOTIA, ONTARIO, QUEBEC, SASKATCHEWAN NRD # 24240 Z4 Other - SECURITIES AND EXCHANGE BOARD OF INDIA INUSFA127706 K7 Other - SINGAPORE MONETARY AUTHORITY (APPROVAL OF PARAGRAPH 9 ARRANGEMENT UNDER SFA 289) U0 Other - THE NETHERLANDS AUTHORITY FOR THE FINANCIAL MARKETS (NOTICE FILING REGARDING SECTION 10 EXEMPTED COMPANY P7 Investment Adviser Commodity pool operator THREADNEEDLE INTERNATIONAL LTD. THREADNEEDLE INVESTMENTS N Y Y Australia - Australian Securities and Investments Commission C3 United Kingdom - Financial Conduct Authority X0 Broker-dealer municipal securities dealer or government securities broker or dealer AMERICAN ENTERPRISE INVESTMENT SERVICES INC. AMERICAN ENTERPRISE INVESTMENT SERVICES INC. N Y N Investment Adviser Commodity pool operator THREADNEEDLE ASSET MANAGEMENT LIMITED THREADNEEDLE ASSET MANAGEMENT LIMITED N Y Y Financial Conduct Authority X0 Broker-dealer municipal securities dealer or government securities broker or dealer RIVERSOURCE DISTRIBUTORS, INC. RIVERSOURCE DISTRIBUTORS, INC. N Y N Broker-dealer municipal securities dealer or government securities broker or dealer COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. N Y Y Alberta Securities Commission NRD # 36650 Z4 British Columbia Securities Commission NRD # 36650 Z4 Manitoba Securities Commission NRD # 36650 Z4 New Brunswick Securities Commission NRD # 36650 Z4 Newfoundland and Labrador, Financial Services Regulation Division NRD # 36650 Z4 Nova Scotia Securities Commission NRD # 36650 Z4 Ontario Securities Commission NRD # 36650 Z4 Quebec, Financial Markets Authority NRD # 36650 Z4 Saskatchewan Financial Services Commission NRD # 36650 Z4 Investment Adviser COLUMBIA WANGER ASSET MANAGEMENT, LLC COLUMBIA WANGER ASSET MANAGEMENT, LLC N Y N Commodity pool operator ADVISORY CAPITAL STRATEGIES GROUP, INC. ADVISORY CAPITAL STRATEGIES GROUP, INC. N Y N Insurance company or agency AMERIPRISE AUTO & HOME INSURANCE AGENCY, INC. AMERIPRISE AUTO & HOME INSURANCE AGENCY, INC. N Y N Banking/Thrift institution AMERIPRISE NATIONAL TRUST BANK AMERIPRISE NATIONAL TRUST BANK N Y N Insurance company or agency AMERIPRISE CAPTIVE INSURANCE COMPANY AMERIPRISE CAPTIVE INSURANCE COMPANY N Y N Insurance company or agency AMERIPRISE INSURANCE COMPANY AMERIPRISE INSURANCE COMPANY N Y N Trust Company AMERIPRISE TRUST COMPANY AMERIPRISE TRUST COMPANY N Y N Insurance company or agency IDS PROPERTY CASUALTY COMPANY IDS PROPERTY CASUALTY COMPANY N Y N Insurance company or agency RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK N Y N Insurance company or agency RIVERSOURCE LIFE INSURANCE COMPANY RIVERSOURCE LIFE INSURANCE COMPANY N Y N Investment Adviser THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED N Y Y Monetary Authority of Singapore U0 Investment Adviser THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. N Y Y Commission to Surveillance of the Finance Sector N4 Broker-dealer municipal securities dealer or government securities broker or dealer THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED N Y Y Securities and Futures Commission K3 Y Y N Y Y Y Y Y Y Y Y Y Y Y N AMERIPRISE FINANCIAL INC 0000820027 Schedule B Supplemental information for items 4F and 4G: Data is as of the date of this filing. Supplemental information for Schedule D1-I: Applicant also maintains certain books and records at the following third-party unaffiliated recordkeeper locations (1) Cenveo, 201 Broad Street, Stamford, CT 06901-2004, 612-460-2300, and (2) Sungard Financial Systems LLC, 340 Madison Ave, 8th Floor, New York, NY 10005, 646-445-8173. Supplemental information for item 6B: (1) Columbia Management Investment Distributors, Inc. is also registered with the Guam-Department of Revenue and Taxation. (2) For associated persons who require Form MA-I, in some instances an address may only include a P.O. Box as a street address was not available; (3) the following entities are associated persons who are a sponsor, general partner, managing member (or equivalent) of pooled investment vehicles: Seligman Partners LLC and Columbia Research Partners LLC. Supplemental information for 9: The following individuals or entities are either no longer registered with the SEC, or have a CRD number, and may no longer associated with Applicant: American Express Service Corporation (10518); RiverSource Life Insurance Company (139135); IDS Life Insurance Company (6321); Ameriprise Financial, Inc. (fka American Express Financial Corporation) (6320); J. and W. Seligman and Co., Incorporated (104718)(legal entity name contains ampersands which are not accepted by EDGAR); Robert Van Yeager (4023419); Larry Martin Post (1078946). N N N N Y Y N Y Y Y Y N Y Y Y Y N N N Y N N Y N N Y AMPF HOLDING COMPANY N 38-2722519 SHAREHOLDER 10-01-2009 E Y JOHN CARL JUNEK EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL 11-23-2011 NA Y 004251921 JAMES BOYD FLEWELLING GROUP VICE PRESIDENT (TEXAS DESIGNATED OFFICER) 08-15-2009 NA Y 002331794 DONALD E FROUDE CHAIRMAN, PRESIDENT AND CEO 09-12-2008 NA Y 001002120 KURT WALKER LOFGREN SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER 01-01-2010 NA Y 003048472 CHARLES NEAL MAGLAQUE EXECUTIVE VICE PRESIDENT AND CHIEF OPERATIONS OFFICER AWM 06-18-2012 NA Y 005026063 DAVID KENT STEWART CHIEF FINANCIAL OFFICER 12-02-2007 NA Y 002990869 JOSEPH EDWARD SWEENEY DIRECTOR, PRESIDENT, ADVICE & WEALTH MANAGEMENT PRODUCTS AND SERVICE DELIVERY 06-18-2012 NA Y 004668713 AMPF HOLDING CORPORATION AMERIPRISE FINANCIAL, INC. Y 13-3180631 100% OWNER OF PARENT COMPANY 10-20-2009 E Y AMPF HOLDING CORPORATION AMERIPRISE FINANCIAL, INC. Y 13-3180631 100% OWNER OF PARENT COMPANY 10-20-2009 E Y 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723648 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723647 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723646 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723645 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723644 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723642 1 9-D4 RIVERSOURCE LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1723642 9-G AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1713543 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1661249 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1654839 9-G AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1651853 1 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1648804 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. N 000026506 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1648804 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1643622 1 9-D4 RIVERSOURCE DISTRIBUTORS, INC. N 000139135 RIVERSOURCE DISTRIBUTORS, INC. 000139135 1598462 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1556985 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1523108 9-D2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1523107 9-D2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1509412 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1482818 9-C2 9-C4 9-C5 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1465614 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1455843 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1441666 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1411451 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1408323 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1404964 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1388394 9-E1 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1380840 1 9-D1 9-D2 9-D4 9-D5 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1378228 AMERIPRISE FINANCIAL, INC. N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1378228 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1375416 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1364897 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1321950 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1321949 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1303387 9-C2 9-C4 9-C5 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1289862 1 9-C1 9-C2 9-C4 9-C5 AMERIPRISE FINANCIAL, INC. N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1286340 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1286339 1 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1286338 AMERIPRISE FINANCIAL, INC. N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1286338 9-D2 9-D4 9-D5 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1284171 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1283152 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1274315 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1263409 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1254691 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1245349 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1242098 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1237028 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000000663 1230074 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1229331 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1222590 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1200348 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1191088 9-C1 9-C2 9-C4 9-C5 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1182517 9-E1 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1180761 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1108476 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1082193 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 1073216 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 965564 1 9-E2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 899323 IDS LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 899323 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 836108 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 766390 1 9-D2 IDS CERTIFICATE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 599790 1 9-E2 AMERICAN EXPRESS FINANCIAL CORPORATION N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 599788 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 599787 1 9-C2 9-C4 9-C5 AMERICAN EXPRESS FINANCIAL CORPORATION 000006363 599783 AMERICAN EXPRESS FINANCIAL CORPORATION N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 599783 9-D2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598722 9-D2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598702 1 9-D2 9-D4 IDS CERTIFICATE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598649 1 9-C2 9-C4 9-D2 9-D4 9-D5 9-E2 AMERICAN EXPRESS SERVICE CORPORATION N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598624 1 9-D2 9-D4 IDS LIFE INSURANCE COMPANY N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598623 1 9-C2 9-C4 AMERICAN EXPRESS FINANCIAL CORPORATION N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598485 1 9-C2 9-C4 AMERICAN EXPRESS FINANCIAL CORPORATION N AMERIPRISE FINANCIAL SERVICES, INC. 000006363 598483 9-D1 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 375802 9-D2 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 372235 9-D2 9-D4 AMERIPRISE FINANCIAL SERVICES, INC. 000006363 113318 1 9-E2 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. N 000026506 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 000026506 763634 1 9-H1c COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC Y 801-25943 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 000108257 29468 ROCKELL C METCALF ROCKELL C METCALF Vice President & Chief Counsel | Advice & Wealth Management 09-29-2014 002440107 N N N N N Y N Y Y N Y N N N N N N Y Y N N