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Mr. Rosen Ronaldo Lyrio Santiago Jariton Avila Not explicitly stated Ethan Park Mr. Milmeister Jonathan Walsh Glenn Schwalje Kevin John Joyce Charles Frederick Jenks, Jr. Gayle O’Brien Blachura Reginald Curtis Corinaldi Archie Ray Megginson, Sr. Matthew Robert Farrell April Dawn Waff-Mano Samuel Thomas Watson Enrique Luis Tomeu Bob Roche John A. Hakopian Jose A. Fernandez Mr. Fernandez Bradley Atkins Rajat Duggal Spencer Fleischer Chris Harris Greg Long Aaron Money Cas Schneller Chris Masto Oscar Alerhand Ruben Goldberg David Alerhand Jonathan Alerhand Not explicitly stated Not explicitly stated Mr. Tucker Ben A. Beavers Matthew S. Bonaguidi David S. Colton Justin C. Gullman Kim A. Kamin Linda “Lee” Morava Edward “Ted” F. Neild, IV David A. Salsburg Gregory D. Schneiderman Sean R. Warrington Gresham's Chief Investment Officer Steven A. Hale II Mr. Hale Jacqlyn Piscetelli Michael Gershowitz Jay Hennick Matthew Hawkins Mr. Wolf Hightower's Chief Investment Strategist Russell (Rusty) Holcombe Vikram Khanna Not explicitly stated The Adviser's Chief Investment Officer Investment Manager Mark Williams Shannon Carter James Pappas Mr. Pappas Jordan Park Gerald R. (Jerry) VanderLugt Matthew J. Kunnen Chad N. Soukup Nathan H. Lowe L. Roy Papp Harry Papp Victoria Cavallero Brian Riordan Greg Smith Kyle Bradford Steve Neumann Ali R M Dadgar Kevin Lennil Robert Lybbert Luci Johnson Willyn Cobb Wahl James J. Challen Claire P. Chotiner Anthony M. Daniel, Jr. David R. Emerson Brian J. Falco Scott M. Freeman Anthony M. Daniel, Jr., CFA David R. Emerson, CFA, CAIA Harry Markowitz Ms. Elle Kaplan Brockenbrough Vice President – Trading and Investment Operations Valerie A. Thomas Mr. Vernier Ms. Thomas Jordan M. Elling Ms. Elling Scott S. George Chris Schreiner Allison Gormier Mark Haynes Randon Tagg Roddy L. McKinney II Roddy Lee McKinney, II Tracey S. Seymour Michael Robert Burley Co-Chief Investment Officer of MIO Will Foley Helena Gould Cole Haddock Mark Herman Kristi Kearney Lisa Murphy Jeremy Ragar Walter Rizo Tim Brown John Wernz Sarah Hamilton Edwin Retter Robert Pyle Theresa Apruzzese Days Terry D. Not explicitly stated Holly Z. Ruxin Thomas M. Moran Patrick Moran Kylen O’Keeffe Donald Drury Charles Chesebrough Michael Mongin Christina D. Shaw Corey R. Grant Ryan E. Frank Chelsea Ganey Tyler Hardt Julie Rich Richard Aaron Simpson Meghan Pinchuk Mr. Jeffrey Sarti, CEO Meghan Pinchuk, CIO Brian Standing Kevin Rex Michael D. Eisner Jane B. Eisner Gloria Mraz Deidre Mraz Johnson John Mraz Erik Daley Scott Cameron Amy Barber Senior Financial Advisor Christopher Cappello Glenn A. Jensen supervised person New Legacy supervised person Dr. Wong Philip S. Paul Jeffrey Schellenger Andrew Hohns Not explicitly stated Nick Richard Rushton A. Carl Gambrell Carl Eleanor D. Quarles Lloyd B. Flood Carey Blakley Jeffrey S. Buck Nirvanna Silva Novelo Aaron Frederick Jeffries Cole William Kliphouse Russell E. Wood Mrs. Christie Baucom Christie Baucom Daniel Shub Edward John Schneider IV David L. Schrader not explicitly stated Ohana Steven Guy Lentz Jocelyn Ann Henkensiefken President and CEO Devin Hummel Leslie Calhoun Matthew McManus Not explicitly stated Heather Jendrusch David W. Hailey Robert C. Calhoun Stephen R. McGee (as Trustee of the Brittany Koehl McGee Irr Trust) Jennifer Lambert Charles P. Stetson, Jr. David B. Parshall Stetson Parshall Charles R. Campbell, Jr. Managing Director 1 Managing Director 2 null The Adviser Irvin G. Schorsch, III Brian Carruthers orsch, III William D. Perryman Jennifer Grant Jeff Smith President and CEO Kelsie Barrow Brian Kaufman Curtis Krizek Robyn Schneider Michael Gentry Brian VanDelinder Michael M. Anderson Estate of Stephen F. Segundo Peter Kronberg Robert Haber Proficio’s Chief Investment Officer John Gallagher Rune Jepsen Govinda Quish Quish David Nicol Financial Advisor RBC WM Representative David F. Nicholson David F. R. Scott David McCann not explicitly stated Stephen M. Haidt Charlton Reynders III Andrew Cunningham Jochem Gottmers Ivo Frielink Juan Carlos Briones Ignacio Alcantara Marcel Prins Stephen Prough John Dyett William B. Witte Erik Ridgley Sami Petersen Janelynne Galera John Hathaway Dyett, III Katherine Saltonstall Mr. Trease John J. Falduto Jennifer Specter Edward A. Hart Diane Connor Amaury de Barros Conti Jared L. Hunt Julie K. Gerron Rahnae Johnson Fred W. Middleton Ariel Palomo Sadie Schweers George Watson Thomas Yager Patrick J. Zumbusch Deirdre M. Kochanski John Sentner Jacob Lingard Nathan Pawlak Crystal Billing Ryan Blair Kevin Margolis Shashin Shah Tyler Floyd Melissa Hawkins One Wealth Advisor Bayard Dodge Compliance Officer Timothy Krochuk Stephen Brackett Brian Lockhart John Reading Wilson Pete DiLorenzo SKK Parties Officer of SKK Principal of MRLM Entities Michael Halloran Chris Cole David Perlin Michael Howard-Johnson Richard Blair Jessica Sherrill Theodore Noble William F. Hutchins, III Not explicitly stated Ricky Hutchins Kaitlin R. Theobald Kevin Hernandez Norman Chamorro Charles Flynn Maria Teresa Felix Cubero Zev Zaretsky Lawrence Spinosa John Spinosa Michael Sprott Not explicitly stated ief Compliance Officer insert name Tom Portz Mr. Portz C. Hunt Salembier Sharon C. Allen Jon Stolper Susan McDonald Saletha M. Fuller Allison B Stolper Karen Bruns Ms. Fuller Tyler Rowe Alton Cogert Brian Hunter Mr. Hunter Dan Gross Michael A. Slonek Albert L. Tew Edwin J. Stanislawski Bryant E. Sullivan Daniel R. Gross, CFA Russell K. LaBarge, CFA Michael A. Slonek, CFA Albert L. Tew, CFA Bryant E. Sullivan, CFA Robert Byrns Frank Pavlica Doug Stepansky Matthew Bures Mark Tepper Tasha Mauss Drake Oliver Jeffery Andrew Smith Leanna Oliver Adam Schmidt Will Riggs David Dechman Nancy Donohue Vice Chair Chief Investment Strategist Christopher A. Horvath employee of TDPCW not provided Randy A. Garcia Staci R. Garcia Timothy J. Wahl Glenn Goodstein Mr. Goodstein TAS (firm) Chief Investment Officer of TIP John Kachel CCO (Chief Compliance Officer) Travis Yeats Rhoad Mitchell Craig Tyler Olson Brett Hoover Matt Dublin Scott Wood Mark Gehlbach J. Scott Murphy Eric Schopf Charles Meyer John M. Olson George Lawson Clark insert name Kevin Michael Cuff Leo J. Kelly III Thomas H. Ruggie Brandon Klippel Not explicitly stated Fergus Healy Margaret L. Leonard Eric Bertonazzi Paul Martins Gustavo Aristizabal Stephen Barrett Marc Hertzberg insert name Thomas A. Curti Daniel D. Vogelpohl Eric M. Loftus Matthew S. Bolser Sean Paddock Thomas Schiller Erik Smith Robert Feather Kayla Lucke Karey Williams Dorota Holowiak Samuel Dipper Jean-Louis Le Mee Mary Hinz Richard S. Spencer III Firm Owner/Employee Name Not Provided Not explicitly stated Mr. Spencer B.J. Webster, Jr. B.J. Webster, Jr Matthew S. Delaney Marc A. Hembrough Sharon Alison Bloodworth not specified Laura Anne Bereiter Mr. Potter Macon Carroll Howard Badger Stone II Not explicitly stated Stuart J. Zimmer Rob Bloemker Gregor Watson Michael C. Mendez Takashi B. Moriuchi Darrin C. Jeffries Estancia Dana Alan Kurttila Not explicitly stated Cisco J. del Valle not explicitly stated Dave Matter Brendan Connor Jessica Hans Robert Ratliffe William Turner Timothy P. Flaherty Omeed Malik Christopher Buskirk Not explicitly stated not provided Donald Trump Jr. LeAnn Mitchell Clay Hilbert Everett Reveley William Rosenwald Charles D. Klein Michael G. Fisch David L. Horing American Securities Mr. Horing Jeremy B. Maco Brandon Dembowiak Ricky E. Graves Edward Graves, CFP® Brandon Thomas Dembowiak, CFP® Keith Lyman Carter, CFP® Kevin Todd May Charles Nathan Goings Jared K. Graves Christopher H. Louk Nathan Mr. Graves Mr. May Mr. Dembowiak Not explicitly stated Yudi Singh Eric Wortman Mr. Serrano Berntsen David J. Millstone David S. Winter Eun Hee Kim Viveka Marianne Ryn Matthew McMahan Thuong Pham insert name Darin Wayne Edward Lucas Rick Rumelhart Nicholas Shaver Derrick Cruz David Rossmiller Kristina D. Sherman Janet Briaud Natalie Pine Matthew McKay Michelle Holmes Andrea Billquist Sachin Sawant Not explicitly stated Robert Spass Bradley Cooper Not explicitly stated Mr. Spass Mr. David Steinhardt Mr. Laurence Schreiber Mr. David Botbol r (Co-President) William D. Hanna Mr. William D. Hanna Sarah Baha Sarah van den Blink Kristi McDermott DeFred G. Folts III Eric Biegeleisen Lawrence Jules Not explicitly stated CCO (Chief Compliance Officer) PMartin Richard A. Charpie Herbert H. Hooper Cherri Lamkin Kevin Mullins Ilir Leo Gjoni Jamie L. Fleming Jeffrey G. Cribbs Whitney Harris Ribbens Elli Kavros Jessica not explicitly stated sboyd Ai Vee McAninch Brandon Ratzlaff Mr. Kull Jennifer Cook Carson Wright Christopher Hughes John Staab Mr. Hughes Kimberly Carlini Austin Bryan Barry Scott Logan Patrick Marcell Sherman Sheets Kevin Lennil Ali R M Dadgar Robert Lybbert Raymond Echevarria Christopher Williams Robert Porter Aaron Cherry Juliette C. Meunier Gregory J. Schwartz, Sr. Gregory J. Schwartz, Jr. Walter G. Schwartz Thomas Sherwood Frederick R. MacLean, Jr. Laura MacLean Samuel Hardy Taylor Jenny Slattery Robert Ian McCarver Tracy M. McCarver Courtney Teas Anne B. MacLean Messrs. MacLean, Jr., McCarver and Taylor Craig C. Chuang Stacy Bliss Erik Johnson Nicklaus Mattingly Jeff Realejo Frederick R. MacLean III null Steven J. Cupchak Neha Patel Frederick M. and Shelby M. Gans Trust U/A/D 4/21/95 Martha Boero Ironwood's President and Chief Executive Officer Ironwood's Director of Investor Relations Janney Financial Advisor Kevin Sanger insert name not provided Mr. Stern Paul Bowers Mr. Dowd Thomas H. Ruggie Stefanie Hochman Douglas K. Le Bon James H. Reinhardt Karen J. Jakobi James R. Chambliss Alex M. Casbolt Vincent P. Dee Derrek I. Ransford Valerie A. Ruddick Mark C. Fleck William F.A. Decosimo Stephanie P. Graham Richard A. Seeley RCP’s Chief Compliance Officer Christopher Doherty Tom Bain Matt Klinger Saul Waller Dale Craig Rogers Brian J. Mueller Dana Williams not provided Warren Jon Warren Udd Michael Steele Kathryn Moran Nick Smith Chris Boxleiter Ronald Karp Jeffrey Karp Simone Gehner Sam Swift RCED Chief Investment Officer The Adviser Not explicitly stated Daniel J. Bagin James T. Evans Morgan C. Mueller John W. Thompson insert name Wright Christopher Reiff Lynn Chen-Zhang Alex C. Zhang null Lorraine Eason AAS Representative IAR (Investment Adviser Representative) not provided Thomas H. Ruggie John J. Massoud Melissa Punim Dawn Baca Rachel Lee Charles E. Herget, Jr. Anne B. Hernandez Juan Buendia Andrew Conner Pawitra Kc India Suter Kenneth J. Krogulski Stephen Schwarzman Investment Manager Robert Colomb Mr. Colomb Daniel Henderson Cory Krebs Luke J. O'Neill Richard Calabrese Hagin Richeson Samuel D. Muse Family Chief Financial Officer Sarah G. Isabel Kevin Malone Brendan John Malone Stephen R, Gibson Beau J. Handy Alexander S. “Lex” Joseph Jr. Lex Joseph Alex S. Joseph Jr. Clyde Goldberg Will Griffith Matthew Jacobson Alexander Vinnik Not explicitly stated Not explicitly stated Tamara Ward Stephanie Bowers Jerrel Armstrong Natasha Gunberg Joshua Goldin Lindsey Brown Shannon Connor Andrew McDonald Travis Jones Laurent “JP” Elmblad Treguier Nick Kral Jackson Klutznick Drew McDonald Unknown not explicitly stated Calvin Lo Hunter Outen Anne Baber Jen Boling Matt Quinn Jennifer Schmitt Cathy A. Simmons Paul Hickey Andy A. Rad Peter C. Covino III Justin Martin Jefferson H. West Control Person Ronald Jacob (Jake) Dawson Joshua D. Stamm Branden Bosch Jake Dawson John Brocker insert name Principal Owner Jay Sharifi Gideon Bernstein Raymond Robinson Patrick Maxwell Avery Wenck Eric Shute Gideon Bernstein, CFA Raymond Robinson, CFA Patrick Maxwell, CFA, CAIA Avery Wenck, CFP Matthew Carter Not explicitly stated Kenneth M. Ezell Mark Burton Lisa K. Burton David G. McBride John V. Hussa Kristen G. Berndsen Alfred “Trey” Brady, III Daniel J. Bender Suresh Raghavan, CFA Thomas Lynch Paul Clark Brian Seay Jon Rhoney not explicitly stated Financial Advisor Morgan Stanley David Kelly George T. Damasco, Jr. Christine Ohm Robert L. Avery George T. Damasco, III Sean S. Shinaberry Chelsea O. Heintschel Steven E. Bernier Craig S. Huntington Matthew K. Leskovar James J. Biles Paul Joseph Bracaglia Caroline Gorham Ekaterina Atanassov Daniel Platt Ninette Hereford Ninette Hereford, CFP® J. McFerran Barr, II Tony H. Coffey Thomas A. Corea Taylor Wortham Michael Thayer Rebecca A. Gratsinger Scott P. Gratsinger RVK's CEO Co-Presidents of RVK Mr. Michael W. Herlihy Jon Theriault Daniel Sexton Eric Papa Richard S. Crum Mr. Theriault Mr. Sexton Mitch Christensen Robert G. Smith Bruce Nance Kyron Harold John Mitchell West III John M. West III, MBA, CFP Eric S. Walter


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