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| Paul Underwood | Vice-chairman | 1 Jul 1991 | Other | 451634 |
| Kevin Leo Murphy | Srop | 1 Mar 1994 | Other | 1146644 |
| Cynthia Ann Armine | Compliance director | 1 Oct 1995 | Other | 1049066 |
| Virgil Howard Cumming | Chief investment officer, u.s. retail & high net worth - citigroup asset mgmt | 1 Sep 1997 | Other | xxx-xx-xxxx |
| Thomas Gus Maheras | Vice-chairman | 1 Nov 1997 | Other | 1290637 |
| Eduardo Goar Mestre | Vice-chairman | 1 Nov 1997 | Other | 849190 |
| Citigroup Financial Products Inc. | 100% shareholder | 1 Sep 1998 | 75% - 100% | 13-3240203 |
| Salomon Brothers Holding Company | Shareholder | 1 Sep 1998 | 75% - 100% | 13-3082695 |
| Deryck Charles Maughan | Director | 1 Nov 1998 | Other | 704558 |
| Michael Fred Rosenbaum | General counsel - citigroup asset management; managing director - salomon smith barney inc. | 1 Dec 1998 | Other | xxx-xx-xxxx |
| Anthony Peter Jr Cieszko | Managing director - salomon smith barney inc.; head of u.s. retail and high net worth asset mgmt. - citigroup asset management | 1 Jul 2000 | Other | 1158003 |
| Frank J Bisignano | Chief administrative officer, sr. executive vice president | 1 Oct 2000 | Other | 2484837 |
| Andrew Beagley | Director of compliance, north america - citigroup asset management; director - salomon smith barney inc. | 1 Nov 2000 | Other | xxx-xx-xxxx |
| Andrew Thomas Beagley | Director of compliance, north america - citigroup asset management; | 1 Nov 2000 | Other | xxx-xx-xxxx |
| Michael Fred Rosenbaum | General counsel - citigroup asset management | 1 Jan 2001 | Other | xxx-xx-xxxx |
| Michelle Marie Morgan | Crop | 1 Jun 2001 | Other | 2413332 |
| Michelle M Morgan Bundock | Crop | 1 Jun 2001 | Other | 2413332 |
| Thomas Wade Jones | Chairman and ceo - citigroup asset management | 1 Jul 2001 | Other | xxx-xx-xxxx |
| Virgil Howard Cumming | Chief investment officer, global retail & high net worth - citigroup asset mgmt; managing director - salomon smith barney inc. | 1 Jul 2001 | Other | xxx-xx-xxxx |
| Evan Merberg | Managing director - salomon smith barney; chief administrative officer - citigroup asset management | 1 Aug 2001 | Other | xxx-xx-xxxx |
| A Rama Krishna | Chief investment officer - institutional investments - citigroup asset management | 1 Oct 2001 | Other | xxx-xx-xxxx |
| Marcy Engel | General counsel | 1 Nov 2001 | Other | 1666825 |
| Richard Salvatore Speziale | Chief financial officer - salomon smith barney inc. | 1 May 2002 | Other | 1192739 |
| Waldron Thomas Matthews | Vice chairman | 1 Aug 2002 | Other | 803899 |
| Robert Allan Druskin | President, chief operating officer | 1 Aug 2002 | Other | 827763 |
| Charles O Iii Prince | Chairman, ceo, director | 1 Nov 2002 | Other | 2544758 |
| Robert Allan Druskin | Director | 1 Nov 2002 | Other | 827763 |
| Sallie Lee Krawcheck | Chairman & ceo - smith barney | 1 Nov 2002 | Other | 2269652 |
| Michael James Sharp | General counsel - smith barney | 1 Mar 2003 | Other | xxx-xx-xxxx |
| Francis Patrick Begley | Srop | 1 Apr 2003 | Other | 1595601 |
| Michael Even | Global chief investment officer - citigroup asset management | 1 May 2003 | Other | 2176724 |
| Stephen Hopkins | Chief operating officer - citigroup asset management | 1 May 2003 | Other | xxx-xx-xxxx |
| Richard Ketchum | General counsel | 1 Jun 2003 | Other | xxx-xx-xxxx |
| Cliff Verron | Chief financial officer | 1 Jul 2003 | Other | 4332129 |
| Sallie Lee Krawcheck | Director | 1 Dec 2003 | Other | 2269652 |
| Robert Allan Druskin | Chairman | 1 Dec 2003 | Other | 827763 |
| Charles Dean Johnston | Senior executive vice president | 1 Jan 2004 | Other | 861838 |
| Harry David Cohen | Interim chief investment officer, u.s. retail & high net worth - citigroup asset mgmt. | 1 Feb 2004 | Other | 49893 |
| Thomas Gus Maheras | Chief executive officer of global capital markets, within citigroup's global corporate and investment banking group | 1 Feb 2004 | Other | 1290637 |
| Edward F. Greene | General counsel | 1 May 2004 | Other | xxx-xx-xxxx |
| Frank J Bisignano | Chief executive officer - global transaction services | 1 Jul 2004 | Other | 2484837 |
| Maria Louise Lago | Global head of compliance and business practices of citigroup's global corporate and investment banking group | 1 Jul 2004 | Other | 4672107 |
| John Churchill Morris | Chief of operations of citigroup global markets inc. | 1 Jul 2004 | Other | 734315 |
| Julie M Petrowcohen | Chief compliance officer - investment advisory businesses | 1 Oct 2004 | Other | xxx-xx-xxxx |
| Jeffrey Stuart Scott | Compliance officer - asset management | 1 Oct 2004 | Other | 4346423 |
| Robert Bruce Willumstad | President and chief operating officer - citigroup inc. | 1 Oct 2004 | Other | 4783182 |
| Todd Stuart Thomson | Director | 1 Nov 2004 | Other | 4877810 |
| Harry David Cohen | Chief investment officer, u.s. retail & high net worth - citigroup asset mgmt. | 1 Dec 2004 | Other | 49893 |
| Michael Even | Co-head - citigroup asset management | 1 Jan 2005 | Other | 2176724 |
| Stephen H Hopkins | Co-head, president - citigroup asset management | 1 Jan 2005 | Other | xxx-xx-xxxx |
| Charles Dean Johnston | President and ceo - smith barney global private client group | 1 Jan 2005 | Other | 861838 |
| Richard Russell Morton | Director of private client group branch system - smith barney | 1 Feb 2005 | Other | 1064831 |
| Andrew John Baldauf | Chief compliance officer - investment advisory businesses | 1 Dec 2005 | Other | 1554676 |
| Paul Martin Hatch | Executive vice president - investment advisory services | 1 Mar 2006 | Other | 1350155 |
| Cynthia Ann Armine | Co-chief compliance officer | 1 Mar 2006 | Other | 1049066 |
| Maria Louise Lago | Co-chief compliance officer | 1 Mar 2006 | Other | 4672107 |
| Todd Stuart Thomson | Chairman, ceo- smith barney | 1 Nov 2006 | Other | 4877810 |
| Thomas Gus Maheras | Director | 1 Jan 2007 | Other | 1290637 |
| Michael Stuart Klein | Director | 1 Jan 2007 | Other | 1890478 |
| Sallie Lee Krawcheck | Director | 1 Jan 2007 | Other | 2269652 |
| Sallie Lee Krawcheck | Chairman, ceo - smith barney | 1 Mar 2007 | Other | 2269652 |
| Charles Dean Johnston | Director of private client group branch system - smith barney | 1 Apr 2007 | Other | 861838 |
| Cliff Verron | Chief financial officer (finop) | 1 Jul 2007 | Other | 4332129 |
| Clifford Verron | Chief financial officer (finop) | 1 Jul 2007 | Other | 4332129 |
| James Joseph Tracy | Executive vice president - investment advisory services | 1 Aug 2007 | Other | 1005601 |
| James Anthony Forese | Director | 1 Mar 2008 | Other | 1406421 |
| John Paul Havens | Director | 1 Apr 2008 | Other | 871302 |
| Julius Raphael Leiman Carbia | Co chief compliance officer | 1 Sep 2008 | Other | 2468086 |
| Scott L Flood | Co general counsel | 1 Jan 2009 | Other | xxx-xx-xxxx |
| Karen J Kirchen | Co general counsel | 1 Jan 2009 | Other | xxx-xx-xxxx |
| Pamela Peglau Root | Chief compliance officer | 1 Jun 2009 | Other | 4404500 |
| William Thomas Young | Chief compliance officer - investment advisory businesses | 1 Aug 2009 | Other | 2338451 |
| Deborah Doyle Mcwhinney | President and ceo -citi personal wealth management | 1 Aug 2009 | Other | 4358378 |
| John Paul Havens | Chairman and chief executive officer | 1 Sep 2009 | Other | 871302 |
| Zion Shohet | Chief operating officer | 1 Sep 2009 | Other | xxx-xx-xxxx |
| Kenneth Edward Librot | Chief operations officer (finop) | 1 Sep 2009 | Other | 1546288 |
| Thomas N Murphy | Chief operations officer | 1 Nov 2010 | Other | 4519183 |
| John Pirnie Iii Davidson | Director | 1 Jun 2012 | Other | 2439568 |
| Philip Gallo | Chief compliance officer - investment advisory businesses | 1 Sep 2012 | Other | 4074047 |
| William Joseph Mills | Director | 1 Dec 2012 | Other | 1089797 |
| James Anthony Forese | Chairman and chief executive officer | 1 Dec 2012 | Other | 1406421 |
| Scott L Mr Flood | General counsel | 1 Dec 2012 | Other | xxx-xx-xxxx |
| Dana Lynn Platt | Chief compliance officer - investment advisory businesses | 1 Mar 2013 | Other | 6123347 |
| Scott L Mr Flood | Co-general counsel | 1 Apr 2013 | Other | xxx-xx-xxxx |
| Adam Reid Meshel | Co-general counsel | 1 Apr 2013 | Other | 3101145 |
| Scott Leroy Flood | Co-general counsel | 1 Apr 2013 | Other | xxx-xx-xxxx |
| Edward Joseph Iii Kelly | Director | 1 Oct 2013 | Other | 2724462 |
| Raymond Jeffrey Mcguire | Director | 1 Jul 2014 | Other | 1309855 |
| Santo Vito Trombetta | Chief operations officers (finop) | 1 Jul 2015 | Other | 2068210 |
| Santo Trombetta | Chief operations officers (finop) | 1 Jul 2015 | Other | 2068210 |
| Gary Michael Rosen | Interim chief compliance officer | 1 Jan 2016 | Other | 5747390 |
| Edward Raymond Arnold | Chief compliance officer - equities and equities derivatives | 1 Oct 2016 | Other | 1876464 |
| Daniel Scott Palomaki | Chief financial officer | 1 Dec 2017 | Other | 6817317 |
| Ted Kirk Yarbrough | Director | 1 May 2018 | Other | 2086078 |
| John W Cummings | Director | 1 May 2018 | Other | 2729018 |
| Jonathan Leach | Director | 1 May 2018 | Other | 4317415 |
| Daniel Laurence Keegan | Director | 1 May 2018 | Other | 2756125 |
| Howard Denham Marsh | Director | 1 Jul 2018 | Other | 320614 |
| Daniel Laurence Keegan | Ceo/chairman/president | 1 Jul 2018 | Other | 2756125 |