| Matthew James Wunder | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Jul 17, 2012 | Jul 16, 2012 |
| Irl Andrew Solomon | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Jul 11, 2012 | Jun 29, 2012 |
| Hugh W Beecher | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Jun 29, 2012 | Jun 1, 2012 |
| Thomas J Bellaro | Park Avenue Securities LLC other | Barclays Capital Inc. other | Other | Jun 11, 2012 | Jun 11, 2012 |
| Hovick M Babajanian | Wells Fargo Advisors wirehouse | Barclays Capital Inc. other | Other | Jun 11, 2012 | Jun 8, 2012 |
| Thomas Charles Dexter | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Jun 1, 2012 | Oct 8, 2012 (129 d) |
| Brent Wick | J.P. Morgan Securities LLC wirehouse | Barclays Capital Inc. other | Other | May 25, 2012 | May 22, 2012 |
| Rafael Angel Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | May 22, 2012 | Jul 29, 2013 (433 d) |
| Jennifer Lynn Stapleton | Wells Fargo Advisors wirehouse | Barclays Capital Inc. other | Other | May 21, 2012 | May 30, 2012 |
| Brett Fleckman | J.P. Morgan Securities LLC wirehouse | Barclays Capital Inc. other | Other | May 15, 2012 | Aug 27, 2012 (104 d) |
| Timothy Frederick King | J.P. Morgan Securities LLC wirehouse | Barclays Capital Inc. other | Other | May 15, 2012 | Jun 11, 2012 |
| Patrick J Delahunty | J.P. Morgan Securities LLC wirehouse | Barclays Capital Inc. other | Other | May 15, 2012 | Jun 11, 2012 |
| Timothy A Humphrey | J.P. Morgan Securities LLC wirehouse | Barclays Capital Inc. other | Other | May 15, 2012 | May 9, 2012 |
| Christopher James Gardner | J.P. Morgan Securities LLC wirehouse | Barclays Capital Inc. other | Other | May 15, 2012 | Jun 27, 2014 (773 d) |
| Justin Silverman | Thompson Wealth Management, Ltd. other | Barclays Capital Inc. other | Other | Apr 26, 2012 | Oct 28, 2011 |
| Shannon Kathleen Mclaughlin | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Mar 28, 2012 | Mar 20, 2012 |
| Matthew Joseph Celenza | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Mar 28, 2012 | Mar 20, 2012 |
| Andrea Shieh | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Mar 28, 2012 | Mar 20, 2012 |
| Emily L Parker | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Mar 28, 2012 | Mar 12, 2012 |
| Brooke Erin Sanchez | Deutsche Bank Securities Inc. other | Barclays Capital Inc. other | Other | Mar 9, 2012 | Feb 27, 2012 |
| Aleksei Moshiashvili | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Mar 9, 2012 | Mar 13, 2012 |
| Kathryn L Parker | UBS Financial Services Inc. wirehouse | Barclays Capital Inc. other | Other | Mar 2, 2012 | Feb 24, 2012 |
| Kevin Scott Monaco | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Feb 3, 2012 | Jan 13, 2012 |
| David Scott Garfin | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Feb 3, 2012 | Jan 13, 2012 |
| Thomas Mcdonnell | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Feb 1, 2012 | Jan 17, 2012 |
| Michael Steven Gordon | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Jan 25, 2012 | Dec 2, 2011 |
| Mark Thomas Lindee | Wells Fargo Advisors wirehouse | Barclays Capital Inc. other | Other | Jan 23, 2012 | Jan 23, 2012 |
| Charlene Preciado | Wells Fargo Advisors wirehouse | Barclays Capital Inc. other | Other | Jan 23, 2012 | Jan 23, 2012 |
| Hovick M Babajanian | Wells Fargo Advisors wirehouse | Barclays Capital Inc. other | Other | Jan 23, 2012 | Jan 23, 2012 |
| James Faraci | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Jan 10, 2012 | Jan 3, 2012 |
| John Christopher Broderick | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Jan 5, 2012 | Dec 12, 2011 |
| John Dennis Houlihan | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Dec 12, 2011 | Mar 20, 2012 (99 d) |
| Andrew Stuart Leventhal | Credit Suisse Securities (USA) LLC other | Barclays Capital Inc. other | Other | Nov 11, 2011 | Oct 17, 2011 |
| Audra Lynn Mallow | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Nov 10, 2011 | Nov 2, 2011 |
| Mirko Joldzic | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Nov 4, 2011 | Apr 15, 2013 (528 d) |
| Sara Pierce Clark | Citigroup Global Markets Inc. other | Barclays Capital Inc. other | Other | Nov 2, 2011 | Nov 7, 2011 |
| David Francis Manci | Alliancebernstein L.P. other | Barclays Capital Inc. other | Other | Oct 4, 2011 | Sep 19, 2011 |
| Michele Huff Powell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Aug 23, 2011 | Aug 23, 2011 |
| John P O'Neil | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Aug 15, 2011 | Mar 10, 2015 (1303 d) |
| Glen Warren Darby | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Jul 12, 2011 | Jul 11, 2011 |
| Daniel Lawrence Caso | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Jun 21, 2011 | Jun 20, 2011 |
| Daniel E Sharkey | Alliancebernstein L.P. other | Barclays Capital Inc. other | Other | Jun 17, 2011 | Jun 13, 2011 |
| Ernest Alexander Osle | Alliancebernstein L.P. other | Barclays Capital Inc. other | Other | Jun 17, 2011 | Jun 13, 2011 |
| Joseph Gilbert | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Jun 3, 2011 | May 23, 2011 |
| Douglas Robert Bayer | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Jun 1, 2011 | May 20, 2011 |
| Fay Duke Brownlow | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | May 25, 2011 | May 6, 2013 (712 d) |
| Roger Richard Rowe | UBS Financial Services Inc. wirehouse | Barclays Capital Inc. other | Other | May 12, 2011 | Jul 25, 2011 (74 d) |
| Jonathan H Pakula | UBS Financial Services Inc. wirehouse | Barclays Capital Inc. other | Other | May 3, 2011 | May 4, 2011 |
| Brian Kent Maddox | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Apr 11, 2011 | Mar 31, 2011 |
| William Christopher Clinton | Goldman Sachs Wealth Services, L.P. other | Barclays Capital Inc. other | Other | Apr 7, 2011 | Apr 14, 2011 |
| Stacey A Beatey | Wells Fargo Advisors wirehouse | Barclays Capital Inc. other | Other | Mar 30, 2011 | Mar 28, 2011 |
| William George Clements | Alliancebernstein L.P. other | Barclays Capital Inc. other | Other | Mar 29, 2011 | Jan 18, 2011 |
| Michelle M. Mayer | Alliancebernstein L.P. other | Barclays Capital Inc. other | Other | Mar 28, 2011 | Mar 21, 2011 |
| Ruben Dario Lesmes | Hsbc Securities (USA) Inc. other | Barclays Capital Inc. other | Other | Feb 8, 2011 | Mar 7, 2011 |
| John Holmes Shaw | Thomas Weisel Partners LLC other | Barclays Capital Inc. other | Other | Jan 27, 2011 | Jan 18, 2011 |
| Peter Kenneth Kong | Thomas Weisel Partners LLC other | Barclays Capital Inc. other | Other | Jan 27, 2011 | Jan 18, 2011 |
| Alexandra Rueb | Thomas Weisel Partners LLC other | Barclays Capital Inc. other | Other | Jan 27, 2011 | Jan 4, 2011 |
| Robert J Meenan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Jan 25, 2011 | Jan 24, 2011 |
| Shlomi Yedid | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Barclays Capital Inc. other | Other | Jan 25, 2011 | Jan 24, 2011 |
| Charles J. Hahn | Morgan Stanley wirehouse | Barclays Capital Inc. other | Other | Jan 21, 2011 | Oct 27, 2011 (279 d) |