Nuclear Operating Company

South Texas Pro/ect Electric Generating Station PO Box2

Attachment I Contains Personally Identifiable Information -Withhold From Public Disclosure in Accordance With1 OCFR2.390

M9 WdsworthA Texas 77483

July 10, 2012NOC-AE-12002879File No.: D43.0210 CFR 2.390

U. S. Nuclear Regulatory CommissionDocument Control DeskWashington, DC 20555-0001ATTN: J. Keith Everly, Jr. (MS O-2D-15)

South Texas ProjectUnits 1 & 2

Docket Nos. STN 50-498, STN 50-499Foreign Ownership, Control, or Influence (FOCI)

References: 1. Bernard W. Stapleton to A. Wayne Harrison, request to update ForeignOwnership, Control, or Influence documentation, dated January 24, 2011

2. A. Wayne Harrison, STP Nuclear Operating Company, to NRC DocumentControl Desk, "Foreign Ownership, Control, or Influence (FOCI)," dated May19, 2011 (NOC-AE-11002657) (ML11179AO11)

3. A. Wayne Harrison, STP Nuclear Operating Company, to NRC DocumentControl Desk, "Foreign Ownership, Control, or Influence (FOCI)," datedSeptember 6, 2011 (NOC-AE-1 1002713) (ML1 1256A072)

In response to Reference 1 above, STP Nuclear Operating Company (STPNOC) submitteddocumentation of the current status of Foreign Ownership, Control, or Influence (FOCI) forSTPNOC and the three owners of the South Texas Project (References 2 and 3). A supplementto the FOCI documentation for one of the three owners, NRG Energy Inc., is attached. Alsoattached are the changes in the required form that identifies Owners, Officers, Directors, andExecutive Personnel for STPNOC and NRG Energy Inc.

The attached forms for Owners, Officers, Directors, and Executive Personnel (OODEP) containPersonally Identifiable Information. STPNOC requests that the OODEP forms be withheld frompublic disclosure in accordance with 10 CFR 2.390.

There are no commitments included with this submittal.

/,4oo(,,

STI: 33569712 /d

NOC-AE-12002879Page 2 of 3

If there are any questions, please contact Robyn Savage at (361) 972-7438.

Michael P. MurrayManager, Regulatory Affairs

Attachments: 1. Owners, Officers, Directors and Executive Personnel (OODEP) Form - (PII)Not for Public Disclosure

2. Certificate Pertaining to Foreign Interests3. Supplemental Information for Certificate Pertaining to Foreign Interests

NOC-AE-1 2002879Page 3 of 3

cc:(paper copy) (electronic copy)

*transmittal letter only *transmittal letter only

*Regional Administrator, Region IVU. S. Nuclear Regulatory Commission612 East Lamar Blvd., Suite 400Arlington, Texas 76011-8064

*Balwant K. Singal

Senior Project ManagerU.S. Nuclear Regulatory CommissionOne White Flint North (MS 8B1)11555 Rockville PikeRockville, MD 20852

*Senior Resident Inspector

U. S. Nuclear Regulatory CommissionP. 0. Box 289, Mail Code: MN116Wadsworth, TX 77483

*C. M. Canady

City of AustinElectric Utility Department721 Barton Springs RoadAustin, TX 78704

*John Ragan*Catherine Callaway*Jim von Suskil

NRG South Texas LP

*A. H. Gutterman, Esquire

Morgan, Lewis & Bockius LLP

*Balwant K. Singal

U. S. Nuclear Regulatory Commission

*Ed Alarcon*Kevin Polio*Richard Pena

City Public Service

*C. Mele

City of Austin

*Peter Nemeth

Crain Caton & James, P.C.

*Richard A. Ratliff

Texas Department of State HealthServices

*Alice Rogers

Texas Department of State HealthServices

cc: with all Attachments

U.S. Department of EnergyOffice of Safeguards and SecurityATTN: Peggy Jackson, FOCI Program ManagerSecurity and Emergency ManagementP.O. Box 2001Oak Ridge TN 37831

RMS with all Attachments

NOC-AE-12002879Attachment 2

Attachment 2

Certificate Pertaining to Foreign Interests (2 pages)

CERTIFICATE PERTAINING TO FOREIGN INTERESTS OMB No. 0704-0194OMB approval expires

(Type or print all answers) May 31, 2011

PLEASE DO NOT RETURN YOUR FORM TO THE ORGANIZATION IN THE PARAGRAPH BELOW. RETURN COMPLETED FORM TO YOUR RESPECTIVECOGNIZANT SECURITY OFFICE.The public reporting burden for this collection of information is estimated to average 70 minutes per response, including the time for reviewing instructions, searching existing data sources, gatheringand maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information.including suggestions for reducing the burden, to the Department of Defense, Washington Headquarters Services, Executive Services Directorate, Information Management Division, 1155 DefensePentagon, Washington, DC 20301-1155 (0704-0194). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply witha collection of information if it does not display a currently valid OMB control number.

PENALTY NOTICE

Failure to answer all questions or any misrepresentation (by omission or or both, knowingly to make a false statement or representation to

concealment, or by misleading, false or partial answers) may serve as a any Department or Agency of the United States, as to any matter

basis for denial of clearance for access to classified information. In within the jurisdiction of any Department or Agency of the United

addition, Title 18, United States Code 1001, makes it a criminal offense, States. This includes any statement made herein which is knowingly

punishable by a maximum of five (5) years imprisonment, $15,000 fine incorrect, incomplete or misleading in any important particular.

PROVISIONS

1. This report is authorized by the Secretary of Defense, as Executive 2. When this report is submitted in confidence and is so marked,Agent for the National Industrial Security Program, pursuant to Executive applicable exemptions to the Freedom of Information Act will beOrder 12829. While you are not required to respond, your eligibility for a invoked to withhold it from public disclosure.facility security clearance cannot be determined if you do not completethis form. The retention of a facility security clearance is contingent upon 3. Complete all questions on this form. Mark "Yes" or "No" for eachyour compliance with the requirements of DoD 5220.22-M for submission question. If your answer is "Yes" furnish in full the completeof a revised form as appropriate, information under "Remarks."

QUESTIONS AND ANSWERS

YES NO1. (Answer la. or lb.)

a. (For entities which issue stock): Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5percent or more of the outstanding shares of any class of your organization's equity securities? X

b. (For entities which do not issue stock): Has any foreign person directly or indirectly subscribed 5 percent or more of yourorganization's total capital commitment?

2. Does your organization directly, or indirectly through your subsidiaries and/or affiliates, own 10 percent or more of xany foreign interest?

3. Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), Xofficers, executive personnel, general partners, regents, trustees or senior management officials?

4. Does any foreign person(s) have the power, direct or indirect, to control the election, appointment, or tenure of members ofyour organization's board of directors (or similar governing body) or other management positions of your organization, or havethe power to control or cause the direction of other decisions or activities of your organization?

5. Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)? X

6. Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations Xto a foreign person(s)?

7. During your last fiscal year, did your organization derive: X

a. 5 percent or more of its total revenues or net income from any single foreign person?

b. In the aggregate 30 percent or more of its revenues or net income from foreign persons? X

8. Is 10 percent or more of any class of your organization's voting securities held in "nominee" shares, in "street names" or insome other method which does not identify the beneficial owner? X

9. Do any of the members of your organization's board of directors (or similar governing body), officers, executive personnel,general partners, regents, trustees or senior management officials hold any positions with, or serve as consultants for, any Xforeign person(s)?

10. Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influencethe operations or management of your organization? X

STANDARD FORM 328 (Revised 612008) PREVIOUS EDITION IS OBSOLETE. Adobe Professional 7.0

REMARKS (Attach additional sheets, if necessary, for a full detailed statement.)

Please see attached supplement.

CERTIFICATION

I CERTIFY that the entries made by me above are true, complete, and correct to the best of my knowledge and belief and aremade in good faith.

WITNESSES: June 29, 2012(Date Certified)

By( C()AW,"•Signatur f Authorized Contractor Representtive)

7Christopher O'Hara(Typed Name of Contractor)

Interim Gener2l C~niin'~pINOTE: In case of a corporation, a witness is not required but thecertificate below must be completed. Type or print names under (Title of Authorized Contractor Representative)all signatures. 211 Carnegie Center

Princeton, NJ 08540

(Address)

NOTE: Contractor, if a corporation, should cause the following certificate to be executed under its corporate seal, provided that the same officershall not execute both the Agreement and the Certificate.

CERTIFICATE

1, S fýoxP ( f- L ' certify that I am the (sr__i#- .T . 4 ,L i-

of the corporation named as Contractor herein; that C A re5S0

who signed this certificate on behalf of the Contractor, was then 7 ,4 191- ( J,_1 (Lfl }e./

of said corporation; that said certificate was duly signed for and in behalf of said corporation by authority of its go%*rning body, andis within the scope of its corporate powers.

Zý • - r . .. .

(Corporate Seal)

STANDARD FORM 328 (BACK) (Revised 612008)

NOC-AE-12002879Attachment 3

Attachment 3

Supplemental Information for Certificate Pertaining toForeign Interests (31 pages)

NRG Energy, Inc.,NRG Texas, LLC,

andNRG South Texas LP

Supplemental Information for

Certificate Pertaining to Foreign Interests

SF 328

June 29, 2012

1

Supplemental Information forCertificate Pertaining to Foreign Interests For

NRG Energy, Inc., NRG Texas, LLC, and NRG South Texas LP

Question 1:

Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5% ormore of the outstanding shares of any class of your organization's equity securities?

No. As of December 31, 2011, Orbis Investment Management Limited ("OIML") andOrbis Asset Management Limited ("OAML"), both located in Hamilton, Bermuda,together owned 5.3% of NRG Common stock. OIML and OAML have since reducedtheir position and own approximately 4.09% of NRG common stock, based upon theirSEC Schedule 13F for the calendar year ending March 31, 2012.

Question 2:

Does your organization directly or indirectly through your subsidiaries and/or affiliates,own 10% or more of any foreign interest?

Yes. Attachment 1 provides a listing of NRG Energy, Inc.'s ("NRG Energy") foreigninterests as of May 31, 2012, by name, country, and percentage owned or units held. Inaddition, Attachment 2 provides a listing of NRG Energy personnel who act as officers ordirectors of the foreign entities.

Question 3:

Do any non-U.S. citizens serve as members of your organization's board of directors (orsimilar governing body), officers, executive personnel, general partners, regents, trustees orsenior management officials?

Yes. Mauricio Gutierrez, NRG's Executive Vice President and Chief Operating Officer,is a citizen of Mexico and a permanent resident of the United States.

Also, Glen Mackey, NRG's Chief Risk Officer, is a citizen of Canada, and is a residentalien of the United States.

2

Question 4:

Does any foreign person(s) have the power, direct or indirect, to control the election,appointment, or tenure of members of your organization's board of directors (or similargoverning body) or other management positions of your organization, or have the power tocontrol or cause the direction of other decisions or activities of your organization?

No.

Question 5:

Does your organization have any contracts, agreements, understandings, or arrangementswith a foreign person(s)?

All foreign operations represent approximately 1.6% of the company's total operatingrevenues and approximately -5.3% of its gross income. The largest source of revenueand income from any single foreign country is the company's operations in Germany,which represent approximately 1.6% of year-to-date operating revenue (as ofDecember 31, 2011) and approximately -3.9% of gross income.

NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture thatis approximately 9.5% owned by Toshiba America Nuclear Energy Corporation (TANE),which is owned by Toshiba Corporation, a Japanese company. TANE is part of aconsortium along with Stone & Webster Inc. (a Louisiana corporation which is whollyowned by The Shaw Group, Inc.) that has contracted to construct a two unit commercialnuclear power plant at the South Texas Project known as STP 3&4. TANE has provideda $500 million credit facility to NINA in connection with the construction and Stone &Webster Inc. has provided a $100 million credit facility to NINA.

Because the efforts at the South Texas Project involve controlled nuclear information,NINA has entered into contractual arrangements and obtained additional assurances inorder to ensure compliance with the applicable export control requirements in 10 CFRPart 810.

In addition, NRG Energy has entered into various contracts for work, equipment and/orservices in the United States from various companies that may be foreign owned.

Question 6:

Does your organization, whether as borrower, surety, guarantor or otherwise have anyindebtedness, liabilities or obligations to a foreign person(s)?

Yes. NRG Energy maintains equity and debt ratios in the range of approximately 45% ormore equity and 55% or less debt. However, the precise ratio varies from time to time.As of March 31, 2012, NRG Energy has debt in the range of $10.2 billion, withapproximately $7.7 billion held pursuant to the terms of a Credit Agreement (approx.

3

$1.6 billion) and Indenture (approximately $6.1 billion) described in further detail below.The remaining debt includes project level fimancings that include foreign debt secured by

assets located outside of the United States. However, none of these financingsindividually involves 5% or more of the total debt of NRG Energy. Overall, NRGEnergy's debt is held by more than 400 separate debt holders, domestic and foreign.Based upon a reasonable review of lender and bondholder lists, NRG Energy estimates

that all foreign debt is less than 17% of total debt, and we have not identified any singeforeign lender or group under common control that holds 5% or more of the company'sdebt.

NRG Energy is indebted to lenders under an Amended and Restated Credit Agreement,dated as of July 1, 2011, among NRG Energy, the lending institutions parties thereto (the"Lenders"), and Citicorp North America Inc. ("Citicorp"). Citicorp is the administrativeagent under the Credit Agreement. As such, Citicorp has been irrevocably designatedand appointed by each Lender to act as administrative agent under the Credit Agreement.Each Lender has irrevocably authorized Citicorp to take such action on its behalf under

the provisions of the Credit Agreement and to exercise such powers and perform suchduties as are expressly delegated to the administrative agent by the terms of the CreditAgreement, along with such other powers as are reasonably incidental thereto. Citicorpis domiciled in the United States. Portions of the loans under the Credit Agreement mayfrom time to time be held by foreign persons. The loan is secured by NRG Energy'sequity interests in substantially all of our domestic and foreign subsidiaries, with certainexceptions. The Credit Agreement contains reporting, ratio and other standard covenants.A listing of lenders as of May 24, 2012 is provided as Attachment 3.

NRG Energy is an issuer of the notes issued under an Indenture, dated as of February 2,2006 (as amended or supplemented from time to time, the "Indenture"), among NRGEnergy, each of the guarantors party thereto and Law Debenture Trust Company of NewYork ("Law Debenture") as trustee. As trustee under the Indenture, Law Debenture isauthorized to exercise such powers and perform such duties as are expressly delegated tothe trustee by the terms of the Indenture. Law Debenture is domiciled in the UnitedStates. Portions of the notes issued under the Indenture may from time to time be held byforeign persons. The notes are unsecured obligations of NRG Energy, and the Indenturecontains reporting and other standard covenants. A listing of bondholders as of February18, 2011 is provided as Attachment 4 (NRG Energy is not aware of any material changesto this list since it was created).

NRG's subsidiary Nuclear Innovation North America, LLC (NINA) is a joint venture thatis approximately 10.5% owned by Toshiba America Nuclear Energy Corporation(TANE), which is owned by Toshiba Corporation, a Japanese company. TANE is part ofa consortium along with Stone & Webster Inc. (a Louisiana corporation which is whollyowned by The Shaw Group, Inc.) that has contracted to construct a two unit commercialnuclear power plant at the South Texas Project known as STP 3&4. TANE has provideda $500 million credit facility to NINA in connection with the construction and Stone &Webster Inc. has provided a $100 million credit facility to NINA

4

Because the efforts at the South Texas Project involve controlled nuclear information,NINA has entered into contractual arrangements and obtained additional assurances inorder to ensure compliance with the applicable export control requirements in 10 CFRPart 810.

Question 7:

During your last fiscal year, did your organization derive:a. 5% or more of its total revenues or net income from any single foreign person.

No.

b. In the aggregate 30% or more of its revenues or net income from foreignpersons?

No.

Question 8:

Is 10% or more of your organization's securities held in "nominee shares," in "streetnames" or in some other method which does not disclose the beneficial owner?

Yes. BlackRock, Inc. is the sole institutional investor that has disclosed holding 10% ormore of the voting share. No investor has attempted to, or has exerted any control orinfluence over, appointments to management positions or influenced the policies of NRGEnergy.

Question 9:

Do any of the members of your organization's board of directors (or similar governingbody), officers, executive personnel, general partners, regents, trustees or seniormanagement officials hold any positions with, or serve as consultants for, any foreignperson(s)?

Yes, please see Attachment 2. In addition, NRG Energy Director Paul Hobby, a UnitedStates citizen, reports serving as a director of Saracen Offshore Ltd., an offshore hedgefund incorporated in the Cayman Island, with operations in the United States. Also, NRGEnergy Director Kathleen McGinty, a United States citizen, reports serving as a directorat Iberdrola USA, Inc. Iberdrola is a wholly owned subsidiary of Iberdrola SpA, anelectric utility headquartered in Bilbao, Spain.

Question 10:

Is there any other factor(s) that indicates or demonstrates a capability on the part offoreign persons to control or influence the operations or management of yourorganization?

No.

6

ATTACHMENT 1

Domestic Owner Ownership

Name of NRG Foreign Entity Jurisdiction Name of Owner Type Jurisdiction Interest (%)Kraftwerk Schkopau Betriebsgesellschaft mbH Germany Saale Energie GmbH Entity Germany 44.40Kraftwerk Schkopau GbR Germany Saale Energie GmbH Entity Germany 41.90Lambique Beheer B.V. Netherlands NRGenerating German Holdings GmbH Entity Switzerland 100.00NRG Caymans-C Cayman Islands NRGenerating German Holdings GmbH Entity Switzerland 100.00NRG Caymans-P Cayman Islands NRGenerating German Holdings GmbH Entity Switzerland 100.00NRG Caymans Company Cayman Islands NRGenerating German Holdings GmbH Entity Switzerland 100.00NRG Glastone Operating Services Pty Ltd Australia NRG Victoria I Pty Ltd Entity Australia 100.00NRG Victoria I Pty Ltd Australia NRGenerating International B.V. Entity Netherlands 100.00NRGenerating German Holdings GmbH Switzerland NRGenerating Luxembourg (No. 1) S.a.r.I. Entity Luxembourg 100.00NRGenerating International B.V. Netherlands NRG International LLC Entity Delaware 100.00NRGenerating Luxembourg (No. 1) S.a.r.I. Luxembourg NRGenerating International B.V. Entity Netherlands 100.00NRGenerating Luxembourg (No. 2) S.a.r.l. Luxembourg NRGenerating Luxembourg (No. 1) S.a.r.I. Entity Luxembourg 100.00Saale Energie GmbH Germany NRGenerating German Holdings GmbH Entity Switzerland 100.00Saale Energie Services GmbH Germany NRGenerating German Holdings GmbH Entity Switzerland 100.00Sachsen Holding B.V. Netherlands NRGenerating International B.V. Entity Netherlands 100.00Sunshine State Power (No.2) BV Netherlands NRGenerating International B.V. Entity Netherlands 100.00Sunshine State Power BV Netherlands NRGenerating International B.V. Entity Netherlands 100.00

7

ATTACHMENT 2

Name of NRG Foreign Entity NRG Energy, Inc. Personnel Name PositionKraftwerk Schkopau Betriebsgesellschaft mbH Bjorn Bauerfeind Managing Director - GeschaftsfuhrerLambique Beheer B.V. Mauricio Gutierrez Director, Supervisory Board Member

Mauricio Gutierrez Supervisory Board MemberNRG Gladstone Operating Services Pty Ltd Mike Shevade Director, Managing DirectorNRGenerating German Holdings GmbH Kevin P. Malcarney DirectorNRGenerating International B.V. Kevin P. Malcarney President; Managing Director, Class B; Manager

Kevin P. Malcarney Managing Director, Class BNRGenerating Luxembourg (No. 1) S.a.r.l. By NRGenerating International B.V. Managing Director, BNRGenerating Luxembourg (No. 2) S.a.r.l. By NRGenerating International B.V. Managing Director, BSaale Energie GmbH Kevin P. Malcarney Managing DirectorSachsen Holding B.V. Kevin P. Malcarney Managing DirectorSunshine State Power (No.2) BV Mike Shevade Managing Director - Class BSunshine State Power BV Mike Shevade Managing Director - Class B

8

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23

ATTACHMENT 3

CItbank N.AInvestor Contact Report (OC Report)

As Of: 24-MAY.2012Tranche Ref No : 001BTPRl11860005

Reference Date :0512412012

Tracohe Ref No : ORIBYPR 10I0S

rrane~s m0.: INRO1EN0RHYRC.9ENOR

TOTAL LOAN TOTAL LC TOTALINVEaTOR I Investor Na.e MNEMON Fun Man....er nT tCODE GRCIn INVESTOR DETAILS ENTY" NAME ENTITY PHONE a ENTITY FAX COY ASSET RATIO TOTAL COMMITMENT OUT'STANDING OUTSTANDING OUTSTANDING

Investor Address: 1251 AVENUE OFTOE BANK OF THE AMERICASTOKYO- 14 THFL

THE BANK OF TOKYO-MITSUBIOHI UFJ MITSUBISHI UFJ NEWYORK05700 LTD (BANK OF TOKYO) ACSBTM LTD 7P11164542 JP-10020 JAIME VELEZ 20!4138586 2015212304 UOD 4.09 04,000,O0o. 0.00 03,279,157.m 53,279.157.63

IrwesltArddress: 31 WEST 52NDSTREET

DEUTSCHE BANK AG, NEWYORK NEWYORK, NY 0019007020 BRANCH (DEUTSCHE BANK) AADSAG relhe Och- Bark OElLOSAS25 YE-loo SCOTT 'INTHICUM 2122503981 2127970070 ASD 0.00 07 0.00 0.01 0.01

MIZUHO CORPORATE BANK, LTD (FKA IestorAddress: 1633 BROADWAYDAI-ICHI KANGYO BANK)(MIZUHO 40TH FLOORCORPORATE BANK LIMITED NEW Mtuho Corporate NEWYORK. NY fools

05730 YORK BRANCH) DEMHD1 Bank. LI JPILt77171 1"00151180 JP-10019 MAXINESUNBURY 7010269139 2010209941 rro 2.01 0001001 0.00 34,0097.972.9 34,007.972.OS

Irnestor Address: 1085 GATEWAY8OULEVARD

BANK OF CONCORD CA 94520 FAIR VALUE057000 BANKOFAMERICA NA 057650USD AMERICA, NA. US1LO09318 US-9420 SERVICING TEAM 9803804605 1046023632 USD 7.35 109,000D00 0.00 95.700.123.1 95,789,1 23.81

neestor Address: 75 WALL STREET11TH FLOOR

BARCLAYS BANK PLC.NEWYORK NEWYORK NY 10265057001 RANCH) (BARCLAYS) VBB2 BARCLRYS 0B1L182038 1004116136 GB-10265 DAVID BARTON 2125209870 .2125265115 USO 7,35 109,000000. 0.00 95.789,123.8 95,789,I23,8.

Irrtescr Address: 707 SEVENTHAVENUE, 32N0 FLNEWYORK, NEWYORK 10019 ANTONIETTA

057680 BNP PARIBAS (SNP PARIBAS) VUEBNP RNP PARIBAS FRIL038674 FR- COSENTINO 2016318335 2018504M22 USOD 4.35 1o0.00.00.7/o 0.00 56.679.054.93 56.679.954.03

Inrestor Address: 1301 AVENUE OFCREDIT AGRICOLE CORPORATE AND THE AMERICASINVESTMENT BANK(FIIKA Calyeo Eor NEWYORK

07097 CALYONIICALYON) CALYON Branch FR1L156740 1000086424 FR-1l;9 GENER DAVID 7325907751 0178495497 USD 4.35 100.000,000.0 0.00 56R,79.954.9O 56.679.054.03

Ir-st.r Address: ONE LIBERTYPLAZA

ROYAL BANK OF CANADA (ROYAL ROYAL BANK OF NEWYORK, N'Y 000-1404 LOANS007T32 SANK OF CANADAI CAPRO CANADA CAIL101960 1000573112 CA-10006 ADMINISTRATION 2124286320 2124282372 USD 3.20 75.000r0000 .. 0D 4205.0,956,19 42.509,968.1

n-et.r Address: 4t0CALIFORNIA STREET

UNION BANK NA (FKA UNION BANK OF UNION BANK OF SAN FRANCISCO, CA COMMERCIAL LOANS00740 CALIFORNIA AESUBC CALIFORNIA 1001359415 U0-94104 OPERATIONS 3237246198 8004469951 U00 3.26 75.000,000. 0,00 42,SO0,966.19 42,509,966.l0

Investor Address: 270 PARK AVENUEJPMORGAN CHASE BANK HA (JPM NEWYORK, NY NICOLE F

057897 CHASE) JPMCBKDCT JPM Chase USILOl1291 US-10017 MANGIARACINA 3026342022 0120443885 USD 6.52 150.000.000,00 0.00 85,019,032.30 85.019,932.3T

Inestor Address: ONE UTAH CENTER201 SOUTH MAIN STREET, 5THFLOOR

MORGAN STANLEY BANK, NA. Morgan Stanley SALT LAKE CITY, UT690244 IMORGAN STANLEY) ACSMS Ivstomest JSlL094930 US-84111 MORGAN STANLEY 4436274355 7182332140 USD 5.43 125.000.00. 0.00 70,849,943.06 70,840,043.00

rnvestor Address: 1585 BROADWAYC/O TAX DEPARTMENT1633 BROADWAY,25 TH FLOOR

MORGAN STANLEY SENIOR FUNDING Mergan Stanley NEWYORK050347 INC IMORGAN STANLEY INVESTMENT AAMSSF Investment JS1L022337 1002310879 US-10019 MORGAN STANLEY 4436274332 7162332140 U1D 1.01 44,00,00. 0.00 24,930,100.17 24.039.180.17

DEUTSCHE BANK TRUST COMPANY Invstor Addres: 2 PENNS WAY050702 AMERICA (DEUTSCHE) NALDB-UDO DeDtsche Bank U51L034308 US- SHODA KENCHAPPA 9045205449 8662403022 USD 7.35 109,000,000. 0.00 95,789,123.8 95,789.123.80

Investor Adoress: 1525 AVENUE OFAMERICASNEW YORK,

050702 ISO CAPITAL LLC ARMING (NO Cap LLC 1300534709 US-10019 -RMELINDA YOUNG 0464248240 6464240251 USD 4.35 100,000.00 0.00 58,67i,9 5

4.93

50,079,954.93

24

ATTACHMENT3

Cit~bank N.A

Invesor Contact Report (OC Report)As Of: 24-MAY-2012

Tranche Ref No : 00IBTPR1 11850005Reference Oate: 0512412012

Ta-he afko bJ0lBTpFHI1&000 ]

Tra•¢Bia Now, NRO.ENEROYRC.SENNIOR

TOTALLOAN TOTA LC TOTALINVESTOR# IrveslONape " I M- MNEMONIC Fund Mar OTCC CODE GFCID ANVESTORDETAILS ENTITY NAME ENTITYPHONE# , ENTITYFAX# CCY ASSETRATIO TOTALCOMMITMENT OUTSTANDING OUTSTANDING OUTSTANDING

00.5.1S; ARRI.: 1351 AVENUE OF

THE BANK OF THE AMERICASTOKYO- 14THAFL

THE RANK OF TOKYO-MITSUBISHI UFJ MITSUBISHI UFJ NEW YORK57501 LTD (BANK OF TOKYO) ACSBTM LTD JP1LN64A42 JP-10020 _ AIM VELEZ 201413586 2WI5212304 USD 409 ASA,ODD00.C 0.OS 53,27.B157.63 53,279,157.E:

Irweslo0 Address: 20. PARK AVENUEDNB NOR BANK ASA, AY BRANCH DNB NOR BANK NEWYORK, NY

059DB D INS NOR BANK) DNBASAUSD NSA, NY BRANCH US. -ALBERT CACEDA 83221458077 8322145839 USD 4.09 93,B.999,991T 0.00 53.279.157.52 53,279.157.6:

InvestorAddress: 320 PARK AVENUE30TH FLOOR

Citigroup Goba1 NEWYORK, NY 10843AR8B CITIBANK, N.A. - ORIGINATIONS STPCUSO-18 Markets TUSO0CITI3 US-I0043 ANNEMARIE PAUCS .30B894A01 2129940849 UID 7.35 169,00a,000.(l.0 DO 95.789.123.B8 95,78,123.0;

IrvestrAddra.: ELEVEN MADISONAVENUE

CREDIT SUISSE. CAYMAN ISLANDS Credit Suisse NEWYORK, NY 10010-3629B RANC (CREDIT SUISSE FREDSI AlteraBve CHlLI56797 1003IOOBSN CH-lOUtI DERRICK RAT 91B695559 6S4d693871 USD T.35 1BBO00.D00.0 0.00 S5,7BS.123.B 95,789.1 23,B:

Investor Address: 2 WORLDFINANCIAL CENTER

COMMERZBANK AG, NEWYORK AND COMMERZBANK NEWYORK0 G0099 GRAND CAYMAN BRANCHES CREDITOURODA AG 081025682 DE-10281 LYLE BOOTH 21226B7379 22988111 UBD 3.26 75,000,000.00 O.0 42.509,B66.19 42,509,9661.

Avestr Address: 42 ST. ANDREWSSQUAREEDINBURGH

THE ROYAL BANK OF SCOTLAND RBS GreenrwV SCOTLAND01337 GROUP PLC CLAUSOTRU Caplital GSBLOB8242 1001548132 GBi. DAVID VITT] .203B9779 2038733569 USD 6.48d 149,RO,00,0 0.0 84,453.132.8d 84.453,132.8,

54351 kdr&s- CUSTOM HOUSEDUCKS

SumIomo MItsul DUBLINSUMITOMO MITSUI BANKING Bankirt IRELAND

D95191 CORPORATION 09519SIUSD Corporation Group IE. KRISTEN LEE 2122244314 2122245197 USD 1.D9 25,0O0,000. 0DO 14,169,B908.7 14,169.BBB.7:Irvstor Address: 21B0 SOUTH 1300EAST, SUITE 250SALT LAKE CITYUT

110172 CIT BANK 1D0172USD CIT BANK 1001712876 US.U4106 PATT MATOS 2124415B211 .1017852 USD 0.87 20D0000,01D,0 DOT. 11,335B990.9SS 11,335.g90.g

Irvestor Address: N5 BROAD STREET

Goldmran SBhs NEW YORK, NY136202 GOLDMAN SACHS BANK USA OOLDULC Asset MIt USBIL13122S 100D753986 US-l..o. ADMIN CONTACT 17.35 1S9,OOO. OD 95Z7B B123.B 55,7BB,123,8

Tot_ _ 100.00 2,300,000,000.0f 0,00 BO pwraraff 8RBM

25

, -rr,~ tsrowser "jutput ATTACHMENT 4 ratgc 1 01 1

COMPANY ID: 00566346 AccouNT ID: 00177313 LOGGED IN AS: GREGG.WEISSNAN@LAWDEB.COMSecurity Position Report Service Home > Request Form > Security Position Report

Security Position Reports: One Time Special Security Position Report

The Depository Trust CompanyOne Time Security Position Report

Position as of: 02/18/2011

Security DescriptionGCB144A NRG ENERGY INCDO1/26/11 07.625% JJl8

Cusip629377BL5

Participant Quantity Participant - Quantity Participant Quantity

2352 AMALGAMATE 1 315O000 0901 BANK OF NY 163609000i 2154 BSNP PAR PB I DODD00oi

2510 BNY/PRUDEN 7956000t, 2095 BNYMEBr C D380 2251 BOA/CLIEa 200I BOAGW I 6680001 21960ONY0ACL 114000001 0010 BROWN BROS 147340000i

090B CETBAN( .142300001 2032 CITBKIGRP 70 '218COMERICA 9500001

0573 DEUTSCHE 4500I 0987 FID SSB 90000 • 0141FST CLEAR J 3130001

0501GODMAN U' 20o0000 2219 HBBO OH 10200001 2305 HNTNGTNNB 00

2255 IPM/PCS SS J 175000 I 0352 JPMC CLEAR j24000000ý 0902 JPMCBNA j19759000012230 IPMCH/RBS 1 17500001, 0187 JPMS LLC 24050001 2769 KB NA/FsO 1635000J0950 MGTR E 18720001 198 ML SFKPG 650001 2669 NRTIRN TRt 403790001

________5___ 18200 00_____2778 NTHRN/FFA 17000001 0-571 OPPEN-IEME 1§3000 2616 PNC BKNA 39826000i

4801 RBC DOM- 30D00001 2319 ssB TRUST ] 500__0997 SSB&T 00l 381846D000

2767 SSES-BRIT 276250001 2950 SSB-SPDRS 249000001 2971 SUNTRST BK 1GO

1022.1 UBS FINAN 650001 2803 US BANK NA 1 C50I2027 WELLS BKNA 60-5000ý

Total 1200000000

https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo26

3/9/2011

ar-ri nroOWSrE XJULpUE ATTACHMENT 4 .1u JL U1L i

COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COMSecurity Position Report Service Home > Request Form > Security Position Report

Security Position Reports: One Time Special Security Position Report

The Depository Trust CompanyOne Time Security Position Report

Position as of: 02/18/2011

Security DescriptionGCB 144A NRG ENERGYDO8/20/10 8.250% MS20

Cusip629377BH4

Participant Quantity Partidpant Quantity . Participant Quantity

2352 AMALGAMATE 3465000j- 0901 BANK OF NY i1392420001 2510 BNY/PRIJDEN 21550001

0954 BNYMEL/TST 10786

8000j 0955 BOA/GWIM 194000f 2195 BONY/BARCL 243D0000

0010 BROWN BROS 1147539000j 0274 CGM/SAL BR 1 00~ 0908 rInBANK j 218770001218CMEIA 152500 t 0573 DEUTSCHE i22500001 0987 FID S555000!

4818 FIDuaE'w 16500D00 0141 FRST CLEAR 1 50001 2305 HUNTNGTNNB 2650001t

0352 JPMC CLEAR 245540001 2424 JPMCB/CTC 12250001 0902 JPMCBNA j 124402000)

12205 KEYBANK NA I 400000I 0992 MAR ILSLEY 950001 2932 MTTSU13 UFJ 14750001

5198 ML SFKPG -400001 0773 MLPFS/FIX 66150001 0050 MORGAN 5Th 500000'(1226 NFS LLC 1 12250001 2669 NRTI-RN TR I~o~_07 PEIIIE19000

2616 PNC BKNA 1294000_0235 R~ccApmKrs 500000 0971 REGIONS BK 50D0000

2039 SEI PRIVAT 1 2000001 2319 SSB TRUST 65001D9 S& O3675060100

2767 SSB-BRIT 1175130001 2852 TRUSTNARK 60000l 0221 UBs FINAN 400001,

12450 UMB BK,NA 1000000 12803 US BANK NA J99150001 2027 WELLS BKNAý 24200001

Total 1078576000

https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo27

3/9/2011

z5K Birowser uutput ATTACHMENT 4 rage i or i

COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COMSecurity Position Report Service Home > Request Form > Security Position Report

Security Position Reports: One Time Special Security Position Report

The Depository Trust CompanyOne Time Security Position Report

Position as oft 02/18/2011

Security DescriptionGCB REGS NRG ENERGYD08/20/10 8.250%.MS20

Cusip,U66967AE8

Participant Quantity Participant• quantity Par-tidpant Quantity

OMT BN0N441270001 0954 BNYMELiTsT 10 ROWN BROS 112000

0908 CITBANK 3990000' 0902 JPMCBNA 123950001 29.32 mITSUB UF3 4000001

Total 21424000

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3/9/2011

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COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSNAN@LAWDEB.COM

Security Position Report Service Home > Request Form > Security Position Report

Security Position Reports: One Time Special Security Position Report

The Depository Trust CompanyOne Time Security Position Report

Position as of 02/18/2011

Security DescriptionCB NRG ENERGY INC. D06/05/09 Cusip

-500% JD19 629377BG6

Participant Quantity Participant Quantity - Participant Quantity

0901 BANK OF NY 80723o0o0 0954 BNYMEL/TST 1087360001 0955 BOA/GWIM 95000

1 2209 BONY/SPoR 2200000D o010 BROWN BROS 47508000 0702 CCo LLC o450001

I ___ __ __ ____ ___1 0164 Cl-S SCH-WAB f 9420001 0908 CITIBANK( 133170001 2032 CriTBK/GRP 1 490001

0418 CITIGROUP 6415000i 2108 COMERICA 7580001 0355 CS SEC USA I 44390001

1.0573 DEU-TSCHE 1 5000000 0385 E*TRADE 1850001 0987 FID SSB 49000

0141 FRST CLE7AR 9660001 2975 FTB/PuL c 2125000r 0005 GOLD4AN 72020001

0534 INT BROKEJR 60001 0374 JMS LLC J 110001 0352 )PMC CLEAR 2145000

1 03 JMC 'NL 2350 92JMBA J96025000j 0187 JPMS LLW 31840001

2769 KB NAT•. O 1700001! 0075 LPL FIN CO 3770001 0992 MAR LSLEY I 15ooo

2932 • T•UB I 571.50001 5198 MLSFKPG j 297ooo1 0780 MORGAN K 25000!,.86.0,i5008 , -. 11950001 0226 NFS L-C 1617000i

0015 MSSB 1660 !508NBCN INC** I

12669 NRTHRN TR 531320001 0571 OPPENHI-IEE 1 997000!__0338 OPTIONSXPR I 25000!

o,, I,,_ I.,,o!•,,,•, I ,1ooi Io,,,,,,, ! •oo

*0443 PERSHING 9380001 2616 PNC BKNA 1 26600001 0701 PRIMEVEST 5000

0547 R W BAIRD 1.00001 0725 RAYMOND 730001 481 _ RPC DOM 100000110235 RB&CAPMICTS 1627000 5011 SCOTIA" 111750001 75S~iAE J 200

02o79 SOUTHiWEST 5650)00!1 2319 SSB TRUST J 10600001' 0997 SSB&T CO j 155770000

2767 558-RIT 1160200 2950 SSB-SPDR'S 1300 0793 STIFEL 40500012779 SUMI TRUST 11 340000 112971 SUNTRST BK ISo !O DAM 600

5036 T1O WATER--- 1 30450001 0549 TIMBER HIL j 15000o1 0221 UBS FINAN 5338000jD 642 UBS SE~IC 1 1750001 2450 UMB BKNA I 61.400001 2067 UNION BANK i 25000!

I2145 UNION BANK I 347D000I 2803 US BANK NA 107660001 0062 VANGUARD I 150000,

10103 WEDBUSH 1 50000! 2027 WELLS BKNA J 221600011 21-16 511--3RD BK 19000]

Total 700000000

https://portaLdtcc.com/cre5/SPR/browser/SPRPosifionReport.do29

3/9/2011

zirif Isrowser uwapui: ATTACHMENT 4 rag, JI u1 I

COMPANY ID: 00566346 ACCOUNT ID: 00177313 LOGGED IN AS: GREGG.WEISSMAN@LAWDEB.COM

Security Position Report Service Home > Request Form > Security Position Report

Security Position Reports: One Time Special Security Position Report

The Depository Trust CompanyOne Time Security Position Report

Position as aof: 02/18/2011

Security DescriptionCB NRG ENERGY, INC. D01/21/06 Cusip7.375% 3J17 629377AX0

Participant Quantity Participant Quantity Participant Quantity

2352 AMALGAMATE 25000 1 0901 BANK OF NY 273D40700 7256 BARC/FDCEO 3017000

250BY(RDN 22D[ 0954 BNYMEI/TST i55525000! 0955 BOA/GWIM 4190001

2196 BONY/BARCL j 4980001 0013 BRNSTN LLC 5000 0)010 BROWN BROS 1260310001

0702 C(SLLC I 655000I 0164 cHS SCHWAB 5050010 0908 CITIBANK 147120001

0418 CITIGROUP 163 2108 COMERICA 51!;00G00 035.5 CS SEC USA 300500014 ______________________________________ _________________ ______________________________________ __________________ _______________________________________ _______________________

10385 E-TRADE 1 850001 4618 FIDUCIE*. 29400001 0141 FRST CLEAR 1378000

0309 FST 5TH CO 200001 0501 GOL1DMAN LP 50001 2305 H-UNTNGTNNB 1030001I

0534 INT BROKER 120001 0374 JMS LLC J 80000 2255 IPM/PCS SS 5D0000

251 JPMPR 1 3750000i 0352 3PMC CLEAR 3944000 2424 1 PM~CB/CTC 7000000j0902 IPMCBNA I 384DG 22. EBKNA soo sLLFi c)60001

0727 MESIROW S00001 5198 ML SFKPG 5850001 0773 MLPFS/FDX 5840001

01 SB37590001 0226 IF L 1-452G000 2669 NRTHRN TR1600i

0571 OPPENH-EIME j 493000'1 0338 OPTIONSXPR j i0000 0443 PERSHING 51sii0001

0158 PFSI/RIDGE 110001 2616 PNC BK,NA 47790001 0547 R W BAIRD .5oooj

4801 RBC DOM**r 80000! 0235 RBCCAPMKTS 38220001 2319 SSB TRUST j 20910001

0997 SSB&T CO J32.89890001 2678 SSB&T/CCS J2825000[ 2767 SSB-BRIT 1 212470001

0793 STIFEL 465000 _ 0188 TO _______ 1530001 0549 TIMBER HI-ft 48000].2076 U8 GLOBAL 1000001 0221 UBS IA 1 26540001 0642 UBS SEC1LC 600

214S UNION BANK 1 t500000' 0280 US BANCORP SOOO0j 2803 US BANK NA 7550

0062 VANGUARD, U0'D0 EBS 509 2027 WELLS BKNA 49940001

Total 1100000000

bttps://portal.dtco.com/creS/SPR/browser/SPRPositionReportdo30

3/9/2011

Lfl. L~. .AJI tO VI at.Lt '~QUjLJL ~0~~~"ATTACHMENT 4

COMPANY ID: 00566346 ACcouNT ID: 00177313 LOGGED IN AS: GRE6GGWEISSNAN@1)LAWDEB.CGM

Security Position Report Service Home > Request Form > Security Position Report

Security Position Reports: One Time Special Security Position Report

The Depository Trust CompanyOne Time Security Position Report

Position as of: 02/18/2f011

Security DescriptionCB NRG ENERGY INC. D02/02/06 Cusip7.375% FA16 629377AU6

Participant Quantity Participant Quantity Participant Quantity

2567 ANAL BK 100001 2352 AMALGAMATE S600125ASO K.0'

1 0901 BANK OF NY 328134'00I 0771 BLAIR LLC 3000i 5043 SMO NSBT* 25000

2154 BNP PAR PB 1 3200000 2147 BNP/PPBC 14000001 284 BNP/PPBI I 3900000;1

2510 BNY/PRU .EN I14290000! 0954 BNYME[JTST 16.441000• 0955__, BOA/ 33890001

2209 BONY/SPDR 4323000 V 0013 BRNSTN LLC 250001 0010 BROWN BROS 205268000D

0702 Cs LLC 3250001oi 7311 CF/,C MKTS 1500010274 CGM/SAL BR 5000O

____.____o_. •ooI ____.__• : ,o~ __o__________ _______o

0164 CHS SCHWAB 80170001' 0908 CITIBANK 65040001 2032 CIBK/GRP 1800000418 CrrIGROUIP 1.3500001 2392 CITY NIB 51000] 2108 COMERICA 1 17920001

0355 CS SEC USA [ 900j06 AISN ] 100001 0573 DEUTSCHE f 200001

10385 E'-TRADE [ 3270001 4818 FIDUCIE- 7900001 0141 FRST CLEAR I 11723000O

0309 FST STH, CO 760001 0501 GOLDMAN4 1P 150001 0768 HILLIARD 5000!

229 HNB/FBO OH j 395000't 2898 HNB/FBO SC 300001 2305 HUNTNGNN 1 7000

0534 INT BROKER 75000)ý 0374 JMS [IC I 2730001; 2255 JPM/PCS SS . 2650001

j 2517 JPM/PRUDEN - 11270000 035Z IPMC CLEAR 14801000 2424 JPMCB/CTC j 1953000DI0902 ]PMCBNA I 402860000t 2230 3PMCH/RBS .50000001 2769 KB NA/FTso_ 1-430_001

12205 KEYBANK NA 2600001 0075 LPL FIN CO 10020000992 MAR ILSLEY 205000O

L2749901 0727 MESIROW 4350001 0990 MFG TRADE 225000'

12932 MITSIJB UFJ 406500159 LSKG3600 0773 MLPFS/FIX 5020000'

0780 MORGAN K 1 30010, 00 MORGAN_______ ioo 1 000 015 MSSB 6500

j0226 NFS LI-C 1 107490001 2669 NRT1-RN TR S46 000 571 OPPEMI-EIME 41W'

I I

0338 OPTIONSXPR 0 45000 0234 PBESON FIN 100001 0443 PERSHING 95990001

0158 PFSXIRIDGE I t000 2616 PNC BKNA 245540001 0701 PRIMEVEST 5000!

0547 R W BAIRD 32000 0725 RAYMOND 2870001 4801 R.C DOM-- 100000

0235 RBCCAPM.. TS 27210101 011 SCOT1•A- 5303000,1 0705 SCOTrRADE looooj

2039 SEI PRIVAT 3250 029 SOUTHWEST 1 250001 2319 SSB TRUST 1900

097SBTC 4900i2678 SSS&T/CCS 185012767 S56-BRIT 6090

2399 SSBFRANK 2000000i 0419 STEPHENS .100001 0750 STERNE AG SO0;

0793 STIFEL 38 I TRUST 1350001 2n971 SUTRST BK 0

0188 TD AMERITR, 2,9 506T ATER** 5740000 0549 TIMBER HI 1 164000!

12852 TUSTMAR 20001 0221 UBS FINAN 1270 1 62USECL

2450 UMB B3K,NA I 3500001 2145 UNION BANK 7750001 2803 US BANK NA 26.4930001

0062 VANGUARD 9SOIt 95 03' WEDBUSH~l 1 fr .,~ A 84800

I0250 WELLS FARG 6850001 2116 5TH-3PD BK 1 153000,

Total 2400000000

https://portal.dtcc.com/cre5/SPR/browser/SPRPositionReportdo

31

3/9/2011