JOSEPH CARRABES

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First Name

: JOSEPH

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:

Last Name

: CARRABES

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EXECUTIVE OFFICER

INSTITUTIONAL MULTIPLE INVESTMENT FUND, LLC-INSTITUTIONAL MULTI-SECTOR FIXED INCOME PORTFOLIO

N/A AMUNDI ASSET MANAGEMENT US, INC., N/A AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC., MARGARET BEGLEY, CRAIG DEGIACOMO, N/A PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC., N/A N/A PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC., MICHAEL D. POLICARPO, WILLIAM PORTER, N/A VICTORY CAPITAL MANAGEMENT INC.

DIRECTOR

CAROLINA INSTITUTIONAL SHORT DURATION FUND LTD.

-- AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC., -- AMUNDI SMITH BREEDEN LLC, AMY ARGANBRIGHT, PATRICE BLANC, STEPHEN A. EASON, MICHAEL GIARLA, MICHAEL J. GIARLA

DIRECTOR

CAROLINA SECURITIZED CREDIT OPPORTUNITIES LTD.

-- AMUNDI ASSET MANAGEMENT US, INC., N/A AMUNDI ASSET MANAGEMENT US, INC., -- AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC., -- AMUNDI SMITH BREEDEN LLC, AMY ARGANBRIGHT, FREDERIC BARTHELEMY, PATRICE BLANC, STEPHEN A. EASON, MICHAEL J. GIARLA, ANTHONY KOENIG, JR.

Filings

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Securities

First Sale Date

D/A

HEDGE FUND

Equity

2013-10-01

D/A

HEDGE FUND

Equity

2013-10-01

D/A

HEDGE FUND

Equity

2013-10-01

D/A

HEDGE FUND

Equity

2013-10-01

D/A

OTHER INVESTMENT FUND

2011-10-03

D/A

HEDGE FUND

Equity

2012-01-24

D/A

HEDGE FUND

Equity

2013-10-01

D/A

OTHER INVESTMENT FUND

2011-10-03