SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS OF
MORGAN STANLEY
The names of the directors and the names and titles of the executive officers of Morgan Stanley (“MS”) and their principal occupations are set forth below. The business address of each of the directors or executive officers is that of MS at 1585 Broadway, New York, New York 10036. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to MS and each individual is a United States citizen.
Name
|
Title
|
|
|
*James P. Gorman1
|
Chairman of the Board and Chief Executive Officer
|
|
|
*Elizabeth Corley2
|
Director
|
|
|
*Alistair Darling3
|
Director
|
|
|
*Thomas H. Glocer
|
Director
|
|
|
*Nobuyuki Hirano4
|
Chairman of Mitsubishi UFJ Financial Group, Inc.
|
|
|
*Robert H. Herz
|
President, Robert H. Herz LLC
|
|
|
*Stephen J. Luczo
|
Chairman of Seagate Technology
|
|
|
*Jami Miscik
|
Chief Executive Officer and Vice Chair, Kissinger Associates, Inc.
|
|
|
*Dennis M. Nally
|
Director
|
|
|
*Takeshi Ogasawara5
|
Advisor to MUFG Bank, Ltd.
|
|
|
*Hutham S. Olayan
|
Chair, Principal and Director of The Olayan Group
|
|
|
*Mary L. Schapiro
|
Director
|
|
|
*Perry M. Traquina
|
Director
|
|
|
*Rayford Wilkins, Jr.
|
Director
|
|
|
Jeffrey S. Brodsky
|
Executive Vice President and Chief Human Resources Officer
|
|
|
Eric F. Grossman
|
Executive Vice President and Chief Legal Officer
|
|
|
Keishi Hotsuki6
|
Executive Vice President and Chief Risk Officer
|
|
|
Jonathan M. Pruzan
|
Executive Vice President and Chief Financial Officer
|
|
|
Daniel A. Simkowitz
|
Head of Investment Management
|
1 Dual citizenship – Australia and United States
2 Citizenship – England
3 Citizenship – England
4 Citizenship – Japan
5 Citizenship – Japan
6 Citizenship – Japan
* Director
SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS OF MS HOLDINGS INCORPORATED
The names of the directors and the names and titles of the executive officers of MS Holdings Incorporated and their principal occupations are set forth below. The business address of each of the directors or executive officers is as provided below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to MS Holdings Incorporated.
Name
|
|
Title
|
|
Address
|
|
|
|
|
|
Susan Louise Ludwigson
|
|
Director
|
|
1221 Avenue of the Americas, New York 10020, United States
|
|
|
|
|
|
Christopher H. Norris
|
|
Director and President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Terence Avella
|
|
Vice President
|
|
1221 Avenue of the Americas, New York 10020, United States
|
|
|
|
|
|
Katherine Clune
|
|
Assistant Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Robert J. Creaney
|
|
Vice President
|
|
440 South LaSalle St., One Financial Place, Chicago, Illinois 60605, United States
|
|
|
|
|
|
Margaret T. Dugan
|
|
Assistant Secretary
|
|
1633 Broadway, New York, New York 10019, United States
|
|
|
|
|
|
Elisabeth Fedyna
|
|
Assistant Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Aaron Guth
|
|
Secretary
|
|
1633 Broadway, New York, New York 10019, United States
|
|
|
|
|
|
Christina Huffman
|
|
Vice President
|
|
1633 Broadway, New York, New York 10019, United States
|
|
|
|
|
|
Jason Koenig
|
|
Vice President
|
|
522 Fifth Avenue, New York, New York 10036, United States
|
|
|
|
|
|
Craig Krasinski
|
|
Vice President
|
|
100 Front Street, West Conshohocken, Pennsylvania 19428, United States
|
|
|
|
|
|
Noel C. Langlois
|
|
Vice President
|
|
100 Front Street, West Conshohocken, Pennsylvania 19428, United States
|
|
|
|
|
|
Tushar Mehta
|
|
Vice President
|
|
1221 Avenue of the Americas, New York 10020, United States
|
|
|
|
|
|
Andrew C. Onslow
|
|
Vice President
|
|
522 Fifth Avenue, New York, New York 10036, United States
|
|
|
|
|
|
Humberto Reboredo
|
|
Vice President
|
|
1221 Avenue of the Americas, New York 10020, United States
|
|
|
|
|
|
Sheri Lynn Schreck
|
|
Vice President
|
|
522 Fifth Avenue, New York NY 10036, United States
|
|
|
|
|
|
Kevin J.W. Sheehan
|
|
Assistant Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Jacob E. Tyler
|
|
Assistant Secretary
|
|
1633 Broadway, New York, New York 10019, United States
|
|
|
|
|
|
Robert A. Vesey
|
|
Treasurer
|
|
1585 Broadway, New York NY 10036, United States
|
SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, INC.
The names of the directors and the names and titles of the executive officers of Morgan Stanley Private Equity Asia III, Inc. and their principal occupations are set forth below. The business address of each of the directors or executive officers is as provided below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to Morgan Stanley Private Equity Asia III, Inc.
Name
|
|
Title
|
|
Address
|
|
|
|
|
|
Hsuan Chin Chou
|
|
Director
|
|
International Commerce Centre, 1 Austin Road West, Kowloon, Hong Kong
|
|
|
|
|
|
David N. Miller
|
|
Director & President & Managing Director
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
John J. Moon
|
|
Director
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Joshua Balik-Klein
|
|
Vice President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Daniel A. Bleeker
|
|
Vice President & Assistant Secretary
|
|
1633 Broadway, New York, New York 10019, United States
|
|
|
|
|
|
Judy Choi
|
|
Executive Director
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Karen Cohen
|
|
Vice President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Emrah Ertamay
|
|
Vice President
|
|
750 Seventh Avenue, New York, New York 10019, United States
|
|
|
|
|
|
Rich Eskra
|
|
Vice President
|
|
440 South LaSalle St., One Financial Place, Chicago, Illinois 60605, United States
|
|
|
|
|
|
Jason Hirsch
|
|
Vice President
|
|
1221 Avenue of the Americas, New York NY 10020, United States
|
|
|
|
|
|
Kasia Mello
|
|
Vice President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Dmitriy Muchnik
|
|
Vice President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Christopher H. Norris
|
|
Vice President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Joseph Giovanniello
|
|
Vice President
|
|
750 Seventh Avenue, New York, New York 10019, United States
|
|
|
|
|
|
Anita Rios
|
|
Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Kara Fricke
|
|
Vice President & Secretary
|
|
522 Fifth Avenue, New York, New York 10036, United States
|
|
|
|
|
|
Mohammad Ali Sheikh
|
|
Vice President
|
|
750 Seventh Avenue, New York, New York 10019, United States
|
|
|
|
|
|
Robert J. Creaney
|
|
Vice President
|
|
440 South LaSalle St., Chicago, Illinois 60605, United States
|
|
|
|
|
|
Carlos A. Santiago
|
|
Vice President
|
|
522 Fifth Avenue, New York, New York 10036, United States
|
|
|
|
|
|
Giselle Lopez-Velasco
|
|
Vice President
|
|
1221 Avenue of the Americas, New York, New York 10020, United States
|
|
|
|
|
|
Fred (Feng) Wang
|
|
Assistant Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Amy Yeung
|
|
Vice President
|
|
750 Seventh Avenue, New York, New York 10019, United States
|
SCHEDULE A
EXECUTIVE OFFICERS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, L.L.C.
The managing member of Morgan Stanley Private Equity Asia III, L.L.C. is Morgan Stanley Private Equity Asia III, Inc. Morgan Stanley Private Equity Asia III, L.L.C. does not have officers or directors.
SCHEDULE A
EXECUTIVE OFFICERS OF NORTH HAVEN PRIVATE EQUITY ASIA III, L.P.
The general partner of North Haven Private Equity Asia III, L.P. is Morgan Stanley Private Equity Asia III, L.L.C. North Haven Private Equity Asia III, L.P. does not have executive officers or directors.
SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS OF
NORTH HAVEN PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P.
The managing member of North Haven Private Equity Asia Employee Investors III, L.P. (f/k/a Morgan Stanley Private Equity Asia Employee Investors III, L.P.) is Morgan Stanley Private Equity Asia III, L.L.C. Morgan Stanley Private Equity Asia Employee Investors III, L.P. does not have executive officers or directors.
SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
The name of the director and the names and titles of the executive officer of Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd and their principal occupations are set forth below. The business address of each of the director or executive officer is also set forth below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd.
Name
|
|
Title
|
|
Address
|
|
|
|
|
|
Christopher H. Norris
|
|
Vice President
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Robert J. Creaney
|
|
Assistant Treasurer
|
|
440 South LaSalle St., One Financial Place, Chicago, Illinois 60605, United States
|
|
|
|
|
|
Anita Rios
|
|
Assistant Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Ivan John Sutlic*
|
|
Director
|
|
108 Roxborough Street, Prospect, Grand Cayman, Cayman Islands
|
|
|
|
|
|
Jason Hirsch
|
|
Vice President and Assistant Treasurer
|
|
1221 Avenue of the Americas, New York, New York 10020, United States
|
* Citizenship - Canadian
SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS OF
MSPEA MODIFIED PLASTICS HOLDING LIMITED
The name of the director and the names and titles of the executive officer of MSPEA Modified Plastics Holding Limited and their principal occupations are set forth below. The business address of each of the director or executive officer is also set below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to MSPEA Modified Plastics Holding Limited.
Name
|
|
Title
|
|
Address
|
|
|
|
|
|
Robert J. Creaney
|
|
Assistant Treasurer
|
|
440 South LaSalle St., One Financial Place, Chicago, Illinois 60605, United States
|
|
|
|
|
|
Anita Rios
|
|
Assistant Treasurer
|
|
1585 Broadway, New York, New York 10036, United States
|
|
|
|
|
|
Jason Hirsch
|
|
Assistant Treasurer
|
|
1221 Avenue of the Americas, New York, New York 10020, United States
|
|
|
|
|
|
Ivan John Sutlic*
|
|
Director
|
|
108 Roxborough Street, Prospect, Grand Cayman, Cayman Islands
|
|
|
|
|
|
Homer Sun
|
|
Director
|
|
International Commerce Centre, 1 Austin Road West, Kowloon, Hong Kong
|
* Citizenship - Canadian
SCHEDULE B
LEGAL PROCEEDINGS
Unless the context otherwise requires, the term “Morgan Stanley” means Morgan Stanley and its consolidated subsidiaries. Morgan Stanley & Co. LLC (“MS&Co.”) and Morgan Stanley Smith Barney LLC (“MSSB LLC”), referenced below, are Morgan Stanley’s primary U.S. broker-dealers.
(a) In October 2014, the Illinois Attorney General’s Office (“ILAG”) sent a letter to Morgan Stanley alleging that Morgan Stanley knowingly made misrepresentations related to Residential Mortgage Backed Securities purchased by certain pension funds affiliated with the State of Illinois and demanding that Morgan Stanley pay ILAG approximately $88 million. On February 10, 2016, Morgan Stanley and ILAG reached an agreement to resolve the matter.
(b) On January 13, 2015, the New York Attorney General’s Office (“NYAG”) indicated that it intended to file a lawsuit related to approximately 30 subprime securitizations sponsored by Morgan Stanley. NYAG indicated that the lawsuit would allege that Morgan Stanley misrepresented or omitted material information related to the due diligence, underwriting and valuation of the loans in the securitizations and the properties securing them and indicated that its lawsuit would be brought under the Martin Act. On February 10, 2016, Morgan Stanley and NYAG reached an agreement to resolve the matter.
(c) On February 10, 2016, Morgan Stanley reached an agreement with the United States Department of Justice, Civil Division and the United States Attorney’s Office for the Northern District of California, Civil Division (collectively, the “Civil Division”) to pay $2.6 billion to resolve certain claims that the Civil Division indicated it intended to bring against Morgan Stanley.
In addition, MS&Co. has been involved in a number of civil proceedings and regulatory actions which concern matters arising in connection with the conduct of its business. Certain of such proceedings have resulted in findings of violation of federal or state securities laws. Such proceedings are reported and summarized in the MS&Co. Form BD filed with the SEC, which descriptions are hereby incorporated by reference. The MSSB LLC Form BD filed with the SEC is also hereby incorporated by reference.
SCHEDULE C
TRANSACTIONS IN THE COMMON STOCK OF THE ISSUER
DURING THE PAST 60 DAYS
The following table sets forth transactions in shares of Common Stock of the Issuer by the MS Reporting Units whose beneficial ownership is aggregated with that of the Reporting Persons for purposes of this Amendment. Except as noted below, all of the transactions were effected in the ordinary course of business as principal, in the open market on the NASDAQ Stock Exchange and other exchanges, or through one of Morgan Stanley’s Alternative Trading Systems.
Nil.