| DEUTSCHE BANK SECURITIES INC. | 2525 | dbX-Risk Arbitrage 7 Fund | 1510329 | 04/12/2013 | D/A | $200,000,000 | $700,000 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | Four Points Multi-Strategy Fund, Inc. | 1482444 | 04/11/2014 | D | Indefinite | $500,000 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | Four Points Multi-Strategy Fund, Inc. | 1482444 | 04/14/2015 | D/A | Indefinite | $500,000 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | Shenkman Opportunistic Credit Fund Ltd. | 1733723 | 04/12/2018 | D | Indefinite | $250,000 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | Ingersoll-Rand Global Holding CO LTD | 1435318 | 09/04/2009 | D/A | $2,250,000,000 | $0 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | HOKU SCIENTIFIC INC | 1178336 | 01/05/2010 | D | Indefinite | $0 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | Lighthouse Global Long/Short Fund Ltd | 1470174 | 05/13/2010 | D/A | Indefinite | $0 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | dbX-US Long/Short Equity 10 Fund | 1504286 | 10/28/2010 | D | $200,000,000 | $0 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | dbX-European Long/Short Equity 8 Fund | 1504287 | 10/28/2010 | D | $150,000 | $0 |
| DEUTSCHE BANK SECURITIES INC. | 2525 | dbX-Risk Arbitrage 12 Fund | 1504288 | 10/28/2010 | D | $200,000,000 | $0 |
