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1. Complete Schedule only If submitting an Initial application.Schedule Aasks for information about the applicant's direct owners and
<br /> executive officers.Use Schedule C to amend this information.
<br /> Guidance:To determine direct ownership and executive officer status,see instruction 2 below.
<br /> Separate subparts of Schedule A must be completed for:(1)direct owners that are business entities,and(2)direct owners and executive officers
<br /> who are natural persons,as follows:
<br /> •Complete Schedule A-1:"direct Owners of Applicant-Business Entities,"for owners that are organized as a business or other legal
<br /> entity,such as a corporation,partnership,trust,or limited liability company.
<br /> •Complete Schedule A-2:"Direct Owners and Executive Officers of Applicant-Natural Persons,"for owners who are individuals,
<br /> including sole proprietors,and for executive officers.
<br /> 2. List In either Schedule A-1 or Schedule A-2 below,or both,as applicable,the fu[[names of:
<br /> (a)If applicant is organized as a corporation,each shareholder that is a direct owner of 5%or more of a class of the applicant's voting securities,
<br /> unless applicant is a public reporting company(a company subject to Sections 12 or 15(d)of the Exchange Act).Direct owners include any person
<br /> that awns,beneficially owns,has the right to vote,or has the power to sell or direct the sale of,5%or more of a class of the applicant's voting
<br /> securities.For purposes of this Schedule,a person beneficially owns any securities:(i)awned by his/her child,stepchild,grandchild,parent,
<br /> stepparent,grandparent,spouse,sibling,mother-in-law,father-in-law,son-in-law,daughter-in-law,brother-in-law,or sister-in-law,sharing the same
<br /> residence;or(ii)that he/she has the right to acquire,within 60 days,through the exercise of any option,warrant,or right to purchase the security;
<br /> (b)If the applicant is organized as a partnership,all general partners and each limited and special partner that has the right to receive upon
<br /> dissolution,or has contributed,5%or more of the applicant's capital;
<br /> (c)In the case of a trust,a person that directly owns 5%or more of a class of the applicant's voting securities,or that has the right to receive
<br /> upon dissolution,or has contributed,5%or more of the applicant's capital,the trust and each trustee;
<br /> (d)If the applicant is organized as a limited liability company("LLC"),(i)each member that has the right to receive upon dissolution,or has
<br /> contributed,5%or more of the applicant's capital,and(I i)if managed by elected managers,all elected managers;and
<br /> (e)Each Chief Executive Officer,Chief Financial Officer,Chief Operations Officer,Chief Legal Officer,Chief Compliance Officer,director
<br /> and any other individuals with similar status orfunctions(applies in Schedule A-2 only).
<br /> 3. In the DEIFE column of Schedule A-1 below,enter"DE"if the owner is a domestic entity,or"FE"if the owner is an entity organized,
<br /> incorporated or domiciled in a foreign country.
<br /> 4. Complete the Title or Status column by entering boardlmanagementtitles;status as partner,trustee,sole proprietor,elected manager,
<br /> shareholder,or member.For shareholders or members,indicate the class of securities owned(if more than one is issued). In the next column
<br /> indicate the date that the title or status was acquired.
<br /> 5. Ownership Codes are:
<br /> NA-less than 5%
<br /> A-5%but less than 10%
<br /> B-10%but less than 25%
<br /> C-25%but less than 50%
<br /> D-50%but less than 76%
<br /> E-75%or more
<br /> 6. (a)In the Control Person column,enter"Yes"in the first sub-column if the person has control as defined in the Glossary of Terms to Form MA,
<br /> and enter"No"if the person does not have control.Nate that under this definition,most executive officers and all 25%owners,general partners,
<br /> elected managers,and trustees are control persons.
<br /> (b)In the PR sub-column(Schedule A-1 only)enter"PR"if the owner is a public reporting company under Section 12 or 15(d)of the Exchange
<br /> Act.
<br /> 7. (a)For Schedule A-1,enter the organization CRD number.If not registered with the CRD,then enter the IRS Tax Number,Employer Identification
<br /> Number("EIN"),or Foreign Business Number.
<br /> (b)For Schedule A-2,enter the individual CRD number,If not registered with the CRD,then enter 0000000.
<br /> 8• Does applicant have any Indirect owners to be reported on Schedule B? 0 Yes@ No
<br /> Schedule A-1: Direct Owners of Applicant -Business Entities
<br /> Schedule A-2: Direct Owners and Executive Officers of Applicant - Natural Persons
<br /> NATURAL PERSON FULL LEGAL NAME
<br /> Enter all the letters of each name and not initials or other abbreviations.If no middle name,enter NMN on that line.
<br /> Last Name: First Name: Middle Name:
<br /> Busch Michael Paul
<br /> Title or Status:
<br /> [President
<br /> Date Title or Status Acquired: 03-01-2014
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