UNITED STATES DISTRICT COURT

DISTRICT OF PUERTO RICO

-------------------------------------------------------------x 

In re:

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO,

 as representative of

THE COMMONWEALTH OF PUERTO RICO, et al.

 Debtors.1

-------------------------------------------------------------x 

PROMESA

Title III

No. 17 BK 3283-LTS

(Jointly Administered)

CERTIFICATE OF SERVICE

I, Craig E. Johnson, depose and say that I am employed by Prime Clerk LLC (“Prime 

Clerk”), the Solicitation, Notice, and Claims Agent for the Debtors in the above-captioned 

case under Title III of PROMESA.

2

On January 20, 2022, at my direction and under my supervision, employees of Prime Clerk 

caused the following document to be served via overnight mail or next day business service on the 

banks, brokers, dealer’s agents, nominees or their agents identified on the service list attached 

hereto as Exhibit A (collectively, the “Nominees”). The Nominees were provided with 

instructions and sufficient quantities to distribute the Deadline Extension Notice to the beneficial 

holders of the Debtors’ public securities. 

• Notice of Retail Investor Certification, a copy of which is attached hereto as Exhibit B,

(the “Retail Certification”)

1 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four (4) 

digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto Rico 

(Bankruptcy Case No. 17 BK 3283-LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales Tax 

Financing Corporation (“COFINA”) (Bankruptcy Case No. 17 BK 3284-LTS) (Last Four Digits of Federal Tax ID: 

8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17 BK 3567-LTS) 

(Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of the 

Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17 BK 3566-LTS) (Last Four Digits of Federal Tax 

ID: 9686); and (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17 BK 4780-LTS) (Last 

Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy Case 

No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as Bankruptcy 

Case numbers due to software limitations). 

2 At various points in its engagement, Prime Clerk is also referenced as the “Balloting Agent”.

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 1 of 58
In addition to the hard copy service detailed above, on January 20, 2022, at my direction 

and under my supervision, employees of Prime Clerk caused the Retail Certification to be served 

via email on the service list attached hereto as Exhibit C.

[Remainder of Page Intentionally Left Blank] 

2 

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 2 of 58
Dated: January 27, 2022 

/s/ Craig E. Johnson 

Craig E. Johnson 

State of New York

County of New York 

Subscribed and sworn (or affirmed) to me on January 27, 2022, by Craig E. Johnson, proved to 

me on the bases of satisfactory evidence to be the person who executed this affidavit. 

/s/ JAMES A. MAPPLETHORPE 

Notary Public, State of New York 

No. 01MA6370846 

Qualified in New York County 

Commission Expires February 12, 2022 

3

SRF 59273

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 3 of 58
Exhibit A

SRF 59273

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 4 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

BROADRIDGE JOBS: E28172, E28174, E28175 51 MERCEDES WAY EDGEWOOD NY 11717 US

MEDIANT COMMUNICATIONS ATTN Stephany Hernandez 100 Demarest Drive WAYNE NJ 07470 0000 US

DEPOSITORY TRUST CO ATTN ED HAIDUK 55 WATER STREET 25TH FLOOR NEW YORK NY 10041 US

DEPOSITORY TRUST CO ATTN HORACE DALEY 55 WATER STREET 25TH FLOOR NEW YORK NY 10041 US

AFLAC INCORPORATED DRS 7815 ATTN JOAN DIBLASI OR REORG MGR 1932 WYNNTON ROAD COLUMBUS GA 31999 AR

ALLIANT SECURITIES INC 8084 ATTN MELODY GRINNELL OR REORG MGR

695 NORTH LEGACY RIDGE DR SUITE 

300 LIBERTY LAKE WA 99019 CA

ALPINE ASSOCIATES 0491 Attn REORG Manager 574 Sylvan ave Englewood Cliffs NY 07632-0000 CA

ALPINE PARTNERS LP 0439 Attn REORG Manager 574 Sylvan ave Englewood Cliffs NY 07632-0000 CA

ALPINE SECURITIES CORP 8072 ATTN Chris Doubek OR REORG MGR 39 Exchange Place SALT LAKE CITY UT 84111 CA

AMALGAMATED BANK 2352 ATTN STEPHEN ERB OR REORG DEPT 275 7TH AVE 9TH FL NEW YORK NY 10001 CA

AMALGAMATED BANK CHICAGO 1574 2567 ATTN BERNETTA SMITH OR REORG MGR ONE WEST MONROE STREET CHICAGO IL CA

AMERICAN ENTERPRISE 0216 0756 2146 ATTN REORG MGR 2178 AMERIPRISE FINANCIAL CENTER ROUTING S6 2178 MINNEAPOLIS MN 55474 CA

AMERICAN ENTERPRISE 7260 ATTN REORG MGR 2723 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 CA

AMERICAN ENTERPRISE INVEST SER 0216 ATTN MARY WALKER OR REORG DEPT 2178 AXP FINANCIAL CENTER MINNEAPOLIS MN 55474 CA

AMERIPRISE 0216 0756 ATTN TOM EBERHART OR REORG MGR 2178 AMP FINANCIAL CENTER MINNEAPOLIS MN 55474 CA

AMERIPRISE 0756 ATTN ERIN M STIELER OR REORG MGR 682 AMP FINANCIAL CENTER MINNEAPOLIS MN 55474 CA

AMERIPRISE 0756 ATTN GREG WRAALSTAD OR REORG MGR 901 3RD AVE SOUTH MINNEAPOLIS MN 55474 CA

ASSOCIATED BANK 2257 ATTN BETH DRAVILLION OR REORG MGR 433 MAIN STREET 5TH FLOOR GREEN BAY WI 54301 CA

BAIRD CO INCORPORATED 0547 ATTN JANE ERBE OR REORG MGR 777 E WISCONSIN AVENUE MILWAUKEE WI 53202 CA

BANC OF AMERICA SECS AFFILIATE 0774 ATTN JOHN BYRNE OR REORG MGR 100 WEST 33RD STREET NEW YORK NY 10001 CA

BANC OF AMERICA SECURITIES 0773 ATTN JOHN DOLAN OR REORG MGR 100 W 33RD STREET 3RD FLOOR NEW YORK NY 10001 CA

BANC OF AMERICA SPECIALIST INC 0020 ATTN REORG MGR 222 BROADWAY 11TH FLOOR NEW YORK NY 10038 CA

BANCA IMI SECURITIES CORP 0136 ATTN REORG MGR One William Street New York NY 10004 CA

BANK NEW YORK BARCLAYS 2196 2491 LISA FALSETTI OR REORG DEPT 525 WILLIAM PENN PLACE ROOM 0300 PITTSBURGH PA 15259 CA

BANK OF AMERICA LASALLE BANK 1581 ATTN GEORGE EARL OR REORG MGR 135 S LASALLE STREET SUITE 1860 CHICAGO IL 60603 CA

BANK OF AMERICA LASALLE BANK 2251 ATTN RICK LEDENBACH OR REORG MGR

135 SOUTH LASALLE STREET SUITE 

1811 CHICAGO IL 60603 CA

BANK OF NOVA SCOTIA SIL CDS 4841 ATTN HEATHER ALLICE OR REORG MGR 44 KING STREET WEST SCOTIA PLAZA TORONTO ON M5H 1H1 CA

BARCLAY CAP 229 7256 7254 8455 7263 ATTN Anthony Sciaraffo or REORG MGR 745 SEVENTH AVENUE 16TH FLOOR NEW YORK NY 10019 CA

BARCLAY CAP 229 8455 7256 7254 5101 ATTN ANTHONY SCIARAFFO CORP ACT 745 SEVENTH AVENUE 16TH FLOOR NEW YORK NY 10019 CA

BB T SECURITIES0702 ATTN JESSE W SPROUSE OR REORG DEPT 8006 DISCOVERY DRIVE SUITE 200 RICHMOND VA 23229 CA

BB T SECURITIES0702 ATTN RICKY JACKSON OR REORG DEPT CORPORATE ACTIONS 8006 DISCOVERY DRIVE RICHMOND VA 23229 CA

BBS SECURITIES INC CDS 5085 DEBORAH CARLYLE 4100 YONGE ST SUITE 506 TORONTO ON M2P 2B5 CA

BGC FINANCIAL BGC BROKERS 5271 ATTN ALFREDO ARCHIBALD OR REORG MGR 110 EAST 59TH STREET 7TH FLOOR NEW YORK NY 10022 CA

BGC FINANCIAL LP 0537 ATTN REORG MGR 110 E 59th Street 7th Floor New York NY 10005 CA

BLACKMONT CAPITAL INC 5025 ATTN HADRIAN ABBOTT OR REORG MGR

BCE PLACE 181 BAY ST 181 BAY ST 

STE TORONTO ON M5J 2T3 CA

BLACKROCK INSTITUTIONAL TRUST 2962 ATTN LINDA SELBACH OR REORG MGR 45 FREMONT STREET SAN FRANCISCO CA 94120 7101 CA

BMO CAPITAL MARKET CORP PALOMA 5221 ATTN B LESLIE OR REORG MGR 2 AMERICAN LANE GREENWICH CT 06836-0000 CA

BMO CAPITAL MARKETS CORP 0045 ATTN JOHN FINERTY OR REORG MGR 3 TIMES SQUARE NEW YORK NY 10036 CA

BMO NESBITT BURNS BMO TRUST CO 4712 ATTN ANDREA CONSTAND OR REORG MGR 1 First Canadian Place TORONTO ON M5X 1H3 CA

BMO NESBITT BURNS INC CDS 5043 ATTN LOUISE TORANGEAU 1 FIRST CANADIAN PLACE 13TH FL TORONTO ON M5X 1H3 CA

BMO NESBITT BURNS TRADING 0018 ATTN REORG MGR 3 TIMES SQUARE 28TH FLOOR NEW YORK NY 10036 CA

BMOCM BONDS 5257 ATTN EDWARD COLLETON OR REORG MGR 3 TIMES SQUARE NEW YORK NY 10036 CA

BNP 1569 2147 2154 2787 2884 2885 ATTN DEAN GALLI OR REORG DEPT 525 Washington Blvd 7th floor JERSEY CITY NJ 07310-0000 CA

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 1 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 5 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

BNP PARIBA NY BRNCH PARIS BNDS 7382 ATTN MATTHEW ROMANO OR REORG MGR 787 SEVENTH AVENUE NEW YORK NY 10019 CA

BNP PARIBAS LONDON BONDS 5153 ATTN RADMILA RADISA OR REORG MGR 787 7TH AVENUE 29TH FLOOR NEW YORK NY 10019 CA

BNP PARIBAS NEW YORK BRANCH 2147 ATTN G BANFI AARON COLIE REORG MGR 525 WASHINGTON BLVD 9TH FLOOR JERSEY CITY NJ 07310 0000 CA

BNP PARIBAS NEW YORK BRANCH 2322 ATTN RUPERT KENNEDY OR REORG MGR 787 7TH AVENUE 8TH FLOOR NEW YORK NY 10019 CA

BNP PARIBAS NY BRANCH 1569 2787 ATTN DEAN GALLI OR REORG DEPT 525 WASHINGTON BLVD 9TH FLOOR JERSEY CITY NJ 07310-0000 CA

BNP PARIBAS PRIME BROKERAGE 2154 ATTN GENE BANFI OR REORG MGR 525 WASHINGTON BLVD 9TH FLOOR JERSEY CITY NJ 07310-0000 CA

BNP PARIBAS SECURITIES CORP 0049 ATTN REORG MGR 525 Washington Blvd 9th Floor Jersey City NJ 07310-0000 CA

BNP PARIBAS SECURITIES FI 0630 ATTN ROBERT ALONGI OR REORG MGR 787 7TH AVENUE 29TH FLOOR NEW YORK NY 10019 CA

BNY CACLUX 8320 ATTN EVENTS CREATION OR REORG MGR 500 GRANT STREET ROOM 151 2700 PITTSBURGH PA 15258 CA

BNY CAYMEN 2802 ATTN MITCHEL SOBEL 401 SOUTH SALINA STREET 2ND FLOOR SYRACUSE NY 13202 CA

BNY CHARLE 2336 ATTN EVENT CREATION DEPARTMENT 500 GRANT STREET ROOM 151 2700 PITTSBURGH PA 15258 CA

BNY CONVERGEX EXECUTION 0100 ATTN REORG MGR 500 GRANT STREET ROOM 151 2700 PITTSBURGH PA 15258 CA

BNY MELLON ITC INVESTMENT 2206 ATTN BRIAN MARNELL OR REORG MGR

525 WILLIAM PENN PLACE ROOM 

0300 PITTSBURGH PA 15259 CA

BNY MELLON NE TRUST 0954 ATTN BETH STIFFLER OR REORG MGR 525 WILLIAM PENN PLACE SUITE 300 PITTSBURGH PA 15259 CA

BNY NA 8420 ATTN EVENT CREATION DEPARTMENT 500 GRANT STREET ROOM 151 2700 PITTSBURGH PA 15258 CA

BNY SBL PB 2103 ATTN JENNIFER MAY OR REORG MGR 525 WILLIAM PENN PLACE PITTSBURGH PA 15259 CA

BNY WEALTH 8275 ATTN KEVIN KELLY OR REORG MGR TWO BNY MELLON CENTER 525 WILLIAM PENN PL STE 1215 PITTSBURGH PA 15259 CA

BNY WEALTH 8275 ATTN BETH COYLE OR REORG MGR TWO BNY MELLON CENTER 525 WILLIAM PENN PL STE 1215 PITTSBURGH PA 15259 CA

BNYM OZDTC 2731 ATTN EVENT CREATION DEPARTMENT 500 GRANT STREET ROOM 151 2700 PITTSBURGH PA 15258 CL

BNYM REETF 0963 ATTN JENNIFER MAY 525 WILLIAM PENN PLACE PITTSBURGH PA 15259 IL

BNYMELLON SPECIAL PROCESSING 2292 ATTN MITCHEL SOBEL OR REORG MGR

401 SOUTH SALINA STREET 2ND 

FLOOR SYRACUSE NY 13202 IN

BONY SPDR 2209 ATTN JENNIFER MAY OR REORG MGR 525 WILLIAM PENN PLACE PITTSBURGH PA 15259 IN

BRANCH BANKING FM IP 2871 ATTN DOROTHEE SINGLETARY REORG MGR 4320 KAHN DRIVE BUILDING 1 LUMBERTON NC 28358 IN

BRANCH BANKING REMIC 2867 ATTN DORATHEE SINGLETARY REORG MGR 4320 KAHN DRIVE BUILDING 1 LUMBERTON NC 28358 IN

BRANCH BANKING TRUST CO 5385 ATTN TANJI BASS OR REORG MGR 223 W NASH STREET 3RD FLOOR WILSON NC 27893 IN

BROWN BROTHERS HARRIMAN CO 0010 ATTN PAUL NONNON OR REORG MGR 525 WASHINGTON BLVD NEW PORT TOWERS JERSEY CITY NJ 07310 1607 IN

BROWN BROTHERS HARRIMAN CO ETF 0109 ATTN SHELDON BROUTMAN OR REORG MGR 140 BROADWAY NEW YORK NY 10005 IT

BROWN INVESTMENT ADV TR 2644 ATTN BRIAN COLBERT OR REORG MGR 901 SOUTH BOND ST SUITE 400 BALTIMORE MD 21231 PE

CAJA DE VALORES SA 5610 ATTN MELINA BOBBIO OR REORG MGR AVE 25 DE MAYO 362 BUENOS AIRES C1002ABH UK

CALDWELL SECURITIES LTD 5013 ATTN KEVIN WEBBER OR REORG MGR 150 KING STREET WEST SUITE 1710 TORONTO ON M5H 1J9 UK

CALDWELL SECURITIES LTD CDS 5013 ATTN S CHRYSSANTHOPOULOS REORG MGR 150 KING STREET WEST SUITE 1710 TORONTO ON M5H 1J9 UK

CALYON SECURITIES NON PURPOSE 5316 ATTN DANIEL SALCIDO OR REORG MGR

194 WOOD AVENUE SOUTH 7TH 

FLOOR ISELIN NJ 08830-0000 UK

CANACCORD GENUITY CORP CDS 5046 ATTN ALMA GOCO OR REORG MGR

PACIFIC CENTR 2200 609 GRANVILLE 

ST VANCOUVER BC V7Y 1H2 UK

CANTOR FITZGERALD AQUA SEC 7310 ATTN ISSUER SERVICES OR REORG MGR

CO ADP PRXY SERVICE 51 MERCEDES 

WAY EDGEWOOD NY 11717 UK

CANTOR FITZGERALD DEBT CAPITAL 7311 ATTN ANTHONY MANZO OR REORG MGR 135 E 57TH STREET NEW YORK NY 10022 US

CANTOR FITZGERALD STOCK LOAN 5253 ATTN TOMMY SMITH OR REORG MGR 135 E 57TH STREET 5TH FL NEW YORK NY 10022 US

CAVALI ICLV SA 2011 ATTN FRANCIS STENNING OR REORG MGR PASAJE SANTIAGO ACUFIA N 106 LIMA 0 1 US

CDS CLEARING AND DEPOSITORY 4800 ATTN RUTH TRAYNOR OR REORG MGR 600 DE MAISONNEUVE QUEST MONTREAL QC H3A 3J2 US

CDS CLEARING AND DEPOSITORY 5099 ATTN LORETTA VERELLI OR REORG MGR 600 BOULDE MAISONNEUVE OUEST BUREAU 210 MONTREAL QC H3A 3J2 US

CENTRAL TRUST BANK THE 2880 ATTN SANDY BACKES OR REORG MGR

INVESTMENT DEPRTMENT 238 

MADISON ST JEFFERSON CITY MO 65101 US

CGM SALOMON BROTHER 0274 ATTN PATRICIA HALLER OR REORG MGR 111 WALL ST 4TH FLOOR NEW YORK NY 10005 US

CHARLES SCHWAB BANK 2993 ATTN JOSEPH ADAMS OR REORG MGR 2423 EAST LINCOLN DRIVE PHOENIX AZ 85016 US

CHARLES SCHWAB CO INC 0164 ATTN DEBORAH JUNG OR REORG MGR 2423 EAST LINCOLN DRIVE 1ST FLOOR PHOENIX AZ 85016 1215 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 2 of 14

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Document Page 6 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

CHARLES SCHWAB CO INC 0164 ATTN NANCY BRIM OR REORG MGR 2423 EAST LINCOLN DRIVE PHX PEAK 02 K130 PHOENIX AZ 85016 1215 US

CHARLES SCHWAB CO INC 0164 ATTN CHRISTINA YOUNG OR REORG MGR 2423 EAST LINCOLN DRIVE PHOENIX AZ 85016 1215 US

CIBC WORLD MARKETS CORP 0438 ATTN MICHAEL CASTAGLIOLA REORG MGR 425 LEXINGTON AVENUE 5TH FLOOR NEW YORK NY 10017 US

CIBC WORLD MARKETS INC CDS 5030 ATTN JERRY NICASTRO OR REORG MGR 161 BAY STREET 10TH FLOOR TORONTO ON M5J 2S8 US

CIBC WORLD MARKETS SLN 5223 ATTN ROBERT PUTNAM OR REORG MGR 300 MADISON AVENUE NEW YORK NY 10017 US

CIT SECLLC 8430 ATTN KEVIN NEWSTEAD 131 SOUTH DEARBORN STREET 35TH FLOOR CHICAGO IL 60603 US

CITADEL SECURITIES LLC 0395 ATTN MARCIA BANKS OR REORG MGR 131 SOUTH DEARBORN STREET CHICAGO IL 60603 US

CITI PRIVATE BANK 2032 ATTN ARI KOULOUTHROS OR REORG MGR CORPORATE ACTIONS 1 COURT SQUARE LONG ISLAND CITY NY 11120 US

CITIBANK NA 0908 ATTN CAROLYN TREBUS OR REORG MGR 3800 CITIBANK CENTER B3 12 TAMPA FL 33610 US

CITIBANK NA 0908 ATTN EVENTS CREATION OR REORG MGR 3800 CITIBANK CENTER B3 12 TAMPA FL 33610 US

CITIBANK NA 0908 ATTN SANDRA HERNANDEZ OR REORG MGR 3800 CITIBANK CENTER B3 12 TAMPA FL 33610 US

CITIBANK NA 0908 ATTN SHERIDA SINANAN OR REORG MGR 3800 CITIBANK CENTER B 3RD FLOOR ZONE 12 TAMPA FL 33610 US

CITIBANK NA LONDON GATS 2593 ATTN VANESSA PRICKETT OR REORG MGR 5 CARMELITE STREET LONDON UK EC4Y 0PA US

CITIBANK NA LONDON MTN 2952 ATTN VANESSA PRICKETT OR REORG MGR 5 CARMELITE STREET LONDON EC4Y 0PA US

CITIGROUP GLOBAL MARKETS 0418 0505 ATTN ROSE MARIE YODICE OR REORG MGR

388 GREENWHICH STREET 11TH 

FLOOR NEW YORK NY 10013 US

CITIGROUP GLOBAL MARKETS INC 0418 ATTN PAT HALLER OR REORG MGR 111 WALL ST 6TH FLOOR NEW YORK NY 10005 US

CITIGROUP GLOBAL MRKT SAL 0418 0505 ATTN MANETH CHAP OR REORG MGR 3800 CITIBANK CENTER B3 12 TAMPA FL 33610 US

CITY NATIONAL BANK 2392 ATTN EMILY WUNDERLICH OR REORG MGR

555 SOUTH FLOWER STREET 10TH 

FLOOR LOS ANGELES CA 90071 US

CL KING ASSOCIATES INC 0743 ATTN CARRIE BUSH OR REORG MGR 9 ELK STREET ALBANY NY 12207 US

CLEARSTREAM BANKING AG 2000 ATTN REORG Dept 4 Chase Metrotech Center BROOKLYN NY 11245 US

CLEARVIEW CORRESPONDENT SERVICE 702 GLORIA LIO OR REORG DEPT 30 HUDSON STREET 16TH FLOOR JERSEY CITY NJ 07302-0000 US

COMERICA BANK 2108 ATTN LEWIS WISOTSKY OR REORG MGR 411 WEST LAFAYETTE MAIL CODE 3530 DETROIT MI 48226 US

COMMERCE BANK NA 2170 ATTN CINDY LAWRENCE OR REORG MGR 922 WALNUT STREET KANSAS CITY MO 64106 US

COMMERZ MARKETS FXD INC REPO 0033 Attn REORG Manager 225 LIBERTY STREET NEW YORK NY 10281 US

COMMERZ MARKETS LLC 0126 ATTN ROBERT ORTEGA OR REORG MGR 225 LIBERTY STREET 32ND FL NEW YORK NY 10281 US

COMMUNITY BANK NA 5960 ATTN DEBRA LEKKI OR REORG MGR 6 RHOADS DRIVE SUITE 7 UTICA NY 13502 6374 US

COMPASS BANK 2483 ATTN AL HART OR REORG MGR 15 SOUTH 20TH STREET 3RD FLOOR BIRMINGHAM AL 35233 US

COMPASS BANK TRUST DIVISION 2484 ATTN DANIEL MCHALE OR REORG MGR 15 SOUTH 20TH STREET SUITE 703 BIRMINGHAM AL 35233 US

COMPUTERSHARE INV SVCS 7807 ATTN CLAIRE HERRING OR REORG MGR 2 N LASALLE CHICAGO IL 60602 US

COMPUTERSHARE TRUST CO DRP 2586 ATTN KEVIN FLEMING OR REORG MGR 250 ROYALL STREET CANTON MA 02021-0000 US

COMPUTERSHARE TRUST CO OP 2330 ATTN KEVIN FLEMING OR REORG MGR 250 ROYALL STREET CANTON MA 02021-0000 US

COMPUTERSHARE TRUST COMPANY NA 2415 ATTN LYNN HUGUET OR REORG MGR GLOBAL TRANSACTION UNIT 250 ROYALL ST CANTON MA 02021-0000 US

COR LLC 0052 ATTN LUKE HOLLAND OR REORG MGR 1200 LANDMARK CENTER SUITE 800 OMAHA NE 68102 US

CORMARK SECURITIES INC VALEURS 5055 ATTN LISE FRANK OR REORG MGR

SUITE 3450 ROYAL BANK PLAZA S 

TOWER TORONTO ON M5J2J0 US

COUNTRY TRUST BANK 2561 ATTN PAM LITTLE OR REORG MGR 808 IAA DRIVE BLOOMINGTON IL 61702 US

CREDENTIAL SECURITIES INC CDS 5083 ATTN REORG DEPARTMENT 700 1111 WEST GEORGIA ST VANCOUVER BC V6E4T6 US

CREDIT AGRICOLE SECURITIES 0651 ATTN DANIEL SALCIDO OR REORG MGR

194 WOOD AVENUE SOUTH 7TH 

FLOOR ISELIN NJ 08830-0000 US

CREDIT AGRICOLE SECURITIES 5281 ATTN DOREEN MITCHELL OR REORG MGR

1301 AVENUE OF AMERICAS 3RD 

FLOOR NEW YORK NY 10019 US

CREDIT AGRICOLE SECURITIES 7372 ATTN DANIEL SALCIDO OR REORG MGR

194 WOOD AVENUE SOUTH 7TH 

FLOOR ISELIN NJ 08830-0000 US

CREDIT AGRICOLE SECURITIES 7540 ATTN DANIEL SALCIDO OR REORG MGR

194 WOOD AVENUE SOUTH 7TH 

FLOOR ISELIN NJ 08830-0000 US

CREDIT SUISSE AG 1587 ATTN JESSICA TAMBA OR REORG MGR 7033 LOUIS STEPHENS DR MORRISVILLE NC 27560 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 3 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 7 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

CREDIT SUISSE SECURITIES 0355 ATTN ASHWINEE SAWH OR REORG MGR 11 MADISON AVENUE 23RD FLOOR NEW YORK NY 10010 US

CREDIT SUISSE SECURITIES 5019 ATTN KAZI HAQ OR REORG MGR 1 FIRST CANADIAN PLACE SUITE 2900 TORONTO ON M5X 1C9 US

CREDIT SUISSE SECURITIES USA 0355 ATTN TIM JOHNSON OR REORG MGR 7033 LOUIS STEPHENS DRIVE

RESEARCH TRIANGLE 

PARK NC 27709 US

CREDIT SUISSE SECURITIES USA 0355 ATTN ANTHONY MILO OR REORG MGR 7033 LOUIS STEPHENS DRIVE GLOBAL PROXY SERVICES

RESEARCH TRIANGLE 

PARK NC 27709 US

CREDIT SUISSE SECURITIES USA 0355 ATTN SARAH CHANDRIKA OR REORG MGR ONE MADISON AVE NEW YORK NY 10010 US

CREDIT SUISSE SECURITIES USA 5292 ATTN DANIEL BYRNE OR REORG MGR ONE MADISON AVENUE NEW YORK NY 10010 US

CREST INTL NOMINEES LIMITED 2012 ATTN JASON MURKIN OR REORG MGR 33 CANNON ST LONDON UK EC4M 5SB US

CREST INTL NOMINEES LIMITED 2012 ATTN NATHAN ASHWORTH OR REORG MGR 33 CANNON ST LONDON UK UK EC4M 5SB US

CREWS ASSOCIATES INC 5158 ATTN DON VICTORIA W MASON REORG MGR

521 PRESIDENT CLINTON AVE SUITE 

800 LITTLE ROCK AR 72201 US

CROWELL WEEDON CO 0574 ATTN LARRY SCHILT OR REORG MGR 624 S GRAND AVENUE 25TH FLOOR LOS ANGELES CA 90017 US

DA DAVIDSON CO 0361 ATTN RITA LINSKEY OR REORG MGR 8 THIRD STREET NORTH GREAT FALLS MT 59403 US

DAIWA CAP MKTS AMERICA DASAC 7561 ATTN LEGAL DEPT OR REORG MGR 32 OLD SLIP NEW YORK NY 10005 US

DAIWA CAPITAL MARKETS AMERICA 0647 ATTN LEGAL DEPT OR REORG MGR

FINANCIAL SQUARE 32 OLD SLIP 14 

FL NEW YORK NY 10005 US

DAIWA CAPITAL MARKETS AMERICA 2800 ATTN LEGAL DEPT OR REORG MGR

FINANCIAL SQUARE 32 OLD SLIP 14 

FL NEW YORK NY 10005 US

DAIWA SECURITIES TRUST COMPANY 0667 ATTN REORG Dept 7 Teleport Dr Staten Island NY 10311 US

DAVENPORT COMPANY LLC 0715 ATTN KIM NIEDING OR REORG DEPT 901 EAST CARY ST 11TH FLOOR RICHMOND VA 23219 US

DAVID LERNER ASSOCIATES INC 5144 ATTN GERHARDT FRANK OR REORG MGR 477 JERICHO TURNPIKE 25TH FLOOR SYOSSET NY 11791 9006 US

DBTC AMERICAS CTAG CDFP 2808 ATTN MISSY WIMPELBERG OR REORG MGR 648 GRASSMERE PARK DRIVE NASHVILLE TN 37211 US

DBTC AMERICAS CTAG GES 2655 ATTN DANIEL BELEAN OR REORG MGR 60 WALL STREET 27TH FLOOR NEW YORK NY 10005 US

DBTC AMRICA CTAG PUTS DEMANDS 2041 ATTN KRIS PERRY OR REORG MGR 60 WALL STREET 2ND FL MAILSTOP NYC60 0260 NEW YORK NY 10005 US

DEPOSITO CENTRAL DE VALORES 2735 ATTN MIRNA FERNANDEZ OR REORG MGR

AVDA APOQUINDO #4001 FLOOR 12 

CP

LAS CONDES 

SANTIAGO CHILE 7550162 US

DESERET TRUST COMPANY 0958 ATTN S COLTON G TARBET CUSTODY SER

50 E NORTH TEMPLE STREET 15TH 

FLOOR ROOM 1516 SALT LAKE CITY UT 84150 US

DESERET TRUST COMPANY D 2118 ATTN S COLTON G TARBET CUSTODY SER

50 E NORTH TEMPLE STREET 15TH 

FLOOR ROOM 1516 SALT LAKE CITY UT 84150 US

DESERET TRUST COMPANY I 2497 ATTN S COLTON G TARBET CUSTODY SER

50 E NORTH TEMPLE STREET 15TH 

FLOOR ROOM 1516 SALT LAKE CITY UT 84150 US

DESJARDINS SECURITIES INC 5028 ATTN REORG DEPT MTL 1060 1ER E 1253 MCGILL COLLEGE AVENUE 10TH FLOOR MONTREAL QC H3B2Y5 US

DEUTSCHE BANK AG NY BRANCH 2481 ATTN KRIS PERRY OR REORG MGR 60 WALL STREET 2ND FL MAILSTOP NYC60 0260 NEW YORK NY 10005 US

DEUTSCHE BANK SECS CEDEAR 2690 ATTN REORG DEPARTMENT 5022 GATE PARKWAY MAILSTOP – JCK01 0124 JACKSONVILLE FL 32256 US

DEUTSCHE BANK SECS INTL STOCK 5162 ATTN REORG MGR 60 WALL STREET NEW YORK NY 10005 US

DEUTSCHE BANK SECS LIMITED 1 4806 ATTN ERIC HERBST OR REORG MGR 5021 GATE PARKWAY SUITE JACKSONVILLE FL 32256 US

DEUTSCHE BANK SECURITIES 0573 ATTN REORG MGR 5022 GATE PARKWAY SUITE 200 JACKSONVILLE FL 32256 US

DEUTSCHE BANK SECURITIES BDR 2024 ATTN REORG DEPARTMENT 5022 GATE PARKWAY MAILSTOP JCK01 0124 JACKSONVILLE FL 32256 US

DEUTSCHE BANK TRUST CO 1080 ATTN REORG Dept 60 WALL STREET 2ND FL MAILSTOP NYC60 0260 NEW YORK NY 10005 US

DEUTSCHE BANK TRUST CO 1503 ATTN KRIS PERRY OR REORG MGR 60 WALL STREET 2ND FL MAILSTOP NYC60 0260 NEW YORK NY 10005 US

DUNDEE SECURITIES CORP CDS 5039 ATTN KAREN WINDOVER OR REORG MGR 20 QUEEN ST W 4TH FLOOR TORONTO ON M5H 3R3 US

E TRANSACTION CLEARING 0873 ATTN JANE BUHAIN OR REORG MGR 660 S FIGUEROA ST SUITE 1450 LOS ANGELES CA 90017 US

E3M INVESTMENTS INC 5066 ATTN PIERRE CAMU OR REORG MGR

C O CANADIAN DEPOSITORY 

SECURITI 600 BOUL DE MAISONNEUVE QUEST MONTREAL QC H3A 3J2 US

EDWARD JONES 0057 ATTN GERRI KAEMPFE OR REORG MGR CORPORATE ACTIONS DISTRIBUTION 12555 MANCHESTER ROAD ST LOUIS MO 63131 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 4 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 8 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

EDWARD JONES 0057 ATTN REORG MGR CORPORATE ACTIONS DISTRIBUTION 201 PROGRESS PARKWAY MARYLAND HEIGHTS MO 63043 US

EDWARD JONES 0057 ATTN DEREK ADAMS OR REORG MGR CORPORATE ACTIONS DISTRIBUTION 12555 MANCHESTER ROAD ST LOUIS MO 63131 US

EDWARD JONES CDS 5012 ATTN NICK HUMMELL OR REORG MGR 700 MARYVILLE CENTRE DRIVE ST LOUIS MO 63141 US

EMMET COINC 5234 ATTN CHRISTOPHER EMMET SR REORG MGR 12 PEAPACK ROAD FAR HILLS NJ 07931-0000 US

ETRADE BANK 2782 ATTN TESSA QUINLAN OR REORG MGR 671 NORTH GLEBE ROAD ARLINGTON VA 22203 US

ETRADE CLEARING LLC 0385 ATTN VICTOR LAU OR REORG MGR 34 EXCHANGE PLACE PLAZA II JERSEY CITY NJ 07311-0000 US

ETRADE RIDGE CLEARING 0158 ATTN BRIAN DARBY OR REORG MGR ONE DALLAS CENTER 350 M ST PAUL SUITE 1300 DALLAS TX 75201 US

ETRADE RIDGE CLEARING 0358 ATTN VICTOR LAU OR REORG MGR 34 EXCHANGE PLACE 501 PLAZA II JERSEY CITY NJ 07311-0000 US

EU CENTRAL COUNTERPARTY LTD 3064 ATTN JOHN GOODE OR REORG MGR

BROADGATE WEST 1 SNOWDEN 

STREET LONDON UK EC2A 2DQ US

EVERBANK 2576 ATTN LINDA DILE OR REORG MGR 8328 EAGER ROAD SUITE 300 ST LOUIS MO 63144 US

FANNIE MAE GENERAL 2293 ATTN WELLS ENGLEDOW OR REORG MGR 3900 WISCONSIN AVENUE NW WASHINGTON DC 20016 US

FANNIE MAE INVESTMENT 2296 ATTN LARRY BARNETT OR REORG MGR 3900 WISCONSIN AVE NW WASHINGTON DC 20016 US

FED HOME LOAN MORTGAGE CORP 2391 ATTN ALEX KANGELARIS OR REORG MGR

1551 PARK RUN DR MAIL MAILSTOP 

D5A MCLEAN VA 22102 US

FEDERAL RESERVE BANK NEW YORK 3000 ATTN TIM FOGARTY OR REORG MGR 33 LIBERTY STREET NEW YORK NY 10045 US

FIDELITY CLEARING CANADA 5040 ATTN STEVE ADAMS OR REORG MGR 401 BAY STREET SUITE 2910 TORONTO ON M5H 2Y4 US

FIDELITY TRANSFER CO DRS 7842 ATTN KEVIN KOPAUNIK OR REORG MGR 1800 S WEST TEMPLE SUITE 301 SALT LAKE CITY UT 84115 US

FIDUCIARY SSB 0987 ATTN MIKE FEELEY ROB RAY PROXY MGR CORP ACTIONS JAB5E 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

FIDUCIARY TRUST COMPANY BOSTON 2126 ATTN BRAD FINNIGAN OR REORG MGR 175 FEDERAL STREET BOSTON MA 02110-0000 US

FIDUCIE DESJARDINS INC 4818 ATTN MARTINE SIOUI OR REORG MGR 1 COMPLEXE DESJARDINS SOUTH TOWER 2ND FL MONTREAL QC H5B 1E4 US

FIFTH THIRD BANK THE 2116 ATTN CARRIE POTTER OR REORG MGR

5001 KINGSLEY DR MAIL DROP 

1M0B2D CINCINNATI OH 45227 US

FIFTH THIRD BANK THE 2116 ATTN LANCE WELLS OR REORG MGR 5001 KINGSLEY DRIVE MAIL DROP 1M0B2D CINCINNATI OH 45227 US

FIRST BANK 2400 ATTN CHERIE LEAHY OR REORG MGR 800 JAMES S MCDONNELL BLVD HAZELWOOD MO 63042 US

FIRST BUSEY CORPORATION DRS 7910 ATTN MARY LAKEY OR REORG MGR 201 WEST MAIN STREET URBANA IL 61801 US

FIRST CLEARING 0141 ATTN FINESSA ROSSON OR REORG DEPT 1 NORTH JEFFERSON 9 F ST LOUIS MO 63103 US

FIRST CLEARING ABRAMSON ACCTS 0521 ATTN REORG DEPARTMENT 2801 MARKET STREET H0006 08N ST LOUIS MO 63103 US

FIRST CLEARING LLC 0141 ATTN MATT BUETTNER OR REORG DEPT 2801 MARKET STREET H0006 09B ST LOUIS MO 63103 US

FIRST CLEARING SEYMOUR COHN 5183 ATTN ISSUER SERVICES OR REORG MGR

CO ADP PRXY SERVICE 51 MERCEDES 

WAY EDGEWOOD NY 11717 US

FIRST FINANCIAL CORP DRS 7896 ATTN TICIA WRIGHT OR REORG MGR ONE FIRST FINANCIAL PLAZA TERRE HAUTE IN 47807 US

FIRST NATIONAL BANK OF OMAHA 2254 ATTN JOHN STEWART OR REORG MGR 1620 DODGE STREET OMAHA NE 68102 US

FIRST SOUTHWEST COMPANY 0309 ATTN JAMES FURINO OR REORG MGR 1700 PACIFIC AVENUE SUITE 500 DALLAS TX 75201 US

FIRST SOUTHWEST COMPANY 0309 ATTN KEVIN MILLER OR REORG MGR 911 W LOOP 281 STE 411 LONGVIEW TX 75604 US

FIRST SOUTHWEST COMPANY 0309 ATTN DONALD KRAS OR REORG MGR 325 NORTH ST PAUL STREET DALLAS TX 75201 US

FIRST TENNESSEE BNK NA MEMPHIS 2445 ATTN SHIRLEY PARKER OR REORG MGR 845 CROSSOVER LANE SUITE 150 MEMPHIS TN 38117 US

FOLIO FN INVESTMENTS INC 0728 ATTN ASHLEY THEOBALD OR REORG MGR

8180 GREENSBORO DRIVE 8TH 

FLOOR MCLEAN VA 22102 US

FORTIS CLEARING AMERICA RETAIL 0541 ATTN SUE NOWLICKI OR REORG MGR 175 W JACKSON BLVD SUITE 400 CHICAGO IL 60605 US

FORTIS CLEARING AMERICAS CPM 0330 ATTN SUE NOWICKI OR REORG MGR 175 W JACKSON BLVD SUITE 400 CHICAGO IL 60604 US

FORTIS CLEARING AMERICAS LLC 0695 ATTN SUE NOWLICKI OR REORG MGR 175 W JACKSON BLVD SUITE 400 CHICAGO IL 60605 US

FORTIS CLEARING AMERICAS LTG 0524 ATTN JIM HALM OR REORG MGR 175 W JACKSON BLVD SUITE 400 CHICAGO IL 60604 US

FRONTIER TRUST COMPANY 2563 ATTN BRIAN REINKE OR REORG MGR 1126 WESTRAC DRIVE SOUTH FARGO ND 58103 US

FTN FINANCIAL SECURITIES CORP 0202 ATTN MICHAEL INKSTER OR REORG MGR 845 CROSSOVER LANE SUITE 150 MEMPHIS TN 38117 US

GENE BANFI 8238 ATTN GENE BANFI 525 WASHINGTON BLVD JERSEY CITY NJ 07310-0000 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 5 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 9 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

GLENMEDE TRUST CO 2139 ATTN DARLENE WARREN OR REORG MGR ONE LIBERTY PLACE SUITE 1200 1650 MARKET STREET PHILADELPHIA PA 19103 US

GMP SECURITIES LP 5016 ATTN TERRY YOUNG OR REORG MGR 145 KING STREET WEST SUITE 1100 TORONTO ON M5H 1J8 US

GOLDMAN SACHS 0005 5208 2941 ATTN ALEXANDER MUCHNIK OR REORG MGR 30 HUDSON STREET JERSEY CITY NJ 07302-0000 US

GOLDMAN SACHS BANK 2941 ATTN PATRICIA BALDWIN OR REORG MGR ONE NEW YORK PLAZA 45TH FLOOR NEW YORK NY 10004 US

GOLDMAN SACHS CO 0005 ATTN ALEX MUCHNIK OR REORG MGR 30 HUDSON ST PROXY DEPARTMENT JERSEY CITY NJ 07302 0000 US

GOLDMAN SACHS GSEC 0501 ATTN ANTHONY BRUNO OR REORG MGR 30 HUDSON STREET JERSEY CITY NJ 07302-0000 US

GS BK AGENCY LENDING 2660 ATTN Michael Peek OR REORG MGR 30 Hudson Street 5th Floor Jersey City NJ 07302 4699 US

GSECLP EQUITIES EXECUTION 0048 ATTN ANTHONY BRUNO OR REORG MGR 30 HUDSON ST JERSEY CITY NJ 07302-0000 US

HARRIS NA 2697 MINA GARCIA OR REORG DEPT SECURITIES MOVEMENT 111 WEST MONROE CHICAGO IL 60603 US

HARRIS NA DEALER 2559 ATTN LENORA NEWELL OR REORG MGR 111 WEST MONROE CHICAGO IL 60690 US

HARTFIELD TITUS DONNELLY LLC 0451 ATTN JIM DOUGLAS OR REORG MGR 111 PAVONIA AVENUE SUITE 1430 JERSEY CITY NJ 07310-0000 US

HAYWOOD SECURITIES INC CDS 5058 ATTN TRACY COLLEGE OR REORG MGR 400 BURRARD STREET SUITE 2000 VANCOUVER BC V6C 3A6 US

HAYWOOD SECURITIES INC CDS 5058 ATTN M DRYHURST OR REORG MGR 20TH FLOOR COMMERCE PLACE 400 BURRARD STREET VANCOUVER BC V6C 3A8 US

HC DENISON CO 8100 ATTN MARGE WENTZEL OR REORG MGR 618 N 7TH STREET SHEBOYGAN WI 53081 US

HICKORY POINT B T DRS 7840 ATTN PATRICIA PERKINS OR REORG MGR 225 N WATER STREET DECATUR IL 62523 US

HOME FED BK HOME FIN SVCS 2447 ATTN WALTER BOWES JR OR REORG MGR 507 MARKET STREET KNOXVILLE TN 37902 US

HOME FED BK OF TENNESSEE TRUST 2534 ATTN SHERRY ELLIS OR REORG MGR 515 MARKET STREET SUITE 500 KNOXVILLE TN 37902 US

HOME FEDERAL BANK HF PORTFOLIO 2533 ATTN WALTER BOWER JR OR REORG MGR 507 MARKET STREET KNOXVILLE TN 37902 US

HOME FEDL BK OF TENNESSEE 2425 ATTN REBECCA BUCKNER OR REORG MGR 507 MARKET STREET KNOXVILLE TN 37902 US

HSBC BANK CORP TRUST 2894 ATTN SYLVIA NAGAN 250 UNIVERSITY AVENUE 8TH FLOOR TORONTO ON M5H 3H5 US

HSBC BANK NA 2165 ATTN JOSEPH CAMPANA OR REORG MGR ONE HSBC CENTER 17TH FLOOR BUFFALO NY 14203 US

HSBC BANK NA 2393 ATTN JOHN HICKEY OR RENEE FRANCISCO 545 Washington Blvd 10th Floor Jersey City NJ 07310-0000 US

HSBC BANK NA 2412 ATTN KEN LUND OR REORG MGR 1 WEST 39TH STREET 7TH FLOOR NEW YORK NY 10018 US

HSBC BANK NA HSBC NASSAU 2202 ATTN MARVA MATTHEW DURDEN REORG MGR 1 WEST 39TH STREET NEW YORK NY 10018 US

HSBC BANK USA NA IPB 2122 ATTN REORG OR CORP ACTIONS MGR 452 5TH AVENUE 6TH FLOOR NEW YORK NY 10018 US

HSBC CCSLB 1950 ATTN ENRIQUE VIDAL 452 Fifth Avenue NEW YORK NY 10018 US

HSBC CLEAR 8396 ATTN BARBARA SKELLY 545 WASHINGTON BLVD 10TH FLOOR JERSEY CITY NJ 07302-0000 US

HSBC SECURITIES INC 0486 ATTN CHRIS ARMATO OR REORG MGR 1 WEST 39TH STREET NEW YORK NY 10018 US

HSBC SECURITIES INC 0816 ATTN CHRIS ARMATO OR REORG MGR 1 WEST 39TH STREET NEW YORK NY 10018 US

HUNTINGTON BK OHIO POLICE 2219 ATTN BEVERLY REYNOLDS OR REORG MGR 7 EASTON OVAL EA4E62 COLUMBUS OH 43219 US

HUNTINGTON BK SCHOOL 2898 ATTN BEVERLY REYNOLDS OR REORG MGR 7 EASTON OVAL EA4E62 COLUMBUS OH 43219 US

HUNTINGTON NATIONAL BANK 2305 ATTN ALLAN BURKHART OR REORG MGR 7 EASTON OVAL EA4 E78 COLUMBUS OH 43219 US

HUTCHINSON SHOCKEY ERLEY CO 6963 ATTN NANCY MEIER OR REORG MGR 222 WEST ADAMS SUITE 1700 CHICAGO IL 60606 US

ICBCF SERVICE LLC EQUITY CLEAR 0824 ATTN PROXY MGR

PARAMOUNT PLAZA 1633 

BROADWAY NEW YORK NY 10019 US

ICBCFS LLC 0388 ATTN NENRY NAPIER 1633 BROADWAY NEW YORK NY 10019 US

ING BANK FSB 2604 ATTN KAMCHAI LEUNG OR REORG MGR 802 DELAWARE AVENUE WILMINGTON DE 19801 US

INTERACTIVE BRKER TH 0549 0534 0017 ATTN KARIN MCCARTHY OR REORG MGR 2 GREENWICH OFFICE PARK 2ND FLOOR BUILDING 8 GREENWICH CT 06830-0000 US

INTERACTIVE BROKERS TH 0534 ATTN KARIN MCCARTHY OR REORG MGR 8 GREENWICH OFFICE PARK GREENWICH CT 06831-0000 US

INTL BANK OF COMMERCE DRS 7887 ATTN EILZA GONZALEZ OR REORG MGR 1200 SAN BERNARDO AVENUE LAREDO TX 78040 US

INTL FCSTONE INC 0750 ATTN KEN SIMPSON OR REORG MGR

2 PERIMETER PARK SOUTH STE 100 

W BIRMINGHAM AL 35243 US

INTRACTVE BRKER RETAIL EQTY CL 534 MARIA TARDIO OR REORG DEPT 1 PICKWICK PLAZA GREENWICH CT 06830-0000 US

ITG INC SECS LENDING 7539 ATTN REORG MGR 1 LIBERTY PLAZA 5ND FLOOR New York NY 10006 US

JAMES I BLACK COMPANY 7031 ATTN KATHY BIRD OR REORG MGR 311 SOUTH FLORIDA AVENUE LAKELAND FL 33801 US

JANNEY MONTGOMERY SCOTT INC 0374 ATTN REGINA LUTZ OR REORG MGR 1801 MARKET STREET 9TH FLOOR PHILADELPHIA PA 19103 1675 US

JANNEY MONTGOMERY SCOTT INC 0374 ATTN BOB MARTIN OR REORG MGR 1801 MARKET STREET 9TH FLOOR PHILADELPHIA PA 19103 1675 US

JANNEY MONTGOMERY STOCK LOAN 7320 ATTN JACK LUND OR REORG MGR 1717 ARCH STREET PHILADELPHIA PA 19103 2713 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 6 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 10 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

JAPAN SECURITIES DEPO CENTER 5600 ATTN SYLVIA ANTONIO OR REORG MGR

18301 BERMUDA GREEN DRIVE 2ND 

FLOOR TAMPA FL 33647 US

JEFFERIES CO EXECUTION 0535 ATTN ALFRED PETRILLO OR REORG MGR HARBORSIDE FINANCIAL CENTER PLAZA III SUITE 704 JERSEY CITY NJ 07311-0000 US

JEFFERIES CO SECURITIES 7565 ATTN JONATHAN CHRISTON OR REORG MGR 34 EXCHANGE PL PLAZA III SUITE 705 JERSEY CITY NJ 07311-0000 US

JEFFERIES CO SERVICE BUREAU 0536 ATTN MARIE RAMIREZ OR REORG MGR HARBORSIDE FINANCIAL CENTER PLAZA III SUITE 704 JERSEY CITY NJ 07311-0000 US

JEFFERIES COMPANY AS AGENT 7441 ATTN JONATHAN CHRISTON OR REORG MGR HARBORSIDE FINANCIAL CENTER PLAZA III SUITE 705 JERSEY CITY NJ 07303-0000 US

JEFFERIES COMPANY INC 0019 ATTN RAY DESOUZA OR REORG MGR HARBORSIDE FINANCIAL CENTER 705 PLAZA 3 JERSEY CITY NJ 07311-0000 US

JEFFERIES COMPANY INC 0019 ATTN REORG MGR 34 EXCHANGE PLACE JERSEY CITY NJ 07311-0000 US

JJB HILLIARD WL LYONS LLC 0768 ATTN RYAN HARDIN OR REORG MGR 500 WEST JEFFERSON ST 6TH FLOOR LOUISVILLE KY 40202 US

JOHN A SIBERELL CO 7014 ATTN JOHN SIBERELL OR REORG MGR

824 KEY BANK BLDG 202 S MICHIGAN 

ST SOUTH BEND IN 46601 US

JONES GABLE CO LTD CDS 5070 ATTN LORI WRIGHT OR REORG MGR 110 YONGE STREET SUITE 600 TORONTO ON M5C 1T6 US

JP MORGAN CLEARING CORP 0352 ATTN ERIC OSZUSTOQICZ OR REORG MGR 3 CHASE METROTECH CENTER PROXY DEPT NY1 H034 BROOKLYN NY 11245 0001 US

JP MORGAN CLEARING CORP 0352 ATTN ABHISHEK KUMAR OR REORG MGR 500 STANTON CHRISTIANA ROAD 3RD FLOOR NEWARK DE 19713 US

JP MORGAN CLEARING CORP 0352 ATTN BRODERICK WALKER OR REORG MGR

DEPT C CASHIER DEPRTMNT 1 

METROTECH

CENTER NORTH REORG DEPT 4TH 

FLOOR BROOKLYN NY 11201 3862 US

JP MORGAN SECS VENTURES CORP 7489 ATTN GARY GABRYSH OR REORG MGR

500 STANTON CHRISTIANA RD DE3 

4680 NEWARK DE 19713 2107 US

JP MORGAN SECURITIES 0187 BRIAN GILBERT OR REORG DEPT 500 STANTON CHRISTIANA ROAD OPS 4TH FLOOR NEWARK DE 19713 2107 US

JP MORGAN SECURITIES INC 0060 ATTN ERIC ALSOP OR REORG MGR 500 STANTON CHRISTIANA RD NEWARK DE 19713 US

JP MORGAN SECURITIES INC 0307 ATTN GREGORY SCHRON OR REORG MGR 270 PARK AVENUE NEW YORK NY 10017 US

JP MORGAN SECURITIES INC SL 5202 ATTN ERIC ALSOP OR REORG MGR 500 STANTON CHRISTIANIA RD NEWARK DE 19713 US

JP MORGAN SECURITIES INC WF 5245 ATTN ERIC ALSOP OR REORG MGR 500 STANTON CHRISTIANA RD NEWARK DE 19713 US

JPM ASSET 8861 ATTN LAURA LOGEMAN 4 NEW YORK PLAZA NEW YORK NY 10004 US

JPM CHASE AG DEPOSITARY BK 2865 ATTN FRED COHEN OR REORG MGR 500 CHRISTIANA RD FL 3

MORGAN CHRISTIANA CENTER OPS 

4 NEWARK DE 19702 US

JPM CLEARING CORP LENDING 5213 ATTN GREGORY SCHRON OR REORG MGR ONE METROTECH CENTER NORTH BROOKLYN NY 11201 US

JPM SECURITIES CANADA INC 4808 ATTN SHEERA BADIAL OR REORG MGR 200 BAY ST STE 1800 ROYAL BANK PLAZA S TWR TORONTO ON M5J 2J2 US

JPMC BANK VANGUARD LOANET 2433 ATTN PAULA JONES OR REORG MGR 14201 DALLAS PARKWAY DALLAS TX 75254 US

JPMC BLKRK 3622 ATTN SACHIN GOYAL

500 STANTON CHRISTIANA ROAD 

OPS 4 FLOOR 02 NEWARK DE 19713 US

JPMC DBTC AMERICAS UK BANK LTD 2314 ATTN MARIA SASINOSKI OR REORG MGR

525 WILLIAM PENN PLACE ROOM 

0300 PITTSBURGH PA 15259 US

JPMC EURO 1970 ATTN DTC CUSTODY LINE SACHIN GOYAL 500 STANTON CHRISTIANA ROAD NEWARK DE 19713 US

JPMC JP MORGAN INTERNATIONAL 2035 ATTN REORG MGR 4 NEW YORK PLAZA 11TH FLOOR NEW YORK NY 10004 US

JPMCB HSBC BANK 2554 ATTN DRALAN PORTER OR REORG MGR

14201 DALLAS PARKWAY 12TH 

FLOOR DALLAS TX 75254 US

JPMCH CTC 0902 Attn Jeff Lazarus 4 Chase Metrotech Plaza 3rd Floor Brooklyn NY 11245 US

JPMCH CTC 2424 Attn Gene Banfi or Reorg Mgr 4 Chase Metrotech Center 3rd Fl NY1 C083 BROOKLYN NY 11245 0001 US

JPMORGAN BROKER DEALER SVCS 2811 ATTN NORE SCARLETT OR REORG MGR 4 NEW YORK PLAZA 11TH FLOOR NEW YORK NY 10004 US

JPMORGAN CHASE BANK ADR 0923 ATTN BRIAN GILBERT OR REORG MGR 500 STANTON CHRISTINA ROAD NEWARK DE 19713 US

JPMORGAN CHASE BANK IA 2357 ATTN SUSHIL PATEL OR REORG MGR 14201 DALLAS PARKWAY SUITE 121 DALLAS TX 75254 US

JPMORGAN CHASE BANK JP MORGAN 2379 ATTN MARIA SASINOSKI OR REORG MGR

525 WILLIAM PENN PLACE ROOM 

0300 PITTSBURGH PA 15259 US

JPMORGAN CHASE BANK NA 0902 2164 Attn Jeff Lazarus Corp Action Mgr 4 Chase Metrotech Center 3rd Fl NY1 C094 Brooklyn NY 11245 0001 US

JPMORGAN CHASE BANK NA JPMO 2740 ATTN GARY GABRYSH OR REORG MGR

500 STANTON CHRISTIANA RD DE3 

4680 NEWARK DE 19713 US

JPMORGAN CHASE BANK PRUDENTIAL 2517 ATTN REORG MGR PARADIGM B WING FL 6 MINDSPACE MALAD W MUMBAI INDIA 400 064 I00000 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 7 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 11 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

JPMORGAN CHASE BANK TRUST CO 2849 ATTN REORG MGR PARADIGM B WING FLOOR 6 MINDSPACE MALAD W MUMBAI 400 064 I00000 US

JPMORGAN CHASE BNK NAPERS OHIO 8187 ATTN MARCIN BIEGANSKI 14201 DALLAS PARKWAY 12TH FL CORPORATE ACTIONS DEPT DALLAS TX 75254 US

JPMORGAN CHASE BNK SUSQUEHANNA 2060 ATTN DIANE MCGOWAN OR REORG MGR 3 METROTECH 5TH FLOOR BROOKLYN NY 11245 US

JPMORGAN CHASE DBTC AMERICAS 2312 ATTN DIANE MCGOWAN OR REORG MGR 4 NEW YORK PLAZA 11TH FLOOR NEW YORK NY 10004 US

JPMORGAN CHASE FIMAT CU 2945 ATTN REORG MGR PARADIGM B WING FLOOR 6 MAINDSPACE MALAD W MUMBAI 400 064 I00000 US

JPMORGAN CHASE FIMAT MB 2946 ATTN REORG MGR PARADIGM B WING FLOOR 6 MINDSPACE MALAD W MUMBAI 400 064 I00000 US

JPMORGAN CHASE FIMAT RM 2944 ATTN REORG MGR PARADIGM B WING FLOOR 6 MINDSPACE MALAD W MUMBAI 400 064 I00000 US

JPMORGAN CHASE GNPH MIDDLE MKT 2434 ATTN SN REISING OR REORG MGR 100 N BROADWAY OKLAHOMA CITY OK 73102 US

JPMORGAN CHASE JPMORGAN CHASE 1573 ATTN DIANE MCGOWAN OR REORG MGR 3 METROTECH 5TH FLOOR BROOKLYN NY 11245 US

JPMORGAN CHASE JPMORGAN EUROPE 2354 ATTN MONICA WEMER OR REORG MGR 500 STANTON CHRISTIANA ROAD NEWARK DE 19713 US

JPMORGAN CHASE MET LIFE LOANET 2973 ATTN PAULA JONES OR REORG MGR 14201 DALLAS PARKWAY DALLAS TX 75254 US

JPMORGAN CHASE PUBLIC EMPLOYEE 2975 ATTN REORG MGR PARADIGM B WING FL 6 MINDSPACE MALAD MUMBAI 400 064 I00000 US

JPMORGAN CHASE RBS 2038 ATTN DIANE MCGOWAN OR REORG MGR 3 METROTECH 5TH FLOOR BROOKLYN NY 11245 US

JPMORGAN CHASE TREASURER OHIO 2609 ATTN WENDY WUJCIKOWSKI OR REORG MGR 14201 DALLAS PARKWAY DALLAS TX 75254 US

JPMORGAN CHASE US EQ TRP 2612 ATTN SERGIO MONTILLO OR REORG MGR 500 STANTON CHRISTIANA ROAD NEWARK DE 19713 US

JPMORGAN CHEMICAL COMMERC 1506 ATTN DIANE MCGOWAN OR REORG MGR 3 METROTECH 5TH FLOOR BROOKLYN NY 11245 US

KEYBANC CAPITAL MARKETS INC 0799 ATTN KAREN BEDNARSKI OR REORG MGR 4900 TIEDEMAN MAIL CODE OH 01 49 0230 BROOKLYN OH 44114 US

KEYBANK 2205 ADAM BORYENACE OR REORG DEPT 4900 TIEDEMAN ROAD BROOKLYN OH 44144 US

KEYBANK NA FBO TREASURER OHIO 2769 ATTN SCOTT MACDONALD OR REORG MGR 4900 TIEDEMAN ROAD OH 01 49 310 BROOKLYN OH 44144 US

KEYBANK SAFEKEEPING 0557 ATTN RAYMOND HANNAN OR REORG MGR

4900 TIEDEMAN ROAD OH 01 49 

0240 BROOKLYN OH 44144 US

KNIGHT CLEARING SERVICES LLC 0295 ATTN JANICA BRINK OR REORG MGR 545 WASHINGTON BLVD JERSEY CITY NJ 07310-0000 US

LAKESIDE BANK 2545 ATTN MICHAEL CAULEY OR REORG MGR 141 WEST JACKSON BLVD SUITE 130A CHICAGO IL 60604 US

LAW DEBENTURE 2216 ATTN REORG Dept 801 2nd Avenue Suite 403 New York NY 10017 US

LEEDE FINANCIAL MARKETS 5071 ATTN CRAIG GOODWIN OR REORG MGR FIRST ALBERTA PLACE 777 8TH AVENUE SW SUITE 2300 CALGARY AB T2P 3R5 US

LEK SECURITIES CORPORATION 0512 ATTN DANIEL HANUKA OR REORG MGR 1 LIBERTY PLAZA 52ND FLOOR NEW YORK NY 10006 US

LPL FINANCIAL CORPORATION 0075 ATTN CORPORATE ACTIONS 1055 LPL WAY FORT MILL SC 29715 US

M I MARSHALL ILSLEY BANK 0992 ATTN REORG MGR 111 W MONROE ST CHICAGO IL 60603 US

MACKIE RESEARCH 5029 ATTN TONY RODRIGUES OR REORG MGR 199 BAY STREET COMMERCE COURT WEST SUITE 4600 TORONTO ON M5L 1G2 US

MACQUARIE CAPITAL INC 0114 ATTN PATRICK CERMAK OR REORG MGR 125 WEST 55TH STREET 23RD FLOOR NEW YORK NY 10019 US

MANUFACTURERS AND TRADERS 0990 ATTN DON SCHMIDT OR REORG MGR ONE M T PLAZA 8TH FLOOR BUFFALO NY 14240 US

MANUFACTURERS TRADERS TRUST 2382 ATTN RONALD SMITH OR REORG MGR ONE M T PLAZA 3RD FLOOR TREASURY OPERATIONS BUFFALO NY 14203 US

MANULIFE SECURITIES CDS 5047 ATTN REORG MGR 85 RICHMOND STREET WEST TORONTO ON M5H 2C9 US

MAPLE SECURITIES CANADA CDS 5072 ATTN JEFF CARR OR REORG MGR 79 WELLINGTON STREET WEST TORONTO ON M5K 1K7 US

MAPLE SECURITIES DOMES 5239 ATTN MARISOL MANSO OR REORG MGR 10 EXCHANGE PL SUITE 2600 JERSEY CITY NJ 07302-0000 US

MARSCO INVESTMENT CORPORATION 0287 ATTN KAREN JACOBSEN OR REORG MGR 101 EISENHOWER PARKWAY ROSELAND NJ 07068 0000 US

MELLON LNDN GLBL MKT 2485 2281 2504 ATTN REORG DEPT ONE CANADA SQUARE LONDON E14 5AL US

MERCHANT CAPITAL LLC 6733 ATTN BELINDA WILSON OR REORG MGR LAKEVIEW CENTER SUITE 400 2660 EAST CHASE LANE MONTGOMERY AL 36117 US

MERRILL LYNCH 0161 5198 ATTN K BANACH OR CORP ACTION NOTIFI 4804 DEAR LAKE DR E JACKSONVILLE FL 32246 US

MERRILL LYNCH 5143 ATTN EARL WEEKS OR REORG MGR 4804 DEER LAKE DR E JACKSONVILLE FL 32246 US

MERRILL LYNCH GOV SECS 5193 ATTN TONY LAYNE OR REORG MGR

WORLD FINANCIAL CENTER NORTH 

TOWER NEW YORK NY 10281 1212 US

MESIROW FINANCIAL INC 0727 ATTN HAVANA GILES OR REORG MGR 353 NORTH CLARK ST CHICAGO IL 60654 US

MG TRUST COMPANY LLC 5954 ATTN CHRISTINE DAWSON OR REORG MGR 700 17TH STREET SUITE 200 DENVER CO 80016 US

MIZUHO CORPORATE BANK 1577 ATTN RAMON ROSARIO OR REORG MGR HARBORSIDE FINANCIAL CENTER 1800 PLAZA TEN JERSEY CITY NJ 07311-0000 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 8 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 12 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

MIZUHO CORPORATE BANK 2539 ATTN RAMON ROSARIO OR REORG MGR

HARBORSIDE FINANCIAL CENTER 

1800 PLAZA TEN JERSEY CITY NJ 07311-0000 US

MIZUHO SECURITIES INC 0892 ATTN REORG Dept 1251 Avenue of the Americas New York NY 10020 US

MLPFS 0671 ATTN EARL WEEKS 4804 DEERLAKE DR E JACKSONVILLE FL 32246 US

MONTE TITOLI SPA 2008 ATTN MAURO CASTELLAZZI OR REORG MGR VIA MANTEGNA 6 MILANO ITALY 20154 US

MORGAN KEEGAN COMPANY 0780 ATTN JOHN CAMPBELL OR REORG MGR 50 NORTH FRONT STREET 4TH FLOOR MEMPHIS TN 38103 US

MORGAN STANLEY CO 0015 ATTN RAQUEL DEL MONTE OR REORG MGR ONE NEW YORK PLAZA 41st FLOOR NEW YORK NY 10004 US

MORGAN STANLEY CO 50 2187 2267 ATTN RAQUEL DEL MONTE OR REORG MGR ONE NEW YORK PLAZA 41st FLOOR NEW YORK NY 10004 US

MORGAN STANLEY CO 6635 7309 ATTN RAQUEL DEL MONTE OR REORG MGR ONE NEW YORK PLAZA 41st FLOOR NEW YORK NY 10004 US

MORGAN STANLEY CO II 5127 ATTN DAN SPADACCINI OR REORG MGR 901 SOUTH BOND STREET 6TH FLOOR BALTIMORE MD 21231 US

MORGAN STANLEY CO INTL PLC 7309 ATTN DAN SPADACCINI OR REORG MGR 901 SOUTH BOND ST 6TH FL BALTIMORE MD 21231 US

MORGAN STANLEY CO INTL PLC 7309 ATTN BRIAN O'DOWD OR REORG MGR 901 SOUTH BOND STREET 6TH FLOOR BALTIMORE MD 21231 US

MORGAN STANLEY CO INTL PLC 7309 ATTN GREGORY CONTALDI OR REORG MGR 901 SOUTH BOND STREET 6TH FLOOR BALTIMORE MD 21231 US

MS SECURITIES SERVICES INC 0101 ATTN BRIAN O'DOWD OR REORG MGR 901 SOUTH BOND STREET 6TH FLOOR BALTIMORE MD 21231 US

NATIONAL BANK SOUTH CAROLINA 2578 ATTN MARCIA KNOX OR REORG MGR 1 BROAD STREET SUMTER SC 29150 US

NATIONAL FINANCIAL SERVICE LLC 0226 ATTN SEAN COLE OR REORG MGR 499 WASHINGTON BLVD 5TH FLOOR JERSEY CITY NJ 07310-0000 US

NATIONAL FINANCIAL SERVICE LLC 0226 ATTN KARL BAKER OR REORG MGR 499 WASHINGTON BLVD 5TH FLOOR JERSEY CITY NJ 07310-0000 US

NATIONAL SECURITIES CLEARING 0888 ATTN JANICE GREGORY OR REORG MGR 55 WATER STREET 22ND FLOOR NEW YORK NY 10041 US

NATL BANK OF S CAROLINA 2579 ATTN PAMELA GEDDINGS OR REORG MGR 1 BROAD STREE SUMTER SC 29151 US

NBC FINAN 8353 ATTN DANNY DESPATIE 65 EAST 55TH STREET 31ST FLOOR NEW YORK NY 10022 US

NBC SECURITIES INC 0306 ATTN DEBBIE HARDIN OR REORG MGR 1927 FIRST AVENUE NORTH BIRMINGHAM AL 35203 US

NBCN CLEARING INC CDS 5032 ATTN ANNIE MAH OR REORG MGR 85 RICHMOND STREET WEST TORONTO ON M5H 2C9 US

NBCN INC CDS 5008 ATTN BENOIT HENAULT OR REORG MGR

1010 RUE DE LA GAUCHETIERE ST 

WEST SUITE 1925 MONTREAL QC H3B 5J2 US

NBT BANK NA 7861 ATTN HOLLY CRAVER OR REORG MGR 20 MOHAWK STREET CANAJOHARIE NY 13317 US

NEWEDGE CANADA INC CDS 5003 ATTN GAETAN HEBERT OR REORG MGR 1501 MCGILL COLLEGE SUITE 1901 MONTREAL PQ H3A 3M8 US

NOMURA SECURITIES 0180 7507 7584 ISSUER SERVICES 309 WEST 49TH STREET 10TH FLOOR NEW YORK NY 10019 7316 US

NOMURA SECURITIES 0180 7507 7584 ATTN HERNAN SANCHEZ OR REORG MGR 309 WEST 49TH STREET WORLDWIDE PLAZA 10TH FLOOR NEW YORK NY 10019 US

NOMURA SECURITIES 7507 ATTN HERNAN SANCHEZ OR REORG MGR WORLDWIDE PLAZA 309 W 49TH ST 10TH FLOOR NEW YORK NY 10019 US

NORTHERN TRUST CO 2669 ATTN ROBERT VALENTIN OR REORG MGR 801 S CANAL STREET FLOOR C1N CHICAGO IL 60607 US

NORTHERN TRUST CO 2669 ATTN ANDREW LUSSEN OR REORG MGR 801 S CANAL STREET FLOOR C1N CHICAGO IL 60607 US

NSCC CONTROL ACCT 3 0825 ATTN WALLACE BOWLING OR REORG MGR 55 WATER STREET 22ND FLOOR NEW YORK NY 10041 US

NTHRN FFA 2778 ATTN PENNY PETERSON 50 S LASALLE STREET CHICAGO IL 60675 US

NTRS SAFEKEEPING 2684 ATTN SUE STIMAC OR REORG MGR 50 SOUTH LASALLE STREET LEVEL A CHICAGO IL 60675 US

NTRS UNITED NATION 2602 ATTN JOE SWANSON OR REORG MGR 801 S CANAL C IN CHICAGO IL 60607 US

NUVEEN INVESTMENTS LLC 0448 ATTN MICHAEL KARKULA OR REORG MGR

333 WEST WACKER DRIVE 32ND 

FLOOR CHICAGO IL 60606 US

OCTAGON CAPITAL CORP CDS 5073 ATTN CARLENE GARRISON OR REORG MGR 181 UNIVERSITY AVENUE SUITE 400 TORONTO ON M5H 3M7 US

ODLUM BROWN LIMITED CDS 5074 ATTN RON RAK OR REORG MGR 250 HOWE ST SUITE 1100 VANCOUVER BC V6C 3T4 US

OLD SECOND BANCORP INC DRS 7866 ATTN ROBIN HODGSON OR REORG MGR 37 S RIVER STREET AURORA IL 60506 US

OPPENHEIMER CO INC 0571 ATTN OSCAR MAZARIO OR REORG MGR 85 BROAD STREET 4TH FLOOR NEW YORK NY 10004 US

OPPENHEIMER CO INC 0571 ATTN COLIN SANDY OR REORG MGR 125 BROAD STREET 15TH FLOOR NEW YORK NY 10004 US

OPPENHEIMER CO INC 0571 0303 ATTN OSCAR NAZARIO OR REORG MGR 85 BROAD STREET 4TH FL NEW YORK NY 10004 US

OPTIONS CLEARING 0981 ATTN REORG Dept 125 S Franklin Street Suite 1200 Chicago IL 60606 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 9 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 13 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

OPTIONS CLEARING CORP OCC 0982 ATTN ANDREW PANARAS OR REORG MGR

ONE NORTH WACKER DRIVE SUITE 

500 CHICAGO IL 60606 US

OPTIONSXPRESS INC 0338 ATTN SCOTT JOHNSON OR REORG MGR 311 W MONROE STREET CHICAGO IL 60606 US

PENSCO TRUST COMPANY 5998 ATTN PROXY MGR 1560 BROADWAY SUITE 400 DENVER CO 80202 3308 US

PENSON FINANCIAL CDS 5063 ATTN ROBERT MCPHEARSON OR REORG MGR 330 BAY ST SUITE 711 TORONTO ON M5H 2S8 US

PEOPLE SEC 0220 ATTN PATRICIA CHONKO 850 MAIN STREET BRIDGEPORT CT 06604-0000 US

PERSHING LLC 0443 ATTN SILVY RODRIGUEZ OR REORG MGR SECURITIES CORPORATION

1 PERSHING PLAZA 7TH FLOOR 

REORG JERSEY CITY NJ 07399-0000 US

PERSHING LLC 0443 ATTN AL HERNANDEZ OR REORG MGR

SECURITIES CORPORATION 1 

PERSHING PLAZA 7TH FL REORG JERSEY CITY NJ 07399-0000 US

PERSHING LLC 0443 ATTN JOSEPH LAVARA OR REORG MGR 1 PERSHING PLAZA JERSEY CITY NJ 07399-0000 US

PERSHING LLC SL INT'L 5196 ATTN CAMILLE REARDON OR REORG MGR ONE PERSHING PLAZA 6TH FLOOR JERSEY CITY NJ 07399-0000 US

PHILLIP CAPITAL INC 8460 ATTN PROXY MGR 141 W Jackson Blvd Suite 1531A CHICAGO IL 60604 US

PI FINANCIAL CORP CDS 5075 ATTN ROB MCNEIL OR REORG MGR 666 BURRARD ST SUITE 1900 VANCOUVER BC V6C 2G3 US

PIPER JAFFRAY CO 0311 ATTN ANNAMARIA HERNANDEZ 800 NICOLLET MALL SUITE 800 MINNEAPOLIS MN 55402 7020 US

PNC BANK NA 2616 ATTN JANET CLEARY OR REORG MGR 8800 TINICUM BLVD MS F6 F266 02 2 PHILADELPHIA PA 19153 US

PNC BANK NA ETF ACCOUNT 2448 ATTN JANET CLEARY OR REORG MGR 8800 TINICUM BLVD PHILADELPHIA PA 19153 US

PNC BANK NA PITTSBURGH 2834 ATTN BARBARA SKWARCHA OR REORG MGR

ONE PNC PLAZA 9TH FL 249 5TH 

AVENUE PITTSBURGH PA 15222 7707 US

PNC BANK NA SAFEKEEPING 2094 ATTN DAVE SANDERS OR REORG MGR 8800 TINICUM BOULEVARD PHILADELPHIA PA 19153 US

PNC BANK NA STAR 2937 ATTN DAVE SANDERS OR REORG MGR 8800 TINICUM BOULEVARD PHILADELPHIA PA 19153 US

PNC EQUITY SECURITIES CORP 2372 ATTN ANTHONY PICCIRILLI REORG MGR FIFTH WOOD STREET PITTSBURGH PA 15219 US

PNC MAIN NATIONAL CITY 2316 ATTN DAVE SANDERS OR REORG MGR 8800 TINICUM BOULEVARD PHILADELPHIA PA 19153 US

PNC MARKET STREET FUNDING 2801 ATTN SANDY MUDD OR REORG MGR 249 FIFTH AVENUE P1 POPP 09 2 PITTSBURGH PA 15222 US

PRIMEVEST FINANCIAL SERVICES 0701 ATTN MARK SCHOUVILLER OR REORG MGR 400 1ST STREET SOUTH ST CLOUD MN 56301 US

PWMCO LLC 0467 ATTN TED HANS OR REORG MGR 311 S WACKER DRIVE FLOOR 60 CHICAGO IL 60606 US

QTRADE SECURITIES INC 5084 ATTN MARY KORAC OR PROXY MGR 505 BURRARD STREET SUITE 1920 VANCOUVER BC V7X 1M6 US

QTRADE SECURITIES INC CDS 5009 ATTN JOSEPH CHAU OR REORG MGR ONE BENTALL CENTRE 505 BURRARD ST SUITE 1920 VANCOUVER BC V7X 1M6 US

QUESTRADE INC 5084 ATTN MAURIZIO ARANI OR PROXY MGR 5650 YONGE STREET SUITE 1700 TORONTO ON M2M 4G3 US

RAYMOND JAMES ASSOCIATES INC 0725 ATTN ROBERTA GREEN OR REORG MGR

880 CARILION PARKWAY TOWER 2 

4TH FL ST PETERSBURG FL 33716 US

RAYMOND JAMES ASSOCIATES INC 5179 ATTN REORG MGR 880 Carillon Parkway ST PETERSBURG FL 33716 US

RAYMOND JAMES FI 0390 ATTN LINDA LACY OR REORG MGR 800 CARILLON PARKWAY SAINT PETERSBURG FL 33716 US

RAYMOND JAMES LTD CDS 5076 ATTN REORG MGR 2100 – 925 WEST GEORGIA STREET VANCOUVER BC V6C 3L2 US

RAYMOND JAMES RA 7568 ATTN FITCHEL DAWN OR REORG MGR 710 CARILLON PARKWAY SAINT PETERSBURG FL 33716 US

RBC CAP MARKETS RBCC 7408 ATTN STEVE SCHAFER OR REORG MGR 510 MARQUETTE AVE SOUTH MINNEAPOLIS MN 55402 US

RBC CAPITAL MARKETS 0235 ATTN STEVE SCHAFER OR REORG MGR 60 SOUTH 6TH STREET MINNEAPOLIS MN 55402 US

RBC DOMINION 4801 ATTN PETER DRUMM OR REORG MGR 200 BAY ST ROYAL BK PLAZA NORTH TOWER 6TH FLOOR TORONTO ON M5J 2W7 US

RBC DOMINION CDS 5002 ATTN KAREN OLIVERES OR REORG MGR 200 BAY STREET 6TH FLOOR ROYAL BANK PLAZA NORTH TOWER TORONTO ON M5J 2W7 US

RBC ROYAL TRUST 1 CDS 5044 ATTN ARLENE AGNEW OR REORG MGR 180 WELLINGTON STREET WEST TORONTO ON M5J0C2 US

RBC ROYAL TRUST CDS 4707 ATTN ARLENE AGNEW OR REORG MGR 180 WELLINGTON STREET WEST TORONTO ON M5J0C2 US

RBS EQUITY FINANCE 5263 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS FIXED INCOME 5231 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS SECURITIES INC 0248 ATTN JIM GLOVER OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS SECURITIES INC EQUITIES 0425 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS SECURITIES INC GCFP 7564 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS SECURITIES INC OCC CUST 0261 ATTN BRYAN BURNS OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS SECURITIES INC RBS PLC 7562 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

RBS SUB ACCOUNT FOR 7563 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 10 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 14 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

REGIONS BANK 0971 ATTN PEYTON DILIBERTO 1901 6TH AVENUE N BIRMINGHAM AL 35203 US

REGIONS BANK CORPORATE TRUST 1505 ATTN MICHAEL CHANDLER OR REORG MGR

250 RIVERCHASE PARKWAY EAST 5TH 

FL HOOVER AL 35244 US

REGIONS BANK WEST VALLEY 2329 ATTN MANSELL GARRETT OR REORG MGR 250 RIVERCHASE PARKWAY BIRMINGHAM AL 35209 US

RHSECURLLC 6769 ATTN DAWN PAGLIARO 500 COLONIAL CENTER PKWY #100 LAKE MARY FL 32746 US

RICHARDS MERRILL 8192 ATTN THOMAS MCDONALD OR REORG MGR ONE SKYWALK US BK BLDG 422 WEST RIVERSIDE AVE SPOKANE WA 99201 0367 US

RIDGE CLEARINGS 0543 ATTN Yasmine Casseus Broadridge Financial Sol Reorg Dept 2 Gateway Center 283 299 Market St Newark NJ 07102-0000 US

RJ DEALER STOCK LOAN 0594 ATTN DEE BYRD OR REORG MGR 880 CARILLON PARKWAY ST PETERSBURG FL 33716 US

ROBERT W BAIRD CO 0547 ATTN JAN SUDFELD OR REORG MGR 777 E WISCONSIN AVENUE 19TH FLOOR MILWAUKEE WI 53202 US

ROBERT W BAIRD CO 0547 ATTN TRACY TRENSCH OR REORG MGR 777 E WISCONSIN AVENUE MILWAUKEE WI 53202 US

ROOSEVELT CROSS INCORPORATED 6931 ATTN DENNIS STRIANO OR REORG MGR

ONE EXCHANGE PLAZA 55 

BROADWAY 22ND FL NEW YORK NY 10006 US

SAFRA SECURITIES LLC 8457 ATTN REORG DEPARTMENT 3050 AVENTURA BLVD AVENTURA FL 33180 US

SCOTIA ASIA CDS 4813 ATTN HEATHER ALICE OR REORG MGR 44 KING STREET WEST TORONTO ON M5H 1H1 US

SCOTIA BNS LDN CDS 4703 ATTN PAT TOILLON OR REORG MGR

40 KING STREET WEST LOWER 

CONCOURSE TORONTO ON M5H 1H1 US

SCOTIA CAPITAL INC 0096 ATTN JOE LAPORTA OR REORG MGR 250 ZESEY STREET NEW YORK NY 10281 US

SCOTIA CAPITAL INC CDS 5011 ATTN NORMITA RAMIREZ CORP ACT DEPT 40 KING STREET WEST TORONTO ON M5H 1H1 US

SCOTIA SCE LTD CD 4814 ATTN JOSEPH CHAU OR REORG MGR 40 KING STREET WEST SCOTIA PLAZA TORONTO ON M5H 1H1 US

SCOTIA TAXABLE ACCO 4816 ATTN LETTY ECHEVARRIA OR REORG MGR 23RD FL 40 KING ST W SCOTIA PLAZA TORONTO ON M5H 1H1 US

SCOTTRADE INC 0705 ATTN REORGANIZATION DEPARTMENT 500 MARYVILLE UNIVERSITY DR ST LOUIS MO 63141 US

SEI PRIVATE 2039 ATTN SHAWN MACCOY OR REORG MGR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 US

SEI PRIVATE 2039 ATTN ERIC GREENE OR REORG MGR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 US

SEI PRIVATE TRUST COMPANY 2663 ATTN MELVIN ALLISON OR REORG MGR ONE FREEDOM VALLEY DR OAKS PA 19456 US

SG AMERICAS FOREIGN LOAN 5241 ATTN CHARLES HUGHES OR REORG MGR 245 PARK AVE NEW YORK NY 10167 US

SG AMERICAS SECURITIES LLC 0286 ATTN CHARLES HUGHES OR REORG MGR 245 PARK AVE NEW YORK NY 10167 US

SOCIETE GENERALE NY BRANCH 1546 ATTN REORG Dept 245 Park Ave New York NY 10167 US

SOCIETE GENERALE PARIS 2680 ATTN JOHN RYAN OR REORG MGR 480 WASHINGTON BLVD JERSEY CITY NJ 07310-0000 US

SOUTHERN COMPANY DRS 7821 ATTN ERIC CRISP OR REORG MGR 30 IVAN ALLEN JR BOULEVARD NW 11TH FL BIN SC1100 ATLANTA GA 30308 US

SOUTHWEST SECURITIES INC 0279 ATTN DORIS KRAJC OR REORG MGR 1201 ELM STREET SUITE 3700 DALLAS TX 75270 US

SOUTHWEST SECURITIES INC 0279 ATTN CHRISTINA FINZEN OR RORG MGR 1201 ELM STREET SUITE 3700 DALLAS TX 75270 US

SOUTHWEST SECURITIES INC 0279 ATTN RHONDA JACKSON OR REORG MGR 1201 ELM STREET SUITE 3500 DALLAS TX 75270 US

SSB BANK PORTFOLIO 2436 ATTN JOE CALLAHAN OR REORG MGR 1776 HERITAGE DR GLOBAL CORP ACTION UNIT JAB5NW NO QUINCY MA 02171-0000 US

SSB BLACKROCK TRUST 2767 ATTN TRINA ESTREMERA OR REORG MGR 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

SSB CAPITAL MARKETS 2556 ATTN JOE CALLAHAN OR REORG MGR 1776 HERITAGE DR GLOBAL CORP ACTION UNIT JAB 5NW NO QUINCY MA 02171-0000 US

SSB FRANK 2399 ATTN DUSTIN TOPJIAN OR REORG MGR CORPORATE ACTIONS 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

SSB IBT BGI 2767 ATTN TOM BRODERICK OR REORG MGR 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

SSB T SEC FIN AS PRINCIPAL 2625 ATTN MYRIAM PIERVIL OR REORG MGR 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

SSBT CO CLIENT CUSTODY SERVICE 2678 ATTN MYRIAM PIERVIL OR REORG MGR 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

STANDARD REGISTRAR XFER CO 7858 ATTN RONALD HARRINGTON OR REORG MGR 12528 SOUTH 1840 EAST DRAPER UT 84020 US

STATE ST BNK TRST STATE ST TOT 2950 ATTN MIKE FEELEY ROB RAY PROXY MGR CORP ACTIONS JAB5E 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

STATE STREET 0997 ATTN MIKE FEELEY ROB RAY REORG MGR CORP ACTIONS JAB5E 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

STATE STREET 2375 ATTN MYRIAM PIERVIL OR REORG MGR 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

STATE STREET 2386 ATTN CHRISTINE SULLIVAN 1776 HERITAGE DR NORTH QUINCY MA 02171-0000 US

STATE STREET BANK TRUST 0997 2319 ATTN CHRISTINE SULLIVAN REORG MGR CORP ACTIONS JAB5E 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

STATE STREET BANK TRUST 0997 2319 ATTN MIKE FEELEY ROB RAY REORG MGR CORP ACTIONS JAB5E 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 11 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 15 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

STATE STREET DB 2546 ATTN THOMAS LANGELIER OR REORG MGR 1776 HERITAGE DRIVE NORTH QUINCY MA 02171-0000 US

STATE STREET GLOBAL MARKET LLC 0189 ATTN SN TAPPARO OR REORG MGR STATE STREET FINANCIAL CENTER ONE LINCOLN ST SFC5 BOSTON MA 02111 2900 US

STEPHENS INC 0419 ATTN LINDA THOMPSON OR REORG MGR 111 CENTER STREET 4TH FLOOR LITTLE ROCK AR 72201 US

STIFEL NICOLAUS CO 0793 ATTN CHRIS WIEGAND OR REORG MGR 501 N BROADWAY 7TH FLOOR STOCK RECORD DEPT ST LOUIS MO 63102 US

STIFEL NICOLAUS CO 0793 ATTN CRAIG MCINTOSH OR REORG MGR 501 N BROADWAY REORG DEPT ST LOUIS MO 63102 US

STOCKCROSS FINANCIAL 0445 ATTN ELEANOR PIMENTEL OR REORG MGR 77 SUMMER STREET 2ND FLOOR BOSTON MA 02210-0000 US

STOEVER GLASS CO INC 6759 ATTN EVA HRASTNIG MIERAS REORG MGR 30 WALL STREET NEW YORK NY 10005 US

StoneX Financial Inc 750 Attn Re Org Dept 2 Perimeter Park S Suite 100W BIRMINGHAM AL 35242 US

SUNTRUST BANK 2971 ATTN RICK TROWBRIDGE OR REORG MGR

BANKRUPTCY CLASS ACT 303 

PEACHTREE

ST SUIT 1400 MAIL CODE GA ATL 

3141 ATLANTA GA 30308 US

SUNTRUST BANK DEALER BANK 2262 ATTN VERONICA JOHNSON OR REORG MGR 303 PEACHTREE STREET 25TH FLOOR ATLANTA GA 30308 US

SUNTRUST BANK SILC 2289 ATTN KAIN DONNA OR REORG MGR 303 PEACHTREE ST NE 25TH FL MAIL CODE GA ATL 3907 ATLANTA GA 30308 US

SUNTRUST ROBINSON HUMPHREY INC 2095 ATTN MARIA SASINOSKI OR REORG MGR

525 WILLIAM PENN PLACE ROOM 

0300 PITTSBURGH PA 15259 US

SW SECURITIES STOCK LOAN 5128 ATTN CHRISTINA FINZEN OR REORG MGR 1201 ELM STREET SUITE 3700 DALLAS TX 75270 US

TD AMERITRADE CLEARING INC 0188 ATTN MANDI FOSTER OR REORG MGR 1005 NORTH AMERITRADE PLACE BELLEVUE NE 68005 US

TD AMERITRADE CLEARING INC 0188 ATTN GARY SWAIN OR REORG MGR 1005 NORTH AMERITRADE PLACE BELLEVUE NE 68005 US

TD AMERITRADE SECURITIES 5298 ATTN KEVIN STRINE OR REORG MGR 4211 S 102ND STREET OMAHA NE 68127 US

TD WATERHOUSE CDS 5036 ATTN REORG MANAGER 77 BLOOR STREET WEST 3RD FLOOR TORONTO ON M5S 1M2 US

TEXAS TREASURY SAFEKEEPING 2622 ATTN JANIE DOMINGUEZ OR REORG MGR 208 E 10TH ST ROOM 410 AUSTIN TX 78701 US

THE BANK NOVA SCOTIA WMF CDS 4838 ATTN ARELENE AGNEW OR REORG MGR 44 KING STREET WEST SCOTIA PLAZA TORONTO ON M5H 1H1 US

THE BANK NY MELLON 0901 2510 2209 ATTN EVENT CREATION DEPARTMENT 500 GRANT STREET ROOM 151 2700 PITTSBURGH PA 15258 US

THE BANK OF NEW YORK MELLON 0901 ATTN JENNIFER MAY OR REORG MGR 525 WILLIAM PENN PLACE SUITE 153 0400 PITTSBURGH PA 15259 US

THE BANK OF NOVA SCOTIA CDS 4812 ATTN NORMITA RAMIREZ OR REORG MGR 40 KING ST W 23RD FL SCOTIA PLAZA TORONTO ON M5H 1H1 US

THE CENTRAL DEPOSITORY 5700 ATTN WALTER SPRINGER OR REORG MGR 55 WATER STREET 26TH FLOOR NEW YORK NY 10041 US

THE FIRST NA DRS 7891 ATTN STACY BRANN OR REORG MGR 7 BRISTOL ROAD DAMARISCOTTA ME 04543-0000 US

THE FROST NATIONAL BANK 2053 ATTN JULIA WARD OR REORG MGR 100 WEST HOUSTON SAN ANTONIO TX 78205 US

THE ROYAL BANK OF SCOTLAND 2288 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

THE ROYAL BANK OF SCOTLAND 5251 ATTN JEFF BLACK OR REORG MGR 600 WASHINGTON BOULEVARD STAMFORD CT 06901-0000 US

THE TEL AVIV STOCK EXCHANGE 2015 ATTN NIRA MEIR OR REORG MGR 54 AHAD HA'AM ST TEL AVIV 61290 I65202 US

TORONTO DOMINION BANK THE 4805 ATTN JASON PEEL OR REORG MGR 77 KING STREET WEST 16TH FLOOR TORONTO ON M5K 1A2 US

TOTALS TRADEBOT SYSTEMS INC 0083 ATTN KIRK VIETTI OR REORG MGR

1251 NW BRIARCLIFF PRKWAY SUITE 

700 KANSAS CITY MO 64116 US

TRADESTATION 0271 ATTN RICK GORDON OR REORG MGR CORPORATE ACTIONS DEPARTMENT 8050 SW 10TH ST SUITE 2000 PLANTATION FL 33324 US

TRADITION ASIEL SECURITIES 370 ATTN EMIL SOLDATI OR REORG MGR 75 PARK PLACE 4TH FLOOR NEW YORK NY 10007 US

TRUSTMARK NATIONAL BANK 2852 ATTN JACK BALL OR REORG MGR 248 E CAPITOL ST ROOM 580 JACKSON MS 39201 US

UBS AG 0979 ATTN CARLOS LEDE OR REORG MGR 677 WASHINGTON BLVD STAMFORD CT 06901-0000 US

UBS AG IPA ACCOUNT 1540 ATTN ANTHONY CONTE OR REORG MGR 677 WASHINGTON BLVD STAMFORD CT 06901-0000 US

UBS AG STAMFORD UBS AG LONDON 2507 ATTN JOSEPH POZOLANTE OR REORG MGR 315 DEADERICK STREET NASHVILLE TN 37238 US

UBS FINANCIAL GOVT SECURITIES 5170 ATTN JONATHAN BANKS OR REORG MGR 1200 HARBOR BLVD WEEHAWKEN NJ 07086-0000 US

UBS FINANCIAL SERVICES LLC 0221 ATTN NEHA SOOD OR REORG MGR 315 DEADERICK STREET 5TH FLOOR NASHVILLE TN 37238 US

UBS SECURITIES CANADA INC 5017 ATTN JILL MILLS OR REORG MGR 161 BAY ST SUITE 4100 TORONTO ON M5J 2S1 US

UBS SECURITIES LLC 0642 ATTN GREGORY CONTALDI OR REORG MGR 315 DEADERICK STREET NASHVILLE TN 37238 US

UBS SECURITIES SEC LENDING 5284 ATTN JOSEPH SOMMA OR REORG MGR 677 WASHINGTON BLVD STAMFORD CT 06902 0000 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 12 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 16 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

UMB BANK NATIONAL ASSOCIATION 2450 ATTN KAREN BOUCHARD OR REORG MGR 928 GRAND BLVD MAILSTOP 1010404 KANSAS CITY MO 64106 US

UNION BANK CORP TRUST IPA 1500 ATTN REORG Dept 6801 South 27th Street 3rd Floor Lincoln NE 68512 US

UNION BANK GLOBAL CUSTODY 2076 ATTN HENRY HU OR REORG MGR 350 CALIFORNIA ST 8TH FLOOR SAN FRANCISCO CA 94104 US

UNION BANK OF CALIFORNIA NA 2145 ATTN MARIA BRAGGE OR REORG MGR 350 CALIFORNIA STREET 8TH FLOOR SAN FRANCISCO CA 94104 US

UNION BANK TRUST COMPANY 2067 ATTN TRUST OPS SHERI ZIMMERMAN 6811 S 27TH STREET LINCOLN NE 68512 US

UNION BANK TRUST COMPANY 2067 ATTN REORG MGR 6811 S 27TH STREET LINCOLN NE 68512 US

UNION BANK UNIONBANC 2632 ATTN IRENE BRIONES OR REORG MGR 445 SOUTH FIGUEROA ST LOS ANGELES CA 90071 US

US BANCORP INVESTMENTS INC 0280 ATTN KEVIN BROWN OR REORG MGR 60 LIVINGSTON AVENUE ST PAUL MN 55107 US

US BANK 2803 ATTN PAUL KUXHAUS REORG MGR 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212 US

US BANK NA 2803 ATTN PAUL KUXHAUS OR REORG MGR

1555 N RIVER CENTER DRIVE SUITE 

302 MILWAUKEE WI 53212 US

US BANK THIRD PARTY LENDING 2837 ATTN SCOTT OLSON OR REORG MGR

1555 N RIVERCENTER DRIVE SUITE 

302 MILWAUKEE WI 53212 US

USAA INVESTMENT MGMT 0367 ATTN JOYCE WILSON OR REORG MGR 9800 FREDRICKBURG ROAD SAN ANTONIO TX 78211 US

USB ETF 2580 ATTN STEPHANIE KAPTA 1555 N RIVER CENTER DR SUITE 302 MILWAUKEE WI 53226 US

VANGUARD 0062 ATTN CORPORATE ACTION 100 VANGUARD BLVD MALVERN PA 19355 US

VANGUARD 0062 ATTN BRANDON R MITCHAM OR CORPORATE ACTION 14321 N NORTHSIGHT BLVD SCOTTSDALE AZ 85260 US

VISION FINANCIAL MARKETS LLC 0595 ATTN ANA MARTINEZ MARVIN MONZON 120 LONG RIDGE ROAD 3 NORTH STAMFORD CT 06902-0000 US

WACHTEL CO INC 0709 ATTN CHARLES ZIER OR REORG MGR 1701 K Street NW Suite 615 WASHINGTON DC 20006 US

WD LATIMER CO LTD CDS 5078 ATTN MIKE ADAMS OR REORG MGR 100 WELLINGTON ST WEST SUITE 600 TORONTO ON M5K 1G8 US

WEDBUSH MORGAN SECURITIES 0103 ATTN ALAN P FERREIRA OR REORG MGR 1000 WILSHIRE BLVD LOS ANGELES CA 90017 US

WEDBUSH STOCK LOAN 5166 8199 ATTN ALAN FERREIRA OR REORG MGR 1000 WILSHIRE BLVD SUITE 850 LOS ANGELES CA 90017 US

WELLS BANK 2027 ATTN LORA DAHLE OR REORG MGR 733 MARQUETTE AVE MAC N9306 057 5TH FLOOR MINNEAPOLIS MN 55479 US

WELLS FAGO SAFEKEEPING SERVICE 2112 ATTN KENT AMSBAUGH OR REORG MGR 733 MARQUETTE AVENUE SOUTH MINNEAPOLIS MN 55479 US

WELLS FARGO ADVISORS LLC 7360 ATTN STEVE TURNER OR REORG MGR CORP ACTIONS NC0675 1525 WEST WT HARRIS BLVD 1B1 CHARLOTTE NC 28262 US

WELLS FARGO BANK NA SIG 2072 ATTN SCOTT NELLIS OR REORG MGR 1525 W T HARRIS BLVD 1ST FLOOR CHARLOTTE NC 28262 8522 US

WELLS FARGO BANK NA WACHOVIA 0929 ATTN VICTORIA STEWART OR REORG MGR 1525 W WT HARRIS BLVD CHARLOTTE NC 28262 8522 US

WELLS FARGO INVESTMENT LLC 0733 MARGARET KLASEN OR REORG DEPT 625 MARQUETTE AVENUE 13TH FLOOR MINNEAPOLIS MN 55402 2308 US

WELLS FARGO ISSUING PAY AGT 1538 ATTN JOHN KEMPER OR REORG MGR

733 MARQUETTE AVENUE SOUTH 

TRUST OPERATIONS CENTER MINNEAPOLIS MN 55479 US

WELLS FARGO SECURITIES 2480 ATTN STEVE TURNER OR REORG MGR CORP ACTIONS NC0675 1525 WEST WT HARRIS BLVD 1B1 CHARLOTTE NC 28262 US

WELLS FARGO SECURITIES LLC 0250 ATTN SCOTT NELLIS OR REORG MGR CORP ACTIONS MAC D109 010 1525 WEST WT HARRRIS BLVD 1B1 CHARLOTTE NC 28262 US

WELLS FARGO SECURITIES LLC 0250 ATTN STEVE TURNER OR REORG MGR CORP ACTIONS NC0675 1525 WEST WT HARRIS BLVD 1B1 CHARLOTTE NC 28262 US

WELLS FARGO SECURITIES LLC 0250 ATTN ROBERT MATERA OR REORG MGR CORP ACTIONS NC0675 1525 WEST WT HARRIS BLVD 1B1 CHARLOTTE NC 28262 US

WELLS FARGO STOCK LOAN 7286 ATTN CASSANDRA INGRAM OR REORG MGR

625 MARQUETTE AVE SOUTH 

MAC9311 12B MINNEAPOLIS MN 55402 US

WELLS FARGO WELLS FA 5199 ATTN STEVE TURNER OR REORG MGR CORP ACTIONS NC0675 1525 WEST WT HARRIS BLVD 1B1 CHARLOTTE NC 28262 US

WESBANCO BANK INC 2271 ATTN SUSAN KOVAL ONE BANK PLAZQ WHEELING WV 26003 US

WILLIAM BLAIR COMPANY 0771 ATTN SARAH AHRENS OR REORG MGR 222 WEST ADAMS STREET CHICAGO IL 60606 US

WILMINGTON TRUST COMPANY 2215 ATTN BRIAN BARONE OR REORG MGR 1100 NORTH MARKET STREET RODNEY SQUARE NORTH WILMINGTON DE 19890 2210 US

WILMINGTON TRUST COMPANY IPA 1507 ATTN BARBARA CAHOONE OR REORG MGR

RODNEY SQUARE N 1100 N MARKET 

ST WILMINGTON DE 19890 0001 US

WILSON DAVIS CO INC 0283 ATTN BILL WALKER OR REORG MGR 236 S MAIN ST SALT LAKE CITY UT 84101 US

WILSON DAVIS CO INC 0283 ATTN JANET TAYLOR OR REORG MGR 236 S MAIN ST SALT LAKE CITY UT 84101 US

WULFF HANSEN CO 5226 ATTN FRANK VILLEGAS OR REORG MGR 201 SANSOME STREET SAN FRANCISCO CA 94014 US

ZIONS CT ISS PAY A C 1586 ATTN ANITTA SIMPSON OR REORG MGR 10 EAST SOUTH TEMPLE 3RD FLOOR SALT LAKE CITY UT 84111 US

ZIONS DIRECT INC 0065 ATTN AARON LINDHARDT OR REORG MGR 1 SOUTH MAIN STREET SUITE 1340 SALT LAKE CITY UT 84111 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 13 of 14

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Document Page 17 of 58
Exhibit A

 Nominee Service List

Served via Overnight Mail or Next Day Business Service

NAME ADDRESS 1 ADDRESS 2 ADDRESS 3 CITY STATE POSTAL CODE Country

ZIONS FIRST NATIONAL BANK 2104 ATTN JOHN RIZZO OR REORG MGR

ONE SOUTH MAIN STREET SUITE 

1340 SALT LAKE CITY UT 84111 US

ZIV INVESTMENT CO 8082 ATTN JAMES GRIEGEL OR REORG MGR 141 W JACKSON BLVD CHICAGO IL 60604 US

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 14 of 14

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 18 of 58
Exhibit B 

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 19 of 58
SRF 59273

55 East 52nd Street

17th Floor

New York, NY 10055

primeclerk.com

MEMORANDUM

TO: All Beneficial Owners

DATE: 1/20/2022

RE: The Commonwealth of Puerto Rico, et al.

CaseNo. 17-BK 3283 (LTS)

Record Date: 10/18/2021

Documents:

• 59273-01 - Puerto Rico - Notice of Retail Investor Certification (Vintage PBA Bond Claims)

• 59273-02 - Puerto Rico - Notice of Retail Investor Certification (2011 PBA Bond Claims)

• 59273-03 - Puerto Rico - Notice of Retail Investor Certification (2012 PBA Bond Claims)

• 59273-04 - Puerto Rico - Notice of Retail Investor Certification (Vintage CW Bond Claims)

• 59273-05 - Puerto Rico - Notice of Retail Investor Certification (2011 CW Bond Claims)

• 59273-06 - Puerto Rico - Notice of Retail Investor Certification (2011 CW Series D/E/PIB Bond 

Claims)

• 59273-07 - Puerto Rico - Notice of Retail Investor Certification (2012 CW Bond Claims)

• 59273-08 - Puerto Rico - Notice of Retail Investor Certification (2014 CW Bond Claims)

If you would like additional copies of the enclosed materials or have any other questions, please

contact the Prime Clerk LLC Solicitation Teamat puertoricoballots@PrimeClerk.com.

Please review Exhibit A for a breakdown of each root CUSIP.

CUSIP

Job 

Number

745145 E28172

74514L E28174

745235 E28175

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 20 of 58
Exhibit A

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 21 of 58
7451455A6 74514LB71 74514LHL4 74514LMN4 74514LVJ3 74514LZL4 745235H46 745235P54 745235ZP9

7451455B4 74514LB89 74514LHM2 74514LMZ7 74514LVK0 74514LZM2 745235K75 745235P62 745235ZQ7

745145AU6 74514LB97 74514LHN0 74514LNA1 74514LVL8 74514LZN0 745235K83 745235P70 745235ZR5

745145AV4 74514LBM8 74514LHP5 74514LNC7 74514LVM6 74514LZP5 745235K91 745235Q20 745235ZS3

745145AW2 74514LC21 74514LJQ1 74514LPT8 74514LVN4 74514LZQ3 745235L25 745235R37 745235ZT1

745145AX0 74514LC39 74514LJV0 74514LPX9 74514LVV6 74514LZV2 745235L33 745235R52 745235ZX2

745145HN5 74514LC47 74514LJW8 74514LQA8 74514LVW4 74514LZW0 745235L41 745235R60 745235ZY0

745145HP0 74514LC54 74514LJX6 74514LQB6 74514LVX2 74514LZX8 745235L58 745235R78 745235ZZ7

745145HQ8 74514LC62 74514LJY4 74514LQE0 74514LVY0 74514LZY6 745235L66 745235R86

745145XZ0 74514LC70 74514LJZ1 74514LQF7 74514LVZ7 74514LZZ3 745235L74 745235R94

745145YN6 74514LC88 74514LKA4 74514LQK6 74514LWA1 745235A27 745235L90 745235RW3

745145YP1 74514LC96 74514LKH9 74514LSQ1 74514LWK9 745235A35 745235M24 745235RX1

745145YS5 74514LCX3 74514LKJ5 74514LSR9 74514LWM5 745235A43 745235M32 745235RY9

745145YV8 74514LCY1 74514LLV7 74514LSS7 74514LWQ6 745235A50 745235M40 745235S28

745145YW6 74514LCZ8 74514LLW5 74514LST5 74514LWR4 745235A68 745235M57 745235S36

745145YX4 74514LD38 74514LLX3 74514LSU2 74514LWS2 745235A76 745235M65 745235S44

745145YZ9 74514LDA2 74514LLY1 74514LSV0 74514LWX1 745235A84 745235M73 745235S69

74514LA23 74514LDB0 74514LLZ8 74514LTK3 74514LWZ6 745235B26 745235M81 745235S93

74514LA31 74514LDC8 74514LMA2 74514LTM9 74514LXA0 745235B34 745235M99 745235SB8

74514LA49 74514LDD6 74514LMB0 74514LTN7 74514LXB8 745235B42 745235N23 745235SC6

74514LA56 74514LDE4 74514LMC8 74514LTP2 74514LXH5 745235D24 745235N31 745235SW2

74514LA64 74514LE86 74514LMD6 74514LTQ0 74514LYW1 745235D57 745235N49 745235SX0

74514LA72 74514LHB6 74514LME4 74514LTR8 74514LZA8 745235D65 745235N56 745235VR9

74514LA80 74514LHC4 74514LMF1 74514LTS6 74514LZB6 745235G62 745235N64 745235VX6

74514LA98 74514LHD2 74514LMG9 74514LTT4 74514LZC4 745235G70 745235N72 745235VY4

74514LB22 74514LHE0 74514LMH7 74514LTU1 74514LZF7 745235G88 745235N80 745235VZ1

74514LB30 74514LHF7 74514LMJ3 74514LTV9 74514LZG5 745235G96 745235N98 745235ZK0

74514LB48 74514LHG5 74514LMK0 74514LTW7 74514LZH3 745235GJ4 745235P21 745235ZL8

74514LB55 74514LHH3 74514LML8 74514LVG9 74514LZJ9 745235H20 745235P39 745235ZM6

74514LB63 74514LHK6 74514LMM6 74514LVH7 74514LZK6 745235H38 745235P47 745235ZN4

CUSIPS

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 22 of 58
IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds Vintage PBA Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-01 1

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Document Page 23 of 58
certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of Vintage PBA Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the Vintage PBA Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds Vintage PBA Bond Claims in the aggregate outstanding 

principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed 

account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-01 2

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Document Page 24 of 58
In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a Vintage PBA 

Bond Claims, or (b) in addition to the certification, one or more additional certifications 

(“Additional Certifications”) on account of other bonds have been submitted by one or 

more Nominees, and you have provided (or coordinated with your Nominee to provide) 

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification 

Deadline; 

2. you have submitted a Certification for all of your Claims on account of the bonds to which 

this Notice pertains and acknowledge that no split Certifications will be permitted; 

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an 

authorized signatory of such holder, and has full power and authority to make the 

Certification; and 

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure 

Statement, and Disclosure Statement Order. 

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-01 3

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Document Page 25 of 58
If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of Vintage PBA Bond Claims that holds multiple CUSIPs of Vintage PBA 

Bond Claims and submits more than one certification through one or more Nominees, MUST 

submit (or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction 

confirmation numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The 

Balloting Agent has made available a template electronic spreadsheet (the “Numerosity 

Spreadsheet”) on its website at: https://cases.primeclerk.com/puertorico (click on the link titled 

“Numerosity Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com. 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-01 4

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Document Page 26 of 58
IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds 2011 PBA Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-02 1

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Document Page 27 of 58
certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of 2011 PBA Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the 2011 PBA Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds 2011 PBA Bond Claims in the aggregate outstanding principal 

amount of One Million Dollars ($1,000,000.00) or less in one or more brokerage 

account(s), trust account(s), custodial account(s), or in separately managed account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a 2011 PBA Bond

Claims, or (b) in addition to the certification, one or more additional certifications

(“Additional Certifications”) on account of other bonds have been submitted by one or

more Nominees, and you have provided (or coordinated with your Nominee to provide)

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification

Deadline;

2. you have submitted a Certification for all of your Claims on account of the bonds to which

this Notice pertains and acknowledge that no split Certifications will be permitted;

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an

authorized signatory of such holder, and has full power and authority to make the

Certification; and

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure

Statement, and Disclosure Statement Order.

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-02 3

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of 2011 PBA Bond Claims that holds multiple CUSIPs of 2011 PBA Bond 

Claims and submits more than one certification through one or more Nominees, MUST submit 

(or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction confirmation 

numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The Balloting Agent 

has made available a template electronic spreadsheet (the “Numerosity Spreadsheet”) on its 

website at: https://cases.primeclerk.com/puertorico (click on the link titled “Numerosity 

Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-02 4

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IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds 2012 PBA Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-03 1

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certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of 2012 PBA Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the 2012 PBA Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds 2012 PBA Bond Claims in the aggregate outstanding principal 

amount of One Million Dollars ($1,000,000.00) or less in one or more brokerage 

account(s), trust account(s), custodial account(s), or in separately managed account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-03 2

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a 2012 PBA Bond 

Claims, or (b) in addition to the certification, one or more additional certifications 

(“Additional Certifications”) on account of other bonds have been submitted by one or 

more Nominees, and you have provided (or coordinated with your Nominee to provide) 

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification 

Deadline; 

2. you have submitted a Certification for all of your Claims on account of the bonds to which 

this Notice pertains and acknowledge that no split Certifications will be permitted; 

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an 

authorized signatory of such holder, and has full power and authority to make the 

Certification; and 

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure 

Statement, and Disclosure Statement Order. 

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-03 3

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of 2012 PBA Bond Claims that holds multiple CUSIPs of 2012 PBA Bond 

Claims and submits more than one certification through one or more Nominees, MUST submit 

(or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction confirmation 

numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The Balloting Agent 

has made available a template electronic spreadsheet (the “Numerosity Spreadsheet”) on its 

website at: https://cases.primeclerk.com/puertorico (click on the link titled “Numerosity 

Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-03 4

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IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds Vintage CW Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-04 1

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Document Page 35 of 58
certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of Vintage CW Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the Vintage CW Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds Vintage CW Bond Claims in the aggregate outstanding 

principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed 

account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-04 2

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a Vintage CW

Bond Claims, or (b) in addition to the certification, one or more additional certifications

(“Additional Certifications”) on account of other bonds have been submitted by one or

more Nominees, and you have provided (or coordinated with your Nominee to provide)

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification

Deadline;

2. you have submitted a Certification for all of your Claims on account of the bonds to which

this Notice pertains and acknowledge that no split Certifications will be permitted;

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an

authorized signatory of such holder, and has full power and authority to make the

Certification; and

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure

Statement, and Disclosure Statement Order.

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-04 3

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of Vintage CW Bond Claims that holds multiple CUSIPs of Vintage CW 

Bond Claims and submits more than one certification through one or more Nominees, MUST 

submit (or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction 

confirmation numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The 

Balloting Agent has made available a template electronic spreadsheet (the “Numerosity 

Spreadsheet”) on its website at: https://cases.primeclerk.com/puertorico (click on the link titled 

“Numerosity Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-04 4

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Document Page 38 of 58
IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds 2011 CW Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-05 1

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Document Page 39 of 58
certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of 2011 CW Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the 2011 CW Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds 2011 CW Bond Claims in the aggregate outstanding principal 

amount of One Million Dollars ($1,000,000.00) or less in one or more brokerage 

account(s), trust account(s), custodial account(s), or in separately managed account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-05 2

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a 2011 CW Bond 

Claims, or (b) in addition to the certification, one or more additional certifications 

(“Additional Certifications”) on account of other bonds have been submitted by one or 

more Nominees, and you have provided (or coordinated with your Nominee to provide) 

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification 

Deadline; 

2. you have submitted a Certification for all of your Claims on account of the bonds to which 

this Notice pertains and acknowledge that no split Certifications will be permitted; 

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an 

authorized signatory of such holder, and has full power and authority to make the 

Certification; and 

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure 

Statement, and Disclosure Statement Order. 

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-05 3

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of 2011 CW Bond Claims that holds multiple CUSIPs of 2011 CW Bond 

Claims and submits more than one certification through one or more Nominees, MUST submit 

(or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction confirmation 

numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The Balloting Agent 

has made available a template electronic spreadsheet (the “Numerosity Spreadsheet”) on its 

website at: https://cases.primeclerk.com/puertorico (click on the link titled “Numerosity 

Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-05 4

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Document Page 42 of 58
IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds 2011 CW Series D/E/PIB Bond Claims in 

the aggregate outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one 

or more brokerage account(s), trust account(s), custodial account(s), or in separately managed 

account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-06 1

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distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of 2011 CW Series D/E/PIB Bond Claims eligible 

to receive this Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard 

Time) on October 18, 2021, which coincides with the conclusion of the original voting and 

distribution election events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the 2011 CW Series 

D/E/PIB Bond Claims after the Certification Record Date, but submit a valid Certification into 

ATOP pursuant to these instructions, only you will receive the Retail Support Fee based on the 

Certification. Any other entitlement or distribution pursuant to the terms of the Plan will be made 

to the holder of such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds 2011 CW Series D/E/PIB Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or 

more brokerage account(s), trust account(s), custodial account(s), or in separately 

managed account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-06 2

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a 2011 CW Series

D/E/PIB Bond Claims, or (b) in addition to the certification, one or more additional

certifications (“Additional Certifications”) on account of other bonds have been

submitted by one or more Nominees, and you have provided (or coordinated with your

Nominee to provide) the Numerosity Spreadsheet (as defined below) to the Balloting Agent

by the Certification Deadline;

2. you have submitted a Certification for all of your Claims on account of the bonds to which

this Notice pertains and acknowledge that no split Certifications will be permitted;

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an

authorized signatory of such holder, and has full power and authority to make the

Certification; and

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure

Statement, and Disclosure Statement Order.

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-06 3

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of 2011 CW Series D/E/PIB Bond Claims that holds multiple CUSIPs of 

2011 CW Series D/E/PIB Bond Claims and submits more than one certification through one or 

more Nominees, MUST submit (or coordinate with your Nominee(s) to submit) a list of all such 

ATOP instruction confirmation numbers (also referred to as ATOP voluntary offer instructions or 

“VOIs”). The Balloting Agent has made available a template electronic spreadsheet (the 

“Numerosity Spreadsheet”) on its website at: https://cases.primeclerk.com/puertorico (click on 

the link titled “Numerosity Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-06 4

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IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds 2012 CW Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

59273-07 1

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certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of 2012 CW Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the 2012 CW Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds 2012 CW Bond Claims in the aggregate outstanding principal 

amount of One Million Dollars ($1,000,000.00) or less in one or more brokerage 

account(s), trust account(s), custodial account(s), or in separately managed account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

59273-07 2

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a 2012 CW Bond 

Claims, or (b) in addition to the certification, one or more additional certifications 

(“Additional Certifications”) on account of other bonds have been submitted by one or 

more Nominees, and you have provided (or coordinated with your Nominee to provide) 

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification 

Deadline; 

2. you have submitted a Certification for all of your Claims on account of the bonds to which 

this Notice pertains and acknowledge that no split Certifications will be permitted; 

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an 

authorized signatory of such holder, and has full power and authority to make the 

Certification; and 

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure 

Statement, and Disclosure Statement Order. 

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of 2012 CW Bond Claims that holds multiple CUSIPs of 2012 CW Bond 

Claims and submits more than one certification through one or more Nominees, MUST submit 

(or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction confirmation 

numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The Balloting Agent 

has made available a template electronic spreadsheet (the “Numerosity Spreadsheet”) on its 

website at: https://cases.primeclerk.com/puertorico (click on the link titled “Numerosity 

Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

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IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF PUERTO RICO 

In re: 

THE FINANCIAL OVERSIGHT AND 

MANAGEMENT BOARD FOR PUERTO RICO, 

as representative of 

THE COMMONWEALTH OF PUERTO RICO, THE 

EMPLOYEES RETIREMENT SYSTEM OF THE 

GOVERNMENT OF THE COMMONWEALTH OF 

PUERTO RICO, AND THE PUERTO RICO PUBLIC 

BUILDINGS AUTHORITY, 

Debtors.1

PROMESA 

Title III 

No. 17 BK 3283-LTS 

(Jointly Administered) 

NOTICE OF RETAIL INVESTOR CERTIFICATION 

On January 18, 2022, the United States District Court for the District of Puerto Rico (the 

“Court”) entered an order confirming the Modified Eight Amended Title III Plan of Adjustment of 

the Commonwealth of Puerto Rico, et al., dated January 14, 2022 (as amended, supplemented, or 

modified, the “Plan”).2 The Plan provides for certain distributions to be made to “Retail Investors.” 

A “Retail Investor” is an individual who holds 2014 CW Bond Claims in the aggregate 

outstanding principal amount of One Million Dollars ($1,000,000.00) or less in one or more 

brokerage account(s), trust account(s), custodial account(s), or in separately managed account(s). 

If you are a “Retail Investor” and did not submit a vote to accept or reject the Plan on or 

before 5:00 p.m. (Atlantic Standard Time) on October 18, 2021 (or submitted such vote, which 

you timely revoked), you must identify yourself to be eligible to receive the appropriate 

distributions as a “Retail Investor” pursuant to the Plan. Instructions to identify yourself and 

1

 The Debtors in these Title III Cases, along with each Debtor’s respective Title III case number and the last four 

(4) digits of each Debtor’s federal tax identification number, as applicable, are the (i) Commonwealth of Puerto

Rico (Bankruptcy Case No. 17-BK-3283- LTS) (Last Four Digits of Federal Tax ID: 3481); (ii) Puerto Rico Sales

Tax Financing Corporation (“COFINA”) (Bankruptcy Case No. 17-BK-3284-LTS) (Last Four Digits of Federal

Tax ID: 8474); (iii) Puerto Rico Highways and Transportation Authority (“HTA”) (Bankruptcy Case No. 17-BK3567-LTS) (Last Four Digits of Federal Tax ID: 3808); (iv) Employees Retirement System of the Government of

the Commonwealth of Puerto Rico (“ERS”) (Bankruptcy Case No. 17-BK-3566-LTS) (Last Four Digits of Federal

Tax ID: 9686); (v) Puerto Rico Electric Power Authority (“PREPA”) (Bankruptcy Case No. 17- BK-4780-LTS)

(Last Four Digits of Federal Tax ID: 3747); and (vi) Puerto Rico Public Buildings Authority (“PBA”) (Bankruptcy

Case No. 19-BK-5523-LTS) (Last Four Digits of Federal Tax ID: 3801) (Title III case numbers are listed as

Bankruptcy Case numbers due to software limitations).

2

 Unless otherwise defined in this Notice, capitalized terms used herein shall have the meanings given to them in 

the Plan. 

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certify (the “Certification”) that you meet the requirements to be a “Retail Investor” are provided 

below. 

For the avoidance of doubt, if you submitted a valid vote into ATOP on or before October 

18, 2021, and your bonds were subsequently released from ATOP after October 18, 2021 in 

accordance with the Disclosure Statement Order, you are not eligible to submit a Certification. 

The deadline for your broker or nominee to submit your certification as a Retail Investor 

is February 17, 2022 at 6:00 p.m. (Atlantic Standard Time) (the “Certification Deadline”).3

Note that your broker or nominee may set an earlier deadline to provide it sufficient time to 

submit your certification before the Certification Deadline. 

The record date to determine holders of 2014 CW Bond Claims eligible to receive this 

Certification Notice and make the Certification is 5:00 p.m. (Atlantic Standard Time) on October 

18, 2021, which coincides with the conclusion of the original voting and distribution election 

events for the Plan. 

For the avoidance of doubt, if you traded the bonds associated with the 2014 CW Bond 

Claims after the Certification Record Date, but submit a valid Certification into ATOP pursuant 

to these instructions, only you will receive the Retail Support Fee based on the Certification. Any 

other entitlement or distribution pursuant to the terms of the Plan will be made to the holder of 

such bonds at the time of distribution. 

How to Submit a Valid Certification 

If you wish to certify that, as of 5:00 p.m. (Atlantic Standard Time) on October 18, 2021, you 

were: 

an individual who holds 2014 CW Bond Claims in the aggregate outstanding principal 

amount of One Million Dollars ($1,000,000.00) or less in one or more brokerage 

account(s), trust account(s), custodial account(s), or in separately managed account(s) 

you must instruct your broker or nominee (each, a “Nominee”) to electronically deliver all of your 

aforementioned bonds via the Automated Tender Offer Program (“ATOP”) at The Depository 

Trust Company (“DTC”) in accordance with your desire to instruct on the above certification. 

If you and/or your Nominee do not electronically deliver your bonds via ATOP (i.e., take no 

action), you will be deemed not to be a Retail Investor. 

* * * * * 

3

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

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In addition, by delivering your bonds via ATOP, you are certifying that: 

1. either (a) your certification is the only certification by you on account of a 2014 CW Bond 

Claims, or (b) in addition to the certification, one or more additional certifications 

(“Additional Certifications”) on account of other bonds have been submitted by one or 

more Nominees, and you have provided (or coordinated with your Nominee to provide) 

the Numerosity Spreadsheet (as defined below) to the Balloting Agent by the Certification 

Deadline; 

2. you have submitted a Certification for all of your Claims on account of the bonds to which 

this Notice pertains and acknowledge that no split Certifications will be permitted; 

3. you are the holder of the Claims on account of bonds to which this Notice pertains or is an 

authorized signatory of such holder, and has full power and authority to make the 

Certification; and 

4. your Certification is subject to all the terms and conditions set forth in the Plan, Disclosure 

Statement, and Disclosure Statement Order. 

No paperwork is required to be delivered to Prime Clerk LLC to effectuate the Certification (except 

in the limited circumstance noted below in the section titled “Numerosity Information Request – 

Applicable Only for Beneficial Holders Submitting More Than One Instruction Through ATOP”). 

The sole means of effectuating this Certification is to (i) validly tender your bonds into the proper 

ATOP envelope at DTC, and (ii) make the required certification set forth above, each as described 

on DTC’s ATOP system. 

THE CERTIFICATION DEADLINE IS 

 6:00 P.M. (ATLANTIC STANDARD TIME) ON FEBRUARY 17, 2022.4

This date and time is referred to as the “Certification Deadline.” 

PLEASE TAKE NOTICE THAT IF YOU TENDER YOUR BONDS THROUGH ATOP, 

YOU WILL BE RESTRICTED FROM TRANSFERRING YOUR BONDS THROUGH 

THE EFFECTIVE DATE. 

YOU MAY REVOKE YOUR CERTIFICATION AND WITHDRAW ANY TENDERED 

BONDS AT ANY TIME BEFORE THE CERTIFICATION DEADLINE. 

* * * * * 

How to Revoke a Valid Certification 

You may revoke your Certification and withdraw your bonds tendered through DTC’s ATOP at 

any time on or before the Certification Deadline. 

4

 6:00 PM (Atlantic Standard Time) is equivalent to 5:00 PM (Eastern Standard Time). 

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If you wish to revoke your Certification, you must instruct your Nominee to revoke your 

Certification and withdraw your bonds via ATOP at DTC (which withdrawal will be confirmed by 

Prime Clerk LLC once notified by DTC of the withdrawal request). No paperwork is required to 

be delivered to Prime Clerk LLC to effectuate the revocation. 

If you revoke your Certification any time before the Certification Deadline, you may make a 

Certification again at any time before the Certification Deadline, in accordance with the 

instructions to submit a valid Certification above. 

* * * * * 

Numerosity Information Submission 

(Applicable Only for Beneficial Holders Submitting More than One Certification Through 

ATOP) 

Any beneficial holder of 2014 CW Bond Claims that holds multiple CUSIPs of 2014 CW Bond 

Claims and submits more than one certification through one or more Nominees, MUST submit 

(or coordinate with your Nominee(s) to submit) a list of all such ATOP instruction confirmation 

numbers (also referred to as ATOP voluntary offer instructions or “VOIs”). The Balloting Agent 

has made available a template electronic spreadsheet (the “Numerosity Spreadsheet”) on its 

website at: https://cases.primeclerk.com/puertorico (click on the link titled “Numerosity 

Spreadsheet”). 

Please return (or coordinate with your Nominee to return) the Numerosity Spreadsheet to the 

Balloting Agent in excel format via email to puertoricoinfo@primeclerk.com. If you anticipate 

any difficulty in submitting your Numerosity Spreadsheet in excel format, please contact Prime 

Clerk at (844) 822-9231 (toll free for U.S. and Puerto Rico) or (646) 486-7944 (for international 

callers) or by e-mail at puertoricoballots@primeclerk.com . 

* * * * * 

If you have any questions about your holdings, please contact your Nominee. Additionally, you 

must contact your Nominee to take any action described above. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE, PLEASE CONTACT 

THE BALLOTING AGENT, PRIME CLERK, LLC, BY TELEPHONE AT (844) 822-9231 

(TOLL FREE FOR U.S. AND PUERTO RICO) OR (646) 486-7944 (FOR 

INTERNATIONAL CALLERS), AVAILABLE 10:00 A.M. TO 7:00 P.M. (ATLANTIC 

STANDARD TIME) (SPANISH AVAILABLE), OR BY EMAIL AT 

PUERTORICOINFO@PRIMECLERK.COM AND REFERENCE “RETAIL INVESTOR 

SOLICITATION” IN THE SUBJECT LINE. PLEASE NOTE THAT PRIME CLERK LLC 

IS NOT AUTHORIZED TO PROVIDE, AND WILL NOT PROVIDE, LEGAL ADVICE. 

59273-08 4

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Exhibit C 

Case:17-03283-LTS Doc#:19948 Filed:01/29/22 Entered:01/29/22 17:08:35 Desc: Main

Document Page 55 of 58
 Exhibit C

Nominees and Depository Service List

Served via Email

Name Email

Broadridge BBDCorporateActionOps@broadridge.com; BankruptcyJobs@broadridge.com

Clearstream 

nathalie.chataigner@clearstream.com; cherifa.maameri@clearstream.com; 

david.mccauley@clearstream.com; hulya.din@clearstream.com; 

ca_luxembourg@clearstream.com; ca_mandatory.events@clearstream.com

DTC

LegalAndTaxNotices@dtcc.com; MandatoryReorgAnnouncements@dtcc.com; 

VoluntaryReorgAnnouncements@dtcc.com; rgiordano@dtcc.com; 

Euroclear jpmorganinformation.services@jpmorgan.com; drit@euroclear.com; eb.ca@euroclear.com

Mediant 

corporateactions@mediantonline.com; nseguin@mediantonline.com; 

mhamdan@mediantonline.com; mgiffin@mediantonline.com

Sisclear ca.notices@six-securities-services.com

Ameriprise Financial (0216) EMAIL REDACTED

Bank of America (0955) EMAIL REDACTED

Bank of America Corporate Actions EMAIL REDACTED

BANK OF NEW YORK MELLON (0901/2510/8320) EMAIL REDACTED

BARCLAYS CAPITAL /BARCLAYS BANK (0229/7254/5101) EMAIL REDACTED

BB & T SECURITIES(0702) EMAIL REDACTED

BMO NSBT BURNS (5043) EMAIL REDACTED

BNP PARIBAS (2787/1569/2154/2884/2885/2147) EMAIL REDACTED

BNY MELLON/ NE TRUST (0954/2485) EMAIL REDACTED

BROWN BROTHERS HARRIMAN & CO. (0010) EMAIL REDACTED

CANTOR FITZGERALD (7311/0197) EMAIL REDACTED

CDS EMAIL REDACTED

CHARLES SCHWAB & CO., INC. (0164) EMAIL REDACTED

CIBC (5030) EMAIL REDACTED

CITIBANK, N.A. (0908/0418/0505/0274) EMAIL REDACTED

COMERICA BANK (2108) EMAIL REDACTED

Cor Clearing LLC(0052) EMAIL REDACTED

CREDIT SUISSE SECURITIES USA LLC - (0355) EMAIL REDACTED

DAVENPORT & COMPANY LLC (0715) EMAIL REDACTED

DESERET TRUST COMPANY - I (2497) EMAIL REDACTED

DESJARDINS(5028) EMAIL REDACTED

DEUTSCHE BANK SECURITIES (0573) EMAIL REDACTED

E*TRADE /RIDGE CLEARING (0158/0358) EMAIL REDACTED

EDWARD JONES (0057) EMAIL REDACTED

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 1 of 3

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 Exhibit C

Nominees and Depository Service List

Served via Email

FIRST CLEARING, LLC (0141) EMAIL REDACTED

FIRST SOUTHWEST COMPANY (0309) EMAIL REDACTED

GOLDMAN SACHS (0005 / 5208 / 2941) EMAIL REDACTED

Hilltop Securities Inc (0279) EMAIL REDACTED

HSBC (8396) EMAIL REDACTED

Huntington (2305) EMAIL REDACTED

INGALLS & SNYDER, L.L.C. (0124) EMAIL REDACTED

INTERACTIVE BROKERS/TH (0534) EMAIL REDACTED

INTL FCSTONE, INC.f.k.a STERNE, AGEE & LEACH, INC. (0750) EMAIL REDACTED

J.P. MORGAN CLEARING CORP. (0352/2035/0902) EMAIL REDACTED

JANNEY MONTGOMERY SCOTT INC. (0374) EMAIL REDACTED

JEFFERIES (0019) EMAIL REDACTED

JPMorgan (2424) EMAIL REDACTED

JPMorgan (8187) EMAIL REDACTED

JPMs LLC (187) EMAIL REDACTED

LEEDE JONES GABLE INC (5071) EMAIL REDACTED

LPL FINANCIAL CORPORATION (0075) EMAIL REDACTED

MERRILL LYNCH (0161/5198/0773) EMAIL REDACTED

MITSUB UFJ (2932) EMAIL REDACTED

Morgan Stanley (0050) EMAIL REDACTED

MORGAN STANLEY SMITH BARNEY LLC (0015) EMAIL REDACTED

MUFG (2145) EMAIL REDACTED

NATIONAL FINANCIAL SERVICES LLC (0226) EMAIL REDACTED

NBCN Inc./CDS (5008) EMAIL REDACTED

NOMURA SECURITIES/FIXED INCOME (5222) EMAIL REDACTED

NORTHERN TRUST CO (2669) EMAIL REDACTED

OPPENHEIMER & CO. INC. (0571) EMAIL REDACTED

RAYMOND JAMES & ASSOCIATES, INC. (0725) EMAIL REDACTED

RBC CAPITAL MARKETS (0235) EMAIL REDACTED

REGIONS BANK (0971) EMAIL REDACTED

SCOTIA CAPITAL INC. /CDS (5011/4812) EMAIL REDACTED

Scottrade (0705) EMAIL REDACTED

SEI PRIVATE (2039/2663) EMAIL REDACTED

STATE STREET BANK AND TRUST (0997/2319/2950) EMAIL REDACTED

STIFEL, NICOLAUS & CO (0793) EMAIL REDACTED

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 2 of 3

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 Exhibit C

Nominees and Depository Service List

Served via Email

TD AMERITRADE CLEARING, INC. (0188) EMAIL REDACTED

TD Waterhouse /CDS ( 5036) EMAIL REDACTED

TRADESTATION EMAIL REDACTED

UBS FINANCIAL SERVICES LLC (0221) EMAIL REDACTED

US Bank (2803) EMAIL REDACTED

VANGUARD (0062) EMAIL REDACTED

WEDBUSH MORGAN SECURITIES (0103) EMAIL REDACTED

WELLS FARGO (0250/2027) EMAIL REDACTED

In re: The Commonwealth of Puerto Rico, et al.

Case No. 17-03283 (LTS) Page 3 of 3

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