| Kode (Sujatha) (UNREPORTED) insider | — | — | — | 1 | — |
| MENDELSOHN D ERIC (Chief Execu… insider | — | — | — | 1 | — |
| CLARK ANTHONY THOMAS (Director… insider | — | — | — | 1 | — |
| Begbie (Robert) insider | — | — | — | 1 | — |
| BRIGGS SCOTT A (Officer) insider | — | — | — | 1 | — |
| First TRT Exch-Trd AlphaDEX Fd… fond | — | — | — | 1 | 0.03% |
|
| Amber Capital ejer | — | — | — | 1 | — |
| CHAO LESLIE T (Director) insider | — | — | — | 1 | — |
| TRICOR PMT25 HOLDINGS INC (Ben… insider | — | — | — | 1 | — |
| JEEVANJEE ZULFIKAR (Officer of… insider | — | — | — | 1 | — |
| KHAYAT CLARK H (Chief Financia… insider | — | — | — | 1 | — |
| Thatcher, Graham Henry (Senior… insider | — | — | — | 1 | — |
| COWHEY THOMAS F. (Chief Financ… insider | — | — | — | 1 | — |
| ROSENTHAL ARNON (Chief Executi… insider | — | — | — | 1 | — |
| BOLEN J.E.B. (Officer) insider | — | — | — | 1 | — |
| METALMARK CAPITAL II L L C (Be… insider | — | — | — | 1 | — |
| SEIZINGER BERND R. (Director) insider | — | — | — | 1 | — |
| O'LEARY DENIS J (Director) insider | — | — | — | 1 | — |
| POTTS JAMES R (General Counsel… insider | — | — | — | 1 | — |
| Sujan (Tikam) (Director (Non-E… insider | — | — | — | 1 | — |
| RAVER JOE ANTHONY (Director) insider | — | — | — | 1 | — |
| JOHNSON ANDREW MARTIN (Chief F… insider | — | — | — | 1 | — |
| SAVILLE KENDALL (Director) insider | — | — | — | 1 | — |
| ROBINS SCOTT L. (Officer) insider | — | — | — | 1 | — |
| SIMONE JASON (Chief Financial… insider | — | — | — | 1 | — |
| BOOTH JEFFREY DAVID (Director) insider | — | — | — | 1 | — |
| SANFORD LINDA S (Director) insider | — | — | — | 1 | — |
| Stéphane Bancel ejer | — | — | — | 1 | — |
| BEAUFILS LUDOVIC (Officer) insider | — | — | — | 1 | — |
| LEOMBRUNO TODD M. (Chief Finan… insider | — | — | — | 1 | — |
