CASTLEOAK SECURITIES LP

Pension Funds

This category includes legal entities (i.e., funds, plans, and/or programs) organized to provide retirement income benefits exclusively for the sponsor's employees or members.

Illustrative Examples:

Employee benefit plans
Retirement plans
Pension funds and plans

Health and Welfare Funds

This category includes legal entities (i.e., funds, plans, and/or programs) organized to provide medical, surgical, hospital, vacation, training, and other health- and welfare-related employee benefits exclusively for the sponsor's employees or members.

Other Insurance Funds

This category includes legal entities (i.e., funds (except pension, and health- and welfare-related employee benefit funds)) organized to provide insurance exclusively for the sponsor, firm, or its employees or members. Self-insurance funds (except employee benefit funds) and workers' compensation insurance funds are included in this industry.

Open-End Investment Funds

This category includes legal entities (i.e., open-end investment funds) organized to pool assets that consist of securities or other financial instruments. Shares in these pools are offered to the public in an initial offering with additional shares offered continuously and perpetually and redeemed at a specific price determined by the net asset value.

Illustrative Examples:

Investment funds, open-ended
Money market mutual funds, open-ended

Trusts, Estates, and Agency Accounts

This category includes legal entities, trusts, estates, or agency accounts, administered on behalf of the beneficiaries under the terms of a trust agreement, will, or agency agreement.

Illustrative Examples:

Bankruptcy estates
Private estates (i.e., administering on behalf of beneficiaries)
Personal investment trusts
Testamentary trusts