Gregory Robert Johnson

(1) MEMBER OF UNIVERSITY OF NEBRASKA ALUMNI ASSOCIATION ADVISORY COUNCIL; NOT AN INVESTMENT RELATED ACTIVITY; EFFECTIVE DATE: 9/4/2014; 1520 R ST, LINCOLN, NE; DEVOTE 2 DAYS PER YEAR.

(2) FINRA ARBITRATOR POSITION: Arbitrator NATURE: To be available to serve as FINRA arbitrator for certain disputes between investors and individual brokers orcompanies. An investor must arbitrate at FINRA if: - The arbitration is required by written agreement; - The dispute is with a member of FINRA, which could be a broker and/or brokerage firm; and - The dispute involves the securities business of the broker and/or brokerage firm. Required Industry Arbitration A broker or a brokerage firm must arbitrate at FINRA if: - The dispute arises out of the securities business activities of a broker and/or a brokerage firm; and - The dispute is between or among the following members of FINRA: brokerage firms, brokerage firms and brokers, or brokers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 8 START DATE: 10/30/2017 ADDRESS: One Liberty Plaza, 165 Broadway, 27th Floor, New York NY 10006-1404, United States DESCRIPTION: I have been accepted to join FINRA's arbitrator roster but still need to complete required training before becoming eligible to serve as an arbitrator.

(3) CU ADVOCATES POSITION: I had been a CU Advocate for years and they asked me to join the advisory council. NATURE: Serve in an advisory capacity. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/24/2018 ADDRESS: 1800 Grant Street, Suite 800, Denver CO 80203, United States DESCRIPTION: Member of the advisory council for the CU Advocates which is a group that supports initiatives for the four University of Colorado System campuses.