Bernard Martin Sussman

Spectrum Asset Management, Inc. (SAM) is an investment advisor headquartered in Stamford, Connecticut. The firm was founded in 1987 by Mark Lieb. In 2001, they were acquired by Principal Global Investors Holding Company (US) LLC (PGI), the asset management arm of The Principal Financial Group, Inc. (NYSE: PFG). SAM provides portfolio management services to registered mutual funds, private investment funds, foreign funds such as UCITS, sponsors of wrap account programs, corporate pension and profit–sharing plans, charitable institutions, insurance companies, foundations, endowments, and other US and international institutions.

Nuveen Quality Preferred Income Fund 3 is a closed-end investment fund/investment trust. Its primary investment objective is high current income consistent with capital preservation. Its secondary objective is to enhance portfolio value. The company invests its managed assets in preferred securities, debt securities, including convertible debt securities and convertible preferred securities. It was founded on October 17, 2002 and is headquartered in Chicago, IL.

Nuveen Preferred & Income Securities Fund is a closed-end investment fund. It engages in the business of enhancing portfolio value relative to the market for preferred securities by investing in securities and sectors that the fund?s sub-adviser believes are underrated or undervalued. The company was founded on June 24, 2002 and is headquartered in Chicago, IL.

Nuveen Quality Preferred Income Fund operates as a closed-end investment fund. Its investment objective is to have high current income consistent with capital preservation and enhance portfolio value. The fund invests at least 80% of its managed assets in preferred securities and up to 20% of its net assets in debt securities, including convertible debt securities and convertible preferred securities. The Fund was founded on April 24, 2002 and is headquartered in Chicago, IL.

Nuveen Preferred Income Opportunities Fund is a closed-end investment fund. Its investment objective is to achieve high current income and total return. The company was founded in 2003 and is headquartered in Chicago, IL.

Goldman Sachs & Co. LLC (GS&Co.) is a securities brokerage firm headquartered in New York City. Founded in 1927, the firm is a subsidiary of The Goldman Sachs Group, Inc. (NYSE: GS). GS&Co. provides services to help hedge funds manage risk, monitor portfolios, maintain liquidity and build their businesses. They offer clients access to global equity and derivatives markets, as well as foreign exchange, commodities, European Lefts, rates and credit across the Americas, Europe and Asia. The firm proactively monitors capital markets, searching for pockets of liquidity and news that may require changes to those strategies. Integration with the Goldman Sachs network gives clients access to the firm's sectored block trades and their insights into price discovery. Their electronic trading program provides clients with tools to manage their trades from pre-trade analytics to post-trade analysis.