Uhlmann Investment Management LLC

Item 5
Additional Compensation- Mr. Barbera has no additional compensation to report.

Item 7
Mr. Barbera has never been involved in/with, or been accused nor found liable for any of the
following:

         1. An award or otherwise being found liable in an arbitration claim alleging damages in
            excess of $2,500, involving any of the following:
            (a) An investment or investment-related business or activity;
            (b) Fraud, false statement(s) or omissions;
            (c) Theft, embezzlement, or other wrongful taking of property;
            (d) Bribery, forgery, counterfeiting, or extortion; or
            (e) Dishonest, unfair, or unethical practices.

         2. An award or otherwise being found liable in a civil, self-regulatory organization, or
            administrative proceeding involving any of the following:
            (a) An investment or investment-related business activity;
            (b) Fraud, false statement(s) or omissions;
            (c) Theft, embezzlement, or other wrongful taking of property;
            (d) Bribery, forgery, counterfeiting, or extortion; or
            (e) Dishonest, unfair, or unethical practices.

Mr. Barbera has not been the subject of a bankruptcy petition.