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Appendix A <br />Cion Investment Corporation FEIN 45-3058280 <br />3 Park Avenue, 36th Floor <br />New York, NY 10016 <br />Officers, Directors, Members, Managers <br />OFFICER/ENTITY <br />TITLE <br />OWNERSHIP <br />BEGIN DATE <br />END DATE <br />Mark Gatto <br />Co -Chairman, Co -Chef Executive Officer <br />0% <br />8/9/2011 <br />Michael A Reisner <br />Co -Chairman, Co -Chef Executive Officer <br />0% <br />8/9/2011 <br />Robert A Breakstone <br />Director <br />0% <br />6/19/2012 <br />Peter I Finlay <br />Director <br />0% <br />3/22/2016 <br />Aron I Schwartz <br />Director <br />0% <br />6/19/2012 <br />Earl V Hedin <br />Director <br />0% <br />3/23/2017 <br />Keith S Franz <br />Managing Director, CFO, Treasurer <br />0% <br />8/9/2011 <br />GreggA Bresner <br />President, Chief Investment Officer <br />0% <br />4/18/2016 <br />Stephan Roman <br />Secrets , Chief Compliance Officer <br />0% <br />2/24/2016 <br />SO-5 -14- 09/20 <br />