How to Report a Potential Violation of the Standards of Conduct

All inquiries regarding the Standards of Conduct or these Standards of Conduct Written Procedures should be directed to the Chief Compliance Officer or his authorized designee. This can be done via regular mail, telephone, or electronic mail. The contact information for the Chief Compliance Officer is as follows:

By Mail:
Steven D. Phillips
Director, Compliance and Ethics
Standards of Conduct Chief Compliance Officer
E.ON U.S., LLC
220 West Main Street
Louisville, KY 40202

By Telephone:
(502) 627-2648 [Standards of Conduct Hotline]

By E-Mail:
steven.phillips@eon-us.com

In addition, should Steve Phillips not be available, you may contact any of his designees for Standards of Conduct matters:

Roger Hickman
Compliance Specialist
Compliance and Ethics
502.627.4031
roger.hickman@eon-us.com

Mike Beer
Vice President
Federal Regulation and Policy
502.627.3547
mike.beer@eon-us.com

The Companies take their responsibility for promoting full compliance with the Standards of Conduct very seriously. Employees may contact the Chief Compliance Officer via the Standards of Conduct Hotline at any time, during regular business hours or thereafter, for purposes of: (1) seeking guidance regarding the scope, application, meaning or intent of the Standards of Conduct; and (2) reporting an existing or potential violation of the Standards of Conduct, including a failure to comply with the letter and spirit of these Standards of Conduct Written Procedures. If a potential Standards of Conduct issue is identified, the Companies strongly recommend that employees contact the Chief Compliance Officer and seek guidance before taking any actions that could result in a violation of the Standards of Conduct and these Standards of Conduct Written Procedures.

Any person with knowledge or concerns regarding activities that may have resulted, or could result, in a violation of the Standards of Conduct and/or these Standards of Conduct Written Procedures is strongly encouraged, expected, and required to report them to the Chief Compliance Officer without delay.