> 75% Pipeline

> 75% Pipeline Opportunity Name Relationship Name Customer Name Close Date (%) Product Name Actual Assets Structure BPS/Flat Fee Actual Revenue Sales Team Member Estimated Mo nth 8 2015 Est 2016 Rev Est 2017 Rev Banking ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 90 Private Wealth Premi um Checking 25000000 BPS 40 100000 0 IF(H2="BPS",J2*(L2/12),J2)=0 IF(H 2="BPS",J2,0)=100000 Brokerage THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 5 2500 Morris 0 IF(H3="BPS",J3*(L3/12),J3)=0 IF(H3="BPS",J3,0)=2500 JTWROS Brokerage THIRD LAKE CAPITAL RELATIONSHIP Wanek, Karen A. 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 20 10000 Morris 0 IF(H4="BPS",J4*(L4/12),J4)=0 IF(H4="BPS",J4,0)=10000 Real Estate Opportunity 54 MADISON PARTNERS RELATIONSHIP 54 Madison Partners 3/31/2016 75 U.S. Structured Lending (Secured) 150000000 BPS 550 12000000 Morr is 0 0 J5=12000000 KCP ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 75 Brokerage (Commissio ns) 50000000 BPS 5 25000 Morris 0 0 J6=25000 Credit Facility GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office 3/31 /2016 75 U.S. Letter of Credit 150000000 BPS 200 3500000 IF(H22="BPS",J22*(L7 /12),J22)=0 J22=0 Goldrush MEISTER, TODD RELATIONSHIP Meister, Todd 6/30/2016 75 U.S. Structu red Lending (Secured) 90000000 BPS 1235 13365000 0 0 J8=13365000 Deposits MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 75 Private Weal th Premium Money Market 10000000 BPS 35 35000 Morris 0 IF(H9="BPS",J9*(L9/1 2),J9)=0 IF(H9="BPS",J9,0)=35000 KCP Private Markets ORIX RELATIONSHIP ORIX Corporation 3/31/2016 75 Priv ate Equity Funds 10000000 Flat Fee 400000 400000 Morris 0 IF(H10="BPS" ,J10*(L10/12),J10)=400000 J10=400000 Structured Credit PARAMI CAPITAL MANAGEMENT RELATIONSHIP Vaid, Rahul 6/30/2016 75 U.S. Secured Lending (Lombard) 50000000 BPS 300 1500000 Oldfield 0 IF(H 11="BPS",J11*(L11/12),J11)=0 IF(H1l="BPS",J11,0)=1500000 Deposits PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 75 Private Wealth Premium Money Market 10000000 BPS 35 35000 Morris 0 0 J12=35000 Airplane Loan SAPIR, TAMIR RELATIONSHIP Sapir, Tamir 3/31/2016 75 U.S. Structu red Lending (Secured) 10000000 BPS 200 200015 Morris 0 IF(H13="BPS",J13*(L1 3/12),J13)=0 IF(H13="BPS",J13,0)=200015 Falcon Trail Capital, LLC 3/31/2016 75 Deri 200 100000 Morris 0 0 J14=100000 Falcon Trail Capital, LLC 3/31/2016 75 Deri 200 100000 Morris 0 IF(H15="BPS",J15*(L15/12),J1 CLO 2 SK FAMILY OFFICE RELATIONSHIP vatives (Equity - Swap) 5000000 BPS CLO 5K FAMILY OFFICE RELATIONSHIP vatives (Equity - Swap) 5000000 BPS 5)=0 IF(H15="BPS",J15,0)=100000 Structured Notes SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 Structured Notes S Deposits (Equity) 3000000 Flat Fee 45000 45000 Loan SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75 U.S. red Lending (Secured) 5000000 BPS 200 100000 Brokerage SOUTHERN FINANCIAL RELATIONSHIP Gratitude America 3/31/2016 75 erage (Asset -Based Fees) - Advisor Select 10000000 BPS 20 20000 Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 Private Wealth Premium Checking w/Interest 50000000 BPS 20 100000 SUM(G2:G19)=6.43E8 SUM(J2:J19)=31637515 SUM(M2:M19)=400000 SUM(N2:N19)=27872515 75 Structu Brok 75 EFTA01478313 Full Pipeline Opportunity Name Relationship Name Customer Name Actual Assets Structure BPS/Flat Fee Actual Revenue Real Estate Opportunity 54 MADISON PARTNERS RELATIONSHIP 75 U.S. Structured Lending (Secured) 150000000 art Oldfield Introduction ANNANDALE CAPITAL RELATIONSHIP Annandale ate Wealth Premium Money Market 0 Stewart Oldfield Introduction ARDEN ASSET MGMT RELATIONSHIP Arden Asset ate Wealth Premium Money Market 0 Stewart Oldfield KCP Private Markets ASPEN GROVE CAPITAL RELATIONSHIP Aspen Grove Capital, LLC /2016 25 Brokerage (Commissions) 15000000 BPS 5 7500 Paul Morris Introduction BAKHSHANDEHPOUR, SAM RELATIONSHIP Bakhshandehpour, Sam 2/29/2016 Private Wealth Premium Money Market 0 Stewart Oldfield Lending BASQUTAT RELATIONSHIP Estate of Gerard Basquiat 3/31/2016 red Lending (Secured) 50000000 BPS 100 500000 Paul Morris Structured Lending BENEFIT STREET PARTNERS RELATIONSHIP Benefit Street Partners 25 U.S. Structured Lending (Secured) 30000000 BPS 100 300000 KCP Private Markets BLUE MOUNTAIN RELATIONSHIP Greatrex, Peter 3/31/2016 erage (Commissions) 25000000 BPS 5 12500 Paul Morris Credit Line BLUE MOUNTAIN RELATIONSHIP Blue Mountain Capital Management, LLC 25 U.S. Letter of Credit 50000000 HF Secondaries BLUESTEM LLC RELATIONSHIP O Stewart Oldfield KCP Private Markets BOMMER, SCOTT RELATIONSHIP SAB Capital Management, LP 25 Brokerage (Commissions) 35000000 BPS 5 17500 Paul Morris Deposits BOMMER, SCOTT RELATIONSHIP Bommer, Scott 3/31/2016 10 th Premium Checking 25000000 BPS 40 100000 Paul Morris Residential Mortgage BOMMER, SCOTT RELATIONSHIP Sommer, Scott 3/31/2016 dard Mortgage - 5/1 Arm 25000000 BPS 100 250000 Paul Morris Introduction BRACK CAPITAL RELATIONSHIP Brack Capital 3/31/2016 th Premium Money Market 0 Paul Morris Introduction BRIGHT GROUP RELATIONSHIP Bright Group 3/31/2016 th Premium Money Market 0 Stewart Oldfield Banking BRONFMAN, EDGAR RELATIONSHIP Bronfman, Edgar 3/31/2016 10 um Checking w/Interest 25000000 BPS 40 100000 Paul Morris Muni Portfolio CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 al Select - Fixed Income 25000000 BPS 50 125000 Paul Morris Banking Account CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 ate Wealth Premium Checking 50000000 BPS 40 200000 Paul Morris Brokerage CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 erage (Commissions) 10000000 BPS 5 5000 Paul Morris Custody CFM RELATIONSHIP Capital Fund Management 3/31/2016 10 Onshore Stewart Oldfield Introduction CFM RELATIONSHIP Comprehensive Financial Management 3/31/2016 Private Wealth Premium Money Market 0 Stewart Oldfield KCP/ Private Markets COLLIS, CHARLES RELATIONSHIP EverWatch Financial 3/31/2016 Private Equity Funds 5000000 Flat Fee 200000 200000 Stewart Oldfield Brokerage ommissions) Share Collars ommissions) Introduction um Money Market HF Secondaries Close Date (%) Product Name Sales Team Member 54 Madison Partners 3/31/2016 BPS 550 12000000 Stew Capital Mgmt 3/31/2016 0 3/31/2016 0 10 U.S Priv Priv 3/31 0 Structu 3/31/2016 Paul Morris 50 Brok 3/31/2016 BPS 100 500000 Paul Morris Bluestem LLC 3/31/2016 25 Hedge Funds 3/31/2016 Private Weal 10 Stan O Private Weal O Private Weal Private CROSS, LISA RELATIONSHIP Cross, Lisa 3/31/2016 10 75000000 BPS 5 37500 Paul Morris CUMMINGS, IAN RELATIONSHIP Cummings, Ian 3/31/2016 5000000 Flat Fee 250000 250000 Paul Morris CV STARR RELATIONSHIP CV Starr 3/31/2016 0 Stewart Oldfield DELL, MICHAEL RELATIONSHIP Dell, Michael S. 3/31/2016 e Funds 0 Paul Morris Introduction DOCK STREET CAPITAL RELATIONSHIP Dock Street Capital 3/31/2016 0 Private Wealth Premium Money Market 0 Stewart Oldfield Deposits DONALD BRYANT JR. RELATIONSHIP Bryant Jr., Donald 3/31/2016 10 Priv ate Wealth Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris Loan DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 U.S. Structured Lending (Secured) 200000000 BPS 100 2000000 Stewart Oldfield Cash management DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 Private Wealth Premium Money Market 20000000 BPS 30 60000 Stewart Oldfield Private Equity DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 Private Equity Funds 0 Stewart Oldfield Margin Loan DORRANCE FAMILY RELATIONSHIP DF Enterprises 3/31/2016 0 U.S. Secured Lending (Lombard) 250000000 BPS 65 1625000 Stewart Oldfield Land Loan DORRANCE FAMILY RELATIONSHIP DF Enterprises 12/31/2016 0 U.S. Structu red Lending (Secured) 100000000 BPS 600 6000000 Stewart Oldfield Introduction DUNCAN INVESTMENTS RELATIONSHIP Duncan Investments 3/31/2016 0 Priv ate Wealth Premium Money Market 0 Stewart Oldfield Retirement Plan ELLIN, HOWARD RELATIONSHIP Ellin, Howard 9/30/2016 10 U.S. IA - Ba lanced 1000000 BPS 60 6000 Paul Morris Banking ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 90 Private Wealth Premi um Checking 25000000 BPS 40 100000 Paul Morris KCP ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 75 Brokerage (COmmiSSiO ns) 50000000 BPS 5 25000 Paul Morris Cash Management ELYSIUM MANAGEMENT RELATIONSHIP Elysium Management 3/31/2016 50 U.S. Wealth Premi 10 Glob 10 Priv 10 Brok Custody 0 0 50 Brokerage (C 10 Brokerage (C 0 Private Wealth Premi 10 Hedg EFTA01478314 IA - RCM 50000000 BPS 25 Art Lending ELYSIUM MANAGEMENT RELATIONSHIP red Lending (Secured) 250000000 BPS Proxy Hedge ELYSIUM MANAGEMENT RELATIONSHIP vatives (Equity - Option) 250000000 Introduction ELYSIUM MANAGEMENT RELATIONSHIP th Premium Money Market 0 Deposits ERGEN, CHARLES th Premium Checking w/Interest Brokerage ERGEN, CHARLES ommissions) 50000000 Credit Line ERGEN, CHARLES red Lending (Secured) 300000000 BPS 100 3000000 Paul Morris Lending FALLLINE RELATIONSHIP FallLine 3/31/2016 25 U.S. Structured ured) 100000000 100 0 Stewart Oldfield Custody FALLLINE RELATIONSHIP FallLine 3/31/2016 10 10 1000000 Stewart Oldfield Lending FITZGIBBONS, JOHN RELATIONSHIP Deerpath Capital Management Letter of Credit 30000000 BPS 100 300000 Paul Morris Airplane Loan FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 Structured Lending (Secured) 10000000 BPS 100 100000 Paul Morris Structured Credit FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 U.S. Letter of Credit 50000000 BPS 200 1000000 Paul Morris Residential Mortgage FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 Standard Mortgage - Floating Arm 4000000 BPS 100 40000 Paul Morris Commercial Mortgage FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 Commercial Real Estate 5000000 BPS 100 50000 Paul Morris Introduction FORRESTAL CAPITAL RELATIONSHIP Forrestal Capital LLC 3/31/2016 ate Wealth Premium Money Market 0 Stewart Oldfield Deposits GAGOSIAN, LARRY RELATIONSHIP Gagosian, Larry 3/31/2016 th Premium Checking w/Interest 25000000 0 Paul Morris Brokerage GASLOW, LAWRENCE RELATIONSHIP Gaslow, Peter 3/31/2016 ommissions) 25000000 BPS 5 12500 Paul Morris Credit Facility GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office /2016 75 U.S. Letter of Credit 150000000 BPS 200 3500000 Paul Morris Secondary CLOs GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office /2016 50 Structured Notes & Deposits (Equity) 5000000 Flat Fee 200000 200000 Morris Rated Infrastructure Notes ily Office 3/31/2016 90000 90000 Paul Morris Brokerage GEORGETOWN UNIVERSITY RELATIONSHIP 50 Brokerage (Asset -Based Fees) - Advisor Select Stewart Oldfield Brokerage GERSCHEL, PATRICK RELATIONSHIP Gerschel, Patrick 3/31/2016 erage (Commissions) 15000000 BPS 5 7500 Paul Morris Introduction GRANITE GROUP RELATIONSHIP Granite Group Advisors 3/31/2016 ate Wealth Premium Money Market 0 Stewart Oldfield Introduction HIGHLANDER PARTNERS RELATIONSHIP Hirsch, Lawrence Private Wealth Premium Money Market 0 Stewart Oldfield Referall Fees HUDIBURG RELATIONSHIP Sullivan, Hardin 3/31/2016 0 Referral Fee O Stewart Oldfield Brokerage HYMAN, ED RELATIONSHIP Hyman, Ed 3/31/2016 10 Brokerage (Commissio ns) 20000000 BPS 5 Introduction ILLIG, CLIFF RELATIONS 3/31/2016 0 Priv Paul Morris RELATIONSHIP 50000000 RELATIONSHIP BPS 5 RELATIONSHIP 125000 Paul Morris Black, Leon D. 9/30/2016 50 100 2500000 Paul Morris Elysium Management 3/31/2016 BPS 100 2500000 Paul Morris AP Investco LLC 3/31/2016 0 Ergen, Charles 3/31/2016 50 BPS 40 200000 Paul Morris Ergen, Charles 3/31/2016 25 25000 Paul Morris Ergen, Charles 3/31/2016 10 Onshore Custody 3/31/2016 U.S. Structu 10 Deri Private Weal Private Weal Brokerage (C U.S. Structu Lending (Sec 1.0E9 BPS 10 U.S. 10 U.S. 10 10 10 0 Priv 25 Private Weal 50 Brokerage (C 3/31 3/31 Paul GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Fam 50 Structured Notes & Deposits (Equity) 3000000 Flat Fee Georgetown University Endowment 3/31/2016 25000000 Flat Fee 100 100 25 Brok 0 Priv 3/31/2016 0 10000 Paul Morris HIP Rock Island Capital ate Wealth Premium Money Market 0 Stewart Oldfield Introduction ILLIG, CLIFF RELATIONSHIP Sporting KC th Premium Money Market 0 Stewart Oldfield Referral Fees ILLIG, CLIFF RELATIONSHIP Illig, Cliff O Stewart Oldfield Introduction IRONSIDES ASSET MGMT RELATIONSHIP Ironsides Private Wealth Premium Money Market 0 Real Estate Financing ITAFIN RELATIONSHIP eal Estate 25000000 BPS 120 Banking JAIN, NEIL RELATIONSHIP Jain, Sunil ing w/Interest 25000000 BPS 40 100000 Paul Morris KCP Private Markets JAIN, NEIL RELATIONSHIP Jain, Neil 3/31/2016 ommissions) 15000000 BPS 5 7500 Paul Morris HF Secondaries JL SQUARED GROUP RELATIONSHIP JL Squared Group e Funds 10000000 0 Stewart Oldfield Structured Credit KIM, STEVEN RELATIONSHIP Kim, Steven Structured Lending (Secured) 50000000 BPS 100 500000 Deposits LAFFONT, PHILPPE RELATIONSHIP Laf font, Philppe ate Wealth Premium Checking 25000000 BPS 40 100000 Paul Morris Mortgage LAFFONT, PHILPPE RELATIONSHIP Laf font, Philppe 3/31/2016 25 dard Mortgage - 5/1 Arm 25000000 BPS 100 250000 Paul Morris Consumer RE LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George 3/31/2016 50 ercial Real Estate 50000000 BPS 100 500000 Stewart Oldfield Residential Loan LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George 3/31/2016 3/31/2016 0 3/31/2016 0 Asset Mgmt Private Weal Referral Fee 3/31/2016 0 Stewart Oldfield Chammah, Ezra 3/31/2016 10 Commercial R 300000 Paul Morris 3/31/2016 10 Private Wealth Premium Check 10 Brokerage (C 3/31/2016 50 3/31/2016 25 Stewart Oldfield 3/31/2016 25 Hedg U.S. Priv Stan Comm 50 EFTA01478315 U.S. Structured Lending (Unsecured) 100000000 BPS 200 Art Loan LINDEMANN FAMILY RELATIONSHIP Lindemann, Adam M. Letter of Credit 35000000 BPS 200 700000 Stewart ETE Loan LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George Letter of Credit 25000000 BPS 100 250000 Stewart ETE Loan LINDEMANN FAMILY RELATIONSHIP Lindemann, Adam M. Letter of Credit 37500000 BPS 100 375000 Stewart Introduction LINDEMANN FAMILY RELATIONSHIP Tan Tan Bo Puking LLC ate Wealth Premium Money Market 0 Stewart Oldfield ETE- Brokerage Series 1 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners hip 3/31/2016 0 Brokerage (Commissions) 30000000 BPS 20 60000 Stew art Oldfield ETE loan- Series 2 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners hip 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 2700 00 Stewart Oldfield Deposits LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partnership 3/31 /2016 0 Private Wealth Premium Money Market 1000000 BPS 35 3500 Stewart Oldf ield ETE Brokerage- Series 2 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners hip 3/31/2016 0 Brokerage (Asset -Based Fees) - Advisor Select 30000000 BPS 20 60000 Stewart Oldfield Introduction LORBER, HOWARD RELATIONSHIP Lorber, Howard 3/31/2016 0 Private Weal th Premium Money Market 0 Paul Morris Introduction M20 INCORPORATED RELATIONSHIP M20 Incorporated ate Wealth Premium Money Market 0 Stewart Oldfield Introduction MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP /2016 0 Private Wealth Premium Money Market 0 Introduction MARINER CAPITAL RELATIONSHIP Mariner Capital th Premium Money Market 0 Stewart Oldfield Lending MARRON, DONALD B. RELATIONSHIP Marron, of Credit 25000000 BPS 100 Muhart, Gene- MATEER, CRAIG RELATIONSHIP art Oldfield Goldrush MEISTER, TODD RELATIONSHIP red Lending (Secured) 90000000 BPS Deposits MEISTER, TODD RELATIONSHIP th Premium Money Market 10000000 BPS Structured Credit MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 25 U.S. Letter of Credit 50000000 BPS 200 1000000 Paul Morris Residential Mortgage MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 25 Stan dard Mortgage - Floating Arm 7000000 BPS 100 70000 Paul Morris Banking MEISTER, TODD RELATIONSHIP Meister, Robert A. 3/31/2016 25 Private Weal th Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris Fixed Income MOODY, ERIK RELATIONSHIP Moody, Erik V 3/31/2016 10 U.S. IA - Fi 87500 Paul Morris Moody, Erik V 3/31/2016 10 BPS 35 87500 Paul Morris Murstein, Alvin 3/31/2016 10 100 500000 Paul Morris Murstein, Andrew 3/31/2016 xed 25000000 BPS 35 Banking MOODY, ERIK RELATIONSHIP um Checking w/Interest 25000000 Lending MURSTEIN, ALVIN RELATIONSHIP (Lombard) 50000000 BPS Banking MURSTEIN, ALVIN RELATIONSHIP th Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris Introduction NAZERIAN, DAVID RELATIONSHIP Nazerian, David 3/31/2016 0 Private Weal th Premium Money Market 0 Stewart Oldfield KCP Private Markets ORIX RELATIONSHIP ORIX Corporation 3/31/2016 75 Priv ate Equity Funds 10000000 Flat Fee 400000 400000 Stewart Oldfield Infrastructure ORIX RELATIONSHIP ORIX Americas 3/31/2016 25 U.S. Letter of Credi t 50000000 BPS 200 1000000 Stewart Oldfield IX Capital Partners- ORIX RELATIONSHIP IX Capital Partners 5/31/2016 10 0 Stewart Oldfield Structured Credit PARAMI CAPITAL MANAGEMENT RELATIONSHIP Vaid, Rahul 6/30/2016 75 U.S. Secured Lending (Lombard) 50000000 BPS 300 1500000 Paul Morris Deposits PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 75 Private Wealth Premium Money Market 10000000 BPS 35 35000 Paul Morris Lending PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 25 U.S. Structured Lending (Secured) 25000000 BPS 100 250000 Paul Morris Brokerage PATRIOT STRATEGY PARTNERS RELATIONSHIP Patriot Strategy Partners 3/31/2016 0 Brokerage (Commissions) 25000000 Flat Fee 50000 50000 Paul Morris Introduction PEREGRINE GROUP RELATIONSHIP Peregrine Group, LLC 3/31/2016 0 Priv ate Wealth Premium Money Market 0 Stewart Oldfield Credit Facility PINE RIVER CAPITAL RELATIONSHIP Pine River Capital Management LP 3/31/2016 10 U.S. Letter of Credit 50000000 BPS 100 500000 Paul Morris Richardson, Julie G.- RICHARDSON, JULIE RELATIONSHIP Richardson, Julie G. 3/31/2016 50 Brokerage (Commissions) 30000000 BPS 5 15000 Paul Morris Loan ROGER BULLOCH RELATIONSHIP Bulloch, Roger 3/31/2016 10 U.S. Structured Lend ing (Secured) 20000000 BPS 100 200000 Stewart Oldfield Introduction ROGER BULLOCH RELATIONSHIP Sher Capital 3/31/2016 th Premium Money Market 0 Stewart Oldfield Introduction ROGER BULLOCH RELATIONSHIP SPB Partners th Premium Money Market 0 Stewart Oldfield 2000000 Stewart Oldfield 3/31/2016 10 U.S. Oldfield 3/31/2016 10 U.S. Oldfield 3/31/2016 10 U.S. Oldfield 3/31/2016 0 Priv 3/31/2016 0 Priv Makena Capital Mangement, LLC 3/31 Stewart Oldfield 3/31/2016 0 Private Weal Donald B. 3/31/2016 25 U.S. Letter 250000 Paul Morris Muhart, Gene 5/31/2016 10 0 Stew Meister, Todd 6/30/2016 75 U.S. Structu 1235 13365000 Stewart Oldfield Meister, Todd 3/31/2016 75 Private Weal 35 35000 Paul Morris Private Wealth Premi U.S. Secured Lending 10 Private Weal 0 Private Weal 3/31/2016 0 Private Weal EFTA01478316 Introduction RUBENSTEIN, KEITH RELATIONSHIP Rubenstein, Keith 3/31/2016 0 Priv ate Wealth Premium Money Market 0 Paul Morris Airplane Loan SAPIR, TAMIR RELATIONSHIP Sapir, Tamir 3/31/2016 75 U.S. Structu red Lending (Secured) 10000000 BPS 200 200015 Stewart Oldfield KCP SCHMIDT, ERIC RELATIONSHIP Hillspire LLC 3/31/2016 10 Brokerage (Commissio ns) 0 Stewart Oldfield Deposits SCHMIDT, ERIC RELATIONSHIP Hillspire LLC 3/31/2016 10 Private Weal th Premium Checking 50000000 BPS 20 100000 Stewart Oldfield Introduction SHAMROCK RELATIONSHIP Martin, Greg 3/31/2016 0 Private Wealth Premi um Money Market 0 Stewart Oldfield CIO Strategies SIMON, RICHARD M RELATIONSHIP Simon, Richard M. 3/31/2016 25 Glob al Select - Equities/Balanced 25000000 BPS 35 87500 Paul Morris CLO 2 SK FAMILY OFFICE RELATIONSHIP Falcon Trail Capital, LLC 3/31/2016 75 Deri vatives (Equity - Swap) 5000000 BPS 200 100000 Paul Morris CLO SK FAMILY OFFICE RELATIONSHIP Falcon Trail Capital, LLC 3/31/2016 75 Deri vatives (Equity - Swap) 5000000 BPS 200 100000 Paul Morris Structured Notes SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 3000000 Flat Fee 45000 45000 Paul Morris Loan SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75 U.S. Structu red Lending (Secured) 5000000 BPS 200 100000 Paul Morris HELOC SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 25 Standard Mor tgage - Floating Arm 15000000 BPS 100 150000 Paul Morris Introduction SLIFKA, RANDY RELATIONSHIP Slifka, Alfred A. 3/31/2016 0 Priv ate Wealth Premium Money Market 0 Stewart Oldfield HF Secondaries SLOME, IAN RELATIONSHIP Slome, Ian 3/31/2016 25 0000 0 Stewart Oldfield Hedge Funds 2500 Euro Hedge SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 Brokerage (C ommissions) 100000000 BPS 20 200000 Stewart Oldfield DPM Mandate SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 U.S. IA - Eq uity 50000000 BPS 50 250000 Stewart Oldfield Brokerage SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 Brokerage (C ommissions) 10000000 BPS 5 5000 Stewart Oldfield Loan SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 0 U.S. Letter of Credi t 50000000 BPS 100 500000 Stewart Somerset Partners- SOMERSET PARTNERS RELATIONSHIP Oldfield Somerset Partners 2/29/2016 10 O Paul Morris Introduction SONEN CAPITAL RELATIONSHIP Sonen Capital 3/31/2016 0 Private Weal th Premium Money Market 0 Stewart Oldfield Brokerage SOUTHERN FINANCIAL RELATIONSHIP Gratitude America 3/31/2016 75 Brok erage (Asset -Based Fees) - Advisor Select 10000000 BPS 20 20000 Paul Morris Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 75 Private Wealth Premium Checking w/Interest 50000000 BPS 20 100000 Paul Morris DPM SOUTHERN FINANCIAL RELATIONSHIP The Haze Trust 3/31/2016 50 U.S. IA - Equity 25000000 BPS 35 87500 Paul Morris Structured Credit SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 10 U.S. Letter of Credit 50000000 BPS 300 1500000 Paul Morris Brokerage SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP Stock, Robert D. 3/31/2016 25 Brokerage (Commissions) 50000000 BPS 100 500000 Stewart Oldfield Equity Trading SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP Spruce Investment Advisors, LLC 3/31 /2016 25 Brokerage (Commissions) 50000000 BPS 100 500000 Stewart Oldfield Real Estate Loan STREAM REALTY RELATIONSHIP Stream Realty Partners 3/31/2016 10 Commercial Real Estate 50000000 BPS 100 500000 Paul Morris Brokerage THARANI, HARESH RELATIONSHIP Tharani, Haresh 3/31/2016 25 Brokerage (C ommissions) 30000000 BPS 5 15000 Paul Morris Airplane Finanching THARANI, HARESH RELATIONSHIP Tharani, Haresh 3/31/2016 10 U.S. Structured Lending (Secured) 10000000 BPS 100 100000 Paul Morris Credit Draw THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC CHURCH OF NORTH AMERICA RELATIONSHIP The National Organization of the New Apostolic Church of North America 3/31/2016 50 U.S. Secured Lending (Lombard) 10000000 BPS 180 180000 Paul Morris Brokerage THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 5 2500 Paul Morris JTWROS Brokerage THIRD LAKE CAPITAL RELATIONSHIP Wanek, Karen A. 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 20 10000 Paul Morris CMBS THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Commercial R eal Estate 20000000 Flat Fee 30000 30000 Paul Morris Leveraged Loan/Real Estate Lending THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31 /2016 50 Commercial Real Estate 50000000 Flat Fee 3000000 3000000 Paul Morris KCP Private Markets THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Private Equity Funds 15000000 BPS 150 225000 Paul Morris Banking THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 50 Private Weal th Premium Checking 10000000 BPS 40 40000 Paul Morris HF Secondaries THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 25 Hedg e Funds 25000000 Flat Fee 125000 125000 Paul Morris Banking Products THIRD LAKE CAPITAL RELATIONSHIP Todd and Karen Wanek Marital Property Trust 3/31/2016 25 Private Wealth Premium Money Market 10000000 BPS 40 4000 O Paul Morris Cash Management THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S. IA - Fixed 100000000 BPS 25 250000 Paul Morris Deposits THIRD LAKE CAPITAL RELATIONSHIP SSW 2007 LLC 3/31/2016 10 Private Weal EFTA01478317 th Premium Money Market 50000000 BPS 40 200000 Paul Morris Fixed Income THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S. IA - Fixed 100000000 BPS 35 350000 Paul Morris HF Secondaries TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 25 Hedge Funds 5000000 Flat Fee 125000 125000 Paul Morris Deposits TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 10 Private Weal th Premium Checking 50000000 BPS 40 200000 Paul Morris Stock Lending TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 10 U.S. Structu red Lending (Secured) 50000000 BPS 100 500000 Paul Morris HF Secondaries TISCH FAMILY RELATIONSHIP Tisch Financial Management 3/31/2016 0 Hedge Funds 0 Paul Morris Custody and Trading TISCH FAMILY RELATIONSHIP Tisch Financial Management 3/31/2016 O Onshore Custody 300000000 BPS 20 600000 Paul Morris Art Financing TOMS CAPITAL LLC RELATIONSHIP TOMS Capital Investment, LLC 3/31/2016 25 U.S. Structured Lending (Secured) 50000000 BPS 100 500000 Paul Morris Commerical Real Estate TOMS CAPITAL LLC RELATIONSHIP Gottesman, Noam 3/31/2016 10 Comm ercial Real Estate 50000000 BPS 200 1000000 Paul Morris Real Estate Financing TOMS CAPITAL LLC RELATIONSHIP TOMS Capital Investment, LLC 3/31/2016 10 U.S. Structured Lending (Secured) 60000000 BPS 100 600000 Paul Morris Introduction TRUE NORTH ADVISORS RELATIONSHIP True North Advisors, LLC 3/31/2016 O Private Wealth Premium Money Market 0 Stewart Oldfield Introduction UNITED COMPANY RELATIONSHIP United Company 3/31/2016 0 Private Weal th Premium Money Market 0 Stewart Oldfield Lending VIOLA, VINCENT RELATIONSHIP Viola, Vincent 3/31/2016 10 U.S. Letter of Credi t 25000000 BPS 100 250000 Paul Morris HF Secondaries WILLETT ADVISORS RELATIONSHIP Willett Advisors, LLC 3/16/2016 25 Hedg e Funds 5000000 Flat Fee 125000 125000 Stewart Oldfield Structured Credit WILLETT ADVISORS RELATIONSHIP Willett Advisors, LLC 3/31/2016 10 U.S. Letter of Credit 25000000 BPS 100 250000 Stewart Oldfield CRE Loan WILSON, WELCOME RELATIONSHIP Wilson, Welcome 3/31/2016 10 Commercial R eal Estate 200000000 BPS 100 2000000 Paul Morris Introduction WINSTON ADVISORS RELATIONSHIP Winston Advisors 3/31/2016 0 Priv ate Wealth Premium Money Market 0 Stewart Oldfield Petrides, George- YORKTOWN PARTNERS, LLC RELATIONSHIP Petrides, George 3/31/2016 25 Brokerage (Commissions) 10000000 BPS 5 5000 Paul Morris Banking YORKTOWN PARTNERS, LLC RELATIONSHIP Lawrence, Bryan 3/31/2016 25 Private Weal th Premium Checking 20000000 BPS 40 80000 Paul Morris IA YORKTOWN PARTNERS, LLC RELATIONSHIP Warren, Glenn 3/31/2016 25 U.S. IA - RC M 50000000 BPS 35 175000 Paul Morris Structured Lending YORKTOWN PARTNERS, LLC RELATIONSHIP Yorktown Partners LLC 3/31/2016 25 U.S. Structured Lending (Unsecured) 50000000 BPS 200 1000000 Paul Morris Brokerage YORKTOWN PARTNERS, LLC RELATIONSHIP Keenan, William Howard 3/31/2016 10 Brokerage (Commissions) 25000000 BPS 5 12500 Paul Morris EFTA01478318 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Tier tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Activity Date Date Contacted Category Notes 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 Offflifff AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 $25 - 50 M f$1$ BLUE MOUNTAIN RELATIONSHIP 00000494553 BOMMER, SCOTT RELATIONSHIP 00000482412 BRONFMAN, EDGAR RELATIONSHIP 00000482491 CAVALRY RELATIONSHIP 00000483810 Active CUMMINGS, IAN RELATIONSHIP 00000481149 (144$ DELL, MICHAEL RELATIONSHIP 1/6/2015 - 1 M ######## DINAN, JAMIE RELATIONSHIP ERGEN, CHARLES RELATIONSHIP - 1 M ######## FELDSTEIN, ANDREW RELATIONSHIP f$f$ GAGOSIAN, LARRY RELATIONSHIP GATES FOUNDATION RELATIONSHIP LAFFONT, PHILPPE RELATIONSHIP MANDEL, STEPHEN RELATIONSHIP - 1 M flitifftt MARRON, DONALD B. RELATIONSHIP PINE RIVER CAPITAL RELATIONSHIP SCHAEFER, MARLA RELATIONSHIP SIRIS CAPITAL RELATIONSHIP STREAM REALTY RELATIONSHIP TABLADA, MARO RELATIONSHIP TOMS CAPITAL LLC RELATIONSHIP VIOLA, VINCENT RELATIONSHIP 'Mt WEISS, GEORGE RELATIONSHIP 00000480421 fitf$ YORKTOWN PARTNERS, LLC RELATIONSHIP 00000482458 7/9/2013 00000480417 1/12/2015 00000487611 00000482519 12/20/2012 00000487026 00000495627 00000482432 00000485211 00000495565 00000482398 6/3/2013 00000481140 Active Active Active Tier 1 Active Tier 2 *finite Tier 3 $##$#$## Tier 2 $##$$$#$ 4441141#1 Tier 1 $100 - 500 M 00000409133 Active Tier 1 Active Tier 3 00000448035 Active Tier 2 00000416916 Active Tier 2 Active Tier 2 00000409312 Active Tier 3 Active Tier 2 Active Tier 2 Active Tier 3 Active Tier 2 Active Tier 2 00000409286 Active Tier 2 Active Tier 2 00000483947 Active 1111111/ Active Tier 1 $50 - 100 M H H H Rel. Net Worth Rela Last Modified Date <$0.5 M 414. $250 - 500K #### $50 - 100 M $0.5 H $50 - 100 m $50 - 100K Active Tier 3 1111111/ 1111111/ Active Tier 1 #104.410 #1041 14.0 #1041 14.11 #1041 14.11 11111111 11111111 Active Tier 1 $50 - 100 M $##$#$$# H H $50 - 100 m H H H H H H $$#$#$$$ $100 - 250K $50 - 100 m $100 - 250K Tier 3 f$$$$#$$ $0.5 EFTA01478319 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Tier tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Activity Date Date Contacted Category Notes 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 H BLUESTEM LLC RELATIONSHIP CARUSO, RICHARD RELATIONSHIP K 9/20/2015 CFM RELATIONSHIP 00000508292 Active COLLIS, CHARLES RELATIONSHIP 00000499562 DORRANCE FAMILY RELATIONSHIP 8/3/2015 - 500 m $25 - 50K 9/20/2015 DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 $250 - 500K 9/20/2015 HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 Active Tier 2 9/20/2015 ORIX RELATIONSHIP 00000497520 Active Tier 2 9/20/2015 ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 /2015 H SHAMROCK RELATIONSHIP 00000508301 Active SLOME, IAN RELATIONSHIP 00000499573 Active SNYDER, DANIEL RELATIONSHIP 00000495876 SONEN CAPITAL RELATIONSHIP 00000507994 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP - 25 M <$25K 9/20/2015 00000499584 1/6/2015 Active Tier 3 00000411476 Rel. Net Worth Rela Last Modified Date Tier 1 H 9/20/2015 Active Tier 2 <$25K 9/20/2015 9/20/2015 Active Tier 2 $10 - 25 M <$25 Tier 2 9/20/2015 Active Tier 2 9/20/2015 00000409820 Inactive Tier 1 1.5E9 $100 9/20/2015 Active Tier 1 9/20/2015 Tier 2 9/20/2015 Inactive Tier 1 $100 - 500 M Tier 2 9/20/2015 Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 11/3/2014 00000416313 H >$500 H M <$0.5 M 9/20 H H Active Tier 3 $10 EFTA01478320 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last d Date Category BLANK, ARTHUR M. RELATIONSHIP 8/3/2015 00000409087 BOIES FAMILY RELATIONSHIP 8/3/2015 00000474263 DZIALGA, KIRSTEN S MARK RELATIONSHIP 00000492969 Active GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP 00000492971 THIRD LAKE CAPITAL RELATIONSHIP 10/1/2014 TISCH FAMILY RELATIONSHIP 7/22/2013 ELLIN, HOWARD RELATIONSHIP 8/3/2015 ELYSIUM MANAGEMENT RELATIONSHIP 00000483288 KLEIN, LISA RELATIONSHIP 12/14/2012 LINDEMANN FAMILY RELATIONSHIP 2/6/2015 SK FAMILY OFFICE RELATIONSHIP 00000481998 SOUTHERN FINANCIAL RELATIONSHIP 00000483290 THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC 00000499740 Active Tier 2 9/20/2015 00000490359 00000409409 00000474212 Active Tier 2 00000440552 00000427075 Active Tier 1 Active Tier 1 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Tier 2 10/19/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 1 9/20/2015 Active Tier 3 9/20/2015 9/20/2015 Active Tier 3 10/19/2015 Active Tier 3 10/19/2015 9/20/2015 10/19/2015 Modifie H H H CHURCH OF NORTH AMERICA RELATIONSHIP 8/3/2015 EFTA01478321 Prospects Customer Name Last Call Note Customer Number Status Relationship Classification d Date Category 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 AVISTA RELATIONSHIP 5/16/2013 00000408824 Active BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 BLUE MOUNTAIN RELATIONSHIP 00000494553 BLUESTEM LLC RELATIONSHIP 00000499584 BONIER, SCOTT RELATIONSHIP 00000482412 BRONFMAN, EDGAR RELATIONSHIP 00000482491 CARUSO, RICHARD RELATIONSHIP 1/6/2015 CAVALRY RELATIONSHIP 00000483810 Active CFM RELATIONSHIP 00000508292 Active COLLIS, CHARLES RELATIONSHIP 00000499562 CUMMINGS, IAN RELATIONSHIP DELL, MICHAEL RELATIONSHIP DINAN, JAMIE RELATIONSHIP DORRANCE FAMILY RELATIONSHIP H DUNCAN INVESTMENTS RELATIONSHIP ERGEN, CHARLES RELATIONSHIP FELDSTEIN, ANDREW RELATIONSHIP FORRESTAL CAPITAL RELATIONSHIP GAGOSIAN, LARRY RELATIONSHIP GATES FOUNDATION RELATIONSHIP 00000487611 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 H HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 MANDEL, STEPHEN RELATIONSHIP 12/20/2012 MARRON, DONALD B. RELATIONSHIP 00000487026 ORIX RELATIONSHIP 00000497520 Active PINE RIVER CAPITAL RELATIONSHIP 00000495627 ROGER BULLOCH RELATIONSHIP 00000514745 SCHAEFER, MARLA RELATIONSHIP 00000482432 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 SHAMROCK RELATIONSHIP 00000508301 Active SIRIS CAPITAL RELATIONSHIP 00000485211 SLOME, IAN RELATIONSHIP 00000499573 Active SNYDER, DANIEL RELATIONSHIP 7/3/2015 SONEN CAPITAL RELATIONSHIP 00000507994 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP /2015 H STREAM REALTY RELATIONSHIP TABLADA, MARO RELATIONSHIP TOMS CAPITAL LLC RELATIONSHIP VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active DELUCA, FREDERICK RELATIONSHIP 11/5/2014 00000409192 A 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 10/14/2015 ALAGAPPAN, ARUN RELATIONSHIP 00000482385 Active Tier 1 9/20/2015 AMOROUSO, PAUL RELATIONSHIP 00000482396 Inactive Tier 2 9/20/2015 ARCHSTONE MULTIFAMILY PARTNERS AC, LP RELATIONSHIP 11/5/2014 00000469740 Tier 1 9/20/2015 ARDEN ASSET MGMT RELATIONSHIP 00000499582 Active Tier 2 ARROWPOINT PARTNERS RELATIONSHIP 00000493738 Active ASPEN GROVE CAPITAL RELATIONSHIP 00000493757 Active ASTON, SHERRELL RELATIONSHIP 00000482400 Active Tier 2 ATLAS PIPELINE PARTNERS, LP RELATIONSHIP 00000495788 BARRY, MITCHELL RELATIONSHIP 00000482402 Active Tier 2 9/20/2015 BASQUTAT RELATIONSHIP 00000486597 Active Tier 2 9/20/2015 BENEFIT STREET PARTNERS RELATIONSHIP 00000494492 Active Tier 2 9/20/2015 BERTAGNA, ROBERT RELATIONSHIP 00000482406 Inactive Tier 2 9/20/2015 BHALLA, AJAY RELATIONSHIP BLACK, LEON D. RELATIONSHIP BLATT, MITCHELL RELATIONSHIP BRACK CAPITAL RELATIONSHIP BRADLEY, THOMAS RELATIONSHIP BRANDIS, STEVE RELATIONSHIP BRESLOW, LEN RELATIONSHIP BRIGHT GROUP RELATIONSHIP BROWN, BATES RELATIONSHIP BRUDERMAN, MATTHEW RELATIONSHIP 00000481149 1/6/2014 00000482458 8/3/2015 00000499619 7/9/2013 00000480417 2/18/2015 1/12/2015 Active Tier 2 Active Tier 3 Active Tier 3 Active Tier 2 00000411476 Active Tier 2 Tier 1 9/20/2015 Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 1 00000409133 Active Tier 3 00000409820 Active Tier 2 00000448035 Active Tier 2 00000475431 00000416916 Active Tier 2 00000409312 Active Tier 3 9/20/2015 Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 00000409366 Active Tier 2 Tier 2 9/20/2015 Active Tier 3 9/20/2015 Tier 2 9/20/2015 00000495876 Active Tier 2 Active Tier 2 9/20/2015 11/3/2014 00000416313 Last Modifie 9/20/2015 9/20/2015 Tier 3 9/20/2015 Active Tier 2 9/20/2015 9/20/2015 9/20/2015 9/20/2015 9/20/2015 9/20/2015 9/20/2015 Active Tier 1 9/20/2015 Inactive 9/20/2015 Active Tier 1 9/20/2015 Active Tier 1 Active Tier 3 9/20/2015 Tier 2 9/20/2015 Inactive Tier 1 9/20/2015 H H 9/20/2015 H Tier 1 9/20/2015 H 9/20/2015 H 9/20/2015 9/20/2015 H H H H Tier 2 9/20/2015 9/20/2015 9/20/2015 Active Tier 2 H H H 9/20/2015 Active Tier 1 9/20/2015 H 00000495565 Active Tier 2 00000482398 Active Tier 2 6/3/2013 00000409286 H H H 9/20/2015 H 9/20/2015 H Active Tier 3 9/20 00000482389 6/5/2013 00000482408 00000507983 00000482414 00000482416 00000482420 00000499587 00000482426 00000482429 Active Tier 2 00000409101 Active Tier 2 Active Tier 2 Active Tier 2 Active Tier 2 Inactive Active Tier 3 Inactive Inactive 9/20/2015 9/20/2015 Active Tier 1 9/20/2015 9/20/2015 Tier 3 9/20/2015 Inactive Tier 1 H H 9/20/2015 H H H 9/20/2015 H Inactive 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 9/20/2015 Active Tier 2 9/20/2015 9/20/2015 Inactive 9/20/2015 9/20/2015 9/20/2015 9/20/2015 Tier 2 9/20/2015 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 Tier 1 9/20/2015 EFTA01478322 CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive Tier 2 9/20/2015 CANTER, STEPHEN RELATIONSHIP 00000481394 Inactive Tier 2 9/20/2015 CHOU, SILAS RELATIONSHIP 00000482437 Active Tier 1 9/20/2015 CLINE, MICHAEL RELATIONSHIP 00000482481 Active Tier 2 9/20/2015 COLD SPRING HARBOR LABORATORY RELATIONSHIP 00000481396 Active Tier 2 9/20/2015 COOPER, FRED RELATIONSHIP 00000482464 Active Tier 3 9/20/2015 CORRIGAN, PATTON RELATIONSHIP 00000481136 Active Tier 3 9/20/2015 COX, BERRY RELATIONSHIP 00000495990 Active Tier 3 9/20/2015 CROSS, LISA RELATIONSHIP 00000487462 Active Tier 2 9/20/2015 CV STARR RELATIONSHIP 00000499589 Active Tier 3 9/20/2015 DANIELS, JOSEPH RELATIONSHIP 00000482485 Inactive Tier 2 9/20/2015 DENATALE, ROBERT RELATIONSHIP 00000482487 Inactive Tier 2 9/20/2015 DOCK STREET CAPITAL RELATIONSHIP 00000520273 Active Tier 1 10/16/2015 DODD, RYAN RELATIONSHIP 00000482489 Active Tier 2 9/20/2015 DONALD BRYANT JR. RELATIONSHIP 6/1/2013 00000469399 Active Tier 2 9/20/2015 ELLMAN, STUART RELATIONSHIP ENCAP INVESTMENTS RELATIONSHIP FINE, LONNIE RELATIONSHIP FITZGIBBONS, JOHN RELATIONSHIP FORD, GERALD J RELATIONSHIP GAIL, COLEMAN RELATIONSHIP SASLOW, LAWRENCE RELATIONSHIP GEMINI REAL ESTATE RELATIONSHI GERSCHEL, PATRICK RELATIONSHIP GLICKMAN, DONALD RELATIONSHIP GLIMCHER, ARNIE RELATIONSHIP GOLDMAN, BUDD RELATIONSHIP GOODWIN, KEIRNAN RELATIONSHIP GRANDWAY ASSET MANAGEMENT, INC /2015 GRANITE GROUP RELATIONSHIP GREENBERG, MAURICE RELATIONSHI HARBOURTON RELATIONSHIP 000004 HARVEY, BERGER RELATIONSHIP HATFIELD, JAY RELATIONSHIP HG CAPITAL RELATIONSHIP 000004 HOLTERBOSCH, HEIDI RELATIONSHI HUDIBURG RELATIONSHIP 000004 HUGHSON, PAUL RELATIONSHIP 00000482515 Inactive Tier 2 9/20/2015 HUSAIN, FAZLE RELATIONSHIP 00000482529 Active Tier 2 9/20/2015 HYMAN, ED RELATIONSHIP 00000481404 Active Tier 3 9/20/2015 ILLIG, CLIFF RELATIONSHIP 00000499604 Active Tier 3 9/20/2015 IRONSIDES ASSET MGMT RELATIONSHIP 00000499596 Active Tier 2 9/20/2015 ITAFIN RELATIONSHIP 00000498895 Active JACK NORRIS RELATIONSHIP 3/7/2013 JAIN, NEIL RELATIONSHIP 00000482496 Active JESSELSON CAPITAL RELATIONSHIP 00000489088 JL SQUARED GROUP RELATIONSHIP 00000499598 JSC INTERIORS LLC RELATIONSHIP 00000496076 KALIKOW, PETER RELATIONSHIP 00000178401 Active Tier 2 9/20/2015 KARGMAN, HARRY RELATIONSHIP 00000482503 Inactive Tier 3 9/20/2015 KATZ, STEVEN RELATIONSHIP 00000482472 Inactive Tier 3 9/20/2015 KEENAN, WILLIAM HOWARD RELATIONSHIP 00000482513 Inactive Tier 2 9/20/2015 KELLY, JUDY RELATIONSHIP 00000482527 Inactive KIMMEL, ADAM RELATIONSHIP 00000482533 Active Tier 3 KRISTOFF, MARK RELATIONSHIP 00000482524 Inactive LANGFORD, DAVID RELATIONSHIP 00000482518 Inactive LICHTENSTEIN, WARREN RELATIONSHIP 00000482267 Active LIME ROCK PARTNERS RELATIONSHIP 5/16/2013 00000478453 LORBER, HOWARD RELATIONSHIP 00000520256 Active Tier 3 M20 INCORPORATED RELATIONSHIP 00000499600 Active Tier 2 MARINER CAPITAL RELATIONSHIP 00000499577 Active Tier 3 MATEER, CRAIG RELATIONSHIP 8/19/2015 00000495818 Inactive Tier 2 9/20/2015 MEISTER, TODD RELATIONSHIP 00000482449 Active Tier 2 9/20/2015 MEP INVESTORS LLC RELATIONSHIP 12/14/2012 00000410774 Active Tier 1 9/20/2015 MICHELSON, GARY KARLIN RELATIONSHIP 11/6/2014 00000435204 Inactive Tier 2 9/20 /2015 MILCH, NEAL RELATIONSHIP 00000482476 Active MILTON ACADEMY RELATIONSHIP 00000483494 Active MIVEN LP RELATIONSHIP 11/4/2014 00000418860 MOODY, ERIK RELATIONSHIP 00000514634 Active MURSTEIN, ALVIN RELATIONSHIP 00000481145 Active NAZERIAN, DAVID RELATIONSHIP 00000499575 Active NIR, DAN RELATIONSHIP 00000482454 Active Tier 3 OVERSTROM, GUNNAR RELATIONSHIP 00000482474 Active OXFORD LANE CAPITAL RELATIONSHIP 00000493740 PACKER, MARC RELATIONSHIP 00000481318 Active PARAMI CAPITAL MANAGEMENT RELATIONSHIP 00000498424 PATRIOT STRATEGY PARTNERS RELATIONSHIP 00000484400 00000482462 5/16/2013 00000482493 00000482193 2/18/2015 00000482497 00000482500 P 00000492404 00000481147 00000482505 00000480419 00000482509 00000482456 . RELATIONSHIP 00000508353 P 11/5/2014 96026 Inactive 00000482512 Active 00000482508 Active 83662 Inactive P 00000482522 Active 96304 Inactive Active Tier 3 9/20/2015 00000466131 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 3 9/20/2015 00000409212 Active Tier 1 9/20/2015 Inactive Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 3 9/20/2015 11/5/2014 00000483929 Active Tier 1 9/20 Active Tier 00000409240 Tier Tier Tier Tier Tier Tier 2 9/20/2015 Active Tier 1 9/20/2015 3 9/20/2015 2 9/20/2015 2 9/20/2015 2 9/20/2015 3 9/20/2015 2 9/20/2015 Tier 3 9/20/2015 00000451105 Inactive Tier 3 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Inactive Tier 2 9/20/2015 Tier 2 9/20/2015 Tier 3 9/20/2015 9/20/2015 Tier 3 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 Active Tier 2 9/20/2015 10/16/2015 9/20/2015 9/20/2015 Tier 3 9/20/2015 Tier 2 9/20/2015 Active Tier 3 9/20/2015 Tier 3 9/20/2015 Tier 2 9/20/2015 Tier 1 9/20/2015 9/20/2015 Tier 3 9/20/2015 Active Tier 2 9/20/2015 Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 10/19/2015 EFTA01478323 PENSLER, SANDY RELATIONSHIP 00000482468 PEREGRINE GROUP RELATIONSHIP 00000499602 POLYMER LOGISTICS RELATIONSHIP 00000508809 RICHARDSON, JULIE RELATIONSHIP 00000481328 Active ROARK CAPITAL GROUP RELATIONSHIP 11/20/2013 ROSE, SIMON RELATIONSHIP ROSEMORE, INC RELATIONSHIP SALZMAN, RICHARD RELATIONSHIP SCF PARTNERS RELATIONSHIP SCHOR, FRANCIS RELATIONSHIP SCHREIBER, KARL RELATIONSHIP SCS FINANCIAL RELATIONSHIP SHANKEN, MARVIN RELATIONSHIP SIEGEL, JEROME RELATIONSHIP SILVESTRI, ANGELO RELATIONSHIP SIMON, RICHARD M RELATIONSHIP 00000484535 Active Tier 2 9/20/2015 SK CAPITAL PARTNERS RELATIONSHIP 3/6/2013 00000435834 Inactive 9/20/2015 SLIFKA, RANDY RELATIONSHIP 8/12/2015 00000451242 Active Tier 1 9/20/2015 STALLER, CARY RELATIONSHIP 00000482410 Active Tier 2 9/20/2015 TAXEL, NELSON RELATIONSHIP 00000482391 Inactive Tier 3 9/20/2015 TRUE NORTH ADVISORS RELATIONSHIP 00000508807 Active Tier 2 9/20/2015 UNITED COMPANY RELATIONSHIP WEINDLING, LESTER RELATIONSHIP WHITE DEER ENERGY RELATIONSHIP WILLETT ADVISORS RELATIONSHIP WILSON, WELCOME RELATIONSHIP WINSTON ADVISORS RELATIONSHIP Active Active Active 00000482444 11/4/2014 00000482442 00000483655 00000482430 00000506830 11/10/2014 00000482424 00000482422 Active Tier 2 00000482418 Active Tier 2 Tier 3 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 00000459563 Active Tier 2 9/20/2015 Active Tier 3 9/20/2015 00000409735 Inactive 9/20/2015 Active Tier 3 9/20/2015 Active Tier 2 9/20/2015 Inactive Tier 2 9/20/2015 Active Tier 3 9/20/2015 00000470597 Active Tier 3 9/20/2015 Active Tier 2 9/20/2015 9/20/2015 9/20/2015 00000499617 11/17/2014 3/18/2013 00000495941 00000480635 00000514077 Active Tier 2 00000169891 00000478302 Active Tier 2 Active Tier 1 Active Tier 2 9/20/2015 Active Tier 3 9/20/2015 Active Tier 2 9/20/2015 9/20/2015 9/20/2015 9/20/2015 EFTA01478324