No Pre-Approval

No Pre-Approval Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Employee Name Emp. ID Emp. Status Company Name Attendee Name Total A ness Purpose Vendor VRABLIC, ROSEMARY 6212663 A mary T Vrablic 2 200 400 VRABLIC, ROSEMARY 6212663 A Charles Baker 2 200 400 VRABLIC, ROSEMARY 6212663 A rd Lepow 3 200 600 VRABLIC, ROSEMARY 6212663 A y Lepow 3 200 600 Client Meals Dinner MORINI RISTORANTE VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 mary T Vrablic 3 200 600 Client Meals Dinner MORINI RISTORANTE This report displays Concur entries requiring pre-approval that were not found in ACERS. Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance eeded. SA SP Kim Hart, Chip Packard, Michael -J Davis, Erin 0-Rourke, Zia Memon, Chris Jensen Concur Entry Key Cost Center Transaction Date ttendees Per Head Cost Total Amount Expense Type Busi 13406206 Client Meals 13406206 Client Meals 13340285 Client Meals 13340285 6201215544 Dinner MAREA 6201215544 Dinner MAREA 6201215544 Dinner MORINI 6201215544 1/9/2014 1/9/2014 1/2/2014 RISTORANTE 1/2/2014 DB Rose DLA Piper Client Howa Client Sall DB Rose written supervisory approval is n EFTA01478778 Pre-Approval Discrepancies Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael -J Davis, Erin 0-Rourke, Zia Memon, Chris Jensen ACERS Concur ACER Unique ID DB People ID DB Host Last Name DB Host First Name Cost Center ACER Event Date Attendee Name Client Firm Client Relationship Attendee type Total Amount Per Head Count Total Attendees Expense Type Description Compliance Approver Compliance A pproval Date Concur ID Pre-Approval Number Transaction Date/ Time Attendee Name Clie nt Firm Attendee type Total Amount in Concur Attendee Amount Total Attendees Business Purpose Expense Type Vendor 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Judith Webster DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13651467 156792 01/23/2014 Brian P. Convey Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Josh Shoshan DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13651467 156792 01/23/2014 Mike Underwood Wynkoop Capital LLC Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brain Frenkel A M N Investments / Colorado Family Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tick ets courtside include dinner Not applicable 13637008 156792 01/23/2014 Brad Underwo od Colorado Partners Client 2100 350 6 Client Meeting Sporting/Theater Tic kets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH Client 2700 450 6 Not applicable 13637008 nt 2100 350 6 ULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brad Underwood Altitude Investment Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside in elude dinner Not applicable 13637008 156792 01/23/2014 Joshua Shoshan Employee 2100 350 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING L LC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Michael Underwood Wynkoop Capi tal LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 01/23/2014 Judith A Webster Employee 2100 350 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING L LC 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Dominic Scalzi DB Employee Employee 524.74 131 4 Meals/drinks Client Dinner Not applicable 13408021 158167 01/12/2014 Dominic J Scalzi Employee 525 174.91 3 Dinner Clie nt Meals PICCOLO PARADISO RISTORAN 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Rosemary Vrablic DB oyee Employee 524.74 131 4 Meals/drinks Client Dinner Not applicable 8021 158167 01/12/2014 Rosemary T Vrablic Employee 525 174.91 3 er Client Meals PICCOLO PARADISO RISTORAN 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Michael Mandt Michael Mandt nt 524.74 131 4 Meals/drinks Client Dinner Not applicable 13408021 67 01/12/2014 Otto Mally Kroenke Organization Client 525 174.91 3 er Client Meals PARADISO RISTORAN 6433705005 1/30/2014 Noah Agron Brigade Management Ticketed events + meals/drinks Tickets courtside include dinner 156792 01/23/2014 Brian Frenkel Colorado partners Clie Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONS 158167 6212651 SCALZI nt Client 524.74 158168 6212651 SCALZI Employee 681.39 158168 01/16/2014 nt Meals PATROON 158168 6212651 SCALZI DOMINIC oyee Employee 681.39 6542 158168 01/16/2014 nt Meals PATROON 158168 6212651 SCALZI nt Client 681.39 158168 01/16/2014 PATROON 158168 6212651 SCALZI rablic Employee 158249 6106839 MOORE oyee Employee 900 450 2 Ticketed Event Knicks 158249 01/06/2014 alan kestenbaum globe specialty metals Client t Tickets - Single event Client -Entertainment 158249 6106839 MOORE SALVATORE 6201215544 1/13/2014 nufacturing Corp Client 900 450 2 Ticketed Event 8352 158249 01/06/2014 Brian P. Convey Employee 17620 s - Single event Client -Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 id A. Ehrenberg Employee 17620 677.70 26 Sport Tickets - tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 PICCOLO DOMINIC 131 DOMINIC 227 Dominic 6201215544 1/12/2014 4 Meals/drinks Client 6201215544 1/16/2014 3 Meals/drinks Client J Scalzi Employee 6201215544 227 3 Michael Mandt Empl 1340 Dinn Clie 1581 Dinn Neil Mandt Neil Mandt Clie Dinner Not applicable Dominic Scalzi DB Employee Dinner Not applicable 13466542 681 170.35 4 Dinner Clie 1/16/2014 Rosemary Vrablic DB Empl Meals/drinks Client Dinner Not applicable 1346 Client Client 681 170.35 4 Dinner Clie DOMINIC 6201215544 1/16/2014 Otto Malli Kroenke Group Clie 227 3 Meals/drinks Client Dinner Not applicable 13466542 Neil Mandt Client Client 681 170.35 4 Dinner Client Meals DOMINIC Not applicable 13466542 158168 681 170.34 4 Dinner Client Meals SALVATORE 6201215544 1/13/2014 01/16/2014 PATROON Sal Moore Not applicable 17620 677.69 Rosemary T V DB Empl 13728352 26 Spor Donald Damast Commodore Ma Knicks Not applicable 1372 677.69 26 Sport Ticket 158249 01/06/2014 Brig Single event Client -Enter 158249 01/06/2014 davi EFTA01478779 da deutsch na tainment 158249 6106839 MOORE spoor na Client 158249 6106839 MOORE trios smyrinios n/a tainment 158249 6106839 MOORE Id damast na tainment 158249 6106839 MOORE SALVATORE a kay strategic procurement Client nt-Entertainment 158249 6106839 MOORE SALVATORE h lorenzo na Client 17620 677.69 26 tainment 158249 6106839 MOORE SALVATORE Not erick mcmullen Fidelity asset management le event Client -Entertainment 158249 6106839 MOORE SALVATORE rodriguez americana manhasset Client 17620 Client -Entertainment 158249 6106839 MOORE SALVATORE R Marson Employee 17620 tainment 158249 6106839 MOORE ostrow na Client 158249 6106839 MOORE mcquiston na tainment 158249 6106839 MOORE delaney na tainment 158249 6106839 MOORE smyrinios na tainment 158249 6106839 MOORE ael torregiano hamlin 677.69 26 tainment 158249 6106839 MOORE perkins na 677.69 26 tainment 158249 6106839 MOORE sonenberg na 677.69 26 tainment 158249 6106839 MOORE smyrinios na 677.69 26 tainment 158249 6106839 MOORE SALVATORE ostrow na Client 17620 677.69 158249 6106839 MOORE SALVATORE atore E. Moore Employee 17620 tainment 158249 6106839 MOORE SALVATORE williams na Client 17620 tainment 158249 6106839 MOORE SALVATORE t T. Prokop Employee 17620 tainment 158249 6106839 MOORE SALVATORE e Schneider Cenosystems, Inc. Client -Entertainment 158249 6106839 MOORE SALVATORE farison na Client 17620 tainment 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Salvatore Moore DB Empl oyee Employee 6025 1506 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/1 4/2014 13685884 158454 01/27/2014 gerald barad na Client 4525 1131.25 4 Sport Tickets - Single event Client -Entertainment NFL-TICKETS 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Ronnie Apfel Shimmie Horn Relationship - Iriqouis Hotel Client 6025 1506 4 Ticketed Event NFL Super Bowl Jose ph Yuen 02/14/2014 13685884 158454 01/27/2014 ronnie apfel na Client 4525 1131.25 4 Sport Tickets - Single event Client -Entertainment NFL-TICKETS 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Shimmie Horn Shimmie Horn Relationship - Iriqouis Hotel Client 6025 1506 4 Ticketed Event NFL Super Bowl Jose ph Yuen 02/14/2014 13685884 158454 01/27/2014 Salvatore E. Moore Employee 4525 1131.25 4 Sport Tickets - Single event Client -Entertainment NFL-TICKETS 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Gerald Barad Gerald Barad Client Client 6025 1506 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 Client 17620 SALVATORE 17620 677.69 SALVATORE Client 17620 SALVATORE Client 17620 SALVATORE 17620 677.69 SALVATORE Client 17620 SALVATORE Client 17620 SALVATORE Client 17620 SALVATORE Client 17620 SALVATORE Client 17620 SALVATORE Client 17620 SALVATORE Client 17620 677.70 26 Sport Tickets Not applicable 13728352 26 Sport Tickets - Single Not applicable 13728352 677.69 26 Sport Tickets Not applicable 677.69 26 - Single event Client -Enter 158249 01/06/2014 dick event Client -Entertainment 158249 01/06/2014 dimi - Single event Client -Enter 13728352 Sport Tickets - Not applicable 13728352 17620 677.69 26 Sport Not applicable 13728352 Sport Tickets applicable 13728352 Client 17620 677.70 Not applicable 13728352 677.69 26 158249 01/06/2014 done Single event Client -Enter 158249 01/06/2014 donn Tickets - Single event Clie 158249 01/06/2014 fait - Single event Client -Enter Not applicable 13728352 677.69 26 Sport Tickets - Not applicable 13728352 26 Sport Tickets - Single Not applicable 13728352 677.69 26 Sport Tickets Not applicable 677.70 26 Not applicable 677.69 26 158249 01/06/2014 fred 26 Sport Tickets - Sing 158249 01/06/2014 joe Sport Tickets - Single event 158249 01/06/2014 John Single event Client -Enter 158249 event 158249 - Single 13728352 Sport Tickets - 13728352 Sport Tickets - Not applicable 13728352 Sport Tickets - Not applicable 13728352 Sport Tickets - Not applicable 13728352 Sport Tickets - Not applicable 13728352 Sport Tickets - Not applicable 13728352 26 Sport Tickets - Single Not applicable 13728352 677.69 26 Sport Tickets Not applicable 677.69 26 Not applicable 677.70 26 Not applicable Client 17620 Not applicable 677.69 26 01/06/2014 jon Client -Entertainment 01/06/2014 kit event Client -Enter 158249 01/06/2014 kyle Single event Client -Enter 158249 01/06/2014 max Single event Client -Enter 158249 01/06/2014 mich Single event Client -Enter 158249 01/06/2014 nate Single event Client -Enter 158249 01/06/2014 neil Single event Client -Enter 158249 01/06/2014 pete Single event Client -Enter 158249 01/06/2014 ron event Client -Entertainment 158249 01/06/2014 Salv - Single event Client -Enter 13728352 Sport Tickets - 13728352 Sport Tickets - 13728352 677.70 26 13728352 Sport Tickets - 158249 01/06/2014 scot Single event Client -Enter 158249 01/06/2014 Scot Single event Client -Enter 158249 01/06/2014 Stev Sport Tickets - Single event 158249 01/06/2014 yuri Single event Client -Enter EFTA01478780 13685884 158454 01/27/2014 shimmie horm na Client 4525 1131.25 4 Spor t Tickets - Single event Client -Entertainment NFL-TICKETS This report displays Concur entries requiring pre-approval that were found in ACERS but present vari ous discrepancies. Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance written supervisory approval is n eeded. SA 6P EFTA01478781 Pre-Approval No Discrepancies Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael -J Davis, Erin 0-Rourke, Zia Memon, Chris Jensen ACERS Concur ACER Unique ID DB People ID DB Host Last Name DB Host First Name Cost Center ACER Event Date Attendee Name Client Firm Client Relationship Attendee Type Total Amount Per Head Count Total Attendees Expense Type Description Compliance Approver Compliance A pproval Date Concur ID Pre-Approval Number Transaction Date/ Time Attendee Name Clie nt Firm Attendee type Total Amount in Concur Attendee Amount Total Attendees Business Purpose Expense Type Vendor 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brain Frenkel A M N Investments / Colorado Family Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tick ets courtside include dinner Not applicable 13637008 156792 1/30/2014 Brian P. Con vey Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Va lue 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brain Frenkel A M N Investments / Colorado Family Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tick ets courtside include dinner Not applicable 13637008 156792 1/30/2014 Mike Underwo od Wynkoop Capital LLC Client 2700 450 6 Client Meeting Sporting/Theater Tic kets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brad Underwood Altitude Investment Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside in clude dinner Not applicable 13637008 156792 1/30/2014 Brad Underwood Colorado Par tners Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brad Underwood Altitude Investment Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside in dude dinner Not applicable 13637008 156792 1/30/2014 Brian Frenkel Colorado par tners Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGE NCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Noah Agron Brigade Management Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 13637008 156792 1/30/2014 Joshua Shoshan Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Noah Agron Brigade Management Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 13637008 156792 1/30/2014 Judith A Webster Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Josh Shoshan DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 Cathy Oberg Hudson News Clie nt 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Josh Shoshan DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 jim cohen n/a Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Judith Webster DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 John R Marson Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Judith Webster DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 robert cohen n/a Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING LLC This report displays Concur entries requiring pre-approval that were found in ACERS. Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance written supervisory approval is n eeded. SA SP EFTA01478782 No Reimbursement Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael -J Davis, Erin O-Rourke, Zia Memon, Chris Jensen Employee Name Emp. ID Emp. Status ACERS Unique ID Status Source Cost Center Transaction Date Company Name Attendee Name Client Relationship Total Attendees Per Head Cost Tota 1 Amount Expense Type Compliance Approver Compliance Approval Date JENSEN, JOANNE 8003324 A 149943 Sent ACERS 6201128669 1/22/2014 DB Joan ne Jensen Employee 2 305 610 Ticketed Event Not applicable JENSEN, JOANNE 8003324 A 149943 Sent ACERS 6201128669 1/22/2014 Eton Park Petr Prerovsky Client 2 305 610 Ticketed Event Not applicable VRABLIC, ROSEMARY 6212663 A 156833 Sent ACERS 6201215544 1/2/2014 DB Rosemary Vrablic Employee 3 200 600 Meals/drinks Not applicable VRABLIC, ROSEMARY 6212663 A 156833 Sent ACERS 6201215544 1/2/2014 Howa 3 200 600 Meals/drinks Not applicable 156833 sent ACERS 6201215544 1/2/2014 sail 200 600 Meals/drinks Not applicable 158250 Sent ACERS 6201215544 1/16/2014 DB 450 900 Ticketed Event Not applicable 158250 Sent ACERS 6201215544 1/16/2014 Rose Neil Sonenberg 2 450 900 Ticketed Event Not rd Lepow Howard Lepow Client VRABLIC, ROSEMARY 6212663 A y Lepow Sally Lepow Client 3 MOORE, SALVATORE 6106839 A Sal Moore Employee 2 MOORE, SALVATORE 6106839 A n Seymour Shapss Martin & Company applicable MOORE, SALVATORE 6106839 A 158251 Sent of America Nate Perkins 2 450 900 MOORE, SALVATORE 6106839 A 158251 Sent Sal Moore Employee 2 450 900 MOORE, SALVATORE 6106839 A 158252 sent Sal Moore Employee 2 450 900 MOORE, SALVATORE 6106839 A 158252 sent Spoor Dick Spoor Client 2 450 900 MOORE, SALVATORE 6106839 A 158253 sent Sal Moore Employee 2 450 900 MOORE, SALVATORE 6106839 A 158253 sent Williams Scot Williams Client 2 450 MOORE, SALVATORE 6106839 A 158254 Sent Sal Moore Employee 2 450 900 MOORE, SALVATORE 6106839 A 158254 Sent Farison Yuri Farison Client 2 450 MOORE, SALVATORE 6106839 A 158255 Sent Sal Moore Employee 4 425 1700 MOORE, SALVATORE 6106839 A 158255 Sent an Foods Dimitrious Smyrinios 4 425 MOORE, SALVATORE 6106839 A 158255 Sent ACERS an Foods Max Smyrinios (Child of Dimitrious Smyrinios) nt Not applicable MOORE, SALVATORE 6106839 A 158255 Sent ACERS an Foods Pete Smyrinios (Child of Dimitrious Smyrinios) nt Not applicable MORRIS, PAUL 8067863 A Morris Employee 3 MORRIS, PAUL 8067863 A LLP Jim Alterbaum Client MORRIS, PAUL 8067863 A ancial LLP Richard Kahn MULLIN IV, MICHAEL 6212513 Michael Mullin Employee MULLIN IV, MICHAEL 6212513 y Capital Gary Mosko CONVEY, BRIAN 6106275 A n Convey Employee CONVEY, BRIAN 6106275 A ational/Globe Specialty Metals ph Yuen 02/25/2014 JACOBY, MICHAEL 6123267 A Gleber Employee 6 JACOBY, MICHAEL 6123267 A Westhoff Employee JACOBY, MICHAEL 6123267 A ael Jacoby Employee JACOBY, MICHAEL 6123267 A Alex Ohlsson Client 6 JACOBY, MICHAEL 6123267 A Nick Wakefield Client 6 JACOBY, MICHAEL 6123267 A Steven Stegenwalner Client CONVEY, BRIAN 6106275 A Beth Ostrow Client 2 CONVEY, BRIAN 6106275 A n Convey Employee ACERS 6201215544 1/17/2014 Bank Ticketed Event Not applicable ACERS 6201215544 1/17/2014 DB Ticketed Event Not applicable ACERS 6201215544 1/21/2014 DB Ticketed Event Not applicable ACERS 6201215544 1/21/2014 Dick Ticketed Event Not applicable ACERS 6201215544 1/24/2014 DB Ticketed Event Not applicable ACERS 6201215544 1/24/2014 Scot 900 Ticketed Event Not applicable ACERS 6201215544 1/28/2014 DB Ticketed Event Not applicable ACERS 6201215544 1/28/2014 Yuri 900 Ticketed Event Not applicable ACERS 6201215544 2/1/2014 DB Ticketed Event Not applicable ACERS 6201215544 2/1/2014 Seta: 1700 Ticketed Event Not applicable 6201215544 2/1/2014 Schu 4 425 1700 Ticketed Eve 6201215544 2/1/2014 Schu 4 425 1700 Ticketed Eve 158620 Sent ACERS 6201215544 2/12/2014 DB Paul 300 900 Ticketed Event Not applicable 158620 Sent ACERS 6201215544 2/12/2014 Moses Singer 3 300 900 Ticketed Event Not applicable 158620 Sent ACERS 6201215544 2/12/2014 Southern Fin Client 3 300 900 Ticketed Event Not applicable A 158854 Sent ACERS 6201215544 2/4/2014 DB 2 175 350 Ticketed Event Not applicable A 158854 Sent ACERS 6201215544 2/4/2014 Holl 2 175 350 Ticketed Event Not applicable 158980 Sent ACERS 6201215544 2/2/2014 DB Bria 2 1512.5 3025 Ticketed Event Joseph Yuen 02/25/2014 158980 Sent ACERS 6201215544 2/2/2014 Marco Intern Alan Kestenbaum Client 2 1512.5 3025 Ticketed Event Jose 158989 Sent ACERS 253.333333 1520 158989 Sent ACERS 6 253.333333 158989 Sent ACERS 6 253.333333 158989 Sent ACERS 253.333333 1520 Meals/drinks Not applicable 158989 Sent ACERS 6201215594 2/20/2014 Somerston 253.333333 1520 Meals/drinks Not applicable 158989 Sent ACERS 6201215594 2/20/2014 Somerston 6 253.333333 1520 Meals/drinks Not applicable 159040 Sent ACERS 6201215544 2/5/2014 Beth Ostrow 450 900 Ticketed Event Not applicable 159040 Sent ACERS 6201215544 2/5/2014 DB 2 450 900 Ticketed Event Not applicable 6201215594 2/20/2014 DB John Meals/drinks Not applicable 6201215594 2/20/2014 DB Mark 1520 Meals/drinks Not applicable 6201215594 2/20/2014 DB Mich 1520 Meals/drinks Not applicable 6201215594 2/20/2014 Somerston Bria EFTA01478783 CONVEY, BRIAN 6106275 A 159041 Sent ACERS 6201215544 2/12/2014 A Kozak S Co LLP Arnie Toren Client 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159041 Sent ACERS 6201215544 2/12/2014 DB Bria n Convey Employee 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 DB Bria n Convey Employee 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 William AM B urden Margaret Casella Client 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 William AM B urden Michael Casella Client 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 William AM B urden Mike Casella Client 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159043 Sent ACERS 6201215544 2/27/2014 DB Bria n Convey Employee 3 355.666666 1067 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159043 Sent ACERS 6201215544 2/27/2014 DB Salv store Moore Employee 3 355.666666 1067 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159043 Sent ACERS 6201215544 2/27/2014 Thomas Moore head Thomas Moorehead le Client 3 355.666666 1067 Ticketed Event Not applicab CONVEY, BRIAN 6106275 A 159044 Sent ACERS 6201215544 2/28/2014 Americana Ma nhasset John Gutleber Client 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159044 Sent ACERS 6201215544 2/28/2014 DB Bria n Convey Employee 2 450 900 Ticketed Event Not applicable Thresholds for Supervisory Approval The following table depicts the eeded. SA SP thresholds triggering when advance written supervisory approval is n EFTA01478784 Concur Raw Data Date : 1/1/2014 to 2/28/2014 Business Unit : Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael -J Davis, Erin O-Rourke, Zia Memon, Chris Jensen Employee Name Emp. ID Emp. Status Concur Entry Key Pre-Approval Number Cost Center Transaction Date Company Name Attendee Name Attendee Type Total Attendees Per Head Cos t Total Amt Business Purpose Expense Type VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 Client Sall y Lepow Client 3 200 600 Dinner Client Meals VRABLIC, ROSEMARY 6212663 13340285 6201215544 1/2/2014 DB Rose mary T Vrablic Employee VRABLIC, ROSEMARY 6212663 rd Lepow Client 3 VRABLIC, ROSEMARY 6212663 Charles Baker Client 2 VRABLIC, ROSEMARY 6212663 mary T Vrablic Employee WEBSTER, JUDITH 6219059 A an Employee 6 lue WEBSTER, JUDITH 6219059 A vey Employee 6 lue WEBSTER, JUDITH 6219059 A tners Brad Underwood Client icket Value WEBSTER, JUDITH 6219059 A tal LLC Mike Underwood Client icket Value WEBSTER, JUDITH 6219059 A ster Employee 6 lue WEBSTER, JUDITH 6219059 A tners Brian Frenkel Client icket Value SCALZI, DOMINIC 6212651 A nization Otto Mally SCALZI, DOMINIC 6212651 A alzi Employee 3 SCALZI, DOMINIC 6212651 A rablic Employee 3 SCALZI, DOMINIC 6212651 A alzi Employee 4 SCALZI, DOMINIC 6212651 A rablic Employee 4 SCALZI, DOMINIC 6212651 A ael Mandt Client 4 SCALZI, DOMINIC 6212651 A Mandt Client 4 170.35 MARSON, JOHN 6107543 A n Employee 4 MARSON, JOHN 6107543 A rt cohen Client 4 MARSON, JOHN 6107543 A Cathy Oberg Client 4 MARSON, JOHN 6107543 A cohen Client 4 160 MOORE, SALVATORE 6106839 t T. Prokop Employee tainment MOORE, SALVATORE 6106839 davida deutsch Client 26 MOORE, SALVATORE 6106839 faith lorenzo Client 26 MOORE, SALVATORE 6106839 pete smyrinios Client 26 MOORE, SALVATORE 6106839 id A. Ehrenberg Employee tainment MOORE, SALVATORE 6106839 R Marson Employee tainment MOORE, SALVATORE 6106839 A 13728352 systems, Inc. Steve Schneider Client 26 677.70 nt-Entertainment MOORE, SALVATORE 6106839 A 13728352 lity asset management frederick mcmullen Client le event Client -Entertainment MOORE, SALVATORE 6106839 A A 3 A 200 A 200 200 600 13340285 600 Dinner 13406206 400 Dinner A 13406206 2 200 400 13637008 156792 350 2100 Client 13651467 450 2700 13637008 6 350 13651467 6 450 13637008 350 2100 13637008 6 350 13408021 Client 3 13408021 174.91 525 13408021 174.91 525 13466542 170.35 680 13466542 170.34 680 13466542 170.35 680 13466542 680 Dinner 13519560 160 640 13519560 160 640 13519560 160 640 Dinner Client Meals 6201215544 1/2/2014 Client Meals 6201215544 1/9/2014 Client Meals 6201215544 1/9/2014 Dinner Client Meals 6433705005 01/23/20 Meeting Sporting/Theater 156792 6433705005 01/23/20 Client Meeting Sporting/Theater 156792 2100 156792 2700 156792 Client 6433705005 01/23/20 Client Meeting Sporting 6433705005 01/23/20 Client Meeting Sporting 6433705005 01/23/20 Meeting Sporting/Theater 156792 6433705005 01/23/20 2100 Client Meeting Sporting 158167 174.91 158167 Dinner 158167 Dinner 158168 Dinner 158168 6201215544 Dinner Client Meals 158168 6201215544 Dinner Client Meals 158168 6201215544 Client Meals 158169 6201215544 Sport Tickets - Single 158169 6201215544 Sport Tickets - Single 158169 6201215544 Sport Tickets - Single 13519560 158169 6201215544 01/23/2014 n/a jim 640 Sport Tickets - Single event Client -Entertainment A 13728352 158249 6201215544 01/06/2014 Scot 26 677.70 17628 Sport Tickets - Single event Client -Enter 6201215544 525 Dinner 6201215544 Client Meals 6201215544 Client Meals 6201215544 Client Meals A 677.70 A 677.69 A 677.69 A 26 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 677.70 17628 A 13728352 26 677.69 17628 Client Howa DLA Piper DB Rose 14 Joshua Shosh Tickets - Ticket Va 14 Brian P. Con Tickets - Ticket Va 14 Colorado Par /Theater Tickets - T 14 Wynkoop Capi /Theater Tickets - T 14 Judith A Web Tickets - Ticket Va 14 Colorado par /Theater Tickets - T 01/12/2014 Client Meals 01/12/2014 01/12/2014 01/16/2014 01/16/2014 01/16/2014 01/16/2014 Kroenke Orga Dominic J Sc Rosemary T V Dominic J Sc Rosemary T V Client Mich Client Neil 01/23/2014 John R Marso event Client -Entertainment 01/23/2014 n/a robe event Client -Entertainment 01/23/2014 Hudson News event Client -Entertainment 158249 6201215544 01/06/2014 na Tickets - Single event Client -Entertainment 158249 6201215544 01/06/2014 na Tickets - Single event Client -Entertainment 158249 6201215544 01/06/2014 na Tickets - Single event Client -Entertainment 158249 6201215544 01/06/2014 Brig Sport Tickets - Single event Client -Enter 158249 6201215544 01/06/2014 John Sport Tickets - Single event Client -Enter 158249 6201215544 17628 Sport Tickets - 158249 6201215544 26 677.70 17628 13728352 158249 6201215544 01/06/2014 Ceno Single event Clie 01/06/2014 Fide Sport Tickets - Sing 01/06/2014 na EFTA01478785 donald damast Client 26 MOORE, SALVATORE 6106839 max smyrinios Client 26 MOORE, SALVATORE 6106839 neil sonenberg Client 26 MOORE, SALVATORE 6106839 yuri farison Client 26 MOORE, SALVATORE 6106839 tegic procurement Client -Entertainment MOORE, SALVATORE 6106839 atore E. Moore Employee tainment MOORE, SALVATORE 6106839 icana manhasset joe rodriguez nt-Entertainment MOORE, SALVATORE e specialty metals Client -Entertainment MOORE, SALVATORE 6106839 dimitrios smyrinios Client tainment MOORE, SALVATORE dick spoor MOORE, SALVATORE jon ostrow MOORE, SALVATORE kit mcquiston MOORE, SALVATORE kyle delaney MOORE, SALVATORE nate perkins MOORE, SALVATORE ron ostrow MOORE, SALVATORE scot williams MOORE, SALVATORE n P. Convey tainment MOORE, SALVATORE 6106839 in michael torregiano nt-Entertainment MOORE, SALVATORE shimmie horm MOORE, SALVATORE atore E. Moore tainment MOORE, SALVATORE gerald bared MOORE, SALVATORE ronnie apfel SA SP 677.69 A 677.69 A 677.69 A 677.69 A donna kay A 26 A Client 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 Client 26 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 677.69 17628 Sport Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 stra Tickets - Single event 13728352 158249 6201215544 01/06/2014 Salv 677.69 17628 Sport Tickets - Single event Client -Enter 13728352 26 677.69 6106839 A 13728352 alan kestenbaum Client 26 A 13728352 26 677.69 17628 6106839 A Client 26 677.69 6106839 A Client 26 677.69 6106839 A Client 26 677.69 6106839 A Client 26 677.70 6106839 A Client 26 677.69 6106839 A Client 26 677.69 6106839 A Client 26 677.69 6106839 A Employee 26 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 17628 Sport 13728352 677.69 17628 Sport Tickets - Single 158249 6201215544 01/06/2014 amer 17628 Sport Tickets - Single event Clie 158249 6201215544 01/06/2014 glob 677.69 17628 Sport Tickets - Single event 158249 6201215544 01/06/2014 n/a Sport Tickets - Single event Client -Enter 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 Tickets - Single event 158249 6201215544 A 13728352 158249 Client 26 677.69 17628 6106839 A Client 4 1131.25 6106839 A Employee 4 6106839 A Client 4 1131.25 6106839 A Client 4 1131.25 6201215544 Sport Tickets - 13685884 158454 6201215544 4524 Sport Tickets - Single event 13685884 158454 6201215544 1131.25 4524 Sport Tickets - Single 13685884 158454 6201215544 4524 Sport Tickets - Single event 13685884 158454 6201215544 4524 Sport Tickets - Single event 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 na Client -Entertainment 01/06/2014 Bria event Client -Enter 01/06/2014 haml Single event Clie 01/27/2014 na Client -Entertainment 01/27/2014 Salv event Client -Enter 01/27/2014 na Client -Entertainment 01/27/2014 na Client -Entertainment EFTA01478786 ACERS Raw Data Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael -J Davis, Erin 0-Rourke, Zia Memon, Chris Jensen ACERS Transaction Date ACERS Unique ID Status Source Emp ID Employee Name Emp. Status Atte ndee Name Company Name Client Firm Client Relationship Pre Approver Cost Center Client Code Transaction Name EmpUBRLevel9 Per Head Count Total Amount Total Attend ees Expense Type Description Compliance Approver Compliance Approval Date 1/22/2014 149943 Sent ACERS 8003324 JENSEN, JOANNE A Joanne Jensen DB Empl oyee Employee Andrew Gallivan 6201128669 WM Americas Front Office 305 610 2 Ticketed Event Metropolitan Opera Not applicable 1/22/2014 149943 Sent ACERS 8003324 JENSEN, JOANNE A Petr Prerovsky Eton Park Client Client Andrew Gallivan 6201128669 WM Americas Front Office 305 610 2 Ticketed Event Metropolitan Opera Not applicable 1/30/2014 156792 Sent A & C 6219059 WEBSTER, JUDITH A Brain Frenkel A M N Invest ments / Colorado Family Partners LLC Client Michael J Davis 6433705005 WM Americas Front Of f ice 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 1/30/2014 156792 Sent estment Partners LLC Client 2700 6 Ticketed events le 1/30/2014 156792 Sent gement Client Michael J Davis Ticketed events + meals/drinks 1/30/2014 156792 Sent oyee Employee 6 Ticketed events 1/30/2014 156792 oyee Employee 6 Ticketed events 1/30/2014 156792 oop Capital LLC Client 6 Ticketed events 1/2/2014 156833 DB Employee 200 600 3 1/2/2014 156833 rd Lepow Client Client Kimberly Hart 6201215544 WM Americas Front Office 600 3 Meals/drinks Meals and Drinks Not applicable 1/2/2014 156833 Sent ACERS 6212663 VRABLIC, ROSEMARY A Sally Lepow y Lepow Client Client Kimberly Hart 6201215544 WM Americas Front Office 200 3 Meals/drinks Meals and Drinks Not applicable 1/12/2014 158167 Sent A & C 6212651 SCALZI, DOMINIC A Dominic Scalzi DB oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 131.25 4 Meals/drinks Client Dinner Not applicable 1/12/2014 158167 Sent A & C 6212651 SCALZI, DOMINIC A Rosemary Vrablic Employee 25 525 1/12/2014 t Client Meals/drinks 1/12/2014 Client Client Andrew Gallivan 6201215544 WM Americas Front Office 131.25 Not applicable A & C 6212651 SCALZI, DOMINIC A Dominic Scalzi Gallivan 6201215544 WM Americas Front Office Dinner Not applicable A & C 6212651 SCALZI, DOMINIC A Rosemary Vrablic Andrew Gallivan 6201215544 WM Americas Front Office Client Dinner Not applicable A & C 6212651 SCALZI, DOMINIC A Otto Malli Gallivan 6201215544 WM Americas Front Office Dinner Not applicable A & C 6107543 MARSON, JOHN A John Marson A S C 6219059 WEBSTER, JUDITH A Brad Underwood Altitude Inv Michael J Davis 6433705005 WM Americas Front Office 450 + meals/drinks Tickets courtside include dinner Not applicab A S C 6219059 WEBSTER, JUDITH A 6433705005 WM Americas Front Tickets courtside include dinner A S C 6219059 WEBSTER, JUDITH A Michael J Davis + meals/drinks Sent A S C Michael J Davis + meals/drinks Sent A a C Michael J Davis + meals/drinks Sent ACERS Employee Meals/drinks Sent ACERS Noah Agron Brigade Mana Office 450 2700 6 Not applicable Josh Shoshan DB Empl 6433705005 WM Americas Front Office 450 2700 Tickets courtside include dinner Not applicable 6219059 WEBSTER, JUDITH A Judith Webster DB Empl 6433705005 WM Americas Front Office 450 2700 Tickets courtside include dinner Not applicable 6219059 WEBSTER, JUDITH A Michael Underwood Wynk 6433705005 WM Americas Front Office 450 2700 Tickets courtside include dinner Not applicable 6212663 VRABLIC, ROSEMARY A Rosemary Vrablic Kimberly Hart 6201215544 WM Americas Front Office Meals and Drinks Not applicable 6212663 VRABLIC, ROSEMARY A Howard Lepow Howa Employee Andrew Gallivan 6201215544 WM Americas Front Office 4 Meals/drinks Client Dinner Not applicable 158167 Sent A & C 6212651 SCALZI, DOMINIC A Michael Andrew Gallivan 6201215544 WM Americas Front Office Client Dinner Not applicable 158167 Sent A & C 6212651 SCALZI, DOMINIC A Neil Mandt Meals/drinks Client Dinner 1/16/2014 158168 Sent DB Empl oyee Employee Andrew 227 681 3 Meals/drinks Client 1/16/2014 158168 Sent DB Employee Employee 227 681 3 Meals/drinks 1/16/2014 158168 Sent Kroenke Grou P Client Client Andrew 227 681 3 Meals/drinks Client 11/10/2013 158169 Sent DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable 11/10/2013 158169 Sent A & C 6107543 MARSON, JOHN A James Cohen Lisa Cohen r elationship Client Client Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable 11/10/2013 158169 Sent A & C 6107543 MARSON, JOHN A Kathy Oberg Lisa Cohen r elationship Client Client Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable Mandt 131.25 525 4 200 Sall 600 Empl 525 DB 131. Michael Mand Neil Mandt 525 4 11/10/2013 158169 Sent A & C Cohen relationship Client Client 160 640 4 Ticketed Event 1/13/2014 158249 Sent A & C odore Manufacturing Corp Client 450 900 2 Ticketed Event 6107543 MARSON, JOHN A Andrew Gallivan 6201215544 NY Giants vs. Oakland Raiders 6106839 MOORE, SALVATORE Andrew Gallivan 6201215544 Knicks Not applicable Robert Cohen III Lisa WM Americas Front Office Not applicable A Donald Damast Comm WM Americas Front Office EFTA01478787 1/13/2014 Employee 900 2 1/16/2014 Employee 900 2 1/16/2014 n Seymour Shapss Martin & Company Client Andrew Gallivan 6201215544 Tice 450 900 2 1/17/2014 158251 Sent of America Client Andrew 2 Ticketed Event Knicks 1/17/2014 158251 Sent Employee Employee 900 2 Ticketed Event 1/21/2014 158252 Sent Employee Employee 900 2 Ticketed Event 1/21/2014 158252 Sent A Dick Spoor Spoor Client Client Andrew Gallivan 6201215544 WM Americas Front Office 450 2 Ticketed Event Rangers Not applicable 1/24/2014 Employee 900 2 1/24/2014 Williams 900 2 1/28/2014 Employee 900 2 1/28/2014 Farison 900 2 2/1/2014 Employee 1700 4 2/1/2014 Schuan Foods Client Andrew 4 Ticketed Event Knicks 2/1/2014 158255 Sent of Dimitrious Smyrinios) Front Office 425 1700 2/1/2014 158255 Sent d of Dimitrious Smyrinios) Front Office 425 1700 2/2/2014 158454 Sent Employee .25 6025 2/2/2014 158249 Sent Employee Ticketed Event 158250 Sent Employee Ticketed Event 158250 Sent A S C 6106839 MOORE, SALVATORE A Andrew Gallivan 6201215544 WM Americas Knicks Not applicable ACERS 6106839 MOORE, SALVATORE A Andrew Gallivan 6201215544 WM Americas Rangers Not applicable ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Front Office 450 Sal Moore DB Front Office 450 158253 Sent Employee Ticketed Event 158253 Sent Client Client Ticketed Event 158254 Sent Employee Ticketed Event 158254 Sent Client Client Ticketed Event 158255 Sent Employee Ticketed Event 158255 sent Neil Sonenberg Rose WM Americas Front Of Ticketed Event Rangers Not applicable ACERS 6106839 MOORE, SALVATORE A Nate Perkins Gallivan 6201215544 WM Americas Front Office 450 Bank 900 Not applicable ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Andrew Gallivan 6201215544 WM Americas Front Office 450 Knicks Not applicable ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Andrew Gallivan 6201215544 WM Americas Front Office 450 Rangers Not applicable ACERS 6106839 MOORE, SALVATORE ACERS Andrew Knicks ACERS Andrew Knicks ACERS Andrew Knicks ACERS Andrew Knicks ACERS Andrew Knicks ACERS Dick 900 6106839 MOORE, SALVATORE A Sal Moore DB Gallivan 6201215544 WM Americas Front Office 450 Not applicable 6106839 MOORE, SALVATORE A Scot Williams Scot Gallivan 6201215544 WM Americas Front Office 450 Not applicable 6106839 MOORE, SALVATORE A Sal Moore DB Gallivan 6201215544 WM Americas Front Office 450 Not applicable 6106839 MOORE, SALVATORE A Yuri Farison Yuri Gallivan 6201215544 WM Americas Front Office 450 Not applicable 6106839 MOORE, SALVATORE A Sal Moore DB Gallivan 6201215544 WM Americas Front Office 425 Not applicable 6106839 MOORE, SALVATORE Gallivan 6201215544 Not applicable ACERS 6106839 MOORE, Schuan Foods Client 4 Ticketed Event ACERS 6106839 MOORE, Schuan Foods Client 4 Ticketed Event A S C 6106839 MOORE, A Dimitrious Smyrinios WM Americas Front Office 425 1700 SALVATORE A Max Smyrinios (Child Andrew Gallivan 6201215544 WM Americas Knicks Not applicable SALVATORE A Pete Smyrinios (Chil Andrew Gallivan 6201215544 WM Americas Knicks Not applicable SALVATORE A Salvatore Moore DB Employee Andrew Gallivan 6201215544 WM Americas Front Office 1506 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 158454 Sent A S C 6106839 MOORE, SALVATORE A Gerald Barad Gera Id Barad Client Client Andrew Gallivan 6201215544 WM Americas Front Office 1506 .25 6025 4 2/2/2014 158454 mie Horn Relationship - fice 1506.25 6025 2/2/2014 158454 mie Horn Relationship - fice 1506.25 6025 2/12/2014 158620 oyee Employee 3 Ticketed Event 2/12/2014 158620 LLP Client Client 3 Ticketed Event 2/12/2014 158620 ancial LLP Client 900 3 2/4/2014 Employee 350 2 2/4/2014 158854 y Capital Client 2 Ticketed Event 2/2/2014 158980 oyee Employee 2 Ticketed Event 2/2/2014 158980 ational/Globe Specialty Tice 1512.5 3025 2/20/2014 158989 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 Sent A & C 6106839 MOORE, SALVATORE A Ronnie Apfel Shim Iriqouis Hotel Client Andrew Gallivan 6201215544 WM Americas Front Of 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 Sent A & C 6106839 MOORE, SALVATORE A Shimmie Horn Shim Iriqouis Hotel Client Andrew Gallivan 6201215544 WM Americas Front Of 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 Sent ACERS 8067863 MORRIS, PAUL A Paul Morris DB Empl Chip Packard 6201215544 WM Americas Front Office 300 900 NY Knicks vs Sacramento Not applicable Sent ACERS 8067863 MORRIS, PAUL A Jim Alterbaum Moses Singer Chip Packard 6201215544 WM Americas Front Office 300 900 NY Knicks vs Sacramento Not applicable Sent ACERS 8067863 MORRIS, PAUL A Richard Kahn Southern Fin Client Chip Packard 6201215544 WM Americas Front Office 300 Ticketed Event NY Knicks vs Sacramento Not applicable 158854 Sent ACERS 6212513 MULLIN IV, MICHAEL A Michael Mullin DB Employee Chip Packard 6201215544 WM Americas Front Office 175 Ticketed Event SuperBowl Not applicable Sent ACERS 6212513 MULLIN IV, MICHAEL A Gary Mosko Holl Chip Packard 6201215544 WM Americas Front Office 175 350 SuperBowl Not applicable Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey DB Empl Andrew Gallivan 6201215544 WM Americas Front Office 1512.5 3025 Super Bowl Joseph Yuen 02/25/2014 Sent ACERS 6106275 CONVEY, BRIAN A Alan Kestenbaum Marco Intern Metals Client Client Andrew Gallivan 6201215544 WM Americas Front Of 2 Ticketed Event Super Bowl Joseph Yuen 02/25/2014 Sent ACERS 6123267 JACOBY, MICHAEL A John Gleber DB Empl EFTA01478788 oyee Employee Chip Packard 1520 6 Meals/drinks Client 2/20/2014 158989 Sent ACERS oyee Employee Chip Packard 1520 6 Meals/drinks Client 2/20/2014 158989 Sent ACERS oyee Employee Chip Packard 1520 6 Meals/drinks Client 2/20/2014 158989 Sent ACERS Client Client Chip Packard 6 Meals/drinks Client 2/20/2014 158989 Sent Client Client Chip Packard 6 Meals/drinks Client 2/20/2014 rston Client 1520 6 2/5/2014 Client Client Ticketed Event 2/5/2014 oyee Employee Andrew 2 Ticketed Event Knicks 2/12/2014 159041 LLP Client Client 2 Ticketed Event 2/12/2014 159041 oyee Employee 2 Ticketed Event 2/16/2014 159042 oyee Employee 4 Ticketed Event 2/16/2014 159042 iam AM Burden Client 5 850 4 2/16/2014 159042 urden Client Client 4 Ticketed Event Georgetown Vs St. Johns Not applicable 2/16/2014 159042 Sent ACERS 6106275 CONVEY, BRIAN A Mike Casella urden Client Client Andrew Gallivan 6201215544 WM Americas Front Office 4 Ticketed Event Georgetown Vs St. Johns Not applicable 2/27/2014 159043 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey oyee Employee Andrew 1067 3 Ticketed Event 2/27/2014 159043 Sent oyee Employee Andrew 1067 3 Ticketed Event 2/27/2014 159043 Sent 6201215594 WM Americas Front Office Dinner Not applicable 6123267 JACOBY, MICHAEL A Mark Westhoff 6201215594 WM Americas Front Office Dinner Not applicable 6123267 JACOBY, MICHAEL A Michael Jacoby 6201215594 WM Americas Front Office Dinner Not applicable 6123267 JACOBY, MICHAEL A 6201215594 WM Americas Front Dinner Not applicable ACERS 6123267 JACOBY, MICHAEL A 6201215594 WM Americas Front Dinner Not applicable 158989 Sent ACERS 6123267 JACOBY, MICHAEL A Steven Stegenwalner Some Client Chip Packard 6201215594 WM Americas Front Office 253.333333 Meals/drinks Client Dinner Not applicable 159040 Sent ACERS 6106275 CONVEY, BRIAN A Beth Ostrow Andrew Gallivan 6201215544 WM Americas Front Office 450 Knicks Vs Portland Trail Blazers Not applicable 159040 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey 253.333333 DB Empl 253.333333 DB Empl 253.333333 Alex Ohlsson Somerston Office 253.333333 1520 Nick Wakefield Somerston Office 253.333333 1520 Gallivan 6201215544 WM Americas Front Office Vs Portland Trail Blazers Not applicable Sent ACERS 6106275 CONVEY, Andrew Gallivan 6201215544 Knicks Vs Sacramento Kings Sent ACERS 6106275 CONVEY, Andrew Gallivan 6201215544 Knicks Vs Sacramento Kings Sent ACERS 6106275 CONVEY, Andrew Gallivan 6201215544 Georgetown Vs St. Johns Not applicable Sent ACERS 6106275 CONVEY, BRIAN A Margaret Casella Will Client Andrew Gallivan 6201215544 WM Americas Front Office 212. Ticketed Event Georgetown Vs St. Johns Not applicable Sent ACERS 6106275 CONVEY, BRIAN A Michael Casella William AM B Andrew Gallivan 6201215544 WM Americas Front Office 212.5 850 BRIAN A Arnie Toren WM Americas Front Office Not applicable BRIAN A Brian Convey WM Americas Front Office Not applicable BRIAN A Brian Convey WM Americas Front Office Beth Ostrow 900 2 DB Empl 450 900 A Kozak S Co 450 900 DB Empl 450 900 DB Empl 212.5 850 William AM B 212.5 850 DB Empl 355.666666 DB Empl 355.666666 Thom as Moorehead Client Client 355. 666666 1067 3 Ticketed Event Rangers Vs Chicago Blackhawks Not applicable 2/28/2014 159044 Sent ACERS 6106275 CONVEY, BRIAN A John Gutleber nhasset Client Client Andrew Gallivan 6201215544 WM Americas Front Office 2 Ticketed Event Knicks Vs Golden State Warriors Not applicable 2/28/2014 159044 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 2 Ticketed Event Knicks Vs Golden State Warriors Not applicable SA SP Gallivan 6201215544 WM Americas Front Office Rangers Vs Chicago Blackhawks Not applicable ACERS 6106275 CONVEY, BRIAN A Salvatore Moore Gallivan 6201215544 WM Americas Front Office Rangers Vs Chicago Blackhawks Not applicable ACERS 6106275 CONVEY, BRIAN A Thomas Moorehead Andrew Gallivan 6201215544 WM Americas Front Office Americana Ma 450 900 DB Empl 450 900 EFTA01478789 Employee UBR Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael -J Davis, Erin O-Rourke, Emp ID Employee Name Employee Status Emp Email Emp UBRLevel5 7 Emp UBRLevel8 Emp UBRLevel9 Emp UBRLevel10 Emp UBRLevelll 13 3025584 LEISEGANG, IAN T [email protected] Asset and dvice WM Americas Americas WM Americas Front Office 6001944 LARR, GERALD T [email protected] Asset and dvice WM Americas Americas WM Americas Front Office 6005327 SIMAR, SHANNON J rage & Advice WM Americas 6010036 BOTZENHARDT, CAROLIN na Coverage & Advice 6100723 COUGHLAN, GERALD rage & Advice WM Americas 6101033 WASSARMAN, ELLEN Zia Memon, Chris Jensen Emp UBRLevel6 Emp UBRLevel Emp UBRLevel12 Emp UBRLevel Wealth Management Coverage & A Wealth Management Coverage 6 A T [email protected] Asset and Wealth Management Cove Americas WM Americas Front Office A [email protected] Deutsche Asset and Wealth Ma WM Americas Americas WM Americas Front Office T [email protected] Asset and Wealth Management Cove Americas WM Americas Front Office T [email protected] Asset and Wealth Management Coverage & Advice WM Americas Americas WM Americas Front Office 6101234 TANGNEY, TERRENCE A [email protected] Deutsche Asset and Wealth Ma na Coverage & Advice WM Americas Americas WM Americas Front Office 6101521 MROZINSKI, DONNA A [email protected] Deutsche Asset and Wealth Mana Cove rage & Advice WM Americas Americas WM Americas Front Office 6101991 HART, KIMBERLY A [email protected] Deutsche Asset and Wealth Mana Coverage & A dvice WM Americas Americas WM Americas Front Office 6102367 EHRENBERG, BRIGID A brigid.ehrenbergQdb.com Deutsche Asset and Wealth Mana Cove rage & Advice WM Americas Americas WM Americas Front Office 6102418 CREAVIN, REBECCA T [email protected] Asset and Wealth Management Cove rage & Advice WM Americas Americas WM Americas Front Office 6102943 GOETSCHIUS, MICHELE T [email protected] Asset and Wealth Management Coverage & Advice WM Americas Americas WM Americas Front Office 6103476 PAYNE, ELIZABETH A [email protected] Deutsche Asset and Wealth Mana Cove rage & Advice WM Americas Americas WM Americas Front Office 6103989 RICHARDSON, YOLANDA A [email protected] Deutsche Asset and Wealth Ma na Coverage & Advice WM Americas Americas WM Americas Front Office 6104011 MEMON, ZIA A zia.memon@db