EFTA01398943

Nicoletti Customer Number Customer Name Exempt Reason Alpern, Jerome Adam J. Goodman Andrea Nicoletti L. Weicker 1950 Trust FBO T. Weicker ea Nicoletti ea Nicoletti etti Type * High Risk * Moderate Risk Exemption Reason Customer Owner Client N Y 5/3/2017 Lifetime Revocable Trust Client L P Weicker Est L P Weicker Jr Etal Tr Joan M Kettenmann Trust Client N Limestone Partners Client Y BRENT, AVERIL R Client N Bailey, Lilly Beecher Client N Wang, Shu Fang Client N Marty s Dorothy Silverman Foundation Leggett III, John D. Client N Schultz, Michael Client N Isles, Christopher Client N The Mikael M. Purne and Judith Torres Andrea Nicoletti Sussek, Randall Client N Majerholc Esq., Norbert Client N Laplante, Eric H Client N Friedman, Solomon P. Client N Walsh, Michael J. Client N Mtb Holdings Client N Cohen, Edwin Client N Friedberg, Richard Client N Mathez, Hugues Client N Michael s Mary D. Benziger Family • Trust Felice L. Zambetti 1992 Family Trust Rutherfurd Jr., Esq., Winthrop Silverstein, Roger A. Client Trust Uwo Joseph Causin Client Olmsted, Alexandra M. Client Tran Ventures Llc Client Tran, William Client N Lisa Stewart Family Trust under Article 1.0 Client N Client N Client Y Annual Andrea N N N N 5/9/2017 N 5/10/2017 5/16/2017 Andrea N 5/18/2017 5/19/2017 Andrea Client N N Purne 5/20/2017 5/24/2017 5/24/2017 Family Trust 6/3/2017 Andrea N 6/7/2017 N 6/13/2017 6/16/2017 N 6/30/2017 7/5/2017 Andrea 7/6/2017 Andrea N 7/21/2017 7/21/2017 Andrea Client N Client N Client N Client Update Due Dat Nicoletti N 5/4/2017 5/5/2017 Andr 5/5/2017 Andr Andrea Nicoletti Andrea Nicoletti Nicoletti Andrea Nicoletti Nicoletti 5/20/2017 Andrea Andrea Andrea Client Andr Nicoletti Nicoletti Nicoletti N N Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Nicoletti Nicoletti Andrea Nicoletti Nicoletti 7/26/2017 8/2/2017 Andr Andr Y 8/2/2017 Andrea Nicol N Y 8/2/2017 N N 8/4/2017 N Y 8/16/2017 N N 8/16/2017 N 8/16/2017 Andrea etti Castleman, Lauriston Client N Fouty, Claudia Client N Quattrocchi, Lisa Client Y Benenson Funding Corporation Client Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Nicoletti N 8/17/2017 Y 8/22/2017 Andrea Nicoletti 8/23/2017 Andrea Nicoletti N 8/29/2017 Andrea Nicoletti 8/29/2017 Corporate/PI Tther Entity Accounts - See Owner/Siganatory's ACU Andrea Nicoletti 332 East 84 Street Owners Corp. Client Y N 8/29/2017 Corporate/PI C/Other Entity Accounts - See Owner/Siganatory's ACU Andrea Nicoletti 1447 Mccombs Road, Llc Client Y N 8/29/2017 Corporate/PIC/Other iiiiiiiiiiirnts - See Owner/Siganatory's ACU Andrea Nicoletti The Benenson Investments Co Client Y N 8/29/2017 Corporate/PI iiiiiiiiiiiity Accounts - See Owner/Siganatory's ACU Andrea Nicoletti Edward H. Benenson of Connecticut LLC Client Y N 8/29/2017 Corp orate/PIC/Other Entity Accounts - See Owner/Signatory's ACU Andrea Nicoletti HRR Associates LLC Client Y N 8/29/2017 Corporate/PIC/Other - See Owner/Signatory's ACU Andrea Nicoletti AMLI Holding Co. II Client Y N 8/29/2017 Corporate/PIC/Other - See Owner/Signatory's ACU Thorne, Alta Client N McConnell, Sandra M. Client Thorne, Daniel K. Client Fremina Client Y Hans W. Mathiesen Trust Client Minafre Client Y THE RICHARD ZINMAN 2000 INSURANC Entit Accounts Entity Accounts ea Nicoletti ea Nicoletti ea N co ett ea Nicoletti Andrea Nicoletti N 8/30/2017 Andrea Nicoletti N Y 8/31/2017 Andrea Nicoletti N Y 9/6/2017 Andrea Nicoletti 9/6/2017 Andrea Nicoletti N N 9/8/2017 Andrea Nicoletti 9/8/2017 Andrea Nicoletti E TRUST Client N Y 9/9/2017 THE AUDREY ZINMAN 2000 INSURANCE TRUST Client N Alice M Ripley Trust Client N N 9/12/2017 O'Hara, Mary J. Client N N 9/13/2017 Andrea Rooney Jr, Paul C Client N Y 9/13/2017 Kristen L Mc Connell Tr U/a Dtd 3-2-02 Client N Windels, Mary H Client N N 9/19/2017 ANNA G L MC CONNELL TR U/A DTD 3/2/02 Client N 9/9/2017 Andr Andr Andrea Nicoletti Nicoletti Andrea Nicoletti 9/14/2017 Andr Andrea Nicoletti N 9/21/2017 Andr EFTA01398943 Robert Sterling Clark Foundation Client N Kahn, Anthony F Client N 9/22/2017 Andrea Causin, Mary B. Client N 9/23/2017 Andrea Elene De Saint Phalle Revocable Trust UA 8/2/04 Client N Andrea Nicoletti Fioravanti, Olga Client N N 9/28/2017 Boussard, Jean Luc M Client N 9/28/2017 Bomonti, Nancy M. Client N N 9/29/2017 Amon III, Carl H Client N 9/29/2017 CAROL A BENZIGER REV TR 10-18-02 Client N Peigney, Gilles Client N Y Colvin, Geoffrey J. Client N Donovan, Thomas F. Client N Windels III, Paul Client N Article Fourth Trust U/W/O of Ruth n rea ico etti :=1 Irving Sitnick TTEE, ea Nicoletti Irving Sitnick TTEE, Sharon 1.....11/2017 Irving Andrea Nicoletti Irving 11/2017 Irving iiIIIIIIiii11/2017 Andrea Nicoletti Windels, James H. Client Donovan Esq., Maureen D. etti 4/2017 Andre etti etti N N N Harrison 10/3/2017 Andrea 10/5/2017 10/7/2017 10/11/2017 Client N 9/22/2017 Andr Nicoletti Nicoletti N 9/23/2017 Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti 9/30/2017 Andr Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti 10/11/2017 James H. Michaels Insurance Trust Client N Y 10/1 Anne Neubauer Insurance Trust U/I/D 3/28/80 Client N Andrea Nicoletti Sitnick TTEE, Frank Neubauer 1990 Trust Client N Y 10/11/2017 Sitnick TTEE, Deborah R. Neubauer Insurance Trust U/I/D 3/28/80 Client N Andrea Nicoletti Sitnick TTEE, Tamara L. Neubauer Insurance Trust U/I/D 3/28/80 Client N N Client N N N 10/12/2017 Andrea Nicoletti 10/12/2017 Andrea Nicol Harbor House Trust Client N Estate of Alice M. Ripley Client N Gerard N. Benziger Revocable Trust a Nicoletti Olmsted, Stephanie Client Lotos Club Client N The Lotos Foundation, Inc. Alpern, Enid L. Client N Holzer, Chaytor Client N NAMADA Florida LLC Client N Namada Partners, G.P. Client N Wolff, Sarah Eppler Client N Moskin Esq., Morton Client N Colvin, Jeremy Paul Client N Eppler, Alexander James Client N Grossman, Matthew A. Client N Wolff, Jacob A. Client N Ruthe Eppler Trust FBO Michael Benjamin Andrea Nicoletti iliiiilliiirea rea ea Nicoletti ea Nicoletti etti The Lotos Club Pension Plan Thomas F Donovan Trust Client Elizabeth A. Donovan Trust 10/12/2017 Andrea Nicoletti N 10/12/2017 Andrea Nicol U/A Dated 10/18/02 Client N N 10/1 N Y Client Client N N N Client N N 10/17/2017 Andrea Nicoletti 10/18/2017 Andrea Nicoletti N Y 10/18/2017 Andrea Nicol N 10/19/2017 Andrea Nicol 10/19/2017 Andrea Nicoletti N 10/19/2017 Andrea Nicol 10/21/2017 Andrea Nicoletti 10/21/2017 Andrea Nicoletti Y 10/24/2017 Andrea Nicoletti Y 10/24/2017 Andrea Nicoletti • 10/24/2017 Andrea Nicoletti N 10/24/2017 Andrea Nicoletti • 10/24/2017 Andrea Nicoletti N 10/24/2017 Andrea Nicoletti N 10/24/2017 Andrea Nicoletti 10/24/2017 Andrea Nicoletti Eppler Client N Y 10/24/2017 Ruthe Eppler Trustee FBO Jeremy Colvin U/A DTD 11/22/94 Client Nicoletti Ruthe Eppler Trustee FBO Leigh Colvin U/A DTD 11/22/94 Client Nicoletti Michael Benjamin Eppler Client N JAL Management I LLC Client N Colvin, Leigh Elizabeth Client N Wolff, Matthew Client N LAJ Management I, LLC Client N Eppler, Ruthe Client N WEC Associates, LLC Client N EPPCO Holdings LLC Client N NEW Aspen LLC Client N MEC Aspen LLC Client N Nancy Eppler Wolff 2012 GST Trust • 10/24/2017 N 10/24/2017 N 10/24/2017 10/24/2017 Andrea N 10/24/2017 10/24/2017 Andrea N 10/24/2017 Y 10/24/2017 10/24/2017 Andrea 10/24/2017 Andrea Client N Marcia Eppler Colvin 2012 GST Trust Client David M. Eppler 2012 GST Trust Client N Y 10/2 N Y 10/2 Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Nicoletti Andrea Nicoletti Nicoletti Andrea Nicoletti Andrea Nicoletti Nicoletti Nicoletti 10/24/2017 Andr N N 10/24/2017 Andr N N 10/24/2017 Andrea Nicol Article FOURTH GST Exempt Trust fib/0 Ruthe Eppler u/w Heinz Eppler Client N Y 10/24/2017 Andrea Nicoletti EFTA01398944 Eppler Life Insurance Trust U/A/D 09/14/93 Andrea Nicoletti Tran Thiet, Jean-Paul Client N Zambetti, Jonathan Client N Stewart Asset Management No. 1, LLC ea Nicoletti ea Nicoletti Wei etti etti etti ea Nicoletti WPS Advisors Ltd Client N Lisa Stewart Family S-Corp Trust Shamrock Aviation, Inc. Client N Abacus Tr Ltd. as Ttees of NN Tr 1997 Unitrust F/8/0 F. J. Ray Client Robert S. Clark 1950 Trust Client Mcconnell, Neil R. Sussek, John Client Sussek Realty Holding, Client N LLC N N Client Neil A Mcconnell Est S Mcconnell Trust Wolff, John H. Client N Nickman Family Tenancy-in Common AEN, Andrea Nicoletti Robert Kettenmann rea Nicoletti The Kettenmann 4/2017 Andrea Nicoletti Moses & Singer Client N Suite 2500 Associates / Neuberger, 11/15/2017 Andrea Nicoletti Suite 2500 Associates / WP Stewart, N 15/2017 Andrea Nicoletti Fleischman, Albert Client Y Sitnick, Irving Client N Gunthel, Richard Client N Herman E Goodman & Estelle Goodman 8/2017 Andrea Nicoletti Holzer, Leonard Client Florence Kahn Weinberg 1/2017 Andrea Nicoletti Sundin, Mackenzie Client N Sundin, Callie Client N Colvin, Andrew David Client N GST Exempt T/U/W Art Sixth of Alice N 11 22/2017 Andrea Nicoletti GST Exempt T/U/W Art Sixth of N 11/22/2017 Andrea Nicoletti GST Exempt T/U/W Art Sixth of N 11/22/2017 Andrea Nicoletti BIC University Place LLC etti ea Nicoletti etti etti ea Nicoletti etti Wainwright, Candace D. Client Grossman, John A Client Grossman, Eliza Client N Claudia Z. Fouty Trust U/A dtd Andrea Nicoletti Olmsted, Katharine H. Client N Y Inter Vivos Client N Y 10/24/2017 N 10/31/2017 11/1/2017 Andrea Nicoletti Andrea Nicoletti Client N Y 11/2/2017 Andr 11/2/2017 Andrea Nicoletti Client N Y 11/2/2017 Andr 11/2/2017 Andrea Nicoletti Client N Y 11/7/2017 Andr N N 11/7/2017 Andrea Nicol N N 11/7/2017 Andrea Nicol N 11/8/2017 Andrea Nicoletti 11/10/2017 Andrea Nicoletti N N 11/10/2017 Andrea Nicol Client N Y 11/14/2017 Andr 11/14/2017 Andrea Nicoletti LLC as Primary Tenant Client N 1997 Irrevocable Insurance Trust Client N Family 1997 Irrevocable Insurance Trust Client N 11/15/2017 Andrea Nicoletti T-I-C, CEW Partners as Chief Tenant Client N T-I-C, CEW Partners as Chief Tenant Client N N 11/16/2017 Andrea Nicoletti 11/16/2017 Andrea Nicoletti N 11/17/2017 Andrea Nicoletti Foundation Inc. Client N Y 11/1 11/21/2017 Andrea Nicoletti Trust U/T/A 11/29/77 Client N Y 11/2 N 11/22/2017 Andrea Nicoletti 11/22/2017 Andrea Nicoletti 11/22/2017 Andrea Nicoletti M Ripley fbo George G Windels Client N Alice M Ripley Alice M Ripley Client Mcconnell, Lucinda Client N Green, Franklin L Client N Green, Joan Shapiro Client N Lisa S. Benenson Insurance Trust ARB Investors LLC Client N LQ Investors LLC Client N 84th Street Partners Client N Popper, Samantha Drake Client N Lorotte, Rosine Client N POPPER, ANDREW Client N DANIEL K. FOUNDATION INC Client STAR LAKE LIBERTY LLC Client N Star Lake Bioventures, LLC Client Campaign for the Mary Rose, Inc. Star Lake Design Associates Client N fbo Patrick E Windels fbo Thomas R Windels Y 11/23/2017 N N Client 11/23/2017 11/23/2017 11/23/2017 Client N Client N Andrea Nicol Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti 11/23/2017 Andr • 11/23/2017 Andrea Nicoletti • 11/23/2017 Andrea Nicoletti • 11/23/2017 Andrea Nicoletti N 11/25/2017 Andrea Nicoletti 11/25/2017 Andrea Nicoletti 11/25/2017 Andrea Nicoletti 11/25/2017 Andrea Nicol • 11/25/2017 Andrea Nicoletti N N 11/25/2017 Andrea Nicol Client 11/25/2017 Andr 11/25/2017 Andrea Nicol N N 11/25/2017 N N 11/28/2017 N 11/28/2017 Andrea 1/25/2000 Client N N N 11/29/2017 Andrea Nicoletti Andrea Nicoletti Nicoletti N 11/28/2017 Andrea Nicoletti EFTA01398945 Jonathan P. Zambetti 2014 Annual Exclusion Trust Client 0 2017 Andrea Nicoletti Trinder, Marsia M. Client Silverman, Lorin J. Client Reed Esq., John G. Client CJL Investment Company Client Entity Accounts - See Owner/Siganatory s ACU SCHULTE, SANDRA JARMUTH Client N N 11/30/2017 N Y 11/30/2017 N Y 11/30/2017 N N 11/30/2017 Andrea Nicoletti N N 11/30/2017 Jonathan P. Zambetti Trust U/A dtd 1/25/2000 Client N r a l etti Strauss etti Client Esq., Richard E. Client N N Y 11/3 Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Corporate/PIC/Other Andrea Nicoletti N 11/30/2017 Y 12/1/2017 Andrea Nicol Castleman, Valerie Client N N 12/2/2017 Andrea Nicoletti Mathiesen, Hans William Client N N 12/2/2017 Andrea Nicoletti Windels, Catherine Client Y N 12/4/2017 Andrea Nicoletti William, Olga Fioravanti TTEES William Fioravanti Defined Benefit Plant and Trus N N 12/5/2017 Andrea Nicoletti Zambetti 1992 GST Exemption Trust Client N ea Nicoletti ea ,111.31.3. ea Nicoletti ea Nicoletti etti ea Nicoletti nt N N 1/4/2018 ea Nicoletti ea Nicole ea Nicoletti ea Nicoletti etti etti 2/1/2018 Ada Zambetti 2000 GST Exemption Trust Client N N 12/6/2017 N 12/6/2017 Zambetti, Ada Client N N 12/6/2017 Andrea Nicoletti Richard Zinman 2012 Insurance Trust Client N N 12/6/2017 Andr Andr Andr Rover Esq., Edward F. Client N Y 12/7/2017 Andrea Nicoletti The Howard Herman 1998 Insurance Trust Client N N 12/7/2017 Andr Sachs, David P Client N Y 12/7/2017 Andrea Nicoletti Estate of David S. Schulte, Jr. Client N N 12/7/2017 Andrea Nicol Ruby McConnell Supplemental Needs Fioravanti, William McConnell, B. Scott Hayden, Catherine D. W.P.S. SERVICES LLC Mitchell, Clyde Client Alice M. Ripley Trust DTD Andrea Nicoletti Estate Of Rachel Gei GST Exempt T/U/W Art N 12/28/2017 Causin, Edward S. Rutherfurd, Mary K GST Exempt T/U/W Art N 12/29/2017 Kettenmann, Robert K. Client N N 1/4/2018 Kettenmann, Christopher Client N N 1/4/2018 Kettenmann, Thomas Client N N 1/4/2018 Joan Kettenmann Trust Bene IRA Catherine Kettenmann Deed Andrea Nicoletti Leggett, Susan C. Client N McCormick, Alison Client N Weicker, Theodore M. Client N Helen F Benziger 1990 Family Trust Holzer, Edward Client N N Holzer, Christin Client N L P Weicker Est H Weicker Et At Tr Client N Client N Client N Client N N 11-28-85 Trust Client N N 12/8/2017 Andr 12/12/2017 12/15/2017 12/15/2017 12/16/2017 Andrea Nicoletti 12/19/2017 Andrea Nicoletti FB0 Patrick D. Windels Client N N Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Client N N 12/28/2017 Sixth of Alice M Ripley fbo Paul Eugene Andrea Nicoletti Client N Y 12/29/2017 Client N Y 12/29/2017 Sixth of Alice M Ripley fbo Mary Catherine Andrea Nicoletti L P Weicker Est T M Weicker Et Al Tr L P Weicker Est Mary A Mellor Etal Tr Goodwillie Jr., Esq., Eugene W. Client Ian David Eppler Client Hannah R. Hopkins Client Grossman, Charlotte Alexandra Lake Esq., Mark G. Client Gregory Stewart Trust Client Stewart Family LLC Client Schultz, Maggy Client N Maggy Frances L.L.C. Client Ruthe Eppler Trustee FB0 Alexander Andrea Nicoletti Neil Ryan McConnell 2013 Trust Client N N Client N N Client 1/4/2018 1/4/2018 1/5/2018 N N Andrea Nicoletti Ru Hao Windels Clie Andrea Nicolett Andrea Nicolett Yue Lan Windels Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Client N N Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti 1/5/2018 Andr 1/11/2018 Andrea Nicoletti N 1/18/2018 Andrea Nicoletti Client Y N 1/18/2018 Andr Client Client N Y N 1/18/2018 N 1/18/2018 • 1/19/2018 Y 1/19/2018 Andrea N 1/23/2018 Andrea N N 1/23/2018 N Y 1/25/2018 N N 1/27/2018 N Y 1/27/2018 N 1/30/2018 Andrea N Y 1/30/2018 Eppler U/A DTD 11/11/94 Andr Andr Andrea Nicol Nicoletti Nicoletti Andrea Nicol Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Nicoletti Andrea Nicoletti Client N N N 2/1/2018 Andrea Nicol etti EFTA01398946 Fishman Esq., Joseph L. Client N Y 2/7/2018 Andrea Nicoletti McCann, Kevin M Client N N 2/10/2018 Andrea Nicoletti Olmsted, Robert M. Client N N 2/22/2018 Andrea Nicoletti Eppler, David M. Client N Y 2/22/2018 Andrea Nicoletti DTC Corporation Client N Y 2/23/2018 Andrea Nicoletti Kest, Martin Client N N 3/7/2018 Andrea Nicoletti 45 Rockefeller Associates / Neuberger, T-I-C, CEW Partners as Chief Tenant Clie nt N N 3/8/2018 Andrea Nicoletti Eppler-wolff, Nancy Client N N 3/17/2018 Andrea Nicoletti Ruthe Eppler Trustee FBO Andrew Colvin U/A DTD 11/22/94 Client N Y 3/17 /2018 Andrea Nicoletti Brent, Douglas B. Client N N 3/24/2018 Andrea Nicoletti BRENT ENTERPRISES LLC Client N Y 3/24/2018 Andrea Nicoletti L. P. Weicker 1940 Trust FBO T. M. Weicker Client N N 4/27/2018 Andrea Nicoletti For internal use only EFTA01398947