EFTA Document EFTA01398965

Coleman Customer Number Customer Name Type * High Risk Auto Exempt Reason Exemption Reason Simons Foundation Client N S. D. Malkin Properties, Inc. Client SDMP Services, Inc Client nts - See Owner/Siganatory's ACU Malkin, Scott D. Client Ann Coleman The Tavakoli Family Foundation Glen Eagle Partners Ltd. The Roxborough Trust Client Sale, Julian Client N Brenninkmeijer, Julie E. Brenninkmeijer, Elise M. Brenninkmeijer, Laura N. * Moderate Risk Annual Client Update Due Dat Customer Owner N 4/5/2017 Mary Ann Coleman 4/6/2017 Mary Ann Col Y N 4/6/2017 Mary Ann Coleman Y N 4/21/2017 Client Client N N N Client Client N Client N Gabelli, Marc Client N Y 8/23/2017 The Jennifer L. Mercer Revocable Trust dtd. 12/23/2011 Ann Coleman Bhat, Nityanand Client N Y 9/1/2017 Nesis, Roman Aleksandrovich Client Mercer, Rebekah A. Client N Mercer Mirochnikoff GST LLC Client HID Investors Fund L.P. Client N DVG 1740 Fund LP Client Y YD SMA LLC Client N Deccan Value Investors BPI Fund LP DVI Fund (Mauritius) Ltd. MID Investors Fund LP Client Deccan Value Investors LP A/D Investors Fund LP Client Deccan Value Investors Fund LP N Y Corporate/PIC/Other Corporate/Business A N N 5/6/2017 Mary Ann Col Y 5/9/2017 Mary Ann Col N 6/8/2017 Mary Ann Coleman 7/20/2017 Mary Ann Coleman N N 7/26/2017 Mary Ann Col 7/26/2017 7/26/2017 Mary Ann Coleman Client N Mary Ann Col Mary Ann Col 9/1/ Mary Ann Coleman 9/6/2017 Mary Ann Col N 9/19/2017 Mary Ann Coleman N Y 9/27/2017 Mary Ann Col • 10/4/2017 Mary Ann Coleman N 10/4/2017 Mary Ann Coleman 10/4/2017 Mary Ann Coleman Client N Y 10/4/2017 Mary Client N Client N Client N Veda Investors Fund LP Client N Bodas, Vinit Client N Dirnad Fund LP Client N DBTCA As Escrow Agent for Fox River OU1 The Hawk 3A 2015 GST Trust Client Templeton World Charity Foundation, Inc eman Huizhi Fund LP Client Chao 2000 Trust Client Mercer, Robert L Equinimity, LLC Client Lynch, Joseph A. Bonnie, Edward S. E. S. Bonnie Trust S. W. B. 6 R. F. eman The N N Client N Client Client Y N N Y N N B. Y 10/4/2017 Mary Ann Col 10/4/2017 Mary Ann Coleman Y 10/4/2017 Mary Ann Col 10/4/2017 Mary Ann Coleman Y 10/4/2017 Mary Ann Col Y 10/4/2017 10/4/2017 Mary 10/13/2017 Mary Client N N Client Mary Ann Coleman Ann Coleman Ann Coleman 10/14/2017 Mary 10/16/2017 Mary Ann Col 10/28/2017 Mary 11/3/2017 Mary Y 11/3/2017 11/14/2017 Mary N 11/14/2017 N 12/2/2017 TTEES Client N Hawk 4B 2016 Trust LLC Client N The Hawk 3AB 2016 Trust LLC Client N Yablon, Lawrence Client Yablon, Babette Client N GreenFlow MB II LLC Client GreenFlow MB LLC Client EML Investments LLC Client Yablon, Bruce Client N Yablon, Leonard H. Client N Easier (Bvi) Ltd Client N SHZ Aviation LLC Client N Sterling Starnes Levered (Offshore) eman DVI PE (Mauritius) Ltd Client Y Hartz Capital, Inc. Client N Alerion Strategies Holdings Ltd Client 10/19/2017 Ann Coleman Ann Coleman Mary Ann Coleman Ann Coleman Mary Ann Coleman Mary Ann Coleman N 12/2/2017 N 12/5/2017 Y 12/5/2017 N N 12/5/2017 N 12/5/2017 Mary N Y 12/5/2017 N Y 12/5/2017 N Y 12/5/2017 N 12/5/2017 Mary N 12/6/2017 Y 12/6/2017 N 12/7/2017 Fund, Ltd. Client N Mary Ann Col Mary Ann Col Mary Ann Coleman Ann Coleman Mary Ann Coleman Mary Ann Coleman Mary Ann Coleman Ann Coleman Mary Ann Coleman Mary Ann Coleman Mary Ann Coleman N 12/8/2017 N 12/15/2017 Mary Ann Coleman • 1/5/2018 Mary Ann Coleman 1/5/2018 Mary Ann Col EFTA01398965 eman Fourteen Rings, LLC Client Brown 4 Zhou LLC Client Mercer Family Foundation The Mercer Family LLC Client Ma-Toy Trust Client N Hirschhorn, Barbara B Client Nina Fund LP Client N Safelink Rental Feeder LLC Tabizuru Foundation Client Giordano, Mark V. Client Faithfulness Limited Client Humility Ltd. Client N Templeton Religion Trust Eternity, Ltd. Client Leonard N. Stern Family Trust N N Client N N N Y Client N N N Y Client Y Client SL 2005 Family Trust Client Y Discerene Fund LP Client N Mercer, Heather Sue Client N SL 2005 Sub One, LLC Client Y The Mercer Family 2009 Non-Exempt Trust Mary Ann Coleman The Mercer Family 2009 Non-Exempt Trust f/b/o /2018 Mary Ann Coleman The Mercer Family 2009 Non-Exempt Trust f/b/o /2018 Mary Ann Coleman The 2012 Diana L. Mercer Family GST Trust Mary Ann Coleman For internal use only N 1/13/2018 Mary Ann Coleman Y 1/13/2018 Mary Ann Coleman N Y 1/13/2018 Mary Ann Col Y 1/13/2018 Mary Ann Coleman 1/13/2018 Mary Ann Coleman N 1/17/2018 Mary Ann Coleman 1/22/2018 Mary Ann Coleman N Y 1/22/2018 Mary Ann Col N 2/23/2018 Mary Ann Coleman Y 2/24/2018 Mary Ann Coleman Y 3/8/2018 Mary Ann Coleman 3/8/2018 Mary Ann Coleman N Y 3/8/2018 Mary Ann Col 3/8/2018 Mary Ann Coleman Y N 3/22/2018 Mary Ann Col N N N f/b/o 3/23/2018 3/23/2018 3/23/2018 3/28/2018 Rebekah Mercer Jennifer L. Heather Sue Client Y Mary Ann Coleman Mary Ann Coleman Mary Ann Coleman Mary Ann Coleman Client Y Mercer Mercer N Client Y Client Y 3/29/2018 EFTA01398966