EFTA Document EFTA01398967

Gonzalez Customer Number Customer Name Type * High Risk e Auto Exempt Reason Exemption Reason Skychai Corporation Ltd. Client z z z z z Riverside Europe Fund III, LP MAGCAP, LTD. Client Y Alsis Latin America Fund II LP Civitas Canyon Mezzanine Fund, Civitas Race Street Fund, LP Civitas Strand Fund, LP Client 555 W 23 N4R LLC Client 435 E 76 3D LLC Client Y 2255 ACPB PHA LLC Client 67 Liberty PHB LLC Client 635 W 42 7E LLC Client Y M K Reichert Sternlicht Foundation Client N Client LP Client N Y N N Y N Dauphin Fletcher, Aurelie Client Bal Harbour 1604N, LLC Client Y First S 91st LLC Client Y Forkosh, Alexander Client Y Alternative Solutions Insurance Company, Ltd, Gonzalez Civitas State Thomas Fund, LP * Moderate Risk Annual Client Update Customer Owner 7/6/2017 Mark 8/11/2017 Due Dat Gonzale Mark Gonzale 9/9/2017 Mark Gonzalez Y N 9/20/2017 Mark Gonzale Client N Y 9/23/2017 Mark N Y 9/23/2017 Mark Gonzale • 9/23/2017 N 9/29/2017 9/29/2017 Mark 9/29/2017 N 9/29/2017 9/29/2017 Mark Client N Client Eli Wilner LLC Client N Trigo, Santiago Client N Civitas Hudson Exchange Fund, LP Civitas TCR Mezzanine Fund I, LP Civitas ST Investors, LP Client Civitas TCR Downtown Equity, LP Client Civitas Hotel Alessandra Fund, LP Civitas Permian Basin Hotels, LP Civitas Capital Management, LLC Client Eastern Re Ltd. SPC Client WILLIAM BLAIR GLOBAL COMMODITY Gonzalez WILLIAM BLAIR GREEN TERRAIN DISBURSEMENT FUND LLC Gonzalez WILLIAM BLAIR GREEN TERRAIN FUND, L.P. Client N N N WILLIAM BLAIR GCS SPV, LLC Client N WILLIAM BLAIR GREEN TERRAIN TE FUND, L.P. WILLIAM BLAIR MANAGED FUTURES FUND LLC. Client WILLIAM BLAIR BLUE TERRAIN TE FUND, L.P. WILLIAM BLAIR MARBLE PLACE TE FUND, L.P.. WILLIAM BLAIR MASTER FUND, LLC Client N WILLIAM BLAIR BLUE TERRAIN FUND, L.P. Client WILLIAM BLAIR BLACK TERRAIN TE FUND, L.P. WILLIAM BLAIR BLACK TERRAIN FUND, L.P. Client WILLIAM BLAIR ALL TERRAIN TE FUND, L. P. WILLIAM BLAIR ALL TERRAIN FUND, L.P. Client William Blair SG Capital SPV, LLC Client Pereira, Michael B Client N Client N Client Client N Client N Client N N Mark Gonzalez Mark Gonzalez Gonzalez Mark Gonzalez Mark Gonzalez Gonzalez 10/11/2017 Mark • 10/13/2017 10/26/2017 10/26/2017 10/26/2017 SPC Client Mark Gonzale Mark Gonzalez Mark Gonzalez Mark Gonzalez 11/9 11/16/2017 Mark Gonzale 11/17/2017 Mark Gonzalez 11/25/2017 Mark Gonzalez Client N Y 11/28/2017 Mark N Y 11/28/2017 Mark Y 11/28/2017 Mark Gonzale Y 11/28/2017 Mark Gonzale N Client N Client Client N Y 11/28/2017 N Y 11/28/2017 N r 11/28/2017 Mark Gonzale 11/29/2017 SPECIALIST FUND LLC Client Mark Mark Mark Gonzalez 12/1 Client N Y 12/1 • 12/1/2017 Mark 12/1/2017 Mark Gonzale N Y 12/1/2017 Y 12/1/2017 Mark N Y 12/1/2017 N Y 12/1/2017 12/1/2017 Mark Gonzale N N N 12/2/2017 12/1/2017 Mark • 12/1/2017 12/1/2017 Mark • 12/1/2017 12/1/2017 Mark 12/1/2017 Mark Mark Gonzalez EFTA01398967 z z z CaroMont Insurance Services Ltd. Client Civitas Garnet Fund, LP Client N Y Civitas M&M Mezzanine Fund, LP Client N Civitas EB-5 Fund 21, LP Client N Zahringer, Alexander Client N N Zahringer, Anne C. Client N N Zahringer, III, George J. Client N 12/8/2017 Mark 12/12/2017 Mark Gonzalez Y 12/12/2017 Mark Gonzale Y 12/12/2017 Mark Gonzale 12/12/2017 Mark Gonzalez 12/12/2017 Mark Gonzalez N 12/12/2017 Mark Gonzale Duff, Mary Client N N 12/15/2017 Mark GUIDANCE ENHANCED GREEN TERRAIN FUND LLC Client N TanCayman Insurance Company SPC, Ltd. Client Bedrock Seahawk Furman, Civitas Finance Ltd. Client Trading Corp. Client Gail Client Y Huntington Beach Hotel N Fund, Miriam Klein Sternlicht Revocable Trust Client N Duran, Louise Client N Duran, Chris Client N Gapstow Community Financials Fund LP 2/15/2018 2/15/2018 Client Y Gonzalez 12/22/2017 1/5/2018 Mark N 1/9/2018 Mark Gonzalez N 1/9/2018 Mark Gonzalez 1/9/2018 Mark Gonzalez LP Client N Y 1/20/2018 Mark Y 1/23/2018 Mark Mark Gonzalez Mark Gonzalez N 3/2/2018 Gapstow Credit & Special Situations Master Fund LP Client Y Gonzalez CJA Public Private Multi Manager Master Fund, L.P. Client Y Gonzalez CJA Private Equity Financial Restructuring Master Fund I, Mark Gonzalez Gapstow Real Estate Yield Master Fund, L.P. Gapstow Gapstow Gapstow Opportunity Master Fund, LP Client Capital Partners LP Client Y Structured Credit Master Fund LP L.P. Client Y Client Y N 3/2/2018 Client Y Sternlicht, Miriam Client N N 3/13/2018 Sidhom, Rafik Client N Y 3/16/2018 Mark DBTCA as Trustee for the Benefit of Safety National Casualty N 3/21/2018 Mark Gonzalez WILLIAM BLAIR MARBLE PLACE FUND L.P. Client N Y 3/22/2018 United Integrity Assurance Ltd. Client N Y 3/24/2018 3/2/2018 Mark 3/2/ 3/2/ N 3/2/2018 Mark Mark Gonzale 3/2/2018 CAB Holding LP Client N Ross, Richard Client N For internal use only Mark Gonzalez Gonzalez Corporation N 5/15/2018 Mark Gonzalez N 10/24/2018 Mark Gonzalez Clie Mark Mark Gonzale EFTA01398968