EFTA Document EFTA01431397

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Summary SO Portfolio Summary: As of March 2019 Relationships March 2019 YTD Revenue March 2018 YTD Revenue 2018 Total Revenue March 2019 AUM March 2018 AUM 2018 AUM Summary 1 ADIKESHAVAR 8417.738440000001 936.5488999999999 1554.2577700000002 9950531.14025 1.162075644111E7 4.460708678749E7 Total Relationships: COUNT(A4:A24)=21 2 ASHLEY HOLDINGS 434836.53421 0 1284878.30085 8.4220767201612E8 0 1.40368915706803E9 Current YTD Revenue: C25=1173315.8511700002 3 BOIES FAMILY 2123.1632 2669.3317099999995 9753.466500000002 1.4505112716650002E7 1.382386647127E7 5.665735102879999E7 Prior Year YTD Revenue: D25=487631.4977 4 DEERING/CROSBY 13.92572 4174.597650000001 23531.545060000004 1291.9632 3.143139809216401E8 1.0443246586556699E9 A: P5-P6=685684.3534700002 5 DZIALGA KIRSTEN & M 0 0.11476 0.11476 0 344.32639 344.32639 2018 Revenue: F25=3576566.7647100003 6 Echelon Investment 0 0 6250.00795 0 0 0 7 ELLIN HOWARD 110.3982 117.88863 363.28467 595863.57968 771400.59602 2794652.8125499994 Revenue Breakdown YTD % 8 ELYSIUM MANAGEMENT 1.2000000000000002E-4 1.5000000000000001E-4 5.300000000000001E-4 0.44294 760530.44804 1820691.8190100002 Capital Markets 6218.25344 011/$0$19=0.005299726781837407 9 GENERAL ATLANTIC FA 0 0.00122 0.00245 0 8585113.64731 1.9878922329710003E7 Custody 18556.880540000002 012/$0$19=0.015815758835522054 10 JOCKEY CLUB 24722.624219999998 18075.544330000008 61899.16293000003 1.8745196285241E8 1.7730075530008003E8 6.971169534459103E8 Deposits 726959.3607199998 013/$0$19=0.6195768684068276 11 LINDEMANN JR GEORGE 47861.15021 69.79865 398.67046 3.937875591855E7 3330045.9769100007 1.3858011413800001E7 DPM 4893.342890000001 014/$0$19=0.004170524829371808 12 MCM CAPITAL PARTNER 0 0 476072.39691 0 0 0 Fund Solutions 0 015/$0$19=0 13 PARAMI CAPITAL MANA 5538.94089 0 3639.1098899999997 5284161.08181 0 3506067.65535 Partnerships 379000.002 016/$0$19=0.3230161781433969 14 RASHID ALI 5457.73887 7808.11766 37649.897800000006 1.51360094337E7 1.107190264986E7 5.599548367682999E7 Wealth Planning Solutions 0 017/$0$19=0 15 SAFANAD 379000.002 0 0 0 0 0 Lending 37688.01158 018/$0$19=0.03212094300304433 16 SK FAMILY OFFICE 0 0 0 0 6566701.547300001 1.892142055942E7 TOTAL SUM(011:018)=1173315.8511699997 019/$0$19=1 EFTA01431397 17 SOUTHERN FINANCIAL 0 235072.75402000002 703615.7417100001 0 1.8921895497397E8 5.803621984472002E8 18 THE NATIONAL ORGANI 10344.77313 11612.03553 46212.80486 1.0995850287050998E8 1.2153417724572E8 4.6425595961847E8 19 THIRD LAKE CAPITAL 244847.5133700001 197447.47843 896516.35581 4.534213143026801E8 2.610722798805E8 1.3455856958168101E9 20 VOLPE NOEL 0 9647.286059999999 15189.55446 0 1.0418613892049998E7 1.734149149032E7 21 ZUECH CHRIS 10041.348590000001 0 9042.089339999999 769631.2088199999 0 2.7425506617422E8 TOTAL SUM(C4:C24)=1173315.8511700002 SUM(D4:D24)=487631.4977 SUM(F4:F24)=3576566.7647100003 SUM(H4:H24)=1.6786608095273201E9 SUM(I4:I24)=1.13038942431817E9 SUM(K4:K24)=6.044971213125981E9 Top 10 Relationships by Revenue March YTD Revenue Rank Relationship Revenue % of Total 1 ASHLEY HOLDINGS 434836.53421 045/$C$25=0.37060484078212386 2 SAFANAD 379000.002 046/$C$25=0.3230161781433968 3 THIRD LAKE CAPITAL 244847.5133700001 047/$C$25=0.20867996722778823 4 LINDEMANN JR GEORGE 47861.15021 048/$C$25=0.04079136079366362 5 JOCKEY CLUB 24722.624219999998 049/$C$25=0.021070732314190793 6 THE NATIONAL ORGANI 10344.77313 050/$C$25=0.008816699373561228 7 ZUECH CHRIS 10041.348590000001 051/$C$25=0.008558095060240623 8 ADIKESHAVAR 8417.738440000001 052/$C$25=0.007174315791954954 9 PARAMI CAPITAL MANA 5538.94089 053/$C$25=0.004720758595800706 10 RASHID ALI 5457.73887 054/$C$25=0.004651551297596196 TOTAL Top 10 Revenues SUM(045:054)=1171068.3639300002 055/$C$25=0.9980844993803171 Top 10 Relationships by AUM March YTD AUM Rank Relationship Revenue % of Total 1 ASHLEY HOLDINGS 8.4220767201612E8 062/$H$25=0.5017140253922233 2 THIRD LAKE CAPITAL 4.534213143026801E8 063/$H$25=0.27010895335690543 3 JOCKEY CLUB 1.8745196285241E8 064/$H$25=0.11166756368440686 4 THE NATIONAL ORGANI 1.0995850287050998E8 065/$H$25=0.06550370524315288 5 LINDEMANN JR GEORGE 3.937875591855E7 066/$H$25=0.02345843525687499 6 RASHID ALI 1.51360094337E7 067/$H$25=0.009016716985227064 EFTA01431398 7 BOIES FAMILY 1.4505112716650002E7 068/$H$25=0.008640883634338478 8 ADIKESHAVAR 9950531.14025 069/$H$25=0.005927660361030222 9 PARAMI CAPITAL MANA 5284161.08181 070/$H$25=0.0031478432401706707 10 ZUECH CHRIS 769631.2088199999 071/$H$25=4.584792856614755E-4 TOTAL Top 10 AUM SUM(062:071)=1.6780636535415E9 072/$H$25=0.9996442664399914 Chart 3 Revenue Breakdown YTD EFTA01431399 Lending Summary Lending (5/16/2019) Relationship Deal Name Facility Outstanding LIBOR Sprd Prime Spread Unutilized Fee LC Fee Facility Effective Maturity Date Product Name Structured N/A Strcutured Sub-Total SUM(C5:C6)=0 SUM(D5:D6)=0 Relationship Deal Name Facility Outstanding Current Rate Next Pmt Change ARM Margin I/O End Date Maturity Date Product Name Residential Funding Date Lindemann Jr, George L Coal Creek Farm, LC 9900000 9900000 0.04625 8/1/19 0.0175 2/1/20 12/11/09 1/1/40 6 Mo ARM Lindemann, Adam Adam Lindemann 14000000 14000000 0.0434 6/1/28 0.0175 4/1/25 1/29/10 2/1/40 10/1 ARM Lindemann, Adam 508 West 25th Street, LLC 4000000 4000000 0.04375 11/1/19 0.0175 5/1/20 3/19/10 4/1/25 6 Mo ARM Residential Sub-Total SUM(C10:C12)=27900000 SUM(D10:D12)=27900000 Grand Total C7+C13=27900000 D7+D13=27900000 EFTA01431400 Lending Breakdown Lending Revenue Summary Current YTD Revenue: 37688.01158 Prior Year YTD Revenue: 2902.9761900000003 A: F2-F3=34785.03539 2018 Revenue: 6844.99739 Lending Top Revenue Relationships Structured Lending Residential Mortgage Lending Lombard Lending Total 2018 Total 2018 Total 2018 Relationship Revenue Relationship Revenue Relationship Revenue N/A LINDEMANN JR GEORGE 37674.08586 DEERING/- CROSBY -2588.635269999999 Grand Total Grand Total SUM(E11)=37674.08586 Grand Total SUM(H11)=-2588.635269999999 2019 YTD (through March) 2019 YTD (through March) 2019 YTD (through March) Relationship Revenue Relationship Revenue Relationship Revenue N/A VOLPE NOEL 9433.63266 DEERING/CROSBY 13.92572 Grand Total Grand Total SUM(E17)=9433.63266 Grand Total SUM(H17)=13.92572 EFTA01431401 Deposits Breakdown Deposits Revenue Summary Current YTD Revenue: 726959.3607200001 Prior Year YTD Revenue: 454493.5242000001 A: G2-G3=272465.83652 2018 Revenue: 2969672.37491 Deposits Top Revenue Relationships YTD 2019 (Through March) YTD 2018 (Through March) Total 2018 Relationship Revenue % of Total Deposits Relationship Revenue % of Total Deposits Relationship Revenue % of Total Deposits ASHLEY HOLDINGS 434836.53421 B10/$G$2=0.5981579682519339 SOUTHERN FINANCIAL 235072.75402000002 F10/$G$3=0.5172191494560352 ASHLEY HOLDINGS 1284878.30085 J10/$G$5=0.4326666846166625 THIRD LAKE CAPITAL 244847.5133700001 B11/$G$2=0.3368104554393474 THIRD LAKE CAPITAL 197447.47843000002 F11/$G$3=0.43443408523267135 THIRD LAKE CAPITAL 896516.3558100001 J11/$G$5=0.3018906608636147 JOCKEY CLUB 24122.0187 B12/$G$2=0.03318207317133781 JOCKEY CLUB 18075.544330000008 F12/$G$3=0.0397707412043254 SOUTHERN FINANCIAL 703540.2360800001 J12/$G$5=0.2369083680826313 LINDEMANN JR GEORGE 10187.064349999999 B13/$G$2=0.014013251497181982 RASHID ALI 1924.4903599999998 F13/$G$3=0.004234362554202482 JOCKEY CLUB 60679.67422000003 J13/$G$5=0.02043312074849301 PARAMI CAPITAL MANA 5538.94089 B14/$G$2=0.007619326731709024 VOLPE NOEL 984.81478 F14/$G$3=0.0021668400704574877 RASHID ALI 14571.12451 J14/$G$5=0.004906643787748337 ADIKESHAVAR 3316.84371 B15/$G$2=0.0045626260410415636 THE NATIONAL ORGANI 866.66295 F15/$G$3=0.001906876344444073 PARAMI CAPITAL MANA 3639.1098899999997 J15/$G$5=0.0012254247036629043 RASHID ALI 2797.9569699999997 B16/$G$2=0.0038488492220924535 LINDEMANN JR GEORGE 69.79865 F16/$G$3=1.5357457539765752E-4 THE NATIONAL ORGANI 3586.78173 J16/$G$5=0.0012078038507896693 THE NATIONAL ORGANI 1312.48799 B17/$G$2=0.0018054489162916572 ADIKESHAVAR 51.86414 F17/$G$3=1.1411414517135597E-4 VOLPE NOEL 1753.83645 J17/$G$5=5.905824712576762E-4 BOIES FAMILY 4.0999999999999994E-4 B18/$G$2=5.639930127509809E-10 DZIALGA KIRSTEN & M 0.11476 F18/$G$3=2.525008474037131E-7 LINDEMANN JR GEORGE 398.67046 J18/$G$5=1.3424728713115443E-4 ELYSIUM MANAGEMENT 1.2000000000000002E-4 B19/$G$2=1.6507112568321396E-10 GENERAL ATLANTIC FA 0.00122 F19/$G$3=2.684306673340275E-9 ADIKESHAVAR 108.16556 J19/$G$5=3.642339839029486E-5 Grand Total SUM(B10:619)=726959.3607200002 B20/$G$2=1.0000000000000002 Grand Total SUM(F10:F19)=454493.5236400001 F20/$G$3=0.9999999987678592 Grand Total SUM(J10:319)=2969672.25556 J20/$G$5=0.9999999598103815 EFTA01431402 Investments Breakdown DPM Revenue Summary Revenue Summary Current YTD Revenue: Current YTD Revenue: Prior Year YTD Revenue: 0 Prior Year YTD Revenue: 11019.63949 A: C2-C3=-7149.344829999998 A: N3=-4801.386049999999 2018 Revenue: 43676.486789999995 2018 Revenue: 0 Revenue: 29702.01987 DPM Top Revenue Relationships YTD 2019 (through March) YTD 2018 (through March) Relationship Revenue AUM Relationship Revenue AUM Relationship Revenue AUM RASHID ALI 2659.7819 1.51360094337E7 RASHID ALI 4008.63275 1.107190264986E7 DEERING/CROSBY 17478.83889 1.0443246586556699E9 BOIES FAMILY 2123.1627899999994 1.4505112716650002E7 DEERING/ CROSBY 2831.09932 3.143139809216401E8 RASHID ALI 12578.78251 5.599548367682999E7 ELLIN HOWARD 110.3982 595863.57968 BOIES FAMILY 2669.3313 1.382386647127E7 BOIES FAMILY 9616.78004 5.665735102879999E7 VOLPE NOEL 2415.7357199999997 1.0418613892049998E7 VOLPE NOEL 4002.0853500000003 1.734149149032E7 Grand Total SUM(B11:613)=4893.342889999999 SUM(C11:C13)=3.0236985730030004E7 Grand Total 12042.687719999998 SUM(G11:G14)=3.496283639348202E8 Grand Total SUM(J11:J14)=43676.486789999995 SUM(K11:K14)=1.17431898485162E9 Wealth Planning Top Revenue Relationships YTD 2019 (through March) YTD 2018 (through March) Total 2018 Relationship Revenue Relationship Revenue Relationship Revenue N/A Grand Total Grand Total Grand Total Capital Markets Top Revenue Relationships YTD 2019 (through March) YTD 2018 (through March) Total 2018 Relationship Revenue Relationship Revenue Relationship Revenue ADIKESHAVAR 5100.89473 DEERING/CROSBY 6706.96136 DEERING/- CROSBY 11217.39647 JOCKEY CLUB 600.60552 THE NATIONAL ORGANI 1928.00173 RASHID ALI 10499.99078 THE NATIONAL ORGANI 516.75319 RASHID ALI 1874.99455 THE NATIONAL ORGANI 5759.20838 ADIKESHAVAR 509.68185 JOCKEY CLUB 1219.48871 ADIKESHAVAR 1005.9355300000001 Grand Total SUM(B30:B32)=6218.25344 Grand Total SUM(F30:F33)=11019.639490000001 Grand Total SUM(J30:J34)=29702.01987 Wealth Planning Revenue Summary Capital Markets 4893.34289 Current YTD Revenue: 0 6218.25344 12042.687719999998 Prior Year YTD Revenue: I2-I3=0 A: N2- 2018 Total 2018 EFTA01431403 Revenue Pivot Investment Platform Name (All) YearMonth (Multiple Items) Sum of USD Column Labels Row Labels Lending Lombard Lending Mortgages Grand Total DEERING/CROSBY -3343.7593699999998 -3343.7593699999998 VOLPE NOEL 6246.73556 6246.73556 Grand Total -3343.7593699999998 6246.73556 2902.9761900000003 EFTA01431404 AUM Pivot Investment Platform Name (All) YearMonth (Multiple Items) Row Labels Sum of USD ADIKESHAVAR 4.460708678749E7 ASHLEY HOLDINGS 1.40368915706803E9 BOIES FAMILY 5.665735102879999E7 DEERING/CROSBY 1.0443246586556699E9 DZIALGA KIRSTEN & M 344.32639 ELLIN HOWARD 2794652.8125499994 ELYSIUM MANAGEMENT 1820691.8190100002 GENERAL ATLANTIC FA 1.9878922329710003E7 JOCKEY CLUB 6.971169534459103E8 LINDEMANN JR GEORGE 1.3858011413800001E7 PARAMI CAPITAL MANA 3506067.65535 RASHID ALI 5.599548367682999E7 SK FAMILY OFFICE 1.892142055942E7 SOUTHERN FINANCIAL 5.803621984472002E8 THE NATIONAL ORGANI 4.6425595961847E8 THIRD LAKE CAPITAL 1.3455856958168101E9 VOLPE NOEL 1.734149149032E7 ZUECH CHRIS 2.7425506617422E8 Grand Total 6.044971213125981E9 EFTA01431405 Revenue Data 1.CRM YearMonth Investment Platform Name UBR description Name Level relationship reference* client reference* Categorie EUR USD Stewart Oldfield Interest Revenues CAPITAL CRW 2009 LLC Stewart Oldfield Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB Revenues 1442.21 1760.00098 Stewart Oldfield 201802 Deposits Deposits Interest Revenues Deposit Interest Revenues TJC MEDIA VENTURES INC. Revenues 11.47 13.99741 Stewart Oldfield 201803 Deposits Deposits Interest Revenues Deposit Interest Revenues BLOOD-HORSE LLC Revenues 564.32 694.00074 Stewart Oldfield 201803 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB FOUNDATION Revenues 239.06 Stewart Oldfield 201803 Deposits Deposits Interest Revenues Deposit Interest Revenues EQUIBASE COMPANY Revenues 691.98 850.997 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues INCOMPASS SOLUTIONSINC. Revenues 44.73 54.00029 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 65.42088 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues ALI RASHID Revenues 49.70 60.00033 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues BLOOD-HORSE LLC Revenues 492.86 595.00524 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues NOEL VOLPE Revenues 213.97 249.43553 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Revenues 401.55424 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues BLOOD-HORSE LLC Revenues 508.69 593.00537 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 201801 Deposits Deposits Deposit Interest Revenues Revenues 20.10 24.99938 201801 Deposits Deposits Deposit Interest Revenues Revenues 69.95 87.00031 201802 Deposits Deposits Deposit THIRD LAKE JOCKEY JOCKEY JOCKEY JOCKEY Deposit JOCKEY CLUB 293.99599 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit SOUTHERN 54.19 344.46 Deposit JOCKEY CLUB Deposit THIRD LAKE 344.46 Deposit JOCKEY CLUB Deposit CLUB Deposit CLUB Deposit CLUB Deposit CLUB Deposit RASHID ALI Deposit VOLPE NOEL Deposit THIRD LAKE EFTA01431406 401.55424 Stewart Oldfield Interest Revenues TJC HOLDINGS, INC Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2012 IRREVOCABLE TRUST Revenues 313.00388 Stewart Oldfield 201806 Deposits Deposits Interest Revenues Deposit Interest Revenues BLOOD-HORSE LLC Revenues 528.86 616.99452 Stewart Oldfield 201806 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB Revenues 1377.45 1607.00205 Stewart Oldfield 201806 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL CRW 2009 LLC Revenues 15.43 18.00141 Stewart Oldfield 201807 Deposits Deposits Interest Revenues Deposit Interest Revenues BLOOD-HORSE LLC Revenues 360.78 422.00437 Stewart Oldfield 201809 Deposits Deposits Interest Revenues Deposit Interest Revenues COALITION FOR HORSE RACING INTEGRITY, IN Revenues Stewart Oldfield Interest Revenues EQUIBASE COMPANY Stewart Oldfield Interest Revenues TJC HOLDINGS, INC Stewart Oldfield Interest Revenues TJC MEDIA VENTURES INC. Stewart Oldfield Interest Revenues CAPITAL TRAVIS WAGNER Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 61.20183 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 75.22311 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR CAI Revenues 58.76376 Stewart Oldfield Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield 201805 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 8.58 10.00214 201810 Deposits Deposit Interest Revenues 201811 Deposits Deposit Interest Revenues 201811 Deposits Deposit Interest Revenues 201811 Deposits Deposit Interest Revenues Deposit THIRD LAKE 268.50 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE Deposits Revenues JOCKEY 820.71 929.00268 Deposits Deposit Revenues JOCKEY CLUB 10.60 11.99814 Deposits Deposit Revenues JOCKEY CLUB 38.87 43.99695 Deposits Deposit Revenues THIRD LAKE 170.65 193.15874 Deposit JOCKEY CLUB Deposit JOCKEY CLUB 6.02 6.99614 Deposit CLUB Deposit THIRD LAKE 54.07 Deposit SOUTHERN 65.72 Deposit THIRD LAKE 51.34 201812 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 74.26 84.998 201812 Deposits Deposits Deposit EFTA01431407 Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 246.79 282.47584 Stewart Oldfield 201901 Interest Revenues Deposit BLOOD-HORSE LLC Revenues Stewart Oldfield 201901 Deposits Interest Revenues Deposit Interest TJC MEDIA VENTURES INC. Revenues Stewart Oldfield 201901 Deposits Interest Revenues Deposit Interest CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 40.67686 Stewart Oldfield Interest Revenues CAPITAL CAITLIN A. Stewart Oldfield Interest Revenues CAPITAL THIRD LAKE Stewart Oldfield Interest Revenues TJC MEDIA VENTURES Stewart Oldfield Deposits Deposits Deposit Interest Revenues JOCKEY CLUB 652.62 748.00041 201901 Deposit FORSYTHE 201901 Deposit Interest PARTNERS, LLC 201902 Deposits Deposit Interest INC. Revenues 201902 Deposits Interest Revenues Deposit Interest CAPITAL SHARI WAGNER 2012 IRREVOCABLE TRU 109.99532 Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest CAPITAL LAURA A FORSYTHE REVOCABLE TRUST 10.99839 Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest GEORGE SAN MARCO HOLDINGS, LLC Revenues Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest GEORGE SAN MARCO HOLDINGS, LLC Revenues Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest GEORGE SABAL CLUB HOLDINGS, LLC Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest TJC MEDIA VENTURES INC. Revenues Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest CAPITAL CRW 2009 LLC Revenues Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest TJC HOLDINGS, INC Revenues Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR Deposits Interest Revenues Deposits Deposits Revenues 13.09 15.0031 Deposits Revenues CAMERON Revenues Deposits Revenues 4.36 Deposits Revenues Revenues Deposits Revenues 45.67 51.99758 Deposits Revenues ST Revenues Deposits Revenues Revenues Deposits Revenues 0.88 Deposits Revenues 355.39 Deposits Revenues Revenues Deposits Revenues 5.35 6.00538 Deposits Revenues 142.54 160.0011 Deposits Revenues 12.47 13.99758 Deposits Revenues FOR CAI Revenues Deposit JOCKEY CLUB Deposit THIRD LAKE 35.49 Deposit THIRD LAKE 4.99721 Deposit THIRD LAKE 463.05 530.72476 Deposit JOCKEY CLUB Deposit THIRD LAKE 96.61 Deposit THIRD LAKE 9.66 Deposit LINDEMANN JR 1.00192 Deposit LINDEMANN JR 398.92528 Deposit LINDEMANN JR 218.26 244.99685 Deposit JOCKEY CLUB Deposit THIRD LAKE 5 Deposit JOCKEY CLUB Deposit THIRD LAKE 0.09 EFTA01431408 0.10103 Stewart Oldfield 201803 Capital Markets Capital Markets Transaction Revenues from Equity Options Transaction Revenues from Equity Options/Listed THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 1305.09 1604.99968 Stewart Oldfield 201806 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 128.57 149.99619 Stewart Oldfield 201810 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues DEERING/CROSBY HEATHER CROSBY Revenues 234.11 265.00081 Stewart Oldfield 201901 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 429.52 492.29435 Stewart Oldfield 201804 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 82.83 99.99652 Stewart Oldfield 201806 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 678.23 791.25703 Stewart Oldfield 201808 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY THE SANDRA E.C. DEERING 2018 IRREVOCABLE Revenues 438.71 510.00038 Stewart Oldfield 201810 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY ACE LIMITED PARTNERSHIP LLLP Revenues 88.34 99.99646 Stewart Oldfield 201810 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 176.69 200.00425 Stewart Oldfield 201808 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal DEERING/CROSBY THE CHARLESMEAD FOUNDATION INC. Revenues 1.78 2.06925 Stewart Oldfield 201811 Other Products Funds Solutions Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal DEERING/CROSBY SPENCER DEERING Revenues -0.31 -0.35089 Stewart Oldfield 201902 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal RASHID ALI ALI RASHID Revenues 0.04 0.04554 Stewart Oldfield 201903 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal RASHID ALI ALI RASHID Revenues EFTA01431409 3.69 4.14203 Stewart Oldfield 201803 Transaction Revenues Mutual internal VOLPE NOEL 2.57028 Stewart Oldfield 201811 Transaction Revenues Mutual internal RASHID ALI 2.3204 Stewart Oldfield 201802 Revenues Management/ Flat RASHID Revenues 831.69 Stewart Oldfield 201805 Revenues Management/ Flat CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201808 Revenues Management/ Flat CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201809 Fee Revenues Management/ Flat DEERING Revenues -131.02 Stewart Oldfield 201810 Revenues Management/ Flat RASHID Revenues 847.16 Stewart Oldfield 201810 Revenues Management/ Flat CROSBY Revenues 736.19 Stewart Oldfield 201811 Revenues Management/ Flat CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201802 externally booked assets Revenues from externally booked assets DEERING/CROSBY HEATHER CROSBY Revenues -1655.02 -2019.70366 Stewart Oldfield 201811 Partnerships Partnerships Partnership Revenues Partnership Revenues MCM CAPITAL PARTNER MCM CAPITAL PARTNERS Revenues 36622.67 41453.20017 Stewart Oldfield 201901 DPM DPM Private Equity Fund Non- Transaction Revenues Private Equity Fund Non-Transaction Revenues/- internal BOIES FAMILY CHRISTOPHER BOIES Revenues 22.16 25.39868 Stewart Oldfield 201802 Income Transaction Revenues RASHID ALI ALI RASHID Stewart Oldfield 201806 Income Transaction Revenues RASHID ALI ALI RASHID Stewart Oldfield 201803 Interest Revenues Loans - VOLPE NOEL NOEL VOLPE Stewart Oldfield 201801 DPM DPM Funds Other Non NOEL VOLPE DPM DPM Funds Other Non ALI RASHID DPM DPM Fee Revenues 1014.95289 DPM DPM Fee Revenues Revenues DPM DPM Fee Revenues Revenues Other Products Fee Revenues -152.26489 DPM DPM Fee Revenues 958.94276 DPM DPM Fee Revenues 833.33027 DPM DPM Fee Revenues Revenues Other Products Mutual Funds Other Non - -Transaction Revenues/- Revenues 2.09 Mutual Funds Other Non - -Transaction Revenues/- Revenues 2.05 Management/ Flat Fee RASHID ALI ALI Management/ Flat Fee DEERING/CROSBY THE 714.84 833.32473 Management/ Flat Fee DEERING/CROSBY THE 716.84 833.3265 Other Management/ Flat DEERING/CROSBY SPENCER Management/ Flat Fee RASHID ALI ALI Management/ Flat Fee DEERING/CROSBY HEATHER Management/ Flat Fee DEERING/CROSBY THE 1374.28 1555.54753 Other Revenues from Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues Revenues 1536.44 1874.99455 Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues Revenues 1285.73 1499.9969 Lending Lending Mortgages Loans Mortgages private - Interest Revenues Revenues 1429.99 1758.6017 Lending Lending Lombard Loans Interest Revenues Loans (Margin Lending / Lombard) Interest Revenues EFTA01431410 DEERING/CROSBY KATHRYN DEERING Revenues 1141.45 1419.67844 Stewart Oldfield 201808 Lending Lending Lombard Loans Interest (Margin Lending / Lombard) Interest Revenues M DEERING Revenues 558.27 648.98888 201806 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- FAMILY CHRISTOPHER BOIES Revenues Revenues Loans DEERING/CROSBY MARON Stewart Oldfield from Hedge Funds external BOIES 558.04 651.03737 Stewart Oldfield from Hedge Funds external BOIES 619.06 700.71401 Stewart Oldfield 201801 NTLP - Deposit JOCKEY CLUB 2.54597 3.16655 Stewart Oldfield 201801 NTLP - Deposit JOCKEY CLUB 453.51205 564.05561 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 2.13094 2.60049 Stewart Oldfield NTLP - Deposit 4.0E-5 5.0E-5 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 73.09788 Stewart Oldfield NTLP - Deposit 201811 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- FAMILY CHRISTOPHER BOIES Revenues Deposits Deposits NTLP TJC MEDIA VENTURES INC. Revenues Deposits Deposits THE JOCKEY CLUB Revenues NTLP 201801 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 2451.04166 3048.48306 201802 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.02548 0.03109 201802 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201802 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201802 Deposits Deposits THIRD LAKE CAPITAL KATI FORSYTHE 2014 0.02731 0.03333 201803 JOCKEY CLUB 89.89577 201803 JOCKEY CLUB NTLP GRAT Deposits Deposits NTLP EQUIBASE COMPANY Revenues Deposits Deposits NTLP COALITION FOR HORSE RACING INTEGRITY, IN Revenues 0.02529 0.0311 Stewart Oldfield 201803 Deposits Deposits NTLP NTLP - Deposit JOCKEY CLUB THE JOCKEY CLUB Revenues 663.55293 816.0374 Stewart Oldfield 201803 Deposits Deposits NTLP NTLP - Deposit JOCKEY CLUB THE JOCKEY CLUB FOUNDATION Revenues 67.81118 83.39419 Stewart Oldfield 201803 Deposits Deposits NTLP NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 116.00752 SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 6102.15578 7504.43118 201803 Deposits Deposits NTLP VOLPE NOEL NOEL VOLPE Revenues 94.3304 EFTA01431411 Stewart Oldfield NTLP - Deposit 52182.80126 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 133.74359 Stewart Oldfield NTLP - Deposit 0.02761 0.03333 Stewart Oldfield NTLP - Deposit 4.0E-5 5.0E-5 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 2.15407 2.6005 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit 11.20228 Stewart Oldfield NTLP - Deposit 7.69554 8.97108 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 0.02863 0.0334 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 43224.51956 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02761 0.03333 201804 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 161.46195 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201804 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201804 Deposits Deposits NTLP RASHID ALI Revenues 828.32885 1000 201804 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201805 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 27.53459 32.09845 201805 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 39.87163 46.48035 201805 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.05906 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues THIRD THIRD THIRD 201805 Deposits Deposits NTLP LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.02859 0.03333 201805 Deposits Deposits NTLP LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 107.22711 125 201806 Deposits Deposits NTLP LAKE CAPITAL GEW 2007 LLC Revenues 201806 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 228.70188 266.81505 201807 Deposits Deposits NTLP RASHID ALI Revenues 854.92007 1000.00001 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 213.73002 250 201808 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues EFTA01431412 1.1E-4 1.3E-4 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.0287 0.03336 Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit 24.04529 Stewart Oldfield NTLP - Deposit 14.16969 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02868 0.03333 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 1.2E-4 1.4E-4 Stewart Oldfield NTLP - Deposit 0.03365 0.03809 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield 201808 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 73.5115 85.45712 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 107.52688 125 201808 Deposits Deposits NTLP ASHLEY HOLDINGS Revenues 75781.27722 88095.73477 201808 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 230.2181 267.62854 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.52688 125 201809 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 27.94423 201809 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 16.46731 201809 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 27.63808 32.11959 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 107.55927 125.00001 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 107.55927 125.00001 201809 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.05444 0.06327 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201810 RASHID ALI 201810 BOIES FAMILY Deposits Deposits NTLP Revenues 662.57344 750.00001 Deposits Deposits NTLP CHRISTOPHER BOIES Revenues 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201810 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 34.24944 38.76865 201811 Deposits Deposits NTLP EFTA01431413 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 3409.8023 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02948 0.03336 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02945 0.03333 Stewart Oldfield NTLP - Deposit 2.29746 2.60049 Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit 0.02912 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02915 0.03336 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 2.27197 2.6005 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02914 0.0334 Stewart Oldfield THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02945 0.03333 201811 Deposits Deposits NTLP SOUTHERN FINANCIAL THE HAZE TRUST Revenues 3859.55522 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 0.02945 0.03333 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201811 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 8.32219 9.41989 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 201811 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 219.95121 251.75615 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201812 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 62.00506 70.97099 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 219.95121 251.75615 201812 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 1.58308 1.81199 201812 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL KEYHOLE PARTNERS, LLC 153.23917 175.39755 201812 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 45.30158 51.85219 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201901 Deposits Deposits NTLP EFTA01431414 NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 10.80291 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 2.2689 2.6005 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit LINDEMANN JR GEORGE SUMMER COVE HOLDINGS, LLC Revenues 2.23442 2.544 Stewart Oldfield 201902 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL SHARI WAGNER Revenues 362.44931 412.66666 Stewart Oldfield 201902 Deposits Deposits NTLP NTLP - Deposit LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY LIMITED PART Revenues 45.71825 52.05251 Stewart Oldfield 201902 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL KWF 2007 LLC Revenues 0.02928 0.03334 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT Revenues 0.0297 0.03334 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL KATI WANEK- FORSYTHE 2012 IRR TRUST Revenues 255.38233 286.66667 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL KEYHOLE PARTNERS, LLC Revenues 379.94325 426.4863 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY LIMITED PART Revenues 46.38732 52.06977 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 11.73326 13.17058 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit LINDEMANN JR GEORGE SUMMER COVE HOLDINGS, LLC Revenues 153.87166 172.72094 Stewart Oldfield 201801 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB TJC HOLDINGS, INC Revenues 8.04 9.99975 Stewart Oldfield 201801 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues SOUTHERN FINANCIAL THE HAZE TRUST Revenues 34167.32 42495.60425 THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 439.76454 504.03613 201901 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 12.38176 201901 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 69.90678 80.12366 201901 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201901 Deposits ASHLEY HOLDINGS Revenues 201901 Deposits RASHID ALI Revenues 201902 Deposits Deposits NTLP 76876.00766 88111.43618 Deposits NTLP 791.63213 907.32917 Deposits NTLP EFTA01431415 Stewart Oldfield Interest Revenues EQUIBASE COMPANY Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues CAPITAL GEW 2009 LLC Stewart Oldfield Interest Revenues Deposit ALI RASHID Revenues Stewart Oldfield 201805 Interest Revenues Deposit CAPITAL KATI WANEK-FORSYTHE 2015 401.55424 Stewart Oldfield 201805 Interest Revenues Deposit CAPITAL KATI WANEK-FORSYTHE Stewart Oldfield 201805 Interest Revenues Deposit AXCIS INFORMATION NETWORK INC. Stewart Oldfield 201805 Interest Revenues Deposit CAPITAL SHARI WAGNER 2015 GRAT F 401.55424 Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues CAPITAL CRW 2009 LLC Stewart Oldfield Interest Revenues FINANCIAL THE 2017 7966.0664 Stewart Oldfield Interest Revenues FINANCIAL SOUTHERN Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues CAPITAL STEVEN FORSYTHE Stewart Oldfield Interest Revenues CAPITAL TRAVIS WAGNER Stewart Oldfield Interest Revenues FINANCIAL THE HAZE 201802 Deposit Revenues 201803 Deposit 46882.15 201803 Deposit Revenues 201803 0 Deposits Interest Deposits Interest Deposits Interest Deposits Interest 117.09 Deposits Interest GRAT TR Deposits Interest Revenues Deposits Interest Revenues Deposits Interest R LEAH M Deposits Deposit Revenues JOCKEY CLUB 1074.28 1310.9976 Deposits Deposit Revenues THIRD LAKE 57655.66806 Deposits Deposit Revenues THIRD LAKE 24.39 29.99482 Deposits Deposit Revenues RASHID ALI 143.99728 Deposits Deposit Revenues THIRD LAKE FOR CAI Revenues 344.46 Deposits Revenues 536.99 Deposits Revenues 270.21 Deposits Revenues FOX Revenues 201806 Deposits Deposits Deposit Interest Revenues 5438.09 6344.34771 201807 Deposits Deposits Deposit Interest Revenues Revenues 14.53 16.99574 201807 Deposits Deposits Deposit Interest Revenues CATERPILLAR TRUST Revenues 201807 Deposits Deposits Deposit Interest Revenues FINANCIAL LLC Revenues 201808 Deposits Deposits Deposit Interest Revenues 5073.73 5898.21118 201808 Deposits Deposits Deposit Interest Revenues Revenues 12.04 13.9965 201808 Deposits Deposits Deposit Interest Revenues Revenues 78.1 90.79125 201808 Deposits Deposits Deposit Interest Revenues TRUST Revenues 20070.38 Deposit THIRD LAKE 625.99609 Deposit JOCKEY CLUB 314.99731 Deposit THIRD LAKE 344.46 Deposit THIRD LAKE Deposit THIRD LAKE Deposit SOUTHERN 6810.35 Deposit SOUTHERN 269.06 314.71948 Deposit THIRD LAKE Deposit THIRD LAKE Deposit THIRD LAKE Deposit SOUTHERN 23331.81675 EFTA01431416 Stewart Oldfield Interest Revenues CAPITAL LAURA A FORSYTHE 27.99619 Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues Deposit Interest Revenues EQUIBASE COMPANY Revenues 277.93 322.9963 Stewart Oldfield 201809 Deposits Deposits Interest Revenues Deposit Interest Revenues FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 62.94204 Stewart Oldfield 201810 Deposits Deposits Interest Revenues Deposit Interest Revenues Revenues 1.1 1.24515 Stewart Oldfield 201810 Deposits Deposits Interest Revenues Deposit Interest Revenues ALI RASHID Revenues 678.48 768.00544 Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB Revenues 1459.49 1651.99674 Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 61.20183 Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR CAI Revenues 61.20183 Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Revenues 61.20183 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 203.25807 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL KEYHOLE PARTNERS, LLC Revenues 95.69 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 203.25807 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues FINANCIAL THE 2017 CATERPILLAR TRUST Revenues 9887.3295 Stewart Oldfield 201901 Deposits Deposits 201809 Deposits Deposits Deposit Interest Revenues REVOCABLE TRUST Revenues 201809 Deposits Deposits Deposit Interest Revenues 7154.80 8314.95085 201809 Deposits Deposits Deposit THIRD LAKE 24.09 Deposit THIRD LAKE Deposit JOCKEY CLUB 5 Deposit SOUTHERN 54.16 Deposit ASHLEY HOLDINGS Deposit RASHID ALI Deposit JOCKEY CLUB Deposit THIRD LAKE 54.07 Deposit THIRD LAKE 54.07 Deposit THIRD LAKE 54.07 Deposit THIRD LAKE 177.58 Deposit THIRD LAKE 109.52677 Deposit THIRD LAKE 177.58 Deposit SOUTHERN 8638.24 Deposit EFTA01431417 Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 4.36 4.99721 Stewart Oldfield 201901 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues RASHID ALI ALI RASHID Revenues 23.56 27.00329 Stewart Oldfield Interest Revenues CAPITAL TRAVIS WAGNER Stewart Oldfield Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 40.67686 Stewart Oldfield 201901 Deposits Interest Revenues Deposit Interest CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 0.13754 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB AXCIS INFORMATION NETWORK INC. Revenues 334.64 381.00437 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Revenues 34.23 38.97257 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL CAITLIN A. FORSYTHE Revenues 9.66 10.99839 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN Revenues 10.54 12.00032 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues LINDEMANN JR GEORGE ADDISON AT MILLENIA HOLDINGS, LLC Revenues 786.20 882.5095 Stewart Oldfield Interest Revenues Revenues 3747.18 Stewart Oldfield Interest Revenues CAPITAL CAMERON WANEK Stewart Oldfield Interest Revenues Deposit Interest Revenues CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 83.88443 Stewart Oldfield 201903 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL THIRD LAKE PARTNERS, LLC Revenues Stewart Oldfield 201805 Capital Markets Capital Transaction Revenues Equities Transaction Revenues ADIKESHAVAR HOLDINGS LLC Revenues 42.89 Stewart Oldfield 201808 Capital Markets Capital Transaction Revenues Equities Transaction Revenues 201901 Deposits Deposit Interest Revenues 201901 Deposits Deposit Interest Deposit THIRD LAKE Deposits Revenues 1.26 1.44415 Deposits Revenues WAGNER Revenues Deposits Revenues FOR STE Revenues 201903 Deposits Deposits Deposit Interest Revenues 4206.20956 201903 Deposits Deposits Deposit Interest Revenues Revenues 2.67 2.99708 201903 Deposits Deposits Deposit THIRD LAKE 35.49 Deposit THIRD LAKE 0.12 Deposit ASHLEY HOLDINGS Deposit THIRD LAKE Deposit THIRD LAKE 74.73 Deposit THIRD LAKE 367.55 412.57488 Markets Equities ADIKESHAVAR 49.99902 Markets Equities DEERING/CROSBY EFTA01431418 2016 MAYSON-DEERING FAMILY TRUST Revenues 43.01 49.99913 Stewart Oldfield 201810 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues DEERING/CROSBY LYNN DEERING REVOCABLE TRUST Revenues 88.34 99.99646 Stewart Oldfield 201811 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC Revenues 88.13 99.75435 Stewart Oldfield 201803 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal DEERING/CROSBY THE CHARLESMEAD FOUNDATION INC. Revenues 0.98 1.2052 Stewart Oldfield 201808 Other Products Funds Solutions Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal DEERING/CROSBY SPENCER DEERING Revenues -0.27 -0.31388 Stewart Oldfield 201811 Other Products Custody only Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 57.32 64.88051 Stewart Oldfield 201812 Other Products Custody only Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 3.53 4.04044 Stewart Oldfield 201901 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal RASHID ALI ALI RASHID Revenues 0.01 0.01146 Stewart Oldfield 201902 Other Products Custody only Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 11.87 13.51459 Stewart Oldfield 201801 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues RASHID ALI ALI RASHID Revenues 1629.63 2026.85231 Stewart Oldfield 201801 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues VOLPE NOEL NOEL VOLPE Revenues 620.94 772.29413 Stewart Oldfield 201804 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues DEERING/CROSBY THE CHARLESMEAD FOUNDATION INC. Revenues 690.27 833.32846 Stewart Oldfield 201808 Other Products Other Management/ Flat Fee Revenues Management/ Flat Fee Revenues DEERING/CROSBY SPENCER DEERING Revenues -914.12 -1062.6645 Stewart Oldfield 201811 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues RASHID ALI ALI RASHID Revenues 805.72 911.99447 Stewart Oldfield 201807 DPM DPM Private Equity Fund Non- Transaction Revenues Private Equity Fund Non-Transaction Revenues/- internal BOIES FAMILY CHRISTOPHER BOIES Revenues 52.32 61.1987 Stewart Oldfield 201809 DPM DPM Private Equity Fund Non- EFTA01431419 Transaction Revenues internal BOIES 52.66 61.19882 Stewart Oldfield Transaction Revenues internal ELLIN 30.59941 Stewart Oldfield Transaction Revenues internal ELLIN 91.80115 Stewart Oldfield Transaction Revenues internal BOIES 22.31 25.40105 Stewart Oldfield 201805 Capital Markets Capital Income Transaction Revenues Fixed Income Transaction THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE Revenues 2555.01 2978.50291 Stewart Oldfield 201807 Capital Markets Capital Income Transaction Revenues Fixed Income Transaction JOCKEY CLUB THE JOCKEY CLUB Revenues 528.95 Stewart Oldfield 201810 Capital Markets Capital Income Transaction Revenues RASHID ALI ALI RASHID Stewart Oldfield 201803 Revenues Custody Revenues NATIONAL ORGANIZATION OF THE NEW Stewart Oldfield 201902 Transaction Revenues Private internal BOIES FAMILY 125.60 143.00188 Stewart Oldfield Interest Revenues VOLPE NOEL Stewart Oldfield Revenues DEERING/CROSBY 2603.0966 Stewart Oldfield Revenues DEERING/CROSBY 663.12632 Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Revenues Stewart Oldfield Private FAMILY 201809 Private HOWARD 201810 Private HOWARD 201902 Private FAMILY Equity Fund Non-Transaction Revenues/- CHRISTOPHER BOIES Revenues DPM DPM Private Equity Fund Non- Equity Fund Non-Transaction Revenues/- HOWARD ELLIN Revenues 26.33 DPM DPM Private Equity Fund Non- Equity Fund Non-Transaction Revenues/- HOWARD ELLIN Revenues 81.1 DPM DPM Private Equity Fund Non- Equity Fund Non-Transaction Revenues/- CHRISTOPHER BOIES Revenues Markets Fixed Revenues NEW APO Markets Fixed Revenues 618.71282 Markets Fixed Fixed Income Transaction Revenues Revenues 2981.58 3374.99948 Other Products Custody only Custody THE NATIONAL ORGANI THE APO Revenues 7169.76 8817.37085 DPM DPM Private Equity Fund Equity Fund Transaction Revenues/- CHRISTOPHER BOIES Revenues 201802 Lending Lending Mortgages Loans Loans - Mortgages private - Interest Revenues NOEL VOLPE Revenues 201804 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST 201807 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST 201808 Lending Lending Loans (Margin Lending / Lombard) SPENCER DEERING Revenues 201810 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST -1671.16398 -1891.67407 201902 DPM DPM 1979.91 2416.18317 Lombard Loans Interest Interest Revenues Revenues 2156.22 Lombard Loans Interest Interest Revenues Revenues 566.92 Lombard Loans Interest Interest Revenues 38.75 45.04688 Lombard Loans Interest Interest Revenues Non-Transaction Revenues EFTA01431420 from Hedge Funds Non-Transaction Revenues from Hedge Funds/- external BOIES FAMILY CHRISTOPHER BOIES Revenues 537.89 612.41466 Stewart Oldfield 201801 Deposits NTLP - Deposit THIRD LAKE CAPITAL Revenues 5.0E-5 6.0E-5 Stewart Oldfield 201801 Deposits NTLP - Deposit THE NATIONAL ORGANI NEW APO Revenues 640.66553 Stewart Oldfield 201801 Deposits NTLP - Deposit SOUTHERN FINANCIAL 19792.52654 24616.95488 Stewart Oldfield 201801 Deposits NTLP - Deposit THIRD LAKE CAPITAL 7.19507 8.94887 Stewart Oldfield 201801 Deposits Deposits NTLP - Deposit THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT Revenues 0.0268 0.03333 Stewart Oldfield 201801 Deposits Deposits NTLP NTLP - Deposit LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY LIMITED PART Revenues 15.1596 18.85475 Stewart Oldfield 201801 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL SSW 2007 LLC Revenues 0.0268 0.03333 Stewart Oldfield NTLP - Deposit 10.68935 Stewart Oldfield NTLP - Deposit 22.14235 Stewart Oldfield NTLP - Deposit 7.21095 8.79988 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 126.74123 Stewart Oldfield NTLP - Deposit 10.61087 Stewart Oldfield NTLP - Deposit 408.02372 Stewart Oldfield NTLP - Deposit 0.0271 0.03333 Stewart Oldfield 201802 JOCKEY CLUB 13.04475 201802 JOCKEY CLUB 27.02142 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues Deposits NTLP KATI WANEK-FORSYTHE 2016 GRAT Deposits NTLP THE NATIONAL ORGANIZATION OF THE 796.82775 Deposits NTLP THE HAZE TRUST Revenues Deposits NTLP CRW 2009 LLC Revenues NTLP Deposits Deposits NTLP THE GRAYSON JOCKEY CLUB Revenues Deposits Deposits NTLP THE JOCKEY CLUB PAC Revenues 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK 2016 GRAT 0.14536 0.17876 201803 Deposits Deposits NTLP RASHID ALI Revenues 203.28509 250 201803 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 155.86636 201803 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.04925 201803 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 501.78758 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201803 Deposits Deposits NTLP EFTA01431421 NTLP - Deposit 20058.68509 Stewart Oldfield NTLP - Deposit 1.1E-4 1.3E-4 Stewart Oldfield NTLP - Deposit 0.02761 0.03333 Stewart Oldfield NTLP - Deposit 0.02764 0.03337 Stewart Oldfield BOIES FAMILY 83.894 Stewart Oldfield NTLP - Deposit 1.78801 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 107.24188 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 21213.85294 Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit SOUTHERN FINANCIAL THE HAZE TRUST Revenues 24668.17092 201804 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201804 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 69.49182 201804 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 1.48106 201804 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 5.84006 7.05041 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.22711 125 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 0.02859 0.03333 201805 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 41.82757 48.76049 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02859 0.03333 201805 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 91.86988 107.09732 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 125.01722 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.02859 0.03333 201805 Deposits Deposits NTLP SOUTHERN FINANCIAL THE HAZE TRUST Revenues 24730.04906 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 107.14439 125 201806 Deposits Deposits NTLP RASHID ALI Revenues 857.1551 1000 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 51171.06938 EFTA01431422 59698.7281 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02857 0.03333 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 1.1E-4 1.3E-4 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit 42.37491 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 15329.97163 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit 1.1E-4 1.3E-4 Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 26.99172 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 294.04695 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02857 0.03333 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201806 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 27.52173 32.10823 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 214.28878 250.00001 201807 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 0.0285 0.03334 201808 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 49.26083 201808 Deposits Deposits RASHID ALI Revenues 860.21506 201808 Deposits Deposits THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02867 0.03333 201808 Deposits Deposits NTLP SOUTHERN FINANCIAL THE HAZE TRUST Revenues 17821.09202 201809 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 33.3475 38.7548 201809 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues NTLP 1000.00001 NTLP 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 215.11853 250 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02868 0.03333 201809 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 31.36843 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 107.55927 125.00001 201810 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 332.84644 EFTA01431423 Stewart Oldfield NTLP - Deposit 152.88961 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit 11.44526 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 644.70288 Stewart Oldfield 201810 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 173.06339 201810 Deposits Deposits NTLP ASHLEY HOLDINGS Revenues 77311.98283 87513.29896 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 220.85781 250 201810 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 46.33796 52.45225 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL WANEK TRUST OF 2000 0.02945 0.03334 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02945 0.03334 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 110.42891 125 201811 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 2.4658 2.79104 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 222.27411 251.59207 201811 Deposits Deposits NTLP ASHLEY HOLDINGS Revenues 77841.73019 88109.0544 201811 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 31.88817 36.09422 201812 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.10024 201812 Deposits Deposits NTLP ASHLEY HOLDINGS Revenues 76979.0705 88110.24409 201812 Deposits Deposits NTLP RASHID ALI Revenues 655.25075 750.00001 201812 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 5954.40531 6815.41232 201812 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 39.6718 45.40834 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02912 0.03333 201812 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 737.92691 201812 Deposits Deposits NTLP EFTA01431424 NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit 2.18084 2.49619 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit 0.02908 0.03333 Stewart Oldfield NTLP - Deposit 17.41024 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.00845 0.00962 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 93.22896 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 12.78762 Stewart Oldfield NTLP - Deposit 451.86505 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield ELYSIUM MANAGEMENT 201812 JOCKEY CLUB LEON D. BLACK Revenues Deposits Deposits NTLP TJC MEDIA VENTURES INC. Revenues 201901 Deposits THIRD LAKE CAPITAL 0.02908 0.03333 201901 Deposits THIRD LAKE CAPITAL 0.02908 0.03333 201901 Deposits THIRD LAKE CAPITAL 219.79596 201901 Deposits THIRD LAKE CAPITAL Deposits WANEK TRUST OF 2000 NTLP Deposits NTLP ROBERT S FORSYTHE REVOCABLE Deposits NTLP SHARI WAGNER 2015 GRAT FOR LEAH M 251.91914 Deposits NTLP SSW 2007 LLC Revenues 201901 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 19.95475 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 29.30628 33.36667 201902 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 27.6399 31.46941 201902 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL WANEK TRUST OF 2000 2561.76716 2916.70 201902 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 106.14583 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 29.30628 33.36667 201902 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 1.59149 1.81199 201902 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 14.55934 201903 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 507.21852 201903 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.0297 0.03334 201903 Deposits Deposits NTLP EFTA01431425 NTLP - Deposit THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT Revenues 0.0297 0.03334 Stewart Oldfield 201801 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL Revenues 6257.09 7782.2557 Stewart Oldfield 201802 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL CRW 2009 LLC Revenues 16.39 20.00154 Stewart Oldfield 201802 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB FOUNDATION Revenues 74.57 Stewart Oldfield 201803 Deposits Deposits Interest Revenues Deposit Interest Revenues FINANCIAL THE HAZE TRUST Revenues 27191.58 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues TJC HOLDINGS, INC Revenues 7.45 8.99401 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL Revenues 4685.44 5656.49745 Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit THE JOCKEY CLUB Revenues Stewart Oldfield 201804 Interest Revenues Deposit THE JOCKEY CLUB FOUNDATION Stewart Oldfield 201804 Interest Revenues Deposit THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues Interest 1396.56 Deposits Interest Revenues Deposits Interest Revenues 201805 Deposits Deposit Interest 24022.54 201805 Deposits Deposit Interest ALI RASHID Revenues 54.04 62.99713 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 401.55424 Stewart Oldfield 201805 Interest Revenues Deposit FINANCIAL THE HAZE TRUST Stewart Oldfield 201806 Interest Revenues Deposit FINANCIAL THE HAZE TRUST Stewart Oldfield 201806 Interest Revenues Deposit ALI RASHID Revenues Stewart Oldfield 201806 Interest Revenues Deposit Interest Revenues INCOMPASS SOLUTIONSINC. Revenues 78.86 92.00202 Deposits Interest Revenues Deposits Interest Revenues Deposits Interest 53.14 Deposits Revenues 1685.99707 Deposits Revenues 191.34 Deposits Revenues 82.83 99.99652 Deposits Revenues 28004.27606 Deposits Revenues Deposits Revenues 30035.21 Deposits Revenues 27110.43 Deposits Revenues 61.99578 Deposits Deposit THIRD LAKE Deposit THIRD LAKE Deposit JOCKEY CLUB 91.0015 Deposit SOUTHERN 33440.20508 Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit JOCKEY CLUB Deposit JOCKEY CLUB 230.99522 Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit RASHID ALI Deposit THIRD LAKE 344.46 Deposit SOUTHERN 35013.54606 Deposit SOUTHERN 31628.38316 Deposit RASHID ALI Deposit JOCKEY CLUB EFTA01431426 Stewart Oldfield 201806 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 58.91 68.72735 Stewart Oldfield Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues TJC HOLDINGS, INC Stewart Oldfield Interest Revenues Deposit Interest Revenues ALI RASHID Revenues 44.46 52.00486 Stewart Oldfield 201808 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL GEW 2009 LLC Revenues 14.62 16.99575 Stewart Oldfield 201808 Deposits Deposits Interest Revenues Deposit Interest Revenues AXCIS INFORMATION NETWORK INC. Revenues 289.89 Stewart Oldfield 201809 Deposits Deposits Interest Revenues Deposit Interest Revenues TJC MEDIA VENTURES INC. Revenues 60.23 69.99629 Stewart Oldfield 201809 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB Revenues 1198.63 1392.98786 Stewart Oldfield 201810 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Revenues 11.99867 Stewart Oldfield 201810 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER Revenues 108.66 122.9976 Stewart Oldfield 201810 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL KATI WANEK- FORSYTHE 2012 IRR TRUST Revenues 49.00212 Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL KEYHOLE PARTNERS, LLC Revenues 29.92 Stewart Oldfield 201811 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 61.20183 Stewart Oldfield Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues CAPITAL TRAVIS WAGNER Stewart Oldfield Interest Revenues 201806 Deposits Deposits Deposit Interest Revenues Revenues 96 111.9984 201807 Deposits Deposits Deposit Interest Revenues Revenues 9.40 10.99518 201807 Deposits Deposits Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit RASHID ALI Deposit THIRD LAKE Deposit JOCKEY CLUB 336.99713 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE 10.60 Deposit THIRD LAKE 9 Deposit THIRD LAKE 43.29 Deposit THIRD LAKE 33.86645 Deposit THIRD LAKE 54.07 201811 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 71.56 80.99876 201812 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE Revenues 14.29 16.35633 201812 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE EFTA01431427 CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Revenues 177.58 203.25807 Stewart Oldfield 201812 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC Revenues 978.38 1119.85375 Stewart Oldfield 201901 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE TRUST Revenues 4.36 4.99721 Stewart Oldfield Interest Revenues TJC HOLDINGS, INC Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues CAPITAL CAMERON WANEK Stewart Oldfield Interest Revenues CAPITAL WANEK TRUST OF Stewart Oldfield Interest Revenues 201901 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 11.34 12.99734 201902 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE 4112.68 4682.4918 201902 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE Revenues 101.88 115.99547 201902 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE 2000 Revenues 850.20 967.99521 201902 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 90.77 103.34618 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues LINDEMANN JR GEORGE MARINA LANDING HOLDINGS, LLC Revenues 1.76 2.00385 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 88.71 101.00077 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 0.11 0.12524 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 28.17 31.62083 Stewart Oldfield Interest Revenues AXCIS INFORMATION Stewart Oldfield Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 28.17 31.62083 Stewart Oldfield Interest Revenues MANA RAHUL VAID Stewart Oldfield Interest Revenues 201903 Deposit NETWORK INC. 201903 Deposits Deposits Deposit Interest Revenues JOCKEY CLUB Revenues 339.43 381.01018 Deposits Deposits Deposit 201903 Deposits Deposits Deposit Deposit Interest Revenues PARAMI CAPITAL Revenues 721.79 810.20928 201903 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE EFTA01431428 CAPITAL SHARI WAGNER 31.62083 Stewart Oldfield Transaction Revenues ORGANI THE NATIONAL 399.19943 Stewart Oldfield 201808 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues DEERING/CROSBY LYNN DEERING REVOCABLE TRUST Revenues 1213.88 1411.1355 Stewart Oldfield 201810 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 44.17 49.99823 Stewart Oldfield 201811 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues DEERING/CROSBY SPENCER DEERING Revenues -212.11 -240.08731 Stewart Oldfield 201804 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal VOLPE NOEL NOEL VOLPE Revenues 1.81 2.18512 Stewart Oldfield 201805 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal RASHID ALI ALI RASHID Revenues 2.29 2.66957 Stewart Oldfield 201809 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal RASHID ALI ALI RASHID Revenues 0.14 0.1627 Stewart Oldfield 201805 DPM DPM Mutual Funds Other Non - Transaction Revenues Mutual Funds Other Non -Transaction Revenues/- internal VOLPE NOEL NOEL VOLPE Revenues 2.41 2.80946 Stewart Oldfield 201810 DPM DPM Mutual Funds Other Non - Transaction Revenues Mutual Funds Other Non -Transaction Revenues/- internal RASHID ALI ALI RASHID Revenues 2.24 2.53557 Stewart Oldfield 201803 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues VOLPE NOEL NOEL VOLPE Revenues 653.11 803.19468 Stewart Oldfield 201803 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues DEERING/CROSBY HEATHER CROSBY Revenues 677.61 833.32478 Stewart Oldfield 201804 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues RASHID ALI ALI RASHID Revenues 789.27 952.84621 Stewart Oldfield 201805 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues RASHID ALI ALI RASHID Revenues 818.48 954.14306 Stewart Oldfield 201807 DPM DPM Management/ Flat Fee Revenues Management/ Flat Fee Revenues DEERING/CROSBY HEATHER CROSBY Revenues 712.43 833.32937 Stewart Oldfield 201809 DPM DPM Management/ Flat Fee 2015 GRAT FOR MARA WAGNER Revenues 28.17 201805 Capital Markets Capital Markets Equities Equities Transaction Revenues THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 342.44 EFTA01431429 Revenues Management/ Flat Fee Revenues CHARLESMEAD FOUNDATION INC. Revenues Stewart Oldfield 201812 DPM DPM Revenues Management/ Flat Fee Revenues RASHID Revenues Stewart Oldfield Partnership Revenues Southern Financial Stewart Oldfield Partnership Revenues MCM CAPITAL PARTNERS Revenues 24257.96 27458.79782 Stewart Oldfield 201903 Partnerships Partnerships Partnership Revenues Partnership Revenues SAFANAD Safanad Revenues 337639.20 379000.002 Stewart Oldfield 201804 DPM DPM Private Equity Fund Non- Transaction Revenues Private Equity Fund Non-Transaction Revenues/- internal BOIES FAMILY CHRISTOPHER BOIES Revenues 102.38 123.59826 Stewart Oldfield Transaction Revenues internal ELLIN 30.59935 Stewart Oldfield Transaction Revenues internal BOIES 22.63 25.40218 Stewart Oldfield 201808 Income Transaction Revenues RASHID ALI ALI RASHID Stewart Oldfield 201901 Income Transaction Revenues THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 21.34 24.45884 Stewart Oldfield 201812 Other Products Custody only Custody Revenues Custody Revenues ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 4956.57 5673.29002 Stewart Oldfield 201902 Other Products Custody only Custody Revenues Custody Revenues ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 2927.70 3333.33284 Stewart Oldfield 201903 Other Products Custody only Custody Revenues Custody Revenues THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 7586.22 8515.53195 Stewart Oldfield 201803 Lending Lending Lombard Loans Interest Revenues Loans (Margin Lending / Lombard) Interest Revenues DEERING/CROSBY HEATHER CROSBY Revenues 60.03 73.82489 Stewart Oldfield 201806 Lending Lending Lombard Loans Interest Revenues Loans (Margin Lending / Lombard) Interest Revenues DEERING/CROSBY MARON M DEERING Revenues 590.58 689.00016 Stewart Oldfield 201807 Lending Lending Lombard Loans Interest Revenues Loans (Margin Lending / Lombard) Interest Revenues DEERING/CROSBY HEATHER CROSBY Revenues 12.64 14.78501 806.23 922.81086 201805 Partnerships Partnership Revenues Revenues 64.77 201810 Partnerships Partnership Revenues DEERING/CROSBY THE 717.06 833.33128 Management/ Flat Fee RASHID ALI ALI Partnerships Southern Financial 75.50563 Partnerships MCM CAPITAL PARTNER 201807 Private HOWARD 201903 Private FAMILY DPM DPM Private Equity Fund Non- Equity Fund Non-Transaction Revenues/- HOWARD ELLIN Revenues 26.16 DPM DPM Private Equity Fund Non- Equity Fund Non-Transaction Revenues/- CHRISTOPHER BOIES Revenues Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues Revenues 1612.90 1874.99625 Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues EFTA01431430 Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY 17.37503 Stewart Oldfield Revenues Loans DEERING/CROSBY MARON Stewart Oldfield Revenues Loans (Margin Lending / Lombard) Interest Revenues DEERING/CROSBY SPENCER DEERING Revenues 96.69 110.67137 Stewart Oldfield 201805 DPM DPM Non-Transaction Revenues from Hedge Funds Non-Transaction Revenues from Hedge Funds/- external BOIES FAMILY CHRISTOPHER BOIES Revenues 574.90 670.18968 Stewart Oldfield 201809 DPM DPM Non-Transaction Revenues from Hedge Funds Non-Transaction Revenues from Hedge Funds/- external BOIES FAMILY CHRISTOPHER BOIES Revenues 576.15 669.57272 Stewart Oldfield 201801 Deposits Deposits NTLP NTLP - Deposit JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 10.48423 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.17874 0.21813 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 52175.34464 Stewart Oldfield NTLP - Deposit 0.0271 0.03333 Stewart Oldfield BOIES FAMILY Stewart Oldfield NTLP - Deposit 4.02526 4.95026 Stewart Oldfield 201811 Lending Lending Loans (Margin Lending / Lombard) MARON M DEERING Revenues 201811 Lending Lending Loans (Margin Lending / Lombard) HEATHER CROSBY Revenues 201812 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST 201812 Lending Lending (Margin Lending / Lombard) M DEERING Revenues 201812 Lending Lending Lombard Interest 813.38 Lombard Interest 0.05 Lombard Interest Revenues Loans Interest Revenues 920.66482 Loans Interest Revenues 0.0566 Loans Interest Revenues 15.18 Lombard Loans Interest Interest Revenues 340.08 389.25557 Lombard Loans Interest 13.03976 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02731 0.03333 201802 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 10.4376 12.73753 201802 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 201802 Deposits Deposits NTLP GENERAL ATLANTIC FA MADISON PARK CAPITAL, LLC 3.3E-4 4.0E-4 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 42425.8779 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201803 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 68.2176 83.894 201803 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 201803 Deposits Deposits NTLP EFTA01431431 NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit 20458.54938 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit 0.82257 0.95891 Stewart Oldfield NTLP - Deposit 24.09443 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02857 0.03333 Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit 0.02857 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.0286 0.03336 Stewart Oldfield NTLP - Deposit 11.39695 Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 20.71492 25.47521 201804 Deposits Deposits NTLP SOUTHERN FINANCIAL THE HAZE TRUST Revenues 24698.58374 201804 Deposits Deposits NTLP GENERAL ATLANTIC FA MADISON PARK CAPITAL, LLC 3.4E-4 4.1E-4 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 107.22711 125 201805 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201805 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 28.08808 201805 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 13.47081 15.7036 201805 Deposits Deposits THIRD LAKE CAPITAL SHARI WAGNER 2015 107.22711 125 201805 Deposits Deposits NTLP GENERAL ATLANTIC FA MADISON PARK CAPITAL, LLC 3.5E-4 4.1E-4 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues NTLP GRAT TRAVIS T. 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M 107.14439 125 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.02857 0.03333 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201806 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 13.29625 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.14439 125 201807 Deposits Deposits NTLP EFTA01431432 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 59728.35385 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit 0.0285 0.03334 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 59.19705 Stewart Oldfield NTLP - Deposit 0.0285 0.03334 Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit 0.02867 0.03333 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 2.23699 2.6005 Stewart Oldfield THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.0285 0.03334 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 51062.96815 201807 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 76.42699 89.39665 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.0285 0.03334 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.0171 0.02 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 106.86501 125 201807 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 69.24279 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues THIRD THIRD 201807 Deposits LAKE CAPITAL 106.86501 201808 Deposits LAKE CAPITAL Deposits NTLP KATI WANEK-FORSYTHE 2015 GRAT TR 125 Deposits NTLP SSW 2007 LLC Revenues 201808 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02867 0.03333 201808 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 190.38759 221.32557 201808 Deposits Deposits THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT 107.52688 125 201808 Deposits Deposits THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT 107.52688 125 201808 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues NTLP FOR LEAH M NTLP TRAVIS T. 201809 Deposits Deposits NTLP EFTA01431433 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.00825 0.00959 Stewart Oldfield NTLP - Deposit 7.60896 8.84275 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 16.5969 19.28809 Stewart Oldfield NTLP - Deposit 0.02945 0.03334 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit 1.94644 2.20327 Stewart Oldfield NTLP - Deposit 0.03363 0.03807 Stewart Oldfield NTLP - Deposit 0.00847 0.00959 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 485.34377 Stewart Oldfield NTLP - Deposit 36.80764 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 68.51061 Stewart Oldfield NTLP - Deposit 15.568 17.62142 Stewart Oldfield ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 0.52909 0.61488 201809 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201809 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 661.16223 768.36969 201809 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 201810 Deposits THIRD LAKE CAPITAL TODD R. 201810 Deposits ELYSIUM MANAGEMENT LEON D. Deposits NTLP WANEK Revenues Deposits NTLP BLACK Revenues 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 110.42891 125 201810 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201810 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201810 ADIKESHAVAR 1.81881 2.0588 201811 JOCKEY CLUB 549.36061 201811 JOCKEY CLUB 41.66257 201811 JOCKEY CLUB 50.42007 201811 JOCKEY CLUB 77.54716 201811 JOCKEY CLUB Deposits Deposits ADIKESHAVAR HOLDINGS LLC Deposits Deposits THE JOCKEY CLUB Revenues NTLP NTLP Deposits Deposits NTLP EQUIBASE COMPANY Revenues Deposits Deposits THE JOCKEY CLUB FOUNDATION 57.07048 Deposits Deposits BLOOD-HORSE LLC Revenues NTLP NTLP Deposits Deposits NTLP THE JOCKEY CLUB PAC Revenues 201811 Deposits Deposits NTLP EFTA01431434 NTLP - Deposit 5.91457 6.6947 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit 0.02908 0.03333 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit 0.1266 0.1451 Stewart Oldfield NTLP - Deposit 0.02911 0.03336 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 69.21723 Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit 123.22238 Stewart Oldfield NTLP - Deposit 11.43495 Stewart Oldfield NTLP - Deposit 0.12754 0.14521 Stewart Oldfield NTLP - Deposit THIRD FOR CAI Revenues Stewart Oldfield NTLP - Deposit THIRD CAMERON Revenues Stewart Oldfield NTLP - Deposit THIRD WAGNER Revenues Stewart Oldfield JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 201811 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 6011.56272 6804.48784 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.02912 0.03333 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 0.21291 0.2437 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201901 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 219.79596 251.91914 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER Revenues 79.33333 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 0.21307 0.24421 201901 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 141.23133 201901 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.10617 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201902 Deposits Deposits NTLP LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 0.2149 0.24467 201902 Deposits Deposits NTLP LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 221.3927 252.06666 201902 Deposits Deposits NTLP LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 221.3927 252.06666 201902 Deposits Deposits NTLP EFTA01431435 NTLP - Deposit 0.5376 0.61208 Stewart Oldfield NTLP - Deposit 0.12752 0.14519 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit LLC Revenues Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 72.10709 Stewart Oldfield NTLP - Deposit 70.67558 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield Interest Revenue BLOOD-HORSE LLC Stewart Oldfield Interest Revenues TJC MEDIA VENTURES INC. Stewart Oldfield Interest Revenues CAPITAL GEW 2009 LLC Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 3360.17271 JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201902 Deposits LINDEMANN JR GEORGE 1.71851 1.95661 201902 Deposits THIRD LAKE CAPITAL 292.77004 201902 Deposits LINDEMANN JR GEORGE 616.47719 201903 Deposits THIRD LAKE CAPITAL 0.21844 0.2452 201903 Deposits THIRD LAKE CAPITAL 0.0297 0.03334 201903 JOCKEY CLUB 4.54669 5.10366 201903 JOCKEY CLUB 80.94021 201903 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER Revenues 79.33334 201903 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 224.70611 252.23261 201903 Deposits Deposits NTLP LINDEMANN JR GEORGE SAN MARCO HOLDINGS, LLC 282.38489 316.97704 201801 Deposits Deposits Deposit s Deposit Interest Revenues JOCKEY CLUB Revenues 525.83 654.00106 Deposits NTLP SOLSTICE LOOP HOLDINGS, LLC Deposits NTLP SHARI WAGNER 2012 IRREVOCABLE 333.33333 Deposits NTLP ADDISON AT MILLENIA HOLDINGS, 701.8901 Deposits NTLP KATI WANEK-FORSYTHE 2015 GRAT TR Deposits CAITLIN A. FORSYTHE NTLP Deposits Deposits NTLP COALITION FOR HORSE RACING INTEGRITY, IN Deposits Deposits BLOOD-HORSE LLC Revenues NTLP 201801 Deposits Deposits Deposit Interest Revenues Revenues 6.43 7.99731 201801 Deposits Deposits Deposit Interest Revenues Revenues 20.10 24.99938 201802 Deposits Deposits Deposit Interest Revenues 909.25 1109.60325 201802 Deposits Deposits Deposit Interest Revenues Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit THIRD LAKE Deposit SOUTHERN 2753.45 EFTA01431436 Stewart Oldfield Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues Deposit THE JOCKEY CLUB Revenues Stewart Oldfield Interest Revenues TJC HOLDINGS, INC Stewart Oldfield Interest Revenues CAPITAL CRW 2009 LLC Stewart Oldfield Interest Revenues Revenues 2526.40 Stewart Oldfield Interest Revenues TJC MEDIA VENTURES INC. Stewart Oldfield 201804 Deposits Deposits Interest Revenues Deposit Interest Revenues THIRD CAPITAL GEW 2009 LLC Revenues 13.25 15.99606 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues THIRD CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 401.55424 Stewart Oldfield 201805 Deposits Deposits Interest Revenues Deposit Interest Revenues THIRD CAPITAL RONALD & JOYCE WANEK IRR DY TR UAD 3/26 Revenues 313.00388 Stewart Oldfield 201806 Deposits Deposits Interest Revenues Deposit Interest Revenues EQUIBASE COMPANY Revenues 841.73 982.0043 Stewart Oldfield 201806 Deposits Deposits Interest Revenues Deposit Interest Revenues FINANCIAL THE 2017 CATERPILLAR TRUST Revenues 9033.27762 Stewart Oldfield Interest Revenues INCOMPASS SOLUTIONSINC. Stewart Oldfield Interest Revenues CAPITAL CAITLIN A. Stewart Oldfield Interest Revenues 201802 Deposit Revenues 201803 Deposits Interest Deposits Interest 1982.44 201803 Deposits Deposit Interest Revenues 201804 Deposits Deposit Interest Revenues 201804 Deposits Deposit Interest 3049.9964 201804 Deposits Deposit Interest Revenues Deposits Revenues 72.93 89.00013 Deposits Revenues 2438.00471 Deposits Revenues 8.94 10.99441 Deposits Revenues 13.25 15.99606 Deposits Revenues Deposits Revenues 6.63 8.00407 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit RASHID ALI Deposit JOCKEY CLUB Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues CAPITAL TRAVIS WAGNER Revenues 201807 Deposit Revenues 201808 Deposit FORSYTHE 201809 Deposit BLOOD-HORSE LLC Revenues Stewart Oldfield 201809 Deposit Revenues 201809 Deposit Deposits Interest Deposits Interest Revenues Deposits Interest 221.14 Deposits Interest Deposits Interest Deposits Revenues 43.60 50.99892 Deposits Revenues 12.04 Deposits Revenues 256.99785 Deposits Revenues 70.56 82.0013 Deposits Revenues 79.12 91.94931 Deposit LAKE Deposit LAKE 344.46 Deposit LAKE 268.50 Deposit JOCKEY CLUB Deposit SOUTHERN 7742.92 Deposit JOCKEY CLUB Deposit THIRD LAKE 13.9965 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE EFTA01431437 Stewart Oldfield Interest Revenues FINANCIAL THE 8273.67125 Stewart Oldfield Interest Revenues TJC HOLDINGS, INC Stewart Oldfield Interest Revenues Deposit Interest Revenues JOCKEY CLUB AXCIS INFORMATION NETWORK INC. Revenues 246.48 279.00304 Stewart Oldfield 201810 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 10.60 11.99867 Stewart Oldfield 201810 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN Revenues 24.74 28.00444 Stewart Oldfield 201810 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL GEW 2009 LLC Revenues 12.37 14.00222 Stewart Oldfield 201811 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL Revenues 29514.80 33407.80211 Stewart Oldfield 201811 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues PARAMI CAPITAL MANA RAHUL VAID Revenues 686.43 776.97012 Stewart Oldfield 201811 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL CAMERON WANEK Revenues 37.11 42.00481 Stewart Oldfield 201811 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 54.07 61.20183 Stewart Oldfield Interest Revenues CAPITAL Revenues Stewart Oldfield Interest Revenues TJC MEDIA VENTURES INC. Stewart Oldfield Interest Revenues Revenues 673.97 Stewart Oldfield Interest Revenues INCOMPASS SOLUTIONSINC. Stewart Oldfield Interest Revenues Deposit Interest Revenues SOUTHERN FINANCIAL THE HAZE TRUST Revenues 3739.38 4280.09435 Stewart Oldfield 201812 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 51.34 201809 Deposits Deposits Deposit Interest Revenues 2017 CATERPILLAR TRUST Revenues 201810 Deposits Deposits Deposit Interest Revenues Revenues 9.72 11.00255 201810 Deposits Deposits Deposit SOUTHERN 7119.28 Deposit JOCKEY CLUB Deposit 201812 Deposits Deposit Interest 17687.53 201812 Deposits Deposit Interest Revenues 201812 Deposits Deposit Interest 771.42606 201812 Deposits Deposit Interest Revenues 201812 Deposits Deposits Deposit Revenues THIRD LAKE 20245.14683 Deposits Deposit Revenues JOCKEY CLUB 33.2 38.00072 Deposits Deposit Revenues ASHLEY HOLDINGS Deposits Revenues JOCKEY 97.85 111.99911 Deposits Deposit CLUB Deposit EFTA01431438 58.76376 Stewart Oldfield Interest Revenues EQUIBASE COMPANY Stewart Oldfield Interest Revenues CAPITAL CAMERON WANEK Stewart Oldfield Interest Revenues CAPITAL RONALD & JOYCE 39.00348 Stewart Oldfield 201901 Interest Revenues Deposit THE JOCKEY CLUB Revenues Stewart Oldfield 201901 Interest Revenues Deposit CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 35.49 40.67686 Stewart Oldfield 201901 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL SHARI WAGNER Revenues 179.73 205.99754 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues LINDEMANN JR GEORGE SOLSTICE LOOP HOLDINGS, LLC Revenues 1.76 2.00385 Stewart Oldfield 201902 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues PARAMI CAPITAL MANA RAHUL VAID Revenues 770.01 876.69489 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues LINDEMANN JR GEORGE Revenues 1218.39 1367.64279 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues LINDEMANN JR GEORGE MARINA LANDING HOLDINGS, Stewart Oldfield 201903 Interest Revenues Deposit ASHLEY FURNITURE INDUSTRIES Stewart Oldfield 201903 Interest Revenues Deposit CAPITAL KATI WANEK-FORSYTHE Stewart Oldfield 201903 Interest Revenues Deposit INCOMPASS SOLUTIONSINC. Revenues 117.59 131.99478 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues LINDEMANN JR GEORGE SOLSTICE LOOP HOLDINGS, LLC Revenues 241.54 271.12865 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL SHARI WAGNER Revenues 400.89 449.99903 Stewart Oldfield 201811 Capital Markets Capital Markets Transaction Revenues from Equity Options Transaction Revenues from Equity Options/Listed DEERING/CROSBY SPENCER DEERING 201901 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 574.97 659.00187 201901 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE Revenues 111.68 128.00203 201901 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE WANEK IRR DY TR UAD 3/26 Revenues 34.03 Deposits Deposits Deposit Interest Revenues JOCKEY CLUB 2728.27 3127.00666 Deposits Deposits Deposit Interest Revenues THIRD LAKE LLC Deposits Interest Revenues Deposits Interest Revenues Deposits Interest Revenues Deposits Revenues 7399.55 Deposits Revenues 261.02 Deposits Revenues 170.91 191.84648 Deposit ASHLEY HOLDINGS 8305.99488 Deposit THIRD LAKE 292.99495 Deposit JOCKEY CLUB EFTA01431439 Revenues -14.88 -16.84267 Stewart Oldfield 201801 Capital Markets Capital Transaction Revenues Equities Transaction Revenues ADIKESHAVAR HOLDINGS LLC Revenues 80.02 Stewart Oldfield 201807 Capital Markets Capital Transaction Revenues Equities Transaction Revenues ADIKESHAVAR HOLDINGS LLC Revenues 42.75 Stewart Oldfield 201808 Capital Markets Capital Transaction Revenues Equities Transaction Revenues THE CHARLESMEAD FOUNDATION INC. Revenues 832.48 Stewart Oldfield 201810 Capital Markets Capital Transaction Revenues Equities Transaction Revenues THE CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201801 Non-Transaction Revenues Revenues internal RASHID 1.84 2.2885 Stewart Oldfield 201802 DPM Non-Transaction Revenues Mutual Revenues internal RASHID ALI 0.57 0.6956 Stewart Oldfield Non-Transaction Revenues Revenues internal 0.75 0.91526 Stewart Oldfield Non-Transaction Revenues Revenues internal 0.72 0.86922 Stewart Oldfield Non-Transaction Revenues Revenues internal 0.13 0.15113 Stewart Oldfield 201802 DPM DPM Transaction Revenues Mutual Funds Other Non internal VOLPE NOEL NOEL VOLPE 2.83121 Stewart Oldfield 201802 DPM DPM Revenues Management/ Flat Fee Revenues CROSBY Revenues 796.67 972.21623 Stewart Oldfield 201805 DPM DPM Revenues Management/ Flat Fee Revenues VOLPE Revenues 674.53 Stewart Oldfield 201806 Revenues Management/ Flat CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201810 Fee Revenues Management/ Flat DEERING Revenues -554.01 -627.11162 Stewart Oldfield 201811 DPM DPM Revenues Management/ Flat Fee Revenues 786.33335 DPM DPM Fee Revenues Revenues Other Products Fee Revenues 201802 DPM Mutual VOLPE NOEL Markets Equities ADIKESHAVAR 99.52488 Markets Equities ADIKESHAVAR 50.00468 Markets Equities DEERING/CROSBY 967.758 Markets Equities DEERING/CROSBY Revenues 892.32 1010.06162 DPM DPM Mutual Funds/Money Market Mutual Funds/Money Market Non-Transaction ALI ALI RASHID Revenues DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction ALI RASHID Revenues DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction NOEL VOLPE Revenues 201804 DPM DPM Mutual Funds/Money Market Mutual Funds/Money Market Non-Transaction RASHID ALI ALI RASHID Revenues 201808 DPM DPM Mutual Funds/Money Market Mutual Funds/Money Market Non-Transaction RASHID ALI ALI RASHID Revenues Mutual Funds Other Non - -Transaction Revenues/- Revenues 2.32 Management/ Flat Fee DEERING/CROSBY HEATHER Management/ Flat Fee VOLPE NOEL NOEL Management/ Flat Fee DEERING/CROSBY THE 714.29 833.32643 Other Management/ Flat DEERING/CROSBY SPENCER Management/ Flat Fee DEERING/CROSBY HEATHER EFTA01431440 CROSBY Revenues 1251.58 1416.6634 Stewart Oldfield 201901 DPM DPM Revenues Management/ Flat Fee Revenues RASHID Revenues 756.42 866.97079 Stewart Oldfield 201902 DPM DPM Revenues Management/ Flat Fee Revenues RASHID Revenues 778.29 886.12208 Stewart Oldfield 201903 DPM DPM Revenues Management/ Flat Fee Revenues RASHID Revenues Stewart Oldfield Transaction Revenues internal ELLIN 12.7973 Stewart Oldfield Transaction Revenues internal ELLIN 12.7965 Stewart Oldfield 201804 Income Transaction Revenues JOCKEY CLUB THE JOCKEY CLUB Revenues 497.64 Stewart Oldfield 201903 Other Products Custody Revenues Custody Revenues ZUECH CHRIS CREDIT FUND LLC Stewart Oldfield Revenues DEERING/CROSBY Revenues Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY 2939.20548 Stewart Oldfield 201806 Lending Lending Revenues Loans (Margin Lending / Lombard) DEERING/CROSBY LYNN DEERING REVOCABLE TRUST 2535.72544 Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY 354.20547 Stewart Oldfield from Hedge Funds 804 902.49 201902 DPM Private Equity HOWARD HOWARD 201903 Private HOWARD DPM Fund Non- ELLIN DPM DPM Equity Fund Non- HOWARD ELLIN Management/ RASHID ALI Management/ RASHID ALI Management/ RASHID ALI Flat Fee ALI Flat Fee ALI Flat Fee ALI Private Equity Fund Non Transaction Revenues/- Revenues 11.24 Private Equity Fund Non Transaction Revenues/- Revenues 11.40 Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues 600.77589 only Custody LONG TERM INSURED Revenues 2969.56 3333.3311 201803 Lending Lending Lombard Loans Interest Loans (Margin Lending / Lombard) Interest Revenues LYNN DEERING REVOCABLE TRUST -406.82114 -500.30864 201804 Lending Lending Loans (Margin Lending / Lombard) HEATHER CROSBY Revenues 201805 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST 201807 Lending Lending Loans (Margin Lending / Lombard) MARON M DEERING Revenues 201809 Lending Lending Loans (Margin Lending / Lombard) MARON M DEERING Revenues 201811 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST Lombard Loans Interest Interest Revenues -3255.72339 -3930.47207 Lombard Loans Interest Interest Revenues Revenues 2521.3 Lombard Loans Interest Interest Revenues Revenues 2173.51 Lombard Interest 448.94 Lombard Interest 598.36 Lombard Interest Revenues Loans Interest Revenues 525.12512 Loans Interest Revenues 695.38407 Loans Interest Revenues 312.93 201804 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- EFTA01431441 external BOIES FAMILY CHRISTOPHER BOIES Revenues 570.73 689.01379 Stewart Oldfield from Hedge Funds external BOIES 581.87 680.61334 Stewart Oldfield from Hedge Funds external BOIES 560.22 641.22781 Stewart Oldfield NTLP - Deposit DZIALGA 0.04613 0.05737 Stewart Oldfield 201801 NTLP - Deposit JOCKEY CLUB 107.56156 133.77969 Stewart Oldfield 201801 Deposits NTLP - Deposit THIRD LAKE CAPITAL KWF 0.0268 0.03333 Stewart Oldfield 201801 NTLP - Deposit JOCKEY CLUB 2.09085 2.60049 Stewart Oldfield NTLP - Deposit 39139.99263 Stewart Oldfield NTLP - Deposit 684.34055 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02731 0.03333 Stewart Oldfield NTLP - Deposit 0.04703 0.05739 Stewart Oldfield NTLP - Deposit 7.33697 8.95367 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 1.1E-4 1.3E-4 Stewart Oldfield NTLP - Deposit 201807 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- FAMILY CHRISTOPHER BOIES Revenues 201812 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- FAMILY CHRISTOPHER BOIES Revenues 201801 Deposits KIRSTEN & M MARK F. Deposits NTLP DZIALGA Revenues Deposits Deposits BLOOD-HORSE LLC Revenues NTLP Deposits NTLP 2007 LLC Revenues Deposits Deposits NTLP TJC HOLDINGS, INC Revenues 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 32072.75997 201802 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 560.774 201802 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 34.69214 42.33655 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK 2016 GRAT 0.14648 0.17876 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201802 Deposits Deposits NTLP DZIALGA KIRSTEN & M MARK F. DZIALGA Revenues 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201802 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 1680.44449 2050.73043 201802 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201803 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues EFTA01431442 2.11457 2.6005 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit 7.1611 8.80672 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02761 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 128.81441 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 50.5567 61.03458 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield BOIES FAMILY Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 227.83024 Stewart Oldfield NTLP - Deposit Revenues 201803 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 4.93366 6.06742 201803 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 22.36026 27.49865 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 201803 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 75.30838 92.61424 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201804 JOCKEY CLUB 87.33009 201804 VOLPE NOEL 155.51119 201804 Deposits LINDEMANN JR GEORGE THE Revenues 21.10813 201804 Deposits SOUTHERN FINANCIAL THE 5579.58578 201804 JOCKEY CLUB 0.05241 0.06327 201804 JOCKEY CLUB Deposits Deposits AXCIS INFORMATION NETWORK INC. 105.42925 Deposits Deposits NOEL VOLPE Revenues NTLP NTLP Deposits NTLP GEORGE LINDEMANN FAMILY 25.48279 Deposits NTLP 2017 CATERPILLAR TRUST 6735.95493 Deposits COALITION FOR Deposits NTLP HORSE RACING INTEGRITY, IN Deposits Deposits NTLP EQUIBASE COMPANY Revenues 201804 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 27.80521 33.56784 201804 DPM DPM NTLP NTLP - Deposit CHRISTOPHER BOIES Revenues 0.54544 0.65848 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02761 0.03333 201805 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 265.5931 201805 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.05427 0.06327 EFTA01431443 Stewart Oldfield NTLP - Deposit 100.04282 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 0.02859 0.03333 Stewart Oldfield NTLP - Deposit 39.25977 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 26.92324 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 167.72943 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.82246 0.95952 Stewart Oldfield NTLP - Deposit 6.03113 7.03622 Stewart Oldfield NTLP - Deposit 107.06191 Stewart Oldfield NTLP - Deposit 15.63485 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02856 0.03341 Stewart Oldfield NTLP - Deposit 0.0285 0.03334 Stewart Oldfield 201805 Deposits VOLPE NOEL NOEL VOLPE 116.62491 201805 Deposits RASHID ALI Revenues 201805 Deposits THIRD LAKE CAPITAL SSW Deposits Revenues NTLP Deposits NTLP 857.81686 1000 Deposits NTLP 2007 LLC Revenues 201805 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 45.76708 201805 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 871.62207 1016.09343 201806 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 31.41 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.02857 0.03333 201806 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 5788.75591 6753.45208 201806 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 195.68154 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02857 0.03333 201806 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201806 JOCKEY CLUB Deposits Deposits NTLP TJC MEDIA VENTURES INC. Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 125.23032 201807 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 18.28808 201807 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.05409 0.06327 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 201807 DPM DPM NTLP NTLP - Deposit EFTA01431444 BOIES FAMILY Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 11.36739 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 7.73385 8.9906 Stewart Oldfield NTLP - Deposit 30.13326 Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 16.87864 Stewart Oldfield NTLP - Deposit 0.02871 0.03336 Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 11.25698 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02948 0.03337 Stewart Oldfield NTLP - Deposit 3404.61472 Stewart Oldfield NTLP - Deposit 11.56236 CHRISTOPHER BOIES Revenues 0.5478 0.64076 201807 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 43.99313 51.45876 201807 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 13.29644 201807 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 5782.425 6763.70252 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201808 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 35.02991 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 215.05377 250.00001 201808 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 19.62142 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.55927 125.00001 201809 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 82.77973 96.20247 201809 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.0823 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02868 0.03333 201809 Deposits Deposits ASHLEY HOLDINGS Revenues 75302.92709 201810 Deposits Deposits THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.02945 0.03334 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201810 Deposits SOUTHERN FINANCIAL THE 3853.85363 201810 Deposits JOCKEY CLUB THE GRAYSON 13.08801 NTLP 87513.29672 NTLP Deposits NTLP HAZE TRUST Revenues Deposits NTLP JOCKEY CLUB Revenues EFTA01431445 Stewart Oldfield NTLP - Deposit 122.68543 Stewart Oldfield NTLP - Deposit 2.29736 2.6005 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 3.79829 4.29928 Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 0.03366 0.0381 Stewart Oldfield NTLP - Deposit 22.18983 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 766.5317 Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit 1.2E-4 1.4E-4 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit 559.20834 Stewart Oldfield NTLP - Deposit 0.00839 0.00962 Stewart Oldfield 201810 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 138.87377 201810 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201811 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 680.87539 770.68285 201811 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 111.84032 126.59206 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 444.54819 503.18409 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL CAMERON WANEK Revenues 25.11667 201811 Deposits RASHID ALI Revenues 201812 Deposits THIRD LAKE CAPITAL 219.95121 201812 Deposits THIRD LAKE CAPITAL 439.98237 201812 Deposits PARAMI CAPITAL MANA 877.37218 201812 Deposits THIRD LAKE CAPITAL 0.21291 0.2437 201812 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues Deposits 662.60271 Deposits SHARI WAGNER 2015 GRAT 251.75615 Deposits NTLP TODD R WANEK 2015 GRAT TRUST FOR 503.60382 Deposits NTLP RAHUL VAID Revenues Deposits NTLP KATI WANEK-FORSYTHE 2015 GRAT TR 201901 Deposits LINDEMANN JR GEORGE THE Revenues 39.63281 201901 JOCKEY CLUB 640.93664 201901 ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues NTLP 750.00001 NTLP FOR LEAH M Deposits NTLP GEORGE LINDEMANN FAMILY 45.42515 Deposits Deposits NTLP THE JOCKEY CLUB Revenues Deposits Deposits NTLP 201901 Deposits Deposits NTLP EFTA01431446 NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.12659 0.14509 Stewart Oldfield NTLP - Deposit 8.00986 9.1805 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02934 0.03341 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 29.30628 Stewart Oldfield NTLP - Deposit 773.4725 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 219.79596 251.91914 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.02908 0.03333 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201901 JOCKEY CLUB Deposits Deposits NTLP INCOMPASS SOLUTIONSINC. 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WANEK 2016 GRAT Deposits Deposits NTLP AXCIS INFORMATION NETWORK INC. 123.43692 Deposits Deposits NTLP CHRISTOPHER BOIES Revenues 201801 Deposits Deposits NTLP EFTA01431453 NTLP - Deposit 16.90164 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.0268 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.92474 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 4.0E-5 5.0E-5 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 7.54468 9.10831 Stewart Oldfield NTLP - Deposit 0.02767 0.0334 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 7.29905 8.81178 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield JOCKEY CLUB THE JOCKEY CLUB 21.02141 201801 Deposits GENERAL ATLANTIC FA MADISON 3.3E-4 4.1E-4 201801 Deposits THIRD LAKE CAPITAL TODD R. PAC Revenues Deposits NTLP PARK CAPITAL, LLC Deposits NTLP WANEK Revenues 201801 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 2819.34775 3506.56376 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 201802 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 0.75777 201802 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 2876.05337 3509.79173 201803 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.0271 0.03333 201804 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 201804 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 840.58861 1014.8006 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201805 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 214.45422 250.00001 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT 0.02859 0.03333 201805 Deposits Deposits NTLP EFTA01431454 NTLP - Deposit 0.02865 0.0334 Stewart Oldfield NTLP - Deposit 1.1E-4 1.3E-4 Stewart Oldfield BOIES FAMILY 61.476 Stewart Oldfield NTLP - Deposit 0.02857 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 24.24727 Stewart Oldfield NTLP - Deposit 7.69458 8.97688 Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit 17347.65358 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 0.02853 0.03338 Stewart Oldfield NTLP - Deposit 0.0285 0.03334 Stewart Oldfield NTLP - Deposit 2.22322 2.6005 Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit 107.82388 Stewart Oldfield NTLP - Deposit 418.99879 Stewart Oldfield THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201805 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201806 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 52.69447 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 201806 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 16.75841 19.5512 201806 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 28.28808 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201807 Deposits THIRD LAKE CAPITAL 106.86501 201807 Deposits SOUTHERN FINANCIAL 20291.55039 201807 Deposits THIRD LAKE CAPITAL 106.86501 201807 Deposits THIRD LAKE CAPITAL Deposits NTLP KATI WANEK-FORSYTHE 2015 GRAT TR 125 Deposits NTLP THE HAZE TRUST Revenues Deposits NTLP SHARI WAGNER 2015 GRAT TRAVIS T. 125 Deposits NTLP CRW 2007 LLC Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201807 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M 106.86501 125 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 125.34526 201808 JOCKEY CLUB 487.08608 201808 Deposits Deposits THE JOCKEY CLUB Revenues NTLP Deposits Deposits NTLP EFTA01431455 NTLP - Deposit 57604.0187 Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit 70.67107 Stewart Oldfield NTLP - Deposit 0.02873 0.0334 Stewart Oldfield NTLP - Deposit 0.02867 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit 7.74191 8.99726 Stewart Oldfield NTLP - Deposit 1.78516 Stewart Oldfield NTLP - Deposit 9762.1991 Stewart Oldfield NTLP - Deposit GABRIEL Revenues Stewart Oldfield NTLP - Deposit 110.89545 Stewart Oldfield NTLP - Deposit 63350.54658 Stewart Oldfield NTLP - Deposit 15.56731 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 32.91775 Stewart Oldfield NTLP - Deposit 0.02945 0.03333 Stewart Oldfield THIRD LAKE CAPITAL Revenues 49551.84405 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.52688 125 201808 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 82.15512 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201808 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 44.33328 51.53744 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 0.02868 0.03333 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201809 Deposits RASHID ALI ALI RASHID 201809 Deposits SOUTHERN FINANCIAL 11345.13968 201810 Deposits THIRD LAKE CAPITAL 441.71563 201810 Deposits THIRD LAKE CAPITAL 125.52811 201810 Deposits THIRD LAKE CAPITAL Deposits Revenues NTLP 1.53608 Deposits NTLP THE HAZE TRUST Revenues Deposits NTLP TODD R WANEK 2015 GRAT TRUST FOR 500.00001 Deposits NTLP TRAVIS WAGNER Revenues Deposits NTLP Revenues 55965.85239 201810 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 17.62142 201810 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 6002.41689 6794.4358 201810 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 37.26125 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201811 Deposits Deposits NTLP EFTA01431456 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 110.28692 Stewart Oldfield NTLP - Deposit 0.02912 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit 0.00839 0.0096 Stewart Oldfield NTLP - Deposit 0.86441 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit FOR CAI Revenues Stewart Oldfield NTLP - Deposit LLC Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield THIRD LAKE CAPITAL WANEK TRUST OF 2000 0.02945 0.03333 201812 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 38.924 44.55241 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.02912 0.03333 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 126.2344 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 0.02912 0.03333 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 0.02912 0.03333 201812 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 1912.33151 2188.85465 201812 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201812 Deposits RASHID ALI ALI RASHID Deposits Revenues NTLP 0.75521 201901 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.09044 0.10366 201901 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 398.23168 456.43324 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 0.02908 0.03333 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 219.79596 251.91914 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 0.21307 0.24421 201901 Deposits Deposits NTLP LINDEMANN JR GEORGE ADDISON AT MILLENIA HOLDINGS, 452.53351 518.67128 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL KEYHOLE PARTNERS, LLC 371.47841 425.76998 201901 Deposits Deposits NTLP EFTA01431457 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 21.91394 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 1.95497 Stewart Oldfield NTLP - Deposit 11.56315 13.16522 Stewart Oldfield 201902 NTLP - Deposit ADIKESHAVAR Revenues 971.12135 Stewart Oldfield 201902 NTLP - Deposit JOCKEY CLUB EQUIBASE COMPANY Revenues 429.16654 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 16.28983 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.0297 0.03334 Stewart Oldfield NTLP - Deposit THIRD 0.02973 0.03337 Stewart Oldfield NTLP - Deposit THIRD 0.0297 0.03334 Stewart Oldfield 201903 Deposits NTLP - Deposit THIRD LAKE CAPITAL CRW 154.5581 173.49147 Stewart Oldfield 201801 Interest Revenues Deposit NOEL VOLPE Revenues Stewart Oldfield 201801 Interest Revenues Deposit THE JOCKEY CLUB FOUNDATION Stewart Oldfield 201801 Interest Revenues Deposit ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 964.21518 1105.13523 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL CAMERON WANEK Revenues 25.11666 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02908 0.03333 201902 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 201902 JOCKEY CLUB 1.71707 Deposits Deposits NTLP THE GRAYSON JOCKEY CLUB Revenues Deposits Deposits NTLP ADIKESHAVAR HOLDINGS LLC 1105.67021 Deposits Deposits NTLP 488.62756 201902 Deposits Deposits NTLP LINDEMANN JR GEORGE VERONA APARTMENTS HOLDINGS, LLC 4.21546 4.79951 201902 Deposits Deposits NTLP RASHID ALI Revenues 796.9164 907.32917 201903 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 18.28533 201903 Deposits Deposits NTLP LINDEMANN JR GEORGE SOLSTICE LOOP HOLDINGS, LLC 195.94806 219.9517 201903 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201903 Deposits LAKE CAPITAL CRW 201903 Deposits LAKE CAPITAL SSW Deposits NTLP 2007 LLC Revenues Deposits NTLP 2007 LLC Revenues Deposits NTLP 2009 LLC Revenues Deposits Deposits Deposit Interest Revenues VOLPE NOEL 205.83 256.00106 Deposits Deposits Deposit Interest Revenues JOCKEY CLUB Revenues 117.39 146.00381 Deposits Deposits Deposit Interest Revenues JOCKEY CLUB EFTA01431458 AXCIS INFORMATION NETWORK INC. Revenues Stewart Oldfield 201802 Deposits Interest Revenues Deposit Interest CAPITAL GEW 2009 LLC Revenues Stewart Oldfield 201802 Deposits Interest Revenues Deposit Interest FINANCIAL THE HAZE TRUST Revenues Stewart Oldfield 201803 Deposits Interest Revenues Deposit Interest AXCIS INFORMATION NETWORK INC. Revenues Stewart Oldfield 201803 Deposits Interest Revenues Deposit Interest INCOMPASS SOLUTIONSINC. Revenues Stewart Oldfield 201803 Deposits Interest Revenues Deposit Interest CAPITAL WANEK TRUST OF 2000 Revenues Stewart Oldfield 201804 Deposits Interest Revenues Deposit Interest FINANCIAL THE 2017 CATERPILLAR TRUS 8962.12903 Stewart Oldfield 201805 Deposits Interest Revenues Deposit Interest CAPITAL LAURA A FORSYTHE REVOCABLE TRUST 30.99729 Stewart Oldfield Interest Revenues COALITION FOR HORSE Stewart Oldfield Interest Revenues CAPITAL KATI WANEK- 313.00388 Stewart Oldfield Interest Revenues THE JOCKEY CLUB PAC Stewart Oldfield Interest Revenues CAPITAL SHARI WAGNER Stewart Oldfield 201805 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 688.92 803.1085 Stewart Oldfield 201805 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB THE JOCKEY CLUB FOUNDATION Revenues 166.42 194.00412 Stewart Oldfield 201806 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB TJC HOLDINGS, INC Revenues 8.57 9.99819 Stewart Oldfield 201806 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB AXCIS INFORMATION NETWORK INC. Revenues 240 279.996 Stewart Oldfield 201806 Deposits Deposits Deposit 247.64 308.00225 Deposits Deposit Revenues THIRD LAKE 16.39 20.00154 Deposits Deposit Revenues SOUTHERN 27764.12 33881.94384 Deposits Deposit Revenues JOCKEY CLUB 253.70 312.00026 Deposits Deposit Revenues JOCKEY CLUB 83.75 102.99575 Deposits Deposit Revenues THIRD LAKE 195.15 239.99547 Deposits Deposit Revenues SOUTHERN T Revenues 7423.59 Deposits Deposit Revenues THIRD LAKE Revenues 26.59 201805 Deposits Deposits Deposit Interest Revenues RACING INTEGRITY, IN Revenues 201805 Deposits Deposits Deposit Interest Revenues FORSYTHE 2012 IRR TRUST Revenues Deposit JOCKEY CLUB 3.43 3.99852 Deposit THIRD LAKE 268.50 201805 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 92.64 107.99508 201805 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE Revenues 107.23 125.00337 EFTA01431459 Interest Revenues Deposit Interest FINANCIAL SOUTHERN FINANCIAL LLC Stewart Oldfield 201807 Deposits Interest Revenues Deposit Interest CAPITAL Revenues 11660.36 Stewart Oldfield 201807 Deposits Interest Revenues Deposit Interest COALITION FOR HORSE RACING INTEGRITY, IN Stewart Oldfield 201807 Deposits Interest Revenues Deposit Interest CAPITAL TRAVIS WAGNER Revenues Stewart Oldfield 201807 Deposits Interest Revenues Deposit Interest CAPITAL GEW 2009 LLC Revenues Stewart Oldfield 201808 Deposits Interest Revenues Deposit Interest ASHLEY HOLDINGS, INC. Revenues Stewart Oldfield 201808 Deposits Interest Revenues Deposit Interest INCOMPASS SOLUTIONSINC. Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest CAPITAL CAITLIN A. FORSYTHE Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest CAPITAL STEVEN FORSYTHE Revenues Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest INCOMPASS SOLUTIONSINC. Revenues Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest CAPITAL CRW 2009 LLC Revenues Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest FINANCIAL THE 2017 CATERPILLAR TRUS 9430.86406 Stewart Oldfield 201811 Deposits Interest Revenues Deposit Interest CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 122.41499 Stewart Oldfield Interest Revenues INCOMPASS SOLUTIONSINC. Stewart Oldfield Interest Revenues Revenues 111.63 Stewart Oldfield Interest Revenues Revenues Revenues Deposits Revenues 13639.12307 Deposits Revenues Revenues Deposits Revenues 75.72 88.56968 Deposits Revenues 14.53 16.99574 Deposits Revenues 21.51 25.00538 Deposits Revenues 118.71 138.0003 Deposits Revenues 18.07 Deposits Revenues 18.07 21.00005 Deposits Revenues 69.79 78.99879 Deposits Revenues 12.37 14.00222 Deposits Revenues T Revenues Deposits Revenues GABRIEL Revenues SOUTHERN 695.68 811.61507 Deposit THIRD LAKE Deposit JOCKEY CLUB 5.13 6.00056 Deposit THIRD LAKE Deposit THIRD LAKE Deposit ASHLEY HOLDINGS Deposit JOCKEY CLUB 8 Deposit THIRD LAKE 21.00005 Deposit THIRD LAKE Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit SOUTHERN 8331.52 Deposit THIRD LAKE 108.15 201811 Deposits Deposits Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 53.89 60.99809 201811 Deposits Deposits Deposit Deposit Interest Revenues ASHLEY HOLDINGS 126.354 201811 Deposit FINANCIAL THE HAZE TRUST Stewart Oldfield 201812 Interest Revenues Deposit Deposits Deposits Deposit Interest Revenues SOUTHERN Revenues 4941.94 5593.78189 Deposits Deposits Deposit Interest Revenues JOCKEY CLUB EFTA01431460 BLOOD-HORSE LLC Revenues 473.53 542.00244 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB FOUNDATION Revenues 179.98 Stewart Oldfield 201812 Deposits Deposits Interest Revenues Deposit Interest Revenues EQUIBASE COMPANY Revenues 252.49 289.0000 Stewart Oldfield 201901 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 107.91002 Stewart Oldfield 201901 Deposits Deposits Interest Revenues Deposit Interest Revenues THE JOCKEY CLUB FOUNDATION Revenues 149.2 Stewart Oldfield 201902 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL RONALD & JOYCE WANEK IRR DY TR UAD 3/26 Revenues 109.99532 Stewart Oldfield 201902 Deposits Deposits Interest Revenues Deposit Interest Revenues GEORGE SABAL CLUB HOLDINGS, LLC Revenues Stewart Oldfield 201902 Deposits Deposits Interest Revenues Deposit Interest Revenues CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 38.97257 Stewart Oldfield Interest Revenues CAPITAL TRAVIS WAGNER Stewart Oldfield Interest Revenues Deposit Interest CAPITAL KATI WANEK- FORSYTHE 2012 IRR TRU 109.99532 Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest THE JOCKEY CLUB FOUNDATION Revenues Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest CAPITAL STEVEN FORSYTHE Revenues Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest CAPITAL THIRD LAKE PARTNERS, LLC Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest BLOOD-HORSE LLC Revenues 601.34 Stewart Oldfield 201903 Deposits Interest Revenues EQUIBASE COMPANY Stewart Oldfield Interest Revenues CAPITAL SHARI WAGNER 31.62083 201902 Deposits Deposit Interest Revenues 201902 Deposits Deposits Revenues 0.10 0.11386 Deposits Revenues ST Revenues Deposits Revenues 700.01 Deposits Revenues 9.66 10.99839 Deposits Revenues Revenues Deposits Revenues 675.00415 Deposits Deposit JOCKEY CLUB 206.00511 Deposit JOCKEY CLUB 5 Deposit THIRD LAKE 94.15 Deposit JOCKEY CLUB 171.00558 Deposit THIRD LAKE 96.61 Deposit LINDEMANN JR 2.63 2.99439 Deposit THIRD LAKE 34.23 Deposit THIRD LAKE Deposit THIRD LAKE 96.61 Deposit JOCKEY CLUB 796.99639 Deposit THIRD LAKE Deposit THIRD LAKE 446.47 508.32842 Deposit JOCKEY CLUB Deposit Deposit Interest Revenues JOCKEY CLUB Revenues 1492.20 1674.9945 201903 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE 2015 GRAT TRAVIS T. WAGNER Revenues 28.17 EFTA01431461 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL GABRIELLE E. WANEK Revenues 29.40 33.0015 Stewart Oldfield 201903 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL KEYHOLE PARTNERS, LLC Revenues 64.38 72.26655 Stewart Oldfield 201810 Capital Markets Capital Markets Transaction Revenues from Equity Options Transaction Revenues from Equity Options/Listed DEERING/CROSBY HEATHER CROSBY Revenues 88.34 99.99646 Stewart Oldfield 201801 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 40.2 49.99875 Stewart Oldfield 201808 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC Revenues 255.05 296.49563 Stewart Oldfield 201805 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY THE SANDRA E.C. DEERING 2018 IRREVOCABLE Revenues 243.19 283.49874 Stewart Oldfield 201808 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 86.02 99.99825 Stewart Oldfield 201807 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal RASHID ALI ALI RASHID Revenues 1.73 2.02358 Stewart Oldfield Non-Transaction Revenues Revenues internal Revenues 0.21 Stewart Oldfield Non-Transaction Revenues Revenues internal Revenues 1.83 Stewart Oldfield 201901 Other Products Custody only Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 11.21 12.84834 Stewart Oldfield 201804 DPM DPM Mutual Funds Other Non - Transaction Revenues Mutual Funds Other Non -Transaction Revenues/- internal VOLPE NOEL NOEL VOLPE Revenues 2.36 2.84911 Stewart Oldfield 201803 Revenues Management/ Flat CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201901 Transaction Revenues Private internal ELLIN HOWARD 201807 DPM Mutual DEERING/CROSBY 0.24564 201810 DPM Mutual DEERING/CROSBY 2.07147 DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction THE CHARLESMEAD FOUNDATION INC. DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction THE CHARLESMEAD FOUNDATION INC. DPM DPM Fee Revenues Revenues DPM DPM Equity Fund Non- HOWARD ELLIN Management/ Flat Fee DEERING/CROSBY THE 677.61 833.32478 Private Equity Fund Non Transaction Revenues/- Revenues 11.17 EFTA01431462 12.8025 Stewart Oldfield 201806 Revenues Custody Revenues NATIONAL ORGANIZATION OF THE NEW Stewart Oldfield 201803 Transaction Revenues Private internal ELLIN HOWARD 117.88863 Stewart Oldfield 201803 Transaction Revenues Private internal BOIES FAMILY 191.71 235.76496 Stewart Oldfield 201801 Lending Lending Revenues Loans (Margin Lending / Lombard) DEERING/CROSBY MARON M DEERING Revenues Stewart Oldfield 201802 Lending Lending Revenues Loans (Margin Lending / Lombard) DEERING/CROSBY Revenues Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield from Hedge Funds external BOIES 621.63 703.65408 Stewart Oldfield from Hedge Funds external BOIES 595.39 668.32528 Stewart Oldfield 201801 NTLP - Deposit RASHID ALI 1.0E-5 Stewart Oldfield 201801 NTLP - Deposit JOCKEY CLUB 270.00061 335.81326 Stewart Oldfield 201802 NTLP - Deposit JOCKEY CLUB 284.81854 347.57831 LYNN DEERING REVOCABLE TRUST -1382.38794 -1686.99712 201802 Lending Lending Loans (Margin Lending / Lombard) MARON M DEERING Revenues 201802 Lending Lending Loans (Margin Lending / Lombard) KATHRYN DEERING Revenues 201807 Lending Lending Loans (Margin Lending / Lombard) SPENCER DEERING Revenues 201810 Lending Lending Loans (Margin Lending / Lombard) HEATHER CROSBY Revenues 201901 Lending Lending Loans (Margin Lending / Lombard) SPENCER DEERING Revenues Other Products Custody only Custody THE NATIONAL ORGANI THE APO Revenues 7747.98 9039.18087 DPM DPM Private Equity Fund Equity Fund Transaction Revenues/- HOWARD ELLIN Revenues 95.86 DPM DPM Private Equity Fund Equity Fund Transaction Revenues/- CHRISTOPHER BOIES Revenues Lombard Loans Interest Interest Revenues 273.46 340.11588 Lombard Loans Interest Interest Revenues Lombard Loans Interest Interest Revenues 213.59 260.65456 Lombard Loans Interest Interest Revenues 167.25 204.10354 Lombard Loans Interest Interest Revenues -2016.55748 -2358.76728 Lombard Loans Interest Interest Revenues 64.57 73.09001 Lombard Loans Interest Interest Revenues 12.15 13.92572 201810 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- FAMILY CHRISTOPHER BOIES Revenues 201903 DPM DPM Non-Transaction Revenues Non-Transaction Revenues from Hedge Funds/- FAMILY CHRISTOPHER BOIES Revenues Deposits ALI RASHID Deposits Revenues NTLP 1.0E-5 Deposits Deposits NTLP EQUIBASE COMPANY Revenues Deposits Deposits NTLP EQUIBASE COMPANY Revenues EFTA01431463 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 3.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit 0.02731 0.03333 Stewart Oldfield NTLP - Deposit 22.64982 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 10.8132 13.05424 Stewart Oldfield NTLP - Deposit 59690.42982 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 133.56628 Stewart Oldfield BOIES FAMILY 83.894 Stewart Oldfield NTLP - Deposit 2.23075 2.6005 Stewart Oldfield NTLP - Deposit 7.56339 8.81702 Stewart Oldfield NTLP - Deposit 128.87211 Stewart Oldfield NTLP - Deposit 11.1982 13.06438 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit 107.24411 201802 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 90.63414 110.60538 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201803 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 27.85475 201803 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 824.15923 1013.55102 201803 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 41.62023 51.18456 201804 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 51203.45686 201805 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 5785.57697 6744.53635 201805 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 155.70489 201805 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 71.96569 201805 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201806 JOCKEY CLUB 150.34865 201806 JOCKEY CLUB Deposits Deposits BLOOD-HORSE LLC Revenues NTLP Deposits Deposits NTLP THE GRAYSON JOCKEY CLUB Revenues 201806 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 125.11634 EFTA01431464 Stewart Oldfield NTLP - Deposit 17366.6467 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 11.17371 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 7.54849 8.82947 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 7.68038 8.98374 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit 0.02867 0.03333 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 201806 Deposits Deposits NTLP SOUTHERN FINANCIAL THE HAZE TRUST Revenues 20260.79837 201806 Deposits Deposits THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT 107.14439 125 201806 Deposits Deposits ASHLEY HOLDINGS Revenues 75001.07145 201806 Deposits Deposits THIRD LAKE CAPITAL ROBERT S FORSYTHE 0.02857 0.03333 201807 Deposits ADIKESHAVAR ADIKESHAVAR 0.75514 0.88329 201807 JOCKEY CLUB 13.06989 201807 Deposits ASHLEY HOLDINGS Revenues 201807 Deposits THIRD LAKE CAPITAL GEW Deposits HOLDINGS LLC NTLP TRAVIS T. NTLP 87500.00001 NTLP REVOCABLE NTLP Deposits Deposits NTLP THE GRAYSON JOCKEY CLUB Revenues Deposits NTLP 74805.5057 87500.00002 Deposits NTLP 2009 LLC Revenues 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK 2016 GRAT 0.15283 0.17877 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201808 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 5827.13347 6774.04266 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 57.30523 66.61733 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201808 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 33.32466 38.73992 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 42.92645 49.902 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 107.52688 125 201809 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 58.3482 67.80936 201809 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues EFTA01431465 438.69026 Stewart Oldfield NTLP - Deposit 73.72224 Stewart Oldfield NTLP - Deposit 0.02868 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02951 0.03341 Stewart Oldfield NTLP - Deposit 90.13135 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 1.2E-4 1.4E-4 Stewart Oldfield NTLP - Deposit THIRD 0.02945 0.03333 Stewart Oldfield NTLP - Deposit THIRD TRUST Revenues Stewart Oldfield NTLP - Deposit THIRD FOR CAI Revenues Stewart Oldfield NTLP - Deposit THIRD FOX Revenues Stewart Oldfield NTLP - Deposit THIRD CAMERON Revenues Stewart Oldfield NTLP - Deposit THIRD 0.03367 0.03811 Stewart Oldfield NTLP - Deposit THIRD 509.82389 201809 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 85.6763 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201809 Deposits Deposits NTLP SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST 5837.51197 6784.06454 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201810 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 102.02418 201810 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 134.25257 151.96719 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02945 0.03334 201810 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 679.83952 769.54434 201810 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 45.66685 51.69259 201811 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201811 Deposits LAKE CAPITAL 201811 Deposits LAKE CAPITAL 0.02945 0.03333 201811 Deposits LAKE CAPITAL 111.84032 201811 Deposits LAKE CAPITAL 222.27411 201811 Deposits LAKE CAPITAL 222.27411 201811 Deposits LAKE CAPITAL 201812 Deposits LAKE CAPITAL Deposits NTLP SSW 2007 LLC Revenues Deposits NTLP ROBERT S FORSYTHE REVOCABLE Deposits NTLP KATI WANEK-FORSYTHE 2015 GRAT TR 126.59206 Deposits NTLP SHARI WAGNER 2015 GRAT FOR LEAH M 251.59207 Deposits NTLP TODD R WANEK 2015 GRAT TRUST FOR 251.59207 Deposits NTLP CRW 2009 LLC Revenues Deposits NTLP KWF 2007 LLC Revenues EFTA01431466 0.02912 0.03333 Stewart Oldfield NTLP - 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Revenues 113.22 136.68485 Stewart Oldfield 201901 DPM DPM Non-Transaction Revenues from Hedge Funds Non-Transaction Revenues from Hedge Funds/- external BOIES FAMILY CHRISTOPHER BOIES Revenues 543.75 623.21906 Stewart Oldfield 201801 Deposits Deposits NTLP NTLP - Deposit VOLPE NOEL NOEL VOLPE Revenues 70.12168 87.21384 Stewart Oldfield 201801 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL KATI FORSYTHE 2014 GRAT Revenues 0.0268 0.03333 Stewart Oldfield 201801 Deposits Deposits NTLP NTLP - Deposit ELYSIUM MANAGEMENT LEON D. BLACK Revenues 4.0E-5 5.0E-5 Stewart Oldfield NTLP - Deposit 39139.25046 Stewart Oldfield NTLP - Deposit Revenues 0.02501 0.03111 Stewart Oldfield 201801 Deposits Deposits NTLP Lombard Loans Interest Interest Revenues 5.56 6.83769 Lombard Loans Interest Interest Revenues 35.57 42.94188 Lombard Loans Interest Interest Revenues 361.50 421.41863 Lombard Loans Interest Interest Revenues 101.80 118.76497 Lombard Loans Interest Interest Revenues 34.57 39.13151 Lombard Loans Interest Interest Revenues 57.98 65.62756 201801 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 31468.74409 201801 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN EFTA01431474 NTLP - Deposit 7.07149 8.79517 Stewart Oldfield NTLP - Deposit 6.0E-5 7.0E-5 Stewart Oldfield NTLP - Deposit 20190.61414 Stewart Oldfield NTLP - Deposit 29.21606 Stewart Oldfield NTLP - Deposit 0.02713 0.03337 Stewart Oldfield NTLP - Deposit 0.02716 0.0334 Stewart Oldfield NTLP - Deposit 7.28622 8.96059 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.85387 1.03083 Stewart Oldfield NTLP - Deposit 7.42658 8.96574 Stewart Oldfield NTLP - Deposit 42.32475 Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit 8.23884 9.60443 Stewart Oldfield NTLP - Deposit 0.02859 0.03333 Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 0.02859 0.03333 Stewart Oldfield NTLP - Deposit THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201802 Deposits Deposits NTLP SOUTHERN FINANCIAL THE HAZE TRUST Revenues 24639.61597 201802 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 35.65382 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues THIRD THIRD 201803 Deposits Deposits NTLP LAKE CAPITAL GEW 2007 LLC Revenues 201803 Deposits Deposits NTLP LAKE CAPITAL CRW 2009 LLC Revenues 201803 Deposits Deposits NTLP GENERAL ATLANTIC FA MADISON PARK CAPITAL, LLC 3.3E-4 4.1E-4 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK 2016 GRAT 0.14807 0.17876 201804 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 201804 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2009 LLC Revenues 201805 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 49.34008 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M 107.22711 125 201805 Deposits Deposits NTLP JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201805 Deposits Deposits NTLP ASHLEY HOLDINGS Revenues 75058.9749 87499.99999 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 201806 Deposits Deposits NTLP GENERAL ATLANTIC FA MADISON PARK CAPITAL, LLC EFTA01431475 Revenues Stewart Oldfield NTLP - Deposit 7.56244 8.82272 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 219.58025 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 2.22903 2.6005 Stewart Oldfield NTLP - Deposit 4.0E-5 5.0E-5 Stewart Oldfield NTLP - Deposit 5.03385 5.88809 Stewart Oldfield BOIES FAMILY 61.476 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit CAMERON Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.00824 0.00958 Stewart Oldfield NTLP - Deposit 11.24817 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield BOIES FAMILY 3.5E-4 4.1E-4 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues 201806 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 44.0413 51.38078 201806 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 151.86475 177.17301 201806 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 256.1733 201806 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.05423 0.06327 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK 2016 GRAT 0.15323 0.17877 201806 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201807 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201807 JOCKEY CLUB Deposits Deposits NTLP TJC MEDIA VENTURES INC. Revenues 201807 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 52.55707 201807 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 27.45944 32.11931 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 106.86501 125 201807 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN FINANCIAL LLC 228.45176 267.22002 201808 Deposits Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 201808 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.076 201808 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.05442 0.06326 201808 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 52.88258 EFTA01431476 61.476 Stewart Oldfield NTLP - Deposit THIRD TRUST Revenues Stewart Oldfield NTLP - Deposit THIRD 7.60104 8.83621 Stewart Oldfield NTLP - Deposit THIRD 58483.59 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 2.23766 2.6005 Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield NTLP - Deposit Stewart Oldfield NTLP - Deposit 0.02868 0.03333 Stewart Oldfield NTLP - Deposit 0.02874 0.0334 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit 0.02945 0.03334 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit 0.02945 0.03334 Stewart Oldfield NTLP - Deposit 11.56827 Stewart Oldfield NTLP - Deposit 58762.93589 Stewart Oldfield NTLP - Deposit Revenues 201808 Deposits Deposits NTLP LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 42.92645 49.902 201808 Deposits Deposits NTLP LAKE CAPITAL GEW 2009 LLC Revenues 201809 Deposits Deposits NTLP LAKE CAPITAL Revenues 50323.61572 201809 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 44.41224 51.61368 201809 Deposits Deposits NTLP JOCKEY CLUB TJC HOLDINGS, INC Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M 107.55927 125.00001 201809 Deposits Deposits NTLP RASHID ALI Revenues 862.98188 1002.91439 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL CAITLIN A. FORSYTHE 0.02868 0.03333 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.02945 0.03334 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201810 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 29.23753 33.09542 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201811 Deposits Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.09412 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 51915.30693 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL KEYHOLE PARTNERS, LLC 154.64627 175.04411 EFTA01431477 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02945 0.03333 Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 773.62103 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.00848 0.0096 Stewart Oldfield NTLP - Deposit 1.01128 Stewart Oldfield NTLP - Deposit 107.75979 Stewart Oldfield NTLP - Deposit 0.12666 0.14498 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 38.66618 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 131.08247 Stewart Oldfield NTLP - Deposit 766.99042 Stewart Oldfield NTLP - Deposit Revenues 201811 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201811 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 104.64521 118.44791 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201811 Deposits THIRD LAKE CAPITAL 0.02945 0.03333 201811 Deposits SOUTHERN FINANCIAL 45.73643 51.76907 201811 Deposits PARAMI CAPITAL MANA 875.66164 201811 Deposits THIRD LAKE CAPITAL 0.02945 0.03333 201811 ASHLEY HOLDINGS 201811 RASHID ALI 201812 JOCKEY CLUB 123.34186 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2009 LLC Revenues Deposits NTLP LAURA A FORSYTHE REVOCABLE Deposits NTLP SOUTHERN TRUST COMPANY INC. Deposits NTLP RAHUL VAID Revenues Deposits SHARI WAGNER 2014 GRAT NTLP Deposits Deposits NTLP ASHLEY HOLDINGS, INC. Revenues Deposits Deposits ALI RASHID Revenues Deposits Deposits BLOOD-HORSE LLC Revenues NTLP 0.89344 NTLP 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 219.95121 251.75615 201812 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 44.25731 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL THIRD LAKE PARTNERS, LLC 874.88122 1001.38904 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 150.24018 201901 Deposits Deposits NTLP PARAMI CAPITAL MANA RAHUL VAID Revenues 879.08607 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 0.02928 0.03334 EFTA01431478 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 22.06022 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02928 0.03334 Stewart Oldfield 201902 Deposits NTLP - Deposit LINDEMANN JR GEORGE Revenues 1.15556 1.31566 Stewart Oldfield 201902 Deposits NTLP - Deposit LINDEMANN JR GEORGE Revenues 2.60779 2.9691 Stewart Oldfield 201902 Deposits NTLP - Deposit THIRD LAKE CAPITAL TRUST Revenues 292.77004 Stewart Oldfield 201902 Deposits NTLP - Deposit THIRD LAKE CAPITAL 3/26 Revenues 292.77004 Stewart Oldfield 201903 Deposits NTLP - Deposit THIRD LAKE CAPITAL 77278.40398 Stewart Oldfield 201903 Deposits NTLP - Deposit LINDEMANN JR GEORGE 516.15697 Stewart Oldfield 201903 Deposits NTLP - Deposit THIRD LAKE CAPITAL Revenues 522.67261 586.7 Stewart Oldfield 201903 Deposits NTLP - Deposit THIRD LAKE CAPITAL 6.04306 6.78333 Stewart Oldfield NTLP - Deposit THIRD CAMERON Revenues Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 202.79473 201902 Deposits ELYSIUM MANAGEMENT 201902 Deposits THIRD LAKE CAPITAL 0.02928 0.03334 201902 Deposits THIRD LAKE CAPITAL 25.11666 201902 Deposits THIRD LAKE CAPITAL 883.08799 1005.439 201902 Deposits THIRD LAKE CAPITAL Deposits NTLP LEON D. BLACK Revenues Deposits NTLP KATI FORSYTHE 2014 GRAT Deposits NTLP CAMERON WANEK Revenues Deposits NTLP THIRD LAKE PARTNERS, LLC 83 Deposits NTLP SSW 2007 LLC Revenues Deposits NTLP MIZNER COURT HOLDINGS, LLC Deposits NTLP SABAL CLUB HOLDINGS, LLC Deposits NTLP KATI WANEK- FORSYTHE 2012 IRR 333.33333 Deposits NTLP RONALD & JOYCE WANEK IRR DY TR UAD 333.33333 Deposits NTLP Revenues 68844.90332 Deposits NTLP Revenues 459.82804 Deposits KATI WANEK-FORSYTHE NTLP Deposits NTLP CAMERON WANEK Revenues 201903 Deposits Deposits NTLP LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 224.70611 252.23261 201903 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201903 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 224.70611 252.23261 201903 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 227.63708 EFTA01431479 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit RASHID ALI Revenues 808.31106 907.32916 Stewart Oldfield 201801 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 68.34 84.99788 Stewart Oldfield 201801 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB EQUIBASE COMPANY Revenues 439.80 547.00125 Stewart Oldfield 201802 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB BLOOD-HORSE LLC Revenues 487.57 595.00605 Stewart Oldfield 201802 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues VOLPE NOEL NOEL VOLPE Revenues 149.14 182.003 Stewart Oldfield 201802 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB TJC HOLDINGS, INC Revenues 8.19 9.99467 Stewart Oldfield 201802 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 77.85 95.00425 Stewart Oldfield 201803 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues VOLPE NOEL NOEL VOLPE Revenues 220.37 271.01103 Stewart Oldfield 201803 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 555.34 682.95713 Stewart Oldfield 201804 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues VOLPE NOEL NOEL VOLPE Revenues 204.97 247.45004 Stewart Oldfield 201804 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues JOCKEY CLUB AXCIS INFORMATION NETWORK INC. Revenues 196.31 236.99525 Stewart Oldfield 201805 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues 3797.56 4427.00557 Stewart Oldfield 201805 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE TRUST Revenues 26.59 30.99729 Stewart Oldfield 201805 Deposits Deposits Deposit Interest Revenues Deposit Interest Revenues SOUTHERN FINANCIAL THE 2017 CATERPILLAR TRUST Revenues 8191.39 9549.11289 Stewart Oldfield Interest Revenues CAPITAL GEW 2009 LLC Stewart Oldfield Interest Revenues CAPITAL CRW 2009 LLC Stewart Oldfield 201805 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE Revenues 15.44 17.99918 201805 Deposits Deposits Deposit Deposit Interest Revenues THIRD LAKE Revenues 15.44 17.99918 201805 Deposits Deposits Deposit EFTA01431480 Interest Revenues Deposit Interest Revenues JOCKEY CLUB TJC MEDIA VENTURES INC. Revenues 12.87 15.0032 Stewart Oldfield 201805 Interest Revenues Deposit CAPITAL CAITLIN A. FORSYTHE Stewart Oldfield 201806 Interest Revenues Deposit THE JOCKEY CLUB FOUNDATION Stewart Oldfield 201807 Interest Revenues Deposit THE JOCKEY CLUB Revenues Stewart Oldfield 201808 Interest Revenues Deposit TJC HOLDINGS, INC Revenues Stewart Oldfield 201808 Deposits Interest Revenues Deposit Interest THE JOCKEY CLUB Revenues 1509.67 Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest CAPITAL CRW 2009 LLC Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest TJC HOLDINGS, INC Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest FINANCIAL THE HAZE TRUST Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest AXCIS INFORMATION NETWORK INC. Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest Revenues 44.94 52.22702 Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest INCOMPASS SOLUTIONSINC. Revenues Stewart Oldfield 201809 Deposits Interest Revenues Deposit Interest FINANCIAL SOUTHERN FINANCIAL LLC Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 11.99867 Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest THE JOCKEY CLUB Revenues 1815.45 Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest FINANCIAL SOUTHERN FINANCIAL LLC Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest THE JOCKEY CLUB FOUNDATION Revenues Deposits Interest Revenues Deposits Interest Revenues Deposits Interest 1334.53 Deposits Interest Deposits Revenues 26.59 Deposits Revenues 115.72 Deposits Revenues 1560.99974 Deposits Revenues 9.46 10.99725 Deposits Revenues 1754.99138 Deposits Revenues 15.49 18.0017 Deposits Revenues 9.47 11.00556 Deposits Revenues 17082.83 Deposits Revenues 306.33 Deposits Revenues Deposits Revenues 79.16 91.99579 Deposits Revenues Revenues Deposits Revenues CAMERON Revenues Deposits Revenues 2054.99863 Deposits Revenues Revenues Deposits Revenues 201.42 Deposit THIRD LAKE 30.99729 Deposit JOCKEY CLUB 135.00474 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit JOCKEY CLUB Deposit SOUTHERN 19852.81088 Deposit JOCKEY CLUB 356.00141 Deposit ASHLEY HOLDINGS Deposit JOCKEY CLUB Deposit SOUTHERN 526.49 611.86035 Deposit THIRD LAKE 10.60 Deposit JOCKEY CLUB Deposit SOUTHERN 943.63 1068.14198 Deposit JOCKEY CLUB 227.99737 EFTA01431481 Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 23.99734 Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest CAPITAL CAMERON WANEK Revenues Stewart Oldfield 201810 Deposits Interest Revenues Deposit Interest CAPITAL KATI WANEK-FORSYTHE Revenues Stewart Oldfield 201811 Deposits Interest Revenues Deposit Interest FINANCIAL SOUTHERN FINANCIAL LLC Stewart Oldfield 201811 Deposits Interest Revenues Deposit Interest THE JOCKEY CLUB FOUNDATION Revenues Stewart Oldfield 201811 Deposits Interest Revenues Deposit Interest FINANCIAL THE 2017 CATERPILLAR TRUS 9861.97304 Stewart Oldfield 201811 Deposits Interest Revenues Deposit Interest BLOOD-HORSE LLC Revenues 364.87 Stewart Oldfield 201812 Deposits Interest Revenues Deposit Interest CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M 203.25807 Stewart Oldfield 201812 Deposits Interest Revenues Deposit Interest AXCIS INFORMATION NETWORK INC. Revenues Stewart Oldfield 201901 Deposits Interest Revenues Deposit Interest THE JOCKEY CLUB PAC Revenues Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest Revenues 333.42 379.61534 Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest EQUIBASE COMPANY Revenues Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest GEORGE VERONA APARTMENTS HOLDINGS, LLC Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest CAPITAL ROBERT S FORSYTHE REVOCABLE TRUST 10.99839 Stewart Oldfield 201902 Deposits Interest Revenues Deposit Interest CAPITAL KEYHOLE PARTNERS, LLC Revenues Stewart Oldfield 201903 Deposits Interest Revenues Deposit Interest Deposits Revenues GABRIEL Revenues Deposits Revenues 3.53 3.99578 Deposits Revenues 576 Deposits Revenues Revenues Deposits Revenues 174.04 Deposits Revenues T Revenues Deposits Revenues 412.99635 Deposits Revenues FOX Revenues Deposits Revenues 258.6 Deposits Revenues 77.65 88.99855 Deposits Revenues Deposit THIRD LAKE 21.20 Deposit THIRD LAKE Deposit THIRD LAKE 652.0032 Deposit SOUTHERN 986.82 1116.98156 Deposit JOCKEY CLUB 196.99588 Deposit SOUTHERN 8712.76 Deposit JOCKEY CLUB Deposit THIRD LAKE 177.58 Deposit JOCKEY CLUB 295.99356 Deposit JOCKEY CLUB Deposit ASHLEY HOLDINGS Deposits Deposit Revenues JOCKEY CLUB 1118.97 1274.00329 Deposits Deposit Revenues LINDEMANN JR Revenues 5.27 6.00016 Deposits Deposit Revenues THIRD LAKE Revenues 9.66 Deposits Deposit Revenues THIRD LAKE 78.20 89.03461 Deposits Deposit Revenues LINDEMANN JR EFTA01431482 GEORGE SUN LAKE MULTIFAMILY HOLDINGS, LLC Revenues 461.0781 Stewart Oldfield 201903 Deposits Deposits Interest Revenues Deposit Interest Revenues THIRD CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 0.10103 Stewart Oldfield 201903 Deposits Deposits Interest Revenues Deposit Interest Revenues COALITION FOR HORSE RACING INTEGRITY, IN Revenues Stewart Oldfield 201804 Capital Markets Capital Transaction Revenues Equities Transaction Revenues 2016 MAYSON-DEERING FAMILY TRUST Revenues Stewart Oldfield 201805 Capital Markets Capital Transaction Revenues Equities Transaction Revenues THE SANDRA E.C. DEERING 2018 IRREVOCABLE Revenues Stewart Oldfield 201809 Capital Markets Capital Transaction Revenues Equities Transaction Revenues SPENCER DEERING Revenues -397.61 -462.08246 Stewart Oldfield 201811 Capital Markets Capital Transaction Revenues Equities Transaction Revenues HEATHER CROSBY Revenues 234.12 265.00043 Stewart Oldfield 201901 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC Revenues 4105.69 4705.73659 Stewart Oldfield 201803 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC Revenues 304.93 375.00291 Stewart Oldfield 201810 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY THE CHARLESMEAD FOUNDATION INC. Revenues 314.11 Stewart Oldfield Non-Transaction Revenues Revenues internal 0.73 0.90794 Stewart Oldfield Non-Transaction Revenues Revenues internal 0.94 1.15601 Stewart Oldfield Non-Transaction Revenues Revenues internal Revenues 0.95 Stewart Oldfield Non-Transaction Revenues Revenues internal 0.53 0.59993 Stewart Oldfield 201809 Transaction Revenues Mutual internal RASHID ALI 355.55681 201801 DPM Mutual VOLPE NOEL 201803 DPM Mutual VOLPE NOEL 201805 DPM Mutual DEERING/CROSBY 1.10746 201810 DPM Mutual RASHID ALI 410.76 Deposit LAKE 0.09 Deposit JOCKEY CLUB 3.56 3.9961 Markets Equities DEERING/CROSBY 41.42 50.0043 Markets Equities DEERING/CROSBY 738.15 860.49836 Markets Equities DEERING/CROSBY Markets Equities DEERING/CROSBY DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction NOEL VOLPE Revenues DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction NOEL VOLPE Revenues DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction THE CHARLESMEAD FOUNDATION INC. DPM Mutual Funds/Money Market Funds/Money Market Non-Transaction ALI RASHID Revenues DPM DPM Funds Other Non ALI RASHID Mutual Funds Other Non -Transaction Revenues/- Revenues 2.26 EFTA01431483 2.62646 Stewart Oldfield 201806 Revenues Management/ Flat RASHID Revenues 820.91 Stewart Oldfield 201808 Revenues Management/ Flat RASHID Revenues 838.24 Stewart Oldfield 201809 Revenues Management/ Flat CROSBY Revenues 717.06 Stewart Oldfield 201809 Revenues Management/ Flat RASHID Revenues 829.31 Stewart Oldfield 201810 Revenues Management/ Flat CHARLESMEAD FOUNDATION INC. Stewart Oldfield 201811 Fee Revenues Management/ Flat DEERING Revenues -124.04 Stewart Oldfield 201812 Income Transaction Revenues RASHID ALI ALI RASHID Stewart Oldfield 201901 Revenues Custody Revenues CREDIT FUND LLC Revenues Stewart Oldfield 201902 Transaction Revenues Private internal ELLIN HOWARD 72.0019 Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield Revenues DEERING/CROSBY 552.858 Stewart Oldfield Revenues DEERING/CROSBY Stewart Oldfield NTLP - Deposit 6.0E-5 7.0E-5 DPM DPM Fee Revenues 957.71465 DPM DPM Fee Revenues 974.454 DPM DPM Fee Revenues 833.33128 DPM DPM Fee Revenues 963.78262 DPM DPM Fee Revenues Revenues Other Products Fee Revenues -140.40088 Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues Revenues 1638.13 1875.0036 Other Products Custody only Custody ZUECH CHRIS LONG TERM INSURED 2908.28 3333.32512 DPM DPM Private Equity Fund Equity Fund Transaction Revenues/- HOWARD ELLIN Revenues 63.24 Management/ RASHID ALI Management/ RASHID ALI Flat Fee ALI Flat Fee ALI Management/ Flat Fee DEERING/CROSBY HEATHER Management/ Flat Fee RASHID ALI ALI Management/ Flat Fee DEERING/CROSBY THE 736.19 833.33027 Other Management/ Flat DEERING/CROSBY SPENCER 201801 Lending Lending Loans (Margin Lending / Lombard) HEATHER CROSBY Revenues 201802 Lending Lending Loans (Margin Lending / Lombard) HEATHER CROSBY Revenues 201805 Lending Lending Loans (Margin Lending / Lombard) HEATHER CROSBY Revenues 201809 Lending Lending Loans (Margin Lending / Lombard) SPENCER DEERING Revenues 201809 Lending Lending Loans (Margin Lending / Lombard) LYNN DEERING REVOCABLE TRUST Loans MARON THIRD Lombard Loans Interest Interest Revenues -2949.87614 -3668.90845 Lombard Loans Interest Interest Revenues 169.82 207.23984 Lombard Loans Interest Interest Revenues 776.38 905.06499 Lombard Loans Interest Interest Revenues 42.52 49.41462 Lombard Loans Interest Interest Revenues Revenues 475.72 201810 Lending Lending Lombard Loans Interest (Margin Lending / Lombard) Interest Revenues M DEERING Revenues 786.45 890.22208 201801 Deposits Deposits NTLP LAKE CAPITAL GEW 2007 LLC Revenues EFTA01431484 Stewart Oldfield BOIES FAMILY Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 26.99013 Stewart Oldfield NTLP - Deposit 3.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 59.47337 Stewart Oldfield NTLP - Deposit 119.26185 Stewart Oldfield BOIES FAMILY 29.07067 Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit 0.02731 0.03333 Stewart Oldfield NTLP - Deposit 0.0271 0.03333 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 2.98788 3.67449 Stewart Oldfield NTLP - Deposit 1.1E-4 1.4E-4 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 573.72775 Stewart Oldfield 201801 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 23.3734 29.07067 201801 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 28.82486 35.85092 201801 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 33.56897 201801 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201801 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 26.58025 33.05919 201802 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 25.86826 31.56833 201802 Deposits Deposits NTLP VOLPE NOEL NOEL VOLPE Revenues 72.57833 201802 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 145.5412 201802 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 23.82158 201802 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 20.86999 25.46869 201802 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201803 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.0271 0.03333 201803 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 201803 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201804 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 42.44992 51.24767 201804 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 692.63282 201804 Deposits Deposits NTLP EFTA01431485 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 23.15573 Stewart Oldfield NTLP - Deposit 0.02862 0.03336 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02859 0.03333 Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit 23.42995 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 1.1E-4 1.3E-4 Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit 574.34416 Stewart Oldfield NTLP - Deposit 434.84512 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 30.46275 Stewart Oldfield JOCKEY CLUB 58.31956 201804 JOCKEY CLUB 27.95476 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues THE JOCKEY CLUB FOUNDATION 70.40629 Deposits Deposits NTLP THE JOCKEY CLUB PAC Revenues 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK 2016 GRAT 0.15334 0.17876 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL KWF 2007 LLC Revenues 201805 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.22711 125 201805 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 27.31346 201805 Deposits Deposits NTLP SOUTHERN FINANCIAL SOUTHERN TRUST COMPANY INC. 44.01712 51.31296 201806 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 29.61842 34.55433 201806 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 70.81292 82.61389 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 107.14439 125 201806 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201806 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT 107.14439 125 201807 Deposits JOCKEY CLUB THE JOCKEY 671.81037 201807 JOCKEY CLUB 508.63834 201807 JOCKEY CLUB 71.20719 201807 JOCKEY CLUB 35.63228 201807 Deposits CLUB Revenues NTLP Deposits Deposits NTLP EQUIBASE COMPANY Revenues Deposits Deposits NTLP THE JOCKEY CLUB FOUNDATION 83.29105 Deposits Deposits NTLP INCOMPASS SOLUTIONSINC. Revenues Deposits Deposits NTLP TR EFTA01431486 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.88786 Stewart Oldfield NTLP - Deposit 42.92645 Stewart Oldfield NTLP - Deposit NEW APO Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 22.98191 Stewart Oldfield NTLP - Deposit 4.0E-5 4.0E-5 Stewart Oldfield NTLP - Deposit 0.02868 0.03333 Stewart Oldfield NTLP - Deposit 107.96821 Stewart Oldfield NTLP - Deposit FOR STE Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit TRUST Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit FOX Revenues Stewart Oldfield JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 130.34792 152.46796 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 201807 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.0285 0.03334 201808 Deposits Deposits NTLP RASHID ALI ALI RASHID Revenues 0.76375 201808 Deposits Deposits NTLP THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 49.902 201808 Deposits Deposits NTLP THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE 153.02896 177.89617 201808 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 1.97184 2.29226 201808 Deposits Deposits NTLP JOCKEY CLUB INCOMPASS SOLUTIONSINC. Revenues 26.71647 201809 Deposits Deposits NTLP ELYSIUM MANAGEMENT LEON D. BLACK Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL SSW 2007 LLC Revenues 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 125.47525 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 107.55927 125.00001 201809 Deposits Deposits NTLP THIRD LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.02868 0.03333 201810 Deposits Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 3.60135 4.07655 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE 0.02945 0.03334 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 0.02945 0.03334 201810 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M 220.85781 250 201810 Deposits Deposits NTLP EFTA01431487 NTLP - Deposit THIRD WAGNER Revenues Stewart Oldfield NTLP - Deposit THIRD 0.02945 0.03334 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit 111.4777 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 0.02951 0.0334 Stewart Oldfield NTLP - Deposit WAGNER Revenues Stewart Oldfield NTLP - Deposit LIMITED PART Stewart Oldfield NTLP - Deposit 14.66721 Stewart Oldfield NTLP - Deposit 59808.68909 Stewart Oldfield NTLP - Deposit 0.02918 0.0334 Stewart Oldfield NTLP - Deposit 119.1645 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield BOIES FAMILY 15.231 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 62887.81379 Stewart Oldfield NTLP - Deposit 94.44389 Stewart Oldfield LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 220.85781 250 201810 Deposits Deposits NTLP LAKE CAPITAL STEVEN FORSYTHE Revenues 201810 Deposits THIRD LAKE CAPITAL 220.85781 201811 Deposits THIRD LAKE CAPITAL 126.1816 201811 Deposits THIRD LAKE CAPITAL 0.02945 0.03333 201811 Deposits THIRD LAKE CAPITAL Deposits NTLP SHARI WAGNER 2015 GRAT TRAVIS T. 250 Deposits NTLP TRAVIS WAGNER Revenues Deposits NTLP CAITLIN A. FORSYTHE Deposits NTLP GEW 2007 LLC Revenues 201811 Deposits Deposits NTLP THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 222.27411 251.59207 201811 Deposits Deposits NTLP LINDEMANN JR GEORGE THE GEORGE LINDEMANN FAMILY Revenues 40.10188 45.39132 201812 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 16.78809 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 52252.91729 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL GEW 2007 LLC Revenues 201812 Deposits Deposits NTLP JOCKEY CLUB EQUIBASE COMPANY Revenues 136.39569 201812 Deposits Deposits NTLP ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC 4.67931 5.35594 201812 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 13.30683 201812 Deposits Deposits NTLP THIRD LAKE CAPITAL WANEK TRUST OF 2000 0.02912 0.03333 201901 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 54868.7465 201901 Deposits Deposits NTLP JOCKEY CLUB BLOOD-HORSE LLC Revenues 108.24686 201901 Deposits Deposits NTLP EFTA01431488 NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 68333.20272 Stewart Oldfield NTLP - Deposit 131.95782 Stewart Oldfield NTLP - Deposit 936.89504 Stewart Oldfield NTLP - Deposit 0.02931 0.03337 Stewart Oldfield NTLP - Deposit 20.49808 Stewart Oldfield NTLP - Deposit 1.2E-4 1.4E-4 Stewart Oldfield NTLP - Deposit 0.02928 0.03334 Stewart Oldfield NTLP - Deposit LLC Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 244282.03671 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit 786.06447 Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield NTLP - Deposit Revenues Stewart Oldfield THIRD LAKE CAPITAL THIRD LAKE PARTNERS, LLC 875.55319 1003.51529 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL Revenues 60017.74425 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL TRAVIS WAGNER Revenues 150.24058 201902 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB Revenues 1066.70185 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL CRW 2007 LLC Revenues 201902 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB PAC Revenues 23.33809 201902 Deposits Deposits NTLP BOIES FAMILY CHRISTOPHER BOIES Revenues 201902 Deposits Deposits NTLP THIRD LAKE CAPITAL TODD R. WANEK Revenues 201902 Deposits Deposits LINDEMANN JR GEORGE SUN LAKE MULTIFAMILY 9.34947 10.64484 201902 Deposits Deposits THIRD LAKE CAPITAL SHARI WAGNER 2014 GRAT 0.02928 0.03334 201903 Deposits THIRD LAKE CAPITAL THIRD 897.64363 1007.60497 201903 Deposits ASHLEY HOLDINGS Revenues NTLP HOLDINGS, NTLP Deposits NTLP LAKE PARTNERS, LLC Deposits NTLP 217623.19529 201903 Deposits Deposits NTLP LINDEMANN JR GEORGE MARINA LANDING HOLDINGS, LLC 141.71212 159.07185 201903 Deposits Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 74.84211 84.01027 201903 Deposits Deposits NTLP PARAMI CAPITAL MANA RAHUL VAID Revenues 882.35737 201903 Deposits Deposits NTLP LINDEMANN JR GEORGE MIZNER COURT HOLDINGS, LLC 277.23927 311.20108 201903 Deposits Deposits NTLP JOCKEY CLUB THE JOCKEY CLUB FOUNDATION 82.48446 92.58881 201903 Deposits Deposits NTLP EFTA01431489 NTLP - Deposit BOIES FAMILY CHRISTOPHER BOIES Revenues 1.2E-4 1.3E-4 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 0.0297 0.03334 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit ASHLEY HOLDINGS ASHLEY FURNITURE INDUSTRIES Revenues 1.21883 1.36814 Stewart Oldfield 201903 Deposits Deposits NTLP NTLP - Deposit JOCKEY CLUB TJC HOLDINGS, INC Revenues 2.3167 2.6005 EFTA01431490 AUM Data Year YearMonth 1.CRM Manager Code Categorie relationship reference* client reference* Investment Platform Name UBR description Mandate Type EUR USD 2018 201801 Stewart Oldfield 50067 Volume THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Deposits Deposits Custody 1907169.09 2372041.55569 2018 201801 Stewart Oldfield 50067 Volume DEERING/CROSBY SANDRA DEERING Deposits Deposits Classic Advisory 184.71 229.73306 2018 201801 Stewart Oldfield 50067 Volume DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Capital Markets Capital Markets Classic Advisory 8775.85 10914.96344 2018 201801 Stewart Oldfield 50067 Volume DEERING/CROSBY 2011 ANTHONY W DEERING TRUST UAD 11/21/1 Other Products Funds Solutions Classic Advisory 279266.06 347337.16213 2018 201801 Stewart Oldfield 50067 Volume DEERING/CROSBY CHRISTOPHER J. 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Deposits Deposits Classic Advisory 98753.24 111783.73002 2018 201810 Stewart Oldfield 50067 Volume JOCKEY CLUB EQUIBASE COMPANY Deposits Deposits Classic Advisory 458668.84 519190.19344 2018 201810 Stewart Oldfield 50067 Volume JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN Deposits Deposits Classic Advisory 10804.05 12229.6444 2018 201810 Stewart Oldfield 50067 Volume ADIKESHAVAR ADIKESHAVAR HOLDINGS LLC Deposits Deposits Classic Advisory 50514.47 57179.85432 2018 201810 Stewart Oldfield 50067 Volume THIRD LAKE CAPITAL CRW 2009 LLC Deposits Deposits Classic Advisory 100.94 114.25903 2018 201810 Stewart Oldfield 50067 Volume THIRD LAKE CAPITAL KWF 2007 LLC Deposits Deposits Classic Advisory 88.34 99.99646 2018 201810 Stewart Oldfield 50067 Volume THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Deposits Deposits Classic Advisory 441715.62 499999.99606 2018 201810 Stewart Oldfield 50067 Volume THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR CAI Deposits Deposits Classic Advisory 220857.81 249999.99803 2018 201810 Stewart Oldfield 50067 Volume THIRD LAKE CAPITAL CAITLIN A. 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FORSYTHE Volume DEERING/CROSBY Classic Advisory Volume DEERING/CROSBY Lombard Classic Volume THIRD LAKE Deposits Classic 50067 Volume Deposits 52864.24628 50067 Volume Capital Markets Classic 50067 Volume Classic Advisory 50067 Deposits Advisory 88.35 100.00337 2018 201811 Stewart Oldfield 50067 DEERING FAMILY LTD PARTNERSHIP Capital Markets Advisory 1856218.55 2101053.77675 2018 201811 Stewart Oldfield 50067 ACE LIMITED PARTNERSHIP LLLP Deposits Advisory 341.87 386.96265 2018 201811 Stewart Oldfield 50067 Volume SANDRA E DEERING GIFT TRUST UAD 12/09/11 Other Products Classic Advisory 220395.80 249466.00602 2018 201811 Stewart Oldfield 50067 Volume SPENCER DEERING Other Products Funds Solutions Classic 75960.1 85979.23719 2018 201811 Stewart Oldfield 50067 SPENCER DEERING Lending Lending Lombard Classic 472131.39 534405.52034 2018 201811 Stewart Oldfield 50067 LYNN DEERING REVOCABLE TRUST Deposits Advisory 1494.43 1691.54532 2018 201811 Stewart Oldfield 50067 ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Deposits Classic Advisory 63478.47 2018 201812 Stewart Oldfield 50067 ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO only Custody 2.472768144E7 2.830330417623E7 2018 201812 Stewart Oldfield 50067 AXCIS INFORMATION NETWORK INC. 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Deposits Deposits Classic Advisory 48869.49 54856.00253 2019 201903 Stewart Oldfield 50067 Volume JOCKEY CLUB THE GRAYSON JOCKEY CLUB Deposits Deposits Classic Advisory 35199.79 39511.76428 2019 201903 Stewart Oldfield 50067 Volume JOCKEY CLUB THE JOCKEY CLUB FOUNDATION Other Products Funds Solutions Classic Advisory 6181676.57 6938931.94983 2019 201903 Stewart Oldfield 50067 Volume CAPITAL SSW 2007 LLC Deposits Deposits Advisory 89.09 100.00353 2019 201903 Stewart Oldfield 50067 Volume CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 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Other Products 50067 Volume Deposits 318143.7094 50067 Volume Funds Solutions THIRD LAKE Classic THIRD LAKE 504465.20573 THIRD LAKE Classic THIRD LAKE 859999.99628 THIRD LAKE 504465.20573 LINDEMANN JR LINDEMANN JR Deposits BOIES FAMILY Classic EFTA01431577 Advisory 2889273.28 3243209.2568 {cycle}{10}{accent1}{accent2}{accent3}{accent4}faccent51faccent61{60000}- {80000}{20000}{80000}{60000}{40000}{50000}(70000}{30000}{70000}(50000}{50000} {251}{0}{0}{0}{minor}ftx11{65000}(35000}{1000}{1200}{0}{0}{0}{minor}ftx11- {65000}{35000}{9525}{flat}{sng}{ctr}(tx1}{15000}(85000}{900}(1200}- fallowNoFillOverride allowNoLineOverride1{0}{0}{0}{minor}(tx1}{bg1}{9525}- {flat}fsngl{ctr}{tx1}(15000}{85000}{900}{1200}{0}{0}{0}{minor}ftx11{75000}- {25000}{900}0.2001{0}(0}(0}(minor}{dk1}(65000}{35000}{1t1}{dk1}(25000}{75000}- {900}{1200}{0}{1}{clip}{clip}{horz}{square}{36576}{18288}(36576}{18288}{ctr}- {1}(0}(1}(auto}(0}(minor}{tx1}(19050}{1t1}(0}(1}(auto}(0}(minor}{tx1}(25400}- fit11{0}{auto}{0}{0}{minor}(tx1}{28575}(rnd}{phClr}(0}{auto}(1}(auto}(0}- fminorl{tx1}(9525}(phClr}{circle}(5}(0}(auto}(0}(0}{minor}{tx1}(9525}(rnd}- {phClr}{0}{0}{0}{minor}{tx1}{65000}{35000}(9525}(flat}fsnglfctr1{tx1}(15000}- {85000}{900}0.2001{0}(0}(0}(minor}{tx1}(dk1}{75000}{25000}{9525}{flat}{sng}- {ctr}{tx1}{65000}{35000}(0}(0}(0}(minor}{tx1}(9525}{flat}fsnglfctr1{tx1}- {35000}{65000}{0}{0}{0}{minor}(tx1}{9525}{flat}fsngl{ctr}(tx1}{65000}{35000}- {0}(0}(0}(minor}{tx1}(0}(0}(0}(minor}{tx1}(9525}(flat}fsnglfctr1{tx1}(15000}- {85000}{0}{0}{0}{minor}{tx1}{9525}{flat}{sng}(ctr}ftx11{5000}{95000}{0}{0}{0}- fminorl{tx1}(9525}{flat}fsng1{ctr}{tx1}(50000}{50000}{0}{0}{0}{minor}ftx11- {9525}{flat}fsngl{ctr}{tx1}{35000}{65000}{0}{0}{0}{minor}(tx1}{65000}{35000}- {900}{1200}{allowNoFillOverride allowNoLineOverride}{0}{0}{0}{minor}ftx11- fallowNoFillOverride allowNoLineOverride1{0}{0}{0}{minor}(tx1}{0}{0}{0}- {minor}{tx1}(65000}{35000}{900}{1200}{0}{0}{0}{minor}ftx11{9525}{flat}{sng}- fctrl{tx1}{35000}{65000}(0}(0}(0}(minor}{tx1}(65000}{35000}{1400}{0}{1200}{0}- {0}(0}(auto}(0}(0}(minor}{tx1}(19050}{rnd}(phClr}{sysDot}(0}(0}(0}(minor}- {tx1}{65000}(35000}{900}0.2001{0}(0}{0}(minor}{tx1}{1t1}{9525}{flat}fsngl- fctrl{tx1}{65000}{35000}(0}(0}(0}{minor}{tx1}(65000}{35000}{900}{1200}{0}{0}- {0}(minor}{tx1} {0}(en-US}{0}{c14}0.021{2}{0}{1}{ellipsis}(horz}fsquarelfctr1{1}{1400}{0}{0}- {none}(noStrike}{1200}{0}{0}{tx1}(65000}{35000}{+mn-lt}{+mn-ea}f+mn-cslfen- US1Revenue Breakdown YTD{edge}fedge1{0.29767344706911636}- {1.8518518518518517E-2}{0}{0}{1}{ellipsis}(horz}(square}fctr1{1}{1400}{0}{0}- {none}(noStrike}{1200}{0}{0}{tx1}(65000}{35000}{+mn-lt}{+mn-ea}f+mn-cslfen- US1{0}(1}(0}(0}(0}(0}(accent1}(19050}{1t1}(1}(0}faccent21{19050}{1t1}(2}(0}- faccent310.90501{1t1}(3}(0}(accent4}(19050}{1t1}(4}{0}(accent5}(19050}{1t1}- {5}(0}(accent6}(19050}{1t1}(6}(0}(accent1}(60000}{19050}{1t1}{7}{0}{accent2}- {60000}{19050}{1t1}{0}{0.26111111111111102}{6.4814814814814811E-2}(bestFit}- {0}(0}0.1{0}(1}(0}{{CE6537A1-D6FC-4f65-9091-7224C4945888}1{1}- {9.4444444444444442E-2}{4.6296296296296294E-3}{bestFit}{0}{0}{1}{0}{1}{0}- {{CE6537A1-D6FC-4f65-9091-7224C4945888}1{2}{7.49999999999999E-2}- {2.7777777777777776E-2}{bestFit}{0}{0}{1}{0}0.1{0}{{CE6537A1- EFTA01431578 D6FC-4f65-9D91-7224C494586611{4}{1}{{CE6537A1-D6FC-4f65-9D91-7224C4945866}1- {6}{1}{{CE6537A1-D6FC-4f65-9D91-7224C4945866}1{7}{-0.20833333333333334}- {4.1666666666666664E-2}{bestFit}{0}{0}{1}{0}{1}{0}{{CE6537A1- D6FC-4f65-9D91-7224C4945866}}{window}{FFFFFF}{windowText}{000000}{25000}- {75000}{0}{1}{clip}{clip}{horz}{square}{38100}{19050}{38100}{19050}{ctr}{1}- {900}{0}{0}{none}{noStrike}{1200}{0}{dk1}{65000}{35000}{+mn-lt}{+mn-ea}f+mn- cs}{en-US}{outEnd}{0}{0}{1}{0}{1}{0}{0}{{CE6537A1- D6FC-4f65-9D91-7224C4945866}}{wedgeRectCallout}Summary!$N$11:$N$18{8}{0}- Capital Markets{1}Custody {2}Deposits{3}DPM{4}Fund Solutions{5}- Partnerships{6}Wealth Planning Solutions{7}LendingSummary!$0$11:$0$18_(* #,##0_);_(* $#,##0$;_(* "-"??_);_(@_){8}{0}6218.2534400000004{1}- 18556 880540000002{2}726959.36071999976{3}4893.3428900000008{4}0{5}- 379000.00199999998{6}0{7}37688.011579999999{0}{0}{0}{0}{0}{0}{0}{0}{b}{4}{1}- {6}{1}{0}{0}{1}{ellipsis}{horz}{square}{ctr}{1}{900}{0}{0}{none}{noStrike}- {1200}{0}{tx1}{65000}{35000}{+mn-lt}{+mn-ea}f+mn-cs}{en-US}{1}{gap}{0}{bg1}- {9525}{flat}{sng}{ctr}{tx1}{15000}{85000}{en-US}{0.75}{0.7}{0.7}{0.75}{0.3}- {0.3} EFTA01431579

EFTA Document EFTA01431397

Summary

Extracted Text (OCR)

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