EFTA Document EFTA01460971

USPB relationships by size tier - size tier in EUR - data in USD Row Labels # % of total Relationships relationships CBV Q1 2015 % total Revenue Q1 CBVs 2015 (USD) % of total Revenue AZRIA MAX 1 0% 25,000,000 0% 139,249 0% SMITH WILSON F 0% 24.923,310 0% 24,343 0% SMITH JEFFREY E 0% 24,770,375 0% 61,986 0% FRELINGHUYSEN B 0% 24,758,658 0% 62,882 0% BACKUS DANA 0% 24,716,551 0% 22,958 0% GRIBBLE STANLEY 0% 24,378,358 0% 37,156 0% BATMASIAN MARTA 0% 24,344,278 0% 163,361 0% ATKINSON JOE 0% 24,033,070 0% 49,148 0% AUSTIN J 0% 23,327,219 0% 2,182 0% DEGEORGE LARRY 0% 23,269,298 0% 89,332 0% HU GEORGE 0% 23,071,128 0% 51,410 0% DONNA BERNSTEIN 0% 23,044,832 0% 10,427 0% SIAS DK 0% 22,920,454 0% 25,824 0% MOK KENNETH 0% 22,495,932 0% 44,517 0% BERSON MARC E 0% 22,470,538 0% 68,015 0% GOEWEY 0% 22,470,059 0% 33,813 0% SADLER 0% 22.413,812 0% 19,136 0% COLLINS FAMILY 0% 22,384,096 0% 27,195 0% BERNSTEIN MANAGEMEN 0% 22,347,583 0% 21,361 0% BROOKLYN HOLDINGS 0% 22,337,698 0% 14,162 0% HARP GERALD 0% 22,316,810 0% (2,173) 0% STONE FAMILY 0% 22,177,707 0% 34,322 0% GONDA LOUIS 0% 22,101,117 0% 89.698 0% FULLERTON/GRAVES 0% 22,083,290 0% 74,117 0% CHAN TONY 0% 22,073,991 0% 141,579 0% MANNY RALPH P 0% 22,041,097 0% 67,781 0% ANTONIO PARTNERS 0% 21,900,000 0% (1,623) 0% FRANKLIN MARTIN 0% 21,798,488 0% 38,493 0% LINCOLN HALL FOUNDA 0% 21,760,522 0% 25,460 0% STAVROS NICK 0% 21,614,503 0% 9,316 0% UNGAR ELI 0% 21,463,480 0% 60,705 0% OLSEN FAMILY 0% 21,458,901 0% 22,091 0% ELECTROMATIC 0% 21,455,200 0% 4,064 0% BOIES FAMILY 0% 21,434,161 0% 30,994 0% ZUCKERMAN HOWARD 0% 21,349,444 0% 48,883 0% KLEIN FLORA 0% 21,053,631 0% 23,738 0% KNIPE ALICE F 0% 20,988,711 0% 13,107 0% HEILAND K PETER 0% 20,983,845 0% 21,581 0% SMITH ASSET MANAGEM 0% 20,873,949 0% 59,234 0% COBB KAYDEN 0% 20,738,945 0% 36,251 0% DAVID BERNARD CAMAR 0% 20,626,374 0% 6,121 0% SOHACHESKI JAIME 0% 20,553,265 0% 122,201 0% NOBLE ETHEL G 0% 20,167,284 0% 34,847 0% FISHMAN NELSON 0% 20,077,843 0% 268 0% O'NEILL DIMANNO KEL 0% 19,990,385 0% 47,149 0% ADAMS FAMILY - PENN 0% 19.982,482 0% 9,284 0% PAYDAR REZA 0% 19,956,459 0% 5,023 0% SPIEGEL TOM 0% 19,938,159 0% 93,034 0% TAYLOR LYNDA BENVEN 0% 19,919,916 0% 28,287 0% MCCARTHY MIKE 0% 19,908,000 0% 22,108 0% SHIMADA 0% 19,851,849 0% 68,892 0% JOHNSTON G DONALD 0% 19,606.225 0% 34.405 0% CLASSON BRUCE 0% 19,313,615 0% 19,050 0% RITCHOTTE FAMILY 0% 19,210,657 0% 12,264 0% 6/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122737 CONFIDENTIAL SDNY_GM_00268921 EFTA01460971